Audit file full-process automatic tracing and cooperation system and method based on block chain and smart contract

Abstract

The invention relates to the technical field of audit file processing, in particular to an audit file full-process automatic tracing and cooperation system and method based on a block chain and a smart contract. The method has the beneficial effects that the file is subjected to hash operation and uplink storage through a block chain technology, so that the file cannot be tampered, the authenticity and integrity of the audit file are improved, and the credibility of an audit result is enhanced; automation of the whole audit file processing process is achieved, manual operation is reduced, and the audit period is shortened. The system has functions of intelligent classification, task allocation, report generation and the like, and improves the efficiency and accuracy of auditing work.

Description

Technical Field

[0001] The present invention relates to the technical field of audit document processing, and specifically to a full-process automated tracing and collaboration system and method for audit documents based on blockchain and smart contracts. Background Art

[0002] Traditional auditing practices present numerous challenges in document processing. Document authenticity and integrity are difficult to guarantee and prone to tampering, casting doubt on the credibility of audit results. Document processing is cumbersome, involving a significant amount of manual work from receipt, classification, and review to report generation and approval, leading to inefficiencies and error-prone performance. Poor collaboration and communication between different auditors and departments, coupled with untimely information transfer, hinders audit progress.

[0003] Due to the lack of an effective traceability mechanism, once a problem occurs, it is difficult to quickly and accurately trace the document processing process. With the increase in audit business volume and the improvement in audit quality requirements, traditional methods can no longer meet the needs, and an innovative technical solution is urgently needed to solve these problems. Summary of the Invention

[0004] The purpose of the present invention is to provide a full-process automated tracing and collaboration system and method for audit documents based on blockchain and smart contracts to solve the problems raised in the above background technology.

[0005] To achieve the above-mentioned objectives, the present invention provides the following technical solutions: a full-process automated traceability and collaboration system for audit documents based on blockchain and smart contracts, comprising a file receiving and uploading module, which has the following functions: a file receiving function is set at the system entrance of the audit institution to support the reception of various common formats of audit documents submitted by the audited units; the system automatically calls the hash operation algorithm library to perform hash operation on the uploaded file to generate a unique file fingerprint, and obtains the file metadata through the file parsing program; after encapsulating the file fingerprint and metadata according to the blockchain data format requirements, they are sent to the blockchain network for storage using the blockchain node interface, ensuring that the file has the characteristics of being tamper-proof and can be accurately traced from the time of receipt.

[0006] Preferably, it includes an intelligent classification and preliminary review module, which has the following functions: using an artificial intelligence natural language processing framework, training a classification model based on a large number of labeled audit files, and intelligently classifying uploaded audit files into financial, business, and compliance categories; writing format checking and key information extraction program scripts, and conducting a preliminary review of the files according to preset rules to check whether the file format is correct and whether key information is missing; if any problems are found, automatically sending a notification to the submitter through the system message push module to request supplementation or correction.

[0007] Preferably, it includes a task allocation and smart contract triggering module, which has the following functions: establishing an auditor information database to store information such as the auditor's professional skills and workload; writing a task allocation algorithm based on the audit project requirements, and intelligently allocating audit tasks based on the auditor's information, such as allocating financial statement audit tasks to auditors with a financial professional background and relevant experience; using the smart contract development platform to write smart contract code, generate a corresponding smart contract for each task, and clarify the task requirements, completion time nodes, and delivery results; when the task starts, the system calls the trigger function of the smart contract to automatically record the task start time and related information.

[0008] Preferably, it includes a data extraction and analysis automation module, which has the following functions: using RPA tools to develop corresponding data extraction rules and templates for audit files of different formats, writing data extraction processes, automatically extracting key data from audit files that need to be extracted and analyzed, and importing them into data analysis tools; data analysis tools use machine learning algorithms to conduct in-depth analysis of the extracted data; the analysis results are formatted according to the blockchain data storage requirements and recorded on the blockchain for subsequent review and traceability.

[0009] Preferably, it includes an audit collaboration and communication automation module, which has the following functions: developing a built-in collaboration platform based on instant messaging technology to realize text, voice and file transmission functions between auditors; setting up a message recording module in the collaboration platform to automatically record communication content and decisions, and associate them with audit tasks and files; developing an assistance request sending and tracking module, when auditors need assistance from other departments or personnel, the system automatically sends a request and updates the processing progress in real time.

[0010] A method for a full-process automated traceability and collaboration system for audit documents based on blockchain and smart contracts, comprising the following steps:

[0011] Set up a file receiving function at the audit institution system entrance to receive various common audit documents submitted by the audited units;

[0012] The system automatically calls the hash algorithm library to perform hash operations on the uploaded files and generate a unique file fingerprint;

[0013] Obtain file metadata through a file parsing program, the metadata including file name, file type, submission time, and submission unit;

[0014] Encapsulate file fingerprints and metadata according to blockchain data format requirements;

[0015] The encapsulated data is sent to the blockchain network for storage using the blockchain node interface, ensuring that the file is tamper-proof and accurately traceable from the moment it is received.

[0016] Preferably, the following steps are included: using an artificial intelligence natural language processing framework to train a classification model based on a large number of annotated audit files; using the trained classification model to intelligently classify the uploaded audit files into financial, business, and compliance categories; writing program scripts for format checking and key information extraction, and conducting a preliminary review of the files based on preset rules to check whether the file format is correct and whether key information is missing; if any problems are found, a notification is automatically sent to the submitter through the system message push module, requiring supplementation or correction.

[0017] Preferably, the method includes the following steps: establishing an auditor information database to store the auditor's professional skills and workload information; writing a task allocation algorithm based on the audit project requirements, and intelligently allocating audit tasks in combination with the auditor's information, such as allocating financial statement audit tasks to auditors with a financial professional background and relevant experience; using a smart contract development platform to write smart contract code, generate a corresponding smart contract for each task, and clarify the task requirements, completion time nodes, and delivery results; when the task starts, the system calls the trigger function of the smart contract to record the task start time and related information.

[0018] Preferably, the method includes the following steps: using RPA tools to develop corresponding data extraction rules and templates for audit files of different formats, and writing data extraction processes; using data extraction processes to automatically extract key data from audit files that need to be extracted and analyzed; importing the extracted data into data analysis tools, such as Python data analysis libraries; using data analysis tools to use machine learning algorithms to conduct in-depth analysis of the extracted data; formatting the analysis results according to the blockchain data storage requirements, and recording them on the blockchain for subsequent review and tracing.

[0019] Preferably, the following steps are included: developing a built-in collaboration platform in the system based on instant messaging technology to realize text, voice and file transmission functions between auditors; setting up a message recording module in the collaboration platform to automatically record communication content and decisions, and associate them with audit tasks and files; developing an assistance request sending and tracking module, when auditors need assistance from other departments or personnel, the system automatically sends a request; updating the processing progress of assistance requests in real time, so that auditors can understand the assistance situation in a timely manner.

[0020] Compared with the prior art, the present invention has the following beneficial effects:

[0021] The present invention proposes a full-process automated audit document traceability and collaboration system and method based on blockchain and smart contracts. By using blockchain technology to hash and store files on-chain, the system ensures that the files cannot be tampered with, improves the authenticity and integrity of audit documents, and enhances the credibility of audit results. It also automates the entire audit document processing process, reduces manual operations, and shortens the audit cycle. Intelligent classification, task allocation, and report generation improve the efficiency and accuracy of audit work. A built-in collaboration platform facilitates real-time communication between auditors, automatically records communication content and decisions, tracks the progress of assistance requests, breaks down communication barriers between departments and personnel, and improves collaboration efficiency. The traceability of blockchain allows for accurate tracing of every link in the audit document processing process, facilitating the timely discovery and resolution of problems, and improving the quality and reliability of audit work. BRIEF DESCRIPTION OF THE DRAWINGS

[0022] Figure 1 Flow chart of the method of the present invention. DETAILED DESCRIPTION

[0023] In order to clearly and completely describe the objectives and technical solutions of the present invention and make the advantages more clearly understood, the embodiments of the present invention are further described in detail below with reference to the accompanying drawings. It should be understood that the specific embodiments described herein are part of the embodiments of the present invention, not all of them, and are only used to explain the embodiments of the present invention, not to limit the embodiments of the present invention. All other embodiments obtained by ordinary technicians in this field without making creative efforts are within the scope of protection of the present invention.

[0024] In embodiment 1, the present invention provides a technical solution: a full-process automated tracing and collaboration system for audit documents based on blockchain and smart contracts, including a file receiving and uploading module, which has the following functions: a file receiving function is set at the system entrance of the audit agency to support the reception of various common formats of audit documents submitted by the audited units; the system automatically calls the hash operation algorithm library to perform hash operation on the uploaded file to generate a unique file fingerprint, and obtains the file metadata through the file parsing program; after encapsulating the file fingerprint and metadata according to the blockchain data format requirements, the blockchain node interface is used to send them to the blockchain network for storage, ensuring that the file has the characteristics of being tamper-proof and can be accurately traced from the time of receipt.

[0025] It includes an intelligent classification and preliminary review module, which has the following functions: using an artificial intelligence natural language processing framework, training a classification model based on a large number of annotated audit documents, and intelligently classifying uploaded audit documents into financial, business, and compliance categories; writing format checking and key information extraction program scripts, and conducting a preliminary review of the documents according to preset rules to check whether the file format is correct and whether key information is missing; if any problems are found, the system message push module will automatically send a notification to the submitter requesting supplementation or correction.

[0026] It includes a task allocation and smart contract triggering module, which has the following functions: establishing an auditor information database to store information such as auditors' professional skills and workload; writing a task allocation algorithm based on audit project requirements, and intelligently allocating audit tasks based on auditor information, such as allocating financial statement audit tasks to auditors with a financial professional background and relevant experience; using the smart contract development platform to write smart contract code, generate a corresponding smart contract for each task, and clarify task requirements, completion time nodes, and delivery results; when a task starts, the system calls the trigger function of the smart contract to automatically record the task start time and related information.

[0027] It includes a data extraction and analysis automation module with the following functions: using RPA tools to develop corresponding data extraction rules and templates for audit documents of different formats, compiling data extraction processes, automatically extracting key data from audit documents that need data extraction and analysis, and importing them into data analysis tools; data analysis tools use machine learning algorithms to conduct in-depth analysis of extracted data; analysis results are formatted according to blockchain data storage requirements and recorded on the blockchain for subsequent review and traceability.

[0028] It includes an audit collaboration and communication automation module, which has the following functions: developing a built-in collaboration platform based on instant messaging technology to realize text, voice and file transmission functions among auditors; setting up a message recording module in the collaboration platform to automatically record communication content and decisions, and associate them with audit tasks and files; developing an assistance request sending and tracking module. When auditors need assistance from other departments or personnel, the system automatically sends a request and updates the processing progress in real time.

[0029] Example 2, based on Example 1, proposes a method for the full-process automated tracing and collaboration system for audit documents based on blockchain and smart contracts according to claim 5, comprising the following steps:

[0030] 1. File reception and uploading

[0031] Audit institutions receive various audit documents submitted by audited entities, such as financial statements, contract documents, and invoices. These documents support common formats like PDF, Excel, and Word. The system automatically hashes the documents to generate a unique file fingerprint. Simultaneously, the file metadata (file name, file type, submission time, submitting entity, etc.) and the file fingerprint are recorded on the blockchain, ensuring that the documents are tamper-proof and traceable from the moment they are received.

[0032] The specific implementation involves setting up a file receiving module at the audit institution's system entry point. When a file is uploaded, the system calls a hashing algorithm library to process the file and generate a file fingerprint. Simultaneously, a file parser retrieves the file metadata. The file fingerprint and metadata are then encapsulated according to the blockchain data format requirements and sent to the blockchain network for storage using the blockchain node interface.

[0033] 2. Intelligent classification and preliminary review

[0034] Leveraging artificial intelligence and natural language processing technologies, uploaded audit documents are intelligently categorized into financial, business, and compliance categories. Preliminary reviews are conducted based on pre-set rules and standards, checking for correct formatting and missing key information. If any issues are identified, the system automatically notifies the submitter, requesting additional information or corrections.

[0035] This is achieved by training a classification model using a mature artificial intelligence natural language processing framework, such as TensorFlow or PyTorch. A large number of annotated audit documents are collected as training data to train and optimize the model. During the initial review phase, scripts are developed to check formatting and extract key information, and the documents are inspected according to pre-set rules. If any issues are found, notifications are sent to the submitter via the system's push notification module.

[0036] 3. Task allocation and smart contract triggering

[0037] Audit tasks are intelligently assigned based on factors such as audit project requirements, auditor expertise, and workload. For example, a financial statement audit task can be assigned to an auditor with a financial background and relevant experience. A corresponding smart contract is generated for each task, clearly defining the task requirements, completion timeline, and deliverables. When a task begins, the smart contract automatically triggers, recording the task start time and related information.

[0038] The specific implementation method involves establishing an auditor information database to store information such as auditors' professional skills and workload. Based on the audit project requirements, a task allocation algorithm is developed, incorporating auditor information for intelligent allocation. Smart contract code is developed using a smart contract development platform, such as the Ethereum smart contract development environment. When a task is initiated, the system calls the smart contract's trigger function to record task-related information.

[0039] 4. Automated data extraction and analysis

[0040] For audit documents requiring data extraction and analysis (such as financial statements), RPA technology is used to automatically extract key data from the documents and import it into data analysis tools. The analysis tools then use machine learning algorithms to conduct in-depth analysis, such as detecting unusual transactions and analyzing trends. The analysis results are recorded in real time on the blockchain for subsequent review and traceability.

[0041] This is achieved by using RPA tools, such as UiPath or Blue Prism, to create a data extraction process. Data extraction rules and templates are developed for different audit file formats. The extracted data is then imported into data analysis tools, such as Python data analysis libraries (Pandas, NumPy, Scikit-learn, etc.). The analysis results are formatted according to blockchain data storage requirements and recorded on the blockchain.

[0042] 5. Audit collaboration and communication automation

[0043] Auditors can communicate in real time while performing their tasks through the system's built-in collaboration platform. The system automatically records communications and related decisions, linking them to audit tasks and documents. When auditors require assistance from other departments or personnel, the system automatically sends requests and tracks their progress.

[0044] This was achieved by developing a built-in collaboration platform based on instant messaging technology, enabling text, voice, and file transfer between auditors. A message logging module was implemented within the collaboration platform to automatically record communication content and decisions. A module for sending and tracking assistance requests was also developed. When auditors initiated requests, the system automatically sent the requests and provided real-time updates on the progress of the assistance requests.

[0045] 6.Automated audit report generation

[0046] Upon completion of an audit task, the system automatically generates an audit report based on the audit results and relevant evidence entered by the auditor. The report format and content conform to the standards and requirements of the auditing agency and can be customized for each audit project. The generated report is recorded on the blockchain to ensure authenticity and integrity.

[0047] This is achieved by designing a report generation template engine based on the audit agency's report template. The audit results and related evidence are filled in and formatted according to the template requirements to generate an audit report. The generated report is stored on the blockchain using the blockchain's file storage function.

[0048] 7. Approval and Archiving

[0049] Once the audit report is generated, it is automatically submitted to the reviewer. The reviewer can view all records and related documents of the audit process in the system for a comprehensive review. If approved, the report and related documents are automatically archived to the blockchain storage system for review and audit. If not, the system automatically returns the report to the reviewer for revision, and the revision process is also recorded and traceable.

[0050] This is achieved by setting up a dedicated review interface for reviewers, displaying all records and documents from the audit process. Reviewers use this interface to approve applications, and the results are recorded and updated on the blockchain. If approved, the system archives the report and related documents according to the blockchain storage system's rules. If not, the system returns the report to the reviewer and records the modification history.

[0051] While embodiments of the present invention have been shown and described, it will be appreciated by those skilled in the art that various changes, modifications, substitutions, and variations may be made to these embodiments without departing from the principles and spirit of the invention, and that the scope of the invention is defined by the appended claims and their equivalents.

Claims

1. A full-process automated audit document tracing and collaboration system based on blockchain and smart contracts, characterized by: It includes a file receiving and chain-up module, which has the following functions: setting up a file receiving function at the audit agency system entrance to support the reception of various common formats of audit files submitted by the audited units; the system automatically calls the hash operation algorithm library to perform hash operation on the uploaded file to generate a unique file fingerprint, and obtains the file metadata through the file parsing program; after encapsulating the file fingerprint and metadata according to the blockchain data format requirements, the blockchain node interface is used to send them to the blockchain network for storage, ensuring that the file has the characteristics of being tamper-proof and can be accurately traced from the time of receipt.

2. The blockchain-based and smart contract-based audit document full-process automated tracing and collaboration system according to claim 1 is characterized by: It includes an intelligent classification and preliminary review module with the following functions: using an artificial intelligence natural language processing framework to train a classification model based on a large number of annotated audit documents, it intelligently classifies uploaded audit documents into financial, business, and compliance categories; it also writes format checking and key information extraction program scripts to conduct preliminary reviews of documents based on preset rules to check whether the file format is correct and whether key information is missing; If any problems are found, the system message push module will automatically send a notification to the submitter requesting supplementation or correction.

3. The blockchain-based and smart contract-based audit document full-process automated tracing and collaboration system according to claim 2 is characterized by: It includes a task allocation and smart contract triggering module, which has the following functions: establishing an auditor information database to store information such as auditors' professional skills and workload; writing a task allocation algorithm based on audit project requirements, and intelligently allocating audit tasks based on auditor information, such as allocating financial statement audit tasks to auditors with a financial professional background and relevant experience; using the smart contract development platform to write smart contract code, generate a corresponding smart contract for each task, and clarify task requirements, completion time nodes, and delivery results; when a task starts, the system calls the trigger function of the smart contract to automatically record the task start time and related information.

4. The blockchain-based and smart contract-based audit document full-process automated tracing and collaboration system according to claim 3 is characterized by: It includes a data extraction and analysis automation module with the following functions: using RPA tools to develop corresponding data extraction rules and templates for audit documents of different formats, compiling data extraction processes, automatically extracting key data from audit documents that need data extraction and analysis, and importing them into data analysis tools; data analysis tools use machine learning algorithms to conduct in-depth analysis of extracted data; analysis results are formatted according to blockchain data storage requirements and recorded on the blockchain for subsequent review and traceability.

5. The blockchain-based and smart contract-based audit document full-process automated tracing and collaboration system according to claim 4 is characterized by: It includes an audit collaboration and communication automation module, which has the following functions: developing a built-in collaboration platform based on instant messaging technology to realize text, voice and file transmission functions among auditors; setting up a message recording module in the collaboration platform to automatically record communication content and decisions, and associate them with audit tasks and files; developing an assistance request sending and tracking module. When auditors need assistance from other departments or personnel, the system automatically sends a request and updates the processing progress in real time.

6. A method for the full-process automated tracing and collaboration system for audit documents based on blockchain and smart contracts according to claim 5, characterized in that: The following steps are involved: Set up a file receiving function at the audit institution system entrance to receive various common audit documents submitted by the audited units; The system automatically calls the hash algorithm library to perform hash operations on the uploaded files and generate a unique file fingerprint; Obtain file metadata through a file parsing program, the metadata including file name, file type, submission time, and submission unit; Encapsulate file fingerprints and metadata according to blockchain data format requirements; The encapsulated data is sent to the blockchain network for storage using the blockchain node interface, ensuring that the file is tamper-proof and accurately traceable from the moment it is received.

7. A method according to claim 6, characterized in that: The process involves the following steps: using an AI natural language processing framework to train a classification model based on a large number of annotated audit documents; using the trained classification model to intelligently classify uploaded audit documents into financial, business, and compliance categories; writing scripts for formatting checks and key information extraction, and conducting a preliminary review of the documents based on pre-set rules to check whether the format is correct and whether key information is missing; If any problems are found, a notification will be automatically sent to the submitter through the system message push module, requesting supplementation or correction.

8. A method according to claim 7, characterized in that: The process involves the following steps: establishing an auditor information database to store auditors' professional skills and workload information; developing a task allocation algorithm based on audit project requirements, combining auditor information to intelligently allocate audit tasks, such as assigning financial statement audit tasks to auditors with a financial background and relevant experience; and utilizing a smart contract development platform to develop smart contract code, generating a corresponding smart contract for each task, clearly defining task requirements, completion timelines, and deliverables. When a task is started, the system calls the trigger function of the smart contract to record the task start time and related information.

9. A method according to claim 8, characterized in that: The process involves the following steps: using RPA tools to develop corresponding data extraction rules and templates for audit documents in different formats and write data extraction processes; using the data extraction processes to automatically extract key data from audit documents that require data extraction and analysis; The extracted data is imported into a data analysis tool, such as a Python data analysis library. The data analysis tool uses machine learning algorithms to conduct in-depth analysis of the extracted data. The analysis results are formatted according to the blockchain data storage requirements and recorded on the blockchain for subsequent review and traceability.

10. A method according to claim 9, characterized in that: The project involved the following steps: developing a built-in collaboration platform based on instant messaging technology to enable text, voice, and file transfer between auditors; setting up a message logging module within the collaboration platform to automatically record communication content and decisions, and link them to audit tasks and files; and developing an assistance request sending and tracking module to automatically send requests when auditors need assistance from other departments or personnel. The progress of assistance requests is updated in real time, allowing auditors to understand the status of assistance in a timely manner.

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