监管机构参与业务审核流程的国际贸易物流区块链共识算法研究

doi:10.16381/j.cnki.issn1003-207x.2021.2367

Abstract

Abstract:

Aiming at the trust problem in the international trade logistics， the blockchain technology is used to build the underlying architecture of the international trade logistics to achieve the disintermediated trust. However， the present researches about the application of blockchain technology don’t consider the participation of regulators， and it does not conform to the business rules of international trade logistics. The business entities of the international trade logistics correspond to the blockchain nodes when the blockchain technology is applied to the international trade logistics. The illegal information can’t avoid to be published if all the business entities write to and read data by themselves. Given consensus algorithm plays a decisive role in building trust， the blockchain consensus is studied considering the regulators participating in the business audit process.The blockchain consensus process and rule are elaborated on considering the participation of regulators. Based on the above， node reputation which is a combination of consensus performance and business performance is introduced to be as a basis for consensus node selection. Secondly， Stackelberg game method is used to build blockchain consensus incentive model. While the change of profit of block manager and consensus nodes in the different situations of considering the participation of regulators or not is analyzed. Lastly， the research results show that the model effective condition of supervision and node reputation. The specific contents of this paper are as follows：Firstly， there are many stakeholders involved in the international trade logistics. According to the effect and correlation of these stakeholders on the business， the business stakeholders are divided into three groups—relevant stakeholders， indirect stakeholders and regulator. In the blockchain application environment， the above-mentioned three groups correspond to the nodes of user nodes， consensus nodes and the regulation nodes. Meanwhile， the identity and function of the business stakeholders are illustrated during the blockchain consensus process.Secondly， the consensus process and rule are elaborated on considering the participation of regulators. Specifically， the consensus rules include the audit content rule， the dynamic change rule for the number of consensus node and the dynamic selection rule of the consensus node. And the consensus process contains publishing trade information， trade review， determining consensus participation nodes， trade consensus validation， gaining consensus， block generated and trade data saved to the blockchain. Based on the above， node reputation is introduced to be as a basis for consensus nodes selection. The calculation of the node reputation considers four aspects： historical and recent consensus performance of the node， history smart contract performance of the node the cumulative freight volume of the node and the participation of the node for illegal trade. Elaborate here， the top-ranking node among the final consensus nodes is the block manager while the others are the consensus nodes.Lastly， Stackelberg game method is used to build blockchain consensus incentive model， and the change of profit of block manager and consensus nodes is analyzed in the different situations of considering the participation of regulators or not. Specifically， the block manager is the leader who deciding the price of the consensus resource and the consensus nodes are the followers who decide the consensus resource input. And the model effective condition of supervision and node reputation is summarized.It can extend the blockchain consensus from technology to participant in this paper. And it provides a reference for considering the role and function positioning of regulatory in blockchain， and it has enlightening function in the realization of regulation-friendly blockchain system.

Key words: international trade logistics, blockchain technology, consensus algorithm, regulators, digital economy

CLC Number:

F746

Dengfeng Li, Xiaoli Du. Study on Blockchain Consensus Algorithm of International Trade Logistics under Business Audit Process with the Participation of Regulators[J]. Chinese Journal of Management Science, 2025, 33(3): 128-138.

Figures/Tables 5

参数	声誉值条件	$π i *$	$π m *$	参数	声誉值条件	$π i * *$	$π m * *$
$k$	$s i < 200$	$↗$	$↗$	$k$	$s i < 130$	$↗$	$↗$
$k$	$s i > 2000$	$↙$	$↙$	$k$	$s i > 1330$	$↙$	$↙$
$s i$	$s i < 200$	$↙$	$↙$	$s i$	$s i < 130$	$↙$	$↙$
$s i$	$s i > 2000$	$↗$	$↗$	$s i$	$s i > 1330$	$↗$	$↗$

参数	声誉值条件	$π i *$	$π m *$	参数	声誉值条件	$π i * *$	$π m * *$
$R$	$s i < 40$	$↙$	$↙$	$R$	$s i < 38$	$↙$	$↙$
$R$	$s i > 4000$	$↗$	$↗$	$R$	$s i > 3833$	$↗$	$↗$
$s i$	$s i < 40$	$↙$	$↙$	$s i$	$s i < 38$	$↙$	$↙$
$s i$	$s i > 4000$	$↗$	$↗$	$s i$	$s i > 3833$	$↗$	$↗$

参数	声誉值条件	$π i * *$	$π m * *$	参数	声誉值条件	$π i * *$	$π m * *$
$ρ$	$s i < 366$	$↙$	$↙$	$θ$	$s i < 275$	$↙$	$↙$
$ρ$	$s i > 400$	$↙$	$↙$	$θ$	$s i > 600$	$↙$	$↙$
$s i$	$s i < 366$	$↙$	$↙$	$s i$	$s i < 275$	$↙$	$↙$
$s i$	$s i > 400$	$↗$	$↗$	$s i$	$s i > 600$	$↗$	$↗$

参数设置	$q = 2$ ， $ρ = 0.5$ ， $k ∈ [1,10]$
监管参与有效条件	① $s i > 1100$ 且 $4 / 7 < θ < 1$
监管参与有效条件	② $s i < 200$ 且 $0 < θ < 4 / 41$
参数设置	$q = 2$ ， $k = 2$ ， $ρ ∈ [0,1]$
监管参与有效条件	① $s i < 400$ 且 $0 < θ < 2 / 5$
监管参与有效条件	② $s i > 400$ 且 $2 / 5 < θ < 1$
参数设置	$k = 2$ ， $ρ = 0.5$ ， $R ∈ [1,100]$
监管参与有效条件	① $s i > 3000$ 且 $4 / 11 < θ < 1$
监管参与有效条件	② $s i < 40$ 且 $0 < θ < 4 / 9$

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节点类型	对应实体	在区块链共识中的作用	利益相关者类型
用户节点	收发货人、货代公司、船公司等	负责发布交易	直接利益相关者
固定共识节点	区块链系统的节点服务商	对交易信息进行确认和一致性同步，并根据执行共识后的交易结果更新账本	间接利益相关者
动态共识节点	具有作为共识节点资质且愿意参与本次共识验证的候选共识节点中确定的最终共识参与节点	对交易信息进行确认和一致性同步，并根据执行共识后的交易结果更新账本	间接利益相关者
固定监管节点	国际贸易物流相关的政府机构或行业自律组织	负责对业务参与者、业务本身、业务涉及对象的审核、监管	间接利益相关者
动态监管节点	实际业务达成时，生成的单证属于其办理业务所必需的单证所涉及的监管主体	负责对业务参与者、业务本身、业务涉及对象的审核、监管	间接利益相关者

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Study on Blockchain Consensus Algorithm of International Trade Logistics under Business Audit Process with the Participation of Regulators

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