arXiv:2509.23994cs.CLcs.AI2025-09中稿 · NeurIPS被引 9

把治理规则转成AI代理的实时安全护栏,确保合规可审计。

Policy-as-Prompt: Turning AI Governance Rules into Guardrails for AI Agents

  • 将需求文档等非结构化材料转化为可验证的运行时检查机制
  • 降低提示注入风险,阻止越界请求,减少有害输出
  • 适合需要持续合规与安全审计的AI系统部署场景

随着自主AI代理在受监管和高安全性场景中的应用,组织亟需将政策转化为可执行的控制手段。本文提出一种监管机器学习框架,将非结构化的设计文档(如PRD、TDD、代码)转化为可验证的运行时护栏。Policy as Prompt方法读取这些文档与风险控制策略,构建带来源追溯的政策树,并将其编译为轻量级的基于提示的分类器,用于实时监控。系统遵循最小权限与数据最小化原则。合规评估时提供完整的溯源性、可追溯性和审计日志,集成人工审核流程。评估表明,该系统能有效降低提示注入风险,拦截越界请求,限制有毒输出,并生成与主流AI治理框架对齐的可审计理由。通过将政策视为可执行提示(面向代理的政策即代码),实现安全优先部署、持续合规与可扩展的AI安全与安全保障。

原文摘要 · Abstract (English)

As autonomous AI agents are used in regulated and safety-critical settings, organizations need effective ways to turn policy into enforceable controls. We introduce a regulatory machine learning framework that converts unstructured design artifacts (like PRDs, TDDs, and code) into verifiable runtime guardrails. Our Policy as Prompt method reads these documents and risk controls to build a source-linked policy tree. This tree is then compiled into lightweight, prompt-based classifiers for real-time runtime monitoring. The system is built to enforce least privilege and data minimization. For conformity assessment, it provides complete provenance, traceability, and audit logging, all integrated with a human-in-the-loop review process. Evaluations show our system reduces prompt-injection risk, blocks out-of-scope requests, and limits toxic outputs. It also generates auditable rationales aligned with AI governance frameworks. By treating policies as executable prompts (a policy-as-code for agents), this approach enables secure-by-design deployment, continuous compliance, and scalable AI safety and AI security assurance for regulatable ML.

AI治理安全护栏合规审计

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