用生成式AI构建可审计的合规论证图,确保每步推理都有证据支撑。
Compliance-by-Construction Argument Graphs: Using Generative AI to Produce Evidence-Linked Formal Arguments for Certification-Grade Accountability
- 将生成式AI与结构化论证图结合,每步输出需有证据支持
- 通过验证规则防止无依据结论进入决策记录,提升可信度
- 适合安全关键系统认证、监管合规等高要求场景
高风险决策系统日益需要结构化论证、可追溯性和可审计性以保障责任归属和合规性。形式化论证常用于安全关键系统的认证,能以可验证方式组织主张、推理与证据。与此同时,生成式人工智能越来越多地融入决策支持流程,协助撰写解释、总结证据并生成建议。然而,当前部署通常将语言模型作为无明确约束的助手,存在幻觉推理、无支持主张和弱可追溯性等风险。本文提出一种‘合规即构建’架构,将生成式AI(GenAI)与结构化形式化论证表示相结合。该方法将每一步AI辅助过程视为需由可验证证据支持的主张,并在成为正式决策记录前经过显式推理约束验证。架构包含四个组件:(i) 受保证案例方法启发的类型化论证图表示;(ii) 基于检索增强生成(RAG)的论证片段生成,确保基于权威证据;(iii) 推理与验证内核,强制执行完整性和可接受性约束;(iv) 与W3C PROV标准对齐的溯源账本,支持审计。我们提出了系统设计与基于可强制不变量的评估策略及实例分析。结果表明,确定性验证规则可有效阻止无支持主张进入决策记录,同时允许生成式AI加速论证构建。
原文摘要 · Abstract (English)
High-stakes decision systems increasingly require structured justification, traceability, and auditability to ensure accountability and regulatory compliance. Formal arguments commonly used in the certification of safety-critical systems provide a mechanism for structuring claims, reasoning, and evidence in a verifiable manner. At the same time, generative artificial intelligence systems are increasingly integrated into decision-support workflows, assisting with drafting explanations, summarizing evidence, and generating recommendations. However, current deployments often rely on language models as loosely constrained assistants, which introduces risks such as hallucinated reasoning, unsupported claims, and weak traceability. This paper proposes a compliance-by-construction architecture that integrates Generative AI (GenAI) with structured formal argument representations. The approach treats each AI-assisted step as a claim that must be supported by verifiable evidence and validated against explicit reasoning constraints before it becomes part of an official decision record. The architecture combines four components: i) a typed Argument Graph representation inspired by assurance-case methods, ii) retrieval-augmented generation (RAG) to draft argument fragments grounded in authoritative evidence, iii) a reasoning and validation kernel enforcing completeness and admissibility constraints, and iv) a provenance ledger aligned with the W3C PROV standard to support auditability. We present a system design and an evaluation strategy based on enforceable invariants and worked examples. The analysis suggests that deterministic validation rules can prevent unsupported claims from entering the decision record while allowing GenAI to accelerate argument construction.
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