在不损失计算能力的前提下,实现对AI工作流的透明治理。
Effect-Transparent Governance for AI Workflow Architectures: Semantic Preservation, Expressive Minimality, and Decidability Boundaries
- 用交互树形式化架构,通过治理算子统一管控所有外部操作。
- 证明了治理后仍保持图灵完备和逻辑推理能力,且存在可判定边界。
- 适合关注AI安全与可解释性的研究人员及系统设计者。
我们提出了一个机器可验证的形式化框架,用于结构化治理AI工作流架构,并证明在不降低内部计算表达能力的前提下,可以实现效果层面的治理。基于Rocq 8.19中的交互树,我们定义了一个治理算子G,用于中介所有有副作用的操作,包括内存访问、外部调用和大模型(LLM)查询。整个开发无假设公理,包含36个模块、约12,000行Rocq代码和454个定理。我们建立了七个性质:(P1) 治理后的图灵完备性,(P2) 治理下预言机表达能力,(P3) 可判定边界:治理谓词为全函数且在布尔运算下封闭,但程序语义属性仍非平凡且不可判定;(P4) 允许执行中目标保持不变;(P5) 原始能力(计算、内存、推理、外部调用、可观测性)具有表达最小性;(P6) 结构治理严格优于内容过滤的次序不对称性;(P7) 语义透明性:在治理允许的所有执行中,治理后的语义与未治理语义在观测上等价(仅差治理事件)。这些结果表明,治理与计算表达能力是正交维度:治理仅约束程序的作用边界,不影响内部语义透明性。
原文摘要 · Abstract (English)
We present a machine-checked formalization of structurally governed AI workflow architectures and prove that effect-level governance can be imposed without reducing internal computational expressivity. Using Interaction Trees in Rocq 8.19, we define a governance operator G that mediates all effectful directives, including memory access, external calls, and oracle (LLM) queries. Our development compiles with 0 admitted lemmas and consists of 36 modules, ~12,000 lines of Rocq, and 454 theorems. We establishseven properties: (P1) governed Turing completeness, (P2) governed oracle expressivity, (P3) a decidability boundary in which governance predicates are total and closed under Boolean composition while semantic program properties remain non-trivial and undecidable by governance, (P4) goal preservation for permitted executions, (P5) expressive minimality of primitive capabilities (compute, memory, reasoning, external call, observability), (P6) subsumption asymmetry showing structural governance strictly subsumes content-level filtering, and (P7) semantic transparency: on all executions where governance permits, the governed interpretation is observationally equivalent (modulo governance-only events) to the ungoverned interpretation. Together, these results show that governance and computational expressivity are orthogonal dimensions: governance constrains the effect boundary of programs while remaining semantically transparent to internal computation.
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