We argue that trustworthy AI agents, especially in high-stakes and policy-governed domains, should make execution conditional on certified traces rather than rely only on stronger generative models, output-level guardrails, or post-hoc audits. A generative agent may propose recommendations, tool calls, reports, or actions, but generation is not permission: an action may be computable yet impermissible, and individually permissible actions may compose into an impermissible trace. We formalize trustworthy agency through a \textbf{Proposal--Certification--Execution (PCE)} architecture: a probabilistic generating machine $M_G$ proposes candidate execution traces, a \textbf{Permissibility Machine} $M_Π$ certifies proposed traces under a policy system $Π$, and execution proceeds only for certified traces. The executable trace language is $L_{\mathrm{exec}} = L_G \cap L_{\mathrm{cert}}(M_Π)$. Before execution, a trace is a structured pre-execution record submitted for certification: it specifies intended steps, evidence, proposed tool calls, approvals, replayable computations, credentials, and execution conditions. This perspective complements chain-of-thought monitorability: visible reasoning may help detect misbehavior, but monitorability is not certifiability, and reasoning is only one component of a broader execution trace. The formal principle is simple: an agent-generated trace should execute only when it carries a checkable certificate witnessing permissibility under $Π$: \textbf{no certificate, no execution}. We develop certified traces and Permissibility Machines as foundations for trustworthy AI agents, connect trace certification to proof-carrying execution, proof memory, privacy, and zero-knowledge certificates, and propose evaluating agents by what generated traces can be safely certified for execution, not by output accuracy alone.
翻译:我们认为,在高风险和政策治理的领域,可信AI智能体应当将执行行为建立在经认证的轨迹之上,而非仅仅依赖更强的生成模型、输出级护栏或事后审计。生成式智能体可以提出建议、工具调用、报告或行动,但生成不等于授权:某个行动可能在计算上可行但却不被允许,而且单独允许的行动组合起来可能形成不被允许的轨迹。我们通过**提案-认证-执行(PCE)**架构形式化可信智能体的概念:一个概率生成机器$M_G$提出候选执行轨迹,一个**许可性机器**$M_Π$在策略系统$Π$下对提案轨迹进行认证,只有经认证的轨迹才能进入执行环节。可执行的轨迹语言为$L_{\mathrm{exec}} = L_G \cap L_{\mathrm{cert}}(M_Π)$。在执行之前,轨迹是提交认证的结构化执行前记录:它指明预期的步骤、证据、拟用工具调用、审批、可复现的计算、凭证和执行条件。这一视角补充了思维链的可监控性:可见的推理有助于检测不当行为,但可监控性不等于可认证性,而推理只是更广泛执行轨迹中的一个组成部分。其形式化原则简单明了:只有当智能体生成的轨迹携带可核查的证书,证明其在$Π$下的许可性时,该轨迹才应被执行:**无证书,不执行**。我们将认证轨迹与许可性机器作为可信AI智能体的基础,将轨迹认证与可证明执行、证明记忆、隐私和零知识证书联系起来,并建议通过生成的轨迹中有多少能被安全地认证执行来评估智能体,而非仅依据输出准确性。