◎ OS PUB Apache 2.0 ← All specifications

P238 — AIEP — Governance-Constrained Workflow Synthesis Engine

Applicant: Neil Grassby Classification: Patent Application — Confidential Priority: Claims priority from GB2519711.2 filed 20 November 2025 Architecture Layer: AIEP Phase 2 Support Layer

Framework Context

[0001] This specification operates within an AIEP environment as defined in GB2519711.2 and GB2519798.9. The present specification defines a workflow synthesis mechanism that generates executable workflows subject to governance policy constraints from the outset, ensuring all synthesised workflows are policy-compliant before execution.

Field of the Invention

[0002] The present invention relates to governance-constrained workflow synthesis for evidence-bound AI action planning and execution systems.

Background

[0003] The Tool Synthesis and Workflow Construction Engine (P211) generates workflows for goal pursuit. These workflows may contain action sequences that could violate governance constraints if not checked during synthesis. Governance checking as a post-synthesis step allows the system to invest significant planning effort in workflows that would ultimately be rejected. A constraint-first synthesis approach builds governance compliance into the workflow generation process.

Summary of the Invention

[0004] The invention provides a Governance-Constrained Workflow Synthesis Engine (GCWSE) that integrates governance policy evaluation into the workflow synthesis loop: candidate workflow steps are evaluated against governance policy (P215/P228) before being committed to the workflow graph; actions violating policy constraints are excluded from the candidate pool at the planning stage; the synthesis engine tracks a running governance compliance record for each partial workflow; and completed workflows carry compliance certificates attesting to governance verification of all constituent steps.

ASCII Architecture

Goal Specification (P210)
         |
         v
+----------------------------------------------+
| Governance-Constrained Workflow Synthesis    |
|   Engine (GCWSE)                             |
|                                              |
|  Candidate action generation                |
|         |                                   |
|         v Policy check (P215/P228)          |
|  Policy PASS → Add to workflow graph        |
|  Policy FAIL → Exclude from candidate pool  |
|                                             |
|  Running compliance record maintained       |
|  Completed workflow → Compliance Certificate|
+----------------------+-----------------------+
                       |
                       v
   Workflow + Compliance Certificate
   → Action Execution Layer (P206)

Detailed Description

[0005] Candidate Action Pool. For each workflow step, the GCWSE constructs a pool of candidate actions consistent with the current world state and goal progress. Each candidate is submitted to the governance evaluation module before being added to the candidate pool.

[0006] Pre-Commitment Policy Evaluation. Governance evaluation assesses each candidate action against: action type restrictions in the active governance policy (P228 GPL schema); parameter bounds applicable to the action type; resource consumption constraints; and cumulative action sequence constraints (some action sequences are prohibited even if each individual action is permitted).

[0007] Running Compliance Record. As the workflow is synthesised step by step, the GCWSE maintains a running compliance record: a structured log of governance evaluations applied and their outcomes. This record is embedded in the workflow artefact.

[0008] Compliance Certificate. Upon synthesis completion, a compliance certificate is generated citing: the governance policy hash used during synthesis; the action count; the compliance record hash; and a system signature. The certificate accompanies the workflow to the Action Execution Engine (P206), which verifies it before execution.

Technical Effect

[0009] The invention provides governance enforcement at workflow synthesis time rather than only at execution time, ensuring that policy-violating actions are excluded from workflow candidates before they are assembled into execution plans. By maintaining a running compliance record throughout synthesis and embedding it in the completed workflow artefact, the engine provides a per-step audit trail of governance decisions. By issuing a compliance certificate verified by the Action Execution Engine before dispatch, the engine creates a two-point governance chain spanning both synthesis and execution.

Claims

A computer-implemented method for governance-constrained workflow synthesis, the method comprising: (a) evaluating each candidate action before inclusion in a workflow against: action type restrictions in the active governance policy, parameter bounds, resource consumption constraints, and cumulative sequence constraints; (b) excluding candidate actions failing any governance evaluation from the workflow candidate pool at the planning stage; (c) maintaining a running compliance record through workflow synthesis comprising governance evaluation outcomes per action candidate; (d) completing synthesis and generating a compliance certificate citing: the governance policy hash used, the action count, the compliance record hash, and a system signature; and (e) attaching the compliance certificate to the completed workflow for verification by the Action Execution Engine before dispatch.
The method of claim 1, wherein cumulative sequence constraint evaluation treats the full action sequence as a unit, prohibiting certain combinations of actions that are individually permitted but jointly constrained.
The method of claim 1, wherein the compliance record is embedded in the workflow artefact admitted to the evidence ledger, providing per-step synthesis governance audit coverage.
The method of claim 1, wherein the Action Execution Engine verifies the compliance certificate before executing each workflow, refusing execution of workflows with missing, expired, or policy-hash-mismatched certificates.
The method of claim 1, wherein synthesis failures caused by policy constraints return a structured synthesis rejection record to the Tool Synthesis Engine identifying the constrained action sequence.
A Governance-Constrained Workflow Synthesis Engine comprising: one or more processors; memory storing a compliance record builder, compliance certificate store, and governance policy evaluator; wherein the processors are configured to execute the method of claim 1.
A non-transitory computer-readable medium storing instructions that, when executed by a processor, implement the method of claim 1.

Abstract

A governance-constrained workflow synthesis engine for evidence-bound artificial intelligence evaluates candidate actions against governance policy before assembling them into execution plans, maintaining a running compliance record throughout synthesis and issuing a compliance certificate embedded in the completed workflow. The Action Execution Engine verifies the certificate before dispatch, creating a two-point governance chain spanning synthesis and execution. Cumulative sequence constraints are evaluated over the full proposed action sequence, not only individual actions.