|
| 1 | += Conative Gating |
| 2 | +Jonathan D.A. Jewell <jonathan@hyperpolymath.org> |
| 3 | +:toc: macro |
| 4 | +:toc-title: Contents |
| 5 | +:toclevels: 3 |
| 6 | +:sectnums: |
| 7 | +:icons: font |
| 8 | +:source-highlighter: rouge |
| 9 | +:experimental: |
| 10 | +:repo: https://github.com/hyperpolymath/conative-gating |
1 | 11 |
|
| 12 | +SLM-as-Cerebellum for LLM Policy Enforcement |
| 13 | + |
| 14 | +[.lead] |
| 15 | +A biologically-inspired system where a Small Language Model acts as an *inhibitory antagonist* to Large Language Models, preventing policy violations through mechanisms analogous to the basal ganglia's GO/NO-GO decision system. |
| 16 | + |
| 17 | +toc::[] |
| 18 | + |
| 19 | +== The Problem |
| 20 | + |
| 21 | +LLMs are trained to be helpful, which makes them systematically violate explicit project constraints. When given rules like "NEVER use TypeScript, use ReScript", LLMs: |
| 22 | + |
| 23 | +1. Read and acknowledge the constraint |
| 24 | +2. Generate compliant-sounding justification |
| 25 | +3. Violate the constraint anyway |
| 26 | + |
| 27 | +This happens because: |
| 28 | + |
| 29 | +* Common languages (TypeScript, Python) dominate training data |
| 30 | +* The "helpfulness drive" overrides explicit instructions |
| 31 | +* LLMs lack true "loss aversion" for policy violations |
| 32 | + |
| 33 | +Documentation-based enforcement fails because LLMs "engage with" documentation rather than *obey* it. |
| 34 | + |
| 35 | +== The Solution |
| 36 | + |
| 37 | +Conative Gating introduces a second model trained with *inverted incentives*: |
| 38 | + |
| 39 | +[cols="1,1,1"] |
| 40 | +|=== |
| 41 | +| Component | Role | Analogy |
| 42 | + |
| 43 | +| *LLM* |
| 44 | +| Task execution (helpful, creative) |
| 45 | +| Frontal cortex / Direct pathway ("GO") |
| 46 | + |
| 47 | +| *SLM* |
| 48 | +| Policy enforcement (adversarial, suspicious) |
| 49 | +| Cerebellum / Indirect pathway ("NO-GO") |
| 50 | + |
| 51 | +| *Policy Oracle* |
| 52 | +| Deterministic rule checking |
| 53 | +| Reflex arc (fast, no ML) |
| 54 | + |
| 55 | +| *Consensus Arbiter* |
| 56 | +| Weighted decision making |
| 57 | +| Thalamus (integration) |
| 58 | +|=== |
| 59 | + |
| 60 | +=== Key Innovation |
| 61 | + |
| 62 | +Using *consensus protocols with asymmetric weighting* - the SLM's votes count 1.5x the LLM's, creating a natural bias toward inhibition that counters the LLM's tendency toward helpfulness. |
| 63 | + |
| 64 | +== Architecture |
| 65 | + |
| 66 | +---- |
| 67 | + USER REQUEST |
| 68 | + | |
| 69 | + v |
| 70 | + +------------------------+ |
| 71 | + | CONTEXT ASSEMBLY | |
| 72 | + +------------------------+ |
| 73 | + | |
| 74 | + +--------------+--------------+ |
| 75 | + | | |
| 76 | + v v |
| 77 | + +-------------+ +---------------+ |
| 78 | + | LLM | | SLM | |
| 79 | + | (Proposer) | | (Adversarial) | |
| 80 | + +------+------+ +-------+-------+ |
| 81 | + | | |
| 82 | + +-------------+---------------+ |
| 83 | + | |
| 84 | + v |
| 85 | + +------------------------+ |
| 86 | + | CONSENSUS ARBITER | |
| 87 | + | (Modified PBFT) | |
| 88 | + | SLM weight: 1.5x | |
| 89 | + +------------------------+ |
| 90 | + | |
| 91 | + +-------------+-------------+ |
| 92 | + | | | |
| 93 | + v v v |
| 94 | + +-------+ +--------+ +-------+ |
| 95 | + | ALLOW | |ESCALATE| | BLOCK | |
| 96 | + +-------+ +--------+ +-------+ |
| 97 | +---- |
| 98 | + |
| 99 | +=== Three-Tier Evaluation |
| 100 | + |
| 101 | +[horizontal] |
| 102 | +Policy Oracle (Rust):: Deterministic rule checking - forbidden languages, toolchain rules, security patterns. Fast, no ML needed. |
| 103 | + |
| 104 | +SLM Evaluator (Rust + llama.cpp):: Detects "spirit violations" - technically compliant but violates intent. Catches verbosity, meta-commentary bloat. |
| 105 | + |
| 106 | +Consensus Arbiter (Elixir/OTP):: Modified PBFT with asymmetric weighting. Three outcomes: ALLOW, ESCALATE, BLOCK. |
| 107 | + |
| 108 | +== Installation |
| 109 | + |
| 110 | +=== From Source |
| 111 | + |
| 112 | +[source,bash] |
| 113 | +---- |
| 114 | +git clone https://github.com/hyperpolymath/conative-gating |
| 115 | +cd conative-gating |
| 116 | +cargo build --release |
| 117 | +---- |
| 118 | + |
| 119 | +=== Usage |
| 120 | + |
| 121 | +[source,bash] |
| 122 | +---- |
| 123 | +# Scan a directory for policy violations |
| 124 | +conative scan ./my-project |
| 125 | +
|
| 126 | +# Check a single file |
| 127 | +conative check --file src/main.ts |
| 128 | +
|
| 129 | +# Check inline content |
| 130 | +conative check --content "const x: string = 'hello'" |
| 131 | +
|
| 132 | +# Show current policy |
| 133 | +conative policy |
| 134 | +
|
| 135 | +# Initialize local configuration |
| 136 | +conative init |
| 137 | +
|
| 138 | +# JSON output for automation |
| 139 | +conative scan . --format json |
| 140 | +---- |
| 141 | + |
| 142 | +=== Exit Codes |
| 143 | + |
| 144 | +[cols="1,3"] |
| 145 | +|=== |
| 146 | +| Code | Meaning |
| 147 | + |
| 148 | +| 0 | Compliant - all checks passed |
| 149 | +| 1 | Hard violation detected (blocked) |
| 150 | +| 2 | Soft concern detected (warning) |
| 151 | +| 3 | Error during execution |
| 152 | +|=== |
| 153 | + |
| 154 | +== Default Policy (RSR) |
| 155 | + |
| 156 | +The default policy implements the Rhodium Standard Repository (RSR) language hierarchy: |
| 157 | + |
| 158 | +=== Tier 1 - Preferred |
| 159 | + |
| 160 | +* Rust, Elixir, Zig, Ada, Haskell, ReScript |
| 161 | + |
| 162 | +=== Tier 2 - Acceptable (generates warnings) |
| 163 | + |
| 164 | +* Nickel, Racket |
| 165 | + |
| 166 | +=== Forbidden |
| 167 | + |
| 168 | +* TypeScript, Python*, Go, Java |
| 169 | + |
| 170 | +[NOTE] |
| 171 | +==== |
| 172 | +*Python exception: Allowed in `salt/` directories for SaltStack and `training/` for ML training scripts. |
| 173 | +==== |
| 174 | + |
| 175 | +=== Toolchain Rules |
| 176 | + |
| 177 | +* `npm` requires `deno.json` (no npm without Deno) |
| 178 | + |
| 179 | +=== Security Patterns |
| 180 | + |
| 181 | +* Detects hardcoded secrets (passwords, API keys) |
| 182 | + |
| 183 | +== Configuration |
| 184 | + |
| 185 | +Initialize local configuration: |
| 186 | + |
| 187 | +[source,bash] |
| 188 | +---- |
| 189 | +conative init |
| 190 | +---- |
| 191 | + |
| 192 | +This creates `.conative/policy.ncl` using Nickel for type-safe configuration: |
| 193 | + |
| 194 | +[source,nickel] |
| 195 | +---- |
| 196 | +{ |
| 197 | + name = "My Project Policy", |
| 198 | + languages = { |
| 199 | + tier1 = [...], |
| 200 | + forbidden = [...], |
| 201 | + exceptions = [ |
| 202 | + { language = "python", allowed_paths = ["scripts/"], reason = "Build scripts" } |
| 203 | + ] |
| 204 | + }, |
| 205 | + enforcement = { |
| 206 | + slm_weight = 1.5, |
| 207 | + escalate_threshold = 0.4, |
| 208 | + block_threshold = 0.7, |
| 209 | + } |
| 210 | +} |
| 211 | +---- |
| 212 | + |
| 213 | +== Decision Matrix |
| 214 | + |
| 215 | +[cols="1,1,1"] |
| 216 | +|=== |
| 217 | +| LLM Confidence | SLM Violation Score | Result |
| 218 | + |
| 219 | +| High (>0.8) | Low (<0.3) | *ALLOW* |
| 220 | +| High (>0.8) | Med (0.3-0.6) | ESCALATE |
| 221 | +| High (>0.8) | High (>0.6) | *BLOCK* |
| 222 | +| Med (0.5-0.8) | Any >0.4 | ESCALATE |
| 223 | +| Low (<0.5) | Any | ESCALATE |
| 224 | +|=== |
| 225 | + |
| 226 | +== Project Structure |
| 227 | + |
| 228 | +---- |
| 229 | +conative-gating/ |
| 230 | + src/ |
| 231 | + main.rs # CLI application |
| 232 | + oracle/ # Policy Oracle crate (Rust) |
| 233 | + slm/ # SLM Evaluator crate (Rust) |
| 234 | + config/ |
| 235 | + policy.ncl # Default policy (Nickel) |
| 236 | + schema.ncl # Policy schema |
| 237 | + training/ |
| 238 | + compliant/ # Examples that should pass |
| 239 | + violations/ # Examples that should fail |
| 240 | + edge_cases/ # Spirit violations for SLM |
| 241 | + docs/ |
| 242 | + ARCHITECTURE.md # Full design specification |
| 243 | + *.adoc # Integration documentation |
| 244 | +---- |
| 245 | + |
| 246 | +== Integration |
| 247 | + |
| 248 | +=== Claude Code Hook |
| 249 | + |
| 250 | +[source,json] |
| 251 | +---- |
| 252 | +{ |
| 253 | + "hooks": { |
| 254 | + "pre-commit": "conative scan --strict" |
| 255 | + } |
| 256 | +} |
| 257 | +---- |
| 258 | + |
| 259 | +=== Pre-commit Hook |
| 260 | + |
| 261 | +[source,yaml] |
| 262 | +---- |
| 263 | +repos: |
| 264 | + - repo: local |
| 265 | + hooks: |
| 266 | + - id: conative-gating |
| 267 | + name: Conative Policy Check |
| 268 | + entry: conative scan |
| 269 | + language: system |
| 270 | + pass_filenames: false |
| 271 | +---- |
| 272 | + |
| 273 | +=== Programmatic Validation |
| 274 | + |
| 275 | +[source,bash] |
| 276 | +---- |
| 277 | +# Validate structured proposals |
| 278 | +conative validate proposal.json --strict |
| 279 | +---- |
| 280 | + |
| 281 | +Proposal format: |
| 282 | + |
| 283 | +[source,json] |
| 284 | +---- |
| 285 | +{ |
| 286 | + "id": "uuid", |
| 287 | + "action_type": {"CreateFile": {"path": "src/util.rs"}}, |
| 288 | + "content": "file contents here", |
| 289 | + "files_affected": ["src/util.rs"], |
| 290 | + "llm_confidence": 0.95 |
| 291 | +} |
| 292 | +---- |
| 293 | + |
| 294 | +== Related Projects |
| 295 | + |
| 296 | +* *NeuroPhone* - Neurosymbolic phone AI (integrates Conative Gating) |
| 297 | +* *ECHIDNA* - Multi-prover orchestration (SLM as another "prover") |
| 298 | +* *RSR Framework* - Rhodium Standard Repository specifications |
| 299 | +* *Axiom.jl* - Provable Julia ML (future formal verification) |
| 300 | + |
| 301 | +== License |
| 302 | + |
| 303 | +SPDX-License-Identifier: AGPL-3.0-or-later |
| 304 | + |
| 305 | +Copyright (C) 2025 Jonathan D.A. Jewell |
| 306 | + |
| 307 | +== References |
| 308 | + |
| 309 | +* link:docs/ARCHITECTURE.md[Full Architecture Specification] |
| 310 | +* link:docs/MAAF_INTEGRATION.adoc[MAAF Integration] |
| 311 | +* link:docs/STATE_ECOSYSTEM_SCHEMA.adoc[STATE/ECOSYSTEM Schema] |
0 commit comments