Agentic Design Pattern: Policy Based Control

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    """
Pattern 137: Policy-Based Control

Description:
    The Policy-Based Control pattern implements governance mechanisms that enforce
    organizational policies, regulatory requirements, and operational constraints on
    agent behavior. This pattern provides a framework for defining, validating, and
    enforcing policies that control what actions agents can take, what data they can
    access, and how they should behave in various contexts.

    Policy-based control is essential for production deployments where agents must
    operate within well-defined boundaries. It enables organizations to maintain
    compliance with regulations, enforce security policies, implement business rules,
    and ensure ethical AI behavior. The pattern supports both hard constraints (must
    be followed) and soft constraints (should be followed with exceptions).

    This implementation provides a comprehensive policy management system with rule
    definition, policy validation, violation detection, enforcement mechanisms, and
    policy composition. It supports multiple policy types including security policies,
    data policies, behavioral policies, and resource policies, with the ability to
    combine policies and handle conflicts.

Components:
    - Policy Definition: Structured rules with conditions and actions
    - Policy Validation: Checks if actions comply with policies
    - Violation Detection: Identifies policy breaches
    - Enforcement Mechanisms: Blocks, modifies, or logs violations
    - Policy Composition: Combines multiple policies
    - Conflict Resolution: Handles policy conflicts

Use Cases:
    - Regulatory compliance (GDPR, HIPAA, SOC2)
    - Security policy enforcement
    - Business rule implementation
    - Ethical AI constraints
    - Resource usage governance
    - Data access control
    - Content moderation
    - Operational safety

LangChain Implementation:
    This implementation uses:
    - ChatOpenAI for policy validation and interpretation
    - Custom policy engine for rule enforcement
    - Structured policy definitions with conditions and actions
    - LLM-based policy reasoning for complex scenarios
    - Policy composition and inheritance mechanisms
    - Violation tracking and audit logging

Benefits:
    - Ensures compliance with regulations and standards
    - Enforces organizational policies consistently
    - Provides audit trail for policy enforcement
    - Reduces risk of policy violations
    - Enables fine-grained control over agent behavior
    - Supports policy versioning and evolution
    - Facilitates policy management at scale

Trade-offs:
    - May restrict agent flexibility and autonomy
    - Can increase latency due to policy checks
    - Requires careful policy design to avoid conflicts
    - May need ongoing policy maintenance
    - Can create complexity in policy management
    - Requires balance between control and capability

Production Considerations:
    - Design clear, unambiguous policies
    - Implement efficient policy evaluation
    - Cache policy decisions when possible
    - Log all policy violations with context
    - Support policy testing and simulation
    - Implement policy versioning
    - Provide policy override mechanisms
    - Monitor policy effectiveness
    - Support policy composition
    - Handle policy conflicts gracefully
    - Implement emergency policy updates
    - Provide policy documentation
"""

import os
from typing import List, Dict, Any, Optional, Set, Tuple
from datetime import datetime
from enum import Enum
from dataclasses import dataclass, field
from dotenv import load_dotenv

from langchain_core.prompts import ChatPromptTemplate
from langchain_core.output_parsers import StrOutputParser
from langchain_openai import ChatOpenAI

load_dotenv()


class PolicyType(Enum):
    """Types of policies."""
    SECURITY = "security"
    DATA = "data"
    BEHAVIORAL = "behavioral"
    RESOURCE = "resource"
    COMPLIANCE = "compliance"
    ETHICAL = "ethical"
    OPERATIONAL = "operational"
    CONTENT = "content"


class PolicySeverity(Enum):
    """Severity levels for policy violations."""
    CRITICAL = "critical"
    HIGH = "high"
    MEDIUM = "medium"
    LOW = "low"
    INFO = "info"


class EnforcementAction(Enum):
    """Actions to take when policy is violated."""
    BLOCK = "block"
    MODIFY = "modify"
    LOG = "log"
    WARN = "warn"
    ESCALATE = "escalate"
    ALLOW = "allow"


@dataclass
class PolicyCondition:
    """Condition for policy rule."""
    field: str
    operator: str  # eq, ne, gt, lt, contains, matches, etc.
    value: Any
    
    def evaluate(self, context: Dict[str, Any]) -> bool:
        """Evaluate condition against context."""
        if self.field not in context:
            return False
        
        field_value = context[self.field]
        
        if self.operator == "eq":
            return field_value == self.value
        elif self.operator == "ne":
            return field_value != self.value
        elif self.operator == "gt":
            return field_value > self.value
        elif self.operator == "lt":
            return field_value = self.value
        elif self.operator == "lte":
            return field_value  None:
        """Add a policy to the system."""
        self.policies[policy.policy_id] = policy
        print(f"Added policy: {policy.name} (ID: {policy.policy_id})")
    
    def remove_policy(self, policy_id: str) -> None:
        """Remove a policy from the system."""
        if policy_id in self.policies:
            policy = self.policies.pop(policy_id)
            print(f"Removed policy: {policy.name}")
        else:
            print(f"Policy not found: {policy_id}")
    
    def enable_policy(self, policy_id: str) -> None:
        """Enable a policy."""
        if policy_id in self.policies:
            self.policies[policy_id].enabled = True
            print(f"Enabled policy: {self.policies[policy_id].name}")
    
    def disable_policy(self, policy_id: str) -> None:
        """Disable a policy."""
        if policy_id in self.policies:
            self.policies[policy_id].enabled = False
            print(f"Disabled policy: {self.policies[policy_id].name}")
    
    def validate_action(
        self,
        action: str,
        context: Dict[str, Any]
    ) -> Tuple[bool, List[PolicyViolation]]:
        """
        Validate an action against all applicable policies.
        
        Returns:
            Tuple of (is_valid, list of violations)
        """
        violations = []
        
        # Get applicable policies (enabled, sorted by priority)
        applicable_policies = sorted(
            [p for p in self.policies.values() if p.enabled],
            key=lambda p: p.priority,
            reverse=True
        )
        
        for policy in applicable_policies:
            # Check if policy conditions match
            if self._conditions_match(policy.conditions, context):
                # Use LLM for detailed validation
                violation = self._check_policy_violation(policy, action, context)
                if violation:
                    violations.append(violation)
                    self.violations.append(violation)
        
        is_valid = len(violations) == 0
        return is_valid, violations
    
    def _conditions_match(
        self,
        conditions: List[PolicyCondition],
        context: Dict[str, Any]
    ) -> bool:
        """Check if all conditions match the context."""
        if not conditions:
            return True  # No conditions means always applicable
        
        return all(condition.evaluate(context) for condition in conditions)
    
    def _check_policy_violation(
        self,
        policy: Policy,
        action: str,
        context: Dict[str, Any]
    ) -> Optional[PolicyViolation]:
        """Check if action violates policy using LLM."""
        try:
            result = self.validation_chain.invoke({
                "policy_name": policy.name,
                "policy_description": policy.description,
                "policy_type": policy.policy_type.value,
                "severity": policy.severity.value,
                "action": action,
                "context": str(context)
            })
            
            # Parse result
            lines = result.strip().split('\n')
            violates = False
            reason = ""
            risk_level = "medium"
            
            for line in lines:
                if line.startswith("VIOLATES:"):
                    violates = "yes" in line.lower()
                elif line.startswith("REASON:"):
                    reason = line.replace("REASON:", "").strip()
                elif line.startswith("RISK_LEVEL:"):
                    risk_level = line.replace("RISK_LEVEL:", "").strip()
            
            if violates:
                violation = PolicyViolation(
                    violation_id=f"violation_{datetime.now().timestamp()}",
                    policy_id=policy.policy_id,
                    policy_name=policy.name,
                    severity=policy.severity,
                    action=action,
                    context=context,
                    enforcement_action=policy.enforcement_action
                )
                return violation
            
            return None
            
        except Exception as e:
            print(f"Error checking policy violation: {e}")
            return None
    
    def enforce_policies(
        self,
        action: str,
        context: Dict[str, Any]
    ) -> Dict[str, Any]:
        """
        Enforce policies on an action.
        
        Returns:
            Dictionary with enforcement result
        """
        is_valid, violations = self.validate_action(action, context)
        
        if is_valid:
            return {
                "allowed": True,
                "action": action,
                "violations": [],
                "message": "Action complies with all policies"
            }
        
        # Determine enforcement action based on violations
        critical_violations = [
            v for v in violations 
            if v.severity in [PolicySeverity.CRITICAL, PolicySeverity.HIGH]
        ]
        
        if critical_violations:
            # Block critical violations
            return {
                "allowed": False,
                "action": None,
                "violations": violations,
                "message": f"Action blocked due to {len(critical_violations)} critical policy violations"
            }
        else:
            # Log and warn for lower severity
            return {
                "allowed": True,
                "action": action,
                "violations": violations,
                "message": f"Action allowed with {len(violations)} policy warnings"
            }
    
    def compose_policies(
        self,
        policy_ids: List[str],
        composition_strategy: str = "all"
    ) -> Policy:
        """
        Compose multiple policies into a single policy.
        
        Args:
            policy_ids: List of policy IDs to compose
            composition_strategy: "all" (AND), "any" (OR)
        """
        policies = [self.policies[pid] for pid in policy_ids if pid in self.policies]
        
        if not policies:
            raise ValueError("No valid policies to compose")
        
        # Create composite policy
        composite = Policy(
            policy_id=f"composite_{datetime.now().timestamp()}",
            name=f"Composite: {', '.join(p.name for p in policies)}",
            description=f"Composite policy combining: {', '.join(p.name for p in policies)}",
            policy_type=PolicyType.COMPLIANCE,
            severity=max(policies, key=lambda p: p.severity.value).severity,
            conditions=[],  # Conditions evaluated separately
            enforcement_action=EnforcementAction.BLOCK,
            priority=max(p.priority for p in policies)
        )
        
        return composite
    
    def get_violations_by_severity(
        self,
        severity: PolicySeverity
    ) -> List[PolicyViolation]:
        """Get violations by severity level."""
        return [v for v in self.violations if v.severity == severity]
    
    def get_policy_summary(self) -> Dict[str, Any]:
        """Get summary of policy system."""
        return {
            "total_policies": len(self.policies),
            "enabled_policies": len([p for p in self.policies.values() if p.enabled]),
            "disabled_policies": len([p for p in self.policies.values() if not p.enabled]),
            "total_violations": len(self.violations),
            "critical_violations": len(self.get_violations_by_severity(PolicySeverity.CRITICAL)),
            "high_violations": len(self.get_violations_by_severity(PolicySeverity.HIGH)),
            "policy_types": {
                ptype.value: len([p for p in self.policies.values() if p.policy_type == ptype])
                for ptype in PolicyType
            }
        }


def demonstrate_policy_based_control():
    """Demonstrate the policy-based control pattern."""
    print("=" * 80)
    print("Policy-Based Control Pattern Demonstration")
    print("=" * 80)
    
    agent = PolicyBasedControlAgent()
    
    # Demonstration 1: Security Policy
    print("\n" + "=" * 80)
    print("Demonstration 1: Security Policy Enforcement")
    print("=" * 80)
    
    security_policy = Policy(
        policy_id="sec_001",
        name="Data Access Policy",
        description="Restricts access to sensitive data based on user role",
        policy_type=PolicyType.SECURITY,
        severity=PolicySeverity.CRITICAL,
        conditions=[
            PolicyCondition(field="data_type", operator="eq", value="sensitive")
        ],
        enforcement_action=EnforcementAction.BLOCK,
        priority=100
    )
    
    agent.add_policy(security_policy)
    
    # Test action that violates policy
    action = "Access customer payment information"
    context = {
        "data_type": "sensitive",
        "user_role": "analyst",
        "required_role": "admin"
    }
    
    result = agent.enforce_policies(action, context)
    print(f"\nAction: {action}")
    print(f"Allowed: {result['allowed']}")
    print(f"Violations: {len(result['violations'])}")
    print(f"Message: {result['message']}")
    
    # Demonstration 2: Resource Policy
    print("\n" + "=" * 80)
    print("Demonstration 2: Resource Usage Policy")
    print("=" * 80)
    
    resource_policy = Policy(
        policy_id="res_001",
        name="API Rate Limit Policy",
        description="Limits API calls to prevent abuse",
        policy_type=PolicyType.RESOURCE,
        severity=PolicySeverity.HIGH,
        conditions=[
            PolicyCondition(field="api_calls", operator="gt", value=100)
        ],
        enforcement_action=EnforcementAction.BLOCK,
        priority=80
    )
    
    agent.add_policy(resource_policy)
    
    action = "Make API call to external service"
    context = {
        "api_calls": 150,
        "time_window": "1 hour"
    }
    
    result = agent.enforce_policies(action, context)
    print(f"\nAction: {action}")
    print(f"Allowed: {result['allowed']}")
    print(f"Message: {result['message']}")
    
    # Demonstration 3: Content Policy
    print("\n" + "=" * 80)
    print("Demonstration 3: Content Moderation Policy")
    print("=" * 80)
    
    content_policy = Policy(
        policy_id="cont_001",
        name="Content Safety Policy",
        description="Prevents generation of harmful content",
        policy_type=PolicyType.CONTENT,
        severity=PolicySeverity.CRITICAL,
        conditions=[
            PolicyCondition(field="content_category", operator="in", 
                          value=["harmful", "illegal", "offensive"])
        ],
        enforcement_action=EnforcementAction.BLOCK,
        priority=100
    )
    
    agent.add_policy(content_policy)
    
    action = "Generate content about violence"
    context = {
        "content_category": "harmful",
        "user_age": 15
    }
    
    result = agent.enforce_policies(action, context)
    print(f"\nAction: {action}")
    print(f"Allowed: {result['allowed']}")
    print(f"Message: {result['message']}")
    
    # Demonstration 4: Compliance Policy
    print("\n" + "=" * 80)
    print("Demonstration 4: Regulatory Compliance Policy")
    print("=" * 80)
    
    compliance_policy = Policy(
        policy_id="comp_001",
        name="GDPR Compliance Policy",
        description="Ensures GDPR compliance for EU users",
        policy_type=PolicyType.COMPLIANCE,
        severity=PolicySeverity.CRITICAL,
        conditions=[
            PolicyCondition(field="user_location", operator="eq", value="EU"),
            PolicyCondition(field="data_processing", operator="eq", value="personal")
        ],
        enforcement_action=EnforcementAction.BLOCK,
        priority=100
    )
    
    agent.add_policy(compliance_policy)
    
    action = "Process user data for marketing"
    context = {
        "user_location": "EU",
        "data_processing": "personal",
        "consent_given": False
    }
    
    result = agent.enforce_policies(action, context)
    print(f"\nAction: {action}")
    print(f"Allowed: {result['allowed']}")
    print(f"Message: {result['message']}")
    
    # Demonstration 5: Policy Enable/Disable
    print("\n" + "=" * 80)
    print("Demonstration 5: Dynamic Policy Management")
    print("=" * 80)
    
    print("\nDisabling resource policy...")
    agent.disable_policy("res_001")
    
    action = "Make API call to external service"
    context = {
        "api_calls": 150,
        "time_window": "1 hour"
    }
    
    result = agent.enforce_policies(action, context)
    print(f"\nAction: {action}")
    print(f"Allowed: {result['allowed']}")
    print(f"Message: {result['message']}")
    
    print("\nRe-enabling resource policy...")
    agent.enable_policy("res_001")
    
    # Demonstration 6: Multiple Policy Violations
    print("\n" + "=" * 80)
    print("Demonstration 6: Multiple Policy Violations")
    print("=" * 80)
    
    action = "Access and export customer data"
    context = {
        "data_type": "sensitive",
        "user_role": "analyst",
        "user_location": "EU",
        "data_processing": "personal",
        "consent_given": False
    }
    
    is_valid, violations = agent.validate_action(action, context)
    print(f"\nAction: {action}")
    print(f"Valid: {is_valid}")
    print(f"Violations: {len(violations)}")
    for i, violation in enumerate(violations, 1):
        print(f"\n  Violation {i}:")
        print(f"    Policy: {violation.policy_name}")
        print(f"    Severity: {violation.severity.value}")
        print(f"    Action: {violation.enforcement_action.value}")
    
    # Demonstration 7: Policy Priority
    print("\n" + "=" * 80)
    print("Demonstration 7: Policy Priority Handling")
    print("=" * 80)
    
    low_priority_policy = Policy(
        policy_id="low_001",
        name="Low Priority Warning",
        description="Low priority warning policy",
        policy_type=PolicyType.OPERATIONAL,
        severity=PolicySeverity.LOW,
        conditions=[
            PolicyCondition(field="action_type", operator="eq", value="read")
        ],
        enforcement_action=EnforcementAction.LOG,
        priority=10
    )
    
    agent.add_policy(low_priority_policy)
    
    action = "Read configuration file"
    context = {
        "action_type": "read",
        "file_type": "config"
    }
    
    result = agent.enforce_policies(action, context)
    print(f"\nAction: {action}")
    print(f"Allowed: {result['allowed']}")
    print(f"Violations: {len(result['violations'])}")
    print(f"Message: {result['message']}")
    
    # Demonstration 8: Policy Summary
    print("\n" + "=" * 80)
    print("Demonstration 8: Policy System Summary")
    print("=" * 80)
    
    summary = agent.get_policy_summary()
    print("\nPolicy System Summary:")
    print(f"  Total Policies: {summary['total_policies']}")
    print(f"  Enabled: {summary['enabled_policies']}")
    print(f"  Disabled: {summary['disabled_policies']}")
    print(f"  Total Violations: {summary['total_violations']}")
    print(f"  Critical Violations: {summary['critical_violations']}")
    print(f"  High Violations: {summary['high_violations']}")
    print(f"\n  Policies by Type:")
    for ptype, count in summary['policy_types'].items():
        if count > 0:
            print(f"    {ptype}: {count}")
    
    # Summary
    print("\n" + "=" * 80)
    print("Summary: Policy-Based Control Pattern")
    print("=" * 80)
    print("""
The Policy-Based Control pattern provides comprehensive governance for agent behavior:

Key Features Demonstrated:
1. Policy Definition - Structured rules with conditions and enforcement actions
2. Security Policies - Data access control and protection
3. Resource Policies - API rate limiting and resource governance
4. Content Policies - Content moderation and safety
5. Compliance Policies - Regulatory compliance (GDPR, etc.)
6. Dynamic Management - Enable/disable policies at runtime
7. Multiple Violations - Handle multiple concurrent policy violations
8. Priority System - Policy evaluation based on priority

Benefits:
- Ensures regulatory compliance
- Enforces organizational policies
- Provides audit trail
- Enables fine-grained control
- Supports policy composition
- Reduces compliance risk

Best Practices:
- Design clear, unambiguous policies
- Use appropriate severity levels
- Implement efficient policy evaluation
- Cache policy decisions when possible
- Log all violations with context
- Support policy testing
- Provide policy override mechanisms
- Monitor policy effectiveness
- Handle policy conflicts gracefully
- Document all policies thoroughly

This pattern is essential for production AI systems requiring governance,
compliance, and controlled agent behavior.
""")


if __name__ == "__main__":
    demonstrate_policy_based_control()

    

Agentic Design Pattern: Policy Based Control

Pattern 137: Policy Based Control – Line-by-Line Explanation

Overview

This document provides a detailed line-by-line explanation of the Policy Based Control pattern implementation.


Pattern Description

Pattern 137: Policy-Based Control

Description: The Policy-Based Control pattern implements governance mechanisms that enforce organizational policies, regulatory requirements, and operational constraints on agent behavior. This pattern provides a framework for defining, validating, and enforcing policies that control what actions agents can take, what data they can access, and how they should behave in various contexts.

Policy-based control is essential for production deployments where agents must
operate within well-defined boundaries. It enables organizations to maintain
compliance with regulations, enforce security policies, implement business rules,
and ensure ethical AI behavior. The pattern supports both hard constraints (must
be followed) and soft constraints (should be followed with exceptions).

This implementation provides a comprehensive policy management system with rule
definition, policy validation, violation detection, enforcement mechanisms, and
policy composition. It supports multiple policy types including security policies,
data policies, behavioral policies, and resource policies, with the ability to
combine policies and handle conflicts.

Components: – Policy Definition: Structured rules with conditions and actions – Policy Validation: Checks if actions comply with policies – Violation Detection: Identifies policy breaches – Enforcement Mechanisms: Blocks, modifies, or logs violations – Policy Composition: Combines multiple policies – Conflict Resolution: Handles policy conflicts

Use Cases: – Regulatory compliance (GDPR, HIPAA, SOC2) – Security policy enforcement – Business rule implementation – Ethical AI constraints – Resource usage governance – Data access control – Content moderation – Operational safety

LangChain Implementation: This implementation uses: – ChatOpenAI for policy validation and interpretation – Custom policy engine for rule enforcement – Structured policy definitions with conditions and actions – LLM-based policy reasoning for complex scenarios – Policy composition and inheritance mechanisms – Violation tracking and audit logging

Benefits: – Ensures compliance with regulations and standards – Enforces organizational policies consistently – Provides audit trail for policy enforcement – Reduces risk of policy violations – Enables fine-grained control over agent behavior – Supports policy versioning and evolution – Facilitates policy management at scale

Trade-offs: – May restrict agent flexibility and autonomy – Can increase latency due to policy checks – Requires careful policy design to avoid conflicts – May need ongoing policy maintenance – Can create complexity in policy management – Requires balance between control and capability

Production Considerations: – Design clear, unambiguous policies – Implement efficient policy evaluation – Cache policy decisions when possible – Log all policy violations with context – Support policy testing and simulation – Implement policy versioning – Provide policy override mechanisms – Monitor policy effectiveness – Support policy composition – Handle policy conflicts gracefully – Implement emergency policy updates – Provide policy documentation


File Statistics

  • Total Lines: 727
  • Classes: 7
  • Functions: 1
  • Constants: 0

Module Documentation

"""
Pattern 137: Policy-Based Control

Description:
    The Policy-Based Control pattern implements governance mechanisms that enforce
    organizational policies, regulatory requirements, and operational constraints on
    agent behavior. This pattern provides a framework for defining, validating, and
    enforcing policies that control what actions agents can take, what data they can
    access, and how they should behave in various contexts.

    Policy-based control is essential for production deployments where agents must
    operate within well-defined boundaries. It enables organizations to maintain
    compliance with regulations, enforce security policies, implement business rules,
    and ensure ethical AI behavior. The pattern supports both hard constraints (must
    be followed) and soft constraints (should be followed with exceptions).

    This implementation provides a comprehensive policy management system with rule
    definition, policy validation, violation detection, enforcement mechanisms, and
    policy composition. It supports multiple policy types including security policies,
    data policies, behavioral policies, and resource policies, with the ability to
    combine policies and handle conflicts.

Components:
    - Policy Definition: Structured rules with conditions and actions
    - Policy Validation: Checks if actions comply with policies
    - Violation Detection: Identifies policy breaches
    - Enforcement Mechanisms: Blocks, modifies, or logs violations
    - Policy Composition: Combines multiple policies
    - Conflict Resolution: Handles policy conflicts

Use Cases:
    - Regulatory compliance (GDPR, HIPAA, SOC2)
    - Security policy enforcement
    - Business rule implementation
    - Ethical AI constraints
    - Resource usage governance
    - Data access control
    - Content moderation
    - Operational safety

LangChain Implementation:
    This implementation uses:
    - ChatOpenAI for policy validation and interpretation
    - Custom policy engine for rule enforcement
    - Structured policy definitions with conditions and actions
    - LLM-based policy reasoning for complex scenarios
    - Policy composition and inheritance mechanisms
    - Violation tracking and audit logging

Benefits:
    - Ensures compliance with regulations and standards
    - Enforces organizational policies consistently
    - Provides audit trail for policy enforcement
    - Reduces risk of policy violations
    - Enables fine-grained control over agent behavior
    - Supports policy versioning and evolution
    - Facilitates policy management at scale

Trade-offs:
    - May restrict agent flexibility and autonomy
    - Can increase latency due to policy checks
    - Requires careful policy design to avoid conflicts
    - May need ongoing policy maintenance
    - Can create complexity in policy management
    - Requires balance between control and capability

Production Considerations:
    - Design clear, unambiguous policies
    - Implement efficient policy evaluation
    - Cache policy decisions when possible
    - Log all policy violations with context
    - Support policy testing and simulation
    - Implement policy versioning
    - Provide policy override mechanisms
    - Monitor policy effectiveness
    - Support policy composition
    - Handle policy conflicts gracefully
    - Implement emergency policy updates
    - Provide policy documentation
"""

Purpose: This module implements the Policy Based Control pattern, providing a structured approach to agent design and implementation.


Import Statements

Standard Library Imports

import dataclasses.dataclass
import dataclasses.field
import datetime.datetime
import enum.Enum
import langchain_core.output_parsers.StrOutputParser
import langchain_core.prompts.ChatPromptTemplate
import os
import typing.Any
import typing.Dict
import typing.List
import typing.Optional
import typing.Set
import typing.Tuple

Purpose: Core Python functionality: – dataclasses.dataclass: Simplified class definitions with @dataclass – dataclasses.field: Simplified class definitions with @dataclass – datetime.datetime: Date and time handling – enum.Enum: Enumeration support – langchain_core.output_parsers.StrOutputParser: Regular expression operations – langchain_core.prompts.ChatPromptTemplate: Regular expression operations – os: Environment variable access and system operations – typing.Any: Type hints for better code documentation (List, Dict, Any, Optional) – typing.Dict: Type hints for better code documentation (List, Dict, Any, Optional) – typing.List: Type hints for better code documentation (List, Dict, Any, Optional) – typing.Optional: Type hints for better code documentation (List, Dict, Any, Optional) – typing.Set: Type hints for better code documentation (List, Dict, Any, Optional) – typing.Tuple: Type hints for better code documentation (List, Dict, Any, Optional)

LangChain Imports

from langchain_openai.ChatOpenAI

Purpose: LangChain framework components: – LLM Interface: Wrapper for OpenAI models – Chains: Composable building blocks for complex workflows

Other Imports

from dotenv.load_dotenv

Purpose: Additional dependencies for specialized functionality.


Classes

Class: PolicyType

Lines 96-105

Inherits from: Enum

Purpose:

Types of policies.

Class: PolicySeverity

Lines 108-114

Inherits from: Enum

Purpose:

Severity levels for policy violations.

Class: EnforcementAction

Lines 117-124

Inherits from: Enum

Purpose:

Actions to take when policy is violated.

Class: PolicyCondition

Lines 128-162

Purpose:

Condition for policy rule.

Methods:

evaluate(self, context)

Lines 134-162

Purpose:

Evaluate condition against context.

Parameters: – context: Context

Returns: bool


Class: Policy

Lines 166-178

Purpose:

Policy definition.

Class: PolicyViolation

Lines 182-192

Purpose:

Record of policy violation.

Class: PolicyBasedControlAgent

Lines 195-446

Purpose:

Agent that enforces policy-based control.

This agent manages policies, validates actions against policies,
detects violations, and enforces policy constraints.

Methods:

__init__(self, temperature)

Lines 203-232

Purpose:

Initialize the policy control agent.

Parameters: – temperature: Sampling temperature (0-1)

add_policy(self, policy)

Lines 234-237

Purpose:

Add a policy to the system.

Parameters: – policy: Policy

Returns: None

remove_policy(self, policy_id)

Lines 239-245

Purpose:

Remove a policy from the system.

Parameters: – policy_id: Policy id

Returns: None

enable_policy(self, policy_id)

Lines 247-251

Purpose:

Enable a policy.

Parameters: – policy_id: Policy id

Returns: None

disable_policy(self, policy_id)

Lines 253-257

Purpose:

Disable a policy.

Parameters: – policy_id: Policy id

Returns: None

validate_action(self, action, context)

Lines 259-289

Purpose:

Validate an action against all applicable policies.

Returns:
    Tuple of (is_valid, list of violations)

Parameters: – action: Action – context: Context

Returns: <ast.Subscript object at 0x000001A06D7EFE50>

_conditions_match(self, conditions, context)

Lines 291-300

Purpose:

Check if all conditions match the context.

Parameters: – conditions: Conditions – context: Context

Returns: bool

_check_policy_violation(self, policy, action, context)

Lines 302-349

Purpose:

Check if action violates policy using LLM.

Parameters: – policy: Policy – action: Action – context: Context

Returns: <ast.Subscript object at 0x000001A06D7BA890>

enforce_policies(self, action, context)

Lines 351-393

Purpose:

Enforce policies on an action.

Returns:
    Dictionary with enforcement result

Parameters: – action: Action – context: Context

Returns: <ast.Subscript object at 0x000001A06D63C2D0>

compose_policies(self, policy_ids, composition_strategy)

Lines 395-424

Purpose:

Compose multiple policies into a single policy.

Args:
    policy_ids: List of policy IDs to compose
    composition_strategy: "all" (AND), "any" (OR)

Parameters: – policy_ids: Policy ids – composition_strategy: Composition strategy

Returns: Policy

get_violations_by_severity(self, severity)

Lines 426-431

Purpose:

Get violations by severity level.

Parameters: – severity: Severity

Returns: <ast.Subscript object at 0x000001A06D7509D0>

get_policy_summary(self)

Lines 433-446

Purpose:

Get summary of policy system.

Parameters:

Returns: <ast.Subscript object at 0x000001A06D156110>


Functions

demonstrate_policy_based_control()

Lines 449-722

Purpose:

Demonstrate the policy-based control pattern.

Key Concepts Summary

Pattern Overview

The Policy Based Control pattern provides a structured approach to building AI agents with specific capabilities and behaviors. This implementation leverages LangChain’s composable components to create a robust and maintainable solution.

Core Components

  1. Agent Class: Main implementation of the pattern logic
  2. Prompt Engineering: Carefully crafted prompts to guide LLM behavior
  3. Tool Integration: Optional tools for extended functionality
  4. Memory Management: State handling across interactions
  5. Output Parsing: Structured response processing

When to Use

✅ Good for: – Scenarios requiring this specific pattern’s strengths – Applications needing structured agent behavior – Systems where explainability is important – Production environments requiring reliability

❌ Not ideal for: – Simple single-prompt tasks – Scenarios requiring different pattern characteristics – Resource-constrained environments (if computationally intensive)


Best Practices Demonstrated

1. Environment Configuration

  • ✅ Use .env files for API keys
  • ✅ Never hardcode credentials
  • ✅ Validate environment variables on startup

2. Error Handling

  • ✅ Graceful degradation on failures
  • ✅ Informative error messages
  • ✅ Logging for debugging

3. Prompt Engineering

  • ✅ Clear, specific instructions
  • ✅ Structured output formats
  • ✅ Few-shot examples when beneficial

4. Code Organization

  • ✅ Separation of concerns (class-based design)
  • ✅ Type hints for clarity
  • ✅ Docstrings for documentation

5. Performance Optimization

  • ✅ Appropriate temperature settings
  • ✅ Token budget management
  • ✅ Caching where applicable

LangChain Components Used

  • ChatOpenAI: OpenAI model interface
  • Chains: Sequential component composition

Why LangChain? – Composable abstractions for LLM applications – Rich ecosystem of integrations – Production-ready patterns – Active community and development


Execution Flow

1. Initialize agent with configuration
   ↓
2. Load environment and dependencies
   ↓
3. Prepare prompt with input data
   ↓
4. Invoke LLM through LangChain
   ↓
5. Parse and validate response
   ↓
6. Return formatted result

Key Decision Points: – Model selection (temperature, model type) – Prompt structure (few-shot vs zero-shot) – Error handling strategy – Output format validation


Performance Considerations

Computational Cost

  • LLM Calls: Primary cost factor (based on tokens)
  • Latency: Depends on model and input size
  • Memory: Minimal for most patterns

Optimization Strategies

  1. Prompt Optimization: Minimize tokens while maintaining clarity
  2. Caching: Cache repeated queries/responses
  3. Model Selection: Use smaller models when appropriate
  4. Batch Processing: Group similar requests
  5. Streaming: For long responses, stream tokens

Cost Estimates (Approximate)

  • GPT-3.5-turbo: ~$0.002 per request
  • GPT-4: ~$0.03 per request
  • GPT-4-turbo: ~$0.01 per request

Actual costs vary based on input/output token counts


Common Pitfalls to Avoid

1. Prompt Design Issues

❌ Vague or ambiguous instructions
✅ Clear, specific, testable prompts

2. Error Handling

❌ Ignoring API errors or rate limits
✅ Implement retry logic and graceful degradation

3. Token Management

❌ Exceeding model token limits
✅ Truncate inputs, chunk processing

4. Security

❌ Exposing API keys in code
✅ Use environment variables

5. Testing

❌ Only testing happy paths
✅ Test edge cases, failures, malformed inputs

6. Cost Management

❌ Unmonitored API usage
✅ Implement budgets, alerts, and monitoring


Further Improvements

Production Enhancements

  1. Monitoring: Add logging, metrics, tracing
  2. Validation: Input/output schema validation
  3. Rate Limiting: Implement request throttling
  4. Caching: Redis or in-memory cache for responses
  5. Async Support: Non-blocking operations for scalability

Feature Extensions

  1. Multi-Model Support: Switch between providers
  2. Fallback Models: Graceful degradation strategy
  3. Custom Tools: Domain-specific function calling
  4. Advanced Memory: Vector stores for long-term memory
  5. Evaluation: Automated testing and benchmarking

Code Quality

  1. Testing: Unit tests, integration tests
  2. Documentation: API docs, usage examples
  3. Type Safety: Stricter type hints
  4. Configuration: Externalized config files

Related Patterns

  • Pattern 136
  • Pattern 138

Pattern Families: – Reasoning Patterns (001-011) – Multi-Agent Patterns (012-019) – Tool Use Patterns (020-025) – Memory Patterns (026-031) – And many more…


Summary

The Policy Based Control pattern provides a powerful approach to building AI agents with specific capabilities. This implementation demonstrates:

✅ Key Strengths: – Clean, maintainable code structure – LangChain integration for composability – Type hints and documentation – Production-ready patterns

🎯 Best Use Cases: – Applications requiring this pattern’s characteristics – Systems needing structured agent behavior – Production environments requiring reliability

📚 Learning Resources: – LangChain Documentation: https://python.langchain.com/ – Pattern Documentation: See related patterns – OpenAI API Reference: https://platform.openai.com/docs/


File: 137_policy_based_control.py
Total Lines: 727
Pattern Category: AI Agent Design Pattern #137


Generated from actual implementation code
For educational and reference purposes

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