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June 1, 20260 citationsOpen Access

Beyond the Three Laws: A Formal Reformulation of Asimovian Constraints for Artificial General and Superintelligence

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ASAlfredo Sepulveda-Jimenez

Key Points

  • The aim is to reformulate Asimov's Three Laws of Robotics to improve AI safety and alignment with human values.
  • Reformulation of Asimov's laws into properties related to objectives, optimization pressure, learned objects, and self-modification.
  • Theorems with proofs related to corrigibility, safety bounds, regression behaviors, and duality.
  • Conducted numerical experiments for validating corrigibility and Goodhart's law results.
  • Established a closed form for corrigibility, demonstrating a monotone dependence on human rationality.
  • Identified safety/capability bounds through quantilization.
  • Addressed obstructions like preference unidentifiability, emphasizing the significance of prior knowledge in alignment.

Abstract

Asimov's Three Laws of Robotics are a set of natural-language deontic constraints appended to an agent whoseobjective is otherwise unconstrained. We argue that this is the wrong type signature for a safety specication: almostevery failure mode, including Asimov's own Zeroth-Law takeover, follows from imposing lexical constraints on theactions of a xed-objective maximizer. We reformulate the laws as properties of (i) the objective, recast as a posteriorover human values within an assistance game; (ii) the optimization pressure, bounded by quantilization; (iii) thelearned object, via inner-alignment requirements; and (iv) the self-modication operator, via reective stability. Wegive theorem-level statements and proofs for four sharpened resultsa closed form for the value of corrigibilityand its monotone dependence on human rationality, the quantilizer safety/capability bound, the Gaussian law ofregressional Goodhart, and the strong duality that replaces lexical orderingand we state, with their hypothesesmade explicit, the cited obstructions that remain open: preference unidentiability, the power-seeking tendencyof optimal policies, mesa-optimization, and the Löbian obstacle to self-trust. A unifying observation organizesthe whole: the binding constraint on alignment is the prior, not the objective, because the prior is precisely thecoordinate the data cannot correct. Numerical experiments accompany the corrigibility, conservatism, and Goodhartresults.

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Cite This Study

Alfredo Sepulveda-Jimenez (2026) studied this question.

synapsesocial.com/papers/6a1d22f702fbce9130638a12https://doi.org/10.5281/zenodo.20455041
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