# Dynamic Normativity: Necessary and Sufficient Conditions for Value Alignment

arXiv: https://arxiv.org/abs/2406.11039 · HTML: https://mlsanity.com/paper/2406.11039/

## Key facts

- Cited by 3 papers in the map (data through 14 Oct 2026).
- Placed in Human values and AI feedback alignment, one of 10 directions in LLM alignment / RLHF / preference optimisation.
- Builds on 163 of its 658 references that are in the map.
- First posted on arXiv 16 Jun 2024.

## Placed in

- LLM alignment / RLHF / preference optimisation / [Human values and AI feedback alignment](https://mlsanity.com/alignment/human-values-and-ai-feedback-alignment/)

## Builds on (most cited first, 30 of 163)

- [BERT: Pre-training of Deep Bidirectional Transformers for Language Understanding](https://mlsanity.com/paper/1810.04805/) (2018)
- [Training language models to follow instructions with human feedback](https://mlsanity.com/paper/2203.02155/) (2022)
- [Proximal Policy Optimization Algorithms](https://mlsanity.com/paper/1707.06347/) (2017)
- [LLaMA: Open and Efficient Foundation Language Models](https://mlsanity.com/paper/2302.13971/) (2023)
- [RoBERTa: A Robustly Optimized BERT Pretraining Approach](https://mlsanity.com/paper/1907.11692/) (2019)
- [Llama 2: Open Foundation and Fine-Tuned Chat Models](https://mlsanity.com/paper/2307.09288/) (2023)
- [Chain-of-Thought Prompting Elicits Reasoning in Large Language Models](https://mlsanity.com/paper/2201.11903/) (2022)
- [Judging LLM-as-a-Judge with MT-Bench and Chatbot Arena](https://mlsanity.com/paper/2306.05685/) (2023)
- [Evaluating Large Language Models Trained on Code](https://mlsanity.com/paper/2107.03374/) (2021)
- [Direct Preference Optimization: Your Language Model is Secretly a Reward Model](https://mlsanity.com/paper/2305.18290/) (2023)
- [Scaling Laws for Neural Language Models](https://mlsanity.com/paper/2001.08361/) (2020)
- [Think you have Solved Question Answering? Try ARC, the AI2 Reasoning Challenge](https://mlsanity.com/paper/1803.05457/) (2018)
- [Reflexion: Language Agents with Verbal Reinforcement Learning](https://mlsanity.com/paper/2303.11366/) (2023)
- [On the Opportunities and Risks of Foundation Models](https://mlsanity.com/paper/2108.07258/) (2021)
- [Unsupervised Cross-lingual Representation Learning at Scale](https://mlsanity.com/paper/1911.02116/) (2019)
- [Prefix-Tuning: Optimizing Continuous Prompts for Generation](https://mlsanity.com/paper/2101.00190/) (2021)
- [Training a Helpful and Harmless Assistant with Reinforcement Learning from Human Feedback](https://mlsanity.com/paper/2204.05862/) (2022)
- [OPT: Open Pre-trained Transformer Language Models](https://mlsanity.com/paper/2205.01068/) (2022)
- [Longformer: The Long-Document Transformer](https://mlsanity.com/paper/2004.05150/) (2020)
- [Tree of Thoughts: Deliberate Problem Solving with Large Language Models](https://mlsanity.com/paper/2305.10601/) (2023)
- [Constitutional AI: Harmlessness from AI Feedback](https://mlsanity.com/paper/2212.08073/) (2022)
- [Scaling Instruction-Finetuned Language Models](https://mlsanity.com/paper/2210.11416/) (2022)
- [Training Compute-Optimal Large Language Models](https://mlsanity.com/paper/2203.15556/) (2022)
- [TruthfulQA: Measuring How Models Mimic Human Falsehoods](https://mlsanity.com/paper/2109.07958/) (2021)
- [Self-Instruct: Aligning Language Models with Self-Generated Instructions](https://mlsanity.com/paper/2212.10560/) (2022)
- [Locating and Editing Factual Associations in GPT](https://mlsanity.com/paper/2202.05262/) (2022)
- [Sparks of Artificial General Intelligence: Early experiments with GPT-4](https://mlsanity.com/paper/2303.12712/) (2023)
- [Deep contextualized word representations](https://mlsanity.com/paper/1802.05365/) (2018)
- [The Lottery Ticket Hypothesis: Finding Sparse, Trainable Neural Networks](https://mlsanity.com/paper/1803.03635/) (2018)
- [Fine-Tuning Language Models from Human Preferences](https://mlsanity.com/paper/1909.08593/) (2019)

## Built on by (most cited first, 3 of 3)

- [Amulet: ReAlignment During Test Time for Personalized Preference Adaptation of LLMs](https://mlsanity.com/paper/2502.19148/) (2025)
- [Enhancing LLM Safety Through a Theoretical Minimax Game Lens](https://mlsanity.com/paper/2502.05163/) (2025)
- [Tucano: Advancing Neural Text Generation for Portuguese](https://mlsanity.com/paper/2411.07854/) (2024)

## Abstract (arXiv)

The critical inquiry pervading the realm of Philosophy, and perhaps extending its influence across all Humanities disciplines, revolves around the intricacies of morality and normativity. Surprisingly, in recent years, this thematic thread has woven its way into an unexpected domain, one not conventionally associated with pondering "what ought to be": the field of artificial intelligence (AI) research. Central to morality and AI, we find "alignment", a problem related to the challenges of expressing human goals and values in a manner that artificial systems can follow without leading to unwanted adversarial effects. More explicitly and with our current paradigm of AI development in mind, we can think of alignment as teaching human values to non-anthropomorphic entities trained through opaque, gradient-based learning techniques. This work addresses alignment as a technical-philosophical problem that requires solid philosophical foundations and practical implementations that bring normative theory to AI system development. To accomplish this, we propose two sets of necessary and sufficient conditions that, we argue, should be considered in any alignment process. While necessary conditions serve as metaphysical and metaethical roots that pertain to the permissibility of alignment, sufficient conditions establish a blueprint for aligning AI systems under a learning-based paradigm. After laying such foundations, we present implementations of this approach by using state-of-the-art techniques and methods for aligning general-purpose language systems. We call this framework Dynamic Normativity. Its central thesis is that any alignment process under a learning paradigm that cannot fulfill its necessary and sufficient conditions will fail in producing aligned systems.