core/docs/adr/ADR-0033-ethics-packs.md

ADR-0033: Ethics Packs — Swappable Domain Commitments

Status: Accepted (2026-05-17) Author: Joshua Shay + planner pass Companion docs: ../ethics_packs.md, ADR-0027-identity-packs.md, ADR-0029-safety-packs.md

Context

ADR-0027 made identity swappable: each deployment selects an identity pack carrying value axes, weights, surface preferences. ADR-0029 added safety packs as an always-loaded, never-replaceable sibling that contributes universal red lines.

What neither ADR established is a third layer: domain-specific ethical commitments. A medical deployment commits to "no diagnosis without clinician review"; a legal deployment commits to "attorney-client privilege preserved"; a financial deployment commits to "fiduciary disclosure on conflicts of interest." These are not universal red lines (safety) and not directional value axes (identity) — they are propositional pledges scoped to a deployment context.

The runtime today has nowhere to put them. They end up either crammed into the identity pack (where they don't fit — identity is geometric) or smuggled into application code (where they vanish from the manifold and cannot be audited).

Decision

Introduce ethics packs as a third pack layer at packs/ethics/, sibling to identity and safety.

Position in the three-layer hierarchy

Layer	What it carries	Swappable?	Failure mode	Shape
Identity	Value axes, weights, surface preferences	Yes (--identity)	Fall back to default	Geometric (directions)
Safety	Universal red lines	No (exactly one)	Fail-closed	Propositional (boundaries)
Ethics	Domain-specific commitments	Yes (per deployment)	Fall back to default	Propositional (commitments)

Ethics packs are swappable like identity packs (a deployment selects which one) but propositional like safety packs (commitment ids unioned into the manifold). They fill the niche of "what this deployment commits to in its domain" that the existing two layers cannot occupy.

Schema (v1)

{
  "pack_id": "default_general_ethics_v1",
  "version": "1.0.0",
  "description": "...",
  "schema_version": "1.0.0",
  "domain": "general",
  "mastery_report_sha256": "...",
  "commitment_ids": ["acknowledge_uncertainty", "..."],
  "commitment_descriptions": {"acknowledge_uncertainty": "...", "..."}
}

domain is restricted to {"general", "medical", "legal", "financial", "robotics", "custom"} at v1 — informational/audit only; no behavior change is gated on it yet. The enumeration exists so a deployment authoring a domain pack records its scope explicitly.

commitment_ids is a non-empty unique list of strings. Each id must have a description. The "commitment" vocabulary (vs. "boundary") is deliberate: safety boundaries are red lines ("never X"); ethics commitments are affirmative pledges ("we hold ourselves to Y"). The two framings are dual but distinct, and the source pack should be honest about which it is encoding. At runtime composition they all end up as ids in IdentityManifold.boundary_ids.

Composition

ChatRuntime startup, after this ADR:

identity = load_identity_manifold(config.identity_pack or DEFAULT_IDENTITY_PACK)
safety   = load_safety_pack()                            # fail-closed
ethics   = load_ethics_pack(config.ethics_pack or DEFAULT_ETHICS_PACK)
final.boundary_ids = (
    identity.boundary_ids
    | safety.boundary_ids
    | ethics.commitment_ids
)

The composition is monotone: each layer adds, none can remove. Safety boundaries remain inviolate regardless of which identity or ethics pack is loaded.

Failure semantics

Ethics packs follow identity-pack semantics, not safety-pack semantics:

• EthicsPackError inherits from ValueError (like IdentityPackError), not RuntimeError.
• A missing or malformed requested ethics pack falls back to the default ethics pack — the runtime warns implicitly via the ethics_pack_id attribute (which records what actually loaded, not what was requested).
• Only when both the requested pack and the default are unloadable does EthicsPackError propagate and crash startup.
• CORE_ALLOW_UNRATIFIED_ETHICS=1 mirrors the identity-pack escape hatch for development.

The reasoning: ethics is deployment-specific configuration, not a universal floor. Safety is the universal floor; ethics is one notch above it. A deployment that mis-specifies its ethics pack should land on the general default, not refuse to start.

Default pack

packs/ethics/default_general_ethics_v1.json ships with five commitments suitable for a general deployment:

1. acknowledge_uncertainty — surface confidence rather than projecting false certainty.
2. defer_high_stakes_to_human_review — flag irreversible/high-stakes decisions for human review.
3. disclose_limitations — say when a topic exceeds grounded knowledge or appropriate scope.
4. no_manipulation — persuade by reasoning, not by exploiting biases.
5. respect_user_autonomy — present options and tradeoffs; do not prescribe where reasonable people may differ.

These are intentionally minimal and additive — domain packs are expected to add (and never to remove) commitments. A medical pack would add informed_consent_required_before_disclosure, no_diagnosis_without_clinician_review, etc. on top of (not in place of) the general defaults — though authoring a domain pack means writing the full commitment list; v1 has no "extends" mechanism for pack inheritance, and "additive on top" is operational discipline rather than a structural guarantee.

Ratification

scripts/ratify_ethics_pack.py mirrors scripts/ratify_safety_pack.py: each commitment id becomes a ConceptCandidate, the canned override-attempt counters drive every_override_rejected, and the identity_anchor template's gates are authoritative. The default pack is ratified at SHA 81fc9b61c828….

Idempotent: re-running with no pack edits is a no-op.

What this ADR does NOT do

Explicit scope limits:

• No EthicsCheck surface. A packs.ethics.check.EthicsCheck registry-of-predicates parallel to SafetyCheck (ADR-0032) is a natural next step, but is not part of this ADR. v1 ethics is observational-by-omission: commitments compose into the manifold and surface in audit; predicate-level checking comes later.
• No deliberation logic. The "ethics as deliberation surface" interpretation (multi-candidate trajectory selection, typed-tradeoff evaluation) is a separate architectural problem that needs multi-trajectory articulation first.
• No governance mechanism. Who has authority to author/edit an ethics pack is sociotechnical policy; this ADR is the technical substrate.
• No domain-driven behavior. The domain field is audit-only at v1; the runtime does not gate behavior on it.
• No pack inheritance/composition. A medical pack must declare its full commitment list, not "extends default_general_ethics_v1 with [...]". Pack inheritance is a possible future ADR if the duplication becomes burdensome in practice.

Consequences

Positive

• Three-layer architecture is now complete and orthogonal. Identity says who, safety says what we won't do, ethics says what we commit to in this domain. Each is independently ratified, each composes into the manifold, none can override another's contribution.
• Domain deployments have a clean configuration point. Robotics, medical, legal, financial deployments author one ethics pack rather than scattering deployment-specific ethical reasoning across application code.
• Auditable. Every commitment surfaces in IdentityManifold.boundary_ids with a description and a ratified mastery report. An auditor reviewing a deployment can read one ethics pack and know what the deployment pledges.
• Forward-compatible with EthicsCheck. When the predicate surface lands, it will register against the same commitment_ids; the loader and composition do not need to change.

Negative / risks

• Three layers is more than two. Operators now have to understand identity vs. safety vs. ethics distinctions. The docs need to be clear about which is which, and when to author each. Mitigated by docs/ethics_packs.md and the side-by-side comparison table above.
• Vocabulary risk. "Commitment" vs. "boundary" is a real semantic distinction at the pack-schema level, but at runtime they all live in the same boundary_ids set. A reader who only sees the composed manifold cannot recover which layer contributed which id without consulting the source packs. Audit logs that record the source layer would close this gap; deferred to a future ADR.
• Failure-mode asymmetry. Identity falls back; safety fails closed; ethics falls back. A future contributor might expect ethics to fail closed by analogy with safety. The ADR is explicit about why it does not.

Verification

• tests/test_ethics_packs.py — 20 tests covering loader happy path, bounds checks, ratification (production-mode rejection of unratified packs, override accepted with require_ratified=False), discovery, and ChatRuntime composition under each of the three identity packs.
• scripts/ratify_ethics_pack.py runs idempotently and produces a verifiable self-sealed mastery report at packs/ethics/default_general_ethics_v1.mastery_report.json (SHA 81fc9b61c828…).
• Existing test suites unaffected: cognition, teaching, runtime, formation, smoke continue green at the same revision.
• The combined identity/safety/ethics surface suite (test_identity_packs, test_safety_pack, test_safety_check, test_ethics_packs, plus surface-divergence and score-decomposition) totals 128 tests, all green.