# On the Essence and Prospect: An Investigation of Alignment Approaches for Big Models

arXiv: https://arxiv.org/abs/2403.04204 · HTML: https://mlsanity.com/paper/2403.04204/

## Key facts

- Cited by 21 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 93 of its 157 references that are in the map.
- First posted on arXiv 7 Mar 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 93)

- [Attention Is All You Need](https://mlsanity.com/paper/1706.03762/) (2017)
- [BERT: Pre-training of Deep Bidirectional Transformers for Language Understanding](https://mlsanity.com/paper/1810.04805/) (2018)
- [Learning Transferable Visual Models From Natural Language Supervision](https://mlsanity.com/paper/2103.00020/) (2021)
- [Language Models are Few-Shot Learners](https://mlsanity.com/paper/2005.14165/) (2020)
- [An Image is Worth 16x16 Words: Transformers for Image Recognition at Scale](https://mlsanity.com/paper/2010.11929/) (2020)
- [Training language models to follow instructions with human feedback](https://mlsanity.com/paper/2203.02155/) (2022)
- [LLaMA: Open and Efficient Foundation Language Models](https://mlsanity.com/paper/2302.13971/) (2023)
- [Swin Transformer: Hierarchical Vision Transformer using Shifted Windows](https://mlsanity.com/paper/2103.14030/) (2021)
- [Direct Preference Optimization: Your Language Model is Secretly a Reward Model](https://mlsanity.com/paper/2305.18290/) (2023)
- [Visual Instruction Tuning](https://mlsanity.com/paper/2304.08485/) (2023)
- [Scaling Laws for Neural Language Models](https://mlsanity.com/paper/2001.08361/) (2020)
- [Self-Consistency Improves Chain of Thought Reasoning in Language Models](https://mlsanity.com/paper/2203.11171/) (2022)
- [BERTScore: Evaluating Text Generation with BERT](https://mlsanity.com/paper/1904.09675/) (2019)
- [Learning Phrase Representations using RNN Encoder-Decoder for Statistical Machine Translation](https://mlsanity.com/paper/1406.1078/) (2014)
- [On the Opportunities and Risks of Foundation Models](https://mlsanity.com/paper/2108.07258/) (2021)
- [Deep reinforcement learning from human preferences](https://mlsanity.com/paper/1706.03741/) (2017)
- [Scaling Up Visual and Vision-Language Representation Learning With Noisy Text Supervision](https://mlsanity.com/paper/2102.05918/) (2021)
- [Training a Helpful and Harmless Assistant with Reinforcement Learning from Human Feedback](https://mlsanity.com/paper/2204.05862/) (2022)
- [Generative Agents: Interactive Simulacra of Human Behavior](https://mlsanity.com/paper/2304.03442/) (2023)
- [QLoRA: Efficient Finetuning of Quantized LLMs](https://mlsanity.com/paper/2305.14314/) (2023)
- [Constitutional AI: Harmlessness from AI Feedback](https://mlsanity.com/paper/2212.08073/) (2022)
- [TruthfulQA: Measuring How Models Mimic Human Falsehoods](https://mlsanity.com/paper/2109.07958/) (2021)
- [InstructBLIP: Towards General-purpose Vision-Language Models with Instruction Tuning](https://mlsanity.com/paper/2305.06500/) (2023)
- [Self-Instruct: Aligning Language Models with Self-Generated Instructions](https://mlsanity.com/paper/2212.10560/) (2022)
- [MiniGPT-4: Enhancing Vision-Language Understanding with Advanced Large Language Models](https://mlsanity.com/paper/2304.10592/) (2023)
- [Learning to summarize from human feedback](https://mlsanity.com/paper/2009.01325/) (2020)
- [A Survey of Large Language Models](https://mlsanity.com/paper/2303.18223/) (2023)
- [Emergent Abilities of Large Language Models](https://mlsanity.com/paper/2206.07682/) (2022)
- [PaLM-E: An Embodied Multimodal Language Model](https://mlsanity.com/paper/2303.03378/) (2023)
- [WebGPT: Browser-assisted question-answering with human feedback](https://mlsanity.com/paper/2112.09332/) (2021)

## Built on by (most cited first, 21 of 21)

- [Rejection Improves Reliability: Training LLMs to Refuse Unknown Questions Using RL from Knowledge Feedback](https://mlsanity.com/paper/2403.18349/) (2024)
- [A Survey of Direct Preference Optimization](https://mlsanity.com/paper/2503.11701/) (2025)
- [A Survey on Human Preference Learning for Large Language Models](https://mlsanity.com/paper/2406.11191/) (2024)
- [Unbridled Icarus: A Survey of the Potential Perils of Image Inputs in Multimodal Large Language Model Security](https://mlsanity.com/paper/2404.05264/) (2024)
- [Towards a Unified View of Preference Learning for Large Language Models: A Survey](https://mlsanity.com/paper/2409.02795/) (2024)
- [Alignment for Efficient Tool Calling of Large Language Models](https://mlsanity.com/paper/2503.06708/) (2025)
- [A Survey on Progress in LLM Alignment from the Perspective of Reward Design](https://mlsanity.com/paper/2505.02666/) (2025)
- [The Road to Artificial SuperIntelligence: A Comprehensive Survey of Superalignment](https://mlsanity.com/paper/2412.16468/) (2024)
- [CAReDiO: Cultural Alignment via Representativeness and Distinctiveness Guided Data Optimization](https://mlsanity.com/paper/2504.08820/) (2025)
- [Can a large language model be a gaslighter?](https://mlsanity.com/paper/2410.09181/) (2024)
- [Counterfactual Reasoning for Steerable Pluralistic Value Alignment of Large Language Models](https://mlsanity.com/paper/2510.18526/) (2025)
- [REAL: Response Embedding-based Alignment for LLMs](https://mlsanity.com/paper/2409.17169/) (2024)
- [Elephant in the Room: Unveiling the Impact of Reward Model Quality in Alignment](https://mlsanity.com/paper/2409.19024/) (2024)
- [Aligning VLM Assistants with Personalized Situated Cognition](https://mlsanity.com/paper/2506.00930/) (2025)
- [Structuring the Space of Sociotechnical Alignment](https://mlsanity.com/paper/2607.01250/) (2026)
- [Research Superalignment Should Advance Now with Alternating Competence and Conformity Optimization](https://mlsanity.com/paper/2503.07660/) (2025)
- [Better Language Model-Based Judging Reward Modeling through Scaling Comprehension Boundaries](https://mlsanity.com/paper/2508.18212/) (2025)
- [Labels have Human Values: Value Calibration of Subjective Tasks](https://mlsanity.com/paper/2601.06631/) (2026)
- [Testing for Causal Fairness](https://mlsanity.com/paper/2502.12874/) (2025)
- [Towards Efficient and Effective Alignment of Large Language Models](https://mlsanity.com/paper/2506.09329/) (2025)
- [From Static Personal Values to Contextualized Personalization: Bayesian Personalized Value Alignment for LLMs](https://mlsanity.com/paper/2609.28942/) (2026)

## Abstract (arXiv)

Big models have achieved revolutionary breakthroughs in the field of AI, but they might also pose potential concerns. Addressing such concerns, alignment technologies were introduced to make these models conform to human preferences and values. Despite considerable advancements in the past year, various challenges lie in establishing the optimal alignment strategy, such as data cost and scalable oversight, and how to align remains an open question. In this survey paper, we comprehensively investigate value alignment approaches. We first unpack the historical context of alignment tracing back to the 1920s (where it comes from), then delve into the mathematical essence of alignment (what it is), shedding light on the inherent challenges. Following this foundation, we provide a detailed examination of existing alignment methods, which fall into three categories: Reinforcement Learning, Supervised Fine-Tuning, and In-context Learning, and demonstrate their intrinsic connections, strengths, and limitations, helping readers better understand this research area. In addition, two emerging topics, personal alignment, and multimodal alignment, are also discussed as novel frontiers in this field. Looking forward, we discuss potential alignment paradigms and how they could handle remaining challenges, prospecting where future alignment will go.