# Foundational Challenges in Assuring Alignment and Safety of Large Language Models

arXiv: https://arxiv.org/abs/2404.09932 · HTML: https://mlsanity.com/paper/2404.09932/

## Key facts

- Cited by 199 papers in the map (data through 14 Oct 2026).
- First posted on arXiv 15 Apr 2024.

## Built on by (most cited first, 30 of 199)

- [WildGuard: Open One-Stop Moderation Tools for Safety Risks, Jailbreaks, and Refusals of LLMs](https://mlsanity.com/paper/2406.18495/) (2024)
- [Darwin Godel Machine: Open-Ended Evolution of Self-Improving Agents](https://mlsanity.com/paper/2505.22954/) (2025)
- [OR-Bench: An Over-Refusal Benchmark for Large Language Models](https://mlsanity.com/paper/2405.20947/) (2024)
- [Programming Refusal with Conditional Activation Steering](https://mlsanity.com/paper/2409.05907/) (2024)
- [A Survey of Self-Evolving Agents: What, When, How, and Where to Evolve on the Path to Artificial Super Intelligence](https://mlsanity.com/paper/2507.21046/) (2025)
- [Large Language Model-Brained GUI Agents: A Survey](https://mlsanity.com/paper/2411.18279/) (2024)
- [Observational Scaling Laws and the Predictability of Language Model Performance](https://mlsanity.com/paper/2405.10938/) (2024)
- [Llama Guard 3 Vision: Safeguarding Human-AI Image Understanding Conversations](https://mlsanity.com/paper/2411.10414/) (2024)
- [Advances and Challenges in Foundation Agents: From Brain-Inspired Intelligence to Evolutionary, Collaborative, and Safe Systems](https://mlsanity.com/paper/2504.01990/) (2025)
- [Cooperate or Collapse: Emergence of Sustainable Cooperation in a Society of LLM Agents](https://mlsanity.com/paper/2404.16698/) (2024)
- [An Adversarial Perspective on Machine Unlearning for AI Safety](https://mlsanity.com/paper/2409.18025/) (2024)
- [Emergent social conventions and collective bias in LLM populations](https://mlsanity.com/paper/2410.08948/) (2024)
- [Know Your Limits: A Survey of Abstention in Large Language Models](https://mlsanity.com/paper/2407.18418/) (2024)
- [A Comprehensive Survey in LLM(-Agent) Full Stack Safety: Data, Training and Deployment](https://mlsanity.com/paper/2504.15585/) (2025)
- [STAIR: Improving Safety Alignment with Introspective Reasoning](https://mlsanity.com/paper/2502.02384/) (2025)
- [Archetypal SAE: Adaptive and Stable Dictionary Learning for Concept Extraction in Large Vision Models](https://mlsanity.com/paper/2502.12892/) (2025)
- [Open Challenges in Multi-Agent Security: Towards Secure Systems of Interacting AI Agents](https://mlsanity.com/paper/2505.02077/) (2025)
- [A Survey of Safety on Large Vision-Language Models: Attacks, Defenses and Evaluations](https://mlsanity.com/paper/2502.14881/) (2025)
- [Exploiting LLM Quantization](https://mlsanity.com/paper/2405.18137/) (2024)
- [SEAL: Safety-enhanced Aligned LLM Fine-tuning via Bilevel Data Selection](https://mlsanity.com/paper/2410.07471/) (2024)
- [Yo'LLaVA: Your Personalized Language and Vision Assistant](https://mlsanity.com/paper/2406.09400/) (2024)
- [Projecting Assumptions: The Duality Between Sparse Autoencoders and Concept Geometry](https://mlsanity.com/paper/2503.01822/) (2025)
- [What Makes and Breaks Safety Fine-tuning? A Mechanistic Study](https://mlsanity.com/paper/2407.10264/) (2024)
- [JBShield: Defending Large Language Models from Jailbreak Attacks through Activated Concept Analysis and Manipulation](https://mlsanity.com/paper/2502.07557/) (2025)
- [MultiTrust: A Comprehensive Benchmark Towards Trustworthy Multimodal Large Language Models](https://mlsanity.com/paper/2406.07057/) (2024)
- [Virtual Personas for Language Models via an Anthology of Backstories](https://mlsanity.com/paper/2407.06576/) (2024)
- [Scaling and renormalization in high-dimensional regression](https://mlsanity.com/paper/2405.00592/) (2024)
- [From Flat to Hierarchical: Extracting Sparse Representations with Matching Pursuit](https://mlsanity.com/paper/2506.03093/) (2025)
- [Persistent Pre-Training Poisoning of LLMs](https://mlsanity.com/paper/2410.13722/) (2024)
- [Stress-Testing Capability Elicitation With Password-Locked Models](https://mlsanity.com/paper/2405.19550/) (2024)

## Abstract (arXiv)

This work identifies 18 foundational challenges in assuring the alignment and safety of large language models (LLMs). These challenges are organized into three different categories: scientific understanding of LLMs, development and deployment methods, and sociotechnical challenges. Based on the identified challenges, we pose 200+ concrete research questions.