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arxiv2025-inherent-limits-plms

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Code repository for the paper "The Inherent Limits of Pretrained LLMs: The Unexpected Convergence of Instruction Tuning and In-Context Learning Capabilities"

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# The Inherent Limits of Pretrained LLMs: The Unexpected Convergence of Instruction Tuning and In-Context Learning Capabilities
[![Arxiv](https://img.shields.io/badge/Arxiv-2501.08716-red?style=flat-square&logo=arxiv&logoColor=white)](https://arxiv.org/abs/2501.08716)
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This repository contains the code for the datasets and experiments of our paper: [The Inherent Limits of Pretrained LLMs: The Unexpected Convergence of Instruction Tuning and In-Context Learning Capabilities](https://arxiv.org/abs/2501.08716).

> **Abstract:** Large Language Models (LLMs), trained on extensive web-scale corpora, have demonstrated remarkable abilities across diverse tasks, especially as they are scaled up. Nevertheless, even state-of-the-art models struggle in certain cases, sometimes failing at problems solvable by young children, indicating that traditional notions of task complexity are insufficient for explaining LLM capabilities. However, exploring LLM capabilities is complicated by the fact that most widely-used models are also `instruction-tuned' to respond appropriately to prompts. With the goal of disentangling the factors influencing LLM performance, we investigate whether instruction-tuned models possess fundamentally different capabilities from base models that are prompted using in-context examples. Through extensive experiments across various model families, scales and task types, which included instruction tuning 90 different LLMs, we demonstrate that the performance of instruction-tuned models is significantly correlated with the in-context performance of their base counterparts. By clarifying what instruction-tuning contributes, we extend prior research into in-context learning, which suggests that base models use priors from pretraining data to solve tasks. Specifically, we extend this understanding to instruction-tuned models, suggesting that their pretraining data similarly sets a limiting boundary on the tasks they can solve, with the added influence of the instruction-tuning dataset.

Contact person: [Irina Bigoulaeva](mailto:ibigoula@gmail.com)

[UKP Lab](https://www.ukp.tu-darmstadt.de/) | [TU Darmstadt](https://www.tu-darmstadt.de/
)

## Getting Started

Prepare a new virtual environment:

```bash
python -m venv .venv
source .venv/bin/activate
pip install .
pip install -r requirements.txt
```
We recommend creating a new environment, since we use [vLLM](https://docs.vllm.ai/en/stable/) for speeding up model inference. This may cause incompatibilities in preexisting environments.

The current version of the code is designed to run as individual modules called by Bash scripts. Sample scripts can be found in the `scripts` folder.

### Running on SLURM (Default)
Model training and inference is designed to run on a SLURM scheduling system. Importantly, a `$SLURM_JOB_ID` is needed in `train.py` to record run info, and is also used by `test.py` and `bertscore.py` to retrieve relevant evaluation files.

To use SLURM, use the scripts in `scripts/with_slurm`.

### Running without SLURM
If SLURM is not available, then `$SLURM_JOB_ID` can be set to the timestamp at the start of runtime.

For example:

```bash

export SLURM_JOB_ID=$(date +%Y%m%d_%H%M%S)

python3 create_prompts.py --num_datapoints 100 --create_custom_prompts "True" --dataset_type "train+val"

```

Refer to the scripts in `scripts/without_slurm` for some sample scripts that can be used. Optionally, other values for `$SLURM_JOB_ID` may be set, as long as the value is unique to the run.

## Reproducing the Experiments

Our experiments can be reproduced in the following steps:

1. Dataset Creation
2. Model Training

## Dataset Creation

We reproduce the [FLAN dataset](https://arxiv.org/pdf/2109.01652) based on the [code of the authors](https://github.com/google-research/FLAN/tree/main/flan), which was distributed under the Apache 2.0 License. Our implementation is based on [HuggingFace Datasets](https://huggingface.co/docs/hub/en/datasets). For each task in the original FLAN, we found the equivalent in HuggingFace Datasets and reimplemented the preprocesing in the original code to the best of our ability. However, due to the differing data sources, we note that the contents of our version may differ slightly. In all modified files, we designate the areas that were changed from the original.

The data loading is handled by `data_utils.py`. This loads all datasets mentioned in [the FLAN paper](https://arxiv.org/pdf/2109.01652), although we use only a subset of these for our experiments. Please see our paper for more details.

The preprocessing and prompt formatting is handled by `create_prompts.py`. This calls `data_utils.py` to load the data, preprocesses it, and finally formats it into one of two prompt types: *Regular Prompt* or *SampleGen Prompt*. 
  * *Regular Prompt* corresponds to the prompt formats of the original FLAN, which are included in `prompts/flan_orig.py`.
  * *SampleGen Prompt* corresponds to the prompt format that we develop for training our SampleGen models.

The resulting dataset is saved to disk.

Since we instruction-tune our models with many prompt variations, we must create separate datasets for each variation. In all cases, the procedure is the same:

1. Generate individual task datasets
2. Create a training mixture from the individual tasks

### Step 1: Generate Individual Task Datasets

First, we create and save datasets for each of our tasks, as listed in `config.py`. To generate the datasets, call the `gen_all_tasks` function from the terminal and set the desired parameters. These parameters will specify the prompt format and the amount of data to include from each task. (Note: This does **not** correspond to the amount of data in the final training mixture. This will be specified later.)

#### Parameter Description
* `--num_data`: The number of samples desired in the training split of the dataset. The size of the validation split will be set accordingly. (This is relevant for creating SampleGen Prompt, since the procedure involves partitioning the training set into two parts.)
* `--create_custom_prompts`: Set to `True` for SampleGen Prompt, `False` for Regular Prompt.
* `--dataset_type`: Either `train+val` or `test`.
* `--making_adv`: Set to `True` if the in-context samples for SampleGen should come from a different task than the target.
* `--make_gold_pipeline_test`: Set to `True` if generating a gold pipeline test dataset. This ensures that the samples will be formatted correctly.

For our experiments, the following dataset types must be created:

1. Regular Prompt
2. SampleGen Prompt
3. Gold Pipeline Test

#### 1: Regular Prompt
This is our baseline dataset, following the original FLAN dataset in prompt formatting. Configure `task_list` in `config.py` to choose the subset of tasks to include, then run `create_prompts.py`:

```bash

python3 create_prompts.py --num_datapoints 100 --create_custom_prompts "False" --dataset_type "train+val"

```

The output will be a folder titled `flan_prompts` containing the individual task datasets.

**NOTE:** To generate a dataset as close to the original FLAN dataset as possible, use the full `task_list` in `config.py`.

#### 2: SampleGen Prompt
To create our SampleGen Prompt dataset, call `create_prompts.py` with the following arguments. Importantly, we set `create_custom_prompts=True`, which ensures that the samples will be formatted in the necessary way.

```bash

python3 create_prompts.py --num_datapoints 100 --create_custom_prompts "True" --dataset_type "train+val"

```

The output will be a folder titled `mix_prompts` containing all the task datasets.

#### 3: Gold Pipeline Test Set

Our Gold Pipeline experiments require the test data to be of a specific format. This dataset must be generated and saved like the other datasets. To ensure the correct formatting, both `create_custom_prompts` and `make_gold_pipeline_test` must be set to `True`.

Call `create_prompts.py` with the following arguments:

```bash

python3 create_prompts.py --num_datapoints 100 --create_custom_prompts "True" --dataset_type "test" --make_gold_pipeline_test "True"

```

The output will be a folder titled `gold_pipeline_test`.

### Step 2: Training Mixture Generation
Once the datasets in the `mix_prompts` and `flan_prompts` folders are created, we combine these datasets into a *training mixture*.

This is done by calling `make_mixtures.py`:

```bash

python3 make_mixtures.py --prompt_format "mix_prompts"
python3 make_mixtures.py --prompt_format "flan_prompts"

```

## Step 3: Model Training
Once the dataset(s) have been created, call `train.py` with the desired parameters, e.g.:

```bash
python3 train.py --model_path_idx 1 --model_size_idx 1 --num_epochs 1 --prompts_type 0 --num_train 20000 --batch_size 2
```
The model will be saved to the `saved_models` folder and will have a unique name generated according to the timestamp at the start of training. Information about the training run (e.g. GPU architecture, hyperparameters) is saved to `train_logs.csv`.

#### Important Parameters
* `--prompts_type`: The type of prompt to train on, as listed in `train.py`.

## Model Testing
For model testing, call one of the two testing scripts: `test_regularprompt.sh` or `test_samplegen+pipeline.sh`.

#### Important Parameters
* `--run_name`: The unique timestamp of the model in `saved_models`.

The results are written to `eval_logs.csv` and `bertscore_evals.csv`

* `eval_logs.csv` contains the raw accuracy scores for multiple-choice tasks, as well as scores for generative tasks.
* `bertscore_evals.csv` contains scores for tasks evaluated using BERTScore Accuracy (mostly multiple choice tasks). The BERTScore Accuracy takes priority over the raw scores for these tasks in `eval_logs.csv`.

## Cite

If you found this repository helpful, please cite our paper:

```
@misc{bigoulaeva2025inherentlimitspretrainedllms,
      title={The Inherent Limits of Pretrained LLMs: The Unexpected Convergence of Instruction Tuning and In-Context Learning Capabilities}, 
      author={Irina Bigoulaeva and Harish Tayyar Madabushi and Iryna Gurevych},
      year={2025},
      eprint={2501.08716},
      archivePrefix={arXiv},
      primaryClass={cs.CL},
      url={https://arxiv.org/abs/2501.08716}, 
}

```

## Disclaimer

> This repository contains experimental software and is published for the sole purpose of giving additional background details on the respective publication.

arxiv2025-inherent-limits-plms

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