# The Unlocking Spell on Base LLMs: Rethinking Alignment via In-Context Learning

arXiv: https://arxiv.org/abs/2312.01552 · HTML: https://mlsanity.com/paper/2312.01552/

## Key facts

- Cited by 257 papers in the map (data through 14 Oct 2026).
- Placed in Reinforcement learning for reasoning, one of 17 directions in LLM reasoning.
- Builds on 43 of its 51 references that are in the map.
- First posted on arXiv 4 Dec 2023.

## Placed in

- LLM reasoning / [Reinforcement learning for reasoning](https://mlsanity.com/lr/reinforcement-learning-for-reasoning/)
- LLM alignment / RLHF / preference optimisation / [LLM preference optimization methods](https://mlsanity.com/alignment/llm-preference-optimization-methods/)

## Builds on (most cited first, 30 of 43)

- [Training language models to follow instructions with human feedback](https://mlsanity.com/paper/2203.02155/) (2022)
- [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)
- [Sentence-BERT: Sentence Embeddings using Siamese BERT-Networks](https://mlsanity.com/paper/1908.10084/) (2019)
- [Judging LLM-as-a-Judge with MT-Bench and Chatbot Arena](https://mlsanity.com/paper/2306.05685/) (2023)
- [RoFormer: Enhanced Transformer with Rotary Position Embedding](https://mlsanity.com/paper/2104.09864/) (2021)
- [Large Language Models are Zero-Shot Reasoners](https://mlsanity.com/paper/2205.11916/) (2022)
- [Finetuned Language Models Are Zero-Shot Learners](https://mlsanity.com/paper/2109.01652/) (2021)
- [Training a Helpful and Harmless Assistant with Reinforcement Learning from Human Feedback](https://mlsanity.com/paper/2204.05862/) (2022)
- [FlashAttention: Fast and Memory-Efficient Exact Attention with IO-Awareness](https://mlsanity.com/paper/2205.14135/) (2022)
- [Self-Instruct: Aligning Language Models with Self-Generated Instructions](https://mlsanity.com/paper/2212.10560/) (2022)
- [FlashAttention-2: Faster Attention with Better Parallelism and Work Partitioning](https://mlsanity.com/paper/2307.08691/) (2023)
- [Sparks of Artificial General Intelligence: Early experiments with GPT-4](https://mlsanity.com/paper/2303.12712/) (2023)
- [Billion-scale similarity search with GPUs](https://mlsanity.com/paper/1702.08734/) (2017)
- [G-Eval: NLG Evaluation using GPT-4 with Better Human Alignment](https://mlsanity.com/paper/2303.16634/) (2023)
- [GPTQ: Accurate Post-Training Quantization for Generative Pre-trained Transformers](https://mlsanity.com/paper/2210.17323/) (2022)
- [Rethinking the Role of Demonstrations: What Makes In-Context Learning Work?](https://mlsanity.com/paper/2202.12837/) (2022)
- [LIMA: Less Is More for Alignment](https://mlsanity.com/paper/2305.11206/) (2023)
- [MPNet: Masked and Permuted Pre-training for Language Understanding](https://mlsanity.com/paper/2004.09297/) (2020)
- [Enhancing Chat Language Models by Scaling High-quality Instructional Conversations](https://mlsanity.com/paper/2305.14233/) (2023)
- [ChatEval: Towards Better LLM-based Evaluators through Multi-Agent Debate](https://mlsanity.com/paper/2308.07201/) (2023)
- [The Flan Collection: Designing Data and Methods for Effective Instruction Tuning](https://mlsanity.com/paper/2301.13688/) (2023)
- [WizardCoder: Empowering Code Large Language Models with Evol-Instruct](https://mlsanity.com/paper/2306.08568/) (2023)
- [MAmmoTH: Building Math Generalist Models through Hybrid Instruction Tuning](https://mlsanity.com/paper/2309.05653/) (2023)
- [Catastrophic Jailbreak of Open-source LLMs via Exploiting Generation](https://mlsanity.com/paper/2310.06987/) (2023)
- [How Far Can Camels Go? Exploring the State of Instruction Tuning on Open Resources](https://mlsanity.com/paper/2306.04751/) (2023)
- [Larger language models do in-context learning differently](https://mlsanity.com/paper/2303.03846/) (2023)
- [Learning to Compress Prompts with Gist Tokens](https://mlsanity.com/paper/2304.08467/) (2023)
- [Effective Long-Context Scaling of Foundation Models](https://mlsanity.com/paper/2309.16039/) (2023)
- [Prompt Cache: Modular Attention Reuse for Low-Latency Inference](https://mlsanity.com/paper/2311.04934/) (2023)

## Built on by (most cited first, 30 of 257)

- [LESS: Selecting Influential Data for Targeted Instruction Tuning](https://mlsanity.com/paper/2402.04333/) (2024)
- [From Generation to Judgment: Opportunities and Challenges of LLM-as-a-judge](https://mlsanity.com/paper/2411.16594/) (2024)
- [Safety Alignment Should Be Made More Than Just a Few Tokens Deep](https://mlsanity.com/paper/2406.05946/) (2024)
- [Search-o1: Agentic Search-Enhanced Large Reasoning Models](https://mlsanity.com/paper/2501.05366/) (2025)
- [Magpie: Alignment Data Synthesis from Scratch by Prompting Aligned LLMs with Nothing](https://mlsanity.com/paper/2406.08464/) (2024)
- [SafeDecoding: Defending against Jailbreak Attacks via Safety-Aware Decoding](https://mlsanity.com/paper/2402.08983/) (2024)
- [Does Fine-Tuning LLMs on New Knowledge Encourage Hallucinations?](https://mlsanity.com/paper/2405.05904/) (2024)
- [WildBench: Benchmarking LLMs with Challenging Tasks from Real Users in the Wild](https://mlsanity.com/paper/2406.04770/) (2024)
- [Many-Shot In-Context Learning](https://mlsanity.com/paper/2404.11018/) (2024)
- [COLD-Attack: Jailbreaking LLMs with Stealthiness and Controllability](https://mlsanity.com/paper/2402.08679/) (2024)
- [AmpleGCG: Learning a Universal and Transferable Generative Model of Adversarial Suffixes for Jailbreaking Both Open and Closed LLMs](https://mlsanity.com/paper/2404.07921/) (2024)
- [Monitoring AI-Modified Content at Scale: A Case Study on the Impact of ChatGPT on AI Conference Peer Reviews](https://mlsanity.com/paper/2403.07183/) (2024)
- [What is in Your Safe Data? Identifying Benign Data that Breaks Safety](https://mlsanity.com/paper/2404.01099/) (2024)
- [Small Models Struggle to Learn from Strong Reasoners](https://mlsanity.com/paper/2502.12143/) (2025)
- [Weak-to-Strong Jailbreaking on Large Language Models](https://mlsanity.com/paper/2401.17256/) (2024)
- [Does Math Reasoning Improve General LLM Capabilities? Understanding Transferability of LLM Reasoning](https://mlsanity.com/paper/2507.00432/) (2025)
- [Measuring Sycophancy of Language Models in Multi-turn Dialogues](https://mlsanity.com/paper/2505.23840/) (2025)
- [LLaMA Pro: Progressive LLaMA with Block Expansion](https://mlsanity.com/paper/2401.02415/) (2024)
- [How Alignment and Jailbreak Work: Explain LLM Safety through Intermediate Hidden States](https://mlsanity.com/paper/2406.05644/) (2024)
- [Keeping LLMs Aligned After Fine-tuning: The Crucial Role of Prompt Templates](https://mlsanity.com/paper/2402.18540/) (2024)
- [The BiGGen Bench: A Principled Benchmark for Fine-grained Evaluation of Language Models with Language Models](https://mlsanity.com/paper/2406.05761/) (2024)
- [Tuning Language Models by Proxy](https://mlsanity.com/paper/2401.08565/) (2024)
- [Metacognitive Capabilities of LLMs: An Exploration in Mathematical Problem Solving](https://mlsanity.com/paper/2405.12205/) (2024)
- [InferAligner: Inference-Time Alignment for Harmlessness through Cross-Model Guidance](https://mlsanity.com/paper/2401.11206/) (2024)
- [Grokked Transformers are Implicit Reasoners: A Mechanistic Journey to the Edge of Generalization](https://mlsanity.com/paper/2405.15071/) (2024)
- [Defending Large Language Models Against Jailbreak Attacks via Layer-specific Editing](https://mlsanity.com/paper/2405.18166/) (2024)
- [A Closer Look at the Limitations of Instruction Tuning](https://mlsanity.com/paper/2402.05119/) (2024)
- [On the Role of Attention Heads in Large Language Model Safety](https://mlsanity.com/paper/2410.13708/) (2024)
- [Improved Few-Shot Jailbreaking Can Circumvent Aligned Language Models and Their Defenses](https://mlsanity.com/paper/2406.01288/) (2024)
- [Aligning Large Language Models with Representation Editing: A Control Perspective](https://mlsanity.com/paper/2406.05954/) (2024)

## Abstract (arXiv)

The alignment tuning process of large language models (LLMs) typically involves instruction learning through supervised fine-tuning (SFT) and preference tuning via reinforcement learning from human feedback (RLHF). A recent study, LIMA (Zhou et al. 2023), shows that using merely 1K examples for SFT can achieve significant alignment performance as well, suggesting that the effect of alignment tuning might be "superficial." This raises questions about how exactly the alignment tuning transforms a base LLM. We analyze the effect of alignment tuning by examining the token distribution shift between base LLMs and their aligned counterpart. Our findings reveal that base LLMs and their alignment-tuned versions perform nearly identically in decoding on the majority of token positions. Most distribution shifts occur with stylistic tokens. These direct evidence strongly supports the Superficial Alignment Hypothesis suggested by LIMA. Based on these findings, we rethink the alignment of LLMs by posing the research question: how effectively can we align base LLMs without SFT or RLHF? To address this, we introduce a simple, tuning-free alignment method, URIAL. URIAL achieves effective alignment purely through in-context learning (ICL) with base LLMs, requiring as few as three constant stylistic examples and a system prompt. We conduct a fine-grained and interpretable evaluation on a diverse set of examples, named JUST-EVAL-INSTRUCT. Results demonstrate that base LLMs with URIAL can match or even surpass the performance of LLMs aligned with SFT or SFT+RLHF. We show that the gap between tuning-free and tuning-based alignment methods can be significantly reduced through strategic prompting and ICL. Our findings on the superficial nature of alignment tuning and results with URIAL suggest that deeper analysis and theoretical understanding of alignment is crucial to future LLM research.