arXiv:2606.16733cs.AI2026-06被引 1

从基础原理梳理大模型策略优化,揭示算法设计的底层逻辑。

A First-Principles Derivation of LLM Policy Optimization: From Expected Reward to GRPO and Its Structural Extensions

论文配图:A First-Principles Derivation of LLM Policy Optimization: From Expected Reward to GRPO and Its Structural Extensions
图 1 · 摘自论文原文
  • 以轨迹概率和奖励函数为双轴,统一分析各类优化方法
  • 指出单一侧改进无法解决复合失效问题,需联合设计
  • 为下一代大模型强化学习算法提供可扩展的理论框架

语言模型策略梯度算法均优化同一目标 $J(θ) = \mathbb{E}*{τ\sim p*θ(τ)}[R(τ)]$,该目标仅包含两个因子:轨迹概率 $p_θ(τ)$ 与奖励 $R(τ)$。从 REINFORCE 到 PPO、GRPO 及其衍生方法,均通过调整其中一个或两个因子来应对前序方法的特定缺陷。现有综述按领域或时间顺序组织,掩盖了每种设计背后的合理性及其在梯度估计器中的具体干预位置。本文从 $J(θ)$ 的第一性原理出发,以轨迹侧(由 $p_θ(τ)$ 引起)和奖励侧(由 $R(τ)$ 引起)作为二维坐标轴,重新定位各类方法,涵盖从 REINFORCE、PPO 到 GRPO 及其后继变体、代理强化学习与 GRPO-OPD。该框架具有统一性、诊断性和可扩展性:从共享目标出发,识别每种方法修改的侧向及原因,并在多场景中应用相同坐标轴。在此过程中,框架揭示了单侧修正无法解决的复合失效,要求轨迹侧与奖励侧协同设计。边界案例与耦合失效的识别,标志着现有方案的局限,也为下一代大模型策略优化算法提供了原则性起点。

原文摘要 · Abstract (English)

Policy gradient algorithms for language models optimize the same objective $J(θ) = \mathbb{E}*{τ\sim p*θ(τ)}[R(τ)]$, which has exactly two factors: the trajectory probability $p_θ(τ)$ and the reward $R(τ)$. Every method from REINFORCE to PPO to GRPO and their descendants modifies one or both factors to address a specific failure in the preceding formulation. Existing surveys organize these methods by domain or chronology, which obscures the rationale behind each design choice and the precise location of its intervention within the gradient estimator. This survey revisits the landscape of LLM policy optimization from $J(θ)$ on first principles and uses the trajectory side, induced by $p_θ(τ)$, and the reward side, induced by $R(τ)$, as the two axes along which methods are located. It covers the path from REINFORCE and PPO to GRPO, as well as post-GRPO variants, Agentic RL, and GRPO-OPD. The resulting framework is unified, diagnostic, and extensible: it analyzes methods from a shared objective, identifies which side each method modifies and why, and applies the same trajectory and reward axes across these settings. Across these settings, the framework also exposes compound failures that no single-side fix resolves and that therefore require joint design of the trajectory side and the reward side. The boundary cases and coupled failures identified by this map mark where existing solutions run out and provide a principled starting point for designing the next generation of LLM policy optimization algorithms.

强化学习大模型策略优化算法框架

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