arXiv:2607.17823cs.LG2026-07

破解多候选评估的强化学习理论难题,揭示策略设计新范式。

Theoretical Foundations of $\max$@$k$ Reinforcement Learning

  • 提出状态扩展方法,使非马尔可夫策略可实现最优性能
  • 证明最大k指标下学习难度高于传统强化学习
  • 给出最优样本复杂度算法,适合复杂推理任务

强化学习是现代大模型推理的核心技术。在代码生成、定理证明等复杂任务中,通常生成K个响应并采用$\ ext{max}@$k$等重试感知指标评估性能。尽管这类方法实用性强,其理论基础仍不完善。本文针对有限时域强化学习中的$\ ext{max}@$k$学习问题提供理论分析:证明优化$\ ext{max}@$k$目标与标准期望回报最大化本质不同;指出马尔可夫策略一般不足,提出紧凑的状态扩展以恢复最优性;明确刻画历史依赖与非历史依赖策略间的性能差距。此外,证明$\ ext{max}@$k$最优策略学习在统计上更困难,并设计出达到最优样本复杂度率的高效算法。

原文摘要 · Abstract (English)

Reinforcement Learning is a cornerstone technique for modern large reasoning models. Usually, for difficult tasks such as code generation and theorem proving, the agent is evaluated by generating $K$ responses rather than sampling a single response, and performance is then measured using a retry-aware metric such as $\max$@$k$. Despite their practical importance, the theoretical foundations of learning under such criteria remain limited. In this work, we provide a theoretical study of the $\max$@$k$ learning problem in finite-horizon reinforcement learning. We show that optimizing the $\max$@$k$ objectives is fundamentally different from standard expected-return maximization. In particular, we prove that Markovian policies are in general insufficient, identify a compact state augmentation that restores optimality, and explicitly characterize the performance gap that can arise between history-dependent and non-history-dependent policies. Moreover, we show that learning $\max$@$k$-optimal policies is statistically harder than standard reinforcement learning and provide an efficient algorithm that achieves the optimal sample complexity rate.

强化学习理论分析多候选评估策略优化

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