解决非凸空间下的安全强化学习,零违规且有理论保证。
Provably Efficient RL for Linear MDPs under Instantaneous Safety Constraints in Non-Convex Feature Spaces
- 提出OCD与两阶段算法应对非凸约束
- 实现零安全违规,理论后悔上界为O(√(d³H⁴K log(1/τ)))
- 适合自动驾驶等高安全性要求场景
在强化学习中,即时硬性约束任务面临严峻挑战,尤其当决策空间为非凸或非星凸时。该问题在自动驾驶与机器人领域尤为关键,如碰撞规避常呈非凸形式。本文建立了一个适用于星凸与非星凸情形的后悔上界:$ ilde{oldsymbol{O}}igl(igl(1 + frac{1}{τ}igr) oldsymbol{ ext{√}}igl(oldsymbol{ ext{log}}( frac{1}{τ}) oldsymbol{d^3 H^4 K}igr)igr)$,其中 $d$ 为特征维度,$H$ 为每轮长度,$K$ 为总轮数,$τ$ 为安全阈值。整个学习过程中安全约束违反概率为零。核心技术难点在于价值函数类覆盖数的控制,为此我们提出目标约束分解(OCD)方法以有效控制星凸情形的覆盖数,并修正了先前工作中的错误。在非星凸情况下,由于覆盖数可能无限大,我们设计两阶段算法NCS-LSVI:第一阶段通过执行已知安全策略降低对安全集的不确定性;第二阶段则精细平衡探索与利用,最终达到前述后悔上界。数值实验在自动驾驶场景中验证了NCS-LSVI的有效性。
原文摘要 · Abstract (English)
In Reinforcement Learning (RL), tasks with instantaneous hard constraints present significant challenges, particularly when the decision space is non-convex or non-star-convex. This issue is especially relevant in domains like autonomous vehicles and robotics, where constraints such as collision avoidance often take a non-convex form. In this paper, we establish a regret bound of $\tilde{\mathcal{O}}\bigl(\bigl(1 + \tfrac{1}τ\bigr) \sqrt{\log(\tfrac{1}τ) d^3 H^4 K} \bigr)$, applicable to both star-convex and non-star-convex cases, where $d$ is the feature dimension, $H$ the episode length, $K$ the number of episodes, and $τ$ the safety threshold. Moreover, the violation of safety constraints is zero with high probability throughout the learning process. A key technical challenge in these settings is bounding the covering number of the value-function class, which is essential for achieving value-aware uniform concentration in model-free function approximation. For the star-convex setting, we develop a novel technique called Objective Constraint-Decomposition (OCD) to properly bound the covering number. This result also resolves an error in a previous work on constrained RL. In non-star-convex scenarios, where the covering number can become infinitely large, we propose a two-phase algorithm, Non-Convex Safe Least Squares Value Iteration (NCS-LSVI), which first reduces uncertainty about the safe set by playing a known safe policy. After that, it carefully balances exploration and exploitation to achieve the regret bound. Finally, numerical simulations on an autonomous driving scenario demonstrate the effectiveness of NCS-LSVI.
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