Akifumi Wachi

Akifumi Wachi, Wataru Hashimoto, Xun Shen et al.

Safe exploration is essential for the practical use of reinforcement learning (RL) in many real-world scenarios. In this paper, we present a generalized safe exploration (GSE) problem as a unified formulation of common safe exploration problems. We then propose a solution of the GSE problem in the form of a meta-algorithm for safe exploration, MASE, which combines an unconstrained RL algorithm with an uncertainty quantifier to guarantee safety in the current episode while properly penalizing unsafe explorations before actual safety violation to discourage them in future episodes. The advantage of MASE is that we can optimize a policy while guaranteeing with a high probability that no safety constraint will be violated under proper assumptions. Specifically, we present two variants of MASE with different constructions of the uncertainty quantifier: one based on generalized linear models with theoretical guarantees of safety and near-optimality, and another that combines a Gaussian process to ensure safety with a deep RL algorithm to maximize the reward. Finally, we demonstrate that our proposed algorithm achieves better performance than state-of-the-art algorithms on grid-world and Safety Gym benchmarks without violating any safety constraints, even during training.

Shigeki Kusaka, Keita Saito, Mikoto Kudo et al.

Large language models (LLMs) are increasingly deployed in real-world systems, making it critical to understand their vulnerabilities. While data poisoning attacks during RLHF/DPO alignment have been studied empirically, their theoretical foundations remain unclear. We investigate the minimum-cost poisoning attack required to steer an LLM's policy toward an attacker's target by flipping preference labels during RLHF/DPO, without altering the compared outputs. We formulate this as a convex optimization problem with linear constraints, deriving lower and upper bounds on the minimum attack cost. As a byproduct of this theoretical analysis, we show that any existing label-flipping attack can be post-processed via our proposed method to reduce the number of label flips required while preserving the intended poisoning effect. Empirical results demonstrate that this cost-minimization post-processing can significantly reduce poisoning costs over baselines, particularly when the reward model's feature dimension is small relative to the dataset size. These findings highlight fundamental vulnerabilities in RLHF/DPO pipelines and provide tools to evaluate their robustness against low-cost poisoning attacks.

Daiki Kimura, Subhajit Chaudhury, Masaki Ono et al.

We present Logical Optimal Actions (LOA), an action decision architecture of reinforcement learning applications with a neuro-symbolic framework which is a combination of neural network and symbolic knowledge acquisition approach for natural language interaction games. The demonstration for LOA experiments consists of a web-based interactive platform for text-based games and visualization for acquired knowledge for improving interpretability for trained rules. This demonstration also provides a comparison module with other neuro-symbolic approaches as well as non-symbolic state-of-the-art agent models on the same text-based games. Our LOA also provides open-sourced implementation in Python for the reinforcement learning environment to facilitate an experiment for studying neuro-symbolic agents. Code: https://github.com/ibm/loa

Akifumi Wachi, Xun Shen, Yanan Sui

Safety is critical when applying reinforcement learning (RL) to real-world problems. As a result, safe RL has emerged as a fundamental and powerful paradigm for optimizing an agent's policy while incorporating notions of safety. A prevalent safe RL approach is based on a constrained criterion, which seeks to maximize the expected cumulative reward subject to specific safety constraints. Despite recent effort to enhance safety in RL, a systematic understanding of the field remains difficult. This challenge stems from the diversity of constraint representations and little exploration of their interrelations. To bridge this knowledge gap, we present a comprehensive review of representative constraint formulations, along with a curated selection of algorithms designed specifically for each formulation. In addition, we elucidate the theoretical underpinnings that reveal the mathematical mutual relations among common problem formulations. We conclude with a discussion of the current state and future directions of safe reinforcement learning research.

Akifumi Wachi, Thien Q. Tran, Rei Sato et al.

Safety and trustworthiness are indispensable requirements for real-world applications of AI systems using large language models (LLMs). This paper formulates human value alignment as an optimization problem of the language model policy to maximize reward under a safety constraint, and then proposes an algorithm, Stepwise Alignment for Constrained Policy Optimization (SACPO). One key idea behind SACPO, supported by theory, is that the optimal policy incorporating reward and safety can be directly obtained from a reward-aligned policy. Building on this key idea, SACPO aligns LLMs step-wise with each metric while leveraging simple yet powerful alignment algorithms such as direct preference optimization (DPO). SACPO offers several advantages, including simplicity, stability, computational efficiency, and flexibility of algorithms and datasets. Under mild assumptions, our theoretical analysis provides the upper bounds on optimality and safety constraint violation. Our experimental results show that SACPO can fine-tune Alpaca-7B better than the state-of-the-art method in terms of both helpfulness and harmlessness.

Akifumi Wachi, Wataru Hashimoto, Kazumune Hashimoto

Safety is an indispensable requirement for applying reinforcement learning (RL) to real problems. Although there has been a surge of safe RL algorithms proposed in recent years, most existing work typically 1) relies on receiving numeric safety feedback; 2) does not guarantee safety during the learning process; 3) limits the problem to a priori known, deterministic transition dynamics; and/or 4) assume the existence of a known safe policy for any states. Addressing the issues mentioned above, we thus propose Long-term Binaryfeedback Safe RL (LoBiSaRL), a safe RL algorithm for constrained Markov decision processes (CMDPs) with binary safety feedback and an unknown, stochastic state transition function. LoBiSaRL optimizes a policy to maximize rewards while guaranteeing a long-term safety that an agent executes only safe state-action pairs throughout each episode with high probability. Specifically, LoBiSaRL models the binary safety function via a generalized linear model (GLM) and conservatively takes only a safe action at every time step while inferring its effect on future safety under proper assumptions. Our theoretical results show that LoBiSaRL guarantees the long-term safety constraint, with high probability. Finally, our empirical results demonstrate that our algorithm is safer than existing methods without significantly compromising performance in terms of reward.

Thien Q. Tran, Akifumi Wachi, Rei Sato et al.

Safety alignment is an essential research topic for real-world AI applications. Despite the multifaceted nature of safety and trustworthiness in AI, current safety alignment methods often focus on a comprehensive notion of safety. By carefully assessing models from the existing safety-alignment methods, we found that, while they generally improved overall safety performance, they failed to ensure safety in specific categories. Our study first identified the difficulty of eliminating such vulnerabilities without sacrificing the model's helpfulness. We observed that, while smaller KL penalty parameters, increased training iterations, and dataset cleansing can enhance safety, they do not necessarily improve the trade-off between safety and helpfulness. We discovered that safety alignment could even induce undesired effects and result in a model that prefers generating negative tokens leading to rejective responses, regardless of the input context. To address this, we introduced a learning-free method, Token-level Safety-Debiased Inference (TSDI), to estimate and correct this bias during the generation process using randomly constructed prompts. Our experiments demonstrated that our method could enhance the model's helpfulness while maintaining safety, thus improving the trade-off Pareto-front.

Akifumi Wachi, Kohei Miyaguchi, Takumi Tanabe et al.

A longstanding goal in safe reinforcement learning (RL) is a method to ensure the safety of a policy throughout the entire process, from learning to operation. However, existing safe RL paradigms inherently struggle to achieve this objective. We propose a method, called Provably Lifetime Safe RL (PLS), that integrates offline safe RL with safe policy deployment to address this challenge. Our proposed method learns a policy offline using return-conditioned supervised learning and then deploys the resulting policy while cautiously optimizing a limited set of parameters, known as target returns, using Gaussian processes (GPs). Theoretically, we justify the use of GPs by analyzing the mathematical relationship between target and actual returns. We then prove that PLS finds near-optimal target returns while guaranteeing safety with high probability. Empirically, we demonstrate that PLS outperforms baselines both in safety and reward performance, thereby achieving the longstanding goal to obtain high rewards while ensuring the safety of a policy throughout the lifetime from learning to operation.

Runze Yan, Xun Shen, Akifumi Wachi et al.

When applying offline reinforcement learning (RL) in healthcare scenarios, the out-of-distribution (OOD) issues pose significant risks, as inappropriate generalization beyond clinical expertise can result in potentially harmful recommendations. While existing methods like conservative Q-learning (CQL) attempt to address the OOD issue, their effectiveness is limited by only constraining action selection by suppressing uncertain actions. This action-only regularization imitates clinician actions that prioritize short-term rewards, but it fails to regulate downstream state trajectories, thereby limiting the discovery of improved long-term treatment strategies. To safely improve policy beyond clinician recommendations while ensuring that state-action trajectories remain in-distribution, we propose \textit{Offline Guarded Safe Reinforcement Learning} ($\mathsf{OGSRL}$), a theoretically grounded model-based offline RL framework. $\mathsf{OGSRL}$ introduces a novel dual constraint mechanism for improving policy with reliability and safety. First, the OOD guardian is established to specify clinically validated regions for safe policy exploration. By constraining optimization within these regions, it enables the reliable exploration of treatment strategies that outperform clinician behavior by leveraging the full patient state history, without drifting into unsupported state-action trajectories. Second, we introduce a safety cost constraint that encodes medical knowledge about physiological safety boundaries, providing domain-specific safeguards even in areas where training data might contain potentially unsafe interventions. Notably, we provide theoretical guarantees on safety and near-optimality: policies that satisfy these constraints remain in safe and reliable regions and achieve performance close to the best possible policy supported by the data.

Akifumi Wachi, Yunyue Wei, Yanan Sui

Safe exploration is a key to applying reinforcement learning (RL) in safety-critical systems. Existing safe exploration methods guaranteed safety under the assumption of regularity, and it has been difficult to apply them to large-scale real problems. We propose a novel algorithm, SPO-LF, that optimizes an agent's policy while learning the relation between a locally available feature obtained by sensors and environmental reward/safety using generalized linear function approximations. We provide theoretical guarantees on its safety and optimality. We experimentally show that our algorithm is 1) more efficient in terms of sample complexity and computational cost and 2) more applicable to large-scale problems than previous safe RL methods with theoretical guarantees, and 3) comparably sample-efficient and safer compared with existing advanced deep RL methods with safety constraints.

Daiki Kimura, Masaki Ono, Subhajit Chaudhury et al.

Deep reinforcement learning (RL) methods often require many trials before convergence, and no direct interpretability of trained policies is provided. In order to achieve fast convergence and interpretability for the policy in RL, we propose a novel RL method for text-based games with a recent neuro-symbolic framework called Logical Neural Network, which can learn symbolic and interpretable rules in their differentiable network. The method is first to extract first-order logical facts from text observation and external word meaning network (ConceptNet), then train a policy in the network with directly interpretable logical operators. Our experimental results show RL training with the proposed method converges significantly faster than other state-of-the-art neuro-symbolic methods in a TextWorld benchmark.

Daiki Kimura, Subhajit Chaudhury, Akifumi Wachi et al.

Conventional deep reinforcement learning methods are sample-inefficient and usually require a large number of training trials before convergence. Since such methods operate on an unconstrained action set, they can lead to useless actions. A recent neuro-symbolic framework called the Logical Neural Networks (LNNs) can simultaneously provide key-properties of both neural networks and symbolic logic. The LNNs functions as an end-to-end differentiable network that minimizes a novel contradiction loss to learn interpretable rules. In this paper, we utilize LNNs to define an inference graph using basic logical operations, such as AND and NOT, for faster convergence in reinforcement learning. Specifically, we propose an integrated method that enables model-free reinforcement learning from external knowledge sources in an LNNs-based logical constrained framework such as action shielding and guide. Our results empirically demonstrate that our method converges faster compared to a model-free reinforcement learning method that doesn't have such logical constraints.

Ryosuke Kohita, Akifumi Wachi, Yang Zhao et al.

Unsupervised methods are promising for abstractive text summarization in that the parallel corpora is not required. However, their performance is still far from being satisfied, therefore research on promising solutions is on-going. In this paper, we propose a new approach based on Q-learning with an edit-based summarization. The method combines two key modules to form an Editorial Agent and Language Model converter (EALM). The agent predicts edit actions (e.t., delete, keep, and replace), and then the LM converter deterministically generates a summary on the basis of the action signals. Q-learning is leveraged to train the agent to produce proper edit actions. Experimental results show that EALM delivered competitive performance compared with the previous encoder-decoder-based methods, even with truly zero paired data (i.e., no validation set). Defining the task as Q-learning enables us not only to develop a competitive method but also to make the latest techniques in reinforcement learning available for unsupervised summarization. We also conduct qualitative analysis, providing insights into future study on unsupervised summarizers.

Akifumi Wachi, Yanan Sui

Safe reinforcement learning has been a promising approach for optimizing the policy of an agent that operates in safety-critical applications. In this paper, we propose an algorithm, SNO-MDP, that explores and optimizes Markov decision processes under unknown safety constraints. Specifically, we take a stepwise approach for optimizing safety and cumulative reward. In our method, the agent first learns safety constraints by expanding the safe region, and then optimizes the cumulative reward in the certified safe region. We provide theoretical guarantees on both the satisfaction of the safety constraint and the near-optimality of the cumulative reward under proper regularity assumptions. In our experiments, we demonstrate the effectiveness of SNO-MDP through two experiments: one uses a synthetic data in a new, openly-available environment named GP-SAFETY-GYM, and the other simulates Mars surface exploration by using real observation data.

Akifumi Wachi

We examine the problem of adversarial reinforcement learning for multi-agent domains including a rule-based agent. Rule-based algorithms are required in safety-critical applications for them to work properly in a wide range of situations. Hence, every effort is made to find failure scenarios during the development phase. However, as the software becomes complicated, finding failure cases becomes difficult. Especially in multi-agent domains, such as autonomous driving environments, it is much harder to find useful failure scenarios that help us improve the algorithm. We propose a method for efficiently finding failure scenarios; this method trains the adversarial agents using multi-agent reinforcement learning such that the tested rule-based agent fails. We demonstrate the effectiveness of our proposed method using a simple environment and autonomous driving simulator.

Akifumi Wachi, Hiroshi Kajino, Asim Munawar

In many real-world applications (e.g., planetary exploration, robot navigation), an autonomous agent must be able to explore a space with guaranteed safety. Most safe exploration algorithms in the field of reinforcement learning and robotics have been based on the assumption that the safety features are a priori known and time-invariant. This paper presents a learning algorithm called ST-SafeMDP for exploring Markov decision processes (MDPs) that is based on the assumption that the safety features are a priori unknown and time-variant. In this setting, the agent explores MDPs while constraining the probability of entering unsafe states defined by a safety function being below a threshold. The unknown and time-variant safety values are modeled using a spatio-temporal Gaussian process. However, there remains an issue that an agent may have no viable action in a shrinking true safe space. To address this issue, we formulate a problem maximizing the cumulative number of safe states in the worst case scenario with respect to future observations. The effectiveness of this approach was demonstrated in two simulation settings, including one using real lunar terrain data.