Provably Optimal Reinforcement Learning under Safety Filtering
Not on the map. Why?
Abstract (arXiv)
Recent advances in reinforcement learning (RL) enable its use on increasingly complex tasks, but the lack of formal safety guarantees still limits its application in safety-critical settings. A common practical approach is to augment the RL policy with a safety filter that overrides unsafe actions to prevent failures during both training and deployment. However, safety filtering is often perceived as sacrificing performance and hindering the learning process. We show that this perceived safety-performance tradeoff is not inherent and prove, for the first time, that enforcing safety with a sufficiently permissive safety filter does not degrade asymptotic performance. We formalize RL safety with a safety-critical Markov decision process (SC-MDP), which requires categorical, rather than high-probability, avoidance of catastrophic failure states. Additionally, we define an associated filtered MDP in which all actions result in safe effects, thanks to a safety filter that is considered to be a part of the environment. Our main theorem establishes that (i) learning in the filtered MDP is safe categorically, (ii) standard RL convergence carries over to the filtered MDP, and (iii) any policy that is optimal in the filtered MDP, when executed through the same filter, achieves the same asymptotic return as the best safe policy in the SC-MDP, yielding a complete separation between safety enforcement and performance optimization. We validate the theory on Safety Gymnasium with representative tasks and constraints, observing zero violations during training and final performance matching or exceeding unfiltered baselines. Together, these results shed light on a long-standing question in safety-filtered learning and provide a simple, principled recipe for safe RL: train and deploy RL policies with the most permissive safety filter that is available.
Key facts. Cited by 2 papers in the map (data through 7 Oct 2026). Builds on 41 of its 55 references that are in the map. First posted on arXiv 20 Oct 2025.
Builds on
41 of 55 references.
References · 41
- 2018Soft Actor-Critic: Off-Policy Maximum Entropy Deep Reinforcement Learning with a Stochastic Actorcited by 4,635
- 2017Constrained Policy Optimizationcited by 928
- 2017Safe Reinforcement Learning via Shieldingcited by 427
- 2018Reward Constrained Policy Optimizationcited by 397
- 2017Safe Model-based Reinforcement Learning with Stability Guaranteescited by 347
- 2019Control Barrier Functions: Theory and Applicationscited by 332
- 2015Risk-Constrained Reinforcement Learning with Percentile Risk Criteriacited by 320
- 2020Responsive Safety in Reinforcement Learning by PID Lagrangian Methodscited by 302
- 2018A Lyapunov-based Approach to Safe Reinforcement Learningcited by 278
- 2016Control Barrier Function Based Quadratic Programs for Safety Critical Systemscited by 261
- 2019End-to-End Safe Reinforcement Learning through Barrier Functions for Safety-Critical Continuous Control Taskscited by 256
- 2017Hamilton-Jacobi Reachability: A Brief Overview and Recent Advancescited by 186
29 more
- 2023Safety-Gymnasium: A Unified Safe Reinforcement Learning Benchmarkcited by 135
- 2025Safety Tax: Safety Alignment Makes Your Large Reasoning Models Less Reasonablecited by 120
- 2018A predictive safety filter for learning-based control of constrained nonlinear dynamical systemscited by 91
- 2020Learning Control Barrier Functions from Expert Demonstrationscited by 88
- 2018The Lyapunov Neural Network: Adaptive Stability Certification for Safe Learning of Dynamical Systemscited by 87
- 2020DeepReach: A Deep Learning Approach to High-Dimensional Reachabilitycited by 81
- 2023The Safety Filter: A Unified View of Safety-Critical Control in Autonomous Systemscited by 77
- 2017PRM-RL: Long-range Robotic Navigation Tasks by Combining Reinforcement Learning and Sampling-based Planningcited by 64
- 2020Neurosymbolic Reinforcement Learning with Formally Verified Explorationcited by 49
- 2022Safe Reinforcement Learning via Shielding under Partial Observabilitycited by 49
- 2021Safe Reinforcement Learning Using Robust Control Barrier Functionscited by 44
- 2025Generalizing Safety Beyond Collision-Avoidance via Latent-Space Reachability Analysiscited by 44
- 2023Safe Reinforcement Learning via Probabilistic Logic Shieldscited by 41
- 2018Linear model predictive safety certification for learning-based controlcited by 34
- 2023Iterative Reachability Estimation for Safe Reinforcement Learningcited by 33
- 2020Verifiably Safe Exploration for End-to-End Reinforcement Learningcited by 32
- 2020Safe Reinforcement Learning via Projection on a Safe Set: How to Achieve Optimality?cited by 29
- 2020On Infusing Reachability-Based Safety Assurance within Planning Frameworks for Human-Robot Vehicle Interactionscited by 24
- 2022ISAACS: Iterative Soft Adversarial Actor-Critic for Safetycited by 24
- 2022Provably Safe Reinforcement Learning via Action Projection using Reachability Analysis and Polynomial Zonotopescited by 23
- 2019Learning-based Model Predictive Control for Safe Exploration and Reinforcement Learningcited by 16
- 2023Active Uncertainty Reduction for Safe and Efficient Interaction Planning: A Shielding-Aware Dual Control Approachcited by 13
- 2024Gameplay Filters: Robust Zero-Shot Safety through Adversarial Imaginationcited by 12
- 2024Safety Filtering While Training: Improving the Performance and Sample Efficiency of Reinforcement Learning Agentscited by 11
- 2025Safety with Agency: Human-Centered Safety Filter with Application to AI-Assisted Motorsportscited by 6
- 2025Resolving Conflicting Constraints in Multi-Agent Reinforcement Learning with Layered Safetycited by 6
- 2024MAGICS: Adversarial RL with Minimax Actors Guided by Implicit Critic Stackelberg for Convergent Neural Synthesis of Robot Safetycited by 5
- 2025Safe Reinforcement Learning using Action Projection: Safeguard the Policy or the Environment?cited by 5
- 2023Safety-Critical Control under Multiple State and Input Constraints and Application to Fixed-Wing UAVcited by 1
Built on by
Citing papers per year: 2026: 2.
2 papers.