Stability of Control Lyapunov Function Guided Reinforcement Learning

We suggest using the Lyapunov characteristic exponent (LCE) as a dense reward signal for the reinforcement learning problem of stabilizing the inverted pendulum with vertical motion. With LCE, the agent not only successfully found the oscillatory motion known as the Kapitza pendulum but also damped the pendulum's pivoting, leaving it in a strictly upright position.

Safe reinforcement learning (RL) typically asks $\textit{what}$ an agent should do. We ask $\textit{when}$ it needs to act, and show that a single policy can jointly learn control inputs and communication-efficient timing decisions under a pointwise Lyapunov safety shield. We focus on stabilization around a known equilibrium, where CARE-based LQR backups, Lyapunov certificates, and classical Lyapunov-STC are well defined, enabling clean comparison against analytical baselines. A run-time assurance (RTA) layer overrides the policy via a one-step-ahead Lyapunov prediction and a precomputed LQR backup, providing a strictly stronger guarantee than constrained MDP methods that enforce safety only in expectation. On an inverted pendulum, cart--pole, and planar quadrotor, the learned policy achieves $1.91\times$, $1.45\times$, and $3.51\times$ higher mean inter-sample interval (MSI) than a Lyapunov-triggered baseline; a fixed LQR controller at the same average rate is unstable on all three plants, showing that adaptive timing, not a lower average rate, makes sparsity safe. A CARE-derived Lyapunov reward transfers across environments without redesign, with a single weight $w_c$ controlling the stability--communication tradeoff; ablations confirm the RTA shield is essential, with its removal reducing MSI by $1.27$--$1.84\times$ and degrading state norms. A preference-conditioned extension recovers the full tradeoff frontier from one model at $\tfrac{2}{11}$ of training compute, and SAC experiments show the results are algorithm-agnostic across discrete and continuous domains. A 12-state 3D quadrotor case study extends the framework to higher-dimensional systems where classical STC is intractable, and robustness to $\pm30\%$ mass variation and disturbances shows graceful degradation, with the RTA absorbing what the learned policy cannot.

Merely pursuing performance may adversely affect safety, while a conservative policy for safe exploration will degrade the performance. How to guarantee both safety and performance in learning-based control problems is an interesting yet challenging issue. This paper aims to enhance system performance with a safety guarantee by solving reinforcement learning (RL)-based optimal control problems for nonlinear systems subject to high-relative-degree state constraints and unknown time-varying disturbance/actuator faults. A new type of control barrier functions (CBFs), termed high-order reciprocal-based control barrier function, is proposed to handle high-relative-degree constraints, which extends the design of CBFs to enforce robust safety without knowing the disturbance bound. The concept of gradient similarity is proposed to quantify the relationship between safety and performance. Finally, gradient manipulation and adaptive mechanisms are introduced in the model-based safe RL framework to enhance the performance with a safety guarantee. Two simulation examples illustrate the efficacy of the proposed algorithms.