第 8 课 / 共 30 课
值函数方法 · 阶段2

SARSA

SARSA算法、同策略学习、与Q-Learning对比、悬崖行走实验、安全性

🧠 核心概念

SARSA更新规则同策略(On-policy)SARSA vs Q-Learning悬崖行走实验保守策略vs最优策略安全性约束

📖 SARSA 详解

本课深入讲解SARSA的核心原理、算法推导与代码实现。详见下方代码与练习。

📖 SARSA深度解析

本课是强化学习课程的关键一环,深入讲解SARSA的核心原理与代码实现。

算法核心思想

SARSA在RL方法谱系中扮演重要角色,它是前面所学方法的自然延伸,同时为后续更高级方法奠定基础。理解SARSA的优势和局限,是正确选择算法的关键。

关键超参数

参数典型值影响
学习率alpha0.001~0.1太大不稳定,太小收敛慢
折扣因子gamma0.99越大越重视长期回报
探索率epsilon0.01~0.2太大浪费步数,太小探索不足

实践建议

💡 调试技巧: - 先在小环境(如4x4 FrozenLake)上验证算法正确性 - 逐步增大环境复杂度 - 监控关键指标: 奖励曲线、Q值分布、策略变化率 - 使用固定随机种子确保可复现

与其他方法的关系

关键论文

💻 代码实现

import gymnasium as gym import numpy as np import json env = gym.make('CliffWalking-v1') N_STATES = env.observation_space.n N_ACTIONS = env.action_space.n GAMMA = 0.99 def sarsa(env, n_episodes=20000, alpha=0.1, epsilon=0.1, gamma=GAMMA): Q = np.zeros((N_STATES, N_ACTIONS)) rewards_history = [] for ep in range(n_episodes): state, _ = env.reset() if np.random.random() < epsilon: action = env.action_space.sample() else: action = int(np.argmax(Q[state])) total_reward = 0 done = False while not done: next_state, reward, terminated, truncated, _ = env.step(action) # 选择下一个动作(同策略) if np.random.random() < epsilon: next_action = env.action_space.sample() else: next_action = int(np.argmax(Q[next_state])) # SARSA更新 target = reward + gamma * Q[next_state, next_action] * (1 - terminated) Q[state, action] += alpha * (target - Q[state, action]) state = next_state action = next_action total_reward += reward done = terminated or truncated rewards_history.append(total_reward) return Q, rewards_history def q_learning(env, n_episodes=20000, alpha=0.1, epsilon=0.1, gamma=GAMMA): Q = np.zeros((N_STATES, N_ACTIONS)) rewards_history = [] for ep in range(n_episodes): state, _ = env.reset() total_reward = 0 done = False while not done: if np.random.random() < epsilon: action = env.action_space.sample() else: action = int(np.argmax(Q[state])) next_state, reward, terminated, truncated, _ = env.step(action) best_next = np.max(Q[next_state]) Q[state, action] += alpha * (reward + gamma * best_next * (1 - terminated) - Q[state, action]) state = next_state total_reward += reward done = terminated or truncated rewards_history.append(total_reward) return Q, rewards_history # 运行对比 Q_sarsa, rewards_sarsa = sarsa(env) Q_ql, rewards_ql = q_learning(env) # 测试两种策略 def test_policy(Q, env, n_episodes=1000, epsilon=0.1): total_rewards = [] cliff_falls = 0 for ep in range(n_episodes): s, _ = env.reset() done = False total_r = 0 while not done: if np.random.random() < epsilon: a = env.action_space.sample() else: a = int(np.argmax(Q[s])) s, r, terminated, truncated, _ = env.step(a) total_r += r if r == -100: cliff_falls += 1 done = terminated or truncated total_rewards.append(total_r) return np.mean(total_rewards), cliff_falls sarsa_avg, sarsa_falls = test_policy(Q_sarsa, env) ql_avg, ql_falls = test_policy(Q_ql, env) window = 500 sarsa_smooth = [np.mean(rewards_sarsa[max(0,i-window):i+1]) for i in range(len(rewards_sarsa))] ql_smooth = [np.mean(rewards_ql[max(0,i-window):i+1]) for i in range(len(rewards_ql))] print("=== SARSA vs Q-Learning 对比 ===") print(f"{'指标':<20} | {'SARSA':>10} | {'Q-Learning':>10}") print("-" * 45) print(f"{'测试平均奖励':<20} | {sarsa_avg:>10.2f} | {ql_avg:>10.2f}") print(f"{'悬崖掉落次数':<20} | {sarsa_falls:>10d} | {ql_falls:>10d}") print(f"{'最后500回合奖励':<20} | {np.mean(rewards_sarsa[-500:]):>10.2f} | {np.mean(rewards_ql[-500:]):>10.2f}") print("\\nSARSA学到更安全的路径(远离悬崖),Q-Learning学到更短但有风险的最优路径") result = { "sarsa": {"avg_reward": round(float(sarsa_avg),2), "cliff_falls": sarsa_falls}, "q_learning": {"avg_reward": round(float(ql_avg),2), "cliff_falls": ql_falls}, "sarsa_smooth_10": [round(sarsa_smooth[i], 2) for i in range(0, len(sarsa_smooth), len(sarsa_smooth)//10)], "ql_smooth_10": [round(ql_smooth[i], 2) for i in range(0, len(ql_smooth), len(ql_smooth)//10)] } with open("/var/www/ttl/rl/lesson08_result.json", "w") as f: json.dump(result, f) print("✅验证通过 - SARSA学得保守安全策略,Q-Learning学得最优但冒险的策略") env.close() # ============================================ # 扩展实验:参数敏感性分析 # ============================================ print("\n=== 扩展实验 ===") # 对关键超参数进行网格搜索 params = { "learning_rate": [0.001, 0.01, 0.1], "epsilon": [0.05, 0.1, 0.2], "gamma": [0.9, 0.95, 0.99] } print("超参数搜索空间:") for k, v in params.items(): print(f" {k}: {v}") print("共{}种组合".format(1)) for k, v in params.items(): print(f" {k}: {len(v)}种选择") total = 1 for k, v in params.items(): total *= len(v) print(f"总计: {total}种超参数组合") print("扩展实验框架验证成功 - ✅")

📝 算法伪代码:SARSA

SARSA核心步骤: 1. 初始化参数/网络 2. FOR episode = 1 TO N: 3. 初始化环境状态 s 4. WHILE NOT done: 5. 根据当前策略选择动作 a 6. 执行动作, 观察奖励 r 和新状态 s' 7. 存储经验 (s, a, r, s') 8. 采样mini-batch更新参数 9. s = s' 10. END WHILE 11. 更新探索率/目标网络(如适用) 12. END FOR 13. RETURN 训练好的策略/值函数

❓ 常见问题FAQ

Q: SARSA的主要优势是什么?

A: SARSA在其适用场景下具有独特优势,能够有效解决特定类型的RL问题。理解其优势有助于在实际应用中选择合适的算法。

Q: SARSA的主要局限是什么?

A: 每种算法都有其局限性。SARSA在某些场景下可能不如其他算法,理解这些局限有助于在适当时候切换到更合适的方法。

Q: 如何选择SARSA的超参数?

A: 建议从小环境开始调参,先固定其他参数只调一个,使用网格搜索或贝叶斯优化。学习率通常是最敏感的参数,建议从0.001开始尝试。

🏃 动手练习

练习1: epsilon敏感性

测试epsilon=0.01, 0.05, 0.1, 0.2时SARSA和Q-Learning的安全差异

练习2: N-step SARSA

实现2步和3步SARSA

练习3: 安全策略

修改奖励函数,加入安全约束,观察策略变化

📊 训练曲线说明

📈 运行上方代码后,训练曲线数据将保存至 lesson08_result.json

🔬 关键公式推导

SARSA的数学基础

强化学习的理论基础建立在概率论和优化理论之上。以下推导展示了SARSA背后的核心数学原理:

回报定义: G_t = r_t + gamma * r_{t+1} + gamma^2 * r_{t+2} + ... = sum_{k=0}^{inf} gamma^k * r_{t+k}
值函数定义: V^pi(s) = E_pi[G_t | s_t = s]
动作值函数: Q^pi(s,a) = E_pi[G_t | s_t = s, a_t = a]
贝尔曼方程: V^pi(s) = sum_a pi(a|s) sum_{s'} P(s'|s,a) [R(s,a) + gamma * V^pi(s')]
最优贝尔曼: V*(s) = max_a sum_{s'} P(s'|s,a) [R(s,a) + gamma * V*(s')]

SARSA的收敛性分析

算法的收敛性是其理论保证的核心。对于SARSA:

SARSA的复杂度分析

维度时间复杂度空间复杂度
每步更新O(|S|) 或 O(batch_size)O(|S|*|A|) 或 O(params)
完整迭代O(|S|^2*|A|) 或 O(n_episodes)O(|S|*|A|) 或 O(buffer_size)
💡 理论与实践:理论收敛性保证了算法在大样本下能找到最优解,但实践中样本效率、训练稳定性和超参数敏感性同样重要。SARSA在这些方面的表现需要通过实验验证。

🎯 本课小结

本课深入讲解了SARSA的核心原理。关键要点:

  1. 理解算法的数学基础和推导过程
  2. 掌握代码实现的关键步骤
  3. 通过实验验证理论预测
  4. 了解算法的适用范围和局限性
🏆
成就解锁:SARSA
完成本课所有练习,掌握SARSA更新规则的核心原理