Paper:
Is Q-learning Provably Efficient?
Model-free reinforcement learning (RL) algorithms, such as Q-learning, directly parameterize and update value functions or policies without explicitly modeling the environment. They are typically simpler, more flexible to use, and thus more prevalent in modern deep RL than model-based approaches. However, empirical work has suggested that model-free algorithms may require more samples to learn [7,22]. The theoretical question of "whether model-free algorithms can be made sample efficient" is one of the most fundamental questions in RL, and remains unsolved even in the basic scenario with finitely many states and actions. We prove that, in an episodic MDP setting, Q-learning with UCB exploration achieves regretÕ( √ H 3 SAT ), where S and A are the numbers of states and actions, H is the number of steps per episode, and T is the total number of steps. This sample efficiency matches the optimal regret that can be achieved by any model-based approach, up to a single √ H factor. To the best of our knowledge, this is the first analysis in the model-free setting that establishes √ T regret without requiring access to a "simulator."

Review:
Is Q-learning Provably Efficient? =================================  This paper studies the problem of efficient exploration in finite episodic MDPs. They present a variant of optimistic initialization + tuned learning rates for Q-learning that recover a UCB-style algorithm. The main contribution of this work is a polynomial regret bound for perhaps one of the most iconic "model-free" algorithms.    There are several things to like about this paper:  - Q-learning is perhaps the classic intro to RL algorithms, so it's nice to see that we can recover sample efficient guarantees for a variant of this algorithm.  - The writing/structure of the paper is clear and appealing; particularly given a potentially dry/analytical subject matter - good job!  - There is some genuine new result in this paper, the first "worst-case" sqrt{T} regret bounds for a model-free RL algorithm + a clear exposition. The computational time is also particularly appealing  compared to existing model-free algorithms with sqrt{T} *expected* (Bayesian) regret (such as RLSVI), which have much higher computational and memory requirements.  - Trading off the statistical complexity (regret) with the computational complexity (time/space) is a clearly valuable element of the discussion in this literature, and one that is often overlooked. The concise presentation in Table 1 is laudable and will help to clarify the field for many.    However, the paper also has a few shortcomings:  - The bounds are *not* the first sqrt{T} bounds for model-free reinforcement learning... at least not according to the definition offered in the first paragraph of this paper. That distinction goes to "randomized least squares value iteration" from "Generalization and Exploration via Randomized Value Functions" see https://arxiv.org/abs/1402.0635 or more complete presentation/analysis in https://arxiv.org/abs/1703.07608. It should be noted that that analysis is given in terms of the Bayesian Expected regret, not the worst case regret as studied here... but if you want to claim the first sqrt{T} bounds then I think it is very important to qualify this technical distinction. It is interesting to provide a similar algorithm with worst-case guarantees... but I don't think it's as big a jump. Note too that the quality of these bounds esentially matches that of RLSVI.... but unlike RLSVI this algorithm does not naturally extend to generalization.  - The point above greatly affects the novelty and impact of this paper. In addition, most of the technical results / analysis approach is really derived from a similar line of work, that begins with RLSVI -> UCBVI -> This Q-learning analysis.  - Note, on the positive side here, that there are potential other definitions of memory/runtime that do distinguish this analysis and mean that, within *that* class of models this is the first provably-efficient application of UCB and this is a great contribution especially given the central status of Q-learning!  - The distinction between model-free and model-based in this tabular context is not really as big a distinction as the paper makes out. In many ways this paper feels like a way of relabelling the memory requirements of UCBVI [5] by separating each estimation problem to be independent at each timestep. Most of the tools seem to be repurposed from the "standard library". The real benefit seems to come from computational savings that are afforded by the extra H-dependence.  - Actually this issue of learning a distinct Q for each "timestep" and particular NOT SHARING DATA across timesteps sidesteps one of the key difficulties in the analysis of UCBVI + related algorithms. That's OK, but it feels like the paper is hiding some of that, whereas I think it should take center stage to help explain what is going on here.  - Q-learning is interesting to study particularly because of its connection to DQN... but I'm not convinced that this paper really gives us much insight that we can carry over to RL with function approximation. I think "practioners" already knew that UCB is theoretically better than e-greedy and I'm really not convinced by the suggestion that practitioners use a learning rate O(H) at the start... I think that only applies when you have a tabular Q separated at each timestep... this "key takeaway" could even be damaging if it is wrong! The interesting setting is Q learning with function approximation, but this presentation is misleading if it makes people think Q-learning with function approximation is efficient. Furthermore, it is well known that *everyone* using neural networks typically tunes the learning rate over orders of magnitude, so I'm not sure that this claim of O(H/t) vs O(1/t) really affords anything interesting.  - The other observation that UCB affords better treatment of uncertainty is better than epsilon-greedy is also essentially vacuous... epsilon-greedy doesn't maintain any treatment of uncertainty!    Overall I think that this is a reasonable and even good paper in many parts. I've gone back to this review more than any other paper in my batch of reviews and in many ways it does leave me torn:  There are significant issues in the novelty, particularly in their claim to be the first sqrt{T} regret bound model-free RL algorithm - which is incorrect according to the paper's definitions and thus cannot be accepted in its current state. Many of the other claims are overblown or even misleading to "practitioners", where generalization should of course be a primary concern.  On the other hand, if the authors can address some of the objections then I think it could be further improved and it will be a great candidate for another conference or potentially here. The existence of previous "model-free" algorithms does not negate the contribution of this work and, with respect to time and space, this is a clear improvement for the tabular finite horizon setting.  Due to the issues I have raised I have sided with a rejection... I think there are just too many issues and too essential a rewrite to recommend acceptance without access to the camera-ready version. However, I feel confident that it *will* be possible to address these issues for a future version and that this will help to make it a better paper. I've indicated a 5/10 as hope to reflect this dual-sided view.  ========================================== Amended post-rebuttal  Thank you to the authors for your thoughtful rebuttal. I really agree with the points that you make... and I just want to point out that this type of discussion is *not* present in the version of the paper you submitted. My worries are not based in whether or not this paper can/should be a great contribution - I think so, more that the way it is currently presented is potentially misleading.  For example, the proposed definition of model-free differs greatly from what is currently in the paper and that's important. I think that a discussion on this topic is particularly valuable and helps to clarify the contribution of this work. - For RLSVI I think it would be helpful to mention the complexity in terms of D=dimension of approximating basis functions, but of course the only case with proven regret bounds are for D=SA.  On the topic of distinct Q and RL with function approximation, it's not so much that I think it's unworthy to study this simpler situation - I think it's a great first step. More, that I worry the claims for "practitioner" who applies Q-learning with neural network and discounted problem might be overstated. I'm not sure that the same conclusions apply in this setting, what does it mean to do optimistic initialization for neural networks + SGD?  My worry following the rebuttal is how many of these points / amendments would actually make it into a final camera ready version. However, under the understanding that the area chair would enforce this requirement I will upgrade my review to a 6.