Towards Conversational QA: Automatic Identification of Problematic Situations and User Intent Joyce Y. Chai Chen Zhang Tyler Baldwin Department of Computer Science and Engineering Michigan State University East Lansing, MI 48824 {jchai, zhangch6, baldwi96 }@cse.msu.edu Abstract To enable conversational QA, it is important to examine key issues addressed in conversational systems in the context of question answering. In conversational systems, understanding user intent is critical to the success of interaction. Recent studies have also shown that the capability to automatically identify problematic situations during interaction can significantly improve the system performance. Therefore, this paper investigates the new implications of user intent and problematic situations in the context of question answering. Our studies indicate that, in basic interactive QA, there are different types of user intent that are tied to different kinds of system performance (e.g., problematic/error free situations). Once users are motivated to find specific information related to their information goals, the interaction context can provide useful cues for the system to automatically identify problematic situations and user intent. 1 Introduction Interactive question answering (QA) has been identified as one of the important directions in QA research (Burger et al., 2001). One ultimate goal is to support intelligent conversation between a user and a QA system to better facilitate user information needs. However, except for a few systems that use dialog to address complex questions (Small et al., 2003; Harabagiu et al., 2005), the general dialog capabilities have been lacking in most ques This work was partially supported by IIS-0347548 from the National Science Foundation. tion answering systems. To move towards conversational QA, it is important to examine key issues relevant to conversational systems in the context of interactive question answering. This paper focuses on two issues related to conversational QA. The first issue is concerned with user intent. In conversational systems, understanding user intent is the key to the success of the interaction. In the context of interactive QA, one question is what type of user intent should be captured. Unlike most dialog systems where user intent can be characterized by dialog acts such as question, reply, and statement, in interactive QA, user inputs are already in the form of question. Then the problems become whether there are different types of intent behind these questions that should be handled differently by a QA system and how to automatically identify them. The second issue is concerned with problematic situations during interaction. In spoken dialog systems, many problematic situations could arise from insufficient speech recognition and language understanding performance. Recent work has shown that the capability to automatically identify problematic situations (e.g., speech recognition errors) can help control and adapt dialog strategies to improve performance (Litman and Pan, 2000). Similarly, QA systems also face challenges of technology limitation from language understanding and information retrieval. Thus one question is, in the context of interactive QA, how to characterize problematic situations and automatically identify them when they occur. In interactive QA, these two issues are intertwined. Questions formed by a user not only depend on his/her information goals, but are also influenced by the answers from the system. Problematic situations will impact user intent in the 57 Proceedings of the COLING/ACL 2006 Main Conference Poster Sessions, pages 57­64, Sydney, July 2006. c 2006 Association for Computational Linguistics follow-up questions, which will further influence system performance. Both the awareness of problematic situations and understanding of user intent will allow QA systems to adapt better strategies during interaction and move towards intelligent conversational QA. To address these two questions, we conducted a user study where users interacted with a controlled QA system to find information of interest. These controlled studies allowed us to focus on the interaction aspect rather than information retrieval or answer extraction aspects. Our studies indicate that in basic interactive QA where users always ask questions and the system always provides some kind of answers, there are different types of user intent that are tied to different kinds of system performance (e.g., problematic/error free situations). Once users are motivated to find specific information related to their information goals, the interaction context can provide useful cues for the system to automatically identify problematic situations and user intent. 2 Related Work Open domain question answering (QA) systems are designed to automatically locate answers from large collections of documents to users' natural language questions. In the past few years, automated question answering techniques have advanced tremendously, partly motivated by a series of evaluations conducted at the Text Retrieval Conference (TREC) (Voorhees, 2001; Voorhees, 2004). To better facilitate user information needs, recent trends in QA research have shifted towards complex, context-based, and interactive question answering (Voorhees, 2001; Small et al., 2003; Harabagiu et al., 2005). For example, NIST initiated a special task on context question answering in TREC 10 (Voorhees, 2001), which later became a regular task in TREC 2004 (Voorhees, 2004) and 2005. The motivation is that users tend to ask a sequence of related questions rather than isolated single questions to satisfy their information needs. Therefore, the context QA task was designed to investigate the system capability to track context through a series of questions. Based on context QA, some work has been done to identify clarification relations between questions (Boni and Manandhar, 2003). However context QA is different from interactive QA in that context questions are specified ahead of time rather than incrementally 58 as in an interactive setting. Interactive QA has been applied to process complex questions. For analytical and non-factual questions, it is hard to anticipate answers. Clarification dialogues can be applied to negotiate with users about the intent of their questions (Small et al., 2003). Recently, an architecture for interactive question answering has been proposed based on a notion of predictive questioning (Harabagiu et al., 2005). The idea is that, given a complex question, the system can automatically identify a set of potential follow-up questions from a large collection of question-answer pairs. The empirical results have shown the system with predictive questioning is more efficient and effective for users to accomplish information seeking tasks in a particular domain (Harabagiu et al., 2005). The work reported in this paper addresses a different aspect of interactive question answering. Both issues raised earlier (Section 1) are inspired by earlier work on intelligent conversational systems. Automated identification of user intent has played an important role in conversational systems. Tremendous amounts of work has focused on this aspect (Stolcke et al., 2000). To improve dialog performance, much effort has also been put on techniques to automatically detect errors during interaction. It has shown that during human machine dialog, there are sufficient cues for machines to automatically identify error conditions (Levow, 1998; Litman et al., 1999; Hirschberg et al., 2001; Walker et al., 2002). The awareness of erroneous situations can help systems make intelligent decisions about how to best guide human partners through the conversation and accomplish the tasks. Motivated by these earlier studies, the goal of this paper is to investigate whether these two issues can be applied in question answering to facilitate intelligent conversational QA. 3 User Studies We conducted a user study to collect data concerning user behavior in a basic interactive QA setting. We are particularly interested in how users respond to different system performance and its implication in identifying problematic situations and user intent. As a starting point, we characterize system performance as either problematic, which indicates the answer has some problem, or error-free, which indicates the answer is correct. In this section, we first describe the methodology and the system used in this effort and then discuss the observed user behavior and its relation to problematic situations and user intent. 3.1 Methodology and System 3.2 Experiments The system used in our experiments has a user interface that takes a natural language question and presents an answer passage. Currently, our interface only presents to the user the top one retrieved result. This simplification on one hand helps us focus on the investigation of user responses to different system performances and on the other hand represents a possible situation where a list of potential answers may not be practical (e.g., through PDA or telephone line). We implemented a Wizard-of-Oz (WOZ) mechanism in the interaction loop to control and simulate problematic situations. Users were not aware of the existence of this human wizard and were led to believe they were interacting with a real QA system. This controlled setting allowed us to focus on the interaction aspect rather than information retrieval or answer extraction aspect of question answering. More specifically, during interaction after each question was issued, a random number generator was used to decide if a problematic situation should be introduced. If the number indicated no, the wizard would retrieve a passage from a database with correct question/answer pairs. Note that in our experiments we used specific task scenarios (described later), so it was possible to anticipate user information needs and create this database. If the number indicated that a problematic situation should be introduced, then the Lemur retrieval engine 1 was used on the AQUAINT collection to retrieve the answer. Our assumption is that AQUAINT data are not likely to provide an exact answer given our specific scenarios, but they can provide a passage that is most related to the question. The use of the random number generator was to control the ratio between the occurrence of problematic situations and error-free situations. In our initial investigation, since we are interested in observing user behavior in problematic situations, we set the ratio as 50/50. In our future work, we will vary this ratio (e.g., 70/30) to reflect the performance of state-ofthe-art factoid QA and investigate the implication of this ratio in automated performance assessment. 1 Eleven users participated in our study. Each user was asked to interact with our system to complete information seeking tasks related to four specific scenarios: the 2004 presidential debates, Tom Cruise, Hawaii, and Pompeii. The experimental scenarios were further divided into two types: structured and unstructured. In the structured task scenarios (for topics Tom Cruise and Pompeii), users had to fill in blanks on a diagram pertaining to the given topic. Using the diagram was to avoid the influence of these scenarios on the language formation of the relevant questions. Because users must find certain information, they were constrained in the range of questions in which they could ask, but not the way they ask those questions. The task was completed when all of the blanks on the diagram were filled. The structured scenarios were designed to mimic the real information seeking practice in which users have real motivation to find specific information related to their information goals. In the unstructured scenarios (for topics the 2004 presidential debates and Hawaii), users were given a general topic to investigate, but were not required to find specific information. This gave the user the ability to ask a much wider range of questions than the structured scenarios. Users were generally in an exploration mode when performing these unstructured tasks. They were not motivated to find specific information and were content with any information provided by the system. In our view, the unstructured scenarios are less representative of the true information seeking situations. 3.3 Observations and Analysis http://www-2.cs.cmu.edu/ lemur/ From our studies, a total of 44 interaction sessions with 456 questions were collected. Figure 1 shows an example of a fragment of interaction related to Tom Cruise. In this example, both problematic situations applied to answers (e.g., Problematic and Error-Free) and user intent (described later) applied to questions are annotated. There are several observations from this data. First, questions formed during interactive QA tend to be self-contained and free of definite noun phrases, pronouns, or ellipsis. Only one question in the entire data set has a pronoun (i.e., What are the best movies with Tom Cruise in them?). Even in this case, the pronoun them did not refer to any entities that occurred previously in the 59 # Q1 A1 Question/Answer When was Tom Cruise born? ... Based on the memoir of combat veteran Ron Kovic, the film stars Tom Cruise as Kovic, whose gunshot wound in Vietnam left him paralyzed from the chest down. ....a powerfully intimate portrait that unfolds on an epic scale, Born on the Fourth of July is arguably Stone's best film (if you can forgive its often strident tone), ..... What year was Tom Cruise born? ...Thomas Cruise Mapother IV was born on the 3rd of July, 1962 (eerily similar to his film Born on the 4th of July), in Syracuse, New York. He was the only boy of four children.... What does Tom Cruise do for a living? ...you get a very nice role that shows you differently, not the heavy, and you're working with a George Clooney or a Tom Cruise or a Nicolas Cage or a Martin Scorsese. I can live with that ... What is Tom Cruise's profession? ...So we may agree that Cruise's professional standing accounts for some measure of his fame.... What are the best movies with Tom Cruise in them? ...Cruise proved his dramatic talents in the 1988 drama Rain Man, where he costarred with Oscar-winner Dustin Hoffman. Oliver Stone's Born on the Fourth of July (1989) earned him a Best Actor Oscar nomination for his hard-hitting portrayal of anti-war activist Ron Kovic.... Annotation Problematic Q2 A2 Re-try Error-Free New unstruct. struct. entire Rephrase unstruct. struct. entire Total-unst Total-st Total-ent Problematic Switch 29 29 58 Re-try 19 102 121 48 131 179 Error-free Continue 90 133 223 Negotiate 4 6 10 94 139 233 Total 119 162 281 23 108 131 142 270 412 Q3 A3 Continue Problematic Table 1: Categorization of user intent with the corresponding number of occurrences from the unstructured scenarios, the structured scenarios, and the entire dataset. the user to clarify a previous question or answer. One possible explanation is that the current investigation was conducted in a basic interactive mode where the system was only capable of providing some sort of answers. This may limit users' expectation in the kind of questions that can be handled by the system. Our assumption is that, once the QA system becomes more intelligent and able to carry on conversation, different types of questions (i.e., other than rephrase or new) will be observed. This hypothesis certainly needs to be validated in a conversational setting. The third observation is that the rephrased questions seem to strongly correlate with problematic situations, although not always. New questions cannot distinguish a problematic situation from an error-free situation. Table 1 shows the statistics from our data about different combinations of new/rephrase questions and performance situations2 . What is interesting is that these different combinations can reflect different types of user intent behind the questions. More specifically, given a question, four types of user intent can be captured with respect to the context (e.g., the previous question and answer) Continue indicates that the user is satisfied with the previous answer and now moves on to this new question. Switch indicates that the user has given up on the previous question and now moves on to this The last question from each interaction session is not included in these statistics because there is no follow-up question after that. 2 Q4 A4 Re-try Problematic Switch Error-Free Q5 A5 Figure 1: An example fragment of interaction QA process. This phenomenon could be caused by how the answers are presented. Unlike specific answer entities, the answer passages provided by our system do not support the natural use of referring expressions in the follow-up questions. Another possible explanation could be that in an interactive environment, users seem to be more aware of the potential limitation of a computer system and thus tend to specify self-contained questions in a hope to reduce the system's inference load. The second observation is about user behavior in response to different system performances (i.e., problematic or error-free situations). We were hoping to see different strategies users might apply to deal with the problematic situations. However, based on the data, we found that when a problem occurred, users either rephrased their questions (i.e., the same question expressed in a different way) or gave up the question and went on specifying a new question. (Here we use Rephrase and New to denote these two kinds of behaviors.) We have not observed any sub-dialogs initiated by 60 new question. Re-try indicates that the user is not satisfied with the previous answer and now tries to get a better answer. Negotiate indicates that the user is not satisfied with the previous answer (although it appears to be correct from the system's point of view) and now tries to get a better answer for his/her own needs. Table 1 summarizes these different types of intent together with the number of corresponding occurrences from both structured and unstructured scenarios. Since in the unstructured scenarios it was hard to anticipate user's questions and therefore take a correct action to respond to a problematic/error-free situation, the distribution of these two situations is much more skewed than the distribution for the structured scenarios. Also as mentioned earlier, in unstructured scenarios, users lacked the motivation to pursue specific information, so the ratio between switch and re-try is much larger than that observed in the structured scenarios. Nevertheless, we did observe different user behavior in response to different situations. As discussed later in Section 5, identifying these finegrained intents will allow QA systems to be more proactive in helping users find satisfying answers. 4.1 Features 4 Automatic Identification of Problematic Situations and User Intent Given the discussion above, the next question is how to automatically identify problematic situations and user intent. We formulate this as a classification problem. Given a question Qi , its answer Ai , and the follow-up question Qi+1 : (1) Automatic identification of problematic situations is to decide whether Ai is problematic (i.e., correct or incorrect) based on the follow-up question Qi+1 and the interaction context. This is a binary classification problem. (2) Automatic identification of user intent is to identify the intent of Qi+1 given the interaction context. Because we only have very limited instances of Negotiate (see Table 1), we currently merge Negotiate with Re-try since both of them represent a situation where a better answer is requested. Thus, this problem becomes a trinary classification problem. To build these classifiers, we identified a set of features, which are illustrated next. 61 Given a question Qi , its answer Ai , and the followup question Qi+1 , the following set of features are used: Target matching(TM): a binary feature indicating whether the target type of Qi+1 is the same as the target type of Qi . Our data shows that the repetition of the target type may indicate a rephrase, which could signal a problematic situation has just happened. Named entity matching (NEM): a binary feature indicating whether all the named entities in Qi+1 also appear in Qi . If no new named entity is introduced in Qi+1 , it is likely Qi+1 is a rephrase of Qi . Similarity between questions (SQ): a numeric feature measuring the similarity between Qi+1 and Qi . Our assumption is that the higher the similarity is, the more likely the current question is a rephrase to the previous one. Similarity between content words of questions (SQC): this feature is similar to the previous feature (i.e., SQ) except that the similarity measurement is based on the content words excluding named entities. This is to prevent the similarity measurement from being dominated by the named entities. Similarity between Qi and Ai (SA): this feature measures how close the retrieved passage matches the question. Our assumption is that although a retrieved passage is the most relevant passage compared to others, it still may not contain the answer (e.g., when an answer does not even exist in the data collection). Similarity between Qi and Ai based on the content words (SAC): this feature is essentially the same as the previous feature (SA) except that the similarity is calculated after named entities are removed from the questions and answers. Note that since our data is currently collected from simulation studies, we do not have the confidence score from the retrieval engine associated with every answer. In practice, the confidence score can be used as an additional feature. Since our focus is not on the similarity measurement but rather the use of the measurement in the classification models, our current similarity measurement is based on a simple approach that measures commonality and difference between two objects as proposed by Lin (1998). More specifically, the following equation is applied to measure the similarity between two chunks of text T1 and T2 : sim1 (T1 , T2 ) = - log P (T1 T2 ) - log P (T1 T2 ) Assume the occurrence of each word is independent, then: - sim1 (T1 , T2 ) = - w w log P (w) T1 T2 log P (w) T1 T2 where P (w) was calculated based on the data used in the previous TREC evaluations. 4.2 Identification of Problematic Situations To identify problematic situations, we experimented with three different classifiers: Maximum Entropy Model (MEM) from MALLET3, SVM from SVM-Light4 , and Decision Trees from WEKA5 . A leave-one-out validation was applied where one interaction session was used for testing and the remaining interaction sessions were used for training. Table 2 shows the performance of the three models based on different combinations of features in terms of classification accuracy. The baseline result is the performance achieved by simply assigning the most frequently occurred class. For the unstructured scenarios, the performance of the classifiers is rather poor, which indicates that it is quite difficult to make any generalization based on the current feature sets when users are less motivated in finding specific information. For the structured scenarios, the best performance for each model is highlighted in bold in Table 2. The Decision Tree model achieves the best performance of 77.8% in identifying problematic situations, which is more than 25% better than the baseline performance. 4.3 Identification of User Intent Our assumption is that user intent for a question can be potentially influenced by the intent from a preceding question. For example, Switch is likely to follow Re-try. Therefore, we have implemented a Maximum Entropy Markov Model (MEMM) (McCallum et al., 2000) to take the sequence of interactions into account. Given a sequence of questions Q1 , Q2 , up to Qt , there is an observation feature vector fi associated with each Qi . In MEMM, the prediction of user intent ct for Qt not only depends on the observation ft , but also the intent ct-1 from the preceding question Qt-1 . In fact, this approach finds the best sequence of user intent C for Q1 up to Qt based on a sequence of observations f1 , f2 , ..., ft as follows: C = arg maxC I t P (C |f1 , f2 , ..., ft ) where C is a sequence of intent and It is the set of all possible sequences of intent with length t. To find this sequence of intent C , MEMM keeps a variable t (i) which is defined to be the maximum probability of seeing a particular sequence of intent ending at intent i (i I ) for question Qt , given the observation sequence for questions Q1 up to Qt : t (i) = max P (c1 , . . . , ct-1 , ct = i|f1 , . . . , ft ) c1 ,...,ct-1 This variable can be calculated by a dynamic optimization procedure similar to the Viterbi algorithm in the Hidden Markov Model: t (i) = max t-1 (j ) × P (ct = i|ct-1 = j, ft ) j To identify user intent, we formulate the problem as follows: given an observation feature vector f where each element of the vector corresponds to a feature described earlier, the goal is to identify an intent c from a set of intents I ={Continue, Switch, Re-try/Negotiate} that satisfies the following equation: c = arg maxcI P (c|f ) 3 4 http://mallet.cs.umass.edu/index.php/ http://svmlight.joachims.org/ 5 http://www.cs.waikato.ac.nz/ml/weka/ where P (ct = i|ct-1 = j, ft ) is estimated by the Maximum Entropy Model. Table 3 shows the best results of identifying user intent based on the Maximum Entropy Model and MEMM using the leave-one-out approach. The results have shown that both models did not work for the data collected from unstructured scenarios (i.e., the baseline accuracy for intent identification is 63.4%). For structured scenarios, in terms of the overall accuracy, both models performed significantly better than the baseline (i.e., 49.3%). The MEMM worked only slightly better than the MEM. Given our limited data, it is not conclusive whether the transitions between questions will help identify user intent in a basic interactive mode. However, we expect to see more influence from the transitions in fully conversational QA. 62 MEM SVM Features un s ent un s ent Baseline 66.2 51.5 56.3 66.2 51.5 56.3 TM, SQC 50.0 57.4 54.9 53.5 60.0 57.8 NEM, SQC 37.3 74.4 61.7 37.3 74.4 61.7 TM, SQ 61.3 64.8 63.6 57.0 64.1 61.7 NEM, SQC, SAC 40.8 76.7 64.3 38.0 74.4 61.9 TM, SQ, SAC 59.2 67.4 64.6 61.3 66.3 64.6 TM, NEM, SQC 54.2 75.2 68.0 54.2 75.2 68.0 TM, SQ, SA 63.4 71.9 68.9 58.5 71.5 67.0 TM, NEM, SQC, SAC 54.9 75.6 68.4 54.2 75.2 68.0 * un - unstructured, s - structured, ent - entire un 66.2 53.5 37.3 59.9 49.3 62.7 53.5 67.6 55.6 DTree s 51.5 55.9 74.4 64.4 77.8 65.6 74.4 75.6 74.4 ent 56.3 55.1 61.7 62.9 68.0 64.6 67.2 72.8 68.0 Table 2: Performance of automatic identification of problematic situations MEM MEMM un s un s CONTINUE P 64.4 69.7 67.3 70.8 R 96.7 85.8 80.0 88.8 F 77.3 76.8 73.1 78.7 RE-TRY P 28.6 76.2 37.1 79.0 /NEGOTIATE R 8.7 74.1 56.5 73.1 F 13.3 75.1 44.8 75.9 SWITCH P 50.0 R 0 0 0 3.6 F 6.7 Overall accuracy 62.7 72.2 59.9 73.7 * un - unstructured, s - structured Table 3: Performance of automatic identification of user intent plicit feedback should be intelligently combined. For example, if the confidence for automatically identifying a problematic situation or an error-free situation is low, then perhaps explicit feedback can be solicited. Automatic identification of user intent also has important implications in building intelligent conversational QA systems. For example, if Continue is identified during interaction, then the system can automatically collect the question answer pairs for potential future use. If Switch is identified, the system may put aside the question that has not been correctly answered and proactively come back to that question later after more information is gathered. If Re-try is identified, the system may avoid repeating the same answer and at the same time may take the initiative to guide users on how to rephrase a question. If Negotiate is identified, the system may want to investigate the user's particular needs that may be different from the general needs. Overall, different strategies can be developed to address problematic situations and different intents. We will investigate these strategies in our future work. This paper reports our initial effort in investigating interactive QA from a conversational point of view. The current investigation has several simplifications. First, our current work has focused on factoid questions where it is relatively easy to judge a problematic or error-free situation. However, as discussed in earlier work (Small et al., 2003), sometimes it is very hard to judge the truthfulness of an answer, especially for analytical questions. Therefore, our future work will examine the new implications of problematic situations and user intent for analytical questions. Sec63 5 Implications of Problematic Situations and User Intent Automated identification of problematic situations and user intent have potential implications in the design of conversational QA systems. Identification of problematic situations can be considered as implicit feedback. The system can use this feedback to improve its answer retrieval performance and proactively adapt its strategy to cope with problematic situations. One might think that an alternative way is to explicitly ask users for feedback. However, this explicit approach will defeat the purpose of intelligent conversational systems. Soliciting feedback after each question not only will frustrate users and lengthen the interaction, but also will interrupt the flow of user thoughts and conversation. Therefore, our focus here is to investigate the more challenging end of implicit feedback. In practice, the explicit feedback and im- ond, our current investigation is based on a basic interactive mode. As mentioned earlier, once the QA systems become more intelligent and conversational, more varieties of user intent are anticipated. 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