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<?xml version="1.0" standalone="yes"?> <Paper uid="P89-1026"> <Title>HEARER Suzanne ACTION (USE-LANGUAGE AGENT Suzanne LANG is1))) (ASK-ACT AGENT Mrs. de Prado HEARER Suzanne PROP (ABLE-STATE AGENT Suzanne ACTION (USE</Title> <Section position="4" start_page="0" end_page="213" type="metho"> <SectionTitle> REF (ABLE-STATE AGENT Suzanne ACTION (USE-LANGUAGE AGENT Suzanne LANG isl))) </SectionTitle> <Paragraph position="0"> The outermost category is the syntactic category, sentence. It has many ordinary syntactic features, subject, object, and verbs. The subject is a noun phrase that describes a human and refers to a person named SuTanne, the object a language, Spanish. The semantic structure concerns the capability of the person to speak a language. In the knowledge base, this becomes Suzanne's ability to use Spanish as a language.</Paragraph> <Paragraph position="1"> 2.2. Evidence for Interpretations The utterance provides clues to the hearer, but we have already seen that its relation to its purpose may be complex. We need to make use oflexical and syntacttc as well as semantic and referential information. In this section we will look at rules using all of these kinds of information, introducing the notation for rules as we go. Rules consist of a set of features on the left-hand side, and a set of partial speech act descriptions on the other. The rule should be interpreted as saying that any structure matching the left hand side must be interpreted as one of the speech acts indicated on the right hand side. The speech act descriptions themselves are also in (category <slot filler> ... <slot filler>) notation. Their categories are simply their types in the knowledge base's abstraction hierarchy, in which the category SPgZCH-ACT abstracts all speech act types. Slot names and filler types also are defined by the abstraction hierarchy, but a given rule need not specify all slot values. Here is a lexical rule: the adverb &quot;please&quot; occurring in any syntactic unit signals a request, command, or other act in the directive class.</Paragraph> <Paragraph position="2"> (? ADV please) -(1)=> (DIRECTIVE-ACT) * ~athough this is a very simple rule, its correctness has been ~tablished by examination of some 43 million words of Associated Press news stories. This corpus contains several hundred occurrences of &quot;please&quot;, the most common form being the preverbal adverb in a directive utterance.</Paragraph> <Paragraph position="3"> A number of useful generalizations are based on the syntactic mood of sentences. As we use the term, mood is an aggregate of several syntactic features taking the values DECLARATIVE, IMPERATIVE, YES-NO-Q, WH-Q. Many different speech act types occur with each of these values, but in the absence of other evidence an imperative is likely to be a command and a declarative, an Inform. An interrogative sentence may be a question or possibly another speech act.</Paragraph> <Paragraph position="5"> The value function v returns the value of the specified slot of the sentence. Thus rule 2 has the proposition slot PROP filled with the value of the REF slot of the sentence. It matches sentences whose mood is that of a yes/no question, and interprets them as asking for the truth value of their explicit propositional content. Thus matching this rule against the structure for &quot;Can you speak Spanish?&quot; would produce the interpretations</Paragraph> <Paragraph position="7"/> </Section> <Section position="5" start_page="213" end_page="216" type="metho"> <SectionTitle> ACTION (USE-LANGUAGE AGENT Suzanne </SectionTitle> <Paragraph position="0"/> <Paragraph position="2"> Interrogative sentences with modal verbs and a subject &quot;you&quot; are typically requests, but may be some other act: Rule 3 interprets &quot;Can you...?&quot; questions as requests, looking for the subject &quot;you&quot; and any of these modal verbs. Lists in curly brackets (e.g. {can could will would might}) signify disjunctions; one of the members must be matched. In this rule, the value function v follows a chain of slots to find a value. ThUS V(ACTION REF) iS the value of the ACTION slot in the structure that is the value of the REF slot. Note that an unspecified speech act is also included as a possibility in both rules. This is because it is also possible that the utterance might have a different interpretation, not suggested by the mood.</Paragraph> <Paragraph position="3"> Some rules are based in the semantic level. For example, the presence of a benefactive case may mark a request, or it may simply occur in a statement or question.</Paragraph> <Paragraph position="5"> Recall that we distinguish the semantic level from the reference level, inasmuch as the semantic level is simplified by a strong theory of thematic roles, or cases, a small standard set of which may prove adequate to explain verb subcategorization phenomena \[Jackendoff 72\] The reference level, by contrast, is ihe language of the knowledge base, in which very specific domain roles are possible. To the extent that referents can be identified in the knowledge base (often as skolem functions) they appear at the reference level. This rule says that any way of stating a desire may be a request for the object of the want.</Paragraph> <Paragraph position="6"> asserting a want or desire of the agent, such as (7) a: I need a napkin.</Paragraph> <Paragraph position="7"> b: I would like two ice creams.</Paragraph> <Paragraph position="8"> The object of the request is the WANT-ACT's desideratum. (The desideratum is already filled by reference processing.) One may prefer an account that handles generalizations from the REF level by plan reasoning; we will discuss this point later. For now, it is sufficient to note that rules of this type are capable of representing the conventions of language use that we are after.</Paragraph> <Paragraph position="9"> 2.3, Applying the Rules We now consider in detail how to apply the rules. For now, assume that the utterance is completely parsed and semantically interpreted, unambiguously, like the sentence &quot;can you speak Spanish?&quot; as it appeared in Sect. 2.1.</Paragraph> <Paragraph position="10"> Interpretation of this sentence begins by finding rules that match with it. The matching algorithm is a standard unification or graph matcher. It requires that the category in the rule match the syntactic structure gaven. All slots present in the rule must be found on the category, and have equal values, and so on recursively. Slots not present in the rule are ignored. If the rule matches, the structures on the right hand side are filled out and become partial interpretations. We need a few general rules to fill in information about the conversation:</Paragraph> <Paragraph position="12"> Rule 6 says that an utterance of any syntactic category maps to a speech act with agent specified by the global variable is. (The processes of identifying speaker and heater are assumed, to be contextually defined.) The partial interpretation it yields for the Spanish sentence is a speech act with agent Mrs. de The indirect request comes from rule no. 3 above. To apply it, we match the subject &quot;you&quot; and the modal auxialiary &quot;can*, and the features of yes/no mood and active voice.</Paragraph> <Paragraph position="13"> We now have four sets of partial descriptions, which must be merged.</Paragraph> <Section position="1" start_page="214" end_page="215" type="sub_section"> <SectionTitle> 2.4. Combining Partial Descriptions </SectionTitle> <Paragraph position="0"> The combining operation can be thought of as taking the cross product of the sets, merging partial interpretations within each resulting set, and returning those combinations that are consistent internally. We expect that psycholinguistic studies will provide additional constraints on this set, e.g.</Paragraph> <Paragraph position="1"> commitment to interpretations triggered early in the sentence.</Paragraph> <Paragraph position="2"> The operation of merging partial interpretations is again unification or graph matching; when the operation succeeds the result contains all the information from the contributing partial interpretations. The cross product of our first two sets is simple; it is the pair consisting of the interpretation for speaker and hearer. These two can be merged to form a set containing the single speech act with speaker Mrs. de Prado and hearer Suzanne.</Paragraph> <Paragraph position="3"> The cross product of this with the results of the mood rule contains two pairs. Within the first pair, the ASK-ACT is a subtype of SPEECH-ACT and therefore matches, resulting in a request with the proper speaker and hearer. The second pair results in no new information, just the SPEECH-ACT with speaker and hearer. (Recall that the mood rule must allow for other interpretations of yes/no questions, and here we simply propagate that fact.) Now we must take the cross product of two sets of two interpretations, yielding four pairs. One pair is inconsistent because REQUEST-ACT and ASK-ACT do not unify. The REQUEST-ACT gets speaker and hearer by merging with the SPEECH-ACT, and the ASK-ACT slides through by merging with the other SPEECH-ACT. Likewise the two SPEECH-ACTs match, so in the end we have an ASK-ACT,. REQUEST-ACT, and the simple At this stage, the utterance is ambiguous among these three interpretations. Consider their classifications in the speech act hierarchy. The third abswaets the other two, and signals that there may be other possibilities, those it also abstracts. Its significance is that it allows the plan reasoner to suggest these further interpretations, and it will be discussed later. If there are any expectations generated by top-down plan recognition mechanisms, say, the answer in a question/answer pair, they can be merged in here.</Paragraph> </Section> <Section position="2" start_page="215" end_page="216" type="sub_section"> <SectionTitle> 2.5. Further Linguistic Considerations </SectionTitle> <Paragraph position="0"> We have used a set of compositional rules to build up multiple interpretations of an utterance, based on linguistic features. They can incorporate lexieal, syntactic, semantic and referential distinctions. Why does the yes/no question interpretation seem to be favored in the Spanish example? We hypothesize that for utterances taken out of context, people make pure frequency judgements. And questions about one's language ability are much more common than requests to speak one. Such a single-utterance request is possible only in contexts where the intended content of the Spanish-speaking is clear or clearly irrelevant, since &quot;speak&quot; doesn't subcategorize for this crucial information. (cf. &quot;Can you read Spanish? I have this great article .... &quot;) The statistical base can be overridden by lexical information. Recall 5(b) &quot;Can you speak Spanish, please?&quot; The &quot;please&quot; rule (above) yields only the request interpretation, and fails to merge with the ASK-ACT. It also merges with the SPEECH-ACT, but the result is again a request, merely adding the possibility that the request could be for some other action. No such action is likely to be identified. The &quot;please&quot; rule is very strong, because it can override our expectations. The final interpretations for &quot;Can you speak Spanish, please?&quot; do not include the literal interpretation: Here S,_,-~,nne is probably being asked to continue the present dialogue in Spanish.</Paragraph> <Paragraph position="1"> Some linguistic features are as powerful as &quot;please&quot;, as can be seen by the incoherence of the following, where each sentence contains contradictory features.</Paragraph> <Paragraph position="2"> (8) a: *Should you go home, please? b: *Shouldn't you go home, please? c: *Why not go home, please? Modal verbs can be quite strong, and intonation as well. Other features are more suggestive than definitive. The presence of a benefactive case (rule above) may be evidence for an offer or request, or just happen to appear in an inform or question.</Paragraph> <Paragraph position="3"> Sentence mood is weak evidence: it is often overridden, but in the absence of other evidence it it becomes important The adverbs &quot;kindly&quot; and &quot;possibly&quot; are also weak evidence for a request, and large class of sentential adverbs is associated primarily with Inform acts.</Paragraph> <Paragraph position="4"> (9) a: *Unfortunately, I promise to obey orders.</Paragraph> <Paragraph position="5"> b: Surprisingly, I'm leaving next week.</Paragraph> <Paragraph position="6"> c: Actually, I'm pleased to see you.</Paragraph> <Paragraph position="7"> Explicit performative utterances \[Austin 62\] are declarative, active, utterances whose main verb identifies the action explicitly. The sentence meaning corresponds exactly to the action performed.</Paragraph> <Paragraph position="8"> Note that the rule is not merely triggering off a keyword. Presence of a performative verb without the accompanying syntactic features will not satisfy the pefformative rule.</Paragraph> </Section> <Section position="3" start_page="216" end_page="216" type="sub_section"> <SectionTitle> 2.6. The Limits of Conventionality </SectionTitle> <Paragraph position="0"> We do not claim that all speech acts are conventional. There are variations in convention across languages, of course, and dialects, but idiolects also vary greatly. Some people, even very cooperative ones, do not recognize many types of indirect requests. Too, there is a form of request for which the generalization is obvious but only special cases seem idiomatic: (10) a: Got a light? b: Got a dime? c: Got a donut? (odd requesO d: Do you have the time? e: Do you have a watch on? There are other forms for which the generalization is obvious but no instance seems idiomatic: if someone was assigned a task, asking whether it's done is as good as a request.</Paragraph> <Paragraph position="1"> (I I) Did you wash the dishes? In the next examples, there is a clear logical connection between the utterance and the requested action. We could write a rule for the surface pattern, but the rule is useless because it cannot verify the logical connection. This must be done by plan reasoning, because it depends on world knowledge. The first sentences can request the actions they are preconditions of. The second set can request actions they are effects of. Because these requests operate via the conditions on the domain plan rather than the speech act itself, they are beyond the reach of theories like Gordon&Lakoff 's, which have very simple notions of what a sincerity condition can be. (12) a: Is the garage open? b: Did the dryer stop? c: The mailman came.</Paragraph> <Paragraph position="2"> d: Are you planning to take out the garbage? (13) a: Is the ear fixed? b: Have you fixed the ear? c: Did you fix the car? Plan reasoning provides an account for all of these examples. The fact that certain examples can be handled by either mechanism we regard as a strength of the theory: it leads to robust natural language processing systems, and explains why &quot;Can you X?&quot; is such a successful construction. Both mechanisms work well for such utterances, so the hearer has two ways to understand it correctly. These last examples, along with &quot;It's cold in here&quot;, really require plan reasoning.</Paragraph> </Section> </Section> <Section position="6" start_page="216" end_page="216" type="metho"> <SectionTitle> 3. Role of Plan Reasoning </SectionTitle> <Paragraph position="0"> Plan reasoning constitutes our second constraint on speech act recognition. There are four roles for plan reasoning in the recognition process. Specifically, plan reasoning 1) eliminates speech act interpretations proposed by the linguistic mechanism, if they contradict known intentions and beliefs of the agent.</Paragraph> <Paragraph position="1"> 2) elaborates and makes inferences based on the remaining interpretations, allowing for non-conventional speech act interpretations.</Paragraph> <Paragraph position="2"> 3) can propose interpretations of its own, when there is enough context information to guess what the speaker might do next.</Paragraph> <Paragraph position="3"> 4) provides a competence theory motivating many of the conventions we have described.</Paragraph> <Paragraph position="4"> Plan reasoning rules are based on the causal and structural links used in plan construction. For instance, in planning start with a desired goal proposition, plan an action with that effect, and then plan for its preconditions. There are also recognition schemas for attributing plans: having observed that an agent wants an effect, believe that they may plan an action with that effect, and so on. For modelling communication, it is necessary to complicate these rules by embedding the antecedent and consequent in one-sided mutual belief operators \[Allen 83\]. In the Allen approach, our Spanish example hinges on the acts&quot; preconditions: SnT~rme will not attribute a qknUestion to Mrs. de Prado if she believes she already ows the answer, but this knowledge could be the basis for a request. Sentences like &quot;It's cold inhere&quot; are also interpreted by extended reasoning about the intentions an agent could plausibly have. We use extended reasoning for difficult cases, and the more restricted plan-hased conversational implicature heuristic \[Hinkelman 87\], \[Hinkelman forthcoming\] as a plausibility filter adequate for most common eases.</Paragraph> </Section> <Section position="7" start_page="216" end_page="218" type="metho"> <SectionTitle> 4. Two Constraints Integrated </SectionTitle> <Paragraph position="0"> Section 2 showed how to compute a set of possible speech act interpretations compositionally, from conventions of language use. Section 3 showed how plan reasoning, which motivates the conventions, can be used to further develop and restrict the interpretations. The time has come to integrate the two into a complete system.</Paragraph> <Paragraph position="1"> 4.1. Interaction of the Constraints The plan reasoning phase constrains the results of the linguistic computation by eliminating interpretations, and reinterpreting others. The linguistic computation constrains plan reasoning by providing the input; the final interpretation must be in the range specified, and only if there is no plausible interpretation is extended inference explicitly invoked. Recall that the linguistic rules control ambiguity: because the right hand side of the rule must express all the possibilities for this pattern, a single rule can limit the range of interpretations sharply. Consider (14) a: I hereby inform you that it's cold in here.</Paragraph> <Paragraph position="2"> b: It's cold in here.</Paragraph> <Paragraph position="3"> The explicit performative rules, triggered by &quot;hereby&quot; and by a pefformafive verb in the appropriate syntactic context, each allow for only an explicit performadve interpretation. (a) is unambiguous, and if it is consistent with context no extended reasoning is needed for speech act identification purposes. (In fact the hearer will probably find the formality implausible, and try to explain that.) By contrast, the declarative rule proposes two speech acts for (b), the Inform and the generic speech act. The ambiguity allows the plan reasoner to identify other interpretations, particularly if in context the Inform interpretation is implausible. The entire speech act interpretation process is now as follows. Along with the usual compositional linguistic processes, we build up and merge hypotheses about speech act interpretations. The resulting interpretations are passed to the implicature module. The conversational implicatures are computed, discounting interpretations if they are in conflict with contextual knowledge. If a.plausible, non-contradictory interpretation results, ~t can be accepted. Allen-style plan reasoning is invoked to identify the speech act only if remaining ambiguity interferes with planning or if no completely plausible interpretations remain. After that, plan reasoning may proceed to elaborate the interpretation or to plan a response.</Paragraph> <Paragraph position="4"> Consider the central example of this paper. Three interpretations were were proposed for &quot;Can you speak Spanish?&quot;, in Section 2.</Paragraph> <Paragraph position="5"> As they become available, the next step in processing is to check plausibility by attempting to verify the act's conversational implicatures. We showed how the Ask act is ruled out by its implicatures, when the answer is known. Likewise, in circumstances where Suzanne is known not to speak Spanish, the Request is eliminated.</Paragraph> <Paragraph position="6"> The genoric speech act is present under most circumstances, but adds little information except to allow for other possibilities. Because in any of these contexts a specific interpretation is acceptable, no further inference is necessary for idendfying the speech act. If it is merely somewhat likely that Suzanne speaks Spanish, both specific interpretations are possible and both may even be intended by Mrs.</Paragraph> <Paragraph position="7"> de Prado. Further plan reasoning may elaborate or eliminate possibilides, or plan a response. But it is not required for the main effort of speech act identification.</Paragraph> <Paragraph position="9"/> <Section position="1" start_page="218" end_page="218" type="sub_section"> <SectionTitle> 4.2. The Role of Ambiguity </SectionTitle> <Paragraph position="0"> If no interpretations remain after the plausibility check, then the extended plan reasoning may be invoked to resolve a possible misunderstanding or mistaken belief. If several remain, it may not be necessary to disambiguate. Genuine ambiguity of intentions is quite common in speech and often not a problem. For instance, the speaker may mention plans to go to the store, and leave unclear whether this constitutes a promise.</Paragraph> <Paragraph position="1"> In cases of genuine ambiguity, it is possible for the hearer to respond to each of the proposed interpretations, and indeed, politeness may even require it. Consider (b)-(g) as responses to (a).</Paragraph> <Paragraph position="2"> (15) a: Do you have our grades yet? b: No, not yet.</Paragraph> <Paragraph position="3"> c: Yes, I'm going to announce them in class.</Paragraph> <Paragraph position="4"> d: Sure, here's your paper. (hands paper.) e: Here you go. (hands paper.) f: *No.</Paragraph> <Paragraph position="5"> g: *Yes.</Paragraph> <Paragraph position="6"> The main thing to note is that it is infelicitous to ignore the Request interpretation; the polite responses acknowledge that the speaker wants the grades. Note that within the framework of &quot;speaker-based&quot; meaning, we emphasize the role of the hearer in the fin.~ understanding of an utterance. An important point is that while the speech act attempted depends on the speaker's intentions, the speech act accomplished also depends on the hearer's ability to recognize the intentions, and to some extent their own desires in the matter. Consider an example from \[Clark 88\]: (16) a: Have some asparagus.</Paragraph> <Paragraph position="7"> b: No, thanks-.</Paragraph> <Paragraph position="8"> (17) a: Have some asparagus.</Paragraph> <Paragraph position="9"> b: OK, if I have to ....</Paragraph> <Paragraph position="10"> The first hearer treats the sentence as an offer, the second as a command. If the speaker intended otherwise, it must be corrected quickly or be lost.</Paragraph> </Section> <Section position="2" start_page="218" end_page="218" type="sub_section"> <SectionTitle> 4.3. The Implementation </SectionTitle> <Paragraph position="0"> Our system is implemented using common lisp and the Rhetorical knowledge representation system \[Miller 87\], which provides among other things a hierarchy of belief spaces. The linguistic speech act inte~retadon module been implemented, with merging, as well as the implicature calculadon and checking module. So given the appropriate contexts, the Spanish example runs. Extended plan reasoning will eventually be added.</Paragraph> <Paragraph position="1"> There are of course open problems. One would like to experiment with large interpretation rule sets, and with the constraints from other modules. The projection problem, both for conversational ~mplicature and for speech act interpretation, has not been examined directly. If a property like conversational implicature or presupposition is computed at the clause level, one wants to know whether the property survives negation, conjunction, or any other syntactic embedding. \[Horton 87\] has a result for projection of presuppositions, which may be generalizable. The other relevant work is \[Hirschberg 85\] and \[Gazdar 79\]. Plan recognition for discourse, and the processing of cue words, are related areas.</Paragraph> </Section> </Section> class="xml-element"></Paper>