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This paper explores the efficacy of online versus offline evaluation methods in assessing conversational chatbots, specifically comparing first-party direct interactions with third-party observational assessments. By extending a benchmarking dataset of user dialogs with empathetic chatbots with offline third-party evaluations, we present a systematic comparison between the feedback from online interactions and the more detached offline third-party evaluations. Our results reveal that offline human evaluations fail to capture the subtleties of human-chatbot interactions as effectively as online assessments. In comparison, automated third-party evaluations using a GPT-4 model offer a better approximation of first-party human judgments given detailed instructions. This study highlights the limitations of third-party evaluations in grasping the complexities of user experiences and advocates for the integration of direct interaction feedback in conversational AI evaluation to enhance system development and user satisfaction.

With the emergence of large language models (LLMs), investigating if they can surpass humans in areas such as emotion recognition and empathetic responding has become a focal point of research. This paper presents a comprehensive study exploring the empathetic responding capabilities of four state-of-the-art LLMs: GPT-4, LLaMA-2-70B-Chat, Gemini-1.0-Pro, and Mixtral-8x7B-Instruct in comparison to a human baseline. We engaged 1,000 participants in a between-subjects user study, assessing the empathetic quality of responses generated by humans and the four LLMs to 2,000 emotional dialogue prompts meticulously selected to cover a broad spectrum of 32 distinct positive and negative emotions. Our findings reveal a statistically significant superiority of the empathetic responding capability of LLMs over humans. GPT-4 emerged as the most empathetic, marking approximately 31% increase in responses rated as "Good" compared to the human benchmark. It was followed by LLaMA-2, Mixtral-8x7B, and Gemini-Pro, which showed increases of approximately 24%, 21%, and 10% in "Good" ratings, respectively. We further analyzed the response ratings at a finer granularity and discovered that some LLMs are significantly better at responding to specific emotions compared to others. The suggested evaluation framework offers a scalable and adaptable approach for assessing the empathy of new LLMs, avoiding the need to replicate this study's findings in future research., Comment: 9 pages, 3 figures. arXiv admin note: text overlap with arXiv:2403.05572

This paper investigates the empathetic responding capabilities of ChatGPT, particularly its latest iteration, GPT-4, in comparison to human-generated responses to a wide range of emotional scenarios, both positive and negative. We employ a rigorous evaluation methodology, involving a between-groups study with 600 participants, to evaluate the level of empathy in responses generated by humans and ChatGPT. ChatGPT is prompted in two distinct ways: a standard approach and one explicitly detailing empathy's cognitive, affective, and compassionate counterparts. Our findings indicate that the average empathy rating of responses generated by ChatGPT exceeds those crafted by humans by approximately 10%. Additionally, instructing ChatGPT to incorporate a clear understanding of empathy in its responses makes the responses align approximately 5 times more closely with the expectations of individuals possessing a high degree of empathy, compared to human responses. The proposed evaluation framework serves as a scalable and adaptable framework to assess the empathetic capabilities of newer and updated versions of large language models, eliminating the need to replicate the current study's results in future research., Comment: 21 pages, 16 figures

AI-driven chatbots have become an emerging solution to address psychological distress. Due to the lack of psychotherapeutic data, researchers use dialogues scraped from online peer support forums to train them. But since the responses in such platforms are not given by professionals, they contain both conforming and non-conforming responses. In this work, we attempt to recognize these conforming and non-conforming response types present in online distress-support dialogues using labels adapted from a well-established behavioral coding scheme named Motivational Interviewing Treatment Integrity (MITI) code and show how some response types could be rephrased into a more MI adherent form that can, in turn, enable chatbot responses to be more compliant with the MI strategy. As a proof of concept, we build several rephrasers by fine-tuning Blender and GPT3 to rephrase MI non-adherent "Advise without permission" responses into "Advise with permission". We show how this can be achieved with the construction of pseudo-parallel corpora avoiding costs for human labor. Through automatic and human evaluation we show that in the presence of less training data, techniques such as prompting and data augmentation can be used to produce substantially good rephrasings that reflect the intended style and preserve the content of the original text., Comment: 10 pages, Findings of ACL 2023

A recent trend in the domain of open-domain conversational agents is enabling them to converse empathetically to emotional prompts. Current approaches either follow an end-to-end approach or condition the responses on similar emotion labels to generate empathetic responses. But empathy is a broad concept that refers to the cognitive and emotional reactions of an individual to the observed experiences of another and it is more complex than mere mimicry of emotion. Hence, it requires identifying complex human conversational strategies and dynamics in addition to generic emotions to control and interpret empathetic responding capabilities of chatbots. In this work, we make use of a taxonomy of eight empathetic response intents in addition to generic emotion categories in building a dialogue response generation model capable of generating empathetic responses in a controllable and interpretable manner. It consists of two modules: 1) a response emotion/intent prediction module; and 2) a response generation module. We propose several rule-based and neural approaches to predict the next response's emotion/intent and generate responses conditioned on these predicted emotions/intents. Automatic and human evaluation results emphasize the importance of the use of the taxonomy of empathetic response intents in producing more diverse and empathetically more appropriate responses than end-to-end models., Comment: 8 pages

As conversational models become increasingly available to the general public, users are engaging with this technology in social interactions. Such unprecedented interaction experiences may pose considerable social and psychological risks to the users unless the technology is properly controlled. This highlights the need for scalable and robust evaluation metrics for conversational chatbots. Existing evaluation metrics aim to automate offline user evaluation and approximate human judgment of pre-curated dialogs. However, they are limited in their ability to capture subjective perceptions of users who actually interact with the bots and might not generalize to real-world settings. To address this limitation, we propose an approach to approximate online human evaluation leveraging large language models (LLMs) from the GPT family. We introduce a new Dialog system Evaluation framework based on Prompting (DEP), which enables a fully automatic evaluation pipeline that replicates live user studies and achieves an impressive correlation with human judgment (up to Pearson r=0.95 on a system level). The DEP approach involves collecting synthetic chat logs of evaluated bots with an LLM in the other-play setting, where the LLM is carefully conditioned to follow a specific scenario. We further explore different prompting approaches to produce evaluation scores with the same LLM. The best performing prompts, which contain few-shot demonstrations and instructions, show outstanding performance on the tested dataset and demonstrate the ability to generalize to other dialog corpora., Comment: accepted to SIGDIAL 2023 (long paper)

Humor is a magnetic component in everyday human interactions and communications. Computationally modeling humor enables NLP systems to entertain and engage with users. We investigate the effectiveness of prompting, a new transfer learning paradigm for NLP, for humor recognition. We show that prompting performs similarly to finetuning when numerous annotations are available, but gives stellar performance in low-resource humor recognition. The relationship between humor and offense is also inspected by applying influence functions to prompting; we show that models could rely on offense to determine humor during transfer., Comment: Transfer Learning for Natural Language Processing Workshop at NeurIPS 2022

This paper introduces AFEC, an automatically curated knowledge graph based on people's day-to-day casual conversations. The knowledge captured in this graph bears potential for conversational systems to understand how people offer acknowledgement, consoling, and a wide range of empathetic responses in social conversations. For this body of knowledge to be comprehensive and meaningful, we curated a large-scale corpus from the r/CasualConversation SubReddit. After taking the first two turns of all conversations, we obtained 134K speaker nodes and 666K listener nodes. To demonstrate how a chatbot can converse in social settings, we built a retrieval-based chatbot and compared it with existing empathetic dialog models. Experiments show that our model is capable of generating much more diverse responses (at least 15% higher diversity scores in human evaluation), while still outperforming two out of the four baselines in terms of response quality., Comment: 11 pages

Commonsense knowledge is essential for advancing natural language processing (NLP) by enabling models to engage in human-like reasoning, which requires a deeper understanding of context and often involves making inferences based on implicit external knowledge. This paper explores the integration of commonsense knowledge into various NLP tasks. We begin by reviewing prominent commonsense knowledge bases and then discuss the benchmarks used to evaluate the commonsense reasoning capabilities of NLP models, particularly language models. Furthermore, we highlight key methodologies for incorporating commonsense knowledge and their applications across different NLP tasks. The paper also examines the challenges and emerging trends in enhancing NLP systems with commonsense reasoning. All literature referenced in this survey can be accessed via our GitHub repository: https://github.com/yuboxie/awesome-commonsense., Comment: 20 pages, 3 figures, 1 table

Empathetic dialog generation aims at generating coherent responses following previous dialog turns and, more importantly, showing a sense of caring and a desire to help. Existing models either rely on pre-defined emotion labels to guide the response generation, or use deterministic rules to decide the emotion of the response. With the advent of advanced language models, it is possible to learn subtle interactions directly from the dataset, providing that the emotion categories offer sufficient nuances and other non-emotional but emotional regulating intents are included. In this paper, we describe how to incorporate a taxonomy of 32 emotion categories and 8 additional emotion regulating intents to succeed the task of empathetic response generation. To facilitate the training, we also curated a large-scale emotional dialog dataset from movie subtitles. Through a carefully designed crowdsourcing experiment, we evaluated and demonstrated how our model produces more empathetic dialogs compared with its baselines., Comment: Accepted to CoNLL 2021

We propose a novel large-scale emotional dialogue dataset, consisting of 1M dialogues retrieved from the OpenSubtitles corpus and annotated with 32 emotions and 9 empathetic response intents using a BERT-based fine-grained dialogue emotion classifier. This work explains the complex pipeline used to preprocess movie subtitles and select good movie dialogues to annotate. We also describe the semi-supervised learning process followed to train a fine-grained emotion classifier to annotate these dialogues. Despite the large set of labels, our dialogue emotion classifier achieved an accuracy of $65\%$ and was used to annotate 1M emotional movie dialogues from OpenSubtitles. This scale of emotional dialogue classification has never been attempted before, both in terms of dataset size and fine-grained emotion and intent categories. Visualization techniques used to analyze the quality of the resultant dataset suggest that it conforms to the patterns of human social interaction., Comment: 8 pages

Humor recognition has been widely studied as a text classification problem using data-driven approaches. However, most existing work does not examine the actual joke mechanism to understand humor. We break down any joke into two distinct components: the set-up and the punchline, and further explore the special relationship between them. Inspired by the incongruity theory of humor, we model the set-up as the part developing semantic uncertainty, and the punchline disrupting audience expectations. With increasingly powerful language models, we were able to feed the set-up along with the punchline into the GPT-2 language model, and calculate the uncertainty and surprisal values of the jokes. By conducting experiments on the SemEval 2021 Task 7 dataset, we found that these two features have better capabilities of telling jokes from non-jokes, compared with existing baselines., Comment: Accepted to ACL-IJCNLP 2021

Open-domain conversational agents or chatbots are becoming increasingly popular in the natural language processing community. One of the challenges is enabling them to converse in an empathetic manner. Current neural response generation methods rely solely on end-to-end learning from large scale conversation data to generate dialogues. This approach can produce socially unacceptable responses due to the lack of large-scale quality data used to train the neural models. However, recent work has shown the promise of combining dialogue act/intent modelling and neural response generation. This hybrid method improves the response quality of chatbots and makes them more controllable and interpretable. A key element in dialog intent modelling is the development of a taxonomy. Inspired by this idea, we have manually labeled 500 response intents using a subset of a sizeable empathetic dialogue dataset (25K dialogues). Our goal is to produce a large-scale taxonomy for empathetic response intents. Furthermore, using lexical and machine learning methods, we automatically analysed both speaker and listener utterances of the entire dataset with identified response intents and 32 emotion categories. Finally, we use information visualization methods to summarize emotional dialogue exchange patterns and their temporal progression. These results reveal novel and important empathy patterns in human-human open-domain conversations and can serve as heuristics for hybrid approaches., Comment: In Proceedings of the 28th International Conference on Computational Linguistics (COLING 2020). 9 pages

As chatbots are becoming increasingly popular, we often wonder what users perceive as natural and socially accepted manners of interacting with them. Some researchers maintain that humans should avoid engaging in emotional conversations with chatbots, while others have started building empathetic chatting machines using the latest deep learning techniques. To understand if chatbots should comprehend and display emotions, we conducted semi-structured interviews with 18 participants. Our analysis revealed their overall enthusiasm towards emotionally aware agents. More importantly, users' intention to accept emotional chatbots seem to hinge on how these agents respond to our specific emotions, rather than just the ability to detect human emotions. Our findings also disclosed the specific application domains where emotionally intelligent technology could improve user experience. To conclude, we summarized a set of emotion interaction patterns that inspire users' intention to adopt such technology as well as guidelines useful for the development of emotionally intelligent chatbots.

Open-domain dialog systems (also known as chatbots) have increasingly drawn attention in natural language processing. Some of the recent work aims at incorporating affect information into sequence-to-sequence neural dialog modeling, making the response emotionally richer, while others use hand-crafted rules to determine the desired emotion response. However, they do not explicitly learn the subtle emotional interactions captured in human dialogs. In this paper, we propose a multi-turn dialog system aimed at learning and generating emotional responses that so far only humans know how to do. Compared with two baseline models, offline experiments show that our method performs the best in perplexity scores. Further human evaluations confirm that our chatbot can keep track of the conversation context and generate emotionally more appropriate responses while performing equally well on grammar., Comment: Accepted to IUI 2020 user2agent workshop

Online labor platforms, such as the Amazon Mechanical Turk, provide an effective framework for eliciting responses to judgment tasks. Previous work has shown that workers respond best to financial incentives, especially to extra bonuses. However, most of the tested incentives involve describing the bonus conditions in formulas instead of plain English. We believe that different incentives given in English (or in qualitative framing) will result in differences in workers' performance, especially when task difficulties vary. In this paper, we report the preliminary results of a crowdsourcing experiment comparing workers' performance using only qualitative framings of financial incentives. Our results demonstrate a significant increase in workers' performance using a specific well-formulated qualitative framing inspired by the Peer Truth Serum. This positive effect is observed only when the difficulty of the task is high, while when the task is easy there is no difference of which incentives to use., Comment: Work-in-Progress Paper in the 4th AAAI Conference on Human Computation and Crowdsourcing (HCOMP 2016)