Maximillian Chen

Maximillian Chen, Alexandros Papangelis, Chenyang Tao et al.

Collecting high quality conversational data can be very expensive for most applications and infeasible for others due to privacy, ethical, or similar concerns. A promising direction to tackle this problem is to generate synthetic dialogues by prompting large language models. In this work, we use a small set of expert-written conversations as in-context examples to synthesize a social conversation dataset using prompting. We perform several thorough evaluations of our synthetic conversations compared to human-collected conversations. This includes various dimensions of conversation quality with human evaluation directly on the synthesized conversations, and interactive human evaluation of chatbots fine-tuned on the synthetically generated dataset. We additionally demonstrate that this prompting approach is generalizable to multi-party conversations, providing potential to create new synthetic data for multi-party tasks. Our synthetic multi-party conversations were rated more favorably across all measured dimensions compared to conversation excerpts sampled from a human-collected multi-party dataset.

Maximillian Chen, Alexandros Papangelis, Chenyang Tao et al.

Dialogue understanding tasks often necessitate abundant annotated data to achieve good performance and that presents challenges in low-resource settings. To alleviate this barrier, we explore few-shot data augmentation for dialogue understanding by prompting large pre-trained language models and present a novel approach that iterates on augmentation quality by applying weakly-supervised filters. We evaluate our methods on the emotion and act classification tasks in DailyDialog and the intent classification task in Facebook Multilingual Task-Oriented Dialogue. Models fine-tuned on our augmented data mixed with few-shot ground truth data are able to approach or surpass existing state-of-the-art performance on both datasets. For DailyDialog specifically, using 10% of the ground truth data we outperform the current state-of-the-art model which uses 100% of the data.

Maximillian Chen, Weiyan Shi, Feifan Yan et al.

Complex conversation settings such as persuasion involve communicating changes in attitude or behavior, so users' perspectives need to be addressed, even when not directly related to the topic. In this work, we contribute a novel modular dialogue system framework that seamlessly integrates factual information and social content into persuasive dialogue. Our framework is generalizable to any dialogue tasks that have mixed social and task contents. We conducted a study that compared user evaluations of our framework versus a baseline end-to-end generation model. We found our framework was evaluated more favorably in all dimensions including competence and friendliness, compared to the end-to-end model which does not explicitly handle social content or factual questions.

Maximillian Chen, Caitlyn Chen, Xiao Yu et al.

Syntax is a fundamental component of language, yet few metrics have been employed to capture syntactic similarity or coherence at the utterance- and document-level. The existing standard document-level syntactic similarity metric is computationally expensive and performs inconsistently when faced with syntactically dissimilar documents. To address these challenges, we present FastKASSIM, a metric for utterance- and document-level syntactic similarity which pairs and averages the most similar constituency parse trees between a pair of documents based on tree kernels. FastKASSIM is more robust to syntactic dissimilarities and runs up to to 5.32 times faster than its predecessor over documents in the r/ChangeMyView corpus. FastKASSIM's improvements allow us to examine hypotheses in two settings with large documents. We find that syntactically similar arguments on r/ChangeMyView tend to be more persuasive, and that syntax is predictive of authorship attribution in the Australian High Court Judgment corpus.

Maximillian Chen, Zhou Yu

Speech models have long been known to overfit individual speakers for many classification tasks. This leads to poor generalization in settings where the speakers are out-of-domain or out-of-distribution, as is common in production environments. We view speaker adaptation as a few-shot learning problem and propose investigating transfer learning approaches inspired by recent success with pre-trained models in natural language tasks. We propose pre-finetuning speech models on difficult tasks to distill knowledge into few-shot downstream classification objectives. We pre-finetune Wav2Vec2.0 on every permutation of four multiclass emotional speech recognition corpora and evaluate our pre-finetuned models through 33,600 few-shot fine-tuning trials on the Emotional Speech Dataset.

Jonathan Berant, Maximillian Chen, Adam Fisch et al.

To handle underspecified or ambiguous queries, AI assistants need a policy for managing their uncertainty to determine (a) when to guess the user intent and answer directly, (b) when to enumerate and answer multiple possible intents, and (c) when to ask a clarifying question. However, such policies are contextually dependent on factors such as user preferences or modality. For example, enumerating multiple possible user intentions is cumbersome on small screens or in a voice setting. In this work, we propose to train steerable policies for managing this uncertainty using self-play. Given two agents, one simulating a user and the other an AI assistant, we generate conversations where the user issues a potentially ambiguous query, and the assistant needs to determine how to respond. Importantly, the model takes as input the numerical cost of each clarification question, and each generated word, and is asked to take the action that will maximize its final reward, which is the cost-penalized accuracy. We use Reinforced Self-Training (ReST) to train our model to achieve high reward and show this leads to a steerable policy that changes its behavior predictably conditioned on the provided costs, leading to higher reward and accuracy. Moreover, our procedure also generalizes to numerical cost values that were unobserved at training time.

Chuanyang Jin, Binze Li, Haopeng Xie et al.

Conversational AI has now reached billions of users, yet existing datasets capture only what people say, not what they think. We introduce ThoughtTrace, the first large-scale dataset that pairs real-world multi-turn human--AI conversations with users' self-reported thoughts: their reasons for sending prompts and reactions to assistant responses. ThoughtTrace comprises 1,058 users, 2,155 conversations, 17,058 turns, and 10,174 thought annotations collected across 20 language models. Our analysis shows that ThoughtTrace captures long-horizon, topically diverse interactions, and that thoughts are semantically distinct from messages, difficult for frontier LLMs to infer from context, diverse in content, and tied to conversation stages. We further demonstrate the utility of thoughts for downstream modeling. First, thoughts improve user-behavior prediction as inference-time context. Second, thought-guided rewrites provide fine-grained alignment signals for training personalized assistants. Together, ThoughtTrace establishes user thoughts as a new data modality for studying the cognitive dynamics behind human--AI interaction and provides a foundation for building assistants that better understand and adapt to users' latent goals, preferences, and needs.

Maximillian Chen, Xuanming Zhang, Michael Peng et al.

The rise of Internet of Things (IoT) devices in the physical world necessitates voice-based interfaces capable of handling complex user experiences. While modern Large Language Models (LLMs) already demonstrate strong tool-usage capabilities, modeling real-world IoT devices presents a difficult, understudied challenge which combines modeling spatiotemporal constraints with speech inputs, dynamic state tracking, and mixed-initiative interaction patterns. We introduce MIST (the Multimodal Interactive Speech-based Tool-calling Dataset), a synthetic multi-turn, voice-driven code generation task that operates over IoT devices. We find that there is a significant gap between open- and closed-weight multimodal LLMs on MIST, and that even frontier closed-weight LLMs have substantial headroom. We release MIST and an extensible data generation framework to build related datasets in order to facilitate research on mixed-initiative voice assistants which reason about physical world constraints.

Kun Qian, Maximillian Chen, Siyan Li et al.

Training conversational question-answering (QA) systems requires a substantial amount of in-domain data, which is often scarce in practice. A common solution to this challenge is to generate synthetic data. Traditional methods typically follow a top-down approach, where a large language model (LLM) generates multi-turn dialogues from a broad prompt. Although this method produces coherent conversations, it offers limited fine-grained control over the content and is susceptible to hallucinations. We introduce a bottom-up conversation synthesis approach, where QA pairs are generated first and then combined into a coherent dialogue. This method offers greater control and precision by dividing the process into two distinct steps, allowing refined instructions and validations to be handled separately. Additionally, this structure allows the use of non-local models in stages that do not involve proprietary knowledge, enhancing the overall quality of the generated data. Both human and automated evaluations demonstrate that our approach produces more realistic and higher-quality dialogues compared to top-down methods.

Maximillian Chen, Ruoxi Sun, Sercan Ö. Arık

Conversational assistants are increasingly popular across diverse real-world applications, highlighting the need for advanced multimodal speech modeling. Speech, as a natural mode of communication, encodes rich user-specific characteristics such as speaking rate and pitch, making it critical for effective interaction. Our work introduces a data-centric customization approach for efficiently enhancing multimodal understanding in conversational speech modeling. Central to our contributions is a novel multi-task learning paradigm that involves designing auxiliary tasks to utilize a small amount of speech data. Our approach achieves state-of-the-art performance on the Spoken-SQuAD benchmark, using only 10% of the training data with open-weight models, establishing a robust and efficient framework for audio-centric conversational modeling. We also introduce ASK-QA, the first dataset for multi-turn spoken dialogue with ambiguous user requests and dynamic evaluation inputs. Code and data forthcoming.

Kun Qian, Shunji Wan, Claudia Tang et al.

As large language models achieve impressive scores on traditional benchmarks, an increasing number of researchers are becoming concerned about benchmark data leakage during pre-training, commonly known as the data contamination problem. To ensure fair evaluation, recent benchmarks release only the training and validation sets, keeping the test set labels closed-source. They require anyone wishing to evaluate his language model to submit the model's predictions for centralized processing and then publish the model's result on their leaderboard. However, this submission process is inefficient and prevents effective error analysis. To address this issue, we propose to variabilize benchmarks and evaluate language models dynamically. Specifically, we extract variables from each test case and define a value range for each variable. For each evaluation, we sample new values from these value ranges to create unique test cases, thus ensuring a fresh evaluation each time. We applied this variable perturbation method to four datasets: GSM8K, ARC, CommonsenseQA, and TruthfulQA, which cover mathematical generation and multiple-choice tasks. Our experimental results demonstrate that this approach provides a more accurate assessment of the true capabilities of language models, effectively mitigating the contamination problem.

Xiao Yu, Maximillian Chen, Zhou Yu

Planning for goal-oriented dialogue often requires simulating future dialogue interactions and estimating task progress. Many approaches thus consider training neural networks to perform look-ahead search algorithms such as A* search and Monte Carlo Tree Search (MCTS). However, this training often requires abundant annotated data, which creates challenges when faced with noisy annotations or low-resource settings. We introduce GDP-Zero, an approach using Open-Loop MCTS to perform goal-oriented dialogue policy planning without any model training. GDP-Zero prompts a large language model to act as a policy prior, value function, user simulator, and system model during the tree search. We evaluate GDP-Zero on the goal-oriented task PersuasionForGood, and find that its responses are preferred over ChatGPT up to 59.32% of the time, and are rated more persuasive than ChatGPT during interactive evaluations.

Maximillian Chen, Xiao Yu, Weiyan Shi et al.

Mixed-initiative dialogue tasks involve repeated exchanges of information and conversational control. Conversational agents gain control by generating responses that follow particular dialogue intents or strategies, prescribed by a policy planner. The standard approach has been fine-tuning pre-trained language models to perform generation conditioned on these intents. However, these supervised generation models are limited by the cost and quality of data annotation. We instead prompt large language models as a drop-in replacement to fine-tuning on conditional generation. We formalize prompt construction for controllable mixed-initiative dialogue. Our findings show improvements over fine-tuning and ground truth responses according to human evaluation and automatic metrics for two tasks: PersuasionForGood and Emotional Support Conversations.