SlowGuess/NAACL_2022_OCR huggingface dataset:
Raghav Gupta\*, Harrison Lee\*, Jeffrey Zhao, Abhinav Rastogi, Yuan Cao, Yonghui Wu Google Research
{raghavgupta, harrisonlee}@google.com
Building universal dialogue systems that operate across multiple domains/APIs and generalize to new ones with minimal overhead is a critical challenge. Recent works have leveraged natural language descriptions of schema elements to enable such systems; however, descriptions only indirectly convey schema semantics. In this work, we propose Show, Don't Tell, which prompts seq2seq models with a labeled example dialogue to show the semantics of schema elements rather than tell the model through descriptions. While requiring similar effort from service developers as generating descriptions, we show that using short examples as schema representations with large language models results in state-of-the-art performance on two popular dialogue state tracking benchmarks designed to measure zero-shot generalization - the Schema-Guided Dialogue dataset and the MultiWOZ leave-one-out benchmark.
Task-oriented dialogue (TOD) systems need to support an ever-increasing variety of services. Since many service developers lack the resources to collect data and train models, zero and few-shot transfer to unseen services is critical to the democratization of dialogue agents.
Recent approaches to generalizable TOD systems primarily rely on combining two techniques: large language models like BERT (Devlin et al., 2019) and T5 (Raffel et al., 2020), and schemaguided modeling - i.e. using natural language descriptions of schema elements (intent and slots) as model inputs to enable transfer to unseen services (Rastogi et al., 2020a,b). Models combining the two currently hold state-of-the-art (SotA) results on dialogue state tracking (DST) (Heck et al., 2020; Lee et al., 2021a; Zhao et al., 2022).
However, description-based schema representations have some drawbacks. Writing precise natural language descriptions requires manual effort and can be difficult to write succinctly. Also, descriptions only provide indirect supervision about how to interact with a service compared to an example. Furthermore, Lee et al. (2021b) showed that schema-guided DST models are not robust to variations in schema descriptions, causing significant quality drops.
We propose using a single dialogue example with state annotations as an alternative to the description-based schema representation, similar to one-shot priming (Brown et al., 2020) - an approach we call Show, Don't Tell (SDT). Through demonstration, we show models the schema semantics rather than tell them through natural language descriptions, as seen in Figure 1. SDT achieves SotA accuracy and generalization to new APIs across both the Schema-Guided Dataset (SGD) (Rastogi et al., 2020b) and MultiWOZ Leave-One-Out (Budzianowski et al., 2018; Lin et al., 2021b) benchmarks, while being more data-efficient and robust to schema variations.
2 Show, Don't Tell
Following SoTA models, we pose DST as a seq2seq task (Wu et al., 2019; Zhao et al., 2021a) and fine-tune T5 on DST datasets. The model input consists of a prompt to convey API semantics and context to represent the current dialogue instance. The target contains ground truth belief states corresponding to the context. We compare against two baselines:
- T5-ind (Lee et al., 2021a): Model input comprises a single slot description for the prompt, concatenated with the dialogue history as the context. The target is the value of the single slot in the dialogue state. Model inference is invoked once per slot - i.e. values for different slots are independently decoded.
Human Language Technologies, pages 4541 - 4549
Figure 1: Illustration of all prompt formats for a payment service for both description-based and Show, Don't Tell models with independent (top) and sequential (bottom) decoding of dialogue state.
- T5-seq (Zhao et al., 2022): Model input comprises the descriptions of all slots as the prompt, concatenated with the dialogue history as the context. The target is the sequence of slot-value pairs in the dialogue state - i.e. the dialogue state is decoded sequentially in a single pass.
We modify the prompt formats above to utilize demonstrations instead of descriptions as described below and illustrated in Figure 1.
- SDT-ind: A prompt  $\mathrm{P_i^{ind}}$  comprises a single example utterance and the ground truth slot-value pair formatted as
$$
P _ {i} ^ {\text {i n d}} = [ \mathbf {e x} ]; u _ {i} ^ {\text {i n d}}; [ \mathbf {s l o t} ]; s v _ {i}
$$
where  $\mathbf{u}_{\mathrm{i}}^{\mathrm{ind}}$  is a user utterance where slot i is active/not null and  $\mathsf{sv}_{\mathrm{i}}$  is the slot-value pair. [ex], [slot] are special delimiter tokens, and; denotes concatenation.
- SDT-seq: A prompt  $\mathrm{P}^{\text{seq}}$  comprises a single labeled dialogue formatted as:
$$
\mathrm {P} ^ {\text {s e q}} = [ \mathrm {e x} ]; \mathrm {u} _ {1}; \dots ; \mathrm {u} _ {\mathrm {n}}; [ \text {s l o t} ]; \mathrm {s v} _ {1}; \dots ; \mathrm {s v} _ {\mathrm {m}}
$$
where  $\mathsf{u_j}$  is an utterance, and other symbols are explained in the SDT-ind section above. In simple terms, the prompt is constructed by concatenating all utterances in an example dialogue followed by all slot-value pairs in the dialogue state.
In both the T5-* and SDT-* approaches, the context is the serialized dialogue history for the current dialogue instance. The final model input is formed by concatenating the prompt and the context strings,
and the target string is the same as T5-*, containing only a single slot value for *-ind models and the entire turn's belief state for *-seq models.
For both T5-* and SDT-* we enumerate the categorical slot values in multiple-choice format in the prompt and task models with decoding the multiple choice letter corresponding to the correct categorical value.
More details on prompt design and its impact on performance are provided in Appendix A.
Creating prompt examples: It is imperative that SDT prompts contain enough information to infer the semantics for all slots in a schema. For SDT-ind, we create individual utterances that showcase a single slot. For SDT-seq, we create example dialogues where all slots in the schema are used.
Multi-domain examples: It is not feasible to construct multi-domain demonstrations for every combination of domains. Thus, we stick to single-domain SDT prompts and create separate training instances for each domain present in a multi-domain dialogue turn; for inference, we run inference once for each domain and combine the results.
Datasets: We conduct experiments on two DST benchmarks: Schema-guided Dialogue (SGD) (Rastogi et al., 2020b) and MultiWOZ 2.1 (Budzianowski et al., 2018; Eric et al., 2020). For MultiWOZ, we evaluate on the leave-one-out setup (Wu et al., 2019; Lin et al., 2021a), where models are trained on all domains but one and evaluated on the holdout domain. Additionally, we apply the rec
ommended TRADE pre-processing script<sup>1</sup> for fair comparison with other work. For both datasets, we created concise example dialogues modeled after dialogues observed in the datasets.
Implementation: We train SDT models by finetuning pretrained T5 1.1 checkpoints. For SDT-seq, we select one example dialogue for each service to create a prompt and use that prompt across all dialogue instances of that service, across training and evaluation. We do the same for SDT-ind but create one prompt per slot instead of per service. Unless otherwise noted, all T5-based models are based on T5-XXL (11B parameters). Appendices B and C contain more details on training and baselines respectively.
4.1 SGD Results
Table 1 contains results on the SGD test set. SDT-seq achieves the highest JGA by  $+1.1\%$ , outperforming the description-based T5-\* models, particularly on unseen services. SDT-ind is comparable to its counterpart T5-ind and better than T5-seq.
Since SDT results vary with the choice of example dialogue provided in the prompt, we created 5 different versions of prompts for each service using different examples. We report the average JGA across the 5 versions and the  $95\%$  confidence intervals using the Student's-t distribution.
We hypothesize that the main advantage of SDT is that the schema semantics are conveyed via demonstration, which is more similar in form to the end task of state tracking and more informative than descriptions. On the other hand, natural language descriptions can be viewed as an intermediary that models must interpret in order to achieve the end goal of slot value prediction.
We see that SDT-seq outperforms SDT-ind and posit that this is because the full dialogue prompts in SDT-seq demonstrate more complex linguistic patterns (e.g. coreference resolution, long term dependencies) than the single utterance prompts of SDT-ind. On the other hand, we believe T5-seq does not outperform T5-ind because no additional information is conveyed to the model through concatenating independent descriptions. All-else-equal, decoding all slots in one pass is more challenging than decoding each slot independently.
Model	All	Seen	Unseen
MRC+WD-DST*	86.5	92.4	84.6
T5-seq	86.4	95.8	83.3
T5-ind	87.7	95.3	85.2
SDT-ind	87.5±0.9	95.2±0.7	85.0±1.4
SDT-seq	88.8±0.5	95.8±0.2	86.4±0.7
Table 1: SDT achieves state-of-the-art JGA as evaluated on the SGD test set, performing especially well on unseen services. *Data augmentation/special rules applied.
Model	Attraction	Hotel	Restaurant	Taxi	Train	Avg
TRADE	20.1	14.2	12.6	59.2	22.4	25.7
SUMBT	22.6	19.8	16.5	59.5	22.5	28.2
TransferQA	31.3	22.7	26.3	61.9	36.7	35.8
T5-seq	76.1	28.6	69.8	87.0	60.4	64.4
SDT-seq	74.4	33.9	72.0	86.4	62.9	65.9
Table 2: SDT-seq outperforms T5-seq on the MultiWOZ 2.1 cross-domain (leave-one-out) benchmark. Results for TRADE, SUMBT, and TransferQA from Kumar et al. (2020), Campagna et al. (2020), and Lin et al. (2021a), respectively.
We also experimented with using up to 5 example dialogues in each prompt of SDT-seq, but accuracy did not increase.
4.2 MultiWOZ Results
Table 2 summarizes results for the MultiWOZ 2.1 leave-one-out setup. SDT-seq outperforms T5-seq by  $+1.5\%$  overall and in 3 of the 5 domains, achieving state-of-the-art performance.
4.3 Impact of Model Size
T5's XXL size (11B parameters) may be unsuitable in resource-constrained settings. To understand how the impact of model size, we measure SDT's performance on SGD across multiple T5 sizes in Table 3. For base and large sizes, both SDT variations offer higher JGA than their description-based counterparts, possibly due to smaller T5 models being less capable of inferring unseen slots with just a description, whereas SDT models provide more direct supervision in contrast. Additionally, SDT-ind outperforms SDT-seq for both the smaller sizes, potentially due to SDT-seq's prediction task being more complex than that of SDT-ind.
4.4 Data Efficiency
To examine the data efficiency of SDT models, we also experiment with training SDT-seq with  $0.16\%$  (10-shot),  $1\%$ , and  $10\%$  of the SGD training data
https://github.com/budzianowski/multiwoz#dialog-state-tracking
Model	Base (250M)	Large (800M)	XXL (11B)
T5-seq	72.9	80.0	86.4
T5-ind	72.6	82.2	87.7
SDT-ind	78.2±0.6	83.7±0.8	87.5±0.9
SDT-seq	76.3±1.6	83.2±0.6	88.8±0.5
and evaluating on the entire test set. For 10-shot, we randomly sample 10 training dialogues from every service; for  $1\%$  and  $10\%$ , we sample uniformly across the entire dataset. SDT-seq demonstrates far higher data efficiency than T5-seq (Table 4), indicating that SDT is more suitable for bootstrapping dialogue systems with a limited budget for collecting training data.
Table 3: SGD test set JGA across T5's Base, Large, and XXL sizes. SDT's advantage is especially prominent on smaller model sizes.
Model	10-shot	1%	10%
T5-seq	51.0	79.4	83.0
SDT-seq	70.7	84.5	87.4
4.5 Robustness
Large LMs are often sensitive to the choice of prompt (Zhao et al., 2021b; Reynolds and McDonell, 2021). To this end, we evaluate SDT-seq on the SGD-X (Lee et al., 2021b) benchmark, comprising 5 variants with paraphrased slot names and descriptions for every schema (Appendix Figure 4). Note that SDT-seq only makes use of slot names, so variations in description have no effect on it.
Table 5 shows SDT-seq achieves the highest average JGA  $(JGA_{v_{1-5}})$  and lowest schema sensitivity  $(SS_{JGA}$ , lower value indicates higher robustness), making it the most robust of the compared models. While the JGA decline indicates that SDT-seq is somewhat sensitive to how slot names are written, when compared to a variant of T5-seq (Zhao et al., 2022) that only uses slot names, it is still more robust based on the schema sensitivity, and the relative drop in JGA is nearly equal.
5.1 Writing descriptions vs. demonstrations
The information provided to SDT is not identical to what is provided to typical schema-guided models,
Table 4: Data efficiency experiments on the SGD test set. SDT-seq's example-based prompt approach is more suited to low resource settings than T5-seq's description-based prompts.
Model	JGAOrig	JGAv1-5	Diffrel	SSJGA
SGP-DST*	60.5	49.9	-17.5	51.9
T5-indbase*	72.6	64.0	-11.9	40.4
T5-seq (name)★	79.7	73.0	-8.4	35.0
T5-seq	86.4	77.8	-10.0	27.0
SDT-seq	88.8	81.2	-8.6	24.1
Table 5: Robustness evaluation on the SGD-X test sets. *Results from Lee et al. (2021b).  $\star$ Result of using T5-seq with only slot names and no descriptions, from Zhao et al. (2022).
as SDT exchanges natural language descriptions for a demonstration of identifying slots in a dialogue. However, we argue that from the developer standpoint, creating a single example is similar in effort to writing descriptions, so we consider the methods comparable. Creating the SDT-seq prompts for all 45 services in SGD took an experienced annotator  $\sim 2$  hours, compared to  $\sim 1.5$  hours for generating all slot descriptions. SDT-ind prompts are even simpler to write because they relax the requirement for creating a coherent dialogue involving all slots.
Descriptions can sometimes be easier to generate than a succinct dialogue that covers all slots. However, given the performance gain, example-based prompts may be a better choice for many settings, especially for smaller model sizes and low resource settings where the gain over description-based prompts is more pronounced.
5.2 Descriptions plus demonstrations
We tried combining both descriptions and a demonstration in a single prompt to try to further improve performance. However, results showed that this did not improve upon using demonstrations alone (see Appendix Table A1 for details).
We hypothesize that demonstrations, along with slot names, already convey slot semantics sufficiently, rendering descriptions extraneous. However, given that using slot names alone underperforms using descriptions (Zhao et al., 2022), the improvement SDT exhibits over using descriptions does not result purely from the use of slot names.
5.3 Prompting vs. traditional finetuning
To understand the impact of using a single demonstration as a prompt vs. traditional finetuning, we finetune T5-seq an additional time on the same set of dialogues used in SDT-seq prompts; therefore it has access to both slot descriptions as well as a single demonstration for each service. In this case, T5-seq is provided strictly more information than
Figure 2: Comparing common error patterns made by T5-seq vs. SDT-seq. Correct and incorrect predictions colored in red and blue, respectively.
SDT-seq. T5-seq with finetuning obtains a JGA of  $87.7\%$  on SGD, on par with T5-ind but still lower than SDT-seq, suggesting that, when scarce, dialogue examples are better used as prompts (Le Scao and Rush, 2021).
Interestingly, finetuning on up to 5 dialogue examples per service did not improve performance after the first example (Appendix Figure 3).
5.4 Error analysis
Figure 2 compares some common error patterns made by T5-seq vs. SDT-seq. The patterns suggest that SDT's demonstrations are helpful when multiple slots in the same domain are similar to each other (#1 in Figure 2) and when slots dissimilar from those seen in training are introduced (#2). However, SDT can sometimes be limited by its prompt. For instance, in #3 it has only seen the "music" value for the event_type slot in the prompt, potentially resulting in under-predicting the categorical values not featured in the example dialogue (e.g. "theater").
Prior approaches focused on framing DST as question answering (Ruan et al., 2020; Ma et al., 2019; Zhang et al., 2021). Many MultiWOZ cross-domain models leverage slot names/description (Wu et al., 2019; Lee et al., 2019; Lin et al., 2021a).
Pretrained generative LLMs (Raffel et al., 2020; Brown et al., 2020) have enabled framing NLP tasks as seq2seq problems. Some DST papers (Zhao et al., 2021a; Feng et al., 2021) look at settings with no train-test discrepancy. Many studies explore the efficacy of task-specific prompts (Jiang et al., 2020; Liu et al., 2021). Madotto et al. (2020) and prime LMs with examples for dialogue tasks,
but without finetuning. Wei et al. (2021) finetunes language models to teach them to use prompts to generalize across NLP tasks.
We study the use of demonstrations as LM prompts to convey the semantics of APIs in lieu of natural language descriptions for TOD. While taking similar effort to construct, demonstrations outperform description-based prompts in our experiments across DST datasets (SGD and MultiWOZ), model sizes, and training data sizes, while being more robust to changes in schemata. This work provides developers of TOD systems with more options for API representations to enable transfer to unseen services. In future work, we would like to explore this representation for other TOD tasks (e.g. dialogue management and response generation).
We proposed a more efficient way of building TOD systems by leveraging demonstrations in place of descriptions, leading to increased accuracy with minimal/no data preparation overhead. We conduct our experiments on publicly-available TOD datasets in English, covering domains which are popular for building conversational agents. We hope our work leads to building more accurate TOD systems with similar or less overhead and encourages further research in the area.
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