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Using an analytic psychological method to aid dialogue understanding Moore, Wendy Elizebeth 1983

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NG AN ANALYTIC PSYCHOLOGICAL METHOD TO AID DIALOGUE UNDERSTANDING by WENDY ELIZEBETH MOORE B . S c , Simon F r a s e r U n i v e r s i t y , 1980 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF SCIENCE i n THE FACULTY OF GRADUATE STUDIES (Department of Computer S c i e n c e ) We ac c e p t t h i s t h e s i s as c o n f o r m i n g t o the r e q u i r e d s t a n d a r d . THE UNIVERSITY OF BRITISH COLUMBIA September 1983 Wendy E l i z e b e t h Moore, 1983 In p r e s e n t i n g t h i s t h e s i s i n p a r t i a l f u l f i l m e n t o f t h e r e q u i r e m e n t s f o r an advanced degree a t t h e U n i v e r s i t y o f B r i t i s h C o l u m b i a , I a g r e e t h a t t h e L i b r a r y s h a l l make i t f r e e l y a v a i l a b l e f o r r e f e r e n c e and s t u d y . I f u r t h e r a gree t h a t p e r m i s s i o n f o r e x t e n s i v e c o p y i n g o f t h i s t h e s i s f o r s c h o l a r l y p u r p o s e s may be g r a n t e d by t h e head o f my department o r by h i s o r h e r r e p r e s e n t a t i v e s . I t i s u n d e r s t o o d t h a t c o p y i n g o r p u b l i c a t i o n o f t h i s t h e s i s f o r f i n a n c i a l g a i n s h a l l n o t be a l l o w e d w i t h o u t my w r i t t e n p e r m i s s i o n . Department o f C . Q y w ^ u : \ g j r S< U £ ^ y C Q . . The U n i v e r s i t y o f B r i t i s h C o l u m b i a 2075 Wesbrook P l a c e V ancouver, Canada V6T 1W5 Date OctoUh j^fidl D E - 6 ( 2 / 7 9 ) 11 A b s t r a c t T h i s t h e s i s d e s c r i b e s a way i n which p s y c h o l o g i c a l knowledge of a d i a l o g u e can be used t o a i d i n the u n d e r s t a n d i n g of a c o n v e r s a t i o n . Based on some of the p a r s i n g i d e a s of C o l b y ' s PARRY system and employing a case system f o r v e r b s , the program a l s o uses the p s y c h o l o g i c a l a n a l y s i s method c a l l e d T r a n s a c t i o n a l A n a l y s i s . T r a n s a c t i o n a l A n a l y s t s argue t h a t the s t r u c t u r e of language forms used i n c o n v e r s a t i o n s i s s t r o n g l y r e l a t e d t o u n d e r l y i n g p s y c h o l o g i c a l m o t i v a t i o n s and c h a r a c t e r t r a i t s . I n f a c t , sometimes t h e e x a c t words used can i n d i c a t e a p a r t i c u l a r p s y c h o l o g i c a l t r a i t which can, i n t u r n , be used t o c h a r a c t e r i z e f u r t h e r u t t e r a n c e s i n a d i a l o g u e . Table of C o n t e n t s A b s t r a c t . i i Ta b l e of F i g u r e s v CHAPTER 1: I n t r o d u c t i o n 1 CHAPTER 2: L i n g u i s t i c and P s y c h o l o g i c a l Background 4 2.1 The C o m p u t a t i o n a l L i n g u i s t i c Approach 4 2.1.1 Syntax and Semantics 4 2.1.2 P r a g m a t i c s 8 2.1.3 C o n v e r s a t i o n as a S p e c i f i c Type of D i s c o u r s e 9 2.1.4 D i a l o g u e System I m p l e m e n t a t i o n s 14 2.1.5 U s i n g L o g i c f o r R e p r e s e n t i n g N a t u r a l Language ... 23 2.2 The P s y c h o l o g i c a l Approach 24 2.2.1 C o g n i t i v e P s y c h o l o g y 24 2.2.2 A n a l y t i c P s y c h o l o g y 26 2.2.3 Some A n a l y t i c P s y c h o l o g y Approaches 27 2.2.4 T r a n s a c t i o n a l A n a l y s i s 28 2.3 C u r r e n t R e s e a r c h I s s u e s 34 CHAPTER 3: The I n t e g r a t i o n of P s y c h o l o g i c a l and L i n g u i s t i c Knowledge i n a Language Understander 36 3.1 Use of T r a n s a c t i o n a l A n a l y s i s t o A i d P a r s i n g 36 3.2 P a t t e r n - b a s e d Sentence P a r s i n g 41 3.2.1 E l i z a 41 3.2.2 P a r r y 42 3.3 U s i n g Verb Case i n the Sy n t a x - S e m a n t i c s I n t e r f a c e .... 47 3.4 O u t l i n e of System - 50 CHAPTER 4: The System 55 i v 4.1 I n t r o d u c t i o n 55 4.1.1 PROLOG as an Implementation Language 55 4.1.2 The T r a n s a c t i o n a l A n a l y s i s Game S t r u c t u r e 55 4.2 S y n t a c t i c Component 57 4.2.1 Input P r e p a r a t i o n 58 4.2.2 Scan of Sentence f o r Game Phrases 59 4.2.3 C o n v e r s i o n of Idioms 60 4.2.4 Ego S t a t e Scan and M o r p h o l o g i c a l A n a l y s i s 60 4.2.5 Noun Phrase B r a c k e t i n g 63 4.2.6 Verb Phrase S i m p l i f i c a t i o n 64 4.3 Semantic Component 67 4.3.1 C l a u s e Form L o c a t i o n 67 4.3.2 Check of C l a u s e Types Used i n Games 71 4.4 Use of T.A. V a r i a b l e s t o A i d P a r s i n g 71 CHAPTER 5: System i n O p e r a t i o n : Examples and D i s c u s s i o n 73 CHAPTER 6: C o n c l u s i o n 85 B i b l i o g r a p h y 91 APPENDIX A: T.A. Keyword D i c t i o n a r y 96 APPENDIX B: More About T.A. Games 99 APPENDIX C: L i s t of Cases 102 APPENDIX D: T.A. Game S t r u c t u r e s 108 APPENDIX E: Verb T a b l e s 110 APPENDIX F: Sample C o n v e r s a t i o n s 113 APPENDIX G: More Examples of the System i n O p e r a t i o n 115 T a b l e of F i g u r e s FIGURE 1 - S i m p l i f i e d Form of S t r u c t u r a l Diagram 30 FIGURE 2 - Complementary A d u l t - A d u l t T r a n s a c t i o n s 31 FIGURE 3: Why Don't You - Yes But 40 FIGURE 4: G e n e r a l System Diagram 51 FIGURE 5: S y n t a c t i c Component 58 FIGURE 6: Semantic Component 67 $SIGNOFF vi Acknowledgements I would l i k e t o thank my s u p e r v i s o r Dr. R i c h a r d Rosenberg f o r h i s p a t i e n c e and d i r e c t i o n r e g a r d i n g my t h e s i s . A d d i t i o n a l thanks go t o my aunt Jean Jamieson f o r her i n s i g h t on some of the i d e a s of T r a n s a c t i o n a l A n a l y s i s from a f a m i l y t h e r a p i s t ' s p o i n t of v i e w . I a l s o a p p r e c i a t e the encouragement and nagging of my f e l l o w g raduate s t u d e n t s and f i n a l l y , the u n d e r s t a n d i n g and s u p p o r t by my f a m i l y which was v e r y i m p o r t a n t i n a l l o w i n g me t o complete t h i s t h e s i s . 1 CHAPTER 1 I n t r o d u c t i o n A c u r r e n t problem i n c o m p u t a t i o n a l l i n g u i s t i c s r e s e a r c h i s the n e c e s s i t y t o use d i f f e r e n t s t r a t e g i e s t o a n a l y s e d i f f e r e n t t y p e s of d i s c o u r s e . N a r r a t i o n i s d i f f e r e n t than i n f o r m a t i v e t e x t and i n t u r n , w r i t t e n d i s c o u r s e d i f f e r s from spoken d i a l o g u e . These d i f f e r e n c e s l i e not i n sy n t a x or sentence s e m a n t i c s a l o n e but i n the harder problems of g e n e r a l d i s c o u r s e s e m a n t i c s or i n t r a - s e n t e n t i a l s e m a n t i c s , p r a g m a t i c s , and c o n v e r s a t i o n a l s t r a t e g i e s . The m o t i v a t i o n f o r t h i s work i s the d e s i r e t o d e v e l o p c o n v e r s a t i o n a l computer systems t h a t can communicate s u c c e s s f u l l y w i t h a user i n a n a t u r a l language. E a r l y , l a r g e l y u n s u c c e s s f u l , n a t u r a l language systems were based m o s t l y on sy n t a x but l a t e r systems had more success when s e n t e n t i a l s e m a n t i c s were added. C u r r e n t r e s e a r c h acknowledges the need f o r a d d i t i o n a l i n f o r m a t i o n t o a i d i n u n d e r s t a n d i n g a s i n g l e sentence or sequence of se n t e n c e s and t h i s has r e s u l t e d i n i n the a d d i t i o n of knowledge based on r e s e a r c h i n such a r e a s as l i n g u i s t i c s , c o g n i t i v e s c i e n c e , p s y c h o l o g y , and p h i l o s o p h y of language. L e v e l s of u n d e r s t a n d i n g r a n g i n g from the p r i m i t i v e morphemes t o the complex knowledge a s s o c i a t e d w i t h the human need f o r i n t e r a c t i o n as w e l l as r e a l - w o r l d knowledge must be i n c l u d e d i n the l i s t of what i s needed to un d e r s t a n d d i a l o g u e . 2 A l t h o u g h machine-person c o n v e r s a t i o n i s the u l t i m a t e g o a l of n a t u r a l language r e s e a r c h , a p r i o r requirement i s t o u n d e r s t a n d the n a t u r e of person t o person d i a l o g u e . One of the t h i n g s t h a t makes d i a l o g u e such a d i f f i c u l t f i e l d of study i s t h a t the r o l e s of the s p e a k e r / h e a r e r and the r u l e s they use t o speak a r e not v e r y w e l l u n d e r s t o o d . G r i c e ' s ( G r i c e 1967) r u l e s f o r c o n v e r s a t i o n r e v e a l o n l y a s m a l l p a r t of what goes on i n a c o n v e r s a t i o n . The problem of u n d e r s t a n d i n g d i a l o g u e has been approached from many a r e a s and f o r d i f f e r e n t r e a s o n s . As one example, p s y c h o l o g i s t s t r y t o a n a l y z e d i a l o g u e i n a t h e r a p e u t i c s e t t i n g where the l i t e r a l meaning i s not as i m p o r t a n t as the u n d e r l y i n g p s y c h o l o g i c a l meaning of what i s s a i d . The method c a l l e d T r a n s a c t i o n a l A n a l y s i s (T.A.) i s one such approach used i n t h e r a p y . In T r a n s a c t i o n a l A n a l y s i s , the a c t u a l words, or t y p e s of words, used can be p s y c h o l o g i c a l l y i m p o r t a n t . T h i s i n f o r m a t i o n can h e l p p r e d i c t f u r t h e r u t t e r a n c e s and thus may be i m p o r t a n t as an a i d t o " p a r s i n g " subsequent d i a l o g u e . U n d e r s t a n d i n g a s entence at a p s y c h o l o g i c a l l e v e l h e l p s i n d e t e r m i n i n g i t s extended meaning and so adds t o the known f a c t s of the d i a l o g u e as a whole. C e r t a i n p s y c h o l o g i c a l i n t e r a c t i o n s d e v e l o p i n p r e d i c t a b l e ways, which s u g g e s t s t h a t the p s y c h o l o g i c a l meaning of t h e next sentence t o be p a r s e d can be p r e d i c t e d . S i n c e the l i t e r a l meaning and p s y c h o l o g i c a l meanings a r e r e l a t e d , some a s p e c t s of the l i n g u i s t i c c o n t e n t of the sentence can a l s o be a n t i c i p a t e d . Most c u r r e n t computer d i a l o g u e u n d e r s t a n d i n g systems o n l y 3 a n a l y z e the words of one speaker. The t y p i c a l second speaker i s the computer and i t s " p s y c h o l o g y " and responses a r e known s i n c e they a r e p a r t of i t s programs. The p s y c h o l o g i c a l i n t e r p l a y between two peop l e i n a c o n v e r s a t i o n has not been e x t e n s i v e l y s t u d i e d from a c o m p u t a t i o n a l p o i n t of view. T h i s t h e s i s e x p l o r e s the i d e a of adding p s y c h o l o g i c a l d i a l o g u e a n a l y s i s t o l i n g u i s t i c a n a l y s i s t o determine the p s y c h o l o g i c a l i n t e n t of the spe a k e r s and hence t o p r e d i c t the d i r e c t i o n of a c o n v e r s a t i o n . The p a r t i c u l a r p s y c h o l o g i c a l a n a l y s i s method used i n t h i s t h e s i s i s T r a n s a c t i o n a l A n a l y s i s because of the number of d i a l o g u e forms which have been i d e n t i f i e d and the depth of the a s s o c i a t e d a n a l y s i s . The i d e a l system would be d e s i g n e d so t h a t any t ype of p s y c h o l o g i c a l a n a l y s i s c o u l d be e a s i l y i n t e g r a t e d w i t h o u t changing much of the l i n g u i s t i c a n a l y s i s but i n r e a l i t y , much can depend on the p s y c h o l o g i c a l approach used. The f i r s t p a r t of t h i s t h e s i s c o n t a i n s a more d e t a i l e d i n t r o d u c t i o n t o , and background i n f o r m a t i o n o f , the f i e l d s of d i s c o u r s e u n d e r s t a n d i n g and the p s y c h o l o g i c a l s t u d y of c o n v e r s a t i o n . Chapter Three g i v e s more d e t a i l of t h r e e i m p o r t a n t a r e a s of the r e s e a r c h , namely T r a n s a c t i o n a l A n a l y s i s , v e r b c a s e , and the PARRY system; the i m p l e m e n t a t i o n d e t a i l s a re d e s c r i b e d i n Chapter Four. The f i f t h c h a p t e r g i v e s the r e s u l t s and examples and i s f o l l o w e d by a summary i n Chapter S i x . 4 CHAPTER 2 L i n g u i s t i c and P s y c h o l o g i c a l Background I t i s imp o r t a n t when s t u d y i n g a s p e c i f i c d i a l o g u e model, t o e x p l o r e the u n d e r l y i n g t h e o r i e s on which i t i s based. T h i s model i s based on r e s e a r c h from two d i f f e r e n t f i e l d s , those of c o m p u t a t i o n a l l i n g u i s t i c s and t h e r a p e u t i c p s y c h o l o g y . 2_._1_ The C o m p u t a t i o n a l L i n q u i s t i c Approach 2_._1_.J_ Syntax and Semantics The e a r l y e f f o r t s i n n a t u r a l language u n d e r s t a n d i n g began w i t h what has been c a l l e d by some, a l i n e a r approach. W i t h i n t h i s approach the sentence was f i r s t p a r s e d and then the r e s u l t i n g s t r u c t u r e was i n t e r p r e t e d t o produce a semantic form. One such e a r l y scheme based on r e s e a r c h i n t r a n s f o r m a t i o n a l grammar, used a system of what were c a l l e d "semantic markers". These semantic markers, s t o r e d as d i c t i o n a r y e n t r i e s , d e f i n e d and l i m i t e d the way i n which a word c o u l d be combined w i t h o t h e r words. For example, the word " y e l l o w " can be combined w i t h a PHYSICALOBJECT, a HUMAN, or a FRUIT. In the p h r a s e , " y e l l o w X", the X would be checked t o see i n which c a t e g o r y i t belonged and would thus d e f i n e the sense of " y e l l o w " . A problem a r i s e s w i t h t h i s method when more than one c a t e g o r y i s a c c e p t a b l e ; f o r 5 example, a noun may f a l l i n t o two or more a c c e p t a b l e c a t e g o r i e s f o r an a d j e c t i v e . T h i s problem may be s o l v e d by s a v i n g a l l of the p o s s i b l e i n t e r p r e t a t i o n s but the number of p o s s i b i l i t i e s can become l a r g e and u n w i e l d y . A l a t e r semantic approach, c a l l e d p r o c e d u r a l s e m a n t i c s , was dev e l o p e d by Woods (Woods 1968) and Winograd (Winograd 1971). Woods' a i r l i n e - g u i d e q u e s t i o n - a n s w e r i n g system works on an i n p u t s e n t e n c e , assumed t o have been p a r s e d ; i t s s t r u c t u r a l d e s c r i p t i o n i s a s y n t a c t i c t r e e . T h i s s y n t a c t i c t r e e i s then mapped t o a semantic form by b r e a k i n g the t r e e down i n t o s u b t r e e s , such as head noun and v e r b , and matching a g a i n s t the t e m p l a t e p a r t of r u l e s a s s o c i a t e d w i t h the s u b t r e e elements. The semantic programs then b u i l d a query u s i n g p r o c e d u r e s t h a t r e p r e s e n t the c o n c e p t u a l p r i m i t i v e s i n the a i r l i n e g u ide d a t a b a s e . These p r i m i t i v e s a r e any of the p r e d i c a t e s , commands, or f u n c t i o n s t h a t would be used i n the database query. An example of a p r i m i t i v e p r e d i c a t e i s "CONNECT(FLIGHTNUMBER,CITY 1,CITY2)". The v e r b CONNECT i s r e p r e s e n t e d by a procedure t h a t scans the database t o determine i f f l i g h t FLIGHTNUMBER f l i e s from CITY 1 t o CITY2, i n which case CONNECT r e t u r n s t r u e ; o t h e r w i s e i t r e t u r n s f a l s e . Woods' approach t o the se m a n t i c s of q u e s t i o n answering was a l s o used l a t e r i n the LUNAR system. One of the most w i d e l y known n a t u r a l language p r o c e s s o r s i s Winograd's SHRDLU based on the b l o c k s w o r l d domain. SHRDLU b e g i n s a n a l y z i n g the u s e r ' s sentence s y n t a c t i c a l l y u n t i l a m e a n i n g f u l u n i t has been p a r s e d . Semantic r o u t i n e s a re •then 6 c a l l e d t o a n a l y z e the u n i t and i f t h e r e a re no o b j e c t i o n s t o the u n i t on semantic grounds ( i n f e r e n c i n g may a l s o be n e c e s s a r y ) , the s y n t a c t i c p a r s e w i l l c o n t i n u e ; o t h e r w i s e the s y n t a c t i c p a r s e r i s i n f o r m e d t h a t t h e r e i s a problem and t h a t a d i f f e r e n t p a r s e s h o u l d be t r i e d . The semantic p r o c e d u r e s t h a t a re c a l l e d a r e s p e c i f i c t o the type of phrase p a r s e d ; f o r example, t h e r e ar e two semantic p r o c e d u r e s c a l l e d d u r i n g the p a r s e of a noun ph r a s e . The d e f i n i t i o n s of the words i n the d i c t i o n a r y a re a l s o i n the form of p r o c e d u r e s and c o n t a i n a type of semantic marker l i s t . D u r i n g the p r o c e s s i n g , the u n i t s a r e t r a n s l a t e d i n t o MICROPLANNER, a language t h a t s t o r e s knowledge i n the form of a s s e r t i o n s and theorems i n a da t a b a s e . An advantage of p r o c e d u r a l l y encoded knowledge i s t h a t i t i s v e r y f l e x i b l e . However, t h i s f l e x i b i l i t y can cause problems because the pr o c e d u r e s a r e d i f f i c u l t t o modify w h i l e a t t e m p t i n g t o m a i n t a i n o v e r a l l c o n s i s t e n c y . Another v a l i d c r i t i c i s m of the system i s t h a t SHRDLU i s too dependent on the b l o c k s w o r l d domain. N e v e r t h e l e s s , SHRDLU was one of the f i r s t systems t o s i m u l t a n e o u s l y handle the problems of p a r s i n g , s e m a n t i c s , r e f e r e n c e s t o p r e v i o u s d i s c o u r s e , knowledge r e p r e s e n t a t i o n , and problem s o l v i n g . Other examples of semantic t h e o r i e s i n l i n g u i s t i c s a r e semantic networks (Simmons 1973), F i l l m o r e ' s case system ( F i l l m o r e 1968, 1969), and Schank's c o n c e p t u a l dependancy networks (Schank 1973). In s i m p l e terms, a semantic network i s a l a b e l l e d d i r e c t e d graph w i t h the nodes r e p r e s e n t i n g c o n c e p t s and the a r c s r e p r e s e n t i n g r e l a t i o n s between the c o n c e p t s . 7 P r i m i t i v e c o n c e p t s a r e the word sense meanings and the p r i m i t i v e semantic r e l a t i o n s a r e those t h a t the v e r b of a sentence has w i t h i t s s u b j e c t and o b j e c t ( s ) . The sentence i s f i r s t reduced t o p r e d i c a t e form and then t u r n e d i n t o a semantic network u s i n g one of the many v a r i a t i o n s of n o t a t i o n . An argument i n f a v o u r of semantic networks i s t h a t they are easy t o u n d e r s t a n d i n t h e i r p i c t o r i a l r e p r e s e n t a t i o n but t h i s i s not p a r t i c u l a r l y h e l p f u l f o r programming p u r p o s e s . Some problems a s s o c i a t e d w i t h semantic n e t s a r e t h a t the semantics a r e p o o r l y d e f i n e d and t h a t t h e r e a r e problems d e f i n i n g the nodes and p r o p e r t i e s . The next example of a semantic t h e o r y t o be d i s c u s s e d i s t h a t of c a s e . B r i e f l y , F i l l m o r e d e s c r i b e d the i d e a of deep case i n which a s i m p l e sentence c o n s i s t s of a v e r b w i t h p r o p e r t i e s such as t e n s e , n e g a t i o n , mood and a s p e c t , and a s e t of noun phr a s e s l a b e l l e d w i t h c a s e names. Some examples of deep case are AGENTIVE, INSTRUMENTAL, LOCATIVE and OBJECTIVE w i t h the v e r b s then c l a s s i f i e d by the s e t of c a s e s they r e q u i r e . The i d e a of case w i l l be d i s c u s s e d i n more d e t a i l i n Chapter Three. The main i d e a b e h i n d Schank's c o n c e p t u a l dependency t h e o r y i s t h a t t h e r e e x i s t s a c o n c e p t u a l base i n t o which n a t u r a l language u t t e r a n c e s a r e mapped d u r i n g u n d e r s t a n d i n g . To o b t a i n a p r o p e r meaning r e p r e s e n t a t i o n , Schank i n t r o d u c e d a s e t of p r i m i t i v e c o n c e p t s and u n d e r l y i n g c a n o n i c a l forms. The r e p r e s e n t a t i o n of a sentence i n terms of the p r i m i t i v e c o n c e p t s i s c a l l e d a c o n c e p t u a l i z a t i o n . Each of the v e r b s i s r e p r e s e n t e d by one of a s m a l l s e t of p r i m i t i v e ACTs. -The number of ACTs has v a r i e d over the y e a r s but are e i t h e r p h y s i c a l ACTs, g l o b a l ACTs, 8 i n s t r u m e n t a l ACTs, or mental ACTs. C o n c e p t u a l dependency t h e o r y d e a l s o n l y w i t h i n d i v i d u a l s e n t e nces so t o handle l a r g e r t e x t , t h e i d e a of s c r i p t s was de v e l o p e d . 2.J_._2 P r a g m a t i c s S c r i p t s a r e s t r u c t u r e s t h a t d e s c r i b e the a p p r o p r i a t e sequence of ev e n t s i n a p a r t i c u l a r c o n t e x t . For example, a t a r e s t a u r a n t a pers o n s i t s down, o r d e r s a meal, e a t s the meal, pays the b i l l , and l e a v e s . T h i s i s o b v i o u s l y o n l y a bare-bones s k e t c h of what a c t u a l l y may happen i n a t y p i c a l r e s t a u r a n t . Other p a r t i c i p a n t s i n the s c r i p t i n c l u d e the h o s t e s s , w a i t e r , cook, and c a s h i e r . The s c r i p t r e p r e s e n t s e v e n t s and p a r t i c i p a n t s w i t h s l o t s and r u l e s about what may f i l l t he s l o t s . A s c r i p t i s a p r e d e t e r m i n e d sequence of a c t i o n s d e f i n i n g a w e l l known s i t u a t i o n , so t o t a l l y new s i t u a t i o n s cannot be h a n d l e d . However, a s c r i p t does r e p r e s e n t the e x p e c t a t i o n s we seem t o h o l d about e v e n t s i n a g i v e n f a m i l i a r s i t u a t i o n and t h e r e f o r e does h e l p i n u n d e r s t a n d i n g r e s t a u r a n t s i t u a t i o n s . R e s earch i n u n d e r s t a n d i n g a sentence i s q u i t e advanced now but t h e r e a r e few s i t u a t i o n s i n computer a p p l i c t i o n s where u n d e r s t a n d i n g a s i n g l e sentence i s i n t e r e s t i n g or i m p o r t a n t . Most se n t e n c e s occur i n the c o n t e x t of a d i s c o u r s e such as a s t o r y , j o u r n a l a r t i c l e , or a d i a l o g u e . The meaning of a sentence can, and u s u a l l y does, depend on those s u r r o u n d i n g i t . Some of the c u r r e n t n a t u r a l language r e s e a r c h i s i n t h i s a r e a . C o n s i d e r a b l e work has been done by c o g n i t i v e s c i e n t i s t s , a n t h r o p o l o g i s t s and l i n g u i s t s on the comprehension of s t o r i e s , 9 e s p e c i a l l y f o l k t a l e s . Most f o l k t a l e s have a type of p a t t e r n t h a t has e v o l v e d t o make t h e i r t e l l i n g e a s i e r . Other t y p e s of s t o r i e s f o l l o w c e r t a i n c o n v e n t i o n s f o r ease of t e l l i n g and r e a d a b i l i t y . One model t h a t d e s c r i b e s t h i s form of m u l t i s e n t e n t i a l knowledge i s c a l l e d the " s t o r y schema" (Rumelhart 1975) and uses a s t o r y grammar t o d e s c r i b e i t . S t u d i e s i n v o l v i n g r e c a l l of ev e n t s i n s t o r i e s (Rumelhart 1975, Thorndyke 1977) have s u p p o r t e d t h i s t h e o r y f o r s i m p l e s t o r i e s . Another type of t h e o r e t i c a l c o n s t r u c t f o r o r g a n i z i n g the many sentences i n a s t o r y a re M i n s k y ' s frames (Minsky 1975) or Schank and A b e l s o n ' s s c r i p t s . An e x t e n s i o n of Schank's s c r i p t s has l e d t o BORIS ( L e h n e r t e t a l 1981), a program t o u n d e r s t a n d and answer q u e s t i o n s about s t o r i e s . I n s t e a d of s e a r c h i n g the sen t e n c e s f o r answers, BORIS t r i e s t o un d e r s t a n d the s t o r y t o as g r e a t a depth as p o s s i b l e i n o r d e r t o answer f a i r l y complex q u e s t i o n s . S t o r i e s have been s t u d i e d because they a r e w e l l s t r u c t u r e d , e s p e c i a l l y compared t o the seem i n g l y f r e e - f o r m o r a l d i a l o g u e . In terms of a p p l i c a t i o n on the computer, however, c o n v e r s a t i o n i s much more i n t e r e s t i n g , as w e l l as more p r a c t i c a l . 2.^.3 C o n v e r s a t i o n as a S p e c i f i c Type of D i s c o u r s e C o n v e r s a t i o n has been a n a l y s e d from many d i f f e r e n t p o i n t s of v i e w . T h e o r i e s of p a r s i n g d i a l o g u e s depend on what the a n a l y s i s i s f o r . The s i m p l e s t type of d i s c o u r s e a n a l y s i s i s an e x t e n s i o n of the type of a n a l y s i s used i n s e n t e n t i a l p a r s i n g . A t h e o r y d e v e l o p e d as an e x t e n s i o n of the 10 t r a n s f o r m a t i o n a l - g e n e r a t i v e i d e a s of sentence based l i n g u i s t i c s ( H u r t i g 1977) has problems s i n c e t h e r e are many o t h e r t y p e s of knowledge i n d i s c o u r s e t h a t a r e not s t a t e d e x p l i c i t l y i n the i n d i v i d u a l s e n t e n c e s . F i r s t of a l l , any c o n v e r s a t i o n seems t o f o l l o w a s e t of r u l e s . These r u l e s or c o n v e n t i o n s a r e a s e t of c o n d i t i o n s t h a t a r e met by a s t r i n g of u t t e r a n c e s such t h a t the u t t e r a n c e s put t o g e t h e r , a c c o r d i n g t o the r u l e s , a r e c a l l e d a c o n v e r s a t i o n . The most b a s i c r u l e i s the i d e a of t u r n t a k i n g , which c r e a t e s an o r d e r l y c o n v e r s a t i o n . There are s e v e r a l r u l e s t h a t must be f o l l o w e d f o r t u r n t a k i n g t o work. F i r s t l y , e v e r y p a r t i c i p a n t s h o u l d have a chance t o t a l k . A l s o , o n l y one person s h o u l d t a l k a t a time so t h a t she/he can be heard and the gaps between t u r n s s h o u l d be b r i e f f o r e f f i e n c y . In most c o n v e r s a t i o n s , the o r d e r of s p e a k e r s , and the amount they say, s h o u l d not be f i x e d ahead of t i m e . There a l s o must be t e c h n i q u e s f o r d e c i d i n g who s h o u l d speak and when. In a two p e r s o n c o n v e r s a t i o n , the t u r n s j u s t a l t e r n a t e from one speaker t o the o t h e r . When more peopl e a r e i n v o l v e d , the t u r n t a k i n g becomes more c o m p l i c a t e d . A person spoken t o d i r e c t l y or asked a q u e s t i o n u s u a l l y speaks n e x t . A f t e r t h a t , the f i r s t person t o speak g e t s the next t u r n . I f the c u r r e n t speaker resumes s p e a k i n g b e f o r e anyone e l s e speaks, then she/he ge t s the next t u r n . These b a s i c r u l e s seem t o o r d e r the t u r n t a k i n g i n a c o n v e r s a t i o n . Turn t a k i n g i s one of the f i r s t r u l e s t h a t c h i l d r e n l e a r n when they begin t o t a l k . S t u d i e s of c h i l d r e n ' s d i a l o g u e s ( N e l s o n and G r u e n d e l 1979) and p a r e n t - c h i l d d i s c o u r s e (Sachs 11 1979) have shown some of the elements of a s u c c e s s f u l c o n v e r s a t i o n . C h i l d r e n l e a r n the i d e a of t u r n t a k i n g e a r l y on but t h i s does not mean t h a t a d i a l o g u e i s t a k i n g p l a c e . C h i l d r e n can e x h i b i t the i d e a of t u r n t a k i n g i n monologues when they a r e t a l k i n g t o t h e m s e l v e s . Other a s p e c t s of d i a l o g u e a re i m p o r t a n t and have been s t u d i e d both i n c h i l d and a d u l t c o n v e r s a t i o n . The breakdown of c h i l d r e n ' s c o n v e r s a t i o n can i n d i c a t e t h a t something n e c e s s a r y i s m i s s i n g from the d i s c o u r s e . There i s a need of a common ground f o r u n d e r s t a n d i n g or a d i a l o g u e w i l l be abandoned. In any s u c c e s s f u l c o n v e r s a t i o n , the speaker must take i n t o c o n s i d e r a t i o n e s t i m a t e s of the l i s t e n e r ' s c a p a c i t i e s , i n t e r e s t s , g o a l s , a t t e n t i v e n e s s , r e a l w o r l d knowledge and l i n g u i s t i c knowledge. The d i a l o g u e a l s o depends on s h a r e d a s s u m p t i o n s and a shared t o p i c . L e s s s o p h i s t i c a t e d s p e a k e r s , such as c h i l d r e n , may not r e c o g n i z e the s i g n a l s of a l a c k of s h a r e d knowledge so c o n v e r s a t i o n s w i l l be abandoned more f r e q u e n t l y than the c o n v e r s a t i o n s of a d u l t s . To compensate f o r the c h i l d ' s l a c k of s o p h i s t i c a t i o n , a d u l t s w i l l use s i m p l e r language when t a l k i n g t o c h i l d r e n . In f a c t , f o r most c o n v e r s a t i o n s where the p a r t i c i p a n t s a r e not on e q u a l l e v e l s , the more knowledgable speaker w i l l t a i l o r the c o n v e r s a t i o n t o the l i s t e n e r ' s l e v e l so t h a t she/he can a l s o p a r t i c i p a t e . T h i s i s one of many r u l e s t h a t a r e f o l l o w e d i n d i a l o g u e s . The i n t e r a c t i o n at a s o c i a l l e v e l between peo p l e i s i m p o r t a n t i n the study of c o n v e r s a t i o n . S o c i o l i n g u i s t s (Goffman 1974) have s t u d i e d the s o c i o l o g i c a l r u l e s of i n t e r a c t i o n i n 1 2 c o n v e r s a t i o n and have shown t h a t they depend on the c u l t u r e or b e l i e f system of the speaker. The spe a k e r ' s b e l i e f s , b e l i e f s about the l i s t e n e r , and t h e i r s o c i a l r e l a t i o n s h i p h e l p determine the c h o i c e of e x p r e s s i o n . For example, the phrase "Can you come h e r e ? " means something d i f f e r e n t when spoken by a mother t o her c h i l d who i s l e a r n i n g t o walk than by an employer t o an employee. The s o c i a l r e l a t i o n s h i p s of the c o n v e r s a n t s i s a l s o i m p o r t a n t i n d e t e r m i n i n g a response. The p r e v i o u s q u e s t i o n would p r o b a b l y have d i f f e r e n t answers f o r the two s i t u a t i o n s . The way i n wh i c h a thought i s p h r a s e d or t h e a c t u a l words used may a l s o v a r y from one s o c i a l s i t u a t i o n t o a n o t h e r . Another a s p e c t of u n d e r s t a n d i n g d i a l o g u e i s the d i f f e r e n t l e v e l s of meaning t h a t e x i s t i n a se n t e n c e . For a q u e s t i o n , the t r u e meaning, not the l i t e r a l meaning, s h o u l d be answered. The q u e s t i o n "Can you pass t h e s a l t ? " i s not a s k i n g about the l i s t e n e r s p h y s i c a l a b i l i t y t o move a s a l t s h a k e r . Such u t t e r a n c e s may have m u l t i p l e meanings or e f f e c t s . There a r e a l s o d i f f e r e n t l e v e l s of meaning i n a c o n v e r s a t i o n (Schank and L e h n e r t 1979). The most o b v i o u s i s the s u r f a c e q u e s t i o n or answer l e v e l . For t h e above q u e s t i o n t h i s c o r r e s p o n d s t o answering 'yes' or 'no' about p a s s i n g the s a l t . Some o t h e r l e v e l s of meaning a r e r e l a t e d t o p s y c h o l o g i c a l i s s u e s . There i s an e m o t i o n a l meaning as w e l l as one t h a t depends on the r e l a t i o n s h i p between the s p e a k e r s . An example of "hid d e n " communication between e m o t i o n a l l y r e l a t e d p e o p l e i s the d i a l o g u e between husband and w i f e . The p o w e r - o r i e n t e d or dominance games l e v e l meaning c o u l d a l s o be p r e s e n t i n t h i s 1 3 example. There a r e a l s o l e v e l s of t r u t h and t r u s t i n the c o n v e r s a t i o n . E i t h e r the l i s t e n e r b e l i e v e s or does not b e l i e v e what the o t h e r person i s s a y i n g and t h i s b e l i e f can be i m p l i e d by the responses t o what i s s a i d . Many l e v e l s of c o n c e p t u a l i n f o r m a t i o n can be g i v e n i n one se n t e n c e . A m i s u n d e r s t a n d i n g a t any one of these l e v e l s can cause a breakdown of the c o n v e r s a t i o n . For example, sometimes t h e r e a r e many d i f f e r e n t r e s ponses t h a t a l l make sense but the speaker may not have c o n s i d e r e d a l l of them. These meanings and s o c i a l r e l a t i o n s h i p s l e a d t o a s e t of r u l e s t h a t s h o u l d be f o l l o w e d i n c o n v e r s a t i o n . These r u l e s can be l i s t e d as c o n v e r s a t i o n a l p o s t u l a t e s ( C a r b o n e l l 1978) t h a t t r y t o d e s c r i b e a d i a l o g u e i n g e n e r a l terms or as r u l e s and a s o r t of s o c i a l s c r i p t ( N e l s o n and Gruende l 1979) used t o guide the d i a l o g u e . A more f o r m a l d e s c r i p t i o n (Cohen and Levesque 1980) of a p l a n based t h e o r y of speech a c t s has a l s o been used. On a more p r a c t i c a l l e v e l , t h e r e a re s t r u c t u r a l a s p e c t s of c o n v e r s a t i o n t h a t have t o be s t u d i e d . How does one f i n d the u n i t of a n a l y s i s i n a d i a l o g u e ? P e o p l e do not speak o n l y one sentence a t a time so s i n g l e s e n t e n c e s a r e not n e c e s s a r i l y a u n i t . I t may be a word, p h r a s e , c l a u s e , or a sentence t h a t can be c o n s i d e r e d a c o n v e r s a t i o n a l move. One must a l s o take i n t o c o n s i d e r a t i o n the type of d i s c o u r s e because unplanned or spontaneous d i s c o u r s e has a d i f f e r e n t l i n g u i s t i c " s y n t a x " than t h a t of plann e d d i s c o u r s e (Ochs 1979). The unplanned d i s c o u r s e i s c l o s e r i n form t o t h a t l e a r n e d as a c h i l d . For our purposes, t y p i n g on a computer t e r m i n a l i s p r o b a b l y c l o s e r t o plann e d 1 4 d i s c o u r s e . The c o n v e r s a t i o n a l g o a l s or s u b g o a l s are g u i d e d by some s o r t of schema or p l a n . In t u r n , t h e r e are v a r i o u s c o n v e r s a t i o n a l s t r a t e g i e s t o a c h i e v e t h e s e g o a l s . The d i s c o u r s e can then be broken i n t o s e v e r a l "movements". For example, two t y p e s of c o n v e r s a t i o n a l moves are s u b s t a n t i v e and "housekeeping" moves. Housekeeping moves a r e those i n v o l v e d i n b e g i n n i n g , e n d i n g or t o p i c s h i f t i n g i n d i a l o g u e s . One study (Reichman 1978) has broken c o n v e r s a t i o n s i n t o groups of u t t e r a n c e s about r e l a t e d e v e n t s or i s s u e s which a r e c a l l e d " c o n t e x t spaces". She s t u d i e d the r e l a t i o n s h i p s between t h e s e c o n t e x t spaces. The f i r s t t h i n g t o n o t i c e i s t h a t the p a r t i c i p a n t s a l t e r n a t e between two r o l e s i n a c o n v e r s a t i o n , the speaker and the l i s t e n e r . Each r o l e has c e r t a i n o b l i g a t i o n s and e x p e c t a t i o n s . The c o n v e r s a n t s each b u i l d a d i s c o u r s e s t r u c t u r e upon the c o n t e x t spaces and c o n v e r s a t i o n a l coherency i s m a i n t a i n e d as l o n g as t h e r e i s no c o n f l i c t between the two r o l e s . The t h e o r i e s mentioned up t o now have been m o s t l y j u s t i d e a s or s t u d i e s of c o n v e r s a t i o n . The f o l l o w i n g a r e some computer i m p l e m e n t a t i o n d e s c r i p t i o n s and the t h e o r y behind them. 2.J_.4 D i a l o g u e System Impl e m e n t a t i o n s There have been s e v e r a l computer i m p l e m e n t a t i o n s t h a t i n t e r a c t w i t h the user i n a d i a l o g u e s i t u a t i o n . Most of t h e s e systems have been of the type t h a t can be c a l l e d o n e - s i d e d d i a l o g u e s , the o t h e r "speaker" b e i n g the computer. There i s , 1 5 however, useful information, to be obtained from the dialogue analyses. The systems are generally of the database question-answering or user helping type and are discussed in the following pages. Dialogue Games In 1976, James Levin, James Moore and William Mann of the Information Sciences Institute at the University of Southern C a l i f o r n i a began working on a system involving one person helping another, s p e c i f i c a l l y interactions of users of the TENEX computer system and the system's operators. The basis of the model was goal-oriented multi-sentential knowledge units c a l l e d Dialogue Games (Levin and Moore 1977). These units contain rules for the kind of language interaction people engage i n , not the actual content of these interactions. The dialogues studied were a l l two party conversations over terminals. This eliminated the need to consider other aspects of conversation such as tone, stress patterns and other factors of interaction such as physical cues. They concentrated on r e g u l a r i t i e s or rules for the function of the dialogue for the participants as opposed to i t s topic. Studies of two person naturally occurring dialogues were broken into six types of interaction. 1. Helping: Person 1 wants to solve a problem, and interacts with Person 2 in an attempt to arrive at a solut ion. 2. Action-seeking: Person 1 wants some action performed and interacts with Person 2 to get her/him to perform i t . 1 6 3. I n f o r m a t i o n - s e e k i n g : Person 1 wants t o know some s p e c i f i c i n f o r m a t i o n , and i n t e r a c t s w i t h Person 2 i n o r d e r t o l e a r n i t . 4. I n f o r m a t i o n - p r o b i n g : Person 1 wants t o know whether Person 2 knows some p a r t i c u l a r i n f o r m a t i o n , and i n t e r a c t s w i t h her/him t o f i n d o u t . 5. I n s t r u c t i o n g : Person 1 wants Person 2 t o know some i n f o r m a t i o n , and i n t e r a c t s w i t h him/her t o impart the i n f o r m a t i o n . 6. G r i p i n g : Person 1 i s unhappy about some s t a t e of a f f a i r s , and i n t e r a c t s w i t h Person 2 t o convey t h a t unhappiness. An example of the type of c o n v e r s a t i o n t h a t t a k e s p l a c e i s : L: Do you know t h a t the system c l o c k i s an hour f a s t ? 0: Thanks. I d i d n ' t r e s e t i t . T h i s i s phrased as a q u e s t i o n but i s i n f a c t i m p a r t i n g i n f o r m a t i o n t o the o p e r a t o r , a type 4 i n t e r a c t i o n . The Dialogue-Game (DG) s t r u c t u r e c o n s i s t s of t h r e e main p a r t s . The f i r s t i s a s e t of Parameters t h a t have s p e c i f i c v a l u e s f o r each d i a l o g u e t y p e . An example of t h r e e Parameters used i n the HELPing game a r e the two p a r t i c i p a n t s and the t a s k t o be done. Next, the DG c o n t a i n s a s e t of S p e c i f i c a t i o n s t h a t a p p l y t o the Parameters f o r the d u r a t i o n of the D i a l o g u e Game. T h i s i n c l u d e s the g o a l s of the p a r t i c i p a n t s and t h e i r i n d i v i d u a l knowledge s t a t e s w i t h r e s p e c t t o each o t h e r and the s u b j e c t of the D i a l o g u e Game. These S p e c i f i c a t i o n s a c t l i k e a s e t of r u l e s t h a t must be s a t i s f i e d f o r the DG t o be g i n and d e s c r i b e the way the p a r t i c i p a n t s respond t o r e q u e s t s t o b e g i n a DG as w e l l as the t e r m i n a t i o n s c o n d i t i o n s . The f i n a l p a r t of the D i a l o g u e Game i s a p a r t i a l l y o r d e r e d s e t of Components. These r u l e s r e p r e s e n t those a s p e c t s of a c o n v e r s a t i o n type t h a t change i n a 1 7 p a r t i c u l a r way. For example, th e Components can be a l i s t of the p a r t i c i p a n t s s u b g o a l s , p a r t i a l l y o r d e r e d i n t i m e . The main c o n t r i b u t i o n of the D i a l o g u e Game model i s the use of a f o r m a l knowledge s t r u c t u r e t o r e p r e s e n t the g o a l s and d i r e c t i o n s of a p a r t i c u l a r type of d i a l o g u e . M u l t i p l e u t t e r a n c e p a r s i n g was done u s i n g common knowledge about language and how i t i s used t o a c h i e v e the p a r t i c i p a n t s g o a l s . T r a i n S t a t i o n D i a l o g u e s Mary H o r r i g a n of the U n i v e r s i t y of Toronto wrote a system t o a n a l y z e s i m p l e two person d i a l o g u e s between a c l e r k and p a s s e n g e r s a t a t r a i n i n f o r m a t i o n booth ( H o r r i g a n 1977). A n a l y s i s of tape r e c o r d i n g s of a c t u a l t r a i n s t a t i o n d i a l o g u e s produced the u n d e r l y i n g s t r u c t u r e s f o r t h e s e t y p e s of c o n v e r s a t i o n s . The u t t e r a n c e s were broken down i n t o d i s c o u r s e u n i t s c a l l e d ' a c t s ' such as c o n f i r m . h e a r d . o k and s t a t e . q u e s t i o n and 'moves' such as r e s p o n d . s t a t e . r e p l y and a s s e r t . These ' a c t s ' are l o o s e l y based on the i d e a of speech a c t s . The 'moves' d i f f e r from the ' a c t s ' i n t h a t they have a s t r u c t u r e or r u l e s t h a t are f o l l o w e d . For example, the 'move' a s k ( A , R ) : A wants t o ask R a q u e s t i o n ; A u t t e r s a s t a t e . q u e s t i o n and l i s t e n s f o r a r e s p o n d . s t a t e . q which R may or may not u t t e r . I f R does not u t t e r a r e s p o n d . s t a t e . q , then A assumes t h a t R heard the q u e s t i o n c o r r e c t l y . U s i n g a l i s t of about 14 d i f f e r e n t such moves, the d i a l o g u e i s p a r s e d u s i n g a grammar made up of these moves. The grammar a l s o e n a b l e s the system t o p r e d i c t the next type of u t t e r a n c e . The 18 d i a l o g u e model then succeeds i f each u t t e r a n c e can be accounted f o r i n t h i s manner. S u s i e S o f t w a r e G r e t c h e n Brown's MIT t h e s i s (Brown 1977) d e s c r i b e d an E n g l i s h language i n t e r f a c e f o r an a u t o m a t i c programming e x p e r t system. The user typed i n the s o r t of i n p u t / o u t p u t b e h a v i o u r d e s i r e d from a computer program and the e x p e r t system produced a program t o t h e s e s p e c i f i c a t i o n s . I n t e r a c t i o n was i n the form of q u e s t i o n - a n s w e r i n g , d e s c r i p t i o n , and e x p l a n a t i o n s . Only one human was i n v o l v e d i n the c o n v e r s a t i o n a t a t i m e . The system used OWL language "methods" ( M a r t i n 1974) as a model of d i a l o g u e . Methods a r e l i k e frames or s c r i p t s i n t h a t they a r e s t r u c t u r e s d e s c r i b i n g how t o c a r r y on a d i a l o g u e . The d i a l o g u e a c t i v i t i e s a re e x p l i c i t l y s t a t e d and a r e a l s o based on speech a c t s . The methods a l s o c o n t a i n a r e c o v e r y p a t h t o be f o l l o w e d i f the exchange goes wrong. The f o l l o w i n g i s an example of a q u e s t i o n - a n s w e r method. ask-and-answer: o b j e c t : the q u e s t i o n t o be asked (not a how or why q u e s t i o n ) a g e n t : a person or computer system c o - a g e n t : a person or computer system method: 1. The agent asks the q u e s t i o n . 2. The co-agent now knows what the q u e s t i o n i s . 3. The co-agent f i n d s the answer. 4. The co-agent g i v e s the answer and the agent g i v e s an ( o p t i o n a l ) acknowledgement. r e c o v e r y p a t h 1: i f a s t i p u l a t i o n i s found a l o n g w i t h the answer R1.1. The co-agent s t a t e s the s t i p u l a t i o n . R1.2. The agent a g r e e s t o i t . 19 r e c o v e r y p a t h 2: i f the answer i s unknown R2.1. The co-agent says t h a t s/he does not know the answer. I t i s assumed t h a t each s t e p i n the method w i l l o c c u r . The t h r e e ways t o i n t e r p r e t the s t e p s are t o c a r r y out the s t e p , r e c o g n i z e t h a t a s t e p has o c c u r r e d or t o assume t h a t a s t e p has happened i f i t i s i m p l i c i t . The system has "core d i a l o g u e methods" f o r each d i f f e r e n t type of speech a c t . The s e n t e n c e s are a l s o c a t e g o r i z e d i n t o d i f f e r e n t t y p e s a c c o r d i n g t o t h e i r purpose i n the c o n v e r s a t i o n and p a r s e d i n the f o l l o w i n g o r d e r : ( 1 ) M e t a d i s c u s s i o n ( t a l k about the c o n v e r s a t i o n ) (2) s t a n d a r d p a t h s u c c e s s o r s t e p s ( n o r m a l l y e x p e c t e d sequence of e v e n t s ) (3) r e c o v e r y path l e a d - i n s (due t o l a c k of i n f o r m a t i o n by e i t h e r person) (4) i n i t i a t o r s ( r e q u e s t s f o r i n f o r m a t i o n by e i t h e r person) (5) g e n e r a l f a i l u r e method l e a d - i n s (from c o n t r a d i c t i o n s and m i s u n d e r s t a n d i n g ) T h i s system has some u s e f u l i d e a s on the a n a l y s i s of t y p e s of s e n t e n c e s and the speech a c t s t h a t they r e p r e s e n t . Task O r i e n t e d D i a l o g u e s The S t a n f o r d Research I n t e r n a t i o n a l p r o j e c t (Grosz 1979, Robinson et a l 1980, Robinson 1981) i s a system t h a t h e l p s a u s e r t o assemble a pump. The computer a c t s l i k e a s t u d e n t h e l p e r by a n s w e r i n g q u e s t i o n s and g i v i n g i n s t r u c t i o n s as the assembly p r o c e s s c o n t i n u e s . The most imp o r t a n t f e a t u r e of t h i s system i s the use of what a r e c a l l e d " f o c u s s p a c es". They are a method t o m a i n t a i n and r e c o r d the f o c u s of a d i a l o g u e and are i m p o r t a n t f o r d e t e r m i n i n g anaphora r e f e r e n t s . 20 The system i s q u i t e g o a l - o r i e n t e d . I n s i m p l e terms, the g o a l of the computer i s t o h e l p the user and the g o a l of the user i s t o b u i l d the pump. There i s q u i t e a d e t a i l e d data s t r u c t u r e s c r i p t t h a t d e s c r i b e s the a c t i o n s the user must go thr o u g h and the o r d e r i n which they a r e done. These t a s k s a re o r d e r e d i n a " f o c u s i n g h i e r a r c h y " so t h a t the l e v e l of focus d e t a i l i s r e s o l v e d i n a r e f e r e n t . The foc u s spaces depend on knowing what the person i s g o i n g t o t a l k about, i n o t h e r words, which l e v e l of t a s k i s c u r r e n t l y b e i n g d i s c u s s e d . The o t h e r type of g o a l i n t h e system i s t h a t of d i a l o g u e c o o p e r a t i o n . The p e r s p e c t i v e of both the h e a r e r and the speaker must be c o n s i d e r e d . The p a r s i n g i s done w i t h two t y p e s of g o a l s i n mind. These a r e e i t h e r the a c t i o n g o a l s of f o l l o w i n g the t a s k s c r i p t or t h e d i a l o g u e g o a l s of c o o p e r a t i o n . The PARRY System The PARRY system ( P a r k i s o n , C o l b y , Faught 1977) a t the U n i v e r s i t y of C a l i f o r n i a , Los Angeles i s an attempt by p s y c h o l o g i s t s t o und e r s t a n d p a r a n o i d thought p r o c e s s e s by u s i n g a computer program t h a t implements C o l b y ' s t h e o r y of p a r a n o i d b e h a v i o u r . The program t a k e s on the r o l e of a p a t i e n t and the user i s the i n t e r v i e w e r . The i d e a i s to s i m u l a t e a p a r a n o i d p a t i e n t and t o use r e a l p s y c h o l o g i s t s as u s e r s t o t e s t the program. The t r a n s c r i p t s of the d i a l o g u e s s h o u l d be i n d i s t i n g u i s h a b l e from those of a r e a l p a r a n o i d p a t i e n t and p s y c h o l o g i s t . Thus, the program must have enough l i n g u i s t i c a b i l i t y t o c a r r y on a c o n v e r s a t i o n . 21 One of the main l i n g u i s t i c e f f o r t s of the system was the a n a l y s i s and p a r s i n g of p a t t e r n e d or i d i o m a t i c p h r a s e s i n c o l l o q u i a l E n g l i s h d i a l o g u e . In f a c t , the n a t u r a l language component of PARRY i s based on a few thousand g e n e r a l p a t t e r n s . The program f o r t h i s t h e s i s r o u g h l y f o l l o w s the PARRY system i n the method of language comprehension and w i l l be d i s c u s s e d i n d e t a i l l a t e r . I t was found t o be a u s e f u l d e s i g n because the p s y c h o l o g i c a l aspect was easy t o add. The PARRY system, however, i s much l a r g e r w i t h a d i c t i o n a r y of 3500 words, two i d i o m t a b l e s t o t a l l i n g 600 e n t r i e s and a t a b l e of about 2000 concept p a t t e r n s . The l a r g e number of i d i o m a t i c and c o l l o q u i a l p h r a s e s i n E n g l i s h e x p l a i n s the s i z e of any system a t t e m p t i n g t o be c o m p l e t e . F l e x P ^ F l e x i b l e P a r s i n g Hayes and Mouradian a t C a r n e g i e - M e l l o n U n i v e r s i t y have d e v e l o p e d a system u s i n g what they c a l l f l e x i b l e p a r s i n g , or F l e x P , t o handle some of the u n g r a m m a t i c a l i t i e s found i n d i a l o g u e (Hayes and Mouradian 1 9 8 1 ) . Some of the e r r o r s found i n c o n v e r s a t i o n s are l e a v i n g out or r e p e a t i n g words, b r e a k i n g o f f and r e s t a r t i n g , and u s i n g sentence fragments. When c o n v e r s a t i o n i s typed on a t e r m i n a l , a d d i t i o n a l e r r o r s o c c u r such as s p e l l i n g m i s t a k e s or i n c o r r e c t noun and v e r b phrase agreement. Human l i s t e n e r s seem t o be a b l e t o determine the meaning of ungrammatical sentences so any computer program t h a t i n t e r a c t s w i t h humans s h o u l d have some a b i l i t y t o u n d e r s t a n d s l i g h t g r a m m a t i c a l d e v i a t i o n s . 22 F l e x P i s a bottom-up p a t t e r n matching p a r s e r d e s i g n e d t o work f o r r e s t r i c t e d n a t u r a l language i n p u t t o a l i m i t e d domain computer system. To u n d e r s t a n d any i n p u t t o the system, the domain must be l i m i t e d , o t h e r w i s e a m b i g u i t i e s would a r i s e q u i t e f r e q u e n t l y . The p a t t e r n matching p a r t d e t e c t s i d i o m s and h e l p s f i n d ommisions and s u b s t i t u t i o n s i n n o n - i d i o m a t i c p h r a s e s w i t h i n t e r j e c t i o n s , r e s t a r t s , and sentence fragments r e c o g n i z e d u s i n g bottom-up p a r s i n g . The problems of b r e a k i n g o f f and r e s t a r t i n g , i n t e r j e c t i o n s , and i m p i c i t t e r m i n a t i o n s a r e d e a l t w i t h by a l l o w i n g the p a r s i n g t o be suspended and p o s s i b l y c o n t i n u e d l a t e r on. F l e x P has f l e x i b l e m atching i n t h a t some elements of the p a t t e r n s i n the p a t t e n matching are o p t i o n a l . Other f l e x i b i l i t i e s i n matching a l l o w a r e l a x a t i o n of c o n s i s t e n c y c o n s t r a i n t s , such as number agreement, and a l l o w some out of o r d e r matches. The F l e x P system does seem t o take c a r e of a l o t of problems encountered i n c o n v e r s a t i o n , e s p e c i a l l y e r r o r s made on a t e r m i n a l . However, one must take c a r e t o f i n d the p r o p e r b a l a n c e between l i m i t i n g the domain too much and p a r s i n g c o r r e c t l y e v e r y sentence t h a t i s t y p e d i n . Summary In summary, we have l e a r n e d t h a t t h e r e a r e many t h i n g s t h a t make c o n v e r s a t i o n a unique type of d i s c o u r s e w i t h s p e c i a l problems t o be s o l v e d . Most of the problems a r i s e because c o n v e r s a t i o n i n v o l v e s a t l e a s t two people e x p l i c i t l y w h i l e f o r o t h e r t y p e s of d i s c o u r s e , the second p e r s o n , the r e a d e r , i s o n l y 23 i m p l i c i t l y i n v o l v e d . W i t h two or more p e o p l e , the s o c i a l and p s y c h o l o g i c a l i n t e r a c t i o n s must be c o n s i d e r e d . There a r e a s e t of r u l e s or c o n v e n t i o n s t h a t must be f o l l o w e d f o r any c o n v e r s a t i o n t o c o n t i n u e , f o r example, t u r n t a k i n g , c o n s i d e r a t i o n of the p a r t i c i p a n t s b e l i e f s , and o t h e r c o n v e r s a t i o n a l p o s t u l a t e s . The s t r u c t u r e of d i a l o g u e s a l s o p r e s e n t a s e t of problems i n a n a l y z i n g a c o n v e r s a t i o n . The u t t e r a n c e s can be grouped i n c o n t e x t s p a c e s , a c t s or moves, or focus s p a c e s . The o r d e r of the s e n t e n c e s i s a l s o i m p o r t a n t and can f o l l o w r u l e s such as those i n D i a l o g u e Games or Brown's methods. P a r s i n g systems f o r d i a l o g u e such as PARRY and F l e x P , have been d e s i g n e d t o d e a l e x c l u s i v e l y w i t h d i a l o g u e s . C o n s i d e r i n g a l l of t h e f a c t o r s t h a t make a c o n v e r s a t i o n a unique type of d i s c o u r s e , we f i n d d i a l o g u e u n d e r s t a n d i n g t o be a d i f f i c u l t t a s k . However, s i n c e n a t u r a l language communication w i t h the computer i s v e r y i m p o r t a n t , the e f f o r t s h o u l d be made t o a n a l y z e d i a l o g u e . 2_.J_.5 U s i n g L o g i c f o r R e p r e s e n t i n g N a t u r a l Language One c u r r e n t way of r e p r e s e n t i n g n a t u r a l language i s based on p r e d i c a t e l o g i c . The semantic c o n t e n t of a sentence i s r e p r e s e n t e d w i t h a l o g i c a l c l a u s e , u s u a l l y i n f i r s t o r d e r p r e d i c a t e c a l c u l u s form. I n f e r e n c i n g or e x t r a c t i n g o t h e r i n f o r m a t i o n from the l o g i c a l form i s e a s i e r than from o t h e r r e p r e s e n t a t i o n s . Systems f o r t r a n s l a t i n g n a t u r a l language t o l o g i c use c o n v e n t i o n a l l o g i c n o t a t i o n . There may be a s m a l l s e t 24 of f u n c t i o n s and r e l a t i o n s t h a t can be used f o r e x p r e s s i n g the most common c o n s t r u c t i o n s of n a t u r a l language i n l o g i c ( S a ndewall 1971). Programming i n l o g i c has become e a s i e r s i n c e the development of the programming language PROLOG (PROgramming i n LOGic) which can be d e s c r i b e d as a backward, d e p t h - f i r s t s e a r c h s t r a t e g y w i t h a u t o m a t i c f a i l u r e - d r i v e n b a c k t r a c k i n g . Grammars such as d e f i n i n t e c l a u s e grammars ( P e r e i r a and Warren 1980), metamorphosis grammars (Dahl 1981), and e x t r a p o s i t i o n grammars ( P e r e i r a 1981) have been developed and used f o r p a r s i n g n a t u r a l language i n t o l o g i c . Data base query systems w i t h E n g l i s h and o t h e r language i n p u t s e n t e nces have now been w r i t t e n u s i n g PROLOG. The program f o r t h i s t h e s i s i n f a c t uses PROLOG. 2.2 The P s y c h o l o g i c a l Approach For our p u r p o s e s , the two main a r e a s of p s y c h o l o g y t h a t a re concerned w i t h n a t u r a l language a r e c o g n i t i v e and a n a l y t i c p s y c h o l o g y . A l t h o u g h t h i s t h e s i s u t i l i z e s a t h e o r y of a n a l y t i c p s y c h o l o g y , the c o n t r i b u t i o n s from c o g n i t i v e p s y c h o l o g y s h o u l d be c o n s i d e r e d . We a r e not c o n s i d e r i n g such p o s s i b l y r e l e v a n t a r e a s as p s y c h o l i n g u i s t i c s , d e v e l o p m e n t a l p s y c h o l o g y , or c h i l d a q u i s i t i o n of language. _2.2_.J_ C o g n i t i v e P s y c h o l o g y C o g n i t i v e s c i e n t i s t s do not seem t o have been i n f l u e n c e d by the t h e o r i e s produced by t h e i r c o l l e a g u e s i n a n a l y t i c 25 p s y c h o l o g y . They are more i n t e r e s t e d i n the way i n which language i s u n d e r s t o o d by humans. The g o a l of c o g n i t i v e s c i e n c e can be d e s c r i b e d as the unique i d e n t i f i c a t i o n of mental s t r u c t u r e s and p r o c e s s e s . T h i s means t h a t l i n g u i s t i c t h e o r i e s are proposed and then t e s t e d e x p e r i m e n t a l l y . One example of t h i s ( C l a r k and Lucy 1975) i s the study of the method by which p e o p l e d e t e r m i n e the meaning of a s e n t e n c e . The t h e o r y s u g g e s t e d i s t h a t the l i t e r a l meaning of an u t t e r a n c e i s found f i r s t , then the l i s t e n e r c h e c k s t o see of t h i s i s p l a u s i b l e i n the g i v e n c o n t e x t . I f t h e r e i s a c o n f l i c t , the l i s t e n e r must use c e r t a i n c o n v e r s a t i o n a l r u l e s t o deduce the i n t e r p r e t a t i o n of the s e n t e n c e . One such c o n v e r s a t i o n a l r u l e might be " I f S q u e s t i o n s A's w i l l i n g n e s s t o do something when i n f a c t A's w i l l i n g n e s s i s not i n doubt, then S i s r e q u e s t i n g A t o do t h a t something". T h i s r u l e would be used i n the sample sentence "Do you mind opening the d o o r ? " . These r e s u l t s show t h a t a computer program f o r u n d e r s t a n d i n g language s h o u l d f i r s t d e t ermine l i t e r a l meanings of s e n t e n c e s . Other r e s u l t s by C l a r k and Lucy show t h a t s e n t e n c e s coded i n a n e g a t i v e form t a k e l o n g e r t o comprehend than t h o s e coded i n a p o s i t i v e form. Perhaps n e g a t i o n i s done a f t e r the sentence i s i n t e r p r e t e d i n a p o s i t i v e way. Study of idioms showed t h a t they too have l i t e r a l meanings but are e a s i l y d i s t i n g u i s h a b l e from non-idioms and so can be t r e a t e d s e p a r a t e l y . B e s i d e s language comprehension, c o g n i t i v e p s y c h o l o g i s t s are concerned w i t h memory s t r u c t u r e s , both l o n g term and e p i s o d i c , p e r c e p t i o n and problem s o l v i n g , r e a s o n i n g , q u e s t i o n a n s w e r i n g , 26 and c h i l d language development. Another c o g n i t i v e model i s t h a t of John Anderson (Anderson 1976, Anderson and Bower 1973). H i s ACT system i s an e x t e n s i o n of h i s e a r l i e r model HAM (Human A s s o c i a t i v e Memory) and has two components. The f i r s t i s an a s s o c i a t i v e network of l o n g term memory t h a t c o n t a i n s p r o p o s i t i o n a l knowledge of the w o r l d . The second p a r t i s a p r o d u c t i o n system of network o p e r a t o r s . Nodes i s the network r e p r e s e n t c o n c e p t s and a r c s a r e the r e l a t i o n s h i p s between the c o n c e p t s . There i s a d i s t i n c t i o n made between e p i s o d i c and semantic memory. Semantic memory i s the permanent s t o r a g e of knowledge about words and c o n c e p t s w h i l e e p i s o d i c memory i s compared t o s h o r t term memory which i s r e p r e s e n t e d by h a v i n g a f i x e d number (ten) of a c t i v e nodes i n a l i s t . T h i s i d e a of s h o r t term memory may be u s e f u l i n t h e problem of anaphora r e s o l u t i o n . T h i s model i s r e p r e s e n t a t i v e of the work done by c o g n i t i v e s c i e n t i s t s and w h i l e i t i s u s e f u l f o r u n d e r s t a n d i n g d i a l o g u e s , i t i s c o m p l e t e l y d i f f e r e n t from the type of work done i n a n a l y t i c p s y c h o l o g y . 2.2.2 A n a l y t i c P s y c h o l o g y One of the most im p o r t a n t methods a n a l y t i c p s y c h o l o g i s t s use t o examine human b e h a v i o u r i s the a n a l y s i s of c o n v e r s a t i o n . T h i s may be on a one t o one b a s i s or the s e t t i n g of group t h e r a p y . A n a l y s t s a r e more i n t e r e s t e d i n the deep or p s y c h o l o g i c a l meaning of s e n t e n c e s r a t h e r than i n t h e i r s u r f a c e or l i t e r a l meaning.' The deep l e v e l meaning of a sentence c o r r e s p o n d s more t o the s p e a k e r ' s g o a l i n s a y i n g something. 27 T h i s meaning g e n e r a l l y goes beyond the words t h a t were u t t e r e d . I t i s through t h i s deep p s y c h o l o g i c a l meaning t h a t p a t i e n t s e x p r e s s t h e i r problems. These problems can be those a n a l y s e d i n ps y c h o t h e r a p y such as psychoses or neuroses and a r e r e v e a l e d i n the one t o one d i a l o g u e between p a t i e n t and t h e r a p i s t . S o c i a l problems r e v e a l e d i n group or one t o one c o n v e r s a t i o n a r e s t u d i e d i n the f i e l d of f a m i l y t h e r a p y . T h e r e f o r e , u n d e r s t a n d i n g the . way a person i s t h i n k i n g and e x p r e s s i n g h e r s e l f i s i m p o r t a n t . There a r e many p s y c h o l o g i c a l t h e o r i e s about the meaning of u t t e r a n c e s . 2.2.3 Some A n a l y t i c P s y c h o l o g y Approaches Most s t u d i e s of d i a l o g u e from the p s y c h o l o g i c a l p o i n t of view a r e not ve r y f o r m a l . Some t h e r a p i s t s ( T r o e m e l - P l o e t z 1977) stud y j u s t one or two sentences and the way i n which the t h e r a p i s t can change a p a t i e n t s t houghts by a few c a r e f u l l y chosen p h r a s e s . A p a t i e n t can go from b e i n g h o s t i l e t o r a t i o n a l i f the r i g h t words a r e used. E x t r a l i n g u i s t i c i n f o r m a t i o n such as p a s t e p i s o d e s i n the p a t i e n t ' s l i f e a r e used t o und e r s t a n d the d i a l o g u e . However, t h i s type of i n f o r m a t i o n i s not always known. Another type of method ( H a r r i s 1980) depends a l o t on what are c a l l e d l i f e s c r i p t s by E r i c Berne (Berne 1961) but the a c t u a l words used a re not i m p o r t a n t i n the a n a l y s i s . L i f e s c r i p t s a r e p e r s o n a l l i f e p l a n s d e c i d e d upon a t an e a r l y age. These a r e the elements of the b a s i c c h a r a c t e r s t r u c t u r e or p e r s o n a l i t y . The l i f e s c r i p t s a f f e c t the type of t h i n g t h a t i s 28 d i s c u s s e d and the r e s u l t s of the c o n v e r s a t i o n , but l i t t l e can be s a i d about s p e c i f i c s of the d i a l o g u e . Work has a l s o been done from the s o c i a l p s y c h o l o g i c a l p o i n t of view (Labov and F a n s h e l 1977). T h i s t h e o r y i s c l o s e t o l i n g u i s t i c s as the t y p e s of d i s c o u r s e are d i v i d e d up a c c o r d i n g t o v a r i o u s c o n v e r s a t i o n a l r u l e s . From the s o c i a l s i d e , the s t a t u s of the p a r t i c i p a n t s , t h e i r r i g h t s and o b l i g a t i o n s , and t h e i r c h anging r e l a t i o n s h i p s i n term of s o c i a l o r g a n i z a t i o n s a r e a l l i m p o r t a n t i n u n d e r s t a n d i n g the meaning of t h e c o n v e r s a t i o n . Very few p s y c h o l o g i c a l methods of s t u d y i n g d i a l o g u e depend on the a c t u a l words used or the s e m a n t i c s of the s e n t e n c e s . However, T r a n s a c t i o n a l A n a l y s i s i s one such method. 2.2.4 T r a n s a c t i o n a l A n a l y s i s T r a n s a c t i o n a l A n a l y s i s (T.A.) f o l l o w e r s c o n s i d e r i t t o be b o t h a p h i l o s o p h y ( t h e o r y ) and a t e c h n i q u e . The p h i l o s o p h i c a l p a r t says t h a t everyone i s "OK" and i s c o n s t a n t l y s e a r c h i n g f o r what are c a l l e d " p o s i t i v e s t r o k e s " . "OK" i n t h i s c o n t e x t means t h a t the b a s i c human c o r e i s "good" even though moments of " r o t t e n n e s s " may show t h r o u g h . The reason f o r the r o t t e n n e s s i s a r e s u l t of the c o n s t a n t d e s i r e f o r the s o - c a l l e d p o s i t i v e s t r o k e s . These " s t r o k e s " or t r a n s a c t i o n s may be v e r b a l and/or p h y s i c a l communication between two or more p e o p l e . P o s i t i v e t r a n s a c t i o n s r e i n f o r c e the b e l i e f t h a t the o t h e r person i s OK. I t i s the n o n - p o s i t i v e s t r o k e s a p e r s o n g e t s t h a t a r e the cause of problems. T.A. i s b u i l t upon the i d e a of the e x i s t e n c e of t h r e e ego 29 s t a t e s i n a p e r s o n . The f i r s t , c a l l e d the P a r e n t , i s an a c c u m u l a t i o n of a t t i t u d e s , f e e l i n g s , b e h a v i o u r s and t h o u g h t s r e c e i v e d from p a r e n t f i g u r e s when the c h i l d was young. These can be as s i m p l e as "Don't c r o s s the s t r e e t when the l i g h t i s r e d " , t o complex i d e a s such as p o l i t i c a l or r e l i g i o u s b e l i e f s . The second ego s t a t e i s c a l l e d the A d u l t . I t i s a l s o c a l l e d the d a t a p r o c e s s o r as i t i s supposed t o o r g a n i z e r e l e v a n t i n f o r m a t i o n , weigh the p o s s i b l e outcomes of a c t i o n s and make l o g i c a l d e c i s i o n s or s t a t e m e n t s . N e e d l e s s t o say, t h i s s e n s i b l e ego s t a t e i s the most d e s i r o u s one t o be i n . The f i n a l ego s t a t e i s the C h i l d and c o n s i s t s of emotions, t h o u g h t s and b e h a v i o u r s t y p i c a l of c h i l d r e n or spontaneous a d u l t s . These t h r e e ego s t a t e s may be broken i n t o f u r t h e r components depending on t h i n g s such as i n f l u e n c e . For example, the P a r e n t c o u l d be i n f l u e n c e d by the mother, f a t h e r , o l d e r s i b l i n g s , or o t h e r a d u l t s . The d e t a i l s a re not i m p o r t a n t h e r e . In a "normal, h e a l t h y " p e r s o n , the t h r e e ego s t a t e s a re s e p a r a t e and a person i s i n one of the s t a t e s a t a t i m e . Problems occur when one of the ego s t a t e s i s c u t o f f (never e n t e r e d or acknowledged) or when an ego s t a t e i s c o n t a m i n a t e d by another ( o v e r l a p s ) . T.A. l i t e r a t u r e uses diagrams of t h r e e c i r c l e s t o r e p r e s e n t the t h r e e ego s t a t e s as i n F i g u r e 1. 30 S i m p l i f i e d Form of S t r u c t u r a l Diagram F i g u r e 1 Each c i r c l e represent s an ego s t a t e wi th the order as g iven and the j u x t a p o s i t i o n of the c i r c l e s shows the c o n d i t i o n o f the ego s t a t e s of the i n d i v i d u a l . The f i g u r e above shows a "normal person" . The c i r c l e s may be s e p a r a t e , o v e r l a p or have communication cut o f f between them depending on the c o n d i t i o n of the ego s t a t e s and the p a t i e n t ' s problem. Communication between two or more people can a l s o be represented., wi th the use of the s t r u c t u r a l d iagrams . The t r a n s a c t i o n s , or s i n g l e u n i t s of s o c i a l d i s c o u r s e , are r e p r e s e n t e d with one set of c i r c l e s for each person and v e c t o r s from one s i d e of the diagram to the o ther r e p r e s e n t i n g the type of communication going on . F i g u r e 2 shows an A d u l t to A d u l t set of t r a n s a c t i o n s . 31 Agent Respondent Complementary A d u l t - A d u l t T r a n s a c t i o n s F i g u r e 2 The P a r e n t , A d u l t , and C h i l d ego s ta t e s are represented by P, A , C r e s p e c t i v e l y . In t h i s example the A d u l t ego s t a t e . p r o d u c e d both the s t imulus and the response . T r a n s a c t i o n s in which the s t i m u l u s - r e s p o n s e v e c t o r s do not c r o s s i n the s t r u c t u r a l diagram are c a l l e d complementary t r a n s a c t i o n s ; that i s , the response i s both expected and a p p r o p r i a t e . Examples of complementary t r a n s a c t i o n s are c r i t i c a l , g o s s i p ( P a r e n t - P a r e n t ) , problem s o l v i n g ( A d u l t - A d u l t ) , or p l a y i n g together ( C h i l d - C h i l d or P a r e n t - C h i l d ) . When c r o s s e d t r a n s a c t i o n s , or v e c t o r s , o c c u r , the communication w i l l p r o b a b l y break o f f . For example, the A d u l t - A d u l t s t i m u l u s "Do you know where I put my g la s se s?" fo l lowed by the C h i l d - P a r e n t response "You always blame me for e v e r y t h i n g " i s a c r o s s e d t r a n s a c t i o n . The f i r s t person w i l l then e i t h e r switch ego s t a t e s or t erminate the c o n v e r s a t i o n . The important t h i n g about the ego s t a t e s as far as d i a l o g u e i s concerned i s that a person responds d i f f e r e n t l y to s i t u a t i o n s depending what ego s t a t e he or she i s i n . C e r t a i n v e r b a l or p h y s i c a l c l u e s can h e l p i d e n t i f y the ego s t a t e s . ' In some cases 32 the v e r b a l c l u e s a r e enough. These are the s i t u a t i o n s t h a t a r e i n t e r e s t i n g f o r d i a l o g u e a n a l y s i s . The c l u e s can i n f a c t be s t a t e d as r u l e s t h a t are u s e f u l i n c o n v e r s a t i o n a l a n a l y s i s . These r u l e s can be used as an a i d i n the p a r s i n g of a two or more person d i a l o g u e but o n l y two sp e a k e r s are used i n the f o l l o w i n g a n a l y s i s . C o n v e r s a t i o n s can f o l l o w c e r t a i n p a t t e r n s . S e v e r a l t y p e s of i n t e r a c t i o n were f i r s t i d e n t i f i e d by E r i c Berne (Berne 1961, 1964) and c l a s s i f i e d as w i t h d r a w a l s , r i t u a l s , a c t i v i t i e s , p a s t i m e s or games. Wi t h d r a w a l s happen when pe o p l e a r e bored and remember or daydream about b e t t e r times and p l a c e s . T h i s i s f a i r l y h armless u n l e s s i t happens a l l the time or someone i s t a l k i n g d i r e c t l y t o you. A r i t u a l i s a s o c i a l l y programmed use of time where everyone does the same t h i n g . Examples a r e g r e e t i n g r i t u a l s , p a r t y r i t u a l s and w o r s h i p r i t u a l s . T h i s i s a s a f e use of time as t h e r e i s no commitment or involvement w i t h another person and what happens i s p r e d i c t a b l e . Both w i t h d r a w a l s and r i t u a l s a r e a way of keeping a p a r t from o t h e r p e o p l e . A c t i v i t i e s a r e c o m f o r t a b l e ways of s t r u c t u r i n g time by d o i n g some s o r t of p r o j e c t . T h i s can be d o i n g the d i s h e s , w r i t i n g a book, w a l k i n g the dog, or o t h e r t y p e s of work. A g a i n , d u r i n g the a c t i v i t y t h e r e i s no need f o r involvement w i t h o t h e r p e o p l e . A l t h o u g h t h e r e may be i n v o l v e m e n t , i t i s not n e c e s s a r y . The a c t i v i t y may l e a d t o p r a i s e or p o s i t i v e s t r o k e s a f t e r i t i s done. Pastimes a r e a way of p a s s i n g t i m e . S o c i a l p a s t i m e s , such 33 as the s m a l l t a l k a t a c o c k t a i l p a r t y , are a way of g e t t i n g t o know peopl e w i t h o u t commitment. T h i s i s a way of s e l e c t i n g a c q u a i n t a n c e s and may l e a d t o f r i e n d s h i p s . However, r e l a t i o n s h i p s t h a t do not p r o g r e s s beyond the p a s t i m e s l e v e l w i l l not s u r v i v e . The game i s by f a r the most i m p o r t a n t and i n t e r e s t i n g form of i n t e r a c t i o n . The word 'game' s h o u l d not be taken as meaning something fun because most games cause t r o u b l e . They can make people m i s e r a b l e and r u i n r e l a t i o n s h i p s . The f o l l o w i n g i s a b r i e f d e s c r i p t i o n of games by E r i c Berne (Berne 1964). A game i s an ongoing s e r i e s of complementary u l t e r i o r t r a n s a c t i o n s p r o g r e s s i n g t o a w e l l - d e f i n e d , p r e d i c t a b l e outcome. D e s c r i p t i v e l y i t i s a r e c u r r i n g s e t of t r a n s a c t i o n s , o f t e n r e p e t i t i o u s , s u p e r f i c i a l l y p l a u s i b l e , w i t h a c o n c e a l e d m o t i v a t i o n ; o r , more c o l l o q u i a l l y , a s e r i e s of moves w i t h a s n a r e , or "gimmick." Games ar e c l e a r l y d i f f e r e n t i a t e d from p r o c e d u r e s , r i t u a l s , and p a s t i m e s by two c h i e f c h a r a c t e r i s t i c s : (1) t h e i r u l t e r i o r q u a l i t y and (2) the p a y o f f . P r o c e d u r e s may be s u c c e s s f u l , r i t u a l s e f f e c t i v e , and p a s t i m e s p r o f i t a b l e , but a l l of them a r e by d e f i n i t i o n c a n d i d ; they may i n v o l v e c o n t e s t , but not c o n f l i c t , and the e n d i n g may be s e n s a t i o n a l , but i t i s not d r a m a t i c . Every game, on the o t h e r hand, i s b a s i c a l l y d i s h o n e s t , and t h e outcome has a d r a m a t i c , as d i s t i n c t from merely e x c i t i n g , q u a l i t y . The p r e d i c t a b l e outcome of the game c o n s i s t s of f e e l i n g s f o r each p l a y e r t h a t r e s u l t i n a d i s c o u n t of the s e l f or someone e l s e . In o t h e r words, each p l a y e r has proven t h a t someone i s not OK. There a r e many d i f f e r e n t t r a n s a c t i o n a l a n a l y s i s methods f o r s t u d y i n g games. The G o u l d i n g model was d e r i v e d from Berne's and i s easy t o u n d e r s t a n d . There a r e f i v e e s s e n t i a l elements i n G o u l d i n g ' s model. 34 (1) There i s an open message, a s t i m u l u s of some s o r t a t the s o c i a l l e v e l of communication. (2) There i s a l s o a s e c r e t or hidden message; t h i s i s a s t i m u l u s a t the p s y c h o l o g i c a l l e v e l . (3) There i s a response t o the hidden message; whether g i v e n as an open message or h i d d e n message, t h e response i s heard as an open message. (4) The p l a y e r c o l l e c t s a p a y o f f of some f e e l i n g . (5) A p a r t from the open message, the r e s t of the dynamics o c c u r s as though the persons A d u l t ego s t a t e i s out of to u c h w i t h what he or she has j u s t been d o i n g d o i n g ; i n o t h e r words, i t o c c u r s o u t s i d e A d u l t awareness. T h i s model l a y s o u t , more f o r m a l l y than Berne's d e s c r i p t i o n , the elements of a game. In f a c t , a n a l y s i s of c o n v e r s a t i o n s and the games b e h i n d them can sometimes be s p e c i f i e d i n enough d e t a i l t h a t almost anyone can i d e n t i f y them. One a s p e c t of T r a n s a c t i o n a l A n a l y s i s i s t h a t p e o p l e i n therap y can un d e r s t a n d the i d e a s b e h i n d the t h e o r y e a s i l y and q u i c k l y . There has been some work done w i t h T.A. and the computer. Oswald Summerton (Summerton 1979) o r i g i n a l l y wanted t o c o n s t r u c t a computer program, t o s i m u l a t e human behaviour as mod e l l e d by T.A. He then got i n t e r e s t e d i n T r a n s a c t i o n a l A n a l y s i s m o d e l l i n g , however, and d i d not get back t o u s i n g the computer. 2.3 C u r r e n t Research I s s u e s Recent n a t u r a l language r e s e a r c h on d e v e l o p i n g g e n e r a l purpose, user o r i e n t e d computer systems i s q u i t e v a r i e d . Most system i m p l e m e n t a t i o n s a r e t a i l o r e d t o a p a r t i c u l a r domain t o r e s t r i c t the amount of g e n e r a l knowledge t h a t must be i n c l u d e d . However, knowledge about o t h e r p e o p l e as w e l l as knowledge about l i n g u i s t i c and p s y c h o l o g i c a l a s p e c t s of c o n v e r s a t i o n i s a l s o i m p o r t a n t f o r s t u d y i n g d i a l o g u e . 35 There are many methods f o r r e p r e s e n t i n g the l i n g u i s t i c component of d i a l o g u e s and they i n c l u d e s c r i p t s , schemas, fo c u s spaces, methods, and D i a l o g u e Games. L e s s u n d e r s t o o d a re the p s y c h o l o g i c a l and s o c i o l o g i c a l a s p e c t s of c o n v e r s a t i o n and so f a r t h e r e a r e no w i d e l y a c c e p t e d methods d e v e l o p e d t o d e a l w i t h them. P a r t of the problem i s the l a c k of f o r m a l t h e o r i e s from p s y c h o l o g y or s o c i o l o g y t h a t c o u l d be a p p l i e d t o c o m p u t a t i o n a l l i n g u i s t i c s . T h i s t h e s i s a t t e m p t s t o i n t e g r a t e one such t h e o r y i n t o a language u n d e r s t a n d i n g system. CHAPTER 3 36 The I n t e g r a t i o n of P s y c h o l o g i c a l and L i n g u i s t i c Knowledge i n a Language Understander The o b j e c t of t h i s c h a p t e r i s t o r e v i e w , i n more d e t a i l , the t h e o r e t i c a l i d e a s used i n t h i s system. The f i r s t s e c t i o n d e s c r i b e s , w i t h examples, the type of a n a l y s i s t h a t i s done u s i n g p s y c h o l o g i c a l methods, w i t h T r a n s a c t i o n a l A n a l y s i s (T.A.) b e i n g the p a r t i c u l a r method chosen. F o l l o w i n g t h i s are two s e c t i o n s d e s c r i b i n g the i d e a s used i n the l i n g u i s t i c a n a l y s i s , namely p a r s i n g s e n t e nces w i t h the a i d of p a t t e r n s and u s i n g v e r b case t o d e t e r m i n e the meanings of s e n t e n c e s . The c o n c l u d i n g s e c t i o n i n t e g r a t e s t h e s e t h e o r i e s w i t h an o u t l i n e of the computer program. 3 . J _ Use of T r a n s a c t i o n a l A n a l y s i s t o A i d P a r s i n g A l t h o u g h the system uses T r a n s a c t i o n a l A n a l y s i s as the p a r t i c u l a r p s y c h o l o g i c a l method t o a n a l y z e c o n v e r s a t i o n s , o t h e r p s y c h o l o g i c a l t h e o r i e s of d i a l o g u e c o u l d have been used i f they had been s u f f i c i e n t l y d e t a i l e d . T.A. t h e o r y uses a c t u a l words and p h r a s e s as i n d i c a t o r s of t h e p s y c h o l o g i c a l c o n t e n t of a c o n v e r s a t i o n and so i s s u i t e d t o a p a r s i n g system t h a t uses p a t t e r n m a t c h i n g . A c c o r d i n g t o T.A., p a r t i c u l a r words or p h r a s e s i n d i c a t e two 37 t h i n g s , the ego s t a t e of the i n d i v i d u a l and the p s y c h o l o g i c a l meaning of the u t t e r a n c e . As mentioned b e f o r e , t h e r e a r e t h r e e ego s t a t e s , namely ego s t a t e s r e s e m b l i n g p a r e n t a l f i g u r e s , ego s t a t e s d i r e c t e d toward o b j e c t i v e a p p r a i s a l of r e a l i t y , and those ego s t a t e s s t i l l a c t i v e t h a t were f i x a t e d i n e a r l y c h i l d h o o d . The t e c h n i c a l terms f o r t h e s e s t a t e s a r e e x t e r o p s y c h i c , n e o p s y c h i c , and a r c h e o p s y c h i c , r e s p e c t i v e l y . More commonly, the c o l l o q u i a l terms P a r e n t , A d u l t , and C h i l d a r e used i n the l i t e r a t u r e and t h e i r use w i l l be m a i n t a i n e d h e r e . C a p i t a l l e t t e r s denote an ego s t a t e and u n c a p i t a l i z e d words d e s c r i b e a c t u a l p e o p l e . The two ego s t a t e s Parent and C h i l d may themselves be broken i n t o two s u b t y p e s . The P a r e n t i n a person c o n s i s t s of i d e a s and methods t o p e r c e i v e or d e a l w i t h s i t u a t i o n s and so c o n t a i n s many judgments, o p i n i o n s , v a l u e s , and a t t i t u d e s . These may be m a n i f e s t e d i n one of two ways. The N u r t u r i n g P a r e n t i s c a r i n g , w o r r y i n g , f o r g i v i n g , warmly p r o t e c t i v e , r e a s s u r i n g , c o n c e r n e d , and p e r m i s s i v e . On the o t h e r hand, the C o n t r o l l i n g P a t e n t i s a g g r e s s i v e , o p i n i o n a t e d , s t r o n g l y p r o t e c t i v e , demanding, p r i n c i p l e d , and p u n i t i v e . A p e r s o n w i l l be i n the P a r e n t s t a t e o n l y i f she/he i s r e p l a y i n g one of the P a r e n t f i g u r e s . The C h i l d ego s t a t e can f u n c t i o n as e i t h e r the Free C h i l d or the Adapted C h i l d . The Free C h i l d does not c a r e about the r e a c t i o n s of the p a r e n t s of the w o r l d and so w i l l a c t s p o n t a n e o u s l y . The Adapted C h i l d , on the o t h e r hand, a c t s as i f a p a r e n t were w a t c h i n g or l i s t e n i n g , and t h e r e f o r e i s much more 38 r e s t r a i n e d than a Free C h i l d . T h i s r e s u l t s i n be h a v i o u r t h a t i s r e b e l l i o u s , c o m p l i a n t , i n d u s t r i o u s , o r any o t h e r a c t i o n t h a t w i l l pay o f f w i t h p a r e n t f i g u r e s . At any g i v e n moment, each i n d i v i d u a l i n a s o c i a l s e t t i n g w i l l be i n one of the P a r e n t , A d u l t , or C h i l d ego s t a t e s and may, w i t h v a r y i n g degrees of r e a d i n e s s , change from one ego s t a t e t o a n o t h e r . I n d i c a t o r s of the ego s t a t e t h a t a person i s i n i n c l u d e words used, type of v o i c e , g e s t u r e s or e x p r e s s i o n s , p o s t u r e , and a t t i t u d e . S i n c e a l l but a c t u a l words are d i f f i c u l t t o observe by computer, the o t h e r t y p e s of b e h a v i o u r a l i n d i c a t o r s w i l l e s s e n t i a l l y be i g n o r e d . We must remember t h a t t h e s e v o c a l c l u e s a r e o n l y i n d i c a t o r s and so may guide the s e a r c h f o r ego s t a t e type but a r e not a b s o l u t e r u l e s . The d i c t i o n a r y c o n t a i n i n g the words and c o r r e s p o n d i n g s o c i a l ego s t a t e l e v e l s i s l i s t e d i n Appendix A. A c c o r d i n g t o t h i s d i c t i o n a r y , the word " s h o u l d " i s used most o f t e n by the P a r e n t but the f o l l o w i n g examples show t h a t i t can be used from any ego s t a t e . P a r e n t : "You s h o u l d do i t ! " A d u l t : "To go t o the new stadium, you s h o u l d take the bus." C h i l d : "I s h o u l d do i t or I ' l l get i n t r o u b l e . " Most t i m e s , however, the words used w i l l come from the ego s t a t e l i s t e d i n the d i c t i o n a r y . The o t h e r type of i n f o r m a t i o n t h a t can be g a i n e d from a n a l y z i n g the s p e c i f i c words spoken i s whether or not a T r a n s a c t i o n a l A n a l y s i s game i s p r e s e n t . I f a game i s b e i n g p l a y e d by the c o n v e r s a n t s , then p s y c h o l o g i c a l i n f o r m a t i o n about 39 the s p e a k e r s can be d e r i v e d . The f o l l o w i n g example of the type of a n a l y s i s i n v o l v e d i n a T.A. game i l l u s t r a t e s the s o r t of i n f o r m a t i o n t o be found. The game c a l l e d "Why Don't You - Yes But" or WDYYB was t h e f i r s t game d i s c o v e r e d by E r i c Berne. S i n c e i t i s the o l d e s t game, WDYYB i s p r o b a b l y the best u n d e r s t o o d of the T.A. games. The t e x t t h a t f o l l o w s i s an example used by E r i c Berne (Berne 1964). White: "My husband always i n s i s t s on d o i n g our own r e p a i r s , and he never b u i l d s a n y t h i n g r i g h t . " B l a c k : "Why doesn't he t a k e a co u r s e i n c a r p e n t r y ? " White: "Yes, but he doesn't have t i m e . " B l u e : "Why don't you buy him some good t o o l s ? " White: "Yes, but he doesn't know how t o use them." Red: "Why don't you have your b u i l d i n g done by a c a r p e n t e r ? " White: "Yes, but t h a t would c o s t too much." Brown: "Why don't you j u s t a c c e p t what he does t h e way he does i t ? " W h i t e : "Yes, but the whole t h i n g might f a l l down." The t y p i c a l response i s s i l e n c e f o l l o w e d by another p e r s o n , Green, s a y i n g something l i k e "That's men f o r you, always t r y i n g t o prove how e f f i c i e n t they a r e . " WDYYB can be p l a y e d by many people w i t h the agent, i n t h i s case White, p r e s e n t i n g the problem. The o t h e r s respond w i t h p o s s i b l e s o l u t i o n s i n the form of sentences b e g i n n i n g w i t h words such as "Why don't you". To each s u g g e s t i o n the agent responds w i t h a "Yes b u t " sentence t h a t o b j e c t s t o something about the s o l u t i o n . A good p l a y e r can s t a n d o f f o t h e r s i n d e f i n i t e l y , always f i n d i n g some f a u l t w i t h the proposed s o l u t i o n s . E v e n t u a l l y the o t h e r p l a y e r or p l a y e r s w i l l g i v e up and a t t h i s p o i n t White wins the game. On the s u r f a c e t h i s exchange sounds l i k e a r e q u e s t f o r 40 i n f o r m a t i o n or s o l u t i o n s , but s i n c e e v e r y s u g g e s t i o n i s r e j e c t e d , w i t h r a r e e x c e p t i o n s , t h e r e must be some u l t e r i o r p u r p o s e f o r t h e game. The i n t e n t o f the game seems t o be n o t t o ge t s o l u t i o n s , but. t o r e j e c t them. The s o c i a l l e v e l ego s t a t e s a r e A d u l t b e c a u s e of t h e q u e s t i o n - a n s w e r s e q u e n c e . N o t i c e , a l s o , t h a t t h e word 'why' i s l i s t e d i n the ego s t a t e d i c t i o n a r y under t h e A d u l t c a t e g o r y i n A p p e n d i x A. P s y c h o l o g i c a l a n a l y s i s showed t h a t White i s a c t u a l l y i n the C h i l d ego s t a t e a t t h e p s y c h o l o g i c a l l e v e l , s e a r c h i n g f o r some s o r t o f g r a t i f i c a t i o n ' o r r e a s s u r a n c e . The C h i l d i n White i s showing how i n a d e q u a t e she i s . On t h e o t h e r hand, t h e o t h e r p l a y e r s i n t h e game a r e p l a y i n g a s P a r e n t s a t t h e p s y c h o l o g i c a l l e v e l a n d a r e e a g e r t o be a b l e t o g i v e a d v i c e . . The f o l l o w i n g d i a g r a m shows t h e i n t e r a c t i o n p r e s e n t t h e game. P s y c h o l o g i c a l L e v e l :  |Soc i a l i L e v e l R:"Yes b u t . . . " S:" Why d o n ' t you...... " Why Don't You - Yes But F i g u r e 3 The game can c o n t i n u e b e c a u s e a t t h e s o c i a l l e v e l b o t h s t i m u l u s (S) and r e s p o n s e (R) a r e A d u l t t o A d u l t (shown w i t h s o l i d l i n e s ) , and a t t h e p s y c h o l o g i c a l l e v e l (shown w i t h d o t t e d 41 l i n e s ) , they a r e a l s o complementary, w i t h C h i l d - P a r e n t s t i m u l u s ("Yes but...") and a P a r e n t - C h i l d response ("Why don't y o u . . . " ) . The message underneath the c o n v e r s a t i o n seems t o be a Pa r e n t s a y i n g "I can make you g r a t e f u l f o r my h e l p " and a C h i l d r e s p o n d i n g w i t h "Go ahead and try".. As w e l l as the p s y c h o l o g i c a l i n f o r m a t i o n o b t a i n e d above, a c e r t a i n amount of l i n g u i s t i c knowledge can be a c q u i r e d . People p l a y i n g a T r a n s a c t i o n a l A n a l y s i s game f o l l o w what can be d e s c r i b e d as a s c r i p t i n t h a t the u t t e r a n c e s a r e of a pr e d e t e r m i n e d t y p e . T h e r e f o r e , once a game has been c o n f i r m e d as b e i n g p r e s e n t , the type of sentence and sometimes the a c t u a l words used can be p r e d i c t e d . In the above game WDYYB, s u g g e s t i o n s w i l l be s u b m i t t e d of the form "Why don't you..." or "D i d you t r y . . . " and responses w i l l f i n d f a u l t w i t h the s u g g e s t i o n s and l i k e l y c o n t a i n the words "Yes, b u t . . . " or "I d i d , b u t . . . " . The d i a l o g u e c o n s i s t s of an i n t e r r o g a t i v e s e n t e n c e f o l l o w e d by a s t a t i v e . The program f o r t h i s t h e s i s uses the l i n g u i s t i c i n f o r m a t i o n d e r i v e d from T.A. game a n a l y s i s i n p a r s i n g the d i a l o g u e s e n t e n c e s . D e s c r i p t i o n s of t h e p s y c h o l o g i c a l a n a l y s i s of the o t h e r T.A. games used i n t h i s t h e s i s can be found i n Appendix B. 3.2 P a t t e r n - b a s e d Sentence P a r s i n g 3.2.1 E l i z a One of the f i r s t a t t e m p t s a t c o n v e r s a t i o n a l computer 42 systems i s t h a t of Weizenbaum (Weizenbaum 1966, 1976). H i s ELIZA system emulated a p s y c h i a t r i s t h a v i n g an i n t e r v i e w w i t h the user as p a t i e n t . W h i l e the program was s u c c e s s f u l i n t h a t r e a s o n a b l e c o n v e r s a t i o n s were c a r r i e d o u t , t h i s was more due t o a c c i d e n t than a p l a n n e d approach t o u n d e r s t a n d i n g d i a l o g u e . In c o m p u t a t i o n a l l i n g u i s t i c terms ELIZA has almost no s e m a n t i c s , r e s t r i c t e d s y n t a x and l i t t l e r e a l w o r l d knowledge or memory but works m o s t l y by p i c k i n g out key words or p h r a s e s ( p a t t e r n s ) from t h e u s e r s i n p u t and r e s p o n d i n g w i t h p r e s e t p h r a s e s a c c o r d i n g l y . A l t h o u g h t h i s i s by no means a r e a s o n a b l e model of c o n v e r s a t i o n , the program works f a i r l y w e l l i n the i n t e r v i e w s e t t i n g . I t seems t h a t many c o n v e r s a t i o n s go from sentence t o sentence w i t h few r e f e r e n c e s t o p r e v i o u s d i a l o g u e but the e r r o r s i n the system become e v i d e n t when ELIZA i s asked about p r e v i o u s r e s p o n s e s . The system does not r e a l l y know, i n any sense of the word, what i t i s t a l k i n g about. In s p i t e of t h i s , ELIZA i s an i n t e r e s t i n g s t u d y of c o n v e r s a t i o n and what can be done w i t h a v e r y s i m p l e system. 3.2.2 P a r r y The next major system t o use p a t t e r n - m a t c h i n g t o p a r s e n a t u r a l language was C o l b y ' s PARRY system ( P a r k i s o n , C o l b y , Faught 1977). A l t h o u g h the p s y c h i a t r i c i n t e r v i e w s e t t i n g i s the same, the m o t i v e b e h i n d d e v e l o p i n g PARRY i s much d i f f e r e n t from t h a t of ELIZA. As p r e v i o u s l y mentioned, C o l b y wished t o implement a computer system t h a t would model h i s t h e o r y of p a r a n o i d b e h a v i o u r . The p a r a n o i d model was chosen because the 43 p s y c h o l o g i c a l t h e o r y of p a r a n o i a i s f a i r l y w e l l u n d e r s t o o d and t h e r e i s g e n e r a l agreement about what c o n s t i t u t e s p a r a n o i d b e h a v i o u r . For the program responses t o be i n d i s t i n g u i s h a b l e from those of a p a r a n o i d p a t i e n t , t h e r e must be a c e r t a i n amount of l i n g u i s t i c competency. The program f o r t h i s t h e s i s f o l l o w s the PARRY system i n the s y n t a c t i c p a r s i n g p a r t of the language r e c o g n i t i o n phase. Two main i d e a s used i n PARRY's p a r s i n g a r e the s i m p l i f i c a t i o n of the i n p u t sentence and the use of a s e t of language p a t t e r n s a t v a r i o u s s t a g e s . C o n s i d e r the f o l l o w i n g sequences of s t e p s : F i x e d Idiom Replacement The f i r s t p a t t e r n s a r e used a f t e r i n p u t s t a n d a r d i z a t i o n and m o r p h o l o g i c a l a n a l y s i s t o condense what a r e c a l l e d r i g i d i d i o m a t i c p h r a s e s . These c o n s i s t of about 350 s e t m u l t i - w o r d p h r a s e s which a r e r e c o g n i z e d and then r e p l a c e d by more l i t e r a l synonymous words. The t y p e s of idioms c o n s i d e r e d a t t h i s phase i n c l u d e : IN SPITE OF -> DESPITE UNITED STATES OF AMERICA -> USA STRAIGHT JACKET -> RESTRAINTS AT THE MOMENT -> NOW ON p o s s e s s i v e TOES -> ALERT SEE RED -> BECOME ANGRY HOW DO YOU DO? -> HELLO E i t h e r e x a c t words or word c l a s s e s which match any word i n t h a t c l a s s are the elements which make up the i d i o m p a t t e r n s . The 44 examples i n c l u d e compound words, proper nouns, idioms and f o r m u l a i c s e n t e n c e s . These p a r t s of speech o c c u r o f t e n enough i n c o l l o q u i a l E n g l i s h t h a t they must be c o n s i d e r e d i n any complete language a n a l y s i s system. 2 . Noun Phrase B r a c k e t i n g For the next p a r t of the p a r s i n g , an augmented t r a n s i t i o n network i s used i n s t e a d of p a t t e r n s . The noun ph r a s e s of the u t t e r a n c e a r e l o c a t e d and b r a c k e t e d so t h a t t h e y may be t r e a t e d as a s i n g l e u n i t i n l a t e r p r o c e s s i n g . R e l a t i v e c l a u s e s , however, a r e t r e a t e d u s i n g p a t t e r n s . The form of a noun f o l l o w e d by a r e l a t i v e c l a u s e i s c o n v e r t e d i n t o a s i n g l e noun. The reasons g i v e n f o r t r e a t i n g r e l a t i v e c l a u s e s t h i s way a r e t h a t r e l a t i v e c l a u s e s o c c u r i n f r e q u e n t l y i n d i a l o g u e s and t h a t the model's i n t e r n a l b e l i e f r e p r e s e n t a t i o n made i t d i f f i c u l t t o r e p r e s e n t the i n f o r m a t i o n c o n t a i n e d i n an a r b i t r a r y r e l a t i v e c l a u s e . 3_. Verb Phrase S i m p l i f i c a t i o n F o l l o w i n g the noun phrase i d e n t i f i c a t i o n s t a g e , p a t t e r n s a r e used more o f t e n . The next phase i n v o l v e s s i m p l i f i c a t i o n of v e r b p h r a s e s by removing most of the f e a t u r e s such as t e n s e , modal v e r b s , a d v e r b s , and s u b j e c t - a u x i l i a r y i n v e r s i o n . The i n f o r m a t i o n from t h e s e f e a t u r e s i s kept i n a s e t of a d v e r b i a l v a r i a b l e s . To i n v e r t s u b j e c t and a u x i l i a r y v e r b s i n q u e s t i o n s , p a t t e r n s a r e matched of the form: a u x i l i a r y noun-phrase v e r b -> noun-phrase a u x i l i a r y v e r b 45 The a d v e r b i a l v a r i a b l e for i n t e r r o g a t i v e s i s a l s o set to t r u e . Other s i m i l a r p a t t e r n r u l e s are employed to f i n d tense and to c o n v e r t p a s s i v e c o n s t r u c t i o n s to a c t i v e . 4. F l e x i b l e Idiom Replacement The next s tage in PARRY's language p r o c e s s i n g i s the d e t e c t i o n and replacement of f l e x i b l e i d i o m s . T h i s s e c t i o n works in the same way as that f o r the r i g i d idioms but the id iom i d e n t i f i c a t i o n i s d i f f e r e n t . Some examples of the type of id ioms a r e : PICK noun-phrase UP -> PICK-UP noun-phrase LEND noun-phrase (A HAND) -> HELP noun-phrase Many i d i o m a t i c v e r b c o n s t r u c t i o n s l e t the o b j e c t of the v e r b be embedded w i t h i n the i d i o m . These p a r t i c u l a r f l e x i b l e id ioms can undergo b r a c k e t i n g of noun phrases and s i m p l i f i c a t i o n of verb p h r a s e s . A g a i n , t h i s phase depends h e a v i l y on s t o r e d p a t t e r n s t h a t i n d i c a t e the id iom and i t s r ep lacement . 5. S imple C l a u s e L o c a t i o n There are about 20 g e n e r a l c l a u s e p a t t e r n s tha t are used i n the next s tage to segment the sentence i n t o s imple c l a u s e s or f ragments . The p a r s e r goes through the sentence matching for a p a t t e r n and when one i s d i s c o v e r e d , that p o r t i o n of the sentence i s broken o f f and the remainder of the sentence i s then checked f o r f u r t h e r c l a u s e p a t t e r n s . The p a t t e r n s are a l l of the g e n e r a l type "(noun v e r b noun)". The r e s u l t i n g c l a u s e s are then m o d i f i e d by the a d v e r b i a l 46 v a r i a b l e s . T h i s i n f o r m a t i o n i n d i c a t e s the presence of n e g a t i v e s , p r e s u p p o s i t i o n s which are i n d i c a t e d by a n e g a t i v e and i n t e r r o g a t i v e , or j u s t o r d i n a r y i n t e r r o g a t i v e s . 6. S u b o r d i n a t e C l a u s e Embedding To d e a l w i th sentences c o n t a i n i n g more than j u s t s imple c l a u s e s , the remain ing language a n a l y s i s s e c t i o n embeds any s u b o r d i n a t e c l a u s e s . The three types of sentences tha t r e q u i r e c l a u s e embedding are those wi th a d v e r b i a l c l a u s e s , s u b o r d i n a t e c l a u s e s , or c l a u s a l o b j e c t s . The a d v e r b i a l or s u b o r d i n a t e c l a u s e s are i n d i c a t e d by markers such as a d v e r b i a l c o n j u n c t i o n s ( e . g . WHILE) or c o n j u n c t i o n s ( e . g . BECAUSE). C l a u s a l o b j e c t s can be r e c o g n i z e d when the p r e c e d i n g c l a u s e i s m i s s i n g an o b j e c t and i t s v e r b be longs to a set of 50 v e r b c l a s s e s known to permi t c l a u s a l o b j e c t s ( e . g . EXPECT, KNOW, THINK). 7. D e t e r m i n i n g Relevance t o . M o d e l ' s Sphere of I n t e r e s t In i t s f i n a l phase , PARRY t r i e s to determine the s e n t e n c e ' s r e l e v a n c e to the model ' s sphere of i n t e r e s t . T h i s p a r t i c u l a r model knows about i t s own l i f e s i t u a t i o n and can t a l k about i t s p e r s o n a l background, h o s p i t a l i z a t i o n , and i n t e r p e r s o n a l r e l a t i o n s . The memory of the p s y c h o l o g i c a l model i s r e p r e s e n t e d by a set of about 2000 s t o r e d concept p a t t e r n s and the input i s matched a g a i n s t these p a t t e r n s to determine wi th which one there i s a s i m i l a r i t y . Each of the concept p a t t e r n s i s t i e d to one of about 1000 i n t e r n a l concept names. The concept name and any c o n d i t i o n s of the p a t t e r n match are then passed to the 47 p s y c h o l o g i c a l m o d e l l i n g p r o c e s s e s . Once the a r e a of i n t e r e s t has been d e t e r m i n e d , an a p p r o p r i a t e response i s g e n e r a t e d . The PARRY system seems t o be a l a r g e almost s c r i p t l i k e system t h a t i s d r i v e n by t h e p a r a n o i d thought p r o c e s s e s . There i s l i t t l e r e a l w o r l d knowledge but perhaps a p a r a n o i d p a t i e n t i s so s e l f c e n t r e d t h a t t h i s l a c k would not show up i n the c o n v e r s a t i o n . For more g e n e r a l p u r p o s e s , however, more w o r l d knowledge i s n e c e s s a r y . One p o i n t i n i t s f a v o u r i s t h a t PARRY can d e a l w i t h sentence fragments or s y n t a c t i c a l l y i l l - f o r m e d s e n t e n c e s by u s i n g p a t t e r n s ; however the s e m a n t i c s p a r t of the program i s weak. The program f o r t h i s t h e s i s uses the i d e a s of PARRY up t o and i n c l u d i n g the c l a u s e p a r t i t i o n i n g but o n l y f o r s y n t a c t i c and some semantic p a r s i n g . The i d e a of v e r b case i s used t o get more semantic i n f o r m a t i o n . 3_.3 U s i n g Verb Case i n the Syntax-Semantics I n t e r f a c e A s s o c i a t e d w i t h any a c t i o n a r e many t y p e s of d e t a i l s i d e n t i f i e d by a q u e s t i o n such as "who d i d what t o whom, when, where, how, and why?" There i s t y p i c a l l y an agent (who) and r e c i p i e n t (whom), and the event o c c u r s a t a p a r t i c u l a r time (when). An i n s t r u m e n t (how) may be i n v o l v e d or there, may be movement from one p o i n t t o a n o t h e r a l o n g a path (where). These v a r i o u s elements t h a t a r e c o n t a i n e d i n an event c h a r a c t e r i z e d by the v e r b , a re found i n the s u b j e c t , o b j e c t , i n d i r e c t o b j e c t , and a s s o c i a t e d p h r a s e s , p r e p o s i t i o n a l or o t h e r w i s e . I f t h e r e i s a p r e p o s i t i o n i n f r o n t of a p h r a s e , i t can be one of a s m a l l s e t . 48 .For example, a time phrase can use i n , on, b e f o r e , a f t e r , and between but not above, under, or w i t h o u t . The i n d i v i d u a l components of the event a r e c a l l e d cases and a v e r b can be d e s c r i b e d w i t h t h e k i n d s of cases t h a t may be a s s i c i a t e d w i t h i t (agent, r e c i p i e n t , i n s t r u m e n t , e t c . ) . Some of the c a s e s may be o p t i o n a l , some r e q u i r e d , and t h e r e may be c e r t a i n c h a r a c t e r i s t i c s t h a t the case f i l l e r s a r e expected t o have. For example, the v e r b " t a l k " has an agent t h a t must be animate. Such d e s c r i p t i o n s have been used t o d e s c r i b e v e r b s i n n a t u r a l language systems. There have been many d e f i n i t i o n s of case f o r E n g l i s h , some of which a r e d i s c u s s e d by Bertram Bruce (Bruce 1975). The b e s t known case system i s t h a t f i r s t d e s c r i b e d by C h a r l e s F i l l m o r e i n h i s paper "The Case f o r Case" ( F i l l m o r e 1968). H i s d e f i n i t i o n s of case have been f u r t h e r d e v e l o p e d and now c o n t a i n the e i g h t c a s e s Agent, Counter-Agent, O b j e c t , R e s u l t , I n s t r u m e n t , Source, Goal and E x p e r i e n c e . Most of the s e have obv i o u s meanings except p o s s i b l y Counter-Agent which i s the f o r c e of r e s i s t a n c e a g a i n s t which an a c t i o n i s c a r r i e d out and E x p e r i e n c e which i s the e n t i t y which r e c e i v e s or undergoes t h e e f f e c t of an a c t i o n . Other p e o p l e have used v a r y i n g numbers of c a s e s t o d e s c r i b e E n g l i s h , from seven c a s e s i n Simmons system t o t h i r t e e n by Grimes (Bruce 1975) a l l the way t o t w e n t y - f o u r by T a y l o r ( T a y l o r and Rosenberg 1975), A l t h o u g h the system f o r t h i s t h e s i s does not c l a i m t o be complete, a t o t a l of t h i r t e e n c a s e s were found t o be s u f f i c i e n t and were d e r i v e d m o s t l y from T a y l o r . The a d d i t i o n or d e l e t i o n of any cases s h o u l d be a s i m p l e o p e r a t i o n . 49 In Appendix C i s a l i s t of the cases used, w i t h examples showing the case i n q u e s t i o n u n d e r l i n e d . Most of the c a s e s l i s t e d i n the appendix have a s e t of p r e p o s i t i o n s t h a t f l a g each c a s e . These p r e p o s i t i o n s a r e not unique t o each case and so a r e o f t e n not enough t o determine the t y p e of c a s e , as t h e f o l l o w i n g two s entences show. (1) The dog sang w i t h i t s master. (2) The dog opened the door w i t h i t s nose. Both of the s e n t e n c e s use the p r e p o s i t i t i o n ' w i t h ' but i n the f i r s t sentence the co-agent case i s i n d i c a t e d and i n the second, the case i s an i n s t r u m e n t . In t h i s example, o t h e r i n f o r m a t i o n must be used t o determine the a p p r o p r i a t e c a s e . One s o l u t i o n i s t o l i s t w i t h every v e r b the p o s s i b l e c a s e s i t can t a k e and c o n d i t i o n s on the c a s e s . For example, the v e r b ' g i v e ' has agent, r e c i p i e n t and p a t i e n t c a s e s . The agent must be animate, the p a t i e n t cannot be a human ( i n most c i v i l i z e d s o c i e t i e s ) and the r e c i p i e n t can be almost a n y t h i n g . In the computer program, t h i s v e r b case i n f o r m a t i o n i s s t o r e d i n a t a b l e c o n t a i n i n g a l l v e r b s , the c a s e s they may take and c o n d i t i o n s on the c a s e s . The p o t e n t i a l c a s e s w i l l be i n a l i s t where t h e r e i s more than one p o s s i b i l i t y and w i l l be o r d e r e d a c c o r d i n g t o t o t h e i r p r o b a b i l i t y of o c c u r r e n c e . U s i n g both i n f o r m a t i o n about the cases t h a t v e r b s take and c o n d i t i o n s on the c a s es s h o u l d be s u f f i c i e n t t o determine the a p p r o p r i a t e c a s e , i n most s i t u a t i o n s . The a c t u a l program code f o r the t a b l e s i s a l s o l i s t e d i n Appendix C. 50 3_.4 O u t l i n e of System The s t r a t e g y implemented i n t h i s t h e s i s i s t o use i d e a s from the PARRY system t o d e r i v e a s t r u c t u r a l d e s c r i p t i o n and then t o a p p l y a system of v e r b c a s e s t o g e t h e r w i t h the g i v e n p s y c h o l o g i c a l t h e o r y f o r the s e m a n t i c s . 3 T r a n s a c t i o n a l A n a l y s i s t h e o r y i s the p a r t of the system t h a t d e t e r m i n e s p s y c h o l o g i c a l meaning and p r e d i c t s , i f p o s s i b l e , f u r t h e r s e n t e nces of a c o n v e r s a t i o n i f a T.A. game p a t t e r n i s p r e s e n t . The T.A. t e s t s a re done d u r i n g v a r i o u s s t a g e s of the program e x e c u t i o n . The f o l l o w i n g i s a diagram d e s c r i b i n g the system. 51 P s y c h o l o g i c a l Database 1 E n g l i sh Sentence < > p r e - p r o c e s s i n g < > s y n t a c t i c component ^ S i m p l i f i e d Form semantic component Clause Form L i n g u i s t i c Database p s y c h o l o g i c a l a n a l y s i s P s y c h o l o g i c a l , I n t e r p r e t a t i o n Genera l System Diagram F i g u r e 4 The l i n g u i s t i c database c o n t a i n s the . word d i c t i o n a r y , p r e f i x and s u f f i x t a b l e s for m o r p h o l o g i c a l a n a l y s i s , and verb and case t a b l e s . The p s y c h o l o g i c a l database c o n t a i n s the T r a n s a c t i o n a l A n a l y s i s keyword d i c t i o n a r y and the data s t r u c t u r e s that d e s c r i b e the T . A . games. In PROLOG, both the data s t r u c t u r e s and programs are represented by axioms so the programs are a l s o c o n t a i n e d in the databases . The program 52 a n a l y s i s f l o w s a l o n g the s o l i d l i n e s and i n t e r a c t s w i t h the databases as i n d i c a t e d by the dashed l i n e s . The f i r s t p a r t of the program p r e - p r o c e s s i n g i s i n p u t s i m p l i f i c a t i o n . I n i t i a l p asses d i f f e r e n t i a t e the sentences of v a r i o u s speakers and the type of sentence such as d e c l a r a t i v e or i n t e r r o g a t i v e . T e s t i n g f o r any phrases t h a t i n d i c a t e a T r a n s a c t i o n a l A n a l y s i s game i s done t h e n , as w e l l as a scan f o r i d i o m s , which i f l o c a t e d , are c o n v e r t e d t o a l e s s c o l l o q u i a l form t h a t i s e a s i e r t o p a r s e . T a b l e s c o n t a i n i n g i d ioms and t h e i r r e placements a r e used t o do i n a manner s i m i l a r t o PARRY's f i x e d i d i o m r e p l a c e m e n t . The next s t e p a l s o r e l i e s on d a t a t a b l e s by s c a n n i n g the i n p u t f o r any T.A. keywords or phrases t h a t i n d i c a t e a p a r t i c u l a r ego s t a t e . The words and p h r a s e s a r e s t o r e d i n t a b l e s a l o n g w i t h t h e i r c o r r e s p o n d i n g ego s t a t e t y p e s . There are 43 of these words and 16 phrases t o be checked f o r . I n f o r m a t i o n about the s o c i a l l e v e l of the ego s t a t e i s s t o r e d f o r use i n l a t e r p a r s i n g s t a g e s . At t h i s s t a g e a m o r p h o l o g i c a l a n a l y s i s i s done of each word and s u f f i x e s and some p r e f i x e s are removed. I n f l e c t i o n a l e n d i n g s , d e r i v a t i o n a l e n d i n g s , and c o n t r a c t i o n s a r e e l i m i n a t e d and r e p l a c e d by a p p r o p r i a t e words or markers. The d i c t i o n a r y c o n s i s t s of around 230 words and about 50 s u f f i x e s and p r e f i x e s are r e c o g n i z e d . A l t h o u g h t h e r e a r e not many words c u r r e n t l y i n the d i c t i o n a r y , i t i s a s t r a i g h t f o r w a r d matter t o add more words as needed. The s y n t a c t i c component i n v o l v e s s i m p l i f i c a t i o n of the sentence and i s taken almost d i r e c t l y from the noun phrase 53 b r a c k e t i n g and v e r b phrase s i m p l i f i c a t i o n s t a g e s of the PARRY system. S i n c e noun phrases can be c o n s i d e r e d as a s i n g l e e n t i t y i n the p a r s i n g s t a g e , they a r e l o c a t e d and b r a c k e t e d u s i n g a s i m p l e d e f i n i t e c l a u s e grammar. Only the noun ph r a s e s a r e i d e n t i f i e d at t h i s time and the remainder of the sentence i s l e f t as i s . The second s i m p l i f i c a t i o n of the sentence i n v o l v e s a r e d u c t i o n of complex v e r b p h r a s e s as done i n t h e PARRY system. Once the sentence has been put i n t o s i m p l i f i e d form, as d e s c r i b e d above, i t remains t o c o n v e r t the sentence i n t o i t s c l a u s a l form. To a c h i e v e t h i s the sentence i s matched a g a i n s t about 20 s t o r e d g e n e r a l c l a u s e p a t t e r n s s i m i l a r l y t o the s i m p l e c l a u s e l o c a t i o n p a r t of PARRY. For example, the sentence "Did you t r y t o w r i t e him a no t e " becomes: ((you) t r y ((you) w r i t e (him) ( n o t e ) ) ) N o t i c e t h a t some embedding of s u b o r d i n a t e c l a u s e s i s a l s o done at t h i s t i m e . A f t e r t h i s p a r t of the program, the a n a l y s i s no l o n g e r f o l l o w s the language r e c o g n i t i o n done i n the PARRY system. B e f o r e c l a u s e forms a r e f i n a l i z e d , the program does semantic type c h e c k i n g employing case t a b l e s . U s i n g any p r e p o s i t i o n s i n the t e x t as an i n d i c a t i o n of p o s s i b l e case t y p e s , the system checks v e r b s b o t h f o r agreement w i t h noun phrases and f o r ve r b meanings. To reduce the number of v e r b s i n the system, s e m a n t i c a l l y e q u i v a l e n t v e r b s a r e r e p r e s e n t e d by a s i n g l e v e r b s i m i l a r l y t o the way t h a t Schank uses p r i m i t i v e ACTs as c a n o n i c a l forms. The f i n a l p a r t of the program d e a l s w i t h l o c a t i n g or 54 c o n f i r m i n g any T r a n s a c t i o n a l A n a l y s i s games. U s i n g t h e s o c i a l ego s t a t e i n d i c a t o r s or p r e v i o u s l y found games as a gu i d e t o p o s s i b l e T.A. games, the system compares the sentence i n c l a u s a l form w i t h c e r t a i n c o n d i t i o n s n e c e s s a r y f o r a game t o be p r e s e n t . E i t h e r the p r e v i o u s game i s c o n t i n u e d , a new game i s found or no game i s p r e s e n t . A l l of t h e s e s t a t e s have p s y c h o l o g i c a l importance and once a game i s i d e n t i f i e d as c o n t i n u i n g , p r e d i c t i o n s can be made about f u r t h e r u t t e r a n c e s . The f o l l o w i n g c h a p t e r d e s c r i b e s the s t e p s of the program i n more d e t a i l . 55 CHAPTER 4 The System 4 . J I n t r o d u c t i o n _4.J_.J_ PROLOG as an Implementat ion Language T h i s system was implemented i n the l o g i c programming language PROLOG. There were s e v e r a l reasons f o r choos ing t h i s language because as p r e v i o u s l y ment ioned , there are advantages to u s i n g l o g i c f o r r e p r e s e n t i n g and p r o c e s s i n g n a t u r a l language . L o g i c can be used in LISP but PROLOG i s e a s i e r as the l o g i c mechanism i s a l r e a d y b u i l t i n . The p a t t e r n matching f e a t u r e s of PROLOG a l s o make the p a t t e r n matching needed f o r p a r s i n g much s i m p l e r . S i n c e there are s e v e r a l d i c t i o n a r i e s and other data s t r u c t u r e s tha t are accessed f r e q u e n t l y , the data base f a c i l i t y i n PROLOG i s a l s o u s e f u l . The r e s t of t h i s c h a p t e r w i l l d e s c r i b e the program in some d e t a i l . S p e c i a l d i c t i o n a r i e s and data s t r u c t u r e s are l i s t e d in the appendixes but one of t h e s e , the T . A . game s t r u c t u r e , i s used o f t en enough that i s shou ld be d i s c u s s e d in some d e t a i l f i r s t . 4_.J_._2 The T r a n s a c t i o n a l A n a l y s i s Game S t r u c t u r e 56 Each T.A. game i s s t o r e d as a c l a u s e w i t h p a r t i c u l a r d i s t i n g u i s h i n g i n f o r m a t i o n . The f o l l o w i n g i s the g e n e r a l s t r u c t u r e f o r a game ( w i t h the d e f i n i t i o n s f o r v a r i a b l e s ) : GAME(*name,*s1,*s2,*d1,*d2,*p1, * p 2 , * d , * c 2 ) where: *name - name of the game as a mnemonic *s1 = s o c i a l l e v e l of speaker one *s2 = s o c i a l l e v e l of speaker two *d1 = deep p s y c h o l o g i c a l l e v e l of speaker one *d2 = deep p s y c h o l o g i c a l l e v e l of speaker two * p l = a c t u a l words or phr a s e s used by speaker one *p2 = a c t u a l words or phr a s e s used by speaker two *c1 = c l a u s e t y p e s or c o n d i t i o n s on what speaker one says *c2 = c l a u s e t y p e s o r c o n d i t i o n s on what speaker two says The game name i t s e l f i s a mnemonic, such as WDYYB f o r the game 'Why dont you - yes b u t ' , w i t h the l o n g form of the name s t o r e d e l s e w h e r e f o r p r i n t i n g . The s o c i a l and deep l e v e l s must be one of P a r e n t , A d u l t , or C h i l d . The a c t u a l words or p h r a s e s used by the s p e a k e r s t h a t can d i s t i n g u i s h a p a r t i c u l a r game a r e s t o r e d i n *p1 and *p2. T h i s p a t t e r n of words i s u s u a l l y l o c a t e d a t the b e g i n n i n g of t h e sentence but can occur anywhere. F or the game WDYYB, the f i r s t speaker uses the words 'why don't you' and the second speaker uses the words 'yes b u t ' . The f i n a l v a r i a b l e s c o n t a i n c l a u s e t y p e s or sentence c o n d i t i o n s t h a t must be t r u e f o r a p a r t i c u l a r game t o e x i s t and they a re checked u s i n g a p a t t e r n matcher t h a t l o o k s f o r f o u r s p e c i a l symbols, =, %, #, and @. There a r e two ty p e s of sentence c o n d i t i o n c h e c k s . The f i r s t i s a match of v a r i a b l e e q u a l i t y and i s i n d i c a t e d by use of the symbol "=". These sentence v a r i a b l e s a re INTERROGATIVE, TENSE, MODAL, AUX, NEGATIVE, WH, ADVERB and CONJ and w i l l be d e s c r i b e d l a t e r . 57 There are v a r i o u s v a l u e s t h a t these v a r i a b l e s can t a k e . One way t o t e s t f o r a q u e s t i o n , f o r example, i s t o t e s t i f INTERROGATIVE=T. The second method of c h e c k i n g a sentence i s t o check sentence type which i s i n d i c a t e d by the symbol "%". The sentence type may be i m p e r a t i v e , s t a t i v e , or any o t h e r d e s i g n a t i o n t h a t c o u l d d i s t i n g u i s h s e n t e n c e s . An example of t h i s type of sentence c o n d i t i o n i s " % i m p e r a t i v e " . The c l a u s e type i s i n d i c a t e d by a l i s t of words t o be matched a g a i n s t t h e sentence i n c l a u s e form. The words may be of a p a r t i c u l a r c l a s s , shown by a "#", or an e x a c t word match, shown by a "@" symbol. The l i s t i s u s u a l l y o n l y a few words l o n g . For example, @you.#verb.NIL checks f o r a sentence w i t h "you" as the s u b j e c t , f o l l o w e d by any v e r b . F i n a l l y , the sentence and c l a u s e c o n d i t i o n t e s t s a r e put t o g e t h e r i n a l i s t form i n the v a r i a b l e s *c1 and *c2. The i n d i v i d u a l t e s t s i n the l i s t a re s e p a r a t e d by the symbol "|", as i n : @you.#verb.NIL|INTERROGATIVE=F{%imperativeJNIL. T h i s example matches a n o n i n t e r r o g a t i v e i m p e r a t i v e s e n t e n c e whose c l a u s e form c o n t a i n s the word "you" f o l l o w e d by a v e r b . The a c t u a l T.A. game s t r u c t u r e s used i n the program a r e l i s t e d i n Appendix D. We w i l l now examine the v a r i o u s components of the system. 4._2 S y n t a c t i c Component i l l u s t r a t e the v a r i o u s p a r t s of the system, the 58 f o l l o w i n g more d e t a i l e d f lowchart i s i n c l u d e d : Psych . Database E n g l i s h Sentence scan for game < > phrases scan -for ego < > s t a t e phrases prepare input conver t idioms ana lyze morphemes bracke t noun phrases s i m p l i f y verb phrases S i m p l i f i e d Form L i n g u i s t i c Database S y n t a c t i c Component F i g u r e 5 N o t i c e that p s y c h o l o g i c a l p r o c e s s i n g occurs d u r i n g the s y n t a c t i c p r o c e s s i n g shown here and a l s o d u r i n g the semantic p r o c e s s i n g d e s c r i b e d l a t e r . As in the genera l d iagram, the program a n a l y s i s f lows a l o n g the s o l i d l i n e s and i n t e r a c t s wi th the databases as i n d i c a t e d by the dashed l i n e s . 4_.2.__ Input P r e p a r a t i o n One of the poor f e a t u r e s of the p a r t i c u l a r v e r s i o n of 59 PROLOG used i s the l i m i t e d i n p u t f a c i l i t i e s . To make the program e a s i e r and t o r e q u i r e l e s s t y p i n g f o r the u s e r , the e n t i r e c o n v e r s a t i o n i s e n t e r e d as a s i n g l e c l a u s e . T h i s form would be more n a t u r a l when u s i n g the program t o a n a l y z e a d i a l o g u e t r a n s c r i b e d from tape. At t h i s stage the program d e t e r m i n e s one sp e a k e r ' s u t t e r a n c e by l o c a t i n g the t e r m i n a t i n g p u n c t u a t i o n . The p u n c t u a t i o n i s removed and the. INTERROGATIVE v a r i a b l e i s s e t t o T f o r t r u e or F f o r f a l s e . For ease of use i n PROLOG, the sentences a r e then c o n v e r t e d i n t o a l i s t of words. 4.2_.2 Scan of Sentence f o r Game Phr a s e s The sentence i s f i r s t checked f o r ex a c t words or p h r a s e s t h a t can i n d i c a t e a game. These a r e the phr a s e s s t o r e d i n the *p1 and *p2 v a r i a b l e s of the game s t r u c t u r e . I f such a game phrase i s found i n the u t t e r a n c e , a g l o b a l v a r i a b l e i s s e t t o i n d i c a t e t h a t a game has been found. A message i s p r i n t e d i f e i t h e r a new game i s found o r c o n t r a d i c t o r y i n f o r m a t i o n i s d i s c o v e r e d and i n e i t h e r c a s e , the g l o b a l game v a r i a b l e i s s e t to the new game. When c o n t r a d i c t o r y p hrases a r e found, the o l d game has been abandoned and a new one s t a r t e d . F i n d i n g the ex a c t game words i n an u t t e r a n c e i s q u i t e a s t r o n g i n d i c a t i o n t h a t a game e x i s t s . Most games can be u n i q u e l y i d e n t i f i e d by t h i s i n f o r m a t i o n ; however, not a l l of the p l a y e r s i n a p a r t i c u l a r game use i d e n t i f i a b l e p h r a s e s , so the g l o b a l game v a r i a b l e would not be s e t or changed i f no match can be done f o r a p a r t i c u l a r s p e aker. 60 4.2.J3 C o n v e r s i o n of Idioms There are many e x p r e s s i o n s such as compound words and id ioms tha t have the p r o p e r t y t h a t the meanings of the phrase cannot be d e r i v e d from the i n d i v i d u a l meanings of the s eparate words. S ince these e x p r e s s i o n s are q u i t e common in c o l l o q u i a l E n g l i s h , the system shou ld be a b l e to handle them. The e a s i e s t way of a c c o m p l i s h i n g t h i s i s to r e p l a c e the e n t i r e e x p r e s s i o n wi th one that has a more l i t e r a l meaning. The f o l l o w i n g examples i l l u s t r a t e some compound words and t h e i r rep lacements : HOW COME -> WHY HOW GOES IT -> HOW ARE YOU The idioms and t h e i r replacement phrases are s t o r e d i n a t a b l e that i s indexed by the id iom p h r a s e . N o t i c e that id iom c o n v e r s i o n i s done a f t e r the game phrase i d e n t i f i c a t i o n p r o c e s s i s complete s i n c e idioms may be a part , of the game p h r a s e . 4.2._1 Ego S t a t e Scan and M o r p h o l o g i c a l A n a l y s i s The ego s t a t e of the s o c i a l l e v e l of an u t t e r a n c e can be i n d i c a t e d by the use of c e r t a i n words or p h r a s e s . These words do not c o n f i r m the ego s t a t e but merely suggest i t . The words or phrases are s t o r e d in a d i c t i o n a r y , PSYCHWORD, a l o n g wi th the ego s t a t e they t y p i f y . The ego s t a t e s are d i v i d e d i n t o A d u l t , C o n t r o l l i n g P a r e n t , N u r t u r i n g P a r e n t , Free C h i l d and Adapted C h i l d . For purposes of d e t e r m i n i n g f u r t h e r i n f o r m a t i o n about games, there i s o n l y one C h i l d and one Parent ego s t a t e but the d i c t i o n a r y c o n t a i n s the e x t r a i n f o r m a t i o n which i s p r i n t e d as 61 p a r t of the a n a l y s i s . For example, words such as "what" and " p o s s i b l e " or p h r a s e s such as " i t i s my o p i n i o n " a r e p r e s e n t i n A d u l t ego l e v e l d i a l o g u e . The program then s e t s the s o c i a l l e v e l i n d i c a t o r f o r the p a r t i c u l a r speaker t o ' A d u l t ' . The next s t e p i n t h e l i n g u i s t i c a n a l y s i s i s the i d e n t i f i c a t i o n of the i n d i v i d u a l words of the s e n t e n c e . Each word i s f i r s t l o o k e d up i n the main d i c t i o n a r y t h a t c o n t a i n s the word, i t s s y n t a c t i c c l a s s , and any a d d i t i o n a l i n f o r m a t i o n u s e f u l f o r l a t e r p a r s i n g . Such i n f o r m a t i o n i n c l u d e s word p l u r a l s and c l a s s i f i c a t i o n f o r nouns and t e n s e , v e r b forms, and f e a t u r e s f o r the v e r b s , as w e l l as number and gender f o r subsequent p a r s i n g . I f the word i s found i n the d i c t i o n a r y , a t t e n t i o n i s then f o c u s s e d on the next word. I f i t i s not found, any p r e f i x e s or s u f f i x e s a r e s t r i p p e d and the b a s i c morpheme i s r e c h e c k e d i n the d i e t i o n a r y . The semantic e f f e c t of p r e f i x e s i s a p p r o x i m a t e d by the i n s e r t i o n of a p p r o p r i a t e a d v e r b s . For example: UNHAPPY -> NOT HAPPY IMPOSSIBLE -> NOT POSSIBLE The t a b l e of s u f f i x endings i s f a r l a r g e r than t h a t f o r p r e f i x e s w i t h noun p l u r a l s , v e r b e n d i n g s , and a d j e c t i v e and adverb end i n g s r e c o g n i z e d . The main reason f o r i d e n t i f y i n g morphemes i s t o make the word d i c t i o n a r y as s m a l l as p o s s i b l e so t h a t o n l y the b a s i c morphemes and any i r r e g u l a r words have a s e p a r a t e d i c t i o n a r y e n t r y . Many of the most commonly used verbs of E n g l i s h have i r r e g u l a r i n f l e c t i o n s so t h e s e s e p a r a t e forms would e n t e r e d i n 62 the d i c t i o n a r y . For example, the word WAS i s l i s t e d as the p a s t tense of the v e r b BE. Some nouns and pronouns have i r r e g u l a r p l u r a l s so they a re a l s o l i s t e d . For example, both WOMAN and the p l u r a l WOMEN are e n t e r e d i n the d i c t i o n a r y . The words not i n the d i c t i o n a r y a r e det e r m i n e d by m o r p h o l o g i c a l a n a l y s i s . The t a b l e of i n f l e c t i o n a l e n d i n g s i s compared t o the ending of the word i n q u e s t i o n . I f the word w i t h the endin g removed i s l o c a t e d i n the d i c t i o n a r y , the d i c t i o n a r y e n t r y and o t h e r i n f o r m a t i o n from the morph t a b l e i s r e t u r n e d t o the p a r s e r . For many words, l e t t e r s have t o be added t o the end of the word b e f o r e the d i c t i o n a r y i s s e a r c h e d . For example, a f t e r the ING ending i s removed from the word WRITING, an E has t o be added, g i v i n g the v e r b WRITE, which i s i n the d i c t i o n a r y . The new word i s then e n t e r e d i n t o the d i c t i o n a r y w i t h i t s r e l e v a n t i n f o r m a t i o n so t h a t the l o n g e r p r o c e s s of m o r p h o l o g i c a l a n a l y s i s would not have t o be r e p e a t e d the next time the word i s e n c o u n t e r e d . I n f l e c t i o n a l endings a r e removed from p l u r a l and p o s s e s i v e nouns, t h i r d p e r s o n s i n g u l a r v e r b s and t e n s e d v e r b s . The t e n s e d v e r b s r e t u r n i n f o r m a t i o n about the type of t e n s e such as p a s t (-ED), p r e s e n t p a r t i c i p l e (-ING) or p a s t p a r t i c i p l e (-EN). Another e n d i n g t h a t i s t r e a t e d as a form of s u f f i x i s t h e c o n t r a c t i o n . I t i s r e p l a c e d by the u n c o n t r a c t e d word but i n f o r m a t i o n i s kept t o p r e s e r v e the meaning of the e n d i n g . To pr e v e n t e v e r y word ending w i t h NT b e i n g a n a l y z e d as c o n t r a c t e d words, l i m i t s a r e s e t on which words may have c o n t r a c t i o n s . In the case of NOT, o n l y the v e r b s DO, BE, HAVE and the modal 63 a u x i l i a r i e s a l l o w c o n t r a c t i o n s . The f i n a l type of ending a n a l y z e d i s the d e r i v a t i o n a l s u f f i x . When t h i s type of ending i s removed, words i n one c l a s s of word a r e t r a n s f o r m e d i n t o s e m a n t i c a l l y r e l a t e d words i n anot h e r c l a s s . For example, the LY endin g changes the a d j e c t i v e PRETTY i n t o the adverb PRETTILY. S u p e r l a t i v e and c o m p a r a t i v e forms of adverbs and a d j e c t i v e s a r e a l s o checked h e r e . When none of the above a n a l y s i s d e t e r m i n e s the word, e i t h e r the morpheme i s not i n the d i c t i o n a r y or the word i s m i s s p e l l e d . S i n c e the c o n v e r s a t i o n i s not t y p e d i n i n t e r a c t i v e l y , t h e r e s h o u l d be no s p e l l i n g e r r o r s . There i s no s p e l l i n g c h ecker i n the system but one would be easy enough t o add i f n e c e s s a r y . I n the case of new morphemes, the user w i l l be g i v e n the o p t i o n of e n t e r i n g the morpheme i n t o the d i c t i o n a r y . 4.2.5 Noun Phrase B r a c k e t i n g A f t e r the i n d i v i d u a l words have been i d e n t i f i e d , the s i m p l e noun ph r a s e s a re l o c a t e d by a p a r t i a l d e f i n i t e c l a u s e grammar ( P e r i e r a and Warren 1980). T h i s i s done so t h a t the noun group can be t r e a t e d as a s i n g l e u n i t i n l a t e r p r o c e s s i n g and i s s i m i l a r t o the PARRY system except t h a t PARRY uses an augmented t r a n s i t i o n network. The noun phrase c o n s i s t s of p r e m o d i f i e r s , a d j e c t i v e s , the noun and any t r a i l i n g p r e p o s i t i o n a l p h r a s e s . Proper nouns and pronouns a re a l s o c o n s i d e r e d t o be noun ph r a s e s f o r ease of p r o c e s s i n g l a t e r on. The noun p h r a s e , NP, can be d e s c r i b e d as f o l l o w s : 64 NP -> pronoun|proper noun NP -> ( d e t e r m i n e r j q u a n t i f i e r ) ( a d j e c t i v e | A D J P ) * ( n o u n ) ( P P ) * where ADJP -> ( a d v e r b ) * ( a d j e c t i v e ) PP -> ( p r e p o s i t i o n ) ( N P ) T h i s noun phrase grammar i s v e r y s i m p l e and the program j u s t scans t h r o u g h the s e n t e n c e s b r a c k e t i n g o f f any noun ph r a s e s t h a t a r e l o c a t e d . Another o p e r a t i o n t h a t must be done at t h i s stage i s t o check the number agreement amongst t h e v a r i o u s p a r t s of the noun p h r a s e . When the b e g i n n i n g of a new noun phrase i s d i s c o v e r e d , a g l o b a l v a r i a b l e i s s e t t o the number of the f i r s t element of the noun group, e i t h e r s i n g u l a r , p l u r a l or b o t h s i n g u l a r and p l u r a l . F u r t h e r elements i n the noun phrase must match t h i s i n number. M a t c h i n g of number i s i m p o r t a n t i n the noun phrase because the number d e t e r m i n e s whether t h e r e i s a s i n g u l a r or p l u r a l s u b j e c t , which i n t u r n must match the number of the v e r b form. I f t h e r e i s disagreement amongst the v a r i o u s p a r t s of the noun p h r a s e , then a message i s p r i n t e d s t a t i n g t h a t the number of the noun phrase i s changed t o t h e number of t h e l a s t element i n the noun p h r a s e , which i s the noun. £.2.6 Verb Phrase S i m p l i f i c a t i o n A v e r b phrase i s d e f i n e d as a main v e r b , a s e t of a u x i l i a r i e s t h a t i n d i c a t e t e n s e , v o i c e and m o d a l i t y , some adverbs and a p o s s i b l e i n v e r s i o n t h a t s i g n a l s i n t e r r o g a t i o n . The g o a l of t h i s p a r t o f t h e p r o c e s s i n g i s t o remove e v e r y t h i n g 65 except the main v e r b and t o save the s i g n i f i c a n c e of the removed words i n a s e t of a d v e r b i a l v a r i a b l e s . These a r e the v a r i a b l e s INTERROGATIVE, TENSE, MODAL, NEGATIVE, WH, ADVERB, and CONJ mentioned p r e v i o u s l y . The f i r s t pass of the sentence d e l e t e s a l l forms of a d v e r b i a l s . Most t y p e s of adverbs a r e d e l e t e d and s t o r e d i n the v a r i a b l e ADVERB. However, two common types of a d v e r b i a l s have been s i n g l e d out f o r t h e i r f r e q u e n c y of use and importance t o the meaning of the se n t e n c e . These a r e NEGATIVE and WH. Any n e g a t i v e word such as NOT or NEVER or n e g a t i v e modal (from a c o n t r a c t i o n ) a r e d e l e t e d and the word put i n the v a r i a b l e NEGATIVE. The v a r i a b l e WH c o n t a i n s q u e s t i o n s words such as WHEN, WHERE, or WHY t h a t have been d e l e t e d from the se n t e n c e . Simple modal a u x i l i a r i e s a r e a l s o removed a t t h i s s t a g e and p l a c e d i n the v a r i a b l e MODAL. The word WILL i s t r e a t e d as a modal i n s t e a d of a v e r b d e n o t i n g the f u t u r e t e n s e . The next s t e p i s s l i g h t l y more c o m p l i c a t e d and d e a l s w i t h s i m p l i f y i n g the a u x i l i a r y p h r a s e s . The s u b j e c t - a u x i l i a r y v e r b i n v e r s i o n of q u e s t i o n sentences i s r e p l a c e d u s i n g the f o l l o w i n g type of p a t t e r n : a u x i l i a r y noun-phrase v e r b -> noun-phrase a u x i l i a r y v e r b The v a r i a b l e INTERROGATIVE i s a l s o s e t t o T f o r t r u e i f i t has not a l r e a d y been s e t . The TENSE v a r i a b l e i s s e t t o the tense of the a u x i l i a r y v e r b , i f any, or of the main v e r b . The a u x i l i a r y v e r b i s a l s o d e l e t e d and put i n t o the v a r i a b l e AUX. The f o l l o w i n g a r e some examples: 66 DO v e r b -> v e r b verb-ED -> v e r b (TENSE=past) HAVE verb-EN -> v e r b (TENSE=past) BE verb-ING -> v e r b (TENSE=progressive) Sentences combining a u x i l i a r i e s a r e s i m p l i f i e d by r e p e a t e d a p p l i c a t i o n s of the b a s i c a u x i l i a r y r u l e s . Thus: HAVE BEEN verb-ING -> v e r b (TENSE=past p r o g r e s s i v e ) The system next checks f o r p a s s i v e sentences and then c o n v e r t s them t o an a c t i v e c o n s t r u c t i o n . The f o l l o w i n g two r u l e s move the s u b j e c t and o b j e c t i n t o t h e i r u s u a l p o s i t o n . noun-phrasel BE verb-EN BY noun-phrase2 -> noun-phrase2 v e r b noun-phrasel noun-phrase BE verb-EN -> SOMEBODY v e r b noun-phrase The v a r i a b l e TENSE i s a l s o s e t t o the t e n s e of the a u x i l i a r y "be". F i n a l l y , t h e r e a r e a group of v e r b s c a l l e d s e m i - a u x i l i a r i e s t h a t can be c o n v e r t e d i n t o modals. These p h r a s e s are t r e a t e d somewhat l i k e idioms because of the use of e q u i v a l e n t p h r a s e s . The modals, however, a r e then d e l e t e d and s t o r e d i n t h e MODAL v a r i a b l e . The f o l l o w i n g are some examples: HAD BETTER -> SHOULD BE ABOUT TO -> SHALL BE ABLE TO -> CAN The method of trea-tment of a d v e r b i a l v a r i a b l e s i s based on the PARRY system ( P a r k i s o n , C o l b y , and Faught 1977). A l t h o u g h no c l a i m s a r e made f o r s i m i l a r methods i n f o r m a l E n g l i s h grammar, p a r s i n g c l a u s e s i s made e a s i e r w i t h t h i s t e c h n i q u e . 67 4_._3 Semantic Component 4.3.1 C l a u s e Form L o c a t i o n The f o l l o w i n g d i a g r a m i l l u s t r a t e s t h e s e m a n t i c component of t h e s y s t e m : P s y c h . D a t a b a s e S i m p l i f i e d Form •'• c h e c k v e r b c a s e match c l a u s e p a t t e r n s C l a u s e Form game t y p e s \ P s y c h o l o g i c a l I n t e r p r e t a t i o n L i n g u i s t i c D a t a b a s e Semantic Component F i g u r e 6 T h i s next s t a g e i n t h e p a r s i n g p u t s t h e s e n t e n c e i n t o l o g i c a l c l a u s e form. The s i m p l i f i e d s e n t e n c e i s matched a g a i n s t 17 g e n e r a l c l a u s e p a t t e r n s t o d e t e r m i n e the c l a u s e t y p e . These c l a u s e p a t t e r n s a r e o f t h e g e n e r a l form "(noun v e r b n o u n ) " and 68 are d i s t i n g u i s h e d by such t h i n g s as p r e p o s i t i o n a l p h r a s e s and ver b t y p e s . There a re o n l y a c o u p l e of c l a u s e p a t t e r n s f o r i n c o m p l e t e s e n t e n c e s but more c o u l d e a s i l y be added. Verbs may be t r a n s i t i v e , i n t r a n s i t i v e , c o p u l a and/or those v e r b s t h a t can take an i n d i r e c t o b j e c t . T h i s i n f o r m a t i o n i s s t o r e d i n the s y n t a c t i c d i c t i o n a r y e n t r y f o r the v e r b . Other s o u r c e s of i n f o r m a t i o n , about the v e r b s a r e the case t a b l e and semantic d i c t i o n a r i e s . The v e r b , s u b j e c t , and any o b j e c t s must now pass the semantic case c h e c k i n g stage b e f o r e a c l a u s e type can be c o n f i r m e d . There a r e f o u r verb semantic d i c t i o n a r i e s or t a b l e s ( l i s t e d i n Appendix E ) , one f o r each type of v e r b . Any one v e r b may have an e n t r y i n more than one t a b l e . The be s t way t o i l l u s t r a t e the t a b l e e n t r i e s i s w i t h an example: INTRANS(go,move,agent:animate) The verb 'go' i s i n t r a n s i t i v e . The second e n t r y i s a replacement v e r b t h a t i s s e m a n t i c a l l y e q u i v a l e n t . The purpose of a replacement v e r b i s t o reduce the number of d i f f e r e n t v e r b s t o a r e a s o n a b l e s i z e and f o r some v e r b s , the replacement may be the v e r b i t s e l f . These replacement v e r b s a r e l o o s e l y based on the i d e a s of Schank's p r i m i t i v e ACTS (Schank 1973) but more v e r b s t h a t Schank's s m a l l s e t a r e needed t o convey the nuances of meanings of v e r b s t h a t a re needed f o r the c l a u s e type matching d e s c r i b e d i n the next s e c t i o n . The l a s t e n t r y i n t h i s t a b l e i s the case i n f o r m a t i o n . S i n c e the v e r b 'go' i s i n t r a n s i t i v e , t h e r e i s o n l y one c a s e , an agent, and i t must be animate. 69 The o t h e r t a b l e s have e n t r i e s f o r the number of ca s e s each v e r b needs. The i n d i v i d u a l e n t r y f o r a p a r t i c u l a r v e r b may a l s o be a l i s t . The f o l l o w i n g t h r e e examples i l l u s t r a t e the v a r i o u s f e a t u r e s of the semantic s p e c i f i c a t i o n t a b l e s : INDOBJ ( g i v e , t r a n s f e r , a g e n t : a n i ma t e , r e c i p : T , pa t i e n t : -'human) T R A N S ( l i s t e n , l i s t e n , a g e n t : a n i m a t e , p a t i e n t : h u m a n . m u s i c . T . N I L ) T R A N S ( r e a d , r e a d , a g e n t : h u m a n , r e c i p : a n i m a t e ; p a t i e n t : l i t e r a t u r e ) The v e r b ' g i v e ' i s of the semantic c l a s s of v e r b s t h a t d e s c r i b e ' t r a n s f e r s ' by an animate agent t o any r e c i p i e n t (T means any c l a s s i f i c a t i o n ) . The o n l y l i m i t on the i n d i r e c t o b j e c t i s t h a t i t cannot be a human. The t r a n s i t i v e v e r b ' l i s t e n ' i s an a c t i o n by an animate agent done t o a p a t i e n t t h a t may be a human, music or a n y t h i n g e l s e . The t r a n s i t i v e v e r b 'read' i s an a c t i o n done by a human agent t o e i t h e r an animate r e c i p i e n t o r a p a t i e n t of type l i t e r a t u r e . To det e r m i n e which type of case i s the f i r s t "to be checked, t h e r e i s a case t a b l e w i t h a l i s t of p r e p o s i t i o n s and the ca s e s t h a t they i n d i c a t e . T h i s i s u s u a l l y enough t o d i s a m b i g u a t e the p o s s i b l e v e r b case meanings. The o b j e c t s a r e now compared w i t h the c l a s s i f i c a t i o n s g i v e n i n the v e r b s e m a n t i c s t a b l e s t o make sure t h a t the t y p e s match. U s i n g the f e a t u r e s of t h e nouns o b t a i n e d from the main d i c t i o n a r y , the program t e s t s the p o s s i b l e c l a s s i f i c a t i o n a g a i n s t the f e a t u r e s l i s t . I f the c l a s s i f i c a t i o n i s c o n t a i n e d i n the f e a t u r e s l i s t , then t h e r e i s case agreement. There may be a l i s t of p o s s i b l e c l a s s i f i c a t i o n s , i n which c a s e , o n l y one element has t o be on the noun f e a t u r e s l i s t . The c l a s s i f i c a t i o n s can a l s o c o n t a i n a "T" which matches a n y t h i n g 70 and a " _ ,X" which matches a n y t h i n g t h a t i s not of type X. There are a l s o s p e c i a l matching r u l e s of the type "a human i s animate". These r u l e s d e f i n e s u b c l a s s e s or h i e r a r c h i e s of c l a s s i f i c a t i o n s so t h a t c o r r e c t matching w i l l o c c u r . A f t e r the v a r i o u s o b j e c t s a r e checked f o r case agreement, the s u b j e c t - v e r b agreement i s t e s t e d . The number and gender of each word i s s t o r e d i n the i n f o r m a t i o n from the s y n t a c t i c d i c t i o n a r y and morph t a b l e so the t e s t i s j u s t a s i m p l e match. F i n a l l y , the sentence i s p r i n t e d out i n c l a u s e form a l o n g w i t h any m o d i f i c a t i o n caused by the a d v e r b i a l v a r i a b l e s . The NEGATIVE f e a t u r e r e v e r s e s the meaning of the c l a u s e but when the NEGATIVE i s p r e s e n t and the INTERROGATIVE i s t r u e , t h i s i s j u s t an i n d i c a t i o n of the s p e a k e r ' s p r e s u p p o s i t i o n s . Any o t h e r adverbs or WH words a r e p l a c e d i n f r o n t of the c l a u s e . I f t h e r e was a c o n j u n c t i o n i n the o r i g i n a l s e n t e n c e , the r e s u l t w i l l be more than one c l a u s e or one c l a u s e j o i n e d by the c o n j u n c t i o n c o n t a i n e d i n the v a r i a b l e CONJ. For example: "Why don't you t a l k t o him" =>(lS-why? (you t a l k him)) "We need t o d i s c u s s the r e p o r t " =>(we need (we t a l k ( r e p o r t ) ) ) " I f i t weren't f o r you I c o u l d be h a v i n g f u n " =>(not ( i f ( i t i s y o u ) ( i p o s s e s s ( f u n ) ) ) ) "You s t a y home and watch the house" =>(and (you s t a y (home)) (you see (house)) ) N o t i c e t h a t nouns a r e b r a c k e t e d and t h a t some v e r b s a r e changed t o t h e i r semantic e q u i v a l e n t s . There was a problem f i n d i n g a r e a s o n a b l e e q u i v a l e n t p h rase f o r the i d i o m " i f i t weren't f o r you" so t h i s program l e a v e s the phrase as i t i s f o r p r o c e s s i n g . 71 £ . 3 . 2 Check of C l a u s e Types Used i n Games T h i s phase of the system compares the sentence i n c l a u s e form w i t h the c l a u s e t y p e s and c o n d i t i o n s l i s t e d i n the *c1 and *c2 v a r i a b l e s of the T r a n s a c t i o n a l A n a l y s i s game s t r u c t u r e d e s c r i b e d a t the b e g i n n i n g of t h i s c h a p t e r . The c l a u s e form must match a l l of the c o n d i t i o n s l i s t e d t h e r e . The sentence t y p e and a d v e r b i a l v a r i a b l e s must agree w i t h any v a l u e s i n the *c1 or *c2 v a r i a b l e . P a r t i a l p h rases c o n s i s t i n g of a c t u a l words or s y n t a c t i c word type must a l s o be p r e s e n t i n the c l a u s e . I f a l l of the c o n d i t i o n s a re not met, one of two a c t i o n s o c c u r s . I f no TA game had been d i s c o v e r e d y e t i n the c o n v e r s a t i o n , t h e r e would s t i l l be no game p r e s e n t . I f , on the o t h e r hand, a TA game was p r e s e n t , then a v i o l a t i o n of the c l a u s a l c o n d i t i o n s s i g n a l s t h a t the game has been t e r m i n a t e d . I f a l l of the c l a u s a l c o n d i t i o n s a r e met, then the TA game i s s t i l l i n p r o g r e s s . In the case t h a t no T r a n s a c t i o n a l A n a l y s i s game had p r e v i o u s l y been i n d i c a t e d , a new game i s s t a r t e d . For some games the c l a u s a l c o n d i t i o n checks j u s t c o n f i r m the game found u s i n g the ex a c t words i n the v a r i a b l e s *p1 and *p2 of the TA game s t r u c t u r e . However, t h e r e a r e some games i n which one or both speakers do not use s p e c i f i c words but i t i s the meaning of the sentences t h a t i n d i c a t e s t h a t a game i s b e i n g p l a y e d . i . ' ! Use of T.A. V a r i a b l e s t o A i d P a r s i n g 72 The p l a y e r s or speakers i n a c o n f i r m e d T r a n s a c t i o n A n a l y s i s game sequence f o l l o w a type of s c r i p t . E i t h e r the e x a c t words or the meaning of a phrase i s d e f i n e d f o r one.or both s p e a k e r s . T h i s i n f o r m a t i o n can be used t o p r e d i c t the c o n t e n t of the next sentence and so l i m i t s the amount of s e a r c h t o be done i n p a r s i n g . In the program, the T.A. game can be i d e n t i f i e d e i t h e r by s p e c i f i c words (done a t the word match and i d i o m match s t a g e ) , or by t y p e s of words or sentences (done a t the c l a u s e type matching s t a g e ) . U s i n g the knowledge t h a t a game i s p r e s e n t , the program knows the e x a c t words or t y p e s of phrases t h a t may be i n the next u t t e r a n c e . An e x c e p t i o n o c c u r s i f the next speaker d e c i d e s t o s t o p the game. Even when no T.A. game e x i s t s i n a c o n v e r s a t i o n , c e r t a i n t h i n g s can be s a i d about the s o c i a l l e v e l of the p s y c h o l o g i c a l ego s t a t e of the s p e a k e r s . C e r t a i n t y p e s of words a r e used more by one ego s t a t e than a n o t h e r and are those c o n t a i n e d i n the T.A. word p s y c h o l o g i c a l d i c t i o n a r y . Examples of the way i n which T r a n s a c t i o n a l A n a l y s i s games and ego s t a t e s o ccur i n c o n v e r s a t i o n s a r e shown i n the f o l l o w i n g c h a p t e r . 73 CHAPTER 5 System i n O p e r a t i o n : Examples and D i s c u s s i o n T h i s c h a p t e r shows some of the r e s u l t s of t e s t s of the computer program. The examples were taken m o s t l y from t e x t s about T r a n s a c t i o n a l A n a l y s i s and a r e f a i r l y r e p r e s e n t a t i v e of the type of c o n v e r s a t i o n s a n a l y z e d i n t h e r a p y . There a r e o n l y a l i m i t e d number of d i f f e r e n t t y p e s of t r a n s a c t i o n a l a n a l y s i s games i n the examples because many games a r e s i g n a l l e d by e x t r a l i n g u i s t i c c l u e s such as tone of v o i c e or g e s t u r e s and so cannot y e t be a n a l y z e d by computer. For each d i a l o g u e , the program produces a l i n g u i s t i c a n a l y s i s of each sentence and a p s y c h o l o g i c a l a n a l y s i s c o n s i s t i n g of the s o c i a l l e v e l ego s t a t e of the spe a k e r , i f d e c i d a b l e . The l i n g u i s t i c a n a l y s i s c o n s i s t s of a l i n e s t a t i n g the v e r b and case i n f o r m a t i o n found, the a d v e r b i a l and sentence v a r i a b l e s , and a l i n e w i t h the r e s u l t i n g c l a u s e form. When any T.A. game i s r e c o g n i z e d , i t s name i s p r i n t e d as w e l l as the s o c i a l ego s t a t e s a s s o c i a t e d w i t h i t . The f a c t t h a t a game i s t e r m i n a t e d i s im p o r t a n t p s y c h o l o g i c a l l y ; so i f t h a t happens, a p p r o p r i a t e i n f o r m a t i o n w i l l be p r i n t e d . A f t e r the p a r s e i s complete, more i n f o r m a t i o n i s p r i n t e d about the name of the game pr e s e n t a t the end of the c o n v e r s a t i o n and the ego s t a t e l e v e l s of the sp e a k e r s a c c o r d i n g t o t h a t game. The t e s t d i a l o g u e s i n c l u d e the f o l l o w i n g f e a t u r e s : 74 ( 1 ) s t a r t i n g and s t o p p i n g a T.A. game ( 2 ) no T.A. game p r e s e n t (3) change i n game p l a y e d (4) r e c o g n i z i n g a T.A. game a t v a r i o u s s t a g e s Each of the d i a l o g u e s i s numbered so the program s t a r t s when the user t y p e s i n " < - a n a l y s e ( X ) " where X i s the number of the c o n v e r s a t i o n t o be t e s t e d . For a d e s c r i p t i o n of the t e s t d i a l o g u e i n p u t , t u r n t o Appendix F. The f i r s t example shows the game "Why Don't You - Yes But" or WDYYB b e i n g r e c o g n i z e d d u r i n g t he f i r s t sentence of the d i a l o g u e . T h i s game i s d i s c o v e r e d by matching the sp e a k e r ' s words a g a i n s t those i n the game d a t a s t r u c t u r e t h a t i n d i c a t e a T.A. game i s p r e s e n t . The s o c i a l l e v e l ego s t a t e i s suggested t o be an A d u l t because of the use of the word "why" and t h e g l o b a l s o c i a l ego l e v e l of WDYYB c o n f i r m s t h i s t o be so. F u r t h e r u t t e r a n c e s by both s p e a k e r s i n d i c a t e t h a t the game WDYYB i s s t i l l b e i n g p l a y e d so no e x t r a i n f o r m a t i o n i s p r i n t e d e x c e p t f o r the summary i n f o r m a t i o n a t the end. < - a n a l y s e ( 1 ) . why dont you t a l k t o him. * New Game = WDYYB w i t h g l o b a l s o c i a l l e v e l s : speaker 1 = a d u l t speaker 2 = a d u l t L i n g u i s t i c A n a l y s i s V e r b : t a l k agent:you r e c i p : h i m SUMMARY OF PARSE VARIABLES INTERROGATIVE = T TENSE = p r e s e n t AUX = do NEGATIVE = not (IS-why?(you t a l k him )) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS ADULT = why SENTENCE MAY HAVE SOCIAL LEVEL = a d u l t . yes but he doesnt l i s t e n . L i n g u i s t i c A n a l y s i s V e r b : l i s t e n agent:he SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p r e s e n t AUX = does NEGATIVE = not (not (yes (he l i s t e n ) ) ) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS No keyword i n d i c a t o r s i n t h i s sentence d i d you t r y t o w r i t e him a n o t e . L i n g u i s t i c A n a l y s i s V e r b r w r i t e a g e n t r y o u r e c i p : h i m p a t i e n t : n o t e SUMMARY OF PARSE VARIABLES INTERROGATIVE = T TENSE = pa s t AUX = d i d ( I S - ? ( y o u . t r y (you w r i t e him (note ) ) ) ) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS 76 A CHILD = t r y SENTENCE MAY HAVE SOCIAL LEVEL = a d u l t . yes but he does not read n o t e s . L i n g u i s t i c A n a l y s i s V e r b : r e a d agent:he p a t i e n t : n o t e SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p r e s e n t AUX = does NEGATIVE = not (not (yes (he read (note ) ))) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS No keyword i n d i c a t o r s in t h i s sentence PARSE COMPLETE. - - SPEAKER1 (TH) — why dont you t a l k to him d i d you t r y to w r i t e him a note SOCIAL LEVEL = a d u l t DEEP LEVEL =• parent - - SPEAKER2 (P) - -yes but he doesnt l i s t e n yes but he does not read notes SOCIAL LEVEL = a d u l t DEEP LEVEL = c h i l d GAME WDYYB FOUND - Why dont you _ Yes but analyse(1)<-The above example shows the s i m p l e s t case of a T . A . game o c c u r r i n g . The same game i s m a i n t a i n e d throughout the c o n v e r s a t i o n and the game i s i n i t i a l l y r e c o g n i z e d by word m a t c h i n g . The words "why dont you" are l i s t e d in the WDYYB game 7 7 s t r u c t u r e as e v i d e n c e t h a t the game "Why Dont You - Yes But" i s be i n g p l a y e d so the program p r i n t s out a statement showing t h a t a new game has begun and the s o c i a l l e v e l of the ego s t a t e s a s s o c i a t e d w i t h i t . L i n g u i s t i c a n a l y s i s of the sentence "Why dont you t a l k t o him?" b e g i n s w i t h i d e n t i f y i n g the v e r b as " t a l k " , the agent as "you", and the r e c i p i e n t as "him". The a d v e r b i a l or p a r s e v a r i a b l e s show t h a t the sentence i s a p r e s e n t t e n s e i n t e r r o g a t i v e t h a t c o n t a i n s a n e g a t i v e and an a u x i l i a r y v e r b . The a u x i l i a r y v e r b "do" i s not v e r y i m p o r t a n t s i n c e i t a c t s m o s t l y as a p l a c e h o l d e r i n the q u e s t i o n . The n e g a t i v e , however, i s i m p o r t a n t because i t i n d i c a t e s a p r e s u p p o s i t i o n . I n t h i s c a s e , the speaker i s assuming t h a t the l i s t e n e r has not y e t t r i e d t a l k i n g t o 'him'. The f i n a l s t e p i n the l i n g u i s t i c a n a l y s i s i s t o p r i n t out the c l a u s a l form of the sent e n c e . The g e n e r a l form "(noun v e r b noun)" was chosen over t h e common c l a u s e form " ( v e r b noun noun)" because i t keeps more of the s t r u c t u r e of the o r i g i n a l sentence and hence i s e a s i e r t o r e a d . Any adverbs or WH-words are p l a c e d i n f r o n t of the c l a u s e as w e l l as any n e g a t i v e s when the sentence i s not an i n t e r r o g a t i v e . P s y c h o l o g i c a l a n a l y s i s b e g i n s when the sentence i s scanned f o r the T r a n s a c t i o n a l A n a l y s i s ego s t a t e l e v e l i n d i c a t o r s ; any such words d i s c o v e r e d a t t h i s s t a g e , p l u s t h e i r ego s t a t e s a r e p r i n t e d . For example, i n the f i r s t s e n t e n c e , the a d u l t word "why" i s found. The next s t e p d e t e r m i n e s the p r o b a b l e s o c i a l l e v e l of the se n t e n c e . I f a game i s p r e s e n t , the s o c i a l l e v e l 7 8 i s t he one found i n the c o r r e s p o n d i n g game s t r u c t u r e ; o t h e r w i s e , the s o c i a l l e v e l i s t h a t of any keywords found or may i n f a c t be unknown i f no such keywords e x i s t . The s o c i a l ego s t a t e l e v e l a s s o c i a t e d w i t h the T.A. game s t r u c t u r e i s r e f e r r e d t o as the g l o b a l s o c i a l l e v e l by the program. For the f i r s t s e n t e n c e , both the keyword check and game s o c i a l ego l e v e l s i n d i c a t e A d u l t s o c i a l l e v e l . The word match done t o f i n d games a t the b e g i n n i n g and the c l a u s e type check done a f t e r l i n g u i s t i c a n a l y s i s a r e a l s o c o n s i d e r e d t o be p a r t of the p s y c h o l o g i c a l a n a l y s i s . S i n c e the f i r s t s entence conformed t o the c l a u s e type r u l e s i n the WDYYB game s t r u c t u r e , no e x c e p t i o n s were p r i n t e d . The r e m a i n i n g u t t e r a n c e s i n the c o n v e r s a t i o n f o l l o w the same type of a n a l y s i s . The summary a t the end of the d i a l o g u e r e p r i n t s the sentences of each speaker and the c o r r e s p o n d i n g s o c i a l and deep l e v e l s of the ego s t a t e s found i n any game. N o t i c e t h a t i f no game had been found, the deep ego s t a t e l e v e l s c o u l d not have been p r i n t e d . F i n a l l y , the name of the game p r e s e n t a t the end of the c o n v e r s a t i o n i s p r i n t e d , i f one e x i s t s . For t h i s example, the game WDYYB was p r e s e n t throughout the d i a l o g u e . The second example shows what happens when the c o n d i t i o n s f o r r e c o g n i z i n g two games a r e almost the same. Both the games WDYYB and "Why d i d you - No but " or YDNB have t h e same type of opening s e n t e n c e . When the second sentence i s r e a d , however, t h i s c o n f l i c t i s r e s o l v e d . To s i m p l i f y r e a d i n g the r e s u l t s , many of the c o n v e r s a t i o n s t e s t e d were o n l y two sen t e n c e s l o n g . 79 < - a n a l y s e ( 6 ) . why dont you g i v e him the i n f o r m a t i o n . * New Game = WDYYB w i t h g l o b a l s o c i a l l e v e l s : speaker 1 = a d u l t speaker 2 = a d u l t L i n g u i s t i c A n a l y s i s V e r b : t r a n s f e r agent:you r e c i p : h i m p a t i e n t : i n f o r m a t i o n SUMMARY OF PARSE VARIABLES INTERROGATIVE = T TENSE = p r e s e n t AUX = do NEGATIVE = not (lS-why?(you t r a n s f e r him ( i n f o r m a t i o n ) )) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS ADULT = why SENTENCE MAY HAVE SOCIAL LEVEL = a d u l t . no but i was t a l k i n g t o him. * * C o n f l i c t , O l d Game = WDYYB New Game = YDNB w i t h g l o b a l s o c i a l l e v e l s : speaker 1 = a d u l t speaker 2 = a d u l t L i n g u i s t i c A n a l y s i s V e r b : t a l k a g e n t : i r e c i p : h i m SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p a s t p r o g r e s s i v e AUX = was NEGATIVE = no (no ( i t a l k him )) 8 0 P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS No keyword i n d i c a t o r s in t h i s sentence PARSE COMPLETE. - - SPEAKER1 (TH) ~ why dont you g i v e him the i n f o r m a t i o n SOCIAL LEVEL = a d u l t DEEP LEVEL = p a r e n t — SPEAKER2 (P) no but i was t a l k i n g to him SOCIAL LEVEL = a d u l t DEEP LEVEL = c h i l d GAME YDNB FOUND - Why d i d you _ No but a n a l y s e ( 6 ) < -In t h i s second t e s t d i a l o g u e , the f i r s t speaker may have been t r y i n g to s t a r t e i t h e r of the games YDNB or WDYYB or i n f a c t , may have been s i m p l y a s k i n g a q u e s t i o n w i t h no thought of t r y i n g to en ter any T r a n s a c t i o n a l A n a l y s i s game. F o l l o w i n g speaker one, however, speaker two responds w i t h a sentence t h a t c o n f i r m s that YDNB i s the game to be p l a y e d . The f i r s t sentence i s a n a l y s e d the same way as the f i r s t sentence of the p r e v i o u s example i n t h a t WDYYB i s thought to be the T . A . game p r e s e n t . U s i n g word m a t c h i n g , the program c o u l d have chosen YDNB as the c u r r e n t game but PROLOG w i l l chose axioms i n the order i n which they are e n t e r e d i n the da tabase , and as shown i n Appendix D, the WDYYB game s t r u c t u r e i s e n t e r e d b e f o r e tha t of YDNB. S i n c e the f i r s t sentence of both games can be s i m i l a r , i t i s not u n t i l the second sentence i s t e s t e d that 81 the c o n f l i c t i s r e s o l v e d . The t h i r d example i n t h i s c h a p t e r i l l u s t r a t e s the t e r m i n a t i o n of a T.A. game such t h a t a t the end of the c o n v e r s a t i o n , no game i s p r e s e n t . The p a r t i c u l a r game found i s ICBYSOB or 'I Can Beat You a t Your Own Game You SOB'. The second u t t e r a n c e of speaker two i n d i c a t e s t h a t the game i s t o be d i scont i n u e d . <-analyse(7) . we need t o d i s c u s s the r e p o r t . * New Game = ICBYSOB w i t h g l o b a l s o c i a l l e v e l s : speaker 1 = a d u l t speaker 2 = a d u l t L i n g u i s t i c A n a l y s i s V e r b : t a l k agent:we t o p i c : r e p o r t SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p r e s e n t (we.need (we t a l k ( r e p o r t ) )) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS No keyword i n d i c a t o r s i n t h i s sentence i w i l l do my own work. L i n g u i s t i c A n a l y s i s Verb:do a g e n t : i r e c i p : w o r k SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p r e s e n t 82 MODAL = w i l l ( i do (own work ) ) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS No keyword i n d i c a t o r s i n t h i s sentence now we must t a l k about your work. L i n g u i s t i c A n a l y s i s V e r b r t a l k agentrwe t o p i c r w o r k SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p r e s e n t MODAL = must (now (we t a l k (work ) )) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS C PARENT = must SENTENCE MAY HAVE SOCIAL LEVEL = a d u l t . what do you want t o know. L i n g u i s t i c A n a l y s i s Verbrknow agent:you SUMMARY OF PARSE VARIABLES INTERROGATIVE = T TENSE = p r e s e n t AUX = do (IS-what?(you.want (you know ) ) ) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS ADULT = what F CHILD = want SENTENCE MAY HAVE SOCIAL LEVEL = a d u l t . 83 * * TA GAME - ICBYSOB STOPPED PARSE COMPLETE. - - SPEAKER1 ( B O S S ) - -we need to d i s c u s s the r e p o r t now we must t a l k about your work SOCIAL LEVEL = a d u l t - - SPEAKER2 (Emp) ~ i w i l l do my own work what do you want to know SOCIAL LEVEL = a d u l t NO GAME PRESENT a n a l y s e ( 7 ) < -The employer 'Boss ' beg ins the game ICBYSOB by wanting to d i s c u s s something and the employee 'Emp' i s at f i r s t d e f i a n t but l a t e r d e c i d e s to be obed ient so the game i s s t o p p e d . A g a i n , the game, here ICBYSOB, i s d i s c o v e r e d by matching the words of the f i r s t u t t e r a n c e a g a i n s t the game s t r u c t u r e s . The next two sentences obey the r u l e s that show tha t ICBYSOB i s presen t but a problem occurs wi th the l a s t s en tence . The c l a u s e type r u l e s f o r the game ICBYSOB show t h a t speaker two must use n o n i n t e r r o g a t i v e sentences c o n t a i n i n g the modal " w i l l " of the form @ i . # v e r b . N I L or the word "I" f o l l o w e d by a v e r b . S i n c e the l a s t sentence does not f o l l o w t h i s p a t t e r n , the game i s s topped and no game i s present at the end of the c o n v e r s a t i o n . For more examples of the system in o p e r a t i o n , turn to Appendix G . I n c l u d e d there are sample c o n v e r s a t i o n s that c o n t a i n no games, c o n v e r s a t i o n s where the game i s r e c o g n i z e d 84 o t h e r than by word matching, or v a r i o u s c o m b i n a t i o n s of the o t h e r games t h a t the system knows about. In g e n e r a l , the system seems t o work w e l l on the T r a n s a c t i o n a l A n a l y s i s model f o r which i t was d e s i g n e d . The main t h i n g t o c o n s i d e r when t e s t i n g the program on a d d i t i o n a l game typ e s i s t h a t the game s t r u c t u r e s f o r each game must be d i f f e r e n t i n some way from every o t h e r game. I t i s t h i s u niqueness t h a t i d e n t i f i e s each game and p e r m i t s the p a r s e r t o p r e d i c t the c o n t e n t s of a d d i t i o n a l s e n t e n c e s . The more g e n e r a l problems i n v o l v e d i n the approach of u n d e r s t a n d i n g a d i a l o g u e p s y c h o l o g i c a l l y as an a i d i n l i n g u i s t i c p a r s i n g a re d i s c u s s e d i n the next c h a p t e r . 85 CHAPTER 6 C o n c l u s i o n One of the areas n e g l e c t e d in the attempt to unders tand n a t u r a l language d i a l o g u e i s the p s y c h o l o g i c a l import of an u t t e r a n c e . The l a c k of consensus amongst p s y c h o l o g i s t s as to what i s , or d e t e r m i n e s , p s y c h o l o g i c a l meaning i s one reason t h i s type of a n a l y s i s has been m i s s i n g . However, s i n c e p s y c h o l o g i c a l content can a f f e c t the o v e r a l l meaning of a s entence , some c o n s i d e r a t i o n s h o u l d be made to i n c l u d e p s y c h o l o g i c a l theory as p a r t of sentence p a r s i n g in c o n v e r s a t i o n . Some of the c u r r e n t p s y c h o l o g i c a l t h e o r i e s depend on the a c t u a l words s a i d or the meaning of a sentence or b o t h . T h i s means tha t any system i n c l u d i n g such t h e o r i e s would have to be c o n s t r u c t e d so tha t the p s y c h o l o g i c a l t e s t i n g can be done at v a r i o u s s tages of p a r s i n g . T h i s t h e s i s i s an at tempt to b u i l d a system upon which p s y c h o l o g i c a l a n a l y s i s c o u l d be added . However, we must be c a r e f u l when a d d i n g more l e v e l s of a n a l y s i s tha t t h e r e i s not a c o r r e s p o n d i n g i n c r e a s e in program i n e f f i c i e n c y or c o m p l e x i t y . One example of add ing more a n a l y s i s i n t h i s system i s the s t ep where the program scans the sentence for T r a n s a c t i o n a l A n a l y s i s ego s t a t e keyword i n d i c a t o r s and for phrases p a r t i c u l a r to games. I f t h i s i s done a t the same time as the scan for i d i o m a t i c p h r a s e s , then a l l word and phrase scanning can be done at once . 86 An a r e a where f u r t h e r work can be done i n the l i n g u i s t i c a n a l y s i s component of the program i s i n the c h o i c e of a p r i m i t i v e s e t of v e r b s . The system c u r r e n t l y uses a s e t of v e r b s chosen m o s t l y i n an ad hoc manner but i d e a s such as Schanks's p r i m i t i v e ACTS c o u l d be used. Schank's ACTs by themselves are not a l a r g e enough number of v e r b s because some of the T.A. games a r e i d e n t i f i e d u s i n g s p e c i f i c t y p e s of v e r b s and the g e n e r a l i z e d ACTs do not c o n t a i n enough d e t a i l . The v e r b s chosen f o r the system seem t o be s u f f i c i e n t but i f the number of v e r b s grows, the s e l e c t i o n of a p r i m i t i v e v e r b s e t would p r o b a b l y have t o be made more f o r m a l . The d i v e r s i t y of spoken language has a l s o caused problems i n the system. D i a l o g u e c o n t a i n s more i d i o m a t i c p hrases and i n c o m p l e t e sentences than w r i t t e n t e x t . F or example, the p h r a s e , " I f i t weren't f o r you," i s i d i o m a t i c but i t i s d i f f i c u l t t o f i n d an e q u i v a l e n t n o n - i d i o m a t i c phrase t h a t means the- same t h i n g . C u r r e n t l y the system j u s t t r a n s l a t e s the phrase i n t o c l a u s e form d i r e c t l y w i t h o u t any attempt a t s i m p l i f y i n g . Adding the c a p a b i l i t y t o p r o c e s s i n c o m p l e t e s e n t e n c e s , such as i n the Hayes and M o u r i d i a n system (Hayes and M o u r i d i a n 1981), would ensure t h a t more se n t e n c e s c o u l d be p a r s e d c o r r e c t l y . The a d d i t i o n of more r u l e s a t the c l a u s e l o c a t i o n s t e p of the p a r s i n g i s an easy t a s k and would a l l o w more i n c o m p l e t e s e n t e n c e s t o be a c c e p t e d but t h e r e would have t o be r o u t i n e s t o s o l v e the a d d i t i o n a l anaphora r e f e r e n c e problems t h a t would o c c u r . One o t h e r area f o r p o s s i b l e e x t e n s i o n s i s b e t t e r use of the 87 T r a n s a c t i o n a l A n a l y s i s game s t r u c t u r e v a r i a b l e s . Each game has v a r i a b l e s a s s o c i a t e d w i t h i t t h a t d e s c r i b e c o n d i t i o n s on the c l a u s e form of the two s p e a k e r s ' u t t e r a n c e s . I f the c o n d i t i o n s are not met, then the p a r t i c u l a r game i s not p r e s e n t . The c o n d i t i o n s t o be matched are of f o u r t y p e s ; e x a c t word matches, word c l a s s t y p e s , sentence v a r i a b l e e q u a l i t i e s , and something t h a t has l o o s e l y been c a l l e d s entence t y p e . At the moment, sentence type means t h a t the sentence i s i n t e r r o g a t i v e , i m p e r a t i v e , or d e c l a r a t i v e and t h e r e i s a r o u t i n e c a l l e d by the c o n d i t i o n matcher t o i d e n t i f y the s p e c i f i c sentence t y p e . T h i s sentence type v a r i a b l e c o u l d be extended t o i n c l u d e o t h e r f e a t u r e s of sentences not n e c e s s a r i l y c a p t u r e d by the c l a u s e type c o n d i t i o n s of e x a c t words or word c l a s s e s . For example, some p h r a s e s have a s o r t of r e a l w o r l d s o c i a l o r p s y c h o l o g i c a l knowledge t h a t most peop l e would i n t e r p r e t the same way.- I f a p erson asks a r e a s o n a b l e r e q u e s t and someone e l s e responds w i t h , "I won't do i t " , then t h a t p e r s o n i s b e i n g p e t u l a n t and u n c o o p e r a t i v e . T h i s type of a n a l y s i s c o u l d be added t o the system t o i d e n t i f y more ty p e s of games. There i s , however, a l i m i t on the number of T.A. games i n e x i s t e n c e and of t h e s e games, some must be e l i m i n a t e d because they a r e i d e n t i f i e d by p h y s i c a l a c t i o n s and tone of v o i c e . T h i s p r e s e n t s the q u e s t i o n of whether or not T r a n s a c t i o n a l A n a l y s i s i s a good t e c h n i q u e f o r d e t e r m i n i n g p s y c h o l o g i c a l meaning i n a c o n v e r s a t i o n . T.A. i s a method t h a t , a l t h o u g h easy t o i n c o r p o r a t e i n a program, i s not a l l t h a t i t s h o u l d be. Not a l l p s y c h o l o g i s t b e l i e v e t h a t T r a n s a c t i o n a l A n a l y s i s i s the 88 answer and a t the moment i t i s out of s t y l e as an a n a l y s i s t e c h n i q u e . In s p i t e of t h i s , T.A. can be, and i s , used i n some c i rcumstances. T h i s t h e s i s has shown t h a t T.A. can be added t o g e n e r a l l i n g u i s t i c a n a l y s i s as a p s y c h o l o g i c a l a n a l y s i s method. Most o t h e r p s y c h o l o g i c a l d i a l o g u e a n a l y s i s t e c h n i q u e s are not w e l l d e f i n e d or seem t o be the r e s u l t of i n t u i t i o n and cannot be d e s c r i b e d f o r m a l l y enough t o add t o a computer program. S i n c e T.A. has been used s u c c e s s f u l l y by t h e r a p i s t s , i t must have some v a l i d i t y , and so i s a r e a s o n a b l e c h o i c e as an a n a l y s i s t e c h n i q u e t o demonstrate a way of f i n d i n g p s y c h o l o g i c a l meaning. A l t h o u g h the system has a few l i n g u i s t i c problems, some of which are caused by the wide v a r i a t i o n i n c o n v e r s a t i o n a l sentence form, the g e n e r a l d e s i g n of the program makes the a d d i t i o n of the p s y c h o l o g i c a l u n d e r s t a n d i n g method q u i t e easy. J u s t as s y n t a c t i c and semantic p a r s i n g a r e dependant on one a n o t h e r , p s y c h o l o g i c a l meaning a l s o seems t o be dependant on them. U s i n g T r a n s a c t i o n a l A n a l y s i s a l s o means t h a t f u r t h e r u t t e r a n c e s of a s m a l l s e t of c o n v e r s a t i o n s can be p r e d i c t e d . The p s y c h o l o g i c a l meaning of an u t t e r a n c e i s i m p o r t a n t because i t sometimes shows the reason f o r s a y i n g a p a r t i c u l a r s e n t e n c e . For example, i n the T.A. game "Why Don't You - Yes But", the second speaker i s not r e a l l y i n t e r e s t e d i n h e a r i n g the f i r s t s p e aker's s u g g e s t i o n s but j u s t wants t o t u r n down s u g g e s t i o n s . When such a s i t u a t i o n a r i s e s i n the c o n v e r s a t i o n , the f i r s t speaker s h o u l d r e a l i z e t h a t h e l p i s not r e a l l y wanted. In a computer system where the computer i s h e l p i n g the u s e r , (as 89 i n L e v i n and Moore 1977), the computer s h o u l d r e a l i z e t h a t a user wanting t o p l a y the game WDYYB does not want h e l p and t h a t another t a c t i c s h o u l d be t r i e d . I f the p s y c h o l o g i c a l meaning of an u t t e r a n c e i s known, then t h a t meaning s h o u l d be responded t o i n s t e a d of the l i t e r a l meaning. In another example, n a t u r a l language i n t e r f a c e s f o r d a t a b a s e s , b e i n g a b l e t o r e c o g n i z e some p s y c h o l o g i c a l c l u e s may be h e l p f u l i n d e t e r m i n i n g what the user r e a l l y wants. The programming language used f o r d e v e l o p i n g the system a l s o p l a y s an i m p o r t a n t r o l e . The language PROLOG, based on sy m b o l i c l o g i c , has been used f o r s y m b o l i c i n t e g r a t i o n , p l a n f o r m a t i o n , c o m p i l e r d e s i g n , d a t a base d e s c r i p t i o n and query, e x p e r t systems, and n a t u r a l language. The p a t t e r n matching i n PROLOG makes i t e s p e c i a l l y u s e f u l f o r n a t u r a l language systems t h a t use p a t t e r n s and f o r matching exact words or c l a u s e t y p e s as done i n the p s y c h o l o g i c a l a n a l y s i s s e c t i o n . The depth f i r s t s e a r c h w i t h a u t o m a t i c f a i l u r e d r i v e n b a c k t r a c k i n g d i r e c t s the c h o i c e s i n p a r s i n g so t h a t the o n l y worry i s the o r d e r i n which c l a u s e s a r e w r i t t e n . S i n c e PROLOG chooses c l a u s e s i n the o r d e r i n which they a r e e n t e r e d , the c l a u s e s t h a t a r e most l i k e l y t o be chosen s h o u l d be e n t e r e d f i r s t f o r e f f i c i e n c y r e a s o n s . O v e r a l l , the language PROLOG i s easy t o use, c o n t a i n s f e a t u r e s t h a t were u s e f u l , and seems t o run v e r y e f f i c i e n t l y . The c o n v e r s a t i o n a n a l y s e s d i d not tak e v e r y l o n g and the poor garbage c o l l e c t i o n i n MTS PROLOG d i d not become a f a c t o r i n u s i n g up the a v a i l a b l e space u n t i l s e v e r a l c o n v e r s a t i o n s had been t e s t e d . 90 Many of the c u r r e n t t e c h n i q u e s i n a n a l y z i n g c o n v e r s a t i o n s a l s o use the language PROLOG. Warren and P e r e i r a ' s newest system, (Warren and P e r e i r a 1982), uses PROLOG t o t r a n s l a t e E n g l i s h language q u e r i e s t o a l o g i c r e p r e s e n t a t i o n t h a t i s i n f a c t PROLOG. For a c c e s s i n g d a t a b a s e s and answering q u e r i e s , t h i s i s a good i d e a t h a t i s s i m p l e t o implement. One e x t e n s i o n t o the program f o r t h i s t h e s i s c o u l d be cha n g i n g the c u r r e n t c l a u s a l l o g i c r e p r e s e n t a t i o n t o a PROLOG l o g i c r e p r e s e n t a t i o n . Some systems a r e even d e v e l o p i n g s p e c i a l i z e d grammars j u s t f o r p a r s i n g d i a l o g u e . Robinson's DIAGRAM (Robinson 1982) i s one such grammar. There a r e so many problems t h a t a r e s p e c i f i c t o a n a l y z i n g c o n v e r s a t i o n s , t h a t u s i n g p a r s i n g t e c h n i q u e s d e v e l o p e d s o l e l y f o r d i a l o g u e s may be what has t o be done. The presence of problems i n a n a l y z i n g d i a l o g u e s , however, does not mean t h a t e x t r a a n a l y s i s , such as t h a t f o r p s y c h o l o g i c a l meaning, s h o u l d not be i n c l u d e d . 91 B i b l i o g r a p h y Anderson, John and Bower, Gordon. Human Assoc i a t i v e Memory, V.H. Winston & Sons, I n c . , Washington, 1975. Anderson, John R. Language, Memory and Thought, Lawrence Erblaum A s s o c i a t e s , 1976. Berne, E r i c . 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L i s t s a r e r e p r e s e n t e d by a s t r i n g w i t h the elements s e p a r a t e d by p e r i o d s as i n "a.b.c.NIL", and v a r i a b l e s a r e r e p r e s e n t e d w i t h an a s t e r i s k i n f r o n t as i n "X", where X i s the v a r i a b l e . Any o t h e r s p e c i a l symbols have been i n t r o d u c e d as o p e r a t o r s and w i l l be d e s c r i b e d l a t e r . T r a n s a c t i o n a l A n a l y s i s Key Words The T r a n s a c t i o n a l A n a l y s i s keyword d i c t i o n a r y l i s t s the key word or words used t o i n d i c a t e p o s s i b l e ego s t a t e l e v e l s . The ego s t a t e s a r e P a r e n t , A d u l t , and C h i l d w i t h the Pa r e n t and C h i l d ego s t a t e s f u r t h e r d i v i d e d i n t o C o n t r o l l i n g P a r e n t , N u r t u r i n g P a r e n t , Free C h i l d , and Adapted C h i l d . 97 /**********************^ /* T.A. keyword d i c t i o n a r y */ /* a d u l t c l u e s */ PSYCHWORD(adult,what). PSYCHWORD(adult,why). PSYCHWORD(adult,where) . PSYCHWORD(adult,when). PSYCHWORD(adult,who) . PSYCHWORD(adult,how) . PSYCHWORD(adult,comparative). PSYCHWORD(adult,true) . PSYCHWORD(adult,false) . PSYCHWORD(adult,probable). PSYCHWORD(adult,possible). PSYCHWORD(adult,unknown). PSYCHWORD(adult,objective). PSYCHWORD(adult,correct). P S Y C H W O R D ( a d u l t , p r a c t i c a l ) . PSYCHWORD(adult,quantity). PSYCHWORDS(adult,how.much.NIL). PSYCHWORDS(adult,in.what.way.NIL). PSYCHWORDS(adult,i.think.NIL). PSYCHWORDS(adult,i.see.NIL). PSYCHWORDS(adult,it.is.my.opinion.NIL). /* c o n t r o l l i n g p a r e n t c l u e s */ PSYCHWORD(cparent,bad). PSYCHWORD(cparent,should). PSYCHWORD(cparent,ought). PSYCHWORD(cparent,must). PSYCHWORD(cparent,always). PSYCHWORD(cparent,never). PS Y C H W O R D ( c p a r e n t , r i d i c u l o u s ) . /* n u r t u r i n g p a r e n t c l u e s */ PSYCHWORD(nparent,good). PSYCHWORD(nparent,nice). PSYCHWORD(nparent,cute). PSYCHWORD(nparent,splendid). PSYCHWORD(nparent,tender). PSYCHWORDS(nparent,i.love.you.NIL). PSYCHWORDS(nparent,now.always.remember.NIL). P S Y C H W O R D S ( n p a r e n t , i . c a n n o t . f o r . t h e . l i f e . o f . m e . N I L ) . PSYCHWORDS(nparent,once.and.for.all.NIL). /* f r e e c h i l d c l u e s */ PSYCHWORD(fchild,wow). PSYCHWORD(fchild,fun). PSYCHWORDUchild,want) . PSYCHWORD(fchild,wont). PSYCHWORD(fchild,ouch). PSYCHWORD(fchild,hi). /* adapted c h i l d c l u e s */ PSYCHWORD(achild,cannot). PSYCHWORD(achild,wish). PSYCHWORD(achild,try). PSYCHWORD(achild,hope). PSYCHWORD(achiId,please). PSYCHWORD(achild,big). PSYCHWORD(achild,bigger). PSYCHWORD(achild,better). PSYCHWORD(achild,best) . PSYCHWORDS(achiId,i.guess.NIL). PSYCHWORDS(achiId,thank.you.NIL). PSYCHWORDS(achild,when.i.grow.up.NI PSYCHWORDS(achiId,i.wish.NIL). PSYCHWORDS(achild,i.want.NIL). PSYCHWORDS(achiId,i.dunno.NIL). PSYCHWORDS(achiId,i.gonna.NIL). 99 APPENDIX B More About T.A. Games T h i s appendix l i s t s the T r a n s a c t i o n a l A n a l y s i s games used i n the t h e s i s program, t h e i r a n a l y s i s , and sample d i a l o g u e s t y p i f y i n g the game. The game WDYYB i s not i n c l u d e d as a d e t a i l e d d e s c r i p t i o n of i t i s c o n t a i n e d i n c h a p t e r 3. The f i r s t game " A i n ' t i t W o n d e r f u l " i s c o n s i d e r e d a "good" game because no speaker has a motive of " g e t t i n g " the o t h e r speaker. The r e m a i n i n g games a r e c o n s i d e r e d bad games. A i n t ' t It Wonderful (AIW) The respondant f i n d s a good p o i n t i n a n y t h i n g . Ex. I f the l i g h t s go o u t , says " A i n t ' t i t w o n d e r f u l , now we can r e s t our eyes." S o c i a l L e v e l : A -> A P s y c h o l o g i c a l L e v e l : C -> C I_ Can Beat You a t Your Own Game, You SOB (ICBYSOB) The respondant i s s e e k i n g r e a s s u r a n c e by s a y i n g t h a t the f i r s t speaker i s not b e t t e r / t o u g h e r / s m a r t e r . Ex 1 . I can do t h a t b e t t e r than you. 2. E n v i o u s spouse, peer group. S o c i a l Paradigm: A -> A A: We need t o d i s c u s s what I've worked o u t . 100 A: S i n c e i t i s r e l a t e d t o my . i n t e r e s t s , I ' l l do i t . P s y c h o l o g i c a l Paradigm: C -> C C: You're not b e t t e r than me, ha-ha. C: Yes, you're r i g h t . I'm not b e t t e r than you. I_ R e a l l y Know the Answer, But (IRKTAB) The respondant i s s e e k i n g r e a s s u r a n c e by s a y i n g t h a t he/she has a l l the answers. Ex 1. I know where i t i s , but I won't t e l l you. 2. I c a n ' t t e l l you u n t i l . . . S o c i a l Paradigm: A -> A A: The answer i s not a v a i l a b l e u n t i l . . . A: C o u l d you p l e a s e e l a b o r a t e on t h a t . P s y c h o l o g i c a l Paradigm: P -> C P: You are unworthy of b e n e f i t t i n g from my s u p e r i o r a b i l i t y . C: I knew you were g o i n g t o l e t me down. Now I've Got You, SOB (NIGYSOB) T h i s game i s p l a y e d by someone who i n t e r a c t s w i t h another i n a r e a s o n a b l e way u n t i l a moment of c l i m a x when he s w i t c h e s t a c t i c s and says "Now I've got you...", "I knew you would...", or something s i m i l a r . At t h i s time the p l a y e r c o l l e c t s some f e e l i n g of p a y o f f or t r i u m p h . T h i s game i s c l o s e l y r e l a t e d t o ICBYSOB. S o c i a l L e v e l : A -> A P s y c h o l o g i c a l L e v e l : P -> A 101 It it Weren't For You (IWFY) The aim of the game i s most commonly reas surance but sometimes i s v i n d i c a t i o n . The game p l a y e r s are u s u a l l y a m a r r i e d c o u p l e . Ex 1. I t ' s not that I'm a f r a i d , i t ' s that he won't l e t me go. 2. I t ' s not t h a t I'm not a f r a i d , i t ' s tha t he h o l d s me back . S o c i a l Paradigm: P -> C P: You s tay home and take care of the house . C : I f i t weren't for you , I c o u l d be h a v i n g f u n . P s y c h o l o g i c a l Paradigm: C -> C C : You must always be here when I get home. I'm a f r a i d of d e s e r t i o n . C : I w i l l be i f you h e l p me a v o i d phobic s i t u a t i o n s . Why D i d You - No But (YDNB) As the name sugges t s , YDNB i s c l o s e l y r e l a t e d to the game "Why D o n ' t You - Yes But" . IN YDNB, however, i t i s the Parent who e v e n t u a l l y wins and the C h i l d who r e t i r e s in c o n f u s i o n . The person r e c e i v i n g the sugges t ions w i l l immediate ly accept the ideas and i t i s on ly when he i s deep ly i n v o l v e d that the sugges ter p e r c e i v e s that i s be ing t u r n e d a g a i n s t . S o c i a l L e v e l : A -> A P s y c h o l o g i c a l L e v e l : P -> C 1 02 APPENDIX C L i s t of Cases The f o l l o w i n g i s a l i s t of the cases used, w i t h examples showing the case i n q u e s t i o n u n d e r l i n e d . Those cases which a re i d e n t i f i e d by p a r t i c u l a r p r e p o s i t i o n s w i l l have those p r e p o s i t i o n s l i s t e d . Some of the examples a re from Lewis C a r o l l ' s " A l i c e i n Wonderland" or i n s p i r e d by the t e x t i n the book. Agent The wind c a l l e d h i s name. The Queen of H e a r t s , she made some t a r t s . The t a r t s were s t o l e n by the Knave of H e a r t s . "Why i s a raven l i k e a w r i t i n g - d e s k ? " Tara i s the a n c i e n t home of I r i s h k i n g s . P a t i e n t The e l e g a n t c a t t r i e d on a r h i n e s t o n e - s t u d d e d c o l l a r . The e l v e s grew g i g a n t i c mushrooms i n the woods. "Do c a t s eat b a t s ? " The l e p r e c h a u n by the f i r e was r e a d i n g the Book of K e l l s • P r e p s : a f t e r , on 1 03 L o c a t i o n The master says you've t o go down the chimney. Suddenly a White R a b b i t w i t h p i n k eyes ran c l o s e by_ h e r . There i s a l o v e l y beach near the r i v e r . They v e r y soon came upon a Gryphon, l y i n g f a s t a s l e e p i n the sun. P r e p s : a t , b e f o r e , b e s i d e , by, down, i n , n e a r , on, under, up, upon Time The Duchess took her c h o i c e , and was gone in a moment. "I wonder how many m i l e s I've f a l l e n by_ t h i s t i m e ? " she s a i d a l o u d . D u r i n g t e a t i m e , the c h i l d r e n p l a y e d w i t h the dogs. A f t e r w a t c h i n g i t a minute or two, she made i t out t o be a gr i n . P r e p s : about, a f t e r , a t , b e f o r e , by, d u r i n g , i n , n e a r , when, whi l e R e c i p i e n t She was g o i n g t o g i v e the hedgehog a blow w i t h i t s head. The V i k i n g s gave I r e l a n d the i d e a of c o i n a g e . She p i c k e d up a l i t t l e b i t of s t i c k , and h e l d i t out t o the puppy • P r e p s : f o r , t o 1 04 Source She took down a j a r from one of the s h e l v e s as she p a s s e d . . . An i n v i t a t i o n from the Queen to p l a y c r o q u e t . The s i l v e r s h i p shot down from the sky . P r e p s : from Pest i n a t i o n . . . t h e next t h i n g i s , to get i n t o that b e a u t i f u l g a r d e n . . . . . a n d soon found h e r s e l f sa fe in a t h i c k wood. A l i c e c lambored onto the mushroom. P r e p s : a t , b e s i d e , i n , i n t o , on , o n t o , t o , wi th P u r a t ion . . . s h e had grown so l a r g e j_n the l a s t few minutes that she wasn't a b i t a f r a i d of i n t e r r u p t i n g him. The rainbow wai ted for an hour be fore l e a v i n g . P r e p s : f o r , i n Instrument She opened the garden gate wi th a l a r g e golden key. You f i n d some c h i l d r e n d i g g i n g i n the sand w i t h wooden spades . The Queen s t r u c k the hedgehog wi th a f l a m i n g o . P r e p s : wi th Manner They l e f t j__n a h u r r y . The t i g e r s t r i p e d c a t l a s h e d ...and th e poor l i t t l e t h i n g m e l a n choly way. P r e p s : by, i n , w i t h 1 05 i t s t a i l w i t h menace. was waving h i s t a i l about i n a Co-agent "The reason i s " , s a i d the Gryphon, " t h a t they would go w i t h  the l o b s t e r s t o the dance." The man w i t h h i s dog ran around the s e a w a l l . ...the g r e a t h a l l , w i t h the g l a s s t a b l e and the l i t t l e  d oor, had v a n i s h e d c o m p l e t e l y . P r e p s : w i t h T o p i c " T e l l her something about the games now." L a s t n i g h t I dreamt of c a n d l e s t i c k s and marshmallows. . . . t h i n k i n g of l i t t l e A l i c e and a l l her w o n d e r f u l  A d v e n t u r e s . . . P r e p s : about, o f , t o 1 06 D e s c r i p t i o n (A case of the noun) There was a t a b l e s e t out under a t r e e i n f r o n t of the  house. Read me the s t o r y of A l i c e i n Wonderland. The C e l t s of I r e l a n d were a hardy r a c e . P r e p s : a f t e r , a t , b e f o r e , by, from, i n , n e a r , o f , on, under, w i t h 1 07 Case Table Used i n Program The case t a b l e c o n t a i n s the p r e p o s i t i o n s and the p o s s i b l e cases t h a t they i n d i c a t e and i s used i n d e t e r m i n i n g what cases the v e r b can t a k e . The case t y p e s f o r each p r e p o s i t i o n a r e o r d e r e d i n a l i s t w i t h the most l i k e l y t y pes o r d e r e d f i r s t so t h a t , on average , t h i s p a r t of the program w i l l run f a s t e r than i f the ty p e s were o r d e r e d a r b i t r a r i l y . :***********/ '/* C a s e t a b l e i s a l i s t of p r e p o s i t i o n s */ /* and t h e i r p o s s i b l e c a s e s . T h i s i s */ /* used t o d i s a m b i g u a t e p o s s i b l e */ /* ve r b case meanings. */ CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE CASETABLE a b o u t , t i m e . t o p i c . N I L ) . a f t e r , t i m e . d e s c . p a t i e n t . N I L ) . a t , l o c . d e s c . t i m e . d e s t n . N I L ) . b e f o r e , t i m e . l o c . d e s c . N I L ) . b e s i d e , l o c . d e s t n . N I L ) . b y , l o c . d e s c . t i m e . a g e n t . i n s t r . m a n n e r . N I L ) . d o w n , l o c . N I L ) . d u r i n g , t i m e . N I L ) . f o r , r e c i p . d u r a t i o n . N I L ) . f r o m , s o u r c e . d e s c . N I L ) . i n , l o c . t i m e . d e s c . m a n n e r . d e s t n . d u r a t i o n . N I L ) . i n t o , d e s t n . N I L ) . n e a r , l o c . d e s c . t i m e . N I L ) . o f , d e s c . t o p i c . N I L ) . o n , l o c . d e s c . d e s t n . p a t i e n t . N I L ) . o n t o , d e s t n . N I L ) . t o , r e c i p . d e s t n . t o p i c . N I L ) . u n d e r , l o c . d e s c . N I L ) . u p , l o c . N I L ) . u p o n , l o c . N I L ) . when,time.NIL). w h i l e , t i m e . N I L ) . w i t h , c o a g e n t . i n s t r . w i t h . m a n n e r . d e s c . d e s t n . N I L ) 108 APPENDIX D T.A. Game S t r u c t u r e s The f o l l o w i n g T r a n s a c t i o n a l A n a l y s i s game forms a r e of the type d i s c u s s e d i n Chapter 4 . The game s t r u c t u r e i n c l u d e s the ego s t a t e l e v e l s and v a r i o u s c o n d i t i o n s or c l u e s about the game f o r the two s p e a k e r s . The f u l l names of the games are l i s t e d i n the GNAME v a r i a b l e s . G A M E ( W D Y Y B , a d u l t , a d u l t , p a r e n t , c h i l d , why.dont.you.NIL,yes.but.NIL, @you.#verb.NILjINTERROGATIVE=Tj NIL, INTERROGATIVE=FjNEGATIVE=notJADVERB=yes|CONJ = but j N I L ) . G A M E ( I W F Y , p a r e n t , c h i I d , c h i I d , c h i l d , N I L , i f . i t . w e r e n t . f o r . y o u . N I L , % i m p e r a t i v e j N I L , @it. @is.@you.NIL|CONJ=if|INTERROGATIVE=F|NEGATIVE=notj N I L ) . G A M E ( Y D N B , a d u l t , a d u l t , p a r e n t , c h i I d , why.did.you.NIL,no.but.NIL, @you.#verb.NILjINTERROGATIVE=T|NIL, INTERROGATIVE=Fj NEGATIVE=no|CONJ = b u t | N I L ) . G A M E ( N I G Y S O B , a d u l t , a d u l t , a d u l t , p a r e n t , NIL,i.knew.you.would.NILjnow.i.have.got.you.NIL, INTERROGATIVE=F|@i.#verb.NIL|NIL, INTERROGATIVE=F{ADVERB=now j@i.#verb.@you.NIL|NIL). G A M E ( I R K T A B , a d u l t , a d u l t , p a r e n t , c h i I d , t h e . a n s w e r . i s . n o t . N I L j i . c a n t . g i v e . y o u . t h e . a n s w e r . N I L , c o u l d . y o u . p l e a s e . N I L , NEGATIVE=not|INTERROGATIVE=f J@answer.NIL|NIL, INTERROGATIVE=T|MODAL=could|@you.#verb.NILj N I L ) . 109 G A M E ( I C B Y S O B , a d u l t , a d u l t , c h i l d , c h i l d , w e . n e e d . t o . d i s c u s s . N I L j w e . m u s t . t a l k . a b o u t . N I L , i . w i l l . d o . N I L , INTERROGATEVE=F J @we.#verb.NIL|NIL, INTERROGATIVE=F J MODAL=wi111@i.#verb.NIL|NIL). /* A "good" game. */ G A M E ( A l W , a d u l t , a d u l t , c h i l d , c h i l d , NIL,now.we.can.NIL, INTERROGATIVE=F[fnoun.NILj NIL, INTERROGATIVE=F j@we.#verb.NILj MODAL=can|NIL). /* Long form of game names. */ GNAME(WDYYB,'Why dont you _ Yes b u t ' ) . GNAME(IWFY,'If i t werent f o r y o u ' ) . GNAME(YDNB,'Why d i d you _ No b u t ' ) . GNAME(NIGYSOB,'Now I''ve Got You SOB'). GNAME(AIW,'Ain''t i t W o n d e r f u l ' ) . GNAME(IRKTAB,'I R e a l l y Know the Answer, B u t ' ) . GNAME(ICBYSOB,'I Can Beat You a t Your Own Game You SOB'). 110 APPENDIX E Verb T a b l e s The f o l l o w i n g t a b l e s l i s t the v e r b s , t h e i r semantic meanings, and p o s s i b l e c a s e s . A v e r b may be t r a n s i t i v e , c o p u l a , i n t r a n s i t i v e , or t a k e an i n d i r e c t o b j e c t and each v e r b w i l l have a s e p a r a t e l i s t i n g under the a p p r o p r i a t e t a b l e . The g e n e r a l form of the e n t r i e s i s : INDOBJ(*verb,*rep,*c1,*c2,*c3) where INDOBJ = the type of v e r b , here i n d i r e c t o b j e c t * v e r b = the v e r b t o be checked * r e p = the s e m a n t i c a l l y e q u i v a l e n t replacement v e r b *c1,*c2,*c3 = v a r i o u s cases of the v e r b The c a s e s a r e of the form "casename:casetype" where the casename i s one of agent, p a t i e n t , s o u r c e , e t c . and c a s e t y p e i s a c l a s s i f i c a t i o n and may be i n a l i s t f o rmat. There can be s e v e r a l p o s s i b l e case t y p e s which w i l l be o r d e r e d i n a s p e c i a l type of l i s t s e p a r a t e d by the symbol The symbol T means t h a t the c a s e t y p e can be of any c l a s s i f i c a t i o n . There a r e a number of c a s e s a c c o r d i n g t o the number p o s s i b l e f o r the v a r i o u s t y p e s of v e r b s as i n the above example, where the i n d i r e c t o b j e c t v e r b s take t h r e e c a s e s . 111 /*****************************^ / /* Semantic d i c t i o n a r y f o r v e r b s . */ /*********************************** / /* I n t r a n s i t i v e v e r b s . */ INTRA N S ( b e , e x i s t , a g e n t : T ) . I N T R A N S ( e x i s t , e x i s t , a g e n t : T ) . INTRANS(go,move,agent:animate). INTRANS(grow,grow,agent:animate). INTRANS(hope,want,agent:human). I N T R A N S ( l i s t e n , l i s t e n , a g e n t : a n i m a t e ) . I N T R A N S ( l o o k , s e e , a g e n t r a n i m a t e ) . INTRANS(move,move,agent r a n i m a t e ) . INTRANS(read,read,agent:human). INTRANS(run ,move , agent '.animate) . INTRANS(see,see,agent:animate). I N T R A N S ( s t a y , s t a y , a g e n t : T ) . I N T R A N S ( t a l k , t a l k , a g e n t : h u m a n ) . INTRANS(think,think,agent:human). I N T R A N S ( t r y , t r y , a g e n t : a n i m a t e ) . INTRANS(walk,move,agent:animate). INTRANS(wish,want,agent:human). INTRANS(write,write,agent:human). /* Copula v e r b s . */ C O P U L A ( b e , i s , a g e n t : T , p a t i e n t : T ) . /* T r a n s i t i v e v e r b s . */ TRANS(be,i s , a g e n t : T , s o u r c e : l o c ; r e c i p : a n i m a t e ; p a t i e n t : T ; d u r a t i o n : T ; N I L ) . TRANS(come,move,agent:animate,destn:loc;source:loc;NIL). T R A N S ( d i s c u s s , t a l k , a g e n t : h u m a n , t o p i c : T ) . TRANS(do,do,agent:T,t i m e : t i m e ; l o c : l o c ; r e c i p : T ; t o p i c : T ; N I L ) . TRANS ( g e t , p o s s e s s , r e c i p : - - a b s t r a c t , pat i e n t :T) . T R A N S ( g i v e , t r a n s f e r , a g e n t : a n i m a t e , p a t i e n t : T ) . T R A N S ( g o , m o v e , a g e n t : a n i m a t e , s o u r c e : l o c ; d e s t n : l o c ; N I L ) . TRANS (grow, grow , agent: human , pat i e n t '.animal. vega t a b l e .NIL) . TRANS (have , p o s s e s s , agent: - - a b s t r a c t , p a t i e n t :T) . TRANS(hope,want,agent:human,pat i e n t : T ) . TRANS(know,know,agent:animate,patient:T). T R A N S ( l i s t e n , l i s t e n , a g e n t : a n i m a t e , s o u r c e : h u m a n . m u s i c . T . N I L ) . TRANS ( l o o k , see, agent'.animate, p a t i e n t :T) . TRANS(move,move,agent:animate,loc:loc). TRANS(need,want,agent:animate,patient:T). TRANS ( p o s s e s s , p o s s e s s , agent: - " a b s t r a c t , pat i e n t :T). TRANS(read,read,agent:human,recip:animate; p a t i e n t : l i t e r a t u r e . a b s t r a c t . N I L ; N I L ) . T R A N S ( r u n , m o v e , a g e n t : a n i m a t e , s o u r c e : l o c ; d e s t n : l o c ; c o a g e n t : a n i m a t e ; N I L ) . TRANS(see,see,agent:animate,pat i e n t : T ) . T R A N S ( s t a y , s t a y , a g e n t : T , l o c : l o c ) . T R A N S ( t a l k , t a l k , a g e n t : h u m a n , r e c i p : a n i m a t e ; t o p i c : T ; N I L ) . T R A N S ( t a k e , t r a n s f e r , a g e n t : h u m a n , s o u r c e : l o c ; d e s t n : l o c ; r e c i p : T ; p a t i e n t : T ; N I L ) . TRANS(thank,thank,agent:human,pat i e n t : a n i m a t e ) . T R A N S ( t h i n k , t h i n k , a g e n t : h u m a n , t o p i c : T ) . T R A N S ( t r a n s f e r , t r a n s f e r , a g e n t : a n i m a t e , p a t i e n t : T ) . TRANS ( t r y , t r y , agent: an imate ,.pat i e n t : c l o t h i n g ) . TRA N S ( w a l k , m o v e , a g e n t : a n i m a t e , s o u r c e : l o c ; d e s t n : l o c ; c o a g e n t : a n i m a t e ; N I L ) . TRANS(want,want,agent:animate,patient:T). TRANS(wi s h , w a n t , a g e n t : a n i m a t e , p a t i e n t : T ) . T R A N S ( w r i t e , w r i t e , a g e n t : h u m a n , p a t i e n t : l i t e r a t u r e ; r e c ip:human; i n s t r : p e n ; N I L ) . /* I n d i r e c t o b j e c t v e r b s . */ INDOBJ(di sc u s s , t a l k , a g e n t : h u m a n , t o p i c : T , c o a g e n t : h u m a n ) . INDOBJ ( g e t , p o s s e s s , r e c i p : - " a b s t r a c t , pat i e n t : T, age n t : --abstract) . INDOBJ ( g i v e , t r a n s f e r , agent: an i m a t e , r e c i p : T , pa t i e n t : -"human) . INDOBJ(read,read,agent:human,rec i p : T , p a t i e n t : l i t e r a t u r e . a b s t r a c t . N I L ) . INDOBJ ( t r a n s f e r , t r a n s f e r , agent : a n i m a t e , r e c i p : T , pa t i e n t : -'human) . INDOBJ(write,write,agent:human,rec i p : h u m a n ; i n s t r : p e n ; N I L , p a t i e n t : l i t e r a t u r e ) . 1 1 3 APPENDIX F Sample C o n v e r s a t i o n s The f o l l o w i n g a r e the sample c o n v e r s a t i o n s used t o t e s t the system. I t was found t o be e a s i e r t o e n t e r the c o n v e r s a t i o n s as a v a r i a b l e i n s t e a d of r e t y p i n g the c o n v e r s a t i o n s each time they were t o be t e s t e d so the c o n v e r s a t i o n s a r e numbered so t h a t they can be a c c e s s e d i n d i v i d u a l l y . Each speaker has a name t h a t i s p l a c e d b e f o r e the ":" as i n a p l a y s c r i p t and the sentence i s surrounded by s i n g l e q u o t e s . To add t o the i n p u t problems, the MTS P r o l o g used does not l i k e the " ? " symbol and the "." i s r e s e r v e d f o r s e p a r a t i n g l i s t e l e m e n t s . In p l a c e of the o b v i o u s , but u n u s a b l e , sentence end i n g symbols, the "!" t a k e s the p l a c e of a q u e s t i o n mark and ";" r e p r e s e n t s a p e r i o d . F i n a l l y , t he e n t i r e c o n v e r s a t i o n i s c o n s i d e r e d t o be a l i s t of u t t e r a n c e s so t h e r e i s a NIL a t the end. /***********************/ /* C o n v e r s a t i o n i n p u t . */ y***********************/ CONVERSATION!1,TH:1 why dont you t a l k t o him'! P:'yes but he doesnt l i s t e n ' ; T H r ' d i d you t r y t o w r i t e him a note'! P:'yes but he does not read n o t e s ' ; N I L ) . CONVERSATIONS,J:'you s t a y home and loo k a f t e r the house'; M : ' i f i t werent f o r you i c o u l d be h a v i n g f u n ' ; NIL) . CONVERSATION 3 , J : ' y o u s tay home and look a f t e r the house M: ' i dont want to s tay home'; NIL) . CONVERSATION 4 ,TH:'why dont you r u n ' ! P : ' y e s but i dont want to r u n ' ; TH:'why dont you w a l k ' ! P: ' i w i l l ' ; NIL) . CONVERSATION(5,M:'why d i d you g ive him the i n f o r m a t i o n ' ! F : ' n o but i was t a l k i n g to h i m ' ; NIL) . CONVERSATION(6,M:'why dont you g ive him the i n f o r m a t i o n ' F : ' n o but i was t a l k i n g to h i m ' ; NIL) . CONVERSATION(7,Boss:'we need to d i s c u s s the r e p o r t ' ; E m p : ' i w i l l do my own work ' ; Boss:'now we must t a l k about your work ' ; Emp:'what do you want to know'! NIL) . 1 1 5 APPENDIX G More Examples of the System i n O p e r a t i o n The f o l l o w i n g c o n v e r s a t i o n s i l l u s t r a t e more of the f e a t u r e s of the system. The f i r s t example shows t h a t a T r a n s a c t i o n a l A n a l y s i s game can be i d e n t i f i e d o t h e r than by word p a t t e r n matching on the f i r s t s e n t e n c e . In t h i s c a s e , the game i s not i d e n t i f i e d u n t i l the second sentence has been re a d . The c o n d i t i o n f o r i d e n t i f y i n g the game IWFY or " I f i t Werent For You" i s t h a t the second speaker responds t o a s u g g e s t i o n w i t h the words " i f i t werent f o r you". <-analyse(2 ) . you s t a y home and loo k a f t e r t he house. L i n g u i s t i c A n a l y s i s V e r b : s t a y a g e n t r y o u loc:home Verb:see agent:you p a t i e n t : h o u s e SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p r e s e n t (and (you s t a y (home ) )(yo u see (house ) )) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS No keyword i n d i c a t o r s i n t h i s sentence i f i t werent f o r you i c o u l d be .having f u n . 1 1 6 * New Game = IWFY w i t h g l o b a l s o c i a l l e v e l s : speaker 1 = pa r e n t speaker 2 = c h i l d L i n g u i s t i c A n a l y s i s V e r b : i s a g e n t : i t r e c i p : y o u V e r b : p o s s e s s a g e n t : i p a t i e n t : f u n SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p a s t . p r o g r e s s i v e MODAL = c o u l d AUX = be NEGATIVE = not (not ( i f ( i t i s you ) ( i p o s s e s s ( f un ) ) ) ) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS F CHILD = fun SENTENCE MAY HAVE SOCIAL LEVEL = c h i l d . PARSE COMPLETE. -- SPEAKER1 (J) — you s t a y home and loo k a f t e r t he house SOCIAL LEVEL = p a r e n t DEEP LEVEL = c h i l d -- SPEAKER2 (M) ~ i f i t werent f o r you i c o u l d be h a v i n g f u n SOCIAL LEVEL = c h i l d DEEP LEVEL = c h i l d GAME IWFY FOUND - I f i t werent f o r you a n a l y s e ( 2 ) < -The next c o n v e r s a t i o n shows what happens when t h e r e i s no 1 1 7 game p r e s e n t i n the c o n v e r s a t i o n . The c o n v e r s a t i o n b e g i n s as does the p r e v i o u s example, but the seond speaker does not d e c i d e t o b e g i n the game IWFY, t h e r e f o r e , o n l y a n a l y s i s of the keyword t y p e s p r e s e n t i s p o s s i b l e . I n t h i s c a s e , t h e second speaker uses a word t h a t may i n d i c a t e a C h i l d ego s t a t e and n o t h i n g can be s a i d about the f i r s t s p e a k e r . < - a n a l y s e ( 3 ) . you s t a y home and loo k a f t e r the house. L i n g u i s t i c A n a l y s i s V e r b : s t a y agent:you loc:home Verb:see a g e n t r y o u p a t i e n t : h o u s e SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p r e s e n t (and (you s t a y (home ) ) ( y o u see (house ) )) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS No keyword i n d i c a t o r s i n t h i s sentence i dont want t o s t a y h e r e . L i n g u i s t i c A n a l y s i s V e r b : s t a y a g e n t : i SUMMARY OF PARSE VARIABLES INTERROGATIVE = F TENSE = p r e s e n t AUX = do NEGATIVE = not (not (here ( i . w a n t ( i s t a y ) ) ) ) P s y c h o l o g i c a l A n a l y s i s SUMMARY OF POSSIBLE TA KEYWORDS F CHILD = want 118 SENTENCE MAY HAVE SOCIAL LEVEL = c h i l d . PARSE COMPLETE. -- SPEAKER 1 (J) --you s t a y home and loo k a f t e r the house NO TA EVIDENCE PRESENT - - SPEAKER2 (M) ~ i dont want t o s t a y here SOCIAL LEVEL = c h i l d NO GAME PRESENT a n a l y s e ( 3 ) < -

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