---
abstract: |
    This paper describes the resource- and system-building efforts of an eight-week Johns Hopkins University Human Language Technology Center of Excellence [*Summer Camp for Applied Language Exploration*]{} (SCALE-2009) on Semantically-Informed Machine Translation (SIMT). We describe a new modality/negation (MN) annotation scheme, the creation of a (publicly available) MN lexicon, and two automated MN taggers that we built using the annotation scheme and lexicon. Our annotation scheme isolates three components of modality and negation: a trigger (a word that conveys modality or negation), a target (an action associated with modality or negation) and a holder (an experiencer of modality). We describe how our MN lexicon was semi-automatically produced and we demonstrate that a structure-based MN tagger results in precision around 86% (depending on genre) for tagging of a standard LDC data set.

    We apply our MN annotation scheme to statistical machine translation using a syntactic framework that supports the inclusion of semantic annotations. Syntactic tags enriched with semantic annotations are assigned to parse trees in the target-language training texts through a process of tree grafting. While the focus of our work is modality and negation, the tree grafting procedure is general and supports other types of semantic information. We exploit this capability by including named entities, produced by a pre-existing tagger, in addition to the MN elements produced by the taggers described in this paper. The resulting system significantly outperformed a linguistically naïve baseline model (Hiero), and reached the highest scores yet reported on the NIST 2009 Urdu-English test set. This finding supports the hypothesis that both syntactic and semantic information can improve translation quality.
author:
- Kathryn Baker
- |
    Michael Bloodgood and\
    Bonnie J. Dorr
- 'Chris Callison-Burch and Nathaniel W. Filardo and Christine Piatko'
- Lori Levin
- Scott Miller
bibliography:
- 'paper.bib'
title: 'Use of Modality and Negation in Semantically-Informed Syntactic MT'
---

=1

Introduction
============

This paper describes the resource- and system-building efforts of an eight-week Johns Hopkins Human Language Technology Center of Excellence [ *Summer Camp for Applied Language Exploration*]{} (SCALE-2009) on Semantically-Informed Machine Translation (SIMT) [@Baker:2010a; @Baker:2010d; @Baker:2010b; @Baker:2010c]. Specifically, we describe our modality/negation (MN) annotation scheme, a (publicly available) MN lexicon, and two automated MN taggers that were built using the lexicon and annotation scheme.

Our annotation scheme isolates three components of modality and negation: a trigger (a word that conveys modality or negation), a target (an action associated with modality or negation) and a holder (an experiencer of modality). Two examples of MN tagging are shown in Figure \[modality-example\].

[lp[5in]{}]{} (1)&[**Input:**]{} Americans should know that we can not hand over Dr. Khan to them.\
&[**Output:**]{} Americans `<`TrigRequire should`>` `<`TargRequire know`>` that we `<`TrigAble can`>` `<`TrigNegation not`>` `<`TargNOTAble hand`>` over Dr. Khan to them.\
\
(2)&[**Input:**]{} He managed to hold general elections in the year 2002, but he can not be ignorant of the fact that the world at large did not accept these elections.\
&[**Output:**]{} He `<`TrigSucceed managed`>` to `<`TargSucceed hold`>` general elections in the year 2002, but he `<`TrigAble can`>` `<`TrigNegation not`>` `<`TargNOTAble be`>` ignorant of the fact that the world at large did `<`TrigNegation not`>` `<`TrigBelief accept`>` these `<`TargNOTBelief elections`>`.

Note that modality and negation are unified into single MN tags (e.g., the “Able” modality tag is combined with “NOT” to form the “NOTAble” tag) and also that MN tags occur in pairs of triggers (e.g., TrigAble and TrigNegation) and targets (e.g., TargNOTAble).

We apply our modality and negation mechanism to the problem of Urdu-English machine translation using a technique that we call [*tree grafting*]{}. This technique incorporates syntactic labels and semantic annotations in a unified and coherent framework for implementing semantically-informed machine translation. Our framework is not limited to the semantic annotations produced by the MN taggers that are the subject of this paper and we exploit this capability to additionally include named-entity annotations produced by a pre-existing tagger. By augmenting hierarchical phrase-based translation rules with syntactic labels that were extracted from a parsed parallel corpus, and further augmenting the parse trees with markers for modality, negation, and entities (through the tree grafting process), we produced a better model for translating Urdu and English. The resulting system significantly outperformed the linguistically naïve baseline Hiero model, and reached the highest scores yet reported on the NIST 2009 Urdu-English translation task.

We note that while our largest gains were from syntactic enrichments to the model, smaller (but significant) gains were achieved by injecting semantic knowledge into the syntactic paradigm. Verbal semantics (modality and negation) contributed slightly more gains than nominal semantics (named entities) while their combined gains were the sum of their individual contributions.

Of course, the limited semantic types we explored (modality, negation and entities) are only a small piece of the much larger semantic space, but demonstrating success on these semantic aspects of language, the combination of which has been unexplored by the statistical machine translation community, bodes well for (larger) improvements based on the incorporation of other semantic aspects (e.g., relations and temporal knowledge). Moreover, we believe this syntactic framework to be well suited for further exploration of the impact of many different types of semantics on the quality of machine-translation (MT) output. Indeed, it would not have been possible to initiate the current study without the foundational work that gave rise to a syntactic paradigm that could support these semantic enrichments.

In the SIMT paradigm, semantic elements (e.g., modality/negation) are identified in the English portion of a parallel training corpus and projected to the source language (in our case, Urdu) during a process of syntactic alignment. These semantic elements are subsequently used in the translation rules that are extracted from the parallel corpus. The goal of adding them to the translation rules is to constrain the space of possible translations to more grammatical and more semantically coherent output. We explored whether including such semantic elements could improve translation output in the face of sparse training data and few source language annotations. Results were encouraging. Translation quality, as measured by the Bleu metric [@Papineni:2002], improved when the training process for the Joshua machine translation system [@Li:2009] used in the SCALE workshop included MN annotation.

We were particularly interested in identifying modalities and negation because they can be used to characterize events in a variety of automated analytic processes. Modalities and negation can distinguish realized events from unrealized events, beliefs from certainties, and can distinguish positive and negative instances of entities and events. For example, the correct identification and retention of negation in a particular language—such as a single instance of the word “not”—is very important for a correct representation of events and likewise for translation.

The next two sections examine related work and the motivation behind the SIMT approach. Section \[modality-section\] defines the theoretical framework for our MN lexicon and automatic MN taggers. Section \[modality-annotation-scheme\] presents the MN annotation scheme used by our human annotators and describes the creation of a MN lexicon based on this scheme. Section \[Automatic-Modality-Annotation\] presents two types of MN taggers—one that is string-based and one that is structure-based—and evaluates the effectiveness of the structure-based tagger. Section \[joshua\] then presents implementation details of the semantically-informed syntactic system and describes the results of its application. Finally, Section \[conclusions\] presents conclusions and future work.

Related Work
============

The development of annotation schemes has become an area of computational linguistics development in its own right, often separate from machine learning applications. Some projects began as strictly linguistic projects that were later adapted for computational linguistics. When an annotation scheme is consistent and well developed, its subsequent application to NLP systems is most effective. For example, the syntactic annotation of parse trees in the Penn Treebank [@Marcus:93] had a tremendous effect on parsing and on Natural Language Processing in general.

In the case of semantic annotations, each tends to have its unique area of focus. While the labeling conventions may differ, a layer of modality annotation over verb role annotation, for example, can have a complementary effect of providing more information, rather than being viewed as a competing scheme. We review some of the major semantic annotation efforts below.

Propbank [@Palmer:2005] is a set of annotations of predicate-argument structure over parse trees. First annotated as an overlay to the Penn Treebank, Propbank annotation now exists for other corpora. Propbank annotation aims to answer the question [*Who did what to whom?*]{} for individual predicates. It is tightly coupled with the behavior of individual verbs. FrameNet [@Baker:1998], a frame-based lexical database that associates each word in the database with a semantic frame and semantic roles, is also associated with annotations at the lexical level. WordNet [@fellbaum98wordnet] is a very widely used online lexical taxonomy which has been developed in numerous languages. WordNet nouns, verbs, adjectives and adverbs are organized into synonym sets. PropBank, FrameNet, and WordNet cover the word senses and argument-taking properties of many modal predicates.

The Prague Dependency Treebank [@PDT10; @trmanEn2005] (PDT) is a multi-level system of annotation for texts in Czech and other languages, with its roots in the Prague school of linguistics. Besides a morphological layer and an analytical layer, there is a Tectogrammatical layer. The Tectogrammatical layer includes functional relationships, dependency relations and co-reference. The PDT also integrates propositional and extra-propositional meanings in a single annotation framework.

The Penn Discourse Treebank (PDTB) [@Webber:2003; @PRASAD08.754] annotates discourse connectives and their arguments over a portion of the Penn Treebank. Within this framework, senses are annotated for the discourse connectives in a hierarchical scheme. Relevant to the current work, one type of tag in the scheme is the Conditional tag, which includes hypothetical, general, unreal present, unreal past, factual present, and factual past arguments.

The PDTB work is related to that of Wiebe, Wilson, and Cardie  for establishing the importance of attributing a belief or assertion expressed in text to its agent (equivalent to the notion of [*holder*]{} in our scheme). The annotation scheme is designed to capture the expression of opinions and emotions. In the PDTB, each discourse relation and its two arguments are annotated for attribution. The attribute features are the Source or agent, the Type (assertion propositions, belief propositions, facts and eventualities), scopal polarity, and determinacy. Scopal polarity is annotated on relations and their arguments to identify cases when verbs of attribution are negated on the surface but the negation takes scope over the embedded clause. An example is the sentence “Having the dividend increases is a supportive element in the market outlook [*but I don’t think it’s a main consideration*]{}.” Here, the second argument (the clause following [*but*]{}) is annotated with a “Neg” marker, meaning “I think it’s not a main consideration.”

Wilson, Wiebe, and Hoffman  describe the importance of correctly interpreting polarity in the context of sentiment analysis, which is the task of identifying positive and negative opinions, emotions and evaluations. The authors have established a set of features to distinguish between positive and negative polarity and discuss the importance of correctly analyzing the scope of the negation and the modality (e.g., whether the proposition is asserted to be real or not real).

A major annotation effort for temporal and event expressions is the TimeML specification language, which has been developed in the context of reasoning for question answering [@SauriVP06]. TimeML, which includes modality annotation on events, is the basis for creating the TimeBank and FactBank corpora [@Pustejovsky06; @Sauri09]. In FactBank, event mentions are marked with their degree of factuality.

Recent work incorporating modality annotation includes work on detecting certainty and uncertainty. Rubin  describes a scheme for five levels of certainty, referred to as Epistemic modality, in news texts. Annotators identify explicit certainty markers and also take into account Perspective, Focus, and Time. Focus separates certainty into facts and opinions, to include attitudes. In our scheme, focus would be covered by [*want*]{} and [*belief*]{} modality. Also, separating focus and uncertainty can allow the annotation of both on one trigger word. Prabhakaran et al. describe a scheme for automatic committed belief tagging. Committed belief indicates the writer believes the proposition. The authors use a previously annotated corpus of committed belief, non-committed belief, and not applicable [@Diab:2009], and derive features for machine learning from parse trees. The authors desire to combine their work with FactBank annotation.

The CoNLL-2010 shared task [@Farkas:2010] was about the detection of cues for uncertainty and their scope. The task was described as “hedge detection,” that is, finding statements which do not or cannot be backed up with facts. Auxiliary verbs such as [*may*]{}, [*might*]{}, [*can*]{}, etc. are one type of hedge cue. The training data for the shared task included the BioScope corpus [@Szarvas:2008], which is manually annotated with negation and speculation cues and their scope, and paragraphs from Wikipedia possibly containing hedge information. Our scheme also identifies cues in the form of triggers, but our desired outcome is to cover the full range of modalities and not just certainty and uncertainty. To identify scope, we use syntactic parse trees, as was allowed in the CoNLL task.

The textual entailment literature includes modality annotation schemes. Identifying modalities is important to determine whether a text entails a hypothesis. Bar-Haim et al. include polarity based rules and negation and modality annotation rules. The polarity rules are based on an independent polarity lexicon [@Nairn:2006]. The annotation rules for negation and modality of predicates are based on identifying modal verbs, as well as conditional sentences and modal adverbials. The authors read the modality off parse trees directly using simple structural rules for modifiers.

Earlier work describing the difficulty of correctly translating modality using machine translation includes [@Sigurd:1994] and [@Murata:2005]. Sigurd et al.  write about rule based frameworks and how using alternate grammatical contructions such as the passive can improve the rendering of the modal in the target language. Murata et al.  analyze the translation of Japanese into English by several systems, showing they often render the present incorrectly as the progressive. The authors trained a support vector machine to specifically handle modal contructions, while our modal annotation approach is a part of a full translation system.

We now consider other literature, relating to tree-grafting and machine translation. Our tree-grafting approach builds on a technique used for tree augmentation in Miller et al. , where parse-tree nodes are augmented with semantic categories. In this earlier work, tree nodes were augmented with relations, while we augmented tree nodes with modality and negation. The parser is subsequently retrained for both semantic and syntactic processing. The semantic annotations were done manually by students who were provided a set of guidelines and then merged with the syntactic trees automatically. In our work we tagged our corpus with entities, modality, and negation automatically and then grafted them onto the syntactic trees automatically, for the purpose of training a statistical machine translation system. An added benefit of the extracted translation rules is that they are capable of producing semantically-tagged Urdu parses, despite the fact that the training data were processed by only an English parser and tagger.

Related work in syntax-based MT includes that of Huang and Knight , where a series of syntax rules are applied to a source language string to produce a target language phrase structure tree. The Penn English Treebank [@Marcus:93] is used as the source for the syntactic labels and syntax trees are relabeled to improve translation quality. In this work, node-internal and node-external information is used to relabel nodes, similar to earlier work where structural context was used to relabel nodes in the parsing domain [@KleinManning03]. Klein and Manning’s methods include lexicalizing determiners and percent markers, making more fine-grained VP categories, and marking the properties of sister nodes on nodes. All of these labels are derivable from the trees themselves and not from an auxiliary source. Wang et al.  employ this type of node splitting in machine translation and report a small increase in BLEU score.

We use the methods described in [@ZollmannVenugopal:2006; @Venugopal:2007] to induce synchronous grammar rules, a process which requires phrase alignments and syntactic parse trees. Venugopal et al.  use generic non-terminal category symbols, as in [@Chiang:2005], as well as grammatical categories from the Stanford parser [@KleinManning03]. Their method for rule induction generalizes to any set of non-terminals. We further refine this process by adding semantic notations onto the syntactic non-terminals produced by a Penn Treebank trained parser, thus making the categories more informative.

In the parsing domain, the work of Petrov and Klein  is related to the current work. In this work, rule splitting and rule merging are applied to refine parse trees during machine learning. Hierarchical splitting leads to the creation of learned categories that have linguistic relevance, such as a breakdown of a determiner category into two subcategories of determiners by number, i.e., [*[this]{}*]{} and [*[that]{}*]{} group together as do [*[some]{}*]{} and [*[these]{}*]{}. We augment parse trees by category insertion in cases where a semantic category is inserted as a node in a parse tree, after the English side of the corpus has been parsed by a statistical parser.

SIMT Motivation {#motivation}
===============

As in many of the frameworks described above, the aim of the SIMT effort was to provide a generalized framework for representing structured semantic information, such as modality and negation. Unlike many of the previous semantic annotation efforts (where the emphasis tends to be on English), however, our approach is designed to be directly integrated into a translation engine, with the goal of translating highly divergent language pairs, such as Urdu and English. As such, our choice of annotation scheme—illustrated in the trigger-target example shown in Figure \[modality-example\]—was based on a simplified structural representation that is general enough to accommodate divergent modality/negation phenomena, easy for language experts to follow, and straightforward to integrate into a tree-grafting mechanism for MT. Our objective is to investigate whether incorporating this sort of information into machine translation systems could produce better translations, particularly in settings where only small parallel corpora are available.

  ---------- ------- -------- ------- -------- -------
                                               
  set          lines   tokens   types   tokens   types
  training      202k     1.7M     56k     1.7M     51k
  dev            981      21k      4k      19k      4k
  devtest        883      22k      4k   19-20k      4k
  test          1792      42k      6k   38-41k      5k
  ---------- ------- -------- ------- -------- -------

  : The size of the various data sets used for the experiments in this paper including the training, development (dev), incremental test set (devtest) and blind test set (test). The dev/devtest was a split of the NIST08 Urdu-English test set, and the blind test set was NIST09.[]{data-label="data-set-sizes"}

![An example of Urdu-English translation. Shown are an Urdu source document, a reference translation produced by a professional human translator, and machine translation output from a phrase-based model (Moses) without linguistic information, which is representative of state-of-the-art MT quality before the SIMT effort. []{data-label="Urdu-example"}](graphics/intro-example-revised-2){width="\linewidth"}

It is informative to look at an example translation to understand the challenges of translating important semantic elements when working with a low-resource language pair. Figure \[Urdu-example\] shows an example taken from the 2008 NIST Urdu-English translation task, and illustrates the translation quality of a state-of-the-art Urdu-English system (prior to the SIMT effort). The small amount of training data for this language pair (see Table \[data-set-sizes\]) results in significantly degraded translation quality compared, e.g., to an Arabic-English system that has more than 100 times the amount of training data.

The output in Figure \[Urdu-example\] was produced using Moses [@Moses], a state-of-the-art phrase-based MT system that by default does not incorporate any linguistic information (e.g., syntax or morphology or transliteration knowledge). As a result, words that were not directly observed in the bilingual training data were untranslatable. Names, in particular, are problematic. For example, the lack of translation for [*Nagaland*]{} and [*Nagas*]{} induces multiple omissions throughout the translated text, thus producing several instances where the [*holder*]{} of a claim (or [ *belief*]{}) is missing. This is because out of vocabulary words are deleted from the Moses output.

![The evolution of a semantically informed approach to our synchronous context free grammars (SCFGs). At the start of summer the decoder used translation rules with a single generic non-terminal symbol, later syntactic categories were used, and by the end of the summer the translation rules included semantic elements such as modalities and negation, as well as named entities.[]{data-label="Evolution-to-SIMT-Joshua"}](graphics/Evolution-to-SIMT-Joshua.pdf){height="3in"}

We use syntactic and semantic tags as higher-order symbols inside the translation rules used by the translation models. Generic symbols in translation rules (i.e., the non-terminal symbol “X”) were replaced with structured information at multiple levels of abstraction, using a tree-grafting approach that we describe below. Figure \[Evolution-to-SIMT-Joshua\] illustrates the evolution of the translation rules that we used, first replacing “X” with grammatical categories and then with categories corresponding to semantic units.

The semantic units that we examined in this effort were modalities and negation (indications that a statement represents something that has/hasn’t taken place or is/isn’t a belief or an intention) and named entities (such as people or organizations). Other semantic units such as relations between entities and events, were not part of this effort, but we believe they could be similarly incorporated into the framework. We chose to examine semantic units that canonically exhibit two different syntactic types: verbal, in the case of modality and negation, and nominal, in the case of named entities.

Although used in this effort, named entities were not the focus of our research efforts in SIMT. Rather, we focused on the development of an annotation scheme for modality and negation and its use in MT, while relying on a pre-existing HMM-based tagger derived from Identifinder  [@Bikel:1999] to produce entity tags. Thus, the remainder of this paper will focus on our modality/negation annotation scheme, two MN taggers produced by the effort, and on the integration of semantics in the SIMT paradigm.

Modality and Negation {#modality-section}
=====================

Modality is an extra-propositional component of meaning. In [*John may go to NY*]{}, the basic proposition is [*John go to NY*]{} and the word [*may*]{} indicates modality and is called the [ *trigger*]{} in our work. Van der Auwera and Amman  define core cases of modality: [*John must go to NY*]{} (epistemic necessity), [*John might go to NY*]{} (epistemic possibility), [*John has to leave NY now*]{} (deontic necessity) and [*John may leave NY now*]{} (deontic possibility). Larreya  defines the core cases slightly differently as [*root*]{} and [*epistemic*]{}. Root modality in Larreya’s taxonomy includes physical modality ([*He had to stop. The road was blocked*]{}) and deontic modality ([*You have to stop*]{}). Epistemic modality includes problematic modality ([*You must be tired*]{}) and implicative modality ([*You have to be mad to do that*]{}). Many semanticists [@Kratzer; @VonFintelIatridou] define modality as quantification over possible worlds. [*John might leave NY*]{} means that there exist some possible worlds in which John leaves NY. Another view of modality relates more to a speaker’s attitude toward a proposition [@NirenburgMcShane; @McShaneEtAl:2004].

We incorporate negation as an inextricably intertwined component of modality, using the term “modality/negation (MN)” to refer to our resources (lexicons) and processes (taggers). We adopt the view that modality includes several types of attitudes that a speaker might have (or not have) toward an event or state. From the point of view of the reader or listener, modality might indicate factivity, evidentiality, or sentiment. Factivity is related to whether an event, state, or proposition happened or didn’t happen. It distinguishes things that happened from things that are desired, planned, or probable. Evidentiality deals with the source of information and may provide clues to the reliability of the information. Did the speaker have first hand knowledge of what he or she is reporting, or was it hearsay or inferred from indirect evidence? Sentiment deals with a speaker’s positive or negative feelings toward an event, state, or proposition.

Our project was limited to modal words and phrases—and their negations—that are related to factivity. However, beyond the core cases of modality we include some aspects of speaker attitude such as intent and desire. We included these because they are often not separable from the core cases of modality. For example, [*He had to go*]{} may include the ideas that someone wanted him to go, that he might not have wanted to go, that at some point after coercion he intended to go, and that at some point he was able to go [@Larreya:2009].

Our focus was on the eight modalities in Figure \[8-modalities\], where P is a proposition (the [*target*]{} of the [*triggering*]{} modality) and H is the holder (experiencer or cognizer of the modality). Some of the eight factivity-related modalities may overlap with sentiment or evidentiality. For example, [*want*]{} indicates that the proposition it scopes over may not be a fact (it may just be desired), but it also expresses positive sentiment toward the proposition it scopes over. We assume that sentiment and evidentiality are covered under separate coding schemes, and that words like [*want*]{} would have two tags, one for sentiment and one for factivity.

The Modality/Negation Annotation Scheme {#modality-annotation-scheme}
=======================================

The challenge of creating a MN annotation scheme was to deal with the complex scoping of modalities with each other and with negation, while at the same time creating a simplified operational procedure that could be followed by language experts without special training. Below we describe our MN annotation framework, including a set of linguistic simplifications, and then we present our methodology for creation of a publicly available MN lexicon. The modality annotation scheme is fully documented in a set of guidelines that were written with English example sentences [@Baker:2010b]. The guidelines can be used to derive hand tagged evaluation data for English and they also include a section that contains a set of Urdu trigger-word examples.

During the SCALE workshop, some Urdu speakers used the guidelines to annotate a small corpus of Urdu by hand, which we reserved for future work. The Urdu corpus could be useful as an evaluation corpus for automatically tagged Urdu, such as one derived from rule projection in the Urdu-English machine translation system, a method we describe further in section \[joshua\]. Also, although we did not annotate a very large Urdu corpus, more data could be manually annotated to train an automatic Urdu tagger in the future.

Anatomy of Modality/Negation in Sentences
-----------------------------------------

In sentences that express modality, we identify three components: a trigger, a target, and a holder. The trigger is the word or string of words that expresses modality or negation. The target is the event, state, or relation over which the modality scopes. The holder is the experiencer or cognizer of the modality. The trigger can be a word such as [*should*]{}, [*try*]{}, [*able*]{}, [*likely*]{}, or [*want*]{}. It can also be a negative element such as [*not*]{} or [*n’t*]{}. Often, modality or negation is expressed without a lexical trigger. For a typical declarative sentence (e.g., [*John went to NY*]{}), the default modality is strong belief when no lexical trigger is present. Modality can also be expressed constructionally. For example, Requirement can be expressed in Urdu with a dative subject and infinitive verb followed by a verb that means to happen or befall.

-   [**Requirement:**]{} does H require P?

-   [**Permissive:**]{} does H allow P?

-   [**Success:**]{} does H succeed in P?

-   [**Effort:**]{} does H try to do P?

-   [**Intention:**]{} does H intend P?

-   [**Ability:**]{} can H do P?

-   [**Want:**]{} does H want P?

-   [**Belief**]{}: with what strength does H believe P?

Linguistic Simplifications for Efficient Operationalization {#linguistic-simplifications}
-----------------------------------------------------------

Six linguistic simplifications were made for the sake of efficient operationalization of the annotation task. The first linguistic simplification deals with the scope of modality and negation. The first sentence below indicates scope of modality over negation. The second indicates scope of negation over modality:

-   He tried not to criticize the president.

-   He didn’t try to criticize the president.

The interaction of modality with negation is complex, but was operationalized easily in the menu of thirteen choices shown in Figure \[13-menu-choices-for-modality\]. First consider the case where negation scopes over modality. Four of the thirteen choices are composites of negation scoping over modality. For example, the annotators can choose [*try*]{} or [*not try*]{} as two separate modalities. Five modalities (Require, Permit, Want, Firmly Believe, and Believe) do not have a negated form. For three of these modalities (Want, Firmly Believe, and Believe), this is because they are often transparent to negation. For example, [*I do not believe that he left NY*]{} sometimes means the same as [*I believe he didn’t leave NY*]{}. Merging the two is obviously a simplification, but it saves the annotators from having to make a difficult decision.

The second linguistic simplification is related to a duality in meaning between [*require*]{} and [*permit*]{}. Not requiring P to be true is similar in meaning to permitting P to be false. Thus, annotators were instructed to label [*not require P to be true*]{} as [*Permit P to be false*]{}. Conversely, [*not Permit P to be true*]{} was labeled as [*Require P to be false*]{}.

After the annotator chooses the modality, the scoping of modality over negation takes place as a second decision. For example, for the sentence [*John tried not to go to NY*]{}, the annotator first identifies [*go*]{} as the target of a modality and then chooses [*try*]{} as the modality. Finally, the annotator chooses [*false*]{} as the polarity of the target.

-   H requires \[P to be true/false\]

-   H permits \[P to be true/false\]

-   H succeeds in \[making P true/false\]

-   H does not succeed in \[making P true/false\]

-   H is trying \[to make P true/false\]

-   H is not trying \[to make P true/false\]

-   H intends \[to make P true/false\]

-   H does not intend \[to make P true/false\]

-   H is able \[to make P true/false\]

-   H is not able \[to make P true/false\]

-   H wants \[P to be true/false\]

-   H firmly believes \[P is true/false\]

-   H believes \[P may be true/false\]

The third simplification relates to entailments between modalities. Many words have complex meanings that include components of more than one modality. For example, if one managed to do something, one tried to do it and one probably wanted to do it. Thus, annotators were provided a specificity-ordered modality list in Figure \[13-menu-choices-for-modality\], and were asked to choose the first applicable modality. We note that this list corresponds to two independent “entailment groupings,” ordered by specificity:

-   {[*requires*]{} $\rightarrow$ [*permits*]{}}

-   {[ *succeeds*]{} $\rightarrow$ [*tries*]{} $\rightarrow$ [ *intends*]{} $\rightarrow$ [*is able*]{} $\rightarrow$ [ *wants*]{}}

Inside the entailment groupings, the ordering corresponds to an entailment relation, e.g., [*succeeds*]{} can only occur if [*tries*]{} has occurred. Also, the {[*requires $\rightarrow$ $\ldots$* ]{}} entailment grouping is taken to be more specific than (ordered before) the {[*succeeds $\rightarrow$ $\ldots$* ]{}} entailment grouping. Moreover, both entailment groupings are taken to be more specific than [*believes*]{}, which is not in an entailment relation with any of the other modalities.

The fourth simplification, already mentioned above, is that sentences without an overt trigger word are tagged as [*firmly believes*]{}. This heuristic works reasonably well for the types of documents we were working with, although one could imagine genres such as fiction in which many sentences take place in an alternate possible world (imagined, conditional, or counterfactual) without explicit marking.

The fifth linguistic simplification is that we did not require annotators to mark nested modalities. For a sentence like [*He might be able to go to NY*]{} the target word [*go*]{} is marked as ability, but [*might*]{} is not annotated for Belief modality. This decision was based on time limits on the annotation task; there was not enough time for annotators to deal with syntactic scoping of modalities over other modalities.

Finally, we did not mark the holder H because of the short time frame for workshop preparation. We felt that identifying the triggers and targets would be most beneficial in the context of machine translation.

The English Modality/Negation Lexicon {#English-Modality-Lexicon}
-------------------------------------

Using the framework described above, we created a MN lexicon that was incorporated into a MN tagging scheme to be described below in Section \[Automatic-Modality-Annotation\]. Entries in the MN lexicon consist of: (1) A string of one or more words: for example, [ *should*]{} or [*have need of*]{}. (2) A part of speech for each word: the part of speech helps us avoid irrelevant homophones such as the noun [*can*]{}. (3) A MN designator: one of the thirteen modality/negation cases described above. (4) A head word (or [ *trigger*]{}): the primary phrasal constituent to cover cases where an entry is a multi-word unit, e.g., the word [*hope*]{} in [*hope for*]{}. (5) One or more subcategorization codes.

We produced the full English MN lexicon semi-automatically. First, we gathered a small seed list of MN trigger words and phrases from our modality annotation manual [@Baker:2010b]. Then, we expanded this small list of MN trigger words by running an online search for each of the words, specifically targeting free online thesauri (e.g., thesaurus.com), to find both synonymous and antonymous words. From these we manually selected the words we thought triggered modality (or their corresponding negative variants) and filtered out words that we thought didn’t trigger modality. The resulting list of MN trigger words and phrases contained about 150 lemmas.

We note that most intransitive LDOCE codes were not applicable to modality/negation constructions. For example, [*hunger*]{} (in the [*Want*]{} modality class) has a modal reading of “desire” when combined with the preposition [*for*]{} (as in [*she hungered for a promotion*]{}), but we do not consider it to be modal when it is used in the somewhat archaic sentence [*He hungered*]{}, meaning that he did not have enough to eat. Thus the LDOCE code `I` associated with the verb [*hunger*]{} was hand-changed to `I-FOR`. There were 43 such cases. Once the LDOCE codes were hand-verified (and modified accordingly), the mapping to subcategorization codes was applied.

We note that most intransitive LDOCE codes were not applicable to modality/negation constructions. For example, [*hunger*]{} (in the [*Want*]{} modality class) has a modal reading of “desire” when combined with the preposition [*for*]{} (as in [*she hungered for a promotion*]{}), but not in its pure intransitive form (e.g., [*he hungered all night*]{}). Thus the LDOCE code `I` associated with the verb [*hunger*]{} was hand-changed to `I-FOR`. There were 43 such cases. Once the LDOCE codes were hand-verified (and modified accordingly), the mapping to subcategorization codes was applied.

The MN lexicon is publicly available at <http://www.umiacs.umd.edu/~bonnie/ModalityLexicon.txt>. An example of an entry is given in Figure \[need-entry\], for the verb [*need*]{}.

  ------------------- ----------------------------------------------------------------------------------------------------------------------------------
  [**String:**]{}     Need
  [**Pos:**]{}        VB
  [**Modality:**]{}   Require
  [**Trigger:**]{}    Need
  [**Subcat:**]{}     [**V3-passive-basic**]{} – More citizens are needed to vote.
  [**Subcat:**]{}     [**V3-I3-basic**]{} – The government will need to work continuously for at least a year. We will need them to work continuously.
  [**Subcat:**]{}     [**T1-monotransitive-for-V3-verbs**]{} – We need a Sir Sayyed again to maintain this sentiment.
  [**Subcat:**]{}     [**T1-passive-for-V3-verb**]{} – Tents are needed.
  [**Subcat:**]{}     [**Modal-auxiliary-basic**]{} – He need not go.
  ------------------- ----------------------------------------------------------------------------------------------------------------------------------

Automatic Modality/Negation Annotation {#Automatic-Modality-Annotation}
======================================

A MN tagger produces text or structured text in which modality or negation triggers and/or targets are identified. Automatic identification of the holders of modalities was beyond the scope of our project because the holder is often not explicitly stated in the sentence in which the trigger and target occur. This section describes two types of MN taggers—one that is string-based and one that is structure-based.

The String-based English Modality/Negation Tagger {#string-based-english-modality-tagger}
-------------------------------------------------

The string-based tagger operates on text that has been tagged with parts of speech by a Collins-style statistical parser [@Miller:1998]. The tagger marks spans of words/phrases that exactly match MN trigger words in the MN lexicon described above, and that exactly match the same parts of speech. This tagger identifies the target of each modality/negation using the heuristic of tagging the next non-auxiliary verb to the right of the trigger. Spans of words can be tagged multiple times with different types of triggers and targets.

We found the string-based modality/negation tagger to produce output that matched about 80% of the sentence-level tags produced by our structure-based tagger, the results of which are described next. While string-based tagging is fast and reasonably accurate in practice, we opted to focus on the in-depth analysis of modality/negation of our SIMT results using the more accurate structure-based tagger.

The Structure-based English Modality/Negation Tagger {#structured-based-english-modality-tagger}
----------------------------------------------------

The structure-based MN tagger operates on text that has been parsed [@Miller:1998]. We used a version of the parser that produces flattened trees. In particular, the flattener deletes VP nodes that are immediately dominated by VP or S and NP nodes that are immediately dominated by PP or NP. The parsed sentences are processed by TSurgeon rules. Each TSurgeon rule consists of a pattern and an action. The pattern matches part of a parse tree and the action alters the parse tree. More specifically, the pattern finds a MN trigger word and its target and the action inserts tags such as [TrigRequire]{} and [TargRequire]{} for triggers and targets for the modality Require. Figure \[structure-based-tagger-output\] shows output from the structure-based MN tagger. (Note that the sentence is disfluent: [*Pakistan which could not reach semi-final, in a match against South African team for the fifth position Pakistan defeated South Africa by 41 runs.*]{}) The example shows that [*could*]{} is a trigger for the Ability modality and [ *not*]{} is a trigger for negation. [*Reach*]{} is a target for both Ability and Negation, which means that it is in the category of “H is not able \[to make P true/false\]” in our coding scheme. [ *Reach*]{} is also a trigger for the Succeed modality and [ *semi-final*]{} is its target.

    (TOP
     (S
      (NP 
       (NNP Pakistan) 
       (SBAR (WDT which) 
        (S (MD TrigAble could) 
           (RB TrigNegation not) 
           (VB B TargAble TrigSucceed 
            TargNegation reach) 
           (ADJP 
            (JJ TargSucceed semi-final)) 
            (, ,) 
           (PP (IN in) (DT a) 
               (NN match) (PP (IN against) 
               (ADJP (JJ South) (JJ African))
                (NN team)) 
               (PP (IN for) (DT the)
                   (JJ fifth) (NN position))
               (NP (NNP Pakistan)))))) 
      (VB D defeated) 
      (NP (NNP South) (NNP Africa)) 
      (PP (IN by) (CD 41) (NNS runs)) (. .)))

The TSurgeon patterns are automatically generated from the verb class codes in the MN lexicon along with a set of fifteen templates. Each template covers one situation such as the following: the target is the subject of the trigger; the target is the direct object of the trigger; the target heads an infinitival complement of the trigger; the target is a noun modified by an adjectival trigger, etc. The verb class codes indicate which templates are applicable for each trigger word. For example, a trigger verb in the transitive class may use two target templates, one in which the trigger is in active voice and the target is a direct object ([*need tents*]{}) and one in which the trigger is in passive voice and the target is a subject ([*tents are needed*]{}).

In developing the TSurgeon rules, we first conducted a corpus analysis for forty of the most common trigger words in order to identify and debug the most broadly applicable templates. We then used LDOCE to assign verb classes to the remaining verbal triggers in the MN lexicon, and we associated one or more debugged templates with each verb class. In this way, the initial corpus work on a limited number of trigger words was generalized to a longer list of trigger words. Because the TSurgeon patterns are tailored to the flattened structures produced by our parser, it is not easily ported to new parser outputs. However, the MN lexicon itself is portable. Switching parsers would entail writing new TSurgeon templates, but the trigger words in the MN lexicon would still be automatically assigned to templates based on their verb classes.

The following example shows an example of a TSurgeon pattern-action pair for a sentence like [*They were required to provide tents*]{}. The pattern-action pair is intended to be used after a pre-processing stage in which labels such as “VoicePassive” and “AUX” have been assigned. “VoicePassive” is inserted by a pre-processing TSurgeon pattern because, in some cases, the target of a passive modality trigger word is in a different location from the target of the corresponding active modality trigger word. “AUX” is inserted during pre-processing to distinguish auxiliary uses of [*have*]{} and [ *be*]{} from their uses as main verbs. The pattern portion of the pattern-action pair matches a node with label VB that is not already tagged as a trigger and that is passive and dominates the string “required”. The VB node is also a sister to an S node, and the S node dominates a VB that is not an auxiliary ([*provide*]{} in this case). The action portion of the pattern-action pair inserts the string “TargReq” as the second daughter of the second VB and inserts the string “TrigReq” as the second daughter of the first VB.

     VB=trigger !< /^Trig/ < VoicePassive < required  $.. 
        (S < (VB=target !< AUX))
     insert (TargReq) >2 target
     insert (TrigReq) >2 trigger

Verb-specific patterns such as this one were generalized in order to gain coverage of the whole modality lexicon. The specific lexical item, [*required*]{}, was replaced with a variable, as were the labels “TrigReq” and “TargReq.” The pattern was then given a name, V3-passive-basic, where V3 is a verb class tag from LDOCE (described above in Section \[English-Modality-Lexicon\]) for verbs that take infinitive complements. We then looked up the LDOCE verb class labels for all of the verbs in the modality lexicon. Using this information, we could then generate a set of new, verb-specific patterns for each V3 verb in the modality lexicon.

Evaluating the Effectiveness of Structure-based MN Tagging {#modality-tagging-evaluation}
----------------------------------------------------------

We performed a manual inspection of the structure-based tagging output. We calculated precision by examining 229 instances of modality triggers that were tagged by our tagger from the English side of the NIST 09 MTEval training sentences. We analyzed precision in two steps, first checking for the correct syntactic position of the target and then checking the semantic correctness of the trigger and target. For 192 of the 229 triggers (around 84%), the targets were tagged in the correct syntactic location.

For example, for the sentence [*A solution must be found to this problem*]{} shown in Figure \[embedded-targ-example\], the word [ *must*]{} is a modality trigger word, and the correct target is the first non-auxiliary verb heading a verb phrase that is contained in the syntactic complement of [*must*]{}. The syntactic complement of [*must*]{} is the verb phrase [*be found to this problem*]{}. The syntactic head of that verb phrase, [*be*]{}, is skipped because it is an auxiliary verb. The correct (embedded) target [*found*]{} is the head of the syntactic complement of [*be*]{}.

    (S (NP (DT A) (NN solution))
       (VP (MD-TrigBelief must) 
           (VP (VB be) 
               (VP (VBN-TargBelief found) 
                   (PP (TO to) (NP (DT this) (NN problem)))))))

The 192 modality instances with structurally correct targets do not all have semantically correct tags. In the example above, [*must*]{} is tagged as [TrigBelief]{}, where the correct tag would be [TrigRequire]{}. Also, because the MN lexicon was used without respect to word sense, words were sometimes erroneously identified as triggers. This includes non-modal uses of [*work*]{} (work with refugees), [*reach*]{} (reach a destination), and [*attack*]{} (attack a physical object), in constrast to modal uses of these words: [*work for peace*]{} (effort), [*reach a goal*]{} (succeed), and [*attack a problem*]{} (effort). Fully correct tagging of modality would need to include word sense disambiguation.

For 37 of the 229 triggers we examined, a target was not tagged in the correct syntactic position. In 12 of 37 incorrectly tagged instances the targets are inside compound nouns or coordinate structures (NP or VP), which are not yet handled by the modality tagger. The remaining 25 of the 37 incorrectly tagged instances had targets that were lost because the tagger does not yet handle all cases of nested modalities. Nested modalities occur in sentences like [*They did not want to succeed in winning*]{} where the target words [*want*]{} and [*succeed*]{} are also modality trigger words. Proper treatment of nested modalities requires consideration of scope and compositional semantics.

Nesting was treated in two steps. First, the modality tagger marked each word as a trigger and/or target. In [*They did not want to succeed in winning*]{}, [*not*]{} is marked as a trigger for negation, [*want*]{} is marked as a target of negation and a trigger of wanting, [*succeed*]{} is marked as a trigger of succeeding and a target of wanting, and [*win*]{} is marked as a target of succeeding. The second step in the treatment of nested modalities occurs during tree grafting, where the meanings of the nested modalities are composed. The tree grafting program correctly composes some cases of nested modalities. For example, the tag [TrigAble]{} composed with [TrigNegation]{} results in the target tag [TargNOTAble]{}, as shown in Figure \[tree-grafting-composition\]. In other cases, where compositional semantics are not yet accommodated, the tree grafting program removed target labels from the trees, and those cases were counted as incorrect for the purpose of this evaluation.

    (S 
      (NP (EX there)) 
      (VP (VBZ is) 
          (NP (NP (DT no) (NN difficulty))
              (SBAR (WHNP (WDT which))
                (S (VP (MD-TrigAble can) 
                       (RB-TrigNegation not) 
                       (VP (VB be) 
                           (VP-TargNOTAble (VBN-TargNOTAble solved)))))))))

In the 229 instances that we examined, there were 14 in which a light verb or noun was the correct syntactic target, but not the correct semantic target. [*Decision*]{} would be a better target than [*taken*]{} in [*The decision [**should**]{} be [**taken**]{} on delayed cases on the basis of merit.*]{} We counted sentences with semantically light targets as correct in our evaluation because our goal was to identify the synactic head of the target. The semantics of the target is a general issue, and we often find lexico-syntactic fluff between the trigger and the most semantically salient target in sentences like [*We succeeded in our goal of winning the war*]{} where “success in war” is the salient meaning.

With respect to recall, the tagger primarily missed special forms of negation in noun phrases and prepositional phrases: [*There was [**no**]{} place to seek shelter.*]{}; [*The buildings should be reconstructed, [**not**]{} with RCC, but with the wood and steel sheets.*]{} More complex constructional and phrasal triggers were also missed: [*President Pervaiz Musharraf has said that he will [**not rest unless**]{} the process of rehabilitation is completed.*]{} Finally, we discovered some omissions from our MN lexicon: [*It is not [**possible**]{} in the middle of winter to re-open the roads.*]{} Further annotation experiments are planned, which will be analyzed to close such gaps and update the lexicon as appropriate.

Providing a quantitative measure of recall was beyond the scope of this project. At best we could count instances of sentences containing trigger words that were not tagged. We are also aware of many cases of modality that were not covered such as the modal uses of the future tense auxiliary [*will*]{} as in [*That’ll be John*]{} (conjecture), [*I’ll do the dishes*]{} (volition), [*He won’t do it*]{} (non-volition), and [*It will accommodate five*]{} (ability) [@Larreya:2009]. However, because of the complexity and subtlety of modality and negation, it would be impractical to count every clause (such as the [*not rest unless*]{} clause above) that had a nuance of non-factivity.

Semantically-Informed Syntactic MT {#joshua}
==================================

This section describes the incorporation of our structured-based MN tagging into an Urdu-English machine-translation system using [*tree grafting*]{} for combining syntactic symbols with semantic categories (e.g. modality/negation). We note that a [*de facto*]{} Urdu MN tagger resulted from identifying the English MN trigger and target words in a parallel English-Urdu corpus, and then projecting the trigger and target labels to the corresponding words in Urdu syntax trees.

Refinement of Translation Grammars with Semantic Categories
-----------------------------------------------------------

We used synchronous context free grammars (SCFGs) as the underlying formalism for our statistical models of translation. SCFGs provide a convenient and theoretically grounded way of incorporating linguistic information into statistical models of translation, by specifying grammar rules with syntactic non-terminals in the source and target languages. We refine the set of non-terminal symbols so that they not only include syntactic categories, but also semantic categories.

Chiang re-popularized the use of SCFGs for machine translation, with the introduction of his hierarchical phrase-based machine translation system, Hiero. Hiero uses grammars with a single non-terminal symbol “X” rather than using linguistically informed non-terminal symbols. When moving to linguistic grammars, we use Syntax Augmented Machine Translation (SAMT) developed by Venugopal et al. . In SAMT the “X” symbols in translation grammars are replaced with nonterminal categories derived from parse trees that label the English side of the Urdu-English parallel corpus.[^1] We refine the syntactic categories by combining them with semantic categories. Recall this progression was illustrated in Figure \[Evolution-to-SIMT-Joshua\] on page .

We extracted SCFG grammar rules containing modality, negation and named entities using an extraction procedure that requires parse trees for one side of the parallel corpus. While it is assumed that these trees are labeled and bracketed in a syntactically motivated fashion, the framework places no specific requirement on the label inventory. We take advantage of this characteristic by providing the rule extraction algorithm with augmented parse trees containing syntactic labels that have semantic annotations grafted onto them so that they additionally express semantic information.

![A sentence on the English side of the bilingual parallel training corpus is parsed with a syntactic parser, and also tagged with our modality tagger. The tags are then [*grafted*]{} onto the syntactic parse tree to form new categories like VP-TargNOTAble and VP-TargRequire. Grafting happens prior to extracting translation rules, which happens normally except for the use of the augmented trees.[]{data-label="Parse-Tree-for-Sample-Sentence"}](graphics/tree-grafting-figure-new){width="\linewidth"}

Our strategy for producing semantically-grafted parse trees involves three steps:

1.  The English sentences in the parallel training data are parsed with a syntactic parser. In our work, we used the lexicalized probabilistic context free grammar parser provided by Basis Technology Corporation.

2.  The English sentences are MN-tagged by the system described above and named-entity-tagged by the Phoenix tagger [@richman-schone:2008:ACLMain].

3.  The modality/negation and entity markers are grafted onto the syntactic parse trees using a tree-grafting procedure. The grafting procedure was implemented as a part of the SIMT effort. Details are further spelled out in Section \[algorithm\].

Figure \[Parse-Tree-for-Sample-Sentence\] illustrates how modality tags are grafted onto a parse tree. Note that while we focus the discussion here on the modality and negation, our framework is general and we were able to incorporate other semantic elements (specifically, named entities) into the SIMT effort.

Once the semantically-grafted trees have been produced for the parallel corpus, the trees are presented, along with word alignments (produced by the Berkeley aligner), to the rule extraction software to extract synchronous grammar rules that are both syntactically and semantically informed. These grammar rules are used by the decoder to produce translations. In our experiments, we used the Joshua decoder [@Li:2009], the SAMT grammar extraction software [@Venugopal2009], and special purpose-built tree-grafting software.

Figure \[derivation-with-modalities\] shows example semantic rules that are used by the decoder. The verb phrase rules are augmented with modality and negation, taken from the semantic categories listed in Table \[Modalitytable\]. Because these get marked on the Urdu source as well as the English translation, semantically enriched grammars also act as very simple named entity or MN taggers for Urdu. However, only entities, modality, and negation that occurred in the parallel training corpus are marked in the output.

![Example translation rules with tags for modality, negation, and entities combined with syntactic categories.[]{data-label="derivation-with-modalities"}](graphics/example-semantic-derivations-modality){width="3.5in"}

Tree-Grafting Algorithm {#algorithm}
-----------------------

The overall scheme of our tree-grafting algorithm is to match semantic tags to syntactic categories. There are two inputs to the process. Each is derived from a common text file of sentences. The first input is a list of standoff annotations for the semantically tagged word sequences in the input sentences, indexed by sentence number. The second is a list of parse trees for the sentences in Penn Treebank format, indexed by sentence number.

Table \[Modalitytable\] lists the modality/negation types that were produced by the MN tagger. For example, the sentence [*The students are able to swim*]{} is tagged as [*The students are $\langle$TrigAble able$\rangle$ to $\langle$TargAble swim$\rangle$*]{}. The distinction between “Negation” and “NOT” corresponds to the difference between negation that is inherently expressed in the triggering lexical item and negation that is expressed explicitly as a separate lexical item. Thus, [*I achieved my goal*]{} is tagged “Succeed” and [*I did not achieve my goal*]{} is tagged as “NOTSucceed,” but [*I failed to win*]{} is tagged as “SucceedNegation,” and [*I did not fail to win*]{} is tagged as “NOTSucceedNegation.”

  ---------------------- -------------------------
  Require                NOTRequire
  Permit                 NOTPermit
  Succeed                NOTSucceed
  SucceedNegation        NOTSucceedNegation
  Effort                 NOTEffort
  EffortNegation         NOTEffortNegation
  Intend                 NOTIntend
  IntendNegation         NOTIntendNegation
  Able                   NOTAble
  AbleNegation           NOTAbleNegation
  Want                   NOTWant
  WantNegation           NOTWantNegation
  Belief                 NOTBelief
  BeliefNegation         NOTBeliefNegation
  Firm\_Belief           NOTFirm\_Belief
  Firm\_BeliefNegation   NOTFirm\_BeliefNegation
  Negation               
  ---------------------- -------------------------

  : Modality Tags with their Negated Versions. Note that [*Require*]{} and [*Permit*]{} are in a dual relation, and thus RequireNegation is represented as NOTPermit and PermitNegation is represented as NOTRequire.[]{data-label="Modalitytable"}

The tree-grafting algorithm proceeds as follows. For each tagged sentence, we iterate over the list of semantic tags. For each semantic tag, there is an associated word or sequence of words. For example, the modality tag TargAble may tag the word [*swim*]{}.

For each semantically tagged word, we find the parent node in the corresponding syntactic parse tree that dominates that word. For a word sequence, we find and compare the parent nodes for all of the words. Each node in the syntax tree has a category label. The following tests are then made and tree grafts applied:

-   If there is a single node in the parse tree that dominates all and only the words with the semantic tag, graft the name of the semantic tag onto the highest corresponding syntactic constituent in the tree. For example, in Figure \[Parse-Tree-for-Sample-Sentence\], which shows the grafting process for modality tagging, the semantic tag TargNOTAble that “hand over” receives is grafted onto the VB node that dominates all and only the words “hand over.” Then the semantic tag TargNOTAble is passed up the tree to the VP node, which is the highest corresponding syntactic constituent.

-   If the semantic tag corresponds to words that are adjacent daughters in a syntactic constituent, but less than the full constituent, insert a node dominating those words into the parse tree, as a daughter of the original syntactic constituent. The name of the semantic tag is grafted onto the new node and becomes its category label. This is a case of tree augmentation by node insertion.

-   If a syntactic constituent selected for grafting has already been labeled with a semantic tag, overlay the previous tag with the current tag. We chose to tag in this manner simply because our system was not set up to handle the grafting of multiple tags onto a single constituent. An example of this occurs in the sentence “The Muslims had obtained Pakistan.” If the NP node dominating [ *Pakistan*]{} is grafted with a named entity tag such as NP-GPE, we overlay this with the NP-TargSucceed tag in a modality tagging scheme.

-   In the case of a word sequence, if the words covered by the semantic tag fall across two different syntactic constituents, do nothing. This is a case of crossing brackets.

![Results for a range of experiments conducted during the SIMT effort show the score for our top-performing baseline systems derived from a hierarchical phrase-based model (Hiero). Substantial improvements obtained when syntax was introduced along with feature functions (FFs) and further improvements resulted from the addition of semantic elements. The scores are lowercased Bleu calculated on the held-out devtest set.[]{data-label="joshua-experiments"}](graphics/joshua-experiments-scores-revised){width="3.5in"}

Our tree-grafting procedure was simplified to accept a single semantic tag per syntactic tree node as the final result. The algorithm keeps the last tag seen as the tag of precedence. In practice, we established a precedence ordering for modality/negation tags over named entity tags by grafting named entity tags first and modality/negation second. Our intuition was that, in case of a tie, finer-grained verbal categories would be more helpful to parsing than finer-grained nominal categories.[^2] In cases where a word was tagged both as a MN target and a MN trigger, we gave precedence to the target tag. This is because, while MN targets vary, MN triggers are generally identifiable with lexical items. Finally, we used the simplified specificity ordering of MN tags described in Section \[linguistic-simplifications\] to ensure precedence of more specific tags over more general ones. Table \[Modalitytable\] lists the modality/negation types from highest (Require modality) to lowest (Negation) precedence.[^3]

SIMT Results {#results}
------------

We evaluated our tree grafting approach by performing a series of translation experiments. Each version of our translation system was trained on the same bilingual training data. The bilingual parallel corpus that we used was distributed as part of the 2008 NIST Open Machine Translation Evaluation Workshop.[^4] The training set contained 88,108 Urdu-English sentence pairs, and a bilingual dictionary with 113,911 entries. For our development and test sets, we split the NIST MT-08 test set into two portions (with each document going into either test or dev, and preserving the genre split). Our test set contained 883 Urdu sentences, each with four translations into English, and our dev set contained 981 Urdu sentences, each with four reference translations. To extract a syntactically informed translation model, we parsed the English side of the training corpus using a Penn Treebank trained parser [@Miller:1998]. For the experiments that involved grafting named entities onto the parse trees, we tagged the English side of the training corpus with the Phoenix tagger [@richman-schone:2008:ACLMain]. We word-aligned the parallel corpus with the the Berkeley aligner. All models used a 5-gram language model trained on the English Gigaword corpus (v5) using the SRILM toolkit with modified KN smoothing. The Hiero translation grammar was extracted using the Joshua toolkit [@Li:2009]. The other translation grammars were extracted using the SAMT toolkit [@Venugopal2009].

Figure \[joshua-experiments\] gives the results for a number of experiments conducted during the SIMT effort.[^5] The experiments are broken into three groups: baselines, syntax, and semantics. To contextualize our results we experimented with a number of different baselines that were composed from two different approaches to statistical machine translation—phrase-based and hierarchical phrase-based SMT—along with different combinations of language model sizes and word aligners. Our best-performing baseline was a Hiero model. The Bleu score for this baseline on the development set was 22.9 Bleu points.

![An example of the improvements to Urdu-English translation before and after the SIMT effort. Output is from the baseline Hiero model, which does not use linguistic information, and from the final model, which incorporates syntactic and semantic information. []{data-label="final-output"}](graphics/final-output-full){width="4.7in"}

After experimenting with syntactically motivated grammar rules, we conducted experiments on the effects of incorporating semantic elements (e.g., named entities and modality/negation) into the translation grammars. In our devtest set our taggers tagged on average 3.5 named entities per sentence and 0.35 modality/negation markers per sentence. These were included by grafting modality, negation, and named-entity markers onto the parse trees. Individually, each of these made modest improvements over the syntactically-informed system alone. Grafting named entities onto the parse trees improved the Bleu score by 0.2 points. Modality/negation improved it by 0.3 points. Doing both simultaneously had an additive effect and resulted in a 0.5 Bleu score improvement over syntax alone. This improvement was the largest improvement that we got from anything other than the move from linguistically naïve models to syntactically informed models.

We used bootstrap resampling to test whether the differences in Bleu scores were statistically significant [@koehn:2004:EMNLP]. All of the results were a significant improvement over Hiero (at $p\leq0.01$). The difference between the syntactic system and the syntactic system with NEs as not significant ( $p=0.38$). The differences between the syntactic system and the syntactic system with MN, and between the syntactic system and the syntactic system with both MN and NEs were both significant at ($p\leq0.05$).

Figure \[final-output\] shows example output from the final SIMT system in comparison to the pre-SIMT results and the translation produced by a human (reference). An error analysis of this example output illustrates that SIMT enhancements have resulted in the elimination of misleading translation output in several cases:

1.  [**pre-SIMT**]{}: China had the experience of Pakistan’s first nuclear bomb.\
    [**SIMT**]{}: China has the first nuclear bomb test.\
    [**reference**]{}: China has conducted the experiment of Pakistan’s first nuclear bomb.

2.  [**pre-SIMT**]{}: the nuclear bomb in 1998 that Pakistan may experience\
    [**SIMT**]{}: the experience of the atom bomb Pakistan in May 1998\
    [**reference**]{}: the atom bomb, whose experiment was done in 1998 by Pakistan

3.  [**pre-SIMT**]{}: He said that it is also present proof of that Dr. Abdul Qadeer Khan after the Chinese design\
    [**SIMT**]{}: He said that there is evidence that Dr. Abdul Qadeer Khan has also used the Chinese design\
    [**reference**]{}: He said that the proof to this also exists in that Dr. Abdul Qadeer Khan used the Chinese design

The article pertains to claims by Thomas Reid that China allowed Pakistan to detonate a nuclear weapon at its test site. However, in the first example above, the reader is potentially misled by the pre-SIMT output to believe that Pakistan launched a nuclear bomb on China. The SIMT output leaves out the mention of Pakistan, but correctly conveys the firm belief that the bomb event is a [ *test*]{} (closely resembling the term [*experiment*]{} in the human reference), not a true bombing event. This is clearly an improvement over the misleading pre-SIMT output.

In the second example, the pre-SIMT output misleads the reader to believe that Pakistan is (or will be) attacked, through the use of the phrase [*may experience*]{}, where [*may*]{} is poorly placed. (We note here that this is a date translation error, i.e., the month of [*May*]{} should be next to the year 1998, further adding to the potential for confusion.) Unfortunately, the SIMT output also uses the term [*experience*]{} (rather than [*experiment*]{}, which is in the human reference), but in this case the month is correctly positioned in the output, thus eliminating the potential for confusion with respect to the modality. The lack of a modal appropriately neutralizes the statement so that it refers to an abstract event associated with the atom bomb, rather than an attack on the country.

In the third example, where the Chinese design used by Dr. Abdul Qandeer Khan is argued to be proof of the nuclear testing relationship between Pakistan and China, the first pre-SIMT output potentially leads the reader to believe that Dr. Abdul Qadeer is after the Chinese design (not that he actually used it), whereas the SIMT output conveys the firm belief that the Chinese design has been used by Dr. Abdul Qadeer. This output very closely matches the human reference.

Note that even in the title of the article, the SIMT system produces much more coherent English output than that of the linguistically naïve system. The figure also shows improvements due to transliteration, which are described in [@Irvine-PBML]. The scores reported in Figure \[joshua-experiments\] do not include transliteration improvements.

Conclusions and Future Work {#conclusions}
===========================

We developed a modality/negation lexicon and a set of automatic MN taggers, one of which—the structure-based tagger—results in 86% precision for tagging of a standard LDC data set. The MN tagger has been used to improve machine translation output by imposing semantic constraints on possible translations in the face of sparse training data. The tagger is also an important component of a language-understanding module for a related project.

We have described a technique for translation that shows particular promise for low-resource languages. We have integrated linguistic knowledge into statistical machine translation in a unified and coherent framework. We demonstrated that augmenting hierarchical phrase-based translation rules with semantic labels (through “grafting”) resulted in a 0.5 Bleu score improvement over syntax alone.

Although our largest gains were from syntactic enrichments to the Hiero model, demonstrating success on the integration of semantic aspects of language bodes well for additional improvements based on the incorporation of other semantic aspects. For example, we hypothesize that incorporating relations and temporal knowledge into the translation rules would further improve translation quality. The syntactic grafting framework is well-suited to support the exploration of the impact of many different types of semantics on MT quality, though in this article we focused on exploring the impact of modality and negation.

An important future study is one that focuses on demonstrating whether further improvements in modality/negation identification are likely to lead to further gains in translation performance. Such a study would benefit from the inclusion of a more detailed manual evaluation to determine if modality and negation is adequately conveyed in the downstream translations. This work would be additionally enhanced through experimentation on other language pair(s) and larger corpora.

The work presented here represents the first small steps toward a full integration of MT and semantics. Efforts underway in DARPA’s GALE program have already demonstrated the potential for combining MT and semantics (termed [*distillation*]{}) to answer the information needs of monolingual speakers using multilingual sources. Proper recognition of modalities and negation is crucial for handling those information needs effectively. In previous work, however, semantic processing proceeded largely independently of the MT system, operating only on the translated output. Our approach is significantly different in that it combines syntax, semantics, and MT into a single model, offering the potential advantages of joint modeling and joint decision-making. It would be interesting to explore whether the integration of MT with syntax and semantics can be extended to provide a single-model solution for tasks such as cross-language information extraction and question answering, and to evaluate our integrated approach, e.g., using GALE distillation metrics.

Acknowledgments {#acknowledgments .unnumbered}
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We thank Aaron Phillips for help with conversion of the output of the entity tagger for ingest by the tree-grafting program. We thank Anni Irvine and David Zajic for their help with experiments on an alternative Urdu modality/negation tagger based on projection and training an HMM-based tagger derived from Identifinder [@Bikel:1999]. For their helpful ideas and suggestions during the development of the modality framework, we are indebted to Mona Diab, Eduard Hovy, Marge McShane, Teruko Mitamura, Sergei Nirenburg, Boyan Onyshkevych, and Owen Rambow. We also thank Basis Technology Corporation for their generous contribution of software components to this work. This work was supported, in part, by the Johns Hopkins Human Language Technology Center of Excellence (HLTCOE), by the National Science Foundation under grant IIS-0713448, and by BBN Technologies under GALE DARPA/IPTO Contract No. HR0011-06-C-0022. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the sponsor.

[^1]: For non-constituent phrases, composite CCG-style categories are used [@Steedman:1999].

[^2]: In testing we found that grafting named entities first and modality/negation last yielded a slightly higher Bleu score than the reverse order.

[^3]: Future work could include exploring additional methods of resolving tag conflicts or combining tag types on single nodes, e.g. by inserting multiple intermediate nodes (effectively using unary rewrite rules) or by stringing tag names together.

[^4]: <http://www.itl.nist.gov/iad/mig/tests/mt/2008/doc/>

[^5]: These experiments were conducted on the devtest set, containing 883 Urdu sentences (21,623 Urdu words) and four reference translations per sentence. The Bleu score for these experiments is measured on uncased output.
