# Knowledge-enhanced Mixed-initiative Dialogue System for Emotional Support Conversations

arXiv: https://arxiv.org/abs/2305.10172 · HTML: https://mlsanity.com/paper/2305.10172/

## Key facts

- Cited by 41 papers in the map (data through 14 Oct 2026).
- Builds on 40 of its 71 references that are in the map.
- First posted on arXiv 17 May 2023.

## Builds on (most cited first, 30 of 40)

- [Attention Is All You Need](https://mlsanity.com/paper/1706.03762/) (2017)
- [RoBERTa: A Robustly Optimized BERT Pretraining Approach](https://mlsanity.com/paper/1907.11692/) (2019)
- [Sentence-BERT: Sentence Embeddings using Siamese BERT-Networks](https://mlsanity.com/paper/1908.10084/) (2019)
- [DailyDialog: A Manually Labelled Multi-turn Dialogue Dataset](https://mlsanity.com/paper/1710.03957/) (2017)
- [Recipes for building an open-domain chatbot](https://mlsanity.com/paper/2004.13637/) (2020)
- [COMET: Commonsense Transformers for Automatic Knowledge Graph Construction](https://mlsanity.com/paper/1906.05317/) (2019)
- [Towards Emotional Support Dialog Systems](https://mlsanity.com/paper/2106.01144/) (2021)
- [Emotional Chatting Machine: Emotional Conversation Generation with Internal and External Memory](https://mlsanity.com/paper/1704.01074/) (2017)
- [Asking Clarifying Questions in Open-Domain Information-Seeking Conversations](https://mlsanity.com/paper/1907.06554/) (2019)
- [MIME: MIMicking Emotions for Empathetic Response Generation](https://mlsanity.com/paper/2010.01454/) (2020)
- [Aspect Sentiment Quad Prediction as Paraphrase Generation](https://mlsanity.com/paper/2110.00796/) (2021)
- [MoEL: Mixture of Empathetic Listeners](https://mlsanity.com/paper/1908.07687/) (2019)
- [CEM: Commonsense-aware Empathetic Response Generation](https://mlsanity.com/paper/2109.05739/) (2021)
- [Proactive Human-Machine Conversation with Explicit Conversation Goals](https://mlsanity.com/paper/1906.05572/) (2019)
- [MISC: A MIxed Strategy-Aware Model Integrating COMET for Emotional Support Conversation](https://mlsanity.com/paper/2203.13560/) (2022)
- [Towards Facilitating Empathic Conversations in Online Mental Health Support: A Reinforcement Learning Approach](https://mlsanity.com/paper/2101.07714/) (2021)
- [A Survey on Proactive Dialogue Systems: Problems, Methods, and Prospects](https://mlsanity.com/paper/2305.02750/) (2023)
- [A Survey on Aspect-Based Sentiment Analysis: Tasks, Methods, and Challenges](https://mlsanity.com/paper/2203.01054/) (2022)
- [Improving Multi-turn Emotional Support Dialogue Generation with Lookahead Strategy Planning](https://mlsanity.com/paper/2210.04242/) (2022)
- [Control Globally, Understand Locally: A Global-to-Local Hierarchical Graph Network for Emotional Support Conversation](https://mlsanity.com/paper/2204.12749/) (2022)
- [A Taxonomy of Empathetic Response Intents in Human Social Conversations](https://mlsanity.com/paper/2012.04080/) (2020)
- [Unified Conversational Recommendation Policy Learning via Graph-based Reinforcement Learning](https://mlsanity.com/paper/2105.09710/) (2021)
- [Knowledge Bridging for Empathetic Dialogue Generation](https://mlsanity.com/paper/2009.09708/) (2020)
- [Evaluating Conversational Recommender Systems via User Simulation](https://mlsanity.com/paper/2006.08732/) (2020)
- [PACIFIC: Towards Proactive Conversational Question Answering over Tabular and Textual Data in Finance](https://mlsanity.com/paper/2210.08817/) (2022)
- [Perspective-taking and Pragmatics for Generating Empathetic Responses Focused on Emotion Causes](https://mlsanity.com/paper/2109.08828/) (2021)
- [Speaker and Time-aware Joint Contextual Learning for Dialogue-act Classification in Counselling Conversations](https://mlsanity.com/paper/2111.06647/) (2021)
- [DiaASQ : A Benchmark of Conversational Aspect-based Sentiment Quadruple Analysis](https://mlsanity.com/paper/2211.05705/) (2022)
- [Evaluating Mixed-initiative Conversational Search Systems via User Simulation](https://mlsanity.com/paper/2204.08046/) (2022)
- [Emotion-aware Chat Machine: Automatic Emotional Response Generation for Human-like Emotional Interaction](https://mlsanity.com/paper/2106.03044/) (2021)

## Built on by (most cited first, 30 of 41)

- [Plug-and-Play Policy Planner for Large Language Model Powered Dialogue Agents](https://mlsanity.com/paper/2311.00262/) (2023)
- [Cue-CoT: Chain-of-thought Prompting for Responding to In-depth Dialogue Questions with LLMs](https://mlsanity.com/paper/2305.11792/) (2023)
- [Building Emotional Support Chatbots in the Era of LLMs](https://mlsanity.com/paper/2308.11584/) (2023)
- [Can Large Language Models be Good Emotional Supporter? Mitigating Preference Bias on Emotional Support Conversation](https://mlsanity.com/paper/2402.13211/) (2024)
- [Beyond Factuality: A Comprehensive Evaluation of Large Language Models as Knowledge Generators](https://mlsanity.com/paper/2310.07289/) (2023)
- [From Personas to Talks: Revisiting the Impact of Personas on LLM-Synthesized Emotional Support Conversations](https://mlsanity.com/paper/2502.11451/) (2025)
- [COOPER: Coordinating Specialized Agents towards a Complex Dialogue Goal](https://mlsanity.com/paper/2312.11792/) (2023)
- [Towards Robust Personalized Dialogue Generation via Order-Insensitive Representation Regularization](https://mlsanity.com/paper/2305.12782/) (2023)
- [Depression Diagnosis Dialogue Simulation: Self-improving Psychiatrist with Tertiary Memory](https://mlsanity.com/paper/2409.15084/) (2024)
- [Rethinking the Alignment of Psychotherapy Dialogue Generation with Motivational Interviewing Strategies](https://mlsanity.com/paper/2408.06527/) (2024)
- [Sibyl: Empowering Empathetic Dialogue Generation in Large Language Models via Sensible and Visionary Commonsense Inference](https://mlsanity.com/paper/2311.15316/) (2023)
- [EmoDynamiX: Emotional Support Dialogue Strategy Prediction by Modelling MiXed Emotions and Discourse Dynamics](https://mlsanity.com/paper/2408.08782/) (2024)
- [A Desideratum for Conversational Agents: Capabilities, Challenges, and Future Directions](https://mlsanity.com/paper/2504.16939/) (2025)
- [Script-Strategy Aligned Generation: Aligning LLMs with Expert-Crafted Dialogue Scripts and Therapeutic Strategies for Psychotherapy](https://mlsanity.com/paper/2411.06723/) (2024)
- [Large Language Models as Source Planner for Personalized Knowledge-grounded Dialogue](https://mlsanity.com/paper/2310.08840/) (2023)
- [AutoPal: Autonomous Adaptation to Users for Personal AI Companionship](https://mlsanity.com/paper/2406.13960/) (2024)
- [ECKGBench: Benchmarking Large Language Models in E-commerce Leveraging Knowledge Graph](https://mlsanity.com/paper/2503.15990/) (2025)
- [Towards Evaluating Proactive Risk Awareness of Multimodal Language Models](https://mlsanity.com/paper/2505.17455/) (2025)
- [Mitigating Unhelpfulness in Emotional Support Conversations with Multifaceted AI Feedback](https://mlsanity.com/paper/2401.05928/) (2024)
- [Emotional Supporters often Use Multiple Strategies in a Single Turn](https://mlsanity.com/paper/2505.15316/) (2025)
- [DecoupledESC: Enhancing Emotional Support Generation via Strategy-Response Decoupled Preference Optimization](https://mlsanity.com/paper/2505.16995/) (2025)
- [Towards Open-Ended Emotional Support Conversations in LLMs via Reinforcement Learning with Future-Oriented Rewards](https://mlsanity.com/paper/2508.12935/) (2025)
- [The Future of Cognitive Strategy-enhanced Persuasive Dialogue Agents: New Perspectives and Trends](https://mlsanity.com/paper/2402.04631/) (2024)
- [DialogXpert: Driving Intelligent and Emotion-Aware Conversations through Online Value-Based Reinforcement Learning with LLM Priors](https://mlsanity.com/paper/2505.17795/) (2025)
- [Towards Reliable and Empathetic Depression-Diagnosis-Oriented Chats](https://mlsanity.com/paper/2404.05012/) (2024)
- [Affective Flow Language Model for Emotional Support Conversation](https://mlsanity.com/paper/2602.08826/) (2026)
- [MHSafeEval: Role-Aware Interaction-Level Evaluation of Mental Health Safety in Large Language Models](https://mlsanity.com/paper/2604.17730/) (2026)
- [Are Large Language Models Possible to Conduct Cognitive Behavioral Therapy?](https://mlsanity.com/paper/2407.17730/) (2024)
- [When LLMs Team Up: The Emergence of Collaborative Affective Computing](https://mlsanity.com/paper/2506.01698/) (2025)
- [Toward Real-World Chinese Psychological Support Dialogues: CPsDD Dataset and a Co-Evolving Multi-Agent System](https://mlsanity.com/paper/2507.07509/) (2025)

## Abstract (arXiv)

Unlike empathetic dialogues, the system in emotional support conversations (ESC) is expected to not only convey empathy for comforting the help-seeker, but also proactively assist in exploring and addressing their problems during the conversation. In this work, we study the problem of mixed-initiative ESC where the user and system can both take the initiative in leading the conversation. Specifically, we conduct a novel analysis on mixed-initiative ESC systems with a tailor-designed schema that divides utterances into different types with speaker roles and initiative types. Four emotional support metrics are proposed to evaluate the mixed-initiative interactions. The analysis reveals the necessity and challenges of building mixed-initiative ESC systems. In the light of this, we propose a knowledge-enhanced mixed-initiative framework (KEMI) for ESC, which retrieves actual case knowledge from a large-scale mental health knowledge graph for generating mixed-initiative responses. Experimental results on two ESC datasets show the superiority of KEMI in both content-preserving evaluation and mixed initiative related analyses.