# What can Short Answer Scoring Models Learn from Cross-prompt Training Data?

Hiroaki Funayama ${ }^{1,2}$ Yuya Asazuma ${ }^{1,2}$
Yuichiroh Matsubayashi $^{1,2}$ Tomoya Mizumoto ${ }^{2}$ Kentaro Inui ${ }^{1,2}$
${ }^{1}$ Tohoku University ${ }^{2}$ RIKEN
$\{$ h. funa, asazuma.yuya.r7 $\}$ dc. tohoku.ac.jp
$\{y . m$, kentaro.inui\}@tohoku.ac.jp tomoya.mizumoto@a.riken.jp
}

\begin{abstract}
For the task of Automatic Short Answer Scoring (ASAS), both rubrics and reference answers differ for every single prompt which requires a need to annotate answers for each in order to construct a highly-effective scoring model. Such need to annotate answers for every prompt is costly, especially in the context of school education and online courses where only a few answers to prompts exist. In this work, we attempt to reduce this burden by first training a model for predicting scores given rubrics and answers of already annotated prompts (adaptive-pretraining). We then fine-tune the model on a small amount of data for each new prompt to be graded. Our experimental results show that adaptive-pretraining with rubrics significantly improve scoring accuracy, especially when the training data is scarce.
\end{abstract
## 1 Introduction

Automatic Short Answer Scoring (ASAS) is the task of automatically scoring a given input (e.g., essays) to a prompt based on existing rubrics and reference answers $[1,2,3,4]$. ASAS has been extensively studied as a means to reduce the burden of manually scoring student answers in both school education and large-scale examinations. Recently, the practical application of ASAS systems has gained much attention, both in school education and e-learning [5, 6, 7]. However, the annotation cost is limited in school education and online courses, making it challenging to obtain sufficient training data for developing ASAS models [8]. The data to train ASAS models must be prepared for each prompt independently, as the rubrics and reference answers are different for each prompt [9]. Those facts are a considerable barrier to the practical application of ASAS systems in these situations. However, whether cross-prompt training of ASAS models can reduce annotation costs is one of the biggest open issues in this field, and few studies have addressed it [10].

Towards answering this question, given that annotated data from other prompts cannot be used directly for training an ASAS model for a specific prompt since the rubrics and reference answers for each prompt are entirely different, we focus on the relationship between the rubrics and the answers. ASAS is a task that assigns a score when an answer implicates an expression described in the rubric. Thus, we can view ASAS as determining implication relations by flexibly matching the semantics between the rubrics and answers. We leverage already annotated prompts to make the model recognize such implication relationships flexibly. Inspired by this idea, we attempt to make a model (i.e., BERT) learn the relationship between rubrics and answers using already annotated prompts (see fig.1). We can't use them directly to train the model because the rubrics contain various information for grading answers. Therefore, we utilize key phrases $[11,12]$, representative examples of expressions that an answer should include to gain scores.

We train BERT on already graded prompts as predicting scores by inputting key phrase/answer pairs (name it adaptive-pretraining). Thorough the adaptive-pretraining, we expect the model will learn the relationship between the key phrase and the expressions in the answers. We then finetune BERT on the prompts to be graded. With adaptivepretraining, we expect to build ASAS models that are more robust against expression variation, especially when the training data is scarce.

In our experiment, we examine the effectiveness of

Figure 1 Overview of our proposed method. We input a key phrase, reference expressions, with an answer. We first adaptive-pretrain the ASAS model on already annotated prompts and then finetune the model on a prompt to be graded.

adaptive-pretrain with key phrases. Our experimental results show that the model performance improves by 0.17 at maximum in Quadratic Weighted Kappa (QWK) by adaptive-pretraining with key phrases.

In addition to our experiments, towards effective ASAS modeling which requires a significant amount of prompts and answers, we contribute 1,0000 new data annotations (20 prompts with 500 answers each) to the RIKEN dataset [11], the only Japanese dataset available for ASAS. We make our data annotations publicly available for academic purposes.

## 2 Method

As mentioned a priori, in this study, we attempt to train ASAS models in a cross-prompt manner in order to reduce the data required to train a model for a new prompt to be graded automatically by leveraging data from already annotated prompts. Specifically, we first train a BERT model to predict scores from pairs of answers and key phrases of the already annotated prompts (adaptive pretrain). Next, we further fine-tune BERT with the small amount of data from the prompt to be graded automatically.

## 2.1 Task definition

In this study, we assume that fully annotated prompts are available. We consider utilizing those annotated prompts to train models for the newly obtained prompts to be graded automatically. Let $P_{\text {known }}$ denote the already annotated prompts and $P_{\text {target }}$ denote the newly obtained prompts to be graded. Suppose $X_{p}$ represents a set of all possible student's answers of a given prompt $p \in P$, and $\mathbf{x} \in X_{p}$ is an answer. The prompt has an integer score range from
0 to $N$, which is basically defined in rubrics. Namely, the score for each answer is selected from one of the integer set $S=\{0, \ldots, N\}$. Therefore, we can define the ASAS task as assigning one of the scores $s \in S$ for each given input $\mathbf{x} \in X_{p}$. Moreover, to construct an ASAS model means to construct a regression function $m$ from every input of student answer $\mathbf{x} \in X$ to a score $s \in S$, that is, $m: X \rightarrow S$.

## 2.2 Scoring model

A typical, recent approach to constructing a mapping function $m$ is the use of newly developed deep neural networks (DNNs). As discussed a priori, the set of scores $S$ consists of several consecutive integers $\{0, \ldots, N\}$. Suppose $D$ is training data that consist of a set of actually obtained student's answers $\mathbf{x}$ and its corresponding human annotated score $s$ pairs, that is, $D=\left(\left(\mathbf{x}_{i}, s_{i}\right)\right)_{i=1}^{I}$, where $I$ is the number of training data. To train the model $m$, we try to minimize the Mean Squared Error (MSE) loss on training data $L_{m}(D)$ calculated using model $m$. Therefore, we can write the training process of the SAS model as the following minimization problem:

$m=\underset{m^{\prime}}{\operatorname{argmin}}\left.\{L_{m^{\prime}}(D)\right.\}, \quad L_{m}(D)=\frac{1}{|D|} \sum_{(\mathbf{x}, s) \in D}(s-m(\mathbf{x}))^{2}$,

where $m(\mathbf{x})$ represents the calculated prediction of model $m$ given input $\mathbf{x}$. Once $m$ is obtained, we can predict the score $\widehat{s}$ of any input (student answer) by using trained model $m$ as $\widehat{s}=m(\mathbf{x})$.

## 2.3 Adaptive-pretrain with rubrics

## 2.3.1 Key phrase

A key phrase is a representative example of the expressions that an answer must contain in order to gain scores. In general, rubrics are difficult to utilize directly because they detail the information and properties that an answer must contain in order to score. In general, it is difficult to use rubrics for training models directly because they detail the information and expressions that an answer must contain to gain scores. Therefore, we utilize key phrases such as those shown in Figure 2.

## 2.3.2 Adaptive-pretrain

As described in Section 2.1, we utilize data from already annotated prompts $P_{\text {known }}$ to train models for prompts $P_{\text {target }}$ to be graded. For each prompt $p \in P$, there exists a key phrase $k_{p}$.We separate the key phrase $k_{p}$ of prompt $p$ and the i-th answer $x_{p, i}$ of prompt $p$ by [SEP] as the sequence $t_{p, i}=\left.\{k_{p},[S E P], \mathbf{x}_{\mathbf{p}, \mathbf{i}}\right.\}$. Then, we construct data for adaptive-pretraining as:

$
D_{\text {adap }}=\left.\{\left(t_{p, i}, s_{p, i}\right) \mid p \in=P_{\text {known }}\right.\}_{i=1}^{I}
$

We train the BERT-based regression model on this dataset $\mathscr{D}_{\text {adap }}$ to obtain model $m_{\text {adap }}$ :

$
m_{\text {adap }}=\underset{m^{\prime}}{\operatorname{argmin}}\left.\{L_{m^{\prime}}\left(D_{\text {adap }}\right)\right.\}
$

We refer to models trained on existing graded prompts as adaptive-pretraining.

Next, we further fine-tune the adaptive-pretrained model on $p \in P_{\text {target }}$ to obtain a model $m_{p}$ for prompt $p$.

$
m_{p}=\underset{m^{\prime}}{\operatorname{argmin}}\left.\{L_{m^{\prime}}\left(D_{p}\right.\},\right.
$

## 3 Experiment

## 3.1 Dataset

We use the RIKEN dataset, the only publicly available Japanese SAS dataset ${ }^{1)}$ provided in [11]. As mentioned in Section.1, we extend the dataset to conduct this research. Each prompt in the RIKEN dataset has several scoring rubrics (i.e., analytic criterion [11]), and an answer is manually graded based on each analytic criterion independently


Figure 2 Example of a prompt, scoring rubric, and student's answers excerpted from RIKEN dataset [11] and translated from Japanese to English. For space reasons, some parts of the rubrics and answers are omitted.

(i.e., analytic score). Thus, following [13], we treat this analytic criterion as an individual scoring task. For simplicity, we refer to each analytic criterion as a single prompt in this paper. In this way, we consider that there are a total of 109 prompts in this dataset.

In our experiment, we used 21 prompts as $P_{\text {target }}$ to evaluate the effectiveness of adaptive-pretraining (see Appendix for detailed information regarding 3 ). For adaptivepretraining, we used all remaining 88 prompts consisting of 480 answers per prompt for training the model and 20 answers per prompt as devset.

## 3.2 Setting

As described in Section 2.2, we used pretrained BERT [14] as the encoder for the automatic scoring model and use the vectors of CLS tokens as feature vectors for predicting answers ${ }^{2}$

Similar to previous studies $[11,15,2]$, we use a Quadratic Weighted Kappa (QWK) [16], a de facto standard evaluation metric in ASAS, in the evaluation of our models. The scores were normalized to a range from 0 to 1 according to previous studies [15,11]. QWK was measured by re-scaling when evaluated on the test set. We train a model for 5 epochs in the adaptive-pretraining process. We then fine-tune the adaptive-pretrained model for 10 epochs. In the setting without adaptive-pretraining process, we fine-tune the model for 30 epochs. We computed the QWK of the dev set at the end of each epoch


Table 1 QWK and standard deviation of four settings; with and without adaptive-pretraining, and with and without rubrics (keyphrase). In the adaptive-pretraining phase, we use 88 prompts, 480 answers per prompt. We change the amount of data for finetuning as 25,50 , 100 , and 200 .

} & \multicolumn{2}{c}{ w/ Adaptive-pretraining } & \multicolumn{2}{c}{ w/o Adaptive-pretraining } \\
\cline { 2 - 5 } & w/ rubric & w/o rubric & w/ rubric & w/o rubric \\

50 & $0.74 \pm 0.01$ & $0.62 \pm 0.02$ & $0.64 \pm 0.02$ & $0.64 \pm 0.01$ \\
100 & $0.78 \pm 0.01$ & $0.70 \pm 0.02$ & $0.73 \pm 0.02$ & $0.73 \pm 0.01$ \\
200 & $0.81 \pm 0.01$ & $0.77 \pm 0.01$ & $0.80 \pm 0.01$ & $0.79 \pm 0.01$ \\

in fine-tuning process and evaluated the test set using the parameters with the maximum QWK.

## 3.3 Results

Table 2 QWK and standard deviation when the total number of answers used for adaptive-pretrain is fixed at 1,600 and the number of questions used is varied from $5,10,20,40,80.50$ training data were used for finetuning.

 & QWK \\

10 & 160 & $0.68 \pm 0.02$ \\
20 & 80 & $0.74 \pm 0.01$ \\
40 & 40 & $0.74 \pm 0.01$ \\
80 & 20 & $0.74 \pm 0.00$ \\

We first compared the performance with and without adaptive pretraining and with and without scoring criteria. Here, similar to [11], we experimented with 25 , 50, 100, and 200 training data instances in the fine-tuning phase. The results are shown in Table 1. First, we can see that adaptive pretraining without key phrases does not improve the model performance. Similarly, using only key phrases without adaptive pretraining does not improve scoring accuracy. QWK improves significantly only when key phrases are used and when adaptive-pretrain is performed. The gain was notably large when the training data was scarce, with a maximum improvement of about 0.17 in QWK when using 25 answers for fine-tuning. On the other hand, the performance did not improve when we used 200 answers in training, which indicates that adaptivepretraining does not benefit when sufficient training data is available. Furthermore, it is also suggested that the adaptive pretraining with key phrases can reduce the required training data by half while maintaining the same perfor- mance. Note that the results without adaptive-pretrain are comparable to the results of the baseline model shown in [11].

Impact of the number of prompts used for adaptive-pretraining Next, we examined how changes in the number of prompts affect adaptive-pretrain: we fixed the total number of answers used for the adaptive-pretrain at 1,600 and varied the number of prompts between 5, 10, 20,40 , and 80 . We performed fine-tuning using 50 answers for each prompt. The results are shown in Table 2. The QWK is 0.68 when the number of prompts is 5 or 10 , indicating that the effectiveness of adaptive-pretraining is inferior when the number of prompts is less than 20 . This suggests that a sufficient number of prompts are required for effective adaptive-pretraining. It also suggests that increasing the number of prompts is more effective for adaptive-pretraining than increasing the number of answers per prompts.

## 4 Conclusion

The limited cost of annotation for data has been a major obstacle in deploying ASAS systems into school education and online learning courses. To tackle this problem, we considered utilizing already annotated prompts. Specifically, we first performed adaptive-pretraining for a BERTbased regression model using the answers and key phrases of the annotated questions. We then further fine-tuned the BERT model with a small amount of data on the prompt we want to grade automatically.

Experimental results showed that adaptive-pretraining with key phrases greatly improves the performance of the model, especially when the training data is scarce. We also discovered that adaptive-pretraining can reduce the amount of required training data by half while maintaining the same performance.

## Acknowledgement

We are grateful to Dr. Paul Reisert for their writing and editing assistance. This work was supported by JSPS KAKENHI Grant Number 22H00524, JP19K12112, JST SPRING, Grant Number JPMJSP2114. We also appreciate Takamiya Gakuen Yoyogi Seminar for providing the valuable data.

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## A List of prompts used in the evaluation

In this study, we considered the use of already annotated prompts for constructing ASAS models for new prompts to be graded. Therefore, in the experiments, we divided all prompts into two categories, prompts used for adaptive pretraining (already annotated prompts) and prompts used for the evaluation (prompts to be graded). We shows the list of prompts used for the evaluation in table 3 . We used all prompts except those in this table for adaptive-pretrain.

Table 3 List of the prompts and analytic criterion used for the evaluation.


 Hiroaki Funayama ${ }^{1,2}$ Yuya Asazuma ${ }^{1,2}$ Yuichiroh Matsubayashi $^{1,2}$ Tomoya Mizumoto ${ }^{2}$ Kentaro Inui ${ }^{1,2}$ ${ }^{1}$ Tohoku University ${ }^{2}$ RIKEN $\{$ h. funa, asazuma.yuya.r7 $\}$ dc. tohoku.ac.jp $\{y . m$, kentaro.inui\}@tohoku.ac.jp tomoya.mizumoto@a.riken.jp }  \begin{abstract} For the task of Automatic Short Answer Scoring (ASAS), both rubrics and reference answers differ for every single prompt which requires a need to annotate answers for each in order to construct a highly-effective scoring model. Such need to annotate answers for every prompt is costly, especially in the context of school education and online courses where only a few answers to prompts exist. In this work, we attempt to reduce this burden by first training a model for predicting scores given rubrics and answers of already annotated prompts (adaptive-pretraining). We then fine-tune the model on a small amount of data for each new prompt to be graded. Our experimental results show that adaptive-pretraining with rubrics significantly improve scoring accuracy, especially when the training data is scarce. \end{abstract 