The inversion effect in infancy: the role of internal and external features

The present work examined the changing role of inner and outer facial features in the recognition of upright and inverted faces in 5-, 7-, and 9-month-olds. Study 1 established that the “inversion effect” (impaired recognition of an inverted face) was present in infants as young as 5 months. In Study 2, internal and external features were inverted separately. Disrupting the internal configuration by inversion impaired recognition at all ages; disrupting the external configuration impaired recognition only at 5-months. In Study 3, an upright familiar face was paired with one having either novel internal or novel external features. The results confirmed that the 5-month-olds used only the external features to recognize faces, whereas older infants were as adept at using internal features as external ones. These findings suggest a shift, after 5 months, away from dependence on external features for face recognition and toward greater reliance on internal ones.     

The role of eyes in early face processing: a rapid adaptation study of the inversion effect

The current study employed a rapid adaptation procedure to test the neuronal mechanisms of the face inversion effect (FIE) on the early face-sensitive event-related potential (ERP) component N170. Five categories of face-related stimuli (isolated eyes, isolated mouths, eyeless faces, mouthless faces, and full faces) and houses were presented in upright and inverted orientations as adaptors for inverted full face test stimuli. Strong adaptation was found for all face-related stimuli except mouths. The adaptation effect was larger for inverted than upright stimuli, but only when eyes were present. These results underline an important role of eyes in early face processing. A mechanism of eye-dependent orientation sensitivity during the structural encoding stage of faces is proposed.     

An inversion effect modified by expertise in capuchin monkeys

The face inversion effect may be defined as the general impairment in recognition that occurs when faces are rotated 180°. This phenomenon seems particularly strong for faces as opposed to other objects and is often used as a marker of a specialized face-processing mechanism. Four brown capuchin monkeys (Cebus apella) were tested on their ability to discriminate several classes of facial and non-facial stimuli presented in both their upright and inverted orientations in an oddity task. Results revealed significantly better performance on upright than inverted presentations of capuchin and human face stimuli, but not on chimpanzee faces or automobiles. These data support previous studies in humans and other primates suggesting that the inversion effect occurs for stimuli for which subjects have developed an expertise.     

Recognition of emotion from inverted schematic drawings of faces

The present study investigated whether facial expressions of emotion are recognized holistically, i.e., all at once as an entire unit, as faces are or featurally as other nonface stimuli. Evidence for holistic processing of faces comes from a reliable decrement in recognition performance when faces are presented inverted rather than upright. If emotion is recognized holistically, then recognition of facial expressions of emotion should be impaired by inversion. To test this, participants were shown schematic drawings of faces showing one of six emotions (surprise, sadness, anger, happiness, disgust, and fear) in either an upright or inverted orientation and were asked to indicate the emotion depicted. Participants were more accurate in the upright than in the inverted orientation, providing evidence in support of holistic recognition of facial emotion. Because recognition of facial expressions of emotion is important in social relationships, this research may have implications for treatment of some social disorders.     

Facial Attention and Spacetime Fragments

Inverting a face impairs perception of its features and recognition of its identity. Whether faces are special in this regard is a current topic of research and debate. Kanizsa studied the role of facial features and environmental context in perceiving the emotion and identity of upright and inverted faces. He found that observers are biased to interpret faces in a retinal coordinate frame, and that this bias is readily overruled by increased realism of facial features, but not easily overruled by environmental context. An additional factor contributing to a retinal coordinate-frame interpretation may be the ambiguous nature of the face stimuli. Since his facial expressions are interpretable both upright and inverted, they may in both orientations activate an endogenous attentional process for faces. We present visual search and change-blindness experiments that explore how inversion, negation, and facial emotion affect visual attention to static faces. We find that attention to faces is impaired by inversion and negation. We also find that the parts of the face that receive greater attention can be influenced by the emotional expression of the face. We propose to extend these experiments to dynamic faces. To this end, we develop a theory of the visual representation of dynamic faces, in which faces are represented by classes of `spacetime fragments'-moving regions of the face with high informational content. We then present ideas for future experiments which are motivated by the spacetime fragment theory, and which should serve to constrain its further development.     

Beyond U-Shaped Development in Infants' Processing of Faces: An Information-Processing Account

The development of the "inversion" effect in face processing was examined in infants 3 to 6 months of age by testing their integration of the internal and external features of upright and inverted faces using a variation of the "switch" visual habituation paradigm. When combined with previous findings showing that 7-month-olds use integrative processing of an upright face, but featural processing of an inverted face (Cohen & Cashon, 2001a), the present findings suggest that from 3 to 7 months, infants' ability to integrate facial features follows an N-shaped developmental pattern for upright faces and an inverted U-shaped pattern for inverted faces. We discuss these results in terms of a set of domain-general information-processing principles.     

The time course of processing external and internal features of unfamiliar faces

The time course of processing internal and external facial features was studied in a sequential face matching task, where first a target face was presented, followed by a test face. The exposure duration of the test face was varied systematically (90, 120, 150 ms, and self-paced). In three tasks, participants were instructed to match either the whole face, only external features, or only internal features of the target and test face. Taken together, the results in all the three tasks provide evidence for very fast matching processes. For upright faces, maximal performance was achieved at 90 ms exposure duration and longer exposure durations (120, 150 ms, self-paced) did not improve accuracy. For inverted whole faces, reduced exposure duration resulted in an increase of matching errors, suggesting that below 150 ms of exposure duration, inverted faces cannot be matched reliably. When matching selected facial features only, no such inversion effect was found. Our data challenges previous claims that external features are matched faster than internal: no difference of time course was found between external and internal features. However, external features were matched more accurately.     

Attention misplaced: the role of diagnostic features in the face-inversion effect

Inversion disproportionately impairs recognition of face stimuli compared to nonface stimuli arguably due to the holistic manner in which faces are processed. A qualification is put forward in which the first point fixated on is different for upright and inverted faces and this carries some of the face-inversion effect. Three experiments explored this possibility by using fixation crosses to guide attention to the eye or mouth region of the to-be-presented faces in different orientations. Recognition was better when the fixation cross appeared at the eye region than at the mouth region. The face-inversion effect was smaller when the eyes were cued than when the mouth was cued or when there was no cueing. The results suggest that the first facial feature attended to is important for accurate face recognition and this may carry some of the effects of inversion.     

Emotional context at learning systematically biases memory for facial information

Emotion influences memory in many ways. For example, when a mood-dependent processing shift is operative, happy moods promote global processing and sad moods direct attention to local features of complex visual stimuli. We hypothesized that an emotional context associated with to-be-learned facial stimuli could preferentially promote global or local processing. At learning, faces with neutral expressions were paired with a narrative providing either a happy or a sad context. At test, faces were presented in an upright or inverted orientation, emphasizing configural or analytical processing, respectively. A recognition advantage was found for upright faces learned in happy contexts relative to those in sad contexts, whereas recognition was better for inverted faces learned in sad contexts than for those in happy contexts. We thus infer that a positive emotional context prompted more effective storage of holistic, configural, or global facial information, whereas a negative emotional context prompted relatively more effective storage of local or feature-based facial information     

Models for the processing and identification of faces

Representations of human faces were constructed from Identi-Kit in a comparison of several possible models of information processing relating to facial recognition. There was no experimental evidence that faces were treated as unitary Gestalten, or that the component features were processed to any significant extent in parallel, even when the stimuli were presented as photographic positives in the normal upright mode. Instead, the best theoretical model to fit the data involved serial self-terminating processing, without replacement. Task difficulty, determining both processing time and number of errors made, was found to be a function both of the number of critical features present and the orientation (upright or inverted). Photographic negatives were handled in every way the same as positives. The more difficult the task, the stronger the evidence for a serial model and the greater the effects of practice. The latter suggests that, given time, Ss could handle inverted presentations as readily as upright ones, and that inversion may merely increase the difficulty in separating out the individual features for subsequent processing.     

The ups and downs of face perception: evidence for holistic encoding of upright and inverted faces

A visual-search task was used to investigate the influence of facial organisation on discrimination of an internal facial feature. Participants searched for a downturned mouth in arrays of one to six faces that differed only in the target feature, with distractor faces containing an upturned mouth. Feature search was tested in four different face contexts: upright unaltered faces, inverted unaltered faces, upright faces in which the internal features were scrambled, or inverted scrambled faces. Normal face organisation facilitated feature search in upright faces, but slowed it in inverted faces. These findings demonstrate an interdependence of features and their configuration in the perceptual analysis of both upright and inverted faces.     

Configurational information in face perception

A new facial composites technique is demonstrated, in which photographs of the top and bottom halves of different familiar faces fuse to form unfamiliar faces when aligned with each other. The perception of a novel configuration in such composite stimuli is sufficiently convincing to interfere with identification of the constituent parts (experiment 1), but this effect disappears when stimuli are inverted (experiment 2). Difficulty in identifying the parts of upright composites is found even for stimuli made from parts of unfamiliar faces that have only ever been encountered as face fragments (experiment 3). An equivalent effect is found for composites made from internal and external facial features of well-known people (experiment 4). These findings demonstrate the importance of configurational information in face perception, and that configurations are only properly perceived in upright faces.     

Facial inversion effects: Parts and whole relationship

“Facial inversion effects” refers to the findings that recognition of inverted faces is less accurate than recognition of upright faces. We now report inversion effects for isolated facial features: forehead, eyes, nose, mouth, and chin. This shows that configurational information extracted from a whole face (i.e., from spatial relationships among the facial features) is not necessary for obtaining the inversion effects. Other factors, such as “upright-orientation,” mental rotation, and feature saliency, account for the inversion effects both in a whole face and in its isolated features. We propose a simple formula that satisfactorily predicts the recognition of a whole face and the inversion effects for that face on the basis of its individual features.     

Discrimination of faces and houses by rhesus monkeys: the role of stimulus expertise and rotation angle

The face inversion effect, or impaired recognition of upside down compared to upright faces, is used as a marker for the configural processing of faces in primates. The inversion effect in humans and chimpanzees is strongest for categories of stimuli for which subjects have considerable expertise, primarily conspecifics’ faces. Moreover, discrimination performance decreases linearly as faces are incrementally rotated from upright to inverted. This suggests that rotated faces must be transformed, or normalized back into their most typical viewpoint before configural processing can ensue, and the greater the required normalization, the greater the likelihood of errors resulting. Previous studies in our lab have demonstrated a general face inversion effect in rhesus monkeys that was not influenced by expertise. Therefore, the present study examined the influence of rotation angle on the visual perception of face and nonface stimuli that varied in their level of expertise to further delineate the processes underlying the inversion effect in rhesus monkeys. Five subjects discriminated images in five orientation angles. Results showed significant linear impairments for all stimulus categories, including houses. However, compared to the upright images, only rhesus faces resulted in worse performance at rotation angles greater than 45°, suggesting stronger configural processing for stimuli for which subjects had the greatest expertise.     

Mental rotation of faces

The effect of orientation upon face recognition was explored in two experiments, which used a procedure adapted from the mental rotation literature. In the first experiment, a linear increase in the RT of same-different judgments was found as the second of a pair of sequentially presented faces was rotated away from the vertical. Also, it was found that the effect of changing facial expression did not interact with orientation. In the second experiment, a linear relationship between RT and orientation was found in a task involving the recognition of famous faces. This recognition task was found to be more affected by inversion than was an expression classification task. These results are interpreted as evidence against the view that inverted faces are processed in a qualitatively different manner from upright faces, and are also inconsistent with the hypothesis that inversion makes faces difficult to recognize because facial expression cannot be extracted from an inverted face.     

Face processing in humans and new world monkeys: the influence of experiential and ecological factors

This study tests whether the face-processing system of humans and a nonhuman primate species share characteristics that would allow for early and quick processing of socially salient stimuli: a sensitivity toward conspecific faces, a sensitivity toward highly practiced face stimuli, and an ability to generalize changes in the face that do not suggest a new identity, such as a face differently oriented. The look rates by adult tamarins and humans toward conspecific and other primate faces were examined to determine if these characteristics are shared. A visual paired comparison (VPC) task presented subjects with either a human face, chimpanzee face, tamarin face, or an object as a sample, and then a pair containing the previous stimulus and a novel stimulus was presented. The stimuli were either presented all in an upright orientation, or all in an inverted orientation. The novel stimulus in the pair was either an orientation change of the same face/object or a new example of the same type of face/object, and the stimuli were shown either in an upright orientation or in an inverted orientation. Preference to novelty scores revealed that humans attended most to novel individual human faces, and this effect decreased significantly if the stimuli were inverted. Tamarins showed preferential looking toward novel orientations of previously seen tamarin faces in the upright orientation, but not in an inverted orientation. Similarly, their preference to look longer at novel tamarin and human faces within the pair was reduced significantly with inverted stimuli. The results confirmed prior findings in humans that novel human faces generate more attention in the upright than in the inverted orientation. The monkeys also attended more to faces of conspecifics, but showed an inversion effect to orientation change in tamarin faces and to identity changes in tamarin and human faces. The results indicate configural processing restricted to particular kinds of primate faces by a New World monkey species, with configural processing influenced by life experience (human faces and tamarin faces) and specialized to process orientation changes specific to conspecific faces.     

How dogs scan familiar and inverted faces: an eye movement study

Faces play an important role in communication and identity recognition in social animals. Domestic dogs often respond to human facial cues, but their face processing is weakly understood. In this study, facial inversion effect (deficits in face processing when the image is turned upside down) and responses to personal familiarity were tested using eye movement tracking. A total of 23 pet dogs and eight kennel dogs were compared to establish the effects of life experiences on their scanning behavior. All dogs preferred conspecific faces and showed great interest in the eye area, suggesting that they perceived images representing faces. Dogs fixated at the upright faces as long as the inverted faces, but the eye area of upright faces gathered longer total duration and greater relative fixation duration than the eye area of inverted stimuli, regardless of the species (dog or human) shown in the image. Personally, familiar faces and eyes attracted more fixations than the strange ones, suggesting that dogs are likely to recognize conspecific and human faces in photographs. The results imply that face scanning in dogs is guided not only by the physical properties of images, but also by semantic factors. In conclusion, in a free-viewing task, dogs seem to target their fixations at naturally salient and familiar items. Facial images were generally more attractive for pet dogs than kennel dogs, but living environment did not affect conspecific preference or inversion and familiarity responses, suggesting that the basic mechanisms of face processing in dogs could be hardwired or might develop under limited exposure.     

An inner face advantage in children's recognition of familiar peers

Children’s recognition of familiar own-age peers was investigated. Chinese children (4-, 8-, and 14-year-olds) were asked to identify their classmates from photographs showing the entire face, the internal facial features only, the external facial features only, or the eyes, nose, or mouth only. Participants from all age groups were familiar with the faces used as stimuli for 1 academic year. The results showed that children from all age groups demonstrated an advantage for recognition of the internal facial features relative to their recognition of the external facial features. Thus, previous observations of a shift in reliance from external to internal facial features can be attributed to experience with faces rather than to age-related changes in face processing.     

Impaired face recognition does not preclude intact whole face perception

We studied intact and impaired processes in a prosopagnosic patient (RP). In Experiment 1, RP showed an inversion superiority effect with both faces and objects, with better performance when stimuli were presented upside down than in normal upright orientation. In Experiment 2, we studied the effect of face configuration directly by comparing matching performance with normal vs. scrambled faces. RP was worse with normal than with scrambled faces, whereas normal controls showed an advantage of a good face context. In Experiment 3, RP showed interference from external face features on the evaluation of internal face features. These results indicate, first, that although RP is impaired in face recognition and face matching, he does still encode the whole face rather than relying completely on parts-based procedures. Second, RP has a deficit at the level of the configural processes involved in finding subtle differences between individual faces, as his performance is worse when presented with a normal face configuration than with scrambled or inverted faces.     

Specificity of face processing without awareness

The recognition memory for inverted faces is especially difficult when compared with that for non-face stimuli. This face inversion effect has often been used as a marker of face-specific holistic processing. However, whether face processing without awareness is still specific remains unknown. The present study addressed this issue by examining the face inversion effect with the technique of binocular rivalry. Results showed that invisible upright faces could break suppression faster than invisible inverted faces. Nevertheless, no difference was found for invisible upright houses and invisible inverted houses. This suggested that face processing without awareness is still specific. Some face-specific information can be processed by high-level brain areas even when that information is invisible.