The face inversion effect—Parts and wholes: Individual features and their configuration

The face inversion effect (FIE) is a reduction in recognition performance for inverted faces (compared to upright faces) that is greater than that typically observed with other stimulus types (e.g., houses). The work of Diamond and Carey, suggests that a special type of configural information, “second-order relational information” is critical in generating this inversion effect. However, Tanaka and Farah concluded that greater reliance on second-order relational information did not directly result in greater sensitivity to inversion, and they suggested that the FIE is not entirely due to a reliance on this type of configural information. A more recent review by McKone and Yovel provides a meta-analysis that makes a similar point. In this paper, we investigated the contributions made by configural and featural information to the FIE. Experiments 1a and1b investigated the link between configural information and the FIE. Remarkably, Experiment 1b showed that disruption of all configural information of the type considered in Diamond and Carey's analysis (both first and second order) was effective in reducing recognition performance, but did not significantly impact on the FIE. Experiments 2 and 3 revealed that face processing is affected by the orientation of individual features and that this plays a major role in producing the FIE. The FIE was only completely eliminated when we disrupted the single feature orientation information in addition to the configural information, by using a new type of transformation similar to Thatcherizing our sets of scrambled faces. We conclude by noting that our results for scrambled faces are consistent with an account that has recognition performance entirely determined by the proportion of upright facial features within a stimulus, and that any ability to make use of the spatial configuration of these features seems to benefit upright and inverted normal faces alike.     

Configural face encoding and spatial frequency information

Configural relations and a critical band of spatial frequencies (SFs) in the middle range are particularly important for face recognition. We report the results of four experiments in which the relationship between these two types of information was examined. In Experiments 1, 2A, and 2B, the face inversion effect (FIE) was used to probe configural face encoding. Recognition of upright and inverted faces and nonface objects was measured in four conditions: a no-filter condition and three SF conditions (low, medium, and high frequency). We found significant FIEs of comparable magnitudes for all frequency conditions. In Experiment 3, discrimination of faces on the basis of either configural or featural modifications was measured under the same four conditions. Although the ability to discriminate configural modifications was superior in the medium-frequency condition, so was the ability to discriminate featural modifications. We conclude that the band of SF that is critical for face recognition does not contribute preferentially to configural encoding.     

Converging evidence of configural processing of faces in high-functioning adults with autism spectrum disorders

There is conflicting evidence about whether individuals with autism spectrum disorder (ASD) demonstrate configural processing of faces. We examined two types of configural processing of unfamiliar faces in high-functioning adults with ASD: Holistic processing (processing a face as a gestalt percept) and processing of second-order relations (the spatial relations among facial features, e.g., distance between two eyes). Compared to age- and IQ-matched typical adults, 17 adults with ASD demonstrated normal holistic processing (as demonstrated by the composite face effect), normal sensitivity to second-order relations in upright faces, and the expected disruption of sensitivity to second-order relations in inverted faces. They were also normal in using the internal features and shape of the external contour to make same/different judgements about facial identity. The results provide converging evidence of configural processing of unfamiliar faces in high-functioning adults with ASD, and bring into question the generalizability of previous reports of abnormal face processing in individuals with ASD.     

Effects of geometric distortions on face-recognition performance

The importance of 'configural' processing for face recognition is now well established, but it remains unclear precisely what it entails. Through four experiments we attempted to clarify the nature of configural processing by investigating the effects of various affine transformations on the recognition of familiar faces. Experiment 1 showed that recognition was markedly impaired by inversion of faces, somewhat impaired by shearing or horizontally stretching them, but unaffected by vertical stretching of faces to twice their normal height. In experiment 2 we investigated vertical and horizontal stretching in more detail, and found no effects of either transformation. Two further experiments were performed to determine whether participants were recognising stretched faces by using configural information. Experiment 3 showed that nonglobal vertical stretching of faces (stretching either the top or the bottom half while leaving the remainder undistorted) impaired recognition, implying that configural information from the stretched part of the face was influencing the process of recognition--ie that configural processing involves global facial properties. In experiment 4 we examined the effects of Gaussian blurring on recognition of undistorted and vertically stretched faces. Faces remained recognisable even when they were both stretched and blurred, implying that participants were basing their judgments on configural information from these stimuli, rather than resorting to some strategy based on local featural details. The tolerance of spatial distortions in human face recognition suggests that the configural information used as a basis for face recognition is unlikely to involve information about the absolute position of facial features relative to each other, at least not in any simple way.     

Recognition of faces and complex objects in younger and older adults

We examined whether (1) age-associated impairments in face recognition are specific to faces or also apply to within-category recognition of other objects and (2) age-related face recognition deficits are related to impairments in encoding second-order relations and holistic information. In Experiments 1 and 2, we found reliable age differences for recognition of faces, but not of objects. Moreover, older adults (OAs) and younger adults (YAs) displayed similar face inversion effects. In Experiment 3, unlike YAs, OAs did not show the expected decline in performance for recognition of composites (Young, Hellawell, and Hay, 1987). In Experiment 4, both OAs and YAs showed a whole/part advantage (Tanaka and Farah, 1993). Our results suggest that OAs have spared function for processing of second-order relations and holistic information. Possible explanations for the finding that OAs have greater difficulty recognizing faces than recognizing other objects are proposed.     

Perceptual biases in processing facial identity and emotion

Normal observers demonstrate a bias to process the left sides of faces during perceptual judgments about identity or emotion. This effect suggests a right cerebral hemisphere processing bias. To test the role of the right hemisphere and the involvement of configural processing underlying this effect, young and older control observers and patients with right hemisphere damage completed two chimeric faces tasks (emotion judgment and face identity matching) with both upright and inverted faces. For control observers, the emotion judgment task elicited a strong left-sided perceptual bias that was reduced in young controls and eliminated in older controls by face inversion. Right hemisphere damage reversed the bias, suggesting the right hemisphere was dominant for this task, but that the left hemisphere could be flexibly recruited when right hemisphere mechanisms are not available or dominant. In contrast, face identity judgments were associated most clearly with a vertical bias favouring the uppermost stimuli that was eliminated by face inversion and right hemisphere lesions. The results suggest these tasks involve different neurocognitive mechanisms. The role of the right hemisphere and ventral cortical stream involvement with configural processes in face processing is discussed.     

Thatcher's children: development and the Thatcher illusion

Children do not show the same recognition disadvantage for inverted faces as adults do. It has been suggested that this is because the configural encoding (which is disrupted by inversion) becomes more useful or available as we get older. The distinction between configural processing and featural processing, however, is not always clear--it may be a dichotomy or a continuum. The perceived normal-to-grotesque switch in the Thatcher illusion was investigated, as the image was rotated, by people aged between 6 and 75 years. No effect of age was found, with young children showing the same effects as adults--the switch occurring at about 72 degrees. The development of face processing and the nature of facial configural encoding are discussed in the light of this result.     

Processing style and person recognition: Exploring the face inversion effect

It has frequently been reported that recognition performance is impaired when faces are presented in an inverted rather than upright orientation, a phenomenon termed the face inversion effect (FIE). Extending previous work on this topic, the current investigation explored whether individual differences in global precedence—the propensity to process nonfacial stimuli in a configural manner—impacts memory for faces. Based on performance on the Navon letter-classification task, two experimental groups were created that differed in relative global precedence (i.e., strong global precedence [SGP] and weak global precedence [WGP]). In a subsequent face-recognition task, results revealed that while both groups demonstrated a reliable FIE, this effect was attenuated among participants displaying WGP. These findings suggest that individual differences in general processing style modulate face recognition.     

The development of perceptual sensitivity to second-order facial relations in children

This study investigated children’s perceptual ability to process second-order facial relations. In total, 78 children in three age groups (7, 9, and 11 years) and 28 adults were asked to say whether the eyes were the same distance apart in two side-by-side faces. The two faces were similar on all points except the space between the eyes, which was either the same or different, with various degrees of difference. The results showed that the smallest eye spacing children were able to discriminate decreased with age. This ability was sensitive to face orientation (upright or upside-down), and this inversion effect increased with age. It is concluded here that, despite early sensitivity to configural/holistic information, the perceptual ability to process second-order relations in faces improves with age and constrains the development of the face recognition ability.     

The time course of face matching for featural and relational image manipulations

It was found recently that horizontal and vertical relationships of facial features are differently vulnerable to inversion (Goffaux & Rossion, 2007). When faces are upside down manipulations of vertical relations are difficult to detect, while only moderate performance deficits are found for manipulations of horizontal relations, or when features differ. We replicate the findings of Goffaux and Rossion, and record the temporal courses of face matching performance and the effects of inversion. For vertical relations and featural changes inversion effects arise immediately, starting with the first 50 ms of processing. For horizontal relations inversion effects are absent at brief timings, but arise later, after about 200 ms. The final magnitudes of inversion effects are different in all three conditions, reaching 23.4% for vertical displacement, 10.7% for feature replacement, and 5.8% for horizontal displacement. Our results underline the special status of horizontal in contrast to vertical feature relations, and indicate that local and global configural information is handled in parallel by specific routines, as proposed recently (Senunkova & Barton, 2008).     

Understanding the role of configural processing in face emotion recognition in Parkinson’s disease

This investigation examined whether impairment in configural processing could explain deficits in face emotion recognition in people with Parkinson’s disease (PD). Stimuli from the Radboud Faces Database were used to compare recognition of four negative emotion expressions by older adults with PD (n = 16) and matched controls (n = 17). Participants were tasked with categorizing emotional expressions from upright and inverted whole faces and facial composites; it is difficult to derive configural information from these two types of stimuli so featural processing should play a larger than usual role in accurate recognition of emotional expressions. We found that the PD group were impaired relative to controls in recognizing anger, disgust and fearful expressions in upright faces. Then, consistent with a configural processing deficit, participants with PD showed no composite effect when attempting to identify facial expressions of anger, disgust and fear. A face inversion effect, however, was observed in the performance of all participants in both the whole faces and facial composites tasks. These findings can be explained in terms of a configural processing deficit if it is assumed that the disruption caused by facial composites was specific to configural processing, whereas inversion reduced performance by making it difficult to derive both featural and configural information from faces.     

The many faces of configural processing

Adults' expertise in recognizing faces has been attributed to configural processing. We distinguish three types of configural processing: detecting the first-order relations that define faces (i.e. two eyes above a nose and mouth), holistic processing (glueing the features together into a gestalt), and processing second-order relations (i.e. the spacing among features). We provide evidence for their separability based on behavioral marker tasks, their sensitivity to experimental manipulations, and their patterns of development. We note that inversion affects each type of configural processing, not just sensitivity to second-order relations, and we review evidence on whether configural processing is unique to faces.     

Explaining the face-inversion effect: the face–scheme incompatibility (FSI) model

The face-inversion effect (FIE) can be viewed as being based on two kinds of findings. According to the face(UI) effect, perception and recognition are better for faces presented upright (U) than for faces presented inverted (I). According to the face/object(UI) effect, inversion impairs the processing of faces more than the processing of nonfacial objects (e.g., buildings or cars). Part I of this article focuses on the face(UI) effect and the configural-processing hypothesis, which is considered the most popular explanatory hypothesis of the FIE. In this hypothesis, it is proposed that inversion impairs the processing of configural information (the spatial relations between features) but hardly (if at all) impairs the processing of featural information (e.g., eyes, nose, and mouth). Part II of the article starts from the conclusion reached in part I, that the configural-processing hypothesis has not succeeded in explaining a substantial number of the findings and in resolving certain theoretical problems. The part then goes on to outline a new alternative model, the face–scheme incompatibility (FSI) model, which contends with these theoretical problems, accounts for the configural-processing hypothesis, succeeds in explaining a considerable portion of the empirical findings related to the face(UI) effect, and proposes a relatively new research program on the concept of the face scheme. The basic assumption of the FSI model is that schemes and prototypes are involved in processing a visual stimulus of a face and in transforming it to a “meaning-bearing” face, and that different schemes are involved if the face is presented upright or inverted.     

Individual differences in (non-visual) processing style predict the face inversion effect

Recent research suggests that individuals with relatively weak global precedence (i.e., a smaller propensity to view visual stimuli in a configural manner) show a reduced face inversion effect (FIE). Coupled with such findings, a number of recent studies have demonstrated links between an advantage for feature-based processing and the presentation of traits associated with autism among the general population. The present study sought to bridge these findings by investigating whether a relationship exists between the possession of autism-associated traits (i.e., as indicated by individuals'"autism quotient" [(AQ) and the size of the FIE. Participants completed an on-line study in which the AQ was measured prior to a standard face recognition task where half of the faces were inverted at test. The results confirmed that higher AQ levels were predictive of smaller FIEs. Implications for a common underlying factor relating to processing orientation are discussed.     

Face inversion disrupts the perception of vertical relations between features in the right human occipito‐temporal cortex

The impact of inversion on the extraction of relational and featural face information was investigated in two fMRI experiments. Unlike previous studies, the contribution of horizontal and vertical spatial relations were considered separately since they have been shown to be differentially vulnerable to face inversion (Goffaux & Rossion, 2007). Hence, inversion largely affects the perception of vertical relations (e.g. eye or mouth height) while the processing of features (e.g. eye shape and surface) and of horizontal relations (e.g. inter‐ocular distance) is affected to a far lesser extent. Participants viewed pairs of faces that differed either at the level of one local feature (i.e. the eyes) or of the spatial relations of this feature with adjacent features. Changes of spatial relations were divided into two conditions, depending on the vertical or horizontal axis of the modifications. These stimulus conditions were presented in separate blocks in the first (block) experiment while they were presented in a random order in the second event‐related (ER) experiment. Face‐preferring voxels located in the right‐lateralized middle fusiform gyrus (rMFG) largely decreased their activity with inversion. Inversion‐related decreases were more moderate in left‐lateralized middle fusiform gyrus (lMFG). ER experiment revealed that inversion affected rMFG and lMFG activity in distinct stimulus conditions. Whereas inversion affected lMFG processing only in featural condition, inversion selectively affected the processing of vertical relations in rMFG. Correlation analyses further indicated that the inversion effect (IE) observed in rMFG and right inferior occipital gyrus (rIOG) reliably predicted the large behavioural IE observed for the processing of vertical relations. In contrast, lMFG IE correlated with the weak behavioural IE observed for the processing of horizontal relations. Our findings suggest that face configuration is mostly encoded in rMFG, whereas more local aspects of face information, such as features and horizontal spatial relations drive lMFG processing. These findings corroborate the view that the vulnerability of face perception to inversion stems mainly from the disrupted processing of vertical face relations in the right‐lateralized network of face‐preferring regions (rMFG, rIOG).     

The horizontal and vertical relations in upright faces are transmitted by different spatial frequency ranges

Faces convey distinct types of information: features and their spatial relations, which are differentially vulnerable to inversion. While inversion largely disrupts the processing of vertical spatial relations (e.g. eyes’ height), its effect is moderate for horizontal relations (e.g. interocular distance) and local feature properties. The SF ranges optimally transmitting horizontal and vertical face relations were here investigated to further address their functional role in face perception. Participants matched upright and inverted pairs of faces that differed at the level of local featural properties, horizontal relations in vertical relations. Irrespective of SF, the inversion effect was larger for vertical than horizontal and featural cues. Most interestingly, SF differentially influenced the processing of vertical, horizontal and featural cues in upright faces. Vertical relations were optimally processed in intermediate SF, which are known to carry useful information for face individuation. In contrast, horizontal relations were best conveyed by high SF, which are involved in the processing of local face properties. These findings not only confirm that horizontal and vertical relations play distinct functional roles in face perception, but they also further suggest a unique role of vertical relations in face individuation.     

A feature-inversion effect: can an isolated feature show behavior like the face-inversion effect?

The face-inversion effect (FIE) is explained by the configural-processing hypothesis. It proposes that inversion disrupts configural information processing (spatial links among facial features) and leaves the processing of featural information (eyes, nose, and mouth) comparatively intact. According to this hypothesis, an inverted isolated facial feature cannot show a feature-inversion effect--that is, behavior similar to the FIE--since all the spatial links between it and the other features in a face are eliminated; that is, the configural information is removed. The findings of the present study, which show that isolated eyes do exhibit the feature-inversion effect, support the extended configural-processing hypothesis. This proposes that inversion also impairs processing of the configural information within the eyes themselves. Removal of the brows in whole faces tended to interfere with processing of the configural information in the upright position but to facilitate processing in the inverted position.     

Face inversion disproportionately impairs the perception of vertical but not horizontal relations between features

Upside-down inversion disrupts the processing of spatial relations between the features of a face, while largely preserving local feature analysis. However, recent studies on face inversion failed to observe a clear dissociation between relational and featural processing. To resolve these discrepancies and clarify how inversion affects face perception, the authors monitored inversion effects separately for vertical and horizontal distances between features. Inversion dramatically declined performance in the vertical-relational condition, but it impaired featural and horizontal-relational performance only moderately. Identical observations were made whether upright and inverted trials were blocked or randomly interleaved. The largest performance decrement was found for vertical relations even when faces were rotated by 90 degrees. Evidence that inversion dramatically disrupts the ability to extract vertical but not horizontal feature relations supports the view that inversion qualitatively changes face perception by rendering some of the processes activated by upright faces largely ineffective.     

Configural and component processing in simultaneous and sequential lineup procedures

Configural processing supports accurate face recognition, yet it has never been examined within the context of criminal identification lineups. We tested, using the inversion paradigm, the role of configural processing in lineups. Recent research has found that face discrimination accuracy in lineups is better in a simultaneous compared to a sequential lineup procedure. Therefore, we compared configural processing in simultaneous and sequential lineups to examine whether there are differences. We had participants view a crime video, and then they attempted to identify the perpetrator from a simultaneous or sequential lineup. The test faces were presented either upright or inverted, as previous research has shown that inverting test faces disrupts configural processing. The size of the inversion effect for faces was the same across lineup procedures, indicating that configural processing underlies face recognition in both procedures. Discrimination accuracy was comparable across lineup procedures in both the upright and inversion condition. Theoretical implications of the results are discussed.     

面孔倒置效应的研究与理论述评

面孔倒置效应是指, 个体对倒置面孔的再认成绩显著低于对正立面孔的再认成绩, 而且, 与普通物体的倒置效应相比, 面孔的倒置效应更大。研究者们针对面孔倒置效应提出了多种理论假说, 两种主要的理论解释是：第一, 倒置面孔破坏了面孔的结构特征, 影响了面孔的整体加工, 所以, 个体对倒置面孔的再认成绩较差; 第二, 眼睛在面孔加工中起重要作用, 尤其在倒置面孔中的作用更明显, 使得倒置面孔N170波幅较高。ERP和fMRI研究提示, 未来研究需要进一步明确眼睛、注意等在面孔倒置效应中的作用。