Professional Documents
Culture Documents
4, 351-377 ( 1973)
i This work was supported by National Science Foundation grants GB-31971X and
GS-2283 to the first author. The report itself was completed during the first author’s
tenure as a John Simon Guggenheim Fellow at the Center for Advanced Study in
the Behavioral Sciences. The authors are indebted to John Greaves of the Department
of Electrical Engineering, University of California at Santa Barbara, for assistance in
preliminary computer explorations of the parameter space of the stimuli and to Dr.
Blake Wattenbarger of the Bell Telephone Laboratories for discovering an omission
in our description of the stimuli in an earlier draft of this paper.
* Requests for reprints should be sent to R. N. Shepard; Department of Psychology,
University of California, Berkeley, California 94720.
351
Copyright 0 1973 by Academic Press, Inc.
All rights of reproduction in any form reserved.
352 SHEPARD AND CERMAK
1 2 3 4 5 6 7 8 9 10
FIG. 1. The 81 free forms, together with the redundant row (J) and column ( 10)
that complete the two circular dimensions of the toroidal surface.
‘Copies of the 81 free-form stimuli can be obtained by writing to the first author
at the Department of Psychology, Stanford University, Stanford, California 94305.
PERCEPTION OF FREE-FORM STIMULI 353
where wn is the weight (or amplitude) and +n is the initial phase angle
(0 2 +n < 27) of the nth sinusoidal harmonic (which has period 2,/n).
Since f(t) has period 2rr, we could replace the linear variable t with
the circular variable 0 in the above equations and have the assurance that
f (8)-treated now as the radial coordinate, T( f?), in a polar coordinate
system-will trace out a closed curve around the origin as 0 makes one
complete circuit from 0 to 2~. In this case, since the sinusoidal harmonic
with period 2rr/n becomes itself a closed curve with n positive lobes, it is
convenient to replace the initial-phase-angle variable, +,?a,with a new
354 SHEPARD
AND CERMAK
variable On = +Jn which can be interpreted as the angular orientation
of that n-lobed component closed curve. The polar-coordinate version of
Eq. 1 then takes the form
f(e) = j lw?lcos[n@
+ &JII, (2)
12=0
where, here, 0 _< On < 277/n only. Note, however, that unless the radial
coordinate, f( 0)) retains the same sign during the entire circuit, the
resulting curve will not be a simple closed curve but will intersect itself
at least once.
Perhaps the most natural way to ensure that f( 0) traces out the kind
of simple closed curve that we require is to apply the exponential trans-
formation which maps the entire real line into just its non-negative half.
We are left, however, with a choice as to whether the exponential is to be
applied (a) after both the weights and the summation, (b) after the
weights but before the summation, or (c) before both the weights and
the summation. The last alternative is perhaps the most closely analogous
to standard Fourier synthesis in that the (exponentially transformed)
elementary closed curves are themselves all simple closed curves of
fixed shape and, particularly, in that the resulting final curve is then a
strictly linear combination of these elementary components. As it hap-
pened, however, we began our experimental work using the second
alternative (b), which takes the form
Nevertheless, since we also chose the weights, We, all to be equal and
close to unity, the degree of departure from the third (more linear)
alternative is quite small for the particular set of 81 free forms shown
in Fig. 1.
from a vector extending horizontally to the right of the origin. The values
of the four fixed angles were chosen so that all of the corresponding
elementary curves would have one lobe pointing straight down. This
ensured that the most prominent hump on all of the final free forms
pointed downward and, hence, minimized any temptation on the part
of subjects to rotate one form into a different orientation in comparing
it with another form.
Given the above-indicated fixed values, a two-dimensional continuum
of free forms can be generated by continuous variation of the two cyclical
free parameters, Q2 (between 0 and 180” ) and ti3 (between 0 and 120” ).
In order to generate a manageably finite set of stimuli, however, we
divided the complete cycle on each dimension into nine equally-spaced
steps (of angles ~19 and 2~127 for B2 and d3, respectively). In this way
we were able to generate a nine-by-nine toroidal set, which can be
opened out into a nine-by-nine square lattice as shown in Fig. 1. (In
order to avoid strict bilateral symmetry in the forms, the nine increments
in tiz and 8, were started from .2 and - .2, respectively.) The appearance
of the n-lobed component curves and the way in which they combined
to synthesize one of the free forms (B3) are illustrated in Fig. 2.
In the generation of each of the 81 closed curves, the computer pro-
all of these
c;
+
one of these
+
one of these
FIG. 2. Steps in the synthesis of a free form. (Here the four fixed components are
combined with the two-lobed component B and the three-lobed component 3 to
yield the final free form B3.)
356 SHEPAFtD AND CERMAK
in the underlying continuous array, there is one other form in the array
that is an exact mirror image of that form. Mirror images are always
situated at equal distances in opposite directions from the points repre-
senting the inherently symmetric forms. Such pairs are only approxi-
mately realized in the finite sample of 81 forms. However, the approxima-
tion is quite close. Thus, corresponding to form B4, for example, there is
the (approximate) mirror image F6, which is equidistant on the opposite
side of the symmetric form D5 in Fig. 1.
Method
Subjects. The Ss were 18 Stanford undergraduates whose participation
partially fulfilled their course requirement for Introductory Psychology.
Procedure. Since it appeared impractical to obtain judgments of sim-
ilarity for all 3240 possible pairs of the 81 stimuli shown in Fig. 1, just
nine representative ones of these forms were selected as “targets,” and
judgments were obtained of the similarity of each of the 81 forms to each
of just these nine targets. Each S was presented with the nine target
forms one at a time in a random order and, for each target, was given a
shuffled deck of two-by-two inch pictures of the 81 forms and was asked
to make a judgment of the similarity of each form in the deck to the
presented target form. He was asked to do this in two stages: first to
select “about 20” forms “which look like, or give the same impression as,
the target,” and second to select from these, by the same kind of process
of one-by-one comparison with the target, “about six” forms “very similar
to the target” and “about ten” forms “next most similar to the target.” In
358 SHEPARD AND CERMAK
short, for each of the nine representative targets, each S finally produced
a small subset of the 81 forms that he perceived as being very similar to
the target, and a disjoint and somewhat larger subset of the 81 forms that
he perceived as being less similar to the target than the forms in the small
first subset but more similar to the target than all of the remaining forms.
Results
1 2 3 4 5 6 7 8 9
e D
D D 0 i n 0 D f D e D
FIG. 3. Isosimilarity contours constructed around points corresponding to the nine
target forms in their two-dimensional parameter space.
PERCEPTION OF FREE-FORM STIMULI 359
chosen after those first three, and (d) the form next most often chosen
after those first four.
The fact that compact contours could be constructed of rather similar
sizes and shapes around all of the nine targets indicates, first, that per-
ceived similarity was in fact strongly determined by spatial proximity
in the underlying parameter space and, second, that this parameter space
is, to a good approximation, psychologically homogeneous or isotropic
throughout. Note for example that, for each of the nine targets, two of
the three other forms most often judged very similar to the target are
always the closest left- and right-hand neighbors of the target in the
two-dimensional array.
Estimation of the relative saliencies of the two dimensions. On the
assumption, then, that the underlying toroidal space is essentially homo-
geneous, the data for all nine targets and for both of the two levels of
judged similarity were combined in order to average out random errors
in the data and, thereby, to permit a more definitive determination of the
shapes of the iso-similarity contours. For each of the nine targets, the
two-dimensional array was first circularly translated around the torus in
the “vertical” and “horizontal” directions in such a way as to bring the
point representing that target into the central position within the same
opened-out square. A combined measure of similarity to the (now cen-
tral) target was then determined for the set of nine forms now corre-
sponding to each of the 81 points in the resulting 9 X 9 array according
to the formula,
2 D
. . . . . . . . . ?I
;.a 5
& z
z
?s b 5
; 4 2
22 z z
a 1 302
b 2 268-267
__
c 2 178-157
d 2 155-139
e 2 127-117
f 2 105- 83
9 2 II- 64
h 2 5s 57
i 2 57- 45
j 16 J4- 18
k 48 14 0
FIG. 4. Isosimilarity contours based upon the pooled data for all nine target forms.
(Ranges of similarity values enclosed within the successive contours are listed on the
right. )
average just about twice as many steps must be made in the horizontal
direction to produce a change that is psychologically equivalent to that
produced by a given number of steps in the vertical direction. Evidently,
if one required that the variations along the two dimensions be equiva-
lent in psychological salience, one would have to increase the weight 20~
relative to w,-at least if the forms are normalized in the manner used
here.
Comparison of fits of the Euclidean and city-block metrics. In con-
structing these contours, it was found that they could be made generally
uniform in shape only by giving them all the somewhat four-cornered or
diamond shape shown in Fig. P-as opposed, in particular, to a more
uniformly rounded, elliptical shape. This was unexpected for such seem-
ingly “unitary” or “unanalyzable” stimuli (Attneave, 1962; Garner &
Felfoldy, 1970; Hyman & Well, 1967, 1968; Shepard, 1966; Torgerson,
1958, pp. 254 & 292), since it suggests that the underlying psychological
metric of the parameter space may be closer to the Minkowslzian “city-
block” metric than to the Euclidean (Shepard, 1966). However, if the
metric is indeed non-Euclidean, then the alignment of the four “corners”
of the iso-similarity contours in the horizontal and vertical directions in
PERCEPTION OF FREE-FORM STIMULI 361
Fig. 4 supports the notions that the two parameters that were chosen for
variation, & and OS,(a) are psychologically orthogonal to each other and
(b) correspond to the psychologically elementary or fundamental direc-
tions of variation in the two-dimensional space of these stimuli.
In order to obtain further evidence concerning the form of the under-
lying metric, the disparity between the two dimensions in Fig. 4 was
essentially eliminated by applying an affine transformation that linearly
stretched the vertical dimension relative to the horizontal by a ratio of
two to one. (The true iso-similarity contours should then approximate
circles or squares tipped through 45” depending upon whether the true
metric approximates the Euclidean or city-block variety, respectively. )
The combined measure of similarity to the target (defined in Eq. 5) was
then plotted as a function of distance from the target in this affinely
normalized space in two different ways: once with distance defined in
accordance with the usual Euclidean formula and once with distance
defined in accordance with the city-block formula. In both cases, the unit
of distance was defined in terms of a one-step displacement along the
(now relatively more compressed) horizontal dimension. Finally, for the
purposes of these two plots, the combined measures of similarity were
averaged for all stimuli that were equidistant from the target according
to both metrics.
The two resulting plots are exhibited in Fig. 5. The filled circles (which
are connected by straight line segments) are for those forms that
differ from the target along no more than one of the two dimensions.
Since the two metrics are the same in these cases, the two curves formed
by the straight line segments are identical in the two plots. The unfilled
circles are for those forms that differed from the target along both dimen-
sions at once. The distances from the target stimulus in all these cases
depend upon which rule of combination is used and, indeed, are always
greater for the city-block than for the Euclidean metric.
The fact that the first eleven of these open circles fall appreciably to
the left of the connected curve for the Euclidean metric, whereas only
the first of these points falls markedly to the right of that curve for the
city-block metric, provides further support for the tentative conclusion
that the underlying metric is closer to the city-block than to the Euclidean
variety. However, the results do not lend themselves to a very strong test.
Note, in particular, that the above statement about the relation of the
unfilled to the filled circles in the Euclidean plot is equivalent to the less
impressive statement that (only) four of the filled circles fall above the
curve formed by the unfilled circles. (Moreover, each of the filled circles
is averaged over data from only half as many cases as for each of the
unfilled circles.) SO, although the pair-wise similarity data point toward
362 SHEPARD AND CERMAK
City-Block
Metric
the unexpected possibility that the psychological metric for these seem-
ingly unitary or unanalyzable stimuli may approximate the city-block
variety, we cannot conclusively establish that the expected Euclidean
metric is reliably violated for these stimuli.
In any case, the plots displayed in Fig. 5 indicate that the combined
measure of similarity decreases in a very orderly, monotone fashion with
increasing distance (however defined) from a reference stimulus in the
two-dimensional parameter space of these free-form stimuli. Quite simi-
lar, if somewhat more rapidly decreasing, monotone functions are also
obtained if we plot simply the average number of times that the forms
in each class were chosen as being “very similar to the target.” Again,
then, the perceived similarities among these forms appear to be essen-
tially determined by the distances among their corresponding points in
parameter space.
Results of a supplementary experiment. Since the results in Expt I
were based upon data from only 18 Ss and, particularly, from only nine
of the 81 possible target forms, we briefly report the results of a further
experiment that, although carried out in a different way, yielded com-
parable data from a larger sample of Ss and targets. The principal dif-
ference in procedure (which facilitates the collection of data from large
numbers of Ss) was that the forms, instead of being presented in a
PERCEPTION OF FREE-FORM STIMULI 363
Method
Subjects. The Ss were 16 Stanford students: eight undergraduates
recruited from Introductory Psychology as before and eight graduate
student volunteers.
Procedure. The experiment was carried out in three phases. The first
and most important phase provided information about the kinds of sub-
groups of these free forms that Ss spontaneously see as having some
perceptual interpretation in common and, incidentally, about the kinds
of verbal labels that they spontaneously use to designate such common
interpretations. Each of the eight graduate student Ss was presented with
a shuffled deck of two-by-two inch pictures of the 81 forms (as in Ex-
periment I). He was then asked to sort the 81 forms into any comfortable
number of groups such that the forms in each group “seem to belong
together” in that they are all seen as representations of the same sort of
thing or object. After completing his sorting, the S was then asked to
give, for each group that he had thus produced, a verbal name or label
to indicate how he perceived or interpreted the forms included in that
group.
Phases Two and Three, then, furnished information about the kinds
of subgroups that (other) Ss produce when they are asked to sort the
forms into subgroups specifically defined by these previously given
names. From the verbal labels produced during Phase One, eight were
seIected for these folIowing phases on the grounds (a) that they seemed
typical of the names frequently and spontaneously produced in Phase
One and (b) that they had been given to subsets that, together, tended
to cover the whole array of 81 forms without entailing an excessive de-
gree of mutual overlap (in that parameter space). In Phase Two, the
eight remaining (undergraduate) Ss were individually asked to sort the
81 forms into eight categories defined by these eight verbal labels. Fol-
lowing that, the wording of four of the eight labels was slightly revised
(in an attempt to reduce a few ambiguities that became evident during
Phase Two), In Phase Three, finally, the original (graduate-student) Ss
were asked to sort the 81 forms into the eight categories defined by these
slightly revised verbal labels.
Results
Spontaneously formed groups and their verbally assigned labels. In
Phase One, the eight individual Ss formed between 5 and 13 mutually
exclusive and exhaustive groups per S, with a mean (over the eight Ss)
of 9.6 different groups. Seven of the eight Ss provided verbal labels for
all but one (“wastebasket”) group, while one S failed to label two of his
PERCEPTION OF FREE-FORM STIMULI 365
(nine) groups. The number of individual free forms included in any one
group for which a name was provided ranged from 2 to 28, with a mean
of 8.3 forms per group (while the residual, unnamed “wastebasket” groups
contained an average of 6.5 forms per group).
Table 1 provides summary information about the kinds of names as-
signed to the spontaneously generated groups at the end of the first
phase. Within each pair of square brackets the first integer indicates the
total number of instances in which a name of that type was given, and
the second integer indicates the number of S’swho gave at least one name
of that type. Thus, under “General Category,” we see that seven of the
eight Ss labeled at least one of their spontaneously generated groups with
TABLE 1
Frequencies With Which Ss Applied Various Categories of Verbal Labels to the
Groups into Which They Had Spontaneously Sorted the Free Forms
(The examples in the next-to-last column are designated
in terms of their rows and columns in Fig. 1.)
a name indicating a human or animal head and also that, between them,
these seven SS produced a total of 30 groups that they labeled in this
way, Finer breakdowns of these statistics are presented in the columns
to the right, while the most general division is given at the left. The pre-
ponderance of terms pertaining to living forms indicates that these free
forms do indeed tend to be perceived as “organic” in nature. The
bracketed integers in the upper left corner, finally, indicate that a grand
total of 69 names were given for spontaneously-produced groups by the
eight Ss in Phase One.
Perceptual ambiguities of the free forms. The nature and readiness of
the verbal labels that the Ss assigned to these free forms, as well as their
own subsequent introspective reports, indicate that Ss readily perceive
these forms as outlines of familiar, three-dimensional objects. Often
several different Ss would independently arrive at the same (or a roughly
equivalent) name for a particular form. Thus, in Phase One, despite the
fact that the choice of names was completely unrestricted, three of the
eight Ss spontaneously described the form designated D5 as a jet air-
plane; and in Phases Two and Three, when the choice of names was
narrowed to just eight alternatives, all but two of the Ss chose the descrip-
tion “delta-wing jet.”
At the same time, other Ss would assign names that suggested that
they were seeing the same forms in quite different ways. Thus (over all
phases) the abovementioned form, D5, elicited the alternative verbal
labels “(sting) ray” (or “skate”) from three Ss, and the label “bird” from
two additional Ss. Even stronger evidence for differences in the way a
form was perceived is furnished by differences in the way in which the
forms were actually grouped, as well as differences merely in the way
in which those groups were then labeled. The two Ss who applied the
label “bird” to D5, for example, differed appreciably from the other SS
in their choices of other forms to be grouped with D5. In conclusion,
these free forms, despite the fact that their differences can be precisely
specified in terms of variation of just two independent parameters, ap-
pear in general to be comparable in cognitive richness to Rorschach ink
blots. An attempt has been made in Fig. 6 to give a partial indication of
the diversity of the perceptual interpretations that tend to be made of
some of these free-form stimuli.
Dispositions of the spontaneously formed groups in parameter space.
A question of some theoretical significance concerns the extent to which
a subset of those forms that are spontaneously grouped together as hav-
ing a common interpretation depart from the compact (circular or
diamond-shaped) and unimodal clusters in parameter space that we
should expect if the assignment of forms to a group were based solely
PERCEPTION OF FREE-FORM STIMULI 367
0 D5
0 D9
--3 G2
c” 18
FIG. 6. Illustrations of how some of the forms may be seen in several quite differ-
ent ways. (For each of the four forms shown on the left, four alternative interpreta-
tions are displayed to the right.)
1 2 3 4,‘5 6 7 8 9
123456789
FIG. 7. Subsets of points in parameter space corresponding to forms that may be
given the same cognitive interpretation. (The verbal label within each contour in-
dicates the kind of interpretation that may occur in that region.)
123456789
H/. . . . . . . .
123456789
FIG. 8. A more detailed breakdown of points corresponding to forms that may be
seen as the head of an animal facing to the right.
A A
B B
C C
D D
E E
F F
FIG. 9. A more concrete illustration of how those forms may be seen as heads of
different kinds of animals facing right.
for slight differences in the wording of Labels 1, 2,4, and 6 during Phase
Two) :
1. Large-nosed face pointing right or small-nosed face left,
2. Large-nosed face pointing left or small-nosed face right,
3. Delta-wing jet,
4. Hawk gliding or wide-winged airplane,
5. African continent,
6. Ray or skate,
7. Africa reversed or a lumpy head,
8. None of the above, garbage.
At an extreme of high consistency in sorting, the label “Delta-wing
jet” led to sortings in which 92% of the forms placed in that category were
either within or at least adjacent to the two compact regions labeled
“Jet and Ray” in Fig. 7, where “adjacent” is here taken to include forms
that are just one step outside these regions in a vertical, horizontal, or
diagonal direction. (Specifically, 7C%were strictly within, while 22% were
adjacent in this sense.) Moreover, the remaining 8% were concentrated
near the two corners labeled “Bird or Axe” in Fig. 7, where the forms
also suggest the outlines of gliding airplanes. Almost as consistently, the
label “African continent” led to sortings in which 81% of the forms were
within or adjacent to the region labeled “Africa” in Fig. 7 (with, here,
46%within and 35% adjacent).
372 SHEPARD AND CJIRhL4K
this purpose, it may prove handy that, in opening out the curved torus
into the flat plane, we are free to make the cuts wherever we wish. Thus,
we can always arrange to bring the stimulus of interest into the central
portion of the flattened array (as was done, here, in Figs. 4 and 9 and in
the experiment supplemental to Experiment I). For, an especially con-
venient way to determine precision or drift and decay of visual memory
might be that in which the S himself is given a suitably opened-out copy
of the whole toroidal array and is asked simply to indicate which free
form is the one that he saw before.
Another interesting question, which we are currently pursuing our-
selves, concerns how memory for the visual shape of one of these free
forms is affected either (a) by presenting it with markings filled in (as
in Fig. 6) to force an interpretation of that form as a particular object
or (b) by presenting it with a verbal instruction merely to imagine the
form as that object (cf., the following discussions of “categorical percep-
tion” and “mental imagery”).
Categorical perception. Liberman and his associates at Haskins Labo-
ratory have reported evidence that in the perception of synthesized speech
sounds, as the physical parameters (e.g., transitions of certain formants)
are continuously varied, the sound is perceived as changing discontinu-
ously from one phoneme to another (Liberman, Harris, Hoffman, &
Griffith, 1957). They have argued, moreover, that such “categorical per-
ception” is unique to perception in the “speech mode” and, so, reverts
to relative continuity whenever the same or comparable stimuli are not
interpreted specifically as speech (Liberman, Cooper, Shankweiler, &
Studdert-Kennedy, 1967; Mattingly, Liberman, Syrdal, & Halwes, 1971).
It seems however that, as we move from one form to the next in Fig. 1,
the way in which those forms are perceived can change either relatively
continuously or discontinuously, depending upon whether we look at
those forms as meaningless two-dimensional shapes or as meaningful
three-dimensional objects. (The first perceptual attitude was compatible
with the instructions in Experiment I, whereas the latter perceptual at-
titude was surely encouraged by the instructions in Experiment II.) There
is at least a suggestion, then, that the phenomenon of categorical per-
ception, demonstrated so clearly by the researchers at Haskins, is not
(as they imply) confined specifically to the perception of speech. Pas-
sibly that phenomenon arises, quite generally, whenever the perception
consists of an interpretive act that carries the perceiver beyond the
immediately given visual or auditory pattern to some relatively more
fixed and discrete object, image, or meaning.
A technique that may permit the investigation of categorical percep-
tion with even more completely natural objects is suggested by the possi-
374 SHEPARD AND CERMAK
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PERCEPTION OF FREE-FORM STIMULI 377