Brain and behavioral indices of retrieval mode

Top-Down Task Goals Induce the Retrieval State

Engaging the retrieval state (Tulving, 1983) impacts processing and behavior (Long and Kuhl, 2019, 2021; Smith et al., 2022), but the extent to which top-down factors-explicit instructions and goals-versus bottom-up factors-stimulus properties such as repetition and similarity-jointly or independently induce the retrieval state is unclear. Identifying the impact of bottom-up and top-down factors on retrieval state engagement is critical for understanding how control of task-relevant versus task-irrelevant brain states influence cognition. We conducted between-subjects recognition memory tasks on male and female human participants in which we varied test phase goals. We recorded scalp electroencephalography and used an independently validated mnemonic state classifier (Long, 2023) to measure retrieval state engagement as a function of top-down task goals (recognize old vs detect new items) and bottom-up stimulus repetition (hits vs correct rejections (CRs)). We find that whereas the retrieval state is engaged for hits regardless of top-down goals, the retrieval state is only engaged during CRs when the top-down goal is to recognize old items. Furthermore, retrieval state engagement is greater for low compared to high confidence hits when the task goal is to recognize old items. Together, these results suggest that top-down demands to recognize old items induce the retrieval state independent from bottom-up factors, potentially reflecting the recruitment of internal attention to enable access of a stored representation.

Top-down task goals induce the retrieval state

Engaging the retrieval state (Tulving, 1983) impacts processing and behavior (Long & Kuhl, 2019, 2021; Smith, Moore, & Long, 2022), but the extent to which top-down factors - explicit instructions and goals - vs. bottom-up factors - stimulus properties such as repetition and similarity - jointly or independently induce the retrieval state is unclear. Identifying the impact of bottom-up and top-down factors on retrieval state engagement is critical for understanding how control of task-relevant vs. task-irrelevant brain states influence cognition. We conducted between-subjects recognition memory tasks on male and female human participants in which we varied test phase goals. We recorded scalp electroencephalography and used an independently validated mnemonic state classifier (Long, 2023) to measure retrieval state engagement as a function of top-down task goals (recognize old vs. detect new items) and bottom-up stimulus repetition (hits vs. correct rejections). We find that whereas the retrieval state is engaged for hits regardless of top-down goals, the retrieval state is only engaged during correct rejections when the top-down goal is to recognize old items. Furthermore, retrieval state engagement is greater for low compared to high confidence hits when the task goal is to recognize old items. Together, these results suggest that top-down demands to recognize old items induce the retrieval state independent from bottom-up factors, potentially reflecting the recruitment of internal attention to enable access of a stored representation.

Significance Statement

Both top-down goals and automatic bottom-up influences may lead us into a retrieval brain state - a whole-brain pattern of activity that supports our ability to remember the past. Here we tested the extent to which top-down vs. bottom-up factors independently influence the retrieval state by manipulating participants' goals and stimulus repetition during a memory test. We find that in response to the top-down goal to recognize old items, the retrieval state is engaged for both old and new probes, suggesting that top-down and bottom-up factors independently engage the retrieval state. Our interpretation is that top-down demands recruit internal attention in service of the attempt to access a stored representation.

The intersection of the retrieval state and internal attention

Large-scale brain states or distributed patterns of brain activity modulate downstream processing and behavior. Sustained attention and memory retrieval states impact subsequent memory, yet how these states relate to one another is unclear. I hypothesize that internal attention is a central process of the retrieval state. The alternative is that the retrieval state specifically reflects a controlled, episodic retrieval mode, engaged only when intentionally accessing events situated within a spatiotemporal context. To test my hypothesis, I developed a mnemonic state classifier independently trained to measure retrieval state evidence and applied this classifier to a spatial attention task. I find that retrieval state evidence increases during delay and response intervals when participants are maintaining spatial information. Critically, retrieval state evidence is positively related to the amount of maintained spatial location information and predicts target detection reaction times. Together, these findings support the hypothesis that internal attention is a central process of the retrieval state.

Random number generation and the ability of mentally reconstructing context in patients with organic amnesia

Studies investigating amnesic patients have shown the involvement of the medial temporal lobe during working memory (WM) tasks, especially when multiple items or features have to be associated. However, so far, no study has examined the relationship between episodic memory and WM components in patients with amnesia for comprehensive neuropsychological evaluation.

Objective

The objective of this study was to investigate whether the null retention relates to deficits in the episodic buffer (EB) or the central executive (CE) components of WM.

Methods

This study included 15 amnesic patients with mixed etiologies and 13 matched healthy controls. These 15 amnesic patients with mixed etiologies were divided into two subgroups: NUL subgroup (n=7) patients whose raw score was 0 (zero) on the Logical Memory delayed recall test and MOR subgroup (n=8) patients who recalled at least 1 item. The EB was assessed by complex span tasks, and the CE was assessed by random number generation (RNG) test.

Results

EB tasks were impaired in both subgroups compared with controls. RNG was impaired in NUL (p=0.03), but not in MOR (p=0.99), subgroup.

Conclusions

CE impairment hampers the retrieval mode action, preventing it from initiating the mental reconstruction of the context in which the to-be-remembered information was presented minutes ago.

Context influences the FN400 recognition event-related potential

Recognition of studied items often elicit more positive event-related potentials (ERPs) than unstudied items at mid-frontal electrodes about 300-500 ms (i.e., the FN400). The debate over the psychological processes associated with the FN400 has led to two competing hypotheses. One hypothesis is that the FN400 reflects familiarity, whereas another hypothesis is that it reflects conceptual implicit memory (i.e., conceptual fluency). The present experiment tested these hypotheses by presenting meaningless images that lack familiarity and conceptual fluency, off-brand products that lack pre-experimental familiarity, and name-brand products that have both pre-experimental familiarity and conceptual fluency. ERPs were recorded during judgments of lifetime and recent recognition. During both forms of recognition, ERPs in the FN400 window were greater for meaningless images than name- or off-brand products. Because this evidence is difficult to reconcile with either the familiarity or conceptual fluency hypotheses, the results are interpreted within a broader theoretical framework that includes top-down psychological (i.e., context) influences on the FN400.

On the sensitivity of event-related potentials to retrieval mode

Event-related potential (ERP) signatures of preparation to retrieve episodic memories have been identified in several studies. A common finding is relatively more positive-going ERP activity over right-frontal sites when people prepare for episodic rather than semantic retrieval. This activity has been linked to the process of retrieval mode - a retrieval set that ensures subsequent events are treated as cues for episodic retrieval. This experiment was designed to test one explanation for why this putative index of retrieval mode was not observed in two recent experiments. Towards this end, ERPs were recorded time-locked to different task-cues indicating which of two retrieval tasks participants should prepare to complete. Each task-cue was followed by a retrieval-cue that required a memory judgment. Departures from the designs of the two studies in which null ERP results were obtained were intra-trial timings and the order in which task cues were presented. Frequentist statistics revealed that ERPs elicited by the task-cues did index preparation to retrieve. The topographies of these activities, however, did not overlap markedly with that of the putative index of retrieval mode reported previously. Bayesian analyses, moreover, provided little compelling evidence for a signature of retrieval mode. These outcomes prompt consideration of how ERP sensitivities to preparatory retrieval processing should be characterized.

Pre-retrieval event-related potentials predict source memory during task switching

Neural activity preceding memory probes differs according to retrieval goals. These divergences have been linked to retrieval orientations, which are content-specific memory states that bias retrieval towards specific contents. Here, participants were cued to retrieve either spatial location or encoding operations. On the first trial of each memory task (‘switch’ trials), preparatory ERPs preceding correct source memory judgments differed according to retrieval goal, but this effect was absent preceding memory errors. Initiating appropriate retrieval orientations therefore predicted criterial recollection. Preparatory ERPs on the second trial of each memory task (i.e. ‘stay’ trials) also differed according to retrieval goal, but the polarity of this effect was reversed from that observed on switch trials and the effect did not predict memory accuracy. This was interpreted as a correlate of retrieval orientation maintenance, with initiation and maintenance forming dissociable components of these goal-directed memory states. More generally, these findings highlight the importance of pre-retrieval processes in episodic memory.

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Pre-retrieval ERPs diverged according to cues signalling two different episodic tasks.

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This index predicted memory accuracy on the first trial of each task.

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The initiation of task-specific retrieval orientations influences criterial recollection.

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An orientation effect of reversed polarity on subsequent trials was linked with maintenance.

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All pre-retrieval ERP effects were maximal at frontal electrode sites.

Preparation breeds success: Brain activity predicts remembering

Successful retrieval of episodic information is thought to involve the adoption of memory states that ensure that stimulus events are treated as episodic memory cues (retrieval mode) and which can bias retrieval toward specific memory contents (retrieval orientation). The neural correlates of these memory states have been identified in many neuroimaging studies, yet critically there is no direct evidence that they facilitate retrieval success. We cued participants before each test item to prepare to complete an episodic (retrieve the encoding task performed on the item at study) or a non-episodic task. Our design allowed us to separate event-related potentials (ERPs) elicited by the preparatory episodic cue according to the accuracy of the subsequent memory judgment. We predicted that a correlate of retrieval orientation should be larger in magnitude preceding correct source judgments than that preceding source errors. This hypothesis was confirmed. Preparatory ERPs at bilateral frontal sites were significantly more positive-going when preceding correct source judgments than when preceding source errors or correct responses in a non-episodic baseline task. Furthermore this effect was not evident prior to recognized items associated with incorrect source judgments. This pattern of results indicates a direct contribution of retrieval orientation to the recovery of task-relevant information and highlights the value of separating preparatory neural activity at retrieval according to subsequent memory accuracy. Moreover, at a more general level this work demonstrates the important role of pre-stimulus processing in ecphory, which has remained largely neglected to date.

On the functional significance of retrieval mode: Task switching disrupts the recollection of conceptual stimulus information from episodic memory

Episodic memory retrieval is assumed to be associated with the tonic cognitive state of retrieval mode. Despite extensive research into the neurophysiological correlates of retrieval mode, as of yet, relatively little is known about its functional significance. The present event-related potential (ERP) study was aimed at examining the impact of retrieval mode on the specificity of memory content retrieved in the course of familiarity and recollection processes. In two experiments, participants performed a recognition memory inclusion task in which they had to distinguish identically repeated and re-colored versions of study items from new items. In Experiment 1, participants had to alternate between the episodic memory task and a semantic task requiring a natural/artificial decision. In Experiment 2, the two tasks were instead performed in separate blocks. ERPs locked to the preparatory cues in the test phases indicated that participants did not establish retrieval mode on switch trials in Experiment 1. In the absence of retrieval mode, neither type of studied item elicited ERP correlates of familiarity-based retrieval (FN400). Recollection-related late positive complex (LPC) old/new effects emerged only for identically repeated but not for conceptually identical but perceptually changed versions of study items. With blocked retrieval in Experiment 2, both types of old items instead elicited equivalent FN400 and LPC old/new effects. The LPC data indicate that retrieval mode may play an important role in the successful recollection of conceptual stimulus information. The FN400 results additionally suggest that task switching may have a detrimental effect on familiarity-based memory retrieval.

Lingering Cognitive States Shape Fundamental Mnemonic Abilities

Why are people sometimes able to recall associations in exquisite detail while at other times left frustrated by the deficiencies of memory? Although this apparent fickleness of memory has been extensively studied by investigating factors that build strong memory traces, researchers know less about whether memory success also depends on cognitive states that are in place when a cue is encountered. Motivating this possibility, neurocomputational models propose that the hippocampus's capacity to support associative recollection (pattern completion) is biased by persistent neurochemical states, which can be elicited by exposure to familiarity and novelty. We investigated these models' behavioral implications by assessing how recent familiarity influences different memory-retrieval processes. We found that recent familiarity selectively benefitted associative memory (Experiment 1) and that this effect decayed over seconds (Experiment 2), consistent with the timescale of hippocampal neuromodulation. Thus, we show that basic memory computations can be shaped by a subtle, biologically motivated manipulation.

The role of retrieval mode and retrieval orientation in retrieval practice: insights from comparing recognition memory testing formats and restudying

The effectiveness of retrieval practice for aiding long-term memory, referred to as the testing effect, has been widely demonstrated. However, the specific neurocognitive mechanisms underlying this phenomenon remain unclear. In the present study, we sought to explore the role of pre-retrieval processes at initial testing on later recognition performance by using event-related potentials (ERPs). Subjects studied two lists of words (Chinese characters) and then performed a recognition task or a source memory task, or restudied the word lists. At the end of the experiment, subjects received a final recognition test based on the remember-know paradigm. Behaviorally, initial testing (active retrieval) enhanced memory retention relative to restudying (passive retrieval). The retrieval mode at initial testing was indexed by more positive-going ERPs for unstudied items in the active-retrieval tasks than in passive retrieval from 300 to 900 ms. Follow-up analyses showed that the magnitude of the early ERP retrieval mode effect (300-500 ms) was predictive of the behavioral testing effect later on. In addition, the ERPs for correctly rejected new items during initial testing differed between the two active-retrieval tasks from 500 to 900 ms, and this ERP retrieval orientation effect predicted differential behavioral testing gains between the two active-retrieval conditions. Our findings confirm that initial testing promotes later retrieval relative to restudying, and they further suggest that adopting pre-retrieval processing in the forms of retrieval mode and retrieval orientation might contribute to these memory enhancements.

On the Antecedents of an Electrophysiological Signature of Retrieval Mode

It has been proposed that people employ a common set of sustained operations (retrieval mode) when preparing to remember different kinds of episodic information. In two experiments, however, there was no evidence for the pattern of brain activity commonly assumed to index these operations. In both experiments event-related potentials (ERPs) were recorded time-locked to alternating preparatory cues signalling that participants should prepare for different retrieval tasks. One cue signalled episodic retrieval: remember the location where the object was presented in a prior study phase. The other signalled semantic retrieval: identify the location where the object is most commonly found (Experiment 1) or identify the typical size of the object (Experiment 2). In both experiments, only two trials of the same task were completed in succession. This enabled ERP contrasts between ‘repeat’ trials (the cue on the preceding trial signalled the same retrieval task), and ‘switch’ trials (the cue differed from the preceding trial). There were differences between the ERPs elicited by the preparatory task cues in Experiment 1 only: these were evident only on switch trials and comprised more positive-going activity over right-frontal scalp for the semantic than for the episodic task. These findings diverge from previous outcomes where the activity differentiating cues signalling preparation for episodic or semantic retrieval has been restricted to right-frontal scalp sites, comprising more positive-going activity for the episodic than for the semantic task. While these findings are consistent with the view that there is not a common set of operations engaged when people prepare to remember different kinds of episodic information, an alternative account is offered here, which is that these outcomes are a consequence of structural and temporal components of the experiment designs.

Competitive Semantic Memory Retrieval: Temporal Dynamics Revealed by Event-Related Potentials

Memories compete for retrieval when they are related to a common retrieval cue. Previous research has shown that retrieval of a target memory may lead to subsequent retrieval-induced forgetting (RIF) of currently irrelevant competing memories. In the present study, we investigated the time course of competitive semantic retrieval and examined the neurocognitive mechanisms underlying RIF. We contrasted two theoretical accounts of RIF by examining a critical aspect of this memory phenomenon, namely the extent to which it depends on successful retrieval of the target memory. Participants first studied category-exemplar word-pairs (e.g. Fruit-Apple). Next, we recorded electrophysiological measures of brain activity while the participants performed a competitive semantic cued-recall task. In this task, the participants were provided with the studied categories but they were instructed to retrieve other unstudied exemplars (e.g. Fruit-Ma__?). We investigated the event-related potential (ERP) correlates of retrieval success by comparing ERPs from successful and failed retrieval trials. To isolate the ERP correlates of continuous retrieval attempts from the ERP correlates of retrieval success, we included an impossible retrieval condition, with incompletable word-stem cues (Drinks-Wy__) and compared it with a non-retrieval presentation baseline condition (Occupation-Dentist). The participants' memory for all the studied exemplars was tested in the final phase of the experiment. Taken together, the behavioural results suggest that RIF is independent of target retrieval. Beyond investigating the mechanisms underlying RIF, the present study also elucidates the temporal dynamics of semantic cued-recall by isolating the ERP correlates of retrieval attempt and retrieval success. The ERP results revealed that retrieval attempt is reflected in a late posterior negativity, possibly indicating construction of candidates for completing the word-stem cue and retrieval monitoring whereas retrieval success was reflected in an anterior positive slow wave.

Electrophysiological evidence for retrieval mode immediately after a task switch

It has been suggested that retrieving episodic information can involve adopting a cognitive state or set: retrieval mode. In a series of studies, an event-related potential (ERP) index of retrieval mode has been identified in designs which cue participants on a trial-by-trial basis to switch between preparing for and then completing an episodic or non-episodic retrieval task. However, a confound in these studies is that along with task type the content of what is to be retrieved has varied. Here we examined whether the ERP index of retrieval mode remains when the contents of an episodic and non-episodic task are highly similar – both requiring a location judgement. In the episodic task participants indicated the screen location where words had been shown in a prior study phase (left/right/new); whereas in the perceptual task they indicated the current screen location of the word (top/middle/bottom). Consistent with previous studies the ERPs elicited while participants prepared for episodic retrieval were more positive-going at right-frontal sites than when they prepared for the perceptual task. This index was observed, however, on the first trial after participants had switched tasks, rather than on the second trial, as has been observed previously. Potential reasons for this are discussed, including the critical manipulation of similarity in contents between tasks, as well as the use of a predictable cue sequence.

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People were cued to switch between episodic and non-episodic cognitive tasks.

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Both tasks required judgements about stimulus location.

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ERPs were acquired in response to the cues signalling which task to complete.

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Preparatory ERPs for episodic retrieval had different timings than in prior studies.

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These outcomes offer new insights into processes that facilitate episodic retrieval.

Electrophysiological insights into control over recollection

Electrophysiological correlates of successful episodic retrieval were measured in an experiment where participants switched frequently between two different episodic retrieval conditions. They completed three trials of each condition before switching to the other condition. The key contrasts were between neural indices of successful retrieval that were separated according to the number of successive trials of the same condition that had been completed. An electrophysiological correlate of recollection--the left-parietal event-related potential (ERP) old/new effect--was smaller on the first and second trial than on the third successive trial that participants completed for each condition. This ERP old/new effect is assumed to index the extent to which recollection has occurred, and this outcome suggests that control over recovery of task-relevant episodic content is compromised when additional cognitive demands are imposed around the time of retrieval.

Early parietal response in episodic retrieval revealed with MEG

Recent neuroimaging and lesion studies have led to competing hypotheses for potential roles of the left lateral parietal lobe in episodic memory retrieval. These hypotheses may be dissociated by whether they imply a role in preretrieval or postretrieval processes. For example, one hypothesis is the left parietal cortex (particularly in more ventral subregions) forms part of an "episodic buffer" that supports the online representation of the retrieved target, a role that is, by definition, postretrieval. An alternate view maintains parietal activity (particularly in more dorsal subregions) contributes to top-down orientation of attention to retrieval search, a preretrieval role. The present investigation seeks to reveal the earliest onset of lateral parietal activity in three anatomically-defined subregions of the left lateral parietal cortex to identify any preretrieval activation. Subjects performed a pair-cued recall task while neural activity was recorded with magnetoencephalography (MEG) at millisecond temporal resolution. MEG data were then mapped to each subject's cortical surface using dynamic statistical parametric mapping (dSPM). Both dorsal and ventral regions showed retrieval-related activations beginning within ∼100 ms of the cue to retrieve and lasting up to 400 ms. We conclude that this early and transient pattern of activity in lateral parietal cortex is most consistent with a preretrieval role, possibly in directing attention to episodic memory retrieval.

Effects of task-set adoption on ERP correlates of controlled and automatic recognition memory

Successful memory retrieval depends not only on memory fidelity but also on the mental preparedness on the part of the subject. ERP studies of recognition memory have identified two topographically distinct ERP components, the FN400 old/new effect and the late posterior component (LPC) old/new effect, commonly associated with familiarity and recollection, respectively. Here we used a task-switching paradigm to examine the extent to which adoption of a retrieval task-set influences FN400 and LPC old/new effects, in light of the presumption that recollection, as a control process, relies on the adoption of a retrieval task-set, but that familiarity-based retrieval does not. Behavioral accuracy indicated that source memory (experiment 2), but not item recognition (experiment 1), improved with task-set adoption. ERP data demonstrated a larger LPC on stay trials when a task-set had been adopted even with a simple recognition memory judgment. We conclude that adopting a retrieval task-set impacts recollection memory but not familiarity. These data indicate that attentional state immediately prior to retrieval can influence objective measures of recollection memory.