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Lu 1965
Lu 1965
Lu 1965
Author(s): K. H. Lu
Source: Biometrics, Vol. 21, No. 2 (Jun., 1965), pp. 491-505
Published by: International Biometric Society
Stable URL: http://www.jstor.org/stable/2528106 .
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SUMMARY
Three-cycled Fourier equations are used in representing the frontal and lateral
views of the human face. Fourier equations representing the general pattern of a
group of individuals can also be obtained. The group pattern then represents the
pattern characteristics common to all individuals. Difference in patterns may be
represented by the difference between two Fourier equations. In the frontal view,
the cosine terms measure the form of symmetry and the sine terms measure the
form of asymmetry.
INTRODUCTION
In studies of the growth and development of the human face, two
general features, the frontal view and the profile, have attracted the
most attention. Their changes, in time, not only have a direct in-
fluence on the aesthetic value of the face, but also are an inseparable
part of the functional development of the dento-facial complex. For
instance, some forms of malocclusion affect both the outline of the
profile and the symmetry of the face.
Since both the frontal view and the profile are composites of a
number of anatomical structures, in past studies attention has been
given primarily to specific anatomical features per se. General de-
scriptive measures pertaining to the forms and patterns have been so
far wanting. It would seem desirable to have some 'parametric' and
quantitative representations of both, so that they may be studied as a
whole. By appropriate choice of coordinates and plotting technique,
both the frontal view and the profile may be considered as single-
valued curves defined over closed intervals; each consists of a set of
systematically unequal magnitudes with a finite number of extrema and
inflexion points. The matter of symmetry or asymmetry may be con-
veniently viewed as a linear combination of even and odd functions.
Once they are reduced to the more concise mathematical representations,
they can be readily analyzed by modern analytical techniques.
In view of the above considerations, a harmonic analysis in the form
of Fourier equations with finite numbers of terms would seem to be
ideally suited for the stated purposes.
491
MathemnaticalConsiderations
By choosing a convenient point as the origin, say the midpoint of
the distance between the two fronto-zygomatic sutures, and using polar
coordinates, the frontal view may be measured as in Figure 1, and the
I G
LEFT RIGHT
rrm
FIGURE 1
SCHEMATIC SHOWINGCOORDINATION
ROENTGENOGRAM AND DIRECTIONOF
OF THEFRONTALVIEW
MEASUREMENTS
measurements then be plotted on linear scale over the range of --r to -r.
The graph in general assumes the form shown in Figure 2.
The Fourier equation to be fitted is of the following form:
n n
f(0) = aO + ai cos i6 + bi sin i6
where f(O) is the distance between the origin and the frontal curve at
a counter-clockwise angle of 0 radians from the upper portion of the per-
pendicular bisector of the fronto-zygomatic line (see Fig. 1), and the
ai's and bi's are the coefficients determined from the data by the least-
squares technique. The fitting of the curve is standard procedure which
we shall discuss briefly later. First, we shall derive a way to measure
the symmetry and asymmetry components of the face.
To say that the face is symmetrical with respect to the bisector, as
shown in Figure 1, would be equivalent to saying that the facial plot is
symmetrical with respect to the axis 0 = 0 in Figure 2. If there is per-
Y
32- RIGHT LEFT
26-
20-
-y O ne0
20 30 0 10 20 X
FIGURE 2
LINEAR PLOT OF SCHEMATIC ROENTGENOGRAM OF FIG. 1.
f(0) - f(-O) =
-2 j bi sin iO,
i =1
since sin (-io) -sin jO. Hence if f(0) is to be even, we must have
Z,= bi sin iO 0 for all values of 0, which is clearly possible only if
all the bi are zero.
As stated earlier, a facial curve may be represented by fitting a
Fourier equation of the form
n n
nasion- -
-nton me
18-
sella
5 turcica
_~~~ -
0 18 35 X
FIGURE 3
SCHEMATIC ROENTGENOGRAM SHOWING COORDINATION AND DIRECTION OF
MEASUREMENTS OF THE PROFILE
where
yii = distance at the jth interval of the ith facial function measured
from the origin (for frontal view) or from the base (for profile).
mi = average distance common to all points of the ith facial function
upi = (cos p0)i for p = 1, 2, 3,
the value of cos po at the jth interval.
vp; = (sin po)i for p = 1, 2, 3,
=
the value of sin pGat the jth interval.
ap,= the effect of u,j on the ith facial function, for p = 1, 2, 3.
eii = the variation unaccounted for by the model.
The best fit of a 3-cycle Fourier series to the facial function in the
least-squares sense can be obtained by minimizing the error sum of
squares of the following equation:
E7ei = >j [yii - n alui - a -a
- b,v1j - b2V2- b3v3i]2. (2)
By obtaining the partial derivatives of E e2 with respect to each a,
and setting these derivatives equal to zero, we obtain the following
solutions:
i= y ii/k (3a)
=
ap pi YJi/up=i -
YiUpi (3b)
29i
and
b = ?__
V, lhiV (3c)
forp = 1, 2, 3.
Since the sums of squares associated with each coefficient make up the
total sum of squares accounted for by the facial function, then the
former expressed as percentages of the latter inay be considered as
measures of the respective contribution of the coefficient towards the
formation of the facial function. In the case of the frontal view, the
sums of squares of the bi's, as percentages of the total corrected sums
of squares, may be logically considered as measures of the extent of
symmetry.
After obtaining the desired coefficients, the fitted values may be
calculated from equation (1). Obviously some measure of goodness of fit
is needed. The usual analysis of variance test used in curve fitting
is not applicable here, for the following reasons. In ordinary curve
fitting procedures the observed values are subject to error, whereas the
calculated values are assumed to estimate the 'true' values on some
hypothesis. In our present situation, however, the observed values
are (except for small errors of measurement) the true values, while the
calculated values are only approximations to the truth, resulting from
our efforts to obtain an effective representation: neither can properly
be regarded as a random variable. There is thus no question of a true
significance test: we are concerned merely to obtain some measure of
the closeness of agreement between the yi , the observed (true) values
and the y'ii , the corresponding values calculated using equation (1).
Since the coefficients in this equation were estimated by minimizing
E (yi -_yYi)2, the usual variance analysis for linear regression,
7= 2S, + s2
holds formally, though the 'variances' S2 are merely descriptive meas-
ures, and not variances in any true sense. Clearly S 7the 'variance'
about the line y - y', is a measure of the amount of disagreement, and
the ratio R2 = S',/S' (which is formally equivalent to the estimated
correlation coefficient in true regression) is a measure of the goodness of
agreement.
The measure of agreement proposed is
Note that
L-~> las S2_ y 0 (i.e. asRy -> 1);
L- Oas (Sy -S2-y1J)-> 0 (i.e. as R2 - )
and
L -1 as S2 -> 0 (i.e. R28 -_> 0).
where yi , up;, and ei, have the same meaning as defined in the single
facial function, and
Yii= M A,u1j +
+ A A,2U2? A3U31+ B,v1i + B2v2, + BAv1i+ eii (6)
where j = 1, 2, *.. , k and i = 1, 2, ** , f. By the same process of
minimizinig the error sum of squares the 3-cycle Fourier equation best
fitting a group of profiles, in the least-squares sense, is defined by the
following equations:
f k
g- = E Aliy/fk (7a)
i i
Bp- V-P
jy.j11fk (7c)
where
f
Y. i yii
i
TABLE 1
ANALYSIS OF VARIANCE FOR GROUPS PROFILES
Sources of
Variation d.f. S.S. M.S.
Replications
(individuals) f - 1 (E Y.v)/k - C3 = Sr Vr
due to A1 1 2fkA2 = Si V1
due to A2 1 2fkA2 =S2 V2
due to A3 1 I fkA2 =S3 V3
due to B1 1 :fkB2 =S4 4
due to B2 1 2fkB2 S5 V5
due to B3 1 2fkB3 S6 V6
scatter (ti) k - 7 (Zy!j)/f_ CM_-6 Sm = St Vt
Rep X a' f-1 ]kZ a2i _ S, = Sri VrI
Rep X a' f-1 ]kZ a2, -S2 = Sr2 Vr2
Rep X a' f-1 ]kZ a2 -S3 = Sr3 Vr3
Rep X bl f- 1 lkZ
2 b i-S4 = Sr4 Vr4
Rep X bl f-
1 lk bi S5 = Sr6 Vr5
Rep X
b3 f - 1 4kE 3i -S6 = Sr6 Vrfi
Rep X Scatter (f - 1)(k - 7) by difference = Sr t VrI
Total fk - 1 Ef. y2A
- CM
CM = correctionfor the mean = [E,E. yii]2/fk
The mean square is the sum of squares divided by its associated degrees of freedom
in each case.
TABLE 2
COMPONENTS OF VARIANCE FOR THE EXPECTATIONS OF
THE MEAN SQUARES IN TABLE 1.
VI (72 + k-r2
VI v2 + fo2t + k02r1 + fkcr2
V2 (y2+ f(72 + kr72 + fk(72
V3 v2 + f2 +k023 + fk(2
V4 2+t?+ kar24
+ fk0r4
V5i (2+ ff72 + kor25?+ fkc25
V6 ~ 2 +Mft + k3r6 +fSk?
v t 2 +M r
Vri + Jv2
Vr2 2 + kor2
Vr6 2 + kor3
Vr4 2 1co2f +
VrI,
VrS t7 ++ k_
ko2r5
Vr6 + ko2
where the subscripted n's are the degrees of freedom associated with
the corresponding squares. (Anderson and Bancroft [1952] p. 350).
THE FRONTAL VIEW STUDY
The data consisted of 24 frontal cephalograms from boys of 4 to 6
years of age. The interval of length 27ras in Figure 2 was divided into
39 sub-intervals defined by 40 points. The calculated Fourier coeffi-
TABLE 3
FOURIER COEFFICIENTS OF FACIAL FUNCTION OF 24 NORMAL CHILDREN
a, a2 a3 b, b2 b3
cients of each child are tabulated in Table 3. The L values are all
greater than .62, and are not shown here. From Table 3, we observe
the following interesting points:
1. The cosine terms in all children followed a general pattern with-
out exception, namely A1 and A, being positive, and A3 negative; also
that A3 is smaller than A1 and A2 in magnitude. The above phenomenon
I TVI -\11
JX. 0 F(X)WA0+A,CoSX
IT lEE II mL
F(X)=Ao F(X)-Ao
F(X)-A COSX
0 0 TT 2
FIGURE 4
GRAPH SHOWING
F(X) = A0
F(X) = A1 COSX IN CARTESIAN COORDINATES; AND
F(X) = A0
F(X) = A0 + A1 COSX IN POLAR COORDINATES.
TABLE 4
THE EFFECT OF COEFFICIENTS A1, A2, AND -A3 ON THE SHAPE OF THE FACE
I~~~~
/ ' Ni
F(X)=At+p0
Ao )
_A2_F(X_o~
II mi I m
o e'R
FIGURE 5
GRAPH SHOWING
F(X) = AO
F(X) = A2 cos 2X
F(X) = A3 cos 3X IN CARTESIAN COORDINATES; AND
F(X) = AO + A2 cos 2X
F(X) = Ao + A3 cos 3X IN POLAR COORDINATES.
I I~~~~~~~~I
A BSIN -; : X-SIX
F(X)-Ao F(X)-Ao
/\ \
FIGURE 6
GRAPH SHOWING
F(X) = Ao
F(X) = B1 sin X
F(X) = -B1 sin X IN CARTESIAN COORDINATES; AND
F(X) = A0 + B1 sin X
F(X) = AO - B1 sin X IN POLAR COORDINATES.
elongate both the upper and the lower face, while narrowing the middle
face; the term -A3 cos 30 tends to shorten and widen the upper face,
narrow the middle face and elongate the lower face. Thus a face with
wide and high forehead would in general tend to have A1 > A2 and
large -A3 ; on the other hand, if we find A, < A2 , and -A3 low in
magnitude, the face would have a rather primitive look with a low,
narrow forehead and a long lower face.
2. The sine terms had no definite patterns as did the cosine terms.
This is natural, in view of the fact that the sine terms measure the
asymmetry of the face. Note that the sizes of B3 were much smaller
than B1 and B2 , indicating that their contributions to asymmetry were
nominal. The functions of An ?fi B1 sin 0 and Ao i B2 sin 20 are
I m
F(X)-A FM-AO(X)
FIGURE 7
GRAPII SHOWING
F(X) = AO0
F(XY) = B2 sin 2X
F(X) = -B2 sin 2X IN CARTESIAN COORDINATES; AND
F(X) = AO + B2 sin 2X
F(X) = AO - B2 sin 2X IN POLAR COORDINATES.
TABLE 5
PERCENT OF SUMS OF SQUARES ASSOCIATED WITH INDIVIDUAL FOURIER COEFFICIENTS
(24 NORMAL CHILDREN)
Fourier Coefficients
Children A, A2 As B1 B2 B3 E
TABLE 6
FOURIER COEFFICIENTS OF SOFT PROFILE OF 20 CHILDREN ACCORDING TO
AGE AND SEx GROUPS
Boys
Age 3 4 5 6 7
Girls
Age 3 4 5 6 7
than that for the boys. For the boys, it also increased in later years 6
and 7; it is noteworthy that B2 in age 4 and 5 were insignificant.
4. The most striking difference between the boys and the girls is the
coefficient A3 . In boys it was significant only at age 3, then decreased
steadily into non-significance. In the girls, however, the opposite was
true. It was non-significant at age 3 and 4, but significant in the remain-
ing years, and it increased steadily.
5. Each vector (A0A1A2A3BAB2B3) in Table 6 represents the average
profile of 10 children of a particular age. The change in group profiles
due to growth between any two ages may be readily obtained by the
difference of the two vectors in question. The growth difference is thus
also represented by a Fourier equation.
ACKNOWLEDGMENT
The author wishes to acknowledge his indebtedness to Dr. M. R.
Samnpfordand the referees of the paper, whose constructive criticisms
have made it a better paper; also to Dr. C. I. Bliss for discussing some
points of the analytical procedure through correspondence. Appre-
ciations are extended to Mr. L. C. VanWinkle for his invaluable sugges-
tions, performing part of the calculations, critical reading of the man-
uscript and preparation of the drawings; to Mrs. N. Riggs for typing
the much revised manuscript. The author also wishes to acknowledge
with appreciation the roentgenograms used in this study were from the
records of the Child Study Clinic, University of Oregon Dental School,
and the generous allotment of computer time made available by the
Western Data Processing Center, University of California at Los Angeles,
California.
REFERENCES
Anderson,R. L. and Bancroft, T. A. [1952]. StatisticalTheoryin Research. McGraw
Hill Co., Inc., New York.
Bliss, C. I. [1958]. Periodic Regression in Biology and Climatology. Bul. 615,
Connecticut AgriculturalExperiment Station, New Haven.