Beyond the sphere of the English facial approximation literature: ramifications of German papers on western method concepts

In the English literature, facial approximation methods have been commonly classified into three types: "Russian,"American," or "Combination." These categorizations are based on the protocols used, for example, whether methods use average soft-tissue depths (American methods) or require face muscle construction (Russian methods). However, literature searches outside the usual realm of English publications reveal key papers that demonstrate that the Russian category above has been founded on distorted views. In reality, Russian methods are based on limited face muscle construction, with heavy reliance on modified average soft-tissue depths. A closer inspection of the American method also reveals inconsistencies with the recognized classification scheme. This investigation thus demonstrates that all major methods of facial approximation depend on both face anatomy and average soft-tissue depths, rendering common method classification schemes redundant. The best way forward appears to be for practitioners to describe the methods they use (including the weight each one gives to average soft-tissue depths and deep face tissue construction) without placing them in any categorical classificatory group or giving them an ambiguous name. The state of this situation may need to be reviewed in the future in light of new research results and paradigms.     

On Gerasimov's plastic facial reconstruction technique: new insights to facilitate repeatability

Gerasimov's plastic facial reconstruction method is notoriously difficult to repeat from the published literature. Primarily, this is because of the method's underlying qualitative basis but other factors contribute including: misreports in the secondary literature of Gerasimov's method essence; a lack of published details concerning Gerasimov's modeling mastic; Gerasimov's deviation from his own published nose projection prediction guidelines; and continued refinement of the methods in the 15 years following their foremost publication. As Gerasimov cannot be consulted to resolve these issues, we provide solutions via one of his five former principal students. This includes clarification of Gerasimov's method and use of soft tissue depths; the constitution of his modeling mastic; methods used for nose projection prediction; and refinements made to his methods following their primary publication.     

In vivo facial tissue depth study of Chinese-American adults in New York City

This study examines facial tissue depth in adult Chinese-Americans. Using ultrasound, measurements were taken at 19 landmarks across the faces of 101 individuals aged from 18 to 87 years. Summary statistics are reported for a sample of 67 individuals of normal weight (as determined by a body mass index [BMI] of 19-25). Statistical analyses were used to assess relationships between tissue thickness, age, and BMI. Results indicate that no significant relationship exists between tissue thickness and age for males, and for only 3/19 points in females. Also, only four points showed significant relationships between tissue thickness and sex. However, significant relationships exist between BMI and tissue thickness at multiple points for both males and females. Compared to other American and Asian populations in the literature, Chinese-Americans generally had thinner facial tissue; though, this difference was not assessed statistically. Finally, data generated in this study will add to the body of knowledge concerning facial tissue depth variation in modern humans.     

3D forensic facial approximation: Implementation protocol in a forensic activity

The primary objective of this paper is to report on the successful implementation of forensic facial approximation in a real case in the forensic context. A three‐dimensional (3D) facial approximation protocol of the skull was performed with free software, applying techniques in a virtual environment that have already been consolidated in the literature. The skull was scanned with the photogrammetry technique, the digital replica was imported in the Blender software (Blender Foundation, Amsterdam) and individualized model sketches of the face were traced with the MakeHuman software (MakeHuman Org) according to the anthropological profile of the victim. The face created was imported in Blender, where it was adapted, modeled, and sculpted on the 3D skull and its soft tissue markers, using an American open‐source application of the technique in the digital environment. The face created in a virtual environment was recognized and legal identification procedures were started, resulting in the more agile delivery of the disappeared body to its next of kin. It is therefore concluded that facial approximation may not be a primary method of human identification, but it can be satisfactorily applied in the forensic field as an individual recognition resource. It has great value in narrowing the search, reducing the number of alleged victims, and leading to identification tests, therefore significantly reducing the number of genetic DNA (deoxyribonucleic acid) tests—which are considered costly for the State or Federation—and consequently reducing the waiting time before delivery of the body to its family.     

Further Evidence on the Anatomical Placement of the Human Eyeball for Facial Approximation and Craniofacial Superimposition*

Abstract: Recently a small sampled cadaver study (n = 4) suggested that the human eyeballs are placed closer to the orbital roof and lateral orbital wall as first reported in the anatomical literature many years previously. This contrasts with central positioning of the eyeball within the orbit as advocated by the facial approximation literature. Given the limits of such small samples, this study re-examined globe position in nine new cadavers to help clarify which relationship is accurate. The results essentially confirm prior empirical findings except that the mean lateral divergences from the orbit center were found to be larger—the eyeball was found to be “displaced” 1.4 mm superiorly and 2.4 mm laterally. Medians calculated across all 13 cadavers from this study and the above-mentioned recent report refine these measurements to 1.4 and 2.3 mm respectively. Globe projection values were identical to those observed for living individuals (c. 16 mm).     

An accuracy assessment of forensic computerized facial reconstruction employing cone-beam computed tomography from live subjects

The utilization of 3D computerized systems has allowed more effective procedures for forensic facial reconstruction. Three 3D computerized facial reconstructions were produced using skull models from live adult Korean subjects to assess facial morphology prediction accuracy. The 3D skeletal and facial data were recorded from the subjects in an upright position using a cone-beam CT scanner. Shell-to-shell deviation maps were created using 3D surface comparison software, and the deviation errors between the reconstructed and target faces were measured. Results showed that 54%, 65%, and 77% of the three facial reconstruction surfaces had <2.5 mm of error when compared to the relevant target face. The average error for each reconstruction was -0.46 mm (SD = 2.81) for A, -0.31 mm (SD = 2.40) for B, and -0.49 mm (SD = 2.16) for C. The facial features of the reconstructions demonstrated good levels of accuracy compared to the target faces.     

Facial soft tissue depths in craniofacial identification (part I): An analytical review of the published adult data

With the ever increasing production of average soft tissue depth studies, data are becoming increasingly complex, less standardized, and more unwieldy. So far, no overarching review has been attempted to determine: the validity of continued data collection; the usefulness of the existing data subcategorizations; or if a synthesis is possible to produce a manageable soft tissue depth library. While a principal components analysis would provide the best foundation for such an assessment, this type of investigation is not currently possible because of a lack of easily accessible raw data (first, many studies are narrow; second, raw data are infrequently published and/or stored and are not always shared by some authors). This paper provides an alternate means of investigation using an hierarchical approach to review and compare the effects of single variables on published mean values for adults whilst acknowledging measurement errors and within-group variation. The results revealed: (i) no clear secular trends at frequently investigated landmarks; (ii) wide variation in soft tissue depth measures between different measurement techniques irrespective of whether living persons or cadavers were considered; (iii) no clear clustering of non-Caucasoid data far from the Caucasoid means; and (iv) minor differences between males and females. Consequently, the data were pooled across studies using weighted means and standard deviations to cancel out random and opposing study-specific errors, and to produce a single soft tissue depth table with increased sample sizes (e.g., 6786 individuals at pogonion).     

Facial soft tissue depths in craniofacial identification (part II): An analytical review of the published sub-adult data

Prior research indicates that while statistically significant differences exist between subcategories of the adult soft tissue depth data, magnitudes of difference are small and possess little practical meaning when measurement errors and variations between measurement methods are considered. These findings raise questions as to what variables may or may not hold meaning for the sub-adult data. Of primary interest is the effect of age, as these differences have the potential to surpass the magnitude of measurement error. Data from the five studies in the literature on sub-adults which describe values for single integer age groups were pooled and differences across the ages examined. From 1 to 18 years, most soft tissue depth measurements increased by less than 3 mm. These results suggest that dividing the data for children into more than two age groups is unlikely to hold many advantages. Data were therefore split into two groups with the division point corresponding to the mid-point of the observed trends and main data density (0-11 and 12-18 years; division point = 11.5 years). Published sub-adult data for seven further studies which reported broader age groups were pooled with the data above to produce the final tallied soft tissue depth tables. These tables hold the advantages of increased sample sizes (pogonion has greater than 1770 individuals for either age group) and increased levels of certainty (as random and opposing systematic errors specific to each independent study should average out when the data are combined).     

Anatomical Placement of the Human Eyeball in the Orbit-Validation Using CT Scans of Living Adults and Prediction for Facial Approximation*

Abstract: Accuracy of forensic facial approximation and superimposition techniques relies on the knowledge of anatomical correlations between soft and hard tissues. Recent studies by Stephan and collaborators (6,8,10) reviewed traditional guidelines leading to a wrong placement of the eyeball in the orbit. As those statements are based on a small cadaver sample, we propose a validation of these findings on a large database (n = 375) of living people. Computed tomography scans of known age and sex subjects were used to collect landmarks on three‐dimensional surfaces and DICOM with TIVMI. Results confirmed a more superior and lateral position of the eyeball relatively to the orbital rims. Orbital height and breadth were used to compute regression formulae and proportional placement using percentages to find the most probable position of the eyeball in the orbit. A size‐related sexual dimorphism was present but did not impact on the prediction accuracy.     

Forensic Facial Approximation: Study of the Nose in Brazilian Subjects

Forensic facial approximation is an auxiliary method for human identification and allows facial recognition. The midface, that includes the nose, is vital for the recognition of a familiar face. The purpose of this study was to set hard tissue parameters to estimate nasal width, to test the method to estimate nasal width of Brazilians, and to analyze the relationship between nasal profile and facial type. A total of 246 computed tomography scans (183 females and 63 males) of adults were analyzed in Horos. Bone tissue measurements and facial type classification were performed on the skull scan. Nasal profile morphology was accessed through the tool 3D surface rendering. There was a difference around 3 mm from real to predicted nose through the method to estimate nasal width in Brazilians. So, the method may be used in forensic practice. Straight nose was associated with long face type.     

Comparability of radiographic and 3D-ultrasound measurements of facial midline tissue depths

As a second step in our three-dimensional (3D) ultrasound research on facial tissues, orthodontic patients with available lateral cephalographs (radiographs) allowing measurements of tissues along the midline of the face were recruited for ultrasound scanning. Comparison of three points on the upper lip (A-point), chin (B-point), and nose (nasion) produced differences of varying magnitude between radiographic and ultrasound measurements, with the B-point measurement being clearly affected by head orientation. Concordance was better for A-point and best for nasion. Although extension of two-dimensional (2D) ultrasound scanning of facial tissues to 3D scanning for forensic and surgical reconstructive purposes remains a worthy goal, it must be recognized that because of the differences in technique, measurements obtained from the different visualization modalities at present vary in their comparability.     

The Validity of Ear Prediction Guidelines Used in Facial Approximation*,†,‡

Abstract: This study examined eight previously published ear prediction methods by Welcker, Gerasimov, Fedosyutkin and Nainys, and Broadbent and Mathews. Computed tomography scans of 78 living adults (n₁) did not support any of these previously published recommendations. Free earlobes were found to accompany protruding supramastoid crests (Pearson’s χ² < 0.05); and ear length [l] and width [w] differed by sex (p < 0.05), correlated with age (r = 0.38[l]; 0.32[w]), and correlated with facial height (r = 0.37[l]; 0.30[w]). New regression equations (for ear length and width) were generated using these variables in several samples and, where possible, cross‐validated using independent data (n₁ = 78, n₂ = 2190, n₃ = 1328, n₄ = 1010, and n₅ = 47). As a result of these analyses, four valid and tested methods for ear prediction were identified, but large degrees of error continue to make accurate prediction of the ear, from the skull, problematic.     

Failure of anthropometry as a facial identification technique using high-quality photographs

Anthropometry can be used in certain circumstances to facilitate comparison of a photograph of a suspect with that of the potential offender from surveillance footage. Experimental research was conducted to determine whether anthropometry has a place in forensic practice in confirming the identity of a suspect from a surveillance video. We examined an existing database of photographic lineups, where one video image was compared against 10 photographs, which has previously been used in psychological research. Target (1) and test (10) photos were of high quality, although taken with a different camera. The anthropometric landmarks of right and left ectocanthions, nasion, and stomion were chosen, and proportions and angle values between these landmarks were measured to compare target with test photos. Results indicate that these measurements failed to accurately identify targets. There was also no indication that any of the landmarks made a better comparison than another. It was concluded that, for these landmarks, this method does not generate the consistent results necessary for use as evidence in a court of law.     

The placement of the human eyeball and canthi in craniofacial identification

An accurate understanding of the spatial relationships between the deep and superficial structures of the head is essential for anthropological methods concerned with the comparison of faces to skulls (superimposition) or the prediction of faces from them (facial approximation). However, differences of opinion exist concerning: (i) the position of the eyeball in planes other than the anteroposterior plane and (ii) the canthi positions relative to the bony orbital margins. This study attempts to clarify the above relationships by dissection of a small sample of adult human cadavers (N = 4, mean age = 83 years, s = 12 years). The most notable finding was that the eyeballs were not centrally positioned within the orbits as the more recent craniofacial identification literature expounds. Rather, the eyeballs were consistently positioned closer to the orbital roof and lateral orbital wall (by 1-2 mm on average); a finding consistent with the earlier anatomical literature. While these estimation errors are small ipsilaterally, several factors make them meaningful: (i) the orbital region is heavily used for facial recognition; (ii) the width error is doubled because the eyes are bilateral structures; (iii) the eyes are sometimes used to predict/assess other soft tissue facial structures; and (iv) the net error in facial approximation rapidly accumulates with the subsequent prediction of each independent facial feature. While the small sample size of this study limits conclusive generalizations, the new data presented here nonetheless have immediate application to craniofacial identification practice because the results are evidence based. In contrast, metric data have never been published to support the use of the central positioning guideline. Clearly, this study warrants further quantification of the eyeball position in larger samples and preferably of younger individuals.     

Facial Tissue Depths in Children with Cleft Lip and Palate

Cleft lip and palate (CLP) is a craniofacial malformation affecting more than seven million people worldwide that results in defects of the hard palate, teeth, maxilla, nasal spine and floor, and maxillodental asymmetry. CLP facial soft‐tissue depth (FSTD) values have never been published. The purpose of this research is to report CLP FSTD values and compare them to previously published FSTD values for normal children. Thirty‐eight FSTDs were measured on cone beam computed tomography images of CLP children (n = 86; 7–17 years). MANOVA and ANOVA tests determined whether cleft type, age, sex, and bone graft surgical status affect tissue depths. Both cleft type (unilateral/bilateral) and age influence FSTDs. CLP FSTDs exhibit patterns of variation that differ from normal children, particularly around the oronasal regions of the face. These differences should be taken into account when facial reconstructions of children with CLP are created.     

Anthropological Facial Approximation in Three Dimensions (AFA3D): Computer‐Assisted Estimation of the Facial Morphology Using Geometric Morphometrics

This study presents Anthropological Facial Approximation in Three Dimensions (AFA3D), a new computerized method for estimating face shape based on computed tomography (CT) scans of 500 French individuals. Facial soft tissue depths are estimated based on age, sex, corpulence, and craniometrics, and projected using reference planes to obtain the global facial appearance. Position and shape of the eyes, nose, mouth, and ears are inferred from cranial landmarks through geometric morphometrics. The 100 estimated cutaneous landmarks are then used to warp a generic face to the target facial approximation. A validation by re‐sampling on a subsample demonstrated an average accuracy of c. 4 mm for the overall face. The resulting approximation is an objective probable facial shape, but is also synthetic (i.e., without texture), and therefore needs to be enhanced artistically prior to its use in forensic cases. AFA3D, integrated in the TIVMI software, is available freely for further testing.     

Facial Soft Tissue Depth Measurement: Validation of the 75‐Shormax

The shorth and 75‐shormax were recently posited as an improved alternative to the arithmetic mean for describing facial soft tissue thicknesses in craniofacial identification. The shorth better estimates the data peak, while the 75‐shormax provides improved provisions for a long right tail. When first proposed, the 75‐shormax was subjectively gauged. Herein, shormax errors are calculated at every whole percentile to quantitatively determine zones of error minimization in two large samples: (a) CT data of French adults, n‐range = 211–469 individuals; and (b) all C‐Table data, n‐range = 60–1065 individuals [including part but not all of sample (a)]. The smallest residuals were found at the 79th percentile (mean of raw residuals) and the 74th percentile (mean of absolute residuals). The 75‐shormax is subsequently verified as good error minimizer since the absolute differences carry the greatest weight and the 74th percentile closely approximates the 75th percentile.     

Vertical Lip Position and Thickness in Facial Reconstruction: A Validation of Commonly Used Methods for Predicting the Position and Size of Lips

This study examined several methods used to estimate oral fissure position, lip margin position, and lip thickness recommended by Angel, George, Lebedinskaya, Taylor, Wilkinson et al., Balueva and Veselovskaya. A sample of 86 lateral head cephalograms of adult subjects from central Europe were measured and the actual and predicted dimensions were compared. The best estimation for oral fissure position was “opposite the lower ¾ mark of maxillary incisors” (error of 1.3 mm). Upper lip margin was predicted best by “upper ¼ mark of maxillary incisors” (error of 1.7 mm), and lower lip margin by “cementum‐enamel junction of mandibular incisors” (error of 2.3 mm). The regression equations of Wilkinson et al. displayed least error (1.3 mm and 1.8 mm, respectively) for upper and lower lip thickness, and method of George (error of 3.4 mm) for total lip thickness.     

Pronasale Position: An Appraisal of Two Recently Proposed Methods for Predicting Nasal Projection in Facial Reconstruction

This study examines two recently proposed methods for predicting nose projection from the skull, those developed by Stephan et al. (Am J Phys Anthropol 122, 2003, 240) and Rynn et al. (Forensic Sci Med Pathol 6, 2010, 20). A sample of 86 lateral head cephalograms of adult subjects from Central Europe was measured, and the actual and predicted dimensions were compared. Regarding nose projection (the anterior and vertical position of the pronasale), in general, the method of Rynn et al. (Forensic Sci Med Pathol 6, 2010, 20) was found to perform better and with less error variance than the method of Stephan et al. (Am J Phys Anthropol 122, 2003, 240), but the mean difference between the actual and predicted values did not exceed 2.2 mm (6.5% of the actual dimension) in most of the variables tested. The vertical dimensions of the nose were predictable with greater accuracy than the horizontal dimensions. Although the mean error of both methods is not great in practice and thus both methods could be considered to be “accurate,” the real variance of error should not be overlooked.