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 i i

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Computer Facial
Animation

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Computer Facial
Animation
Second Edition

Frederic I. Parke
Keith Waters

A K Peters, Ltd.
Wellesley, Massachusetts

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Editorial, Sales, and Customer Service Office

A K Peters, Ltd.
888 Worcester Street, Suite 230
Wellesley, MA 02482
www.akpeters.com

Copyright 
c 2008 by A K Peters, Ltd.

All rights reserved. No part of the material protected by this copyright

notice may be reproduced or utilized in any form, electronic or mechani-
cal, including photocopying, recording, or by any information storage and
retrieval system, without written permission from the copyright owner.

First edition published in 1996.

Library of Congress Cataloging-in-Publication Data

Parke, Frederic I.
Computer facial animation / Frederic I. Parke, Keith Waters. – 2nd ed.
p. cm.
Includes bibliographical references and index.
ISBN: 978-1-56881-448-3 (alk. paper)
1. Computer animation. 2. Face. I. Waters, Keith. II. Title.
TR897.7.P37 2008
006.6 96--dc22
2008022175

Front cover: Left image courtesy of R. Fedkiw and E. Sifakis, from [Sifakis et
al. 06], imaged by XYZ RGB; right image courtesy of T. Kurihara, adapted from
[Kurihara and Arai 91].
Back cover: Images adapted from [Riewe 07].

Printed in India
12 11 10 09 08 10 9 8 7 6 5 4 3 2 1

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To Vicky for all her love and support

—Fred Parke

To my family—Susy, Rosey, and Jasper—and my parents—Joyce

and Lawrence—whose never failing encouragement over many years
allowed me the time and space to write.
—Keith Waters

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Contents

Preface xi

1 Introduction 1
1.1 About This Book . . . . . . . . . . . . . . . . . . . . . . . . 2
1.2 A Brief Historical Sketch of Facial Animation . . . . . . . . 3
1.3 Application Areas . . . . . . . . . . . . . . . . . . . . . . . . 6
1.4 The Believability Flip and the Uncanny Valley . . . . . . . 12
1.5 A Turing Test for Faces? . . . . . . . . . . . . . . . . . . . . 13
1.6 Relationship to Conventional Animation . . . . . . . . . . . 15

2 Face Analysis and Coding 21

2.1 Charles Darwin’s Investigations . . . . . . . . . . . . . . . . 21
2.2 Expression Coding Systems . . . . . . . . . . . . . . . . . . 26

3 Anatomy of the Face, Head, and Neck 43

3.1 Nomenclature . . . . . . . . . . . . . . . . . . . . . . . . . . 44
3.2 The Skull . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
3.3 Muscles of the Face, Head, and Neck . . . . . . . . . . . . . 57
3.4 The Temporomandibular Joint . . . . . . . . . . . . . . . . 69
3.5 Muscles of the Tongue . . . . . . . . . . . . . . . . . . . . . 72
3.6 The Muscles of the Forehead, Ear, and Neck . . . . . . . . . 74
3.7 Skin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
3.8 The Eyes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

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viii Contents

4 Modeling Faces 85
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
4.2 Facial Geometry . . . . . . . . . . . . . . . . . . . . . . . . 87
4.3 Face Features . . . . . . . . . . . . . . . . . . . . . . . . . . 94
4.4 Sources of Facial Surface Data . . . . . . . . . . . . . . . . . 96
4.5 Digitizer-Based Modeling . . . . . . . . . . . . . . . . . . . 99
4.6 Photogrammetric Measurement . . . . . . . . . . . . . . . . 105
4.7 Modeling Based on Laser Scans . . . . . . . . . . . . . . . . 110
4.8 Anthropometric Facial Models . . . . . . . . . . . . . . . . . 117
4.9 Sculpting Facial Models . . . . . . . . . . . . . . . . . . . . 117
4.10 Conformation Guidelines . . . . . . . . . . . . . . . . . . . . 120
4.11 Assembling Faces from Simple Shapes . . . . . . . . . . . . 123
4.12 New Faces from Existing Faces . . . . . . . . . . . . . . . . 126
4.13 Statistical Models . . . . . . . . . . . . . . . . . . . . . . . . 136
4.14 Parameterized Conformation Models . . . . . . . . . . . . . 141

5 Facial Animation 143

5.1 Fundamental Animation Techniques . . . . . . . . . . . . . 143
5.2 Control Parameterizations . . . . . . . . . . . . . . . . . . . 144
5.3 Interpolation . . . . . . . . . . . . . . . . . . . . . . . . . . 145
5.4 Facial Rigging . . . . . . . . . . . . . . . . . . . . . . . . . . 148
5.5 Performance-Based Animation . . . . . . . . . . . . . . . . . 154
5.6 Facial Expressions . . . . . . . . . . . . . . . . . . . . . . . 156
5.7 Parameterized Models . . . . . . . . . . . . . . . . . . . . . 159
5.8 Pseudomuscle-Based Animation . . . . . . . . . . . . . . . . 160
5.9 Muscle-Based Facial Animation . . . . . . . . . . . . . . . . 162
5.10 Language-Based Animation . . . . . . . . . . . . . . . . . . 163
5.11 Abstraction-Layered Facial Animation . . . . . . . . . . . . 165
5.12 The Billy Animation . . . . . . . . . . . . . . . . . . . . . . 170
5.13 Creating Good Animation . . . . . . . . . . . . . . . . . . . 171
5.14 Control Parameterizations Revisited . . . . . . . . . . . . . 174

6 Facial Image Synthesis 179

6.1 Synthetic Images . . . . . . . . . . . . . . . . . . . . . . . . 179
6.2 Visible Surface Determination . . . . . . . . . . . . . . . . . 183
6.3 Surface Shading . . . . . . . . . . . . . . . . . . . . . . . . . 187
6.4 Lighting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
6.5 Polygonal Shading Models . . . . . . . . . . . . . . . . . . . 197
6.6 Aliasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
6.7 Generating Synthetic Human Skin Texture . . . . . . . . . . 203
6.8 Lighting the Face: Lessons from Portrait Photography . . . 212
6.9 Animation Rendering and Perception . . . . . . . . . . . . . 218

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Contents ix

7 Parameterized Face Models 221

7.1 Parameterized Model Concepts . . . . . . . . . . . . . . . . 222
7.2 Facial Parameterization . . . . . . . . . . . . . . . . . . . . 224
7.3 Implementation of a Parameterized Model . . . . . . . . . . 228
7.4 Animation Using the Parameterized Model . . . . . . . . . . 243
7.5 Parameterized Model Extensions . . . . . . . . . . . . . . . 245

8 Skin and Muscle-Based Facial Animation 253

8.1 The Mechanics of Facial Tissue . . . . . . . . . . . . . . . . 253
8.2 The Mechanics of Muscles . . . . . . . . . . . . . . . . . . . 258
8.3 A Muscle Model Process . . . . . . . . . . . . . . . . . . . . 259
8.4 Modeling the Primary Facial Expressions . . . . . . . . . . 265
8.5 Parametric Surface Patches . . . . . . . . . . . . . . . . . . 269
8.6 Physical Models of Facial Tissue . . . . . . . . . . . . . . . 272
8.7 A Dynamic Neck . . . . . . . . . . . . . . . . . . . . . . . . 290

9 Speech-Synchronized Animation 291

9.1 Cartoon Lip Animation . . . . . . . . . . . . . . . . . . . . 292
9.2 Speech Production . . . . . . . . . . . . . . . . . . . . . . . 293
9.3 Automated Synchronization . . . . . . . . . . . . . . . . . . 307
9.4 Text-Driven Synchronized Speech . . . . . . . . . . . . . . . 309
9.5 Image-Based Visual Speech Synthesis . . . . . . . . . . . . . 313
9.6 Muscle-Driven Synchronization . . . . . . . . . . . . . . . . 316
9.7 Speech-Driven Synchronization . . . . . . . . . . . . . . . . 319
9.8 Expression Overlays . . . . . . . . . . . . . . . . . . . . . . 324
9.9 Complete Speech Animation . . . . . . . . . . . . . . . . . . 328

10 Performance Animation 331

10.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
10.2 The Envelope for Face Deformations . . . . . . . . . . . . . 339
10.3 Feature Tracking and Correspondence . . . . . . . . . . . . 341
10.4 Directions for Performance Animation . . . . . . . . . . . . 360

11 Modeling and Animating Hair 363

11.1 Hair Structure . . . . . . . . . . . . . . . . . . . . . . . . . . 363
11.2 Representing Hair . . . . . . . . . . . . . . . . . . . . . . . . 366
11.3 Hair Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . 368
11.4 Cluster Hair Model . . . . . . . . . . . . . . . . . . . . . . . 370
11.5 The Thin Shell Volume Model . . . . . . . . . . . . . . . . . 373
11.6 Loosely Connected Particles Model . . . . . . . . . . . . . . 375
11.7 Strand-Based Hair Models . . . . . . . . . . . . . . . . . . . 377
11.8 Wisp-Based Hair . . . . . . . . . . . . . . . . . . . . . . . . 379
11.9 Mass-Spring-Hinge Hair Model . . . . . . . . . . . . . . . . 381
11.10 Beam Bending Hair . . . . . . . . . . . . . . . . . . . . . . . 384

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x Contents

11.11 Hair-to-Hair Interaction . . . . . . . . . . . . . . . . . . . . 394

11.12 Interactive Hair Modeling Tools . . . . . . . . . . . . . . . . 395
11.13 Super-Helices Hair Model . . . . . . . . . . . . . . . . . . . 396
11.14 Strand Rendering . . . . . . . . . . . . . . . . . . . . . . . . 399

A A Face Model 407

A.1 The Data Files . . . . . . . . . . . . . . . . . . . . . . . . . 408
A.2 Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408

B Simple Parameterized Face Program 409

B.1 Input Data . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
B.2 Running the Program . . . . . . . . . . . . . . . . . . . . . 411
B.3 Source and Data Files . . . . . . . . . . . . . . . . . . . . . 411

Bibliography 413

Index 433

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Preface

This book is about computer facial models, computer-generated facial im-

ages, and facial animation. In particular, it addresses the principles of cre-
ating face models and the manipulation or control of computer-generated
facial attributes. In addition, various sections in the book describe and ex-
plain the development of specific computer facial animation techniques over
the past 20 years, as well as those expected in the near future.
In recent years there has been considerable interest in computer-based
three-dimensional character animation. Part of this interest is a strong fas-
cination in the development and use of facial animation. There is no single
reason for this burst of activity, but it has certainly been fueled by both an
emerging computer animation film production industry and the games in-
dustry. There has also been a rapid growth of interest within the scientific
community. In this context, it has been desirable to develop simulations
of surgical procedures, careful and precise observations of computer facial
animation, and the production of detailed visualizations of human anatomy.
The first SIGGRAPH tutorials on the State of the Art in Facial Anima-
tion in 1989 and 1990 provided a vital vehicle to collect and present material
from a variety of face-related disciplines. The success of these two courses
and the material presented therein prompted the development of this book.
Therefore, the text covers much of the material presented in those tutorials,
plus a number of topics that originally were not included.
This book was written to meet the perceived need for a text that pulls
together, explains, and documents the diverse developments in facial ani-
mation. Since the information on computer facial animation is currently
quite fragmented, we wish to make this technology much more accessible

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xii Preface

to a wide range of readers, spanning the spectrum from the merely curious,
to serious users of computer animation systems, to system implementers,
and to researchers. As a result, the book contains enough depth for seri-
ous animators, provides valuable reference for researchers, and still remains
accessible to those with little or no sophistication in this area. Our expec-
tation is that this book be used as a text, or as a case-study reference, for
courses in computer animation.

Preface to the Second Edition

Much has happened in the development and application of facial modeling
and animation in the ten years since the initial publication of this book. As
a result, this second edition is intended to incorporate the most important
and useful of these new developments, while retaining the core concepts
that are still relevant.
Within the animation industry, facial character animation is now taken
for granted, and some techniques have become mainstream activities. We
believe that the first edition of this book has played a role in shaping that in-
dustry by explaining the core principles that underlie most modeling and an-
imation systems used today. This second edition continues to amplify those
principles, as well as introducing some newer concepts that have evolved
over the past ten years.
Some interesting developments have been in the area of performance-
driven face animation, where an actor’s performance can be recorded,
tracked, and re-animated in three dimensions. The interest in the area
resulted in SIGGRAPH courses in 2006. Such techniques are being used
extensively in the film industry and are data-intensive operations; giga-
bytes of data are recorded from multiple high-definition cameras running
at high speed for just a few seconds. Additional developments have been
in the areas of data-driven facial models and the use of much more sophis-
ticated lighting and rendering techniques, such as ambient occlusion and
subsurface scattering. As a result, it is hard to distill and capture all the
latest techniques. So instead, we have focused on those competencies that
are considered fundamental and have become, or are close to becoming,
mainstream.

Acknowledgments
For the first edition, we would like to thank Brad deGraf, Steve DiPaola,
Matt Elson, Jeff Kleiser, Steve Pieper, Bill Reeves, Lance Williams, and
Brian Wyvill, who participated in the 1989 and 1990 SIGGRAPH Facial
Animation tutorials, and who presented much of the material that formed
the initial basis for this book.

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Preface xiii

For the second edition, we would like to thank the following additional
contributors whose help made the book that much richer. Cynthia Brezeal
for images of Kismet; Zygote Media Group, Inc., for the data used to gen-
erate the skull anatomy illustrations in Chapter 3; George Borshukov for
imagery used to create Agent Smith for the film The Matrix Reloaded; Tony
Ezzat for images creating MikeTalk and Mary101; Volker Blanz for images
of a morphable model; Ron Fedkiw and Eftychios Sifakis for the Finite Vol-
ume face model images; Roz Picard for images of Self-Cam; and Mova for
images created from their capture system. Additional images were created
by Andy Smith, Jessica Riewe, Jon Reisch, Eric Andraos, and the “Rivalry”
team at the Texas A&M University Visualization Laboratory. Images illus-
trating hair modeling and animation techniques were provided by Florence
Bertails, Yosuke Bando, Tom Mertens, Ulrich Neumann, and Yizhou Yu.

Frederic I. Parke
Keith Waters
May 2008

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1
Introduction

In recent years there has been dramatically increased interest in computer-

based three-dimensional facial character animation. Facial animation is not
a new endeavor; initial efforts to represent and animate faces using com-
puters go back more than thirty-five years. However, the recent explosion
of activity in character animation has promoted a concurrent interest in
facial animation. Our intent is to present the principles of facial anima-
tion to enable animation implementors to develop their own systems and
environments.
The human face is interesting and challenging because of its familiarity.
The face is the primary part of the body that we use to recognize individuals;
we can recognize specific faces from a vast universe of similar faces and
are able to detect very subtle changes in facial expression. These skills
are learned early in life, and they rapidly develop into a major channel of
communication. Small wonder, then, that character animators pay a great
deal of attention to the face.
Human facial expression has been the subject of much investigation by
the scientific community. In particular, the issues of universality of facial
expression across cultures and the derivation of a small number of principal
facial expressions have consumed considerable attention. The Expression
of the Emotions in Man and Animals, published by Charles Darwin in
1872 [Darwin 72], dealt precisely with these issues and sowed the seeds for
a subsequent century to research, clarify, and validate his original theories.

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2 1. Introduction

The value of this body of work, and of others in this field, requires no
explanation in the context of facial animation.
The ability to model the human face and then animate the subtle nu-
ances of facial expression remains a significant challenge in computer graph-
ics. Despite a heavy reliance on traditional computer graphics algorithms
such as modeling and rendering, facial modeling and animation are still be-
ing defined, without broadly accepted solutions. Facial animations often are
developed with ad-hoc techniques that are not easily extendible and that
rapidly become brittle. Therefore, this book presents a structured approach,
by describing the anatomy of the face, working though the fundamentals of
facial modeling and animation, and describing some state-of-the-art tech-
niques.

1.1 About This Book

Two-dimensional facial character animation has been well defined over the
years by traditional animation studios such as Disney Studios, Hanna-
Barbera, and Warner Brothers. However, three-dimensional computer-
generated facial character animation is not as well defined. Therefore, this
book is focused principally on realistic three-dimensional faces.
The purpose of this book is to provide a source for readers interested in
the many aspects of computer-based facial animation. In this book we have
tried to capture the basic requirements for anyone wanting to animate the
human face, from key framing to physically based modeling. The nature
of the subject requires some knowledge of computer graphics, although a
novice to the subject also can find the book an interesting resource about
the face.
Clearly, the field of computer-generated facial animation is rapidly chang-
ing; every year, new advances are reported, making it difficult to capture the
state of the art. However, it is clear that facial animation is a field whose
time has come. The growth of increasingly complex computer-generated
characters demands expressive, articulate faces. Most of the techniques em-
ployed today involve principles developed in the research community some
years ago—in some instances, more than a couple of decades ago.
So why this surge of interest in computer-generated facial animation?
There is no single reason, although we can point to several key influences.
Perhaps the strongest interest comes from the commercial animation stu-
dios, whose insatiable appetite for the latest and greatest visual effect is
both enormous and endless. These studios are trendsetters who popularize
new animation techniques. DreamWorks and Pixar are examples of such
production studios where, for example, the movies Shrek and The Incredi-
bles were produced. In addition, the advance in realism of video games has
demanded expressive facial animation with high levels of realism.

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1.2. A Brief Historical Sketch of Facial Animation 3

Another key reason is the development of powerful interactive mod-

eling and animation systems, such as Maya and 3D Studio. These sys-
tems dramatically ease the development of three-dimensional facial models.
Improvements in surface scanner technology, such as optical laser scan-
ners [Cyberware Laboratory Inc. 90], and motion capture systems have en-
abled many facial modeling and animation approaches based on surface and
motion data from real faces. Also, overall advances in affordable computing
power have made more sophisticated and computationally intensive model-
ing, animation, and rendering techniques broadly available.
Another intriguing influence is the advent of believable social agents.
The construction of believable agents breaks the traditional mold of facial
animation; agents have to operate in real time, bringing along a new set of
constraints. While the basic algorithms used to animate real-time characters
are concurrent with production animation, new tools have been developed
to deal with issues such as lip synchronization and behavior interaction.

1.2 A Brief Historical Sketch of Facial Animation

This section is a brief synopsis of key events that have helped shape the
field, rather than a chronological account of facial animation. Most events
in facial animation have been published in one form or another. The most
popular forums have been the proceedings and course notes of the ACM
SIGGRAPH conferences and other computer graphics journals and confer-
ence proceedings.1
Historically, the first computer-generated images of three-dimensional
faces were generated by Parke as part of Ivan Sutherland’s computer graph-
ics course at the University of Utah in early 1971. Parke began with very
crude polygonal representations of the head, which resulted in a flip-pack
animation of the face opening and closing its eyes and mouth. Several of
these images are shown in Figure 1.1.
While at the University of Utah, Henri Gouraud was also completing his
dissertation work on his then-new smooth polygon shading algorithm. To
demonstrate the effectiveness of the technique, he applied it to a digitized
model of his wife’s face. Parke used this innovative shading technique to
produce several segments of fairly realistic facial animation [Parke 72]. He
did this by collecting facial expression polygon data from real faces using
photogrammetric techniques and simply interpolating between expression
poses to create animation. By 1974, motivated by the desire to quickly
produce facial animation, Parke completed the first parameterized three-
dimensional face model [Parke 74].

1 The reader is encouraged to refer to the Bibliography for a more complete listing.

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4 1. Introduction

Figure 1.1.
Several of the earliest three-dimensional face models developed by Parke at the
University of Utah in 1971.

In 1971, Chernoff first published his work using computer-generated two-

dimensional face drawings to represent a k-dimensional space [Chernoff 71].
By using a simple graphical representation of the face, an elaborate en-
coding scheme was derived. Also in 1973, Gillenson at Ohio State Uni-
versity reported his work on an interactive system to assemble and edit
two-dimensional line-drawn facial images, with the goal of creating a com-
puterized photo identi-kit system [Gillenson 74].
From 1974 through 1978, three-dimensional facial animation develop-
ment was essentially dormant. However, during this period the develop-
ment of two-dimensional computer-assisted animation systems continued
at the New York Institute of Technology, Cornell University, and later at
Hanna-Barbera. These systems supported two-dimensional cartoon anima-
tion, including facial animation.
In 1980, Platt at the University of Pennsylvania published his mas-
ters thesis on a physically based muscle-controlled facial expression model
[Platt 80]. In 1982, Brennan at MIT reported work on techniques for
computer-produced two-dimensional facial caricatures [Brennan 82]. Also
at MIT in 1982, Weil reported on work using a video-disk-based system to
interactively select and composite facial features [Weil 82]. Later at MIT,
based on this work, Burson developed computer-based techniques for aging
facial images, especially images of children.
In the mid-eighties, developments in facial animation took off once
more. An animated short film, Tony de Peltrie, produced by Bergeron
and Lachapelle in 1985, was a landmark for facial animation
[Bergeron and Lachapelle 85]. This was the first computer-animated short
where three-dimensional facial expression and speech were a fundamental
part of telling the story.

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1.2. A Brief Historical Sketch of Facial Animation 5

In 1987, Waters reported a new muscle model approach to facial ex-

pression animation [Waters 87]. This approach allowed a variety of fa-
cial expressions to be created by controlling the underlying musculature
of the face. In 1988, Magnenat-Thalmann and colleagues also described
an abstract muscle action model [Magnenat-Thalmann et al. 88]. In 1987
Lewis [Lewis and Parke 87] and in 1988 Hill [Hill et al. 88] reported tech-
niques for automatically synchronizing speech and facial animation.
Another groundbreaking animation short was Tin Toy, which received
an Academy Award. Produced by Pixar, Tin Toy was an example of the
capabilities of computer facial animation. In particular, a muscle model
was used to articulate the facial geometry of the baby into a variety of
expressions [Parke 90].
The development of optical range scanners, such as the CyberwareTM
optical laser scanner, provides a new wealth of data for facial animation
[Cyberware Laboratory Inc. 90]. In 1990, Williams reported the use of reg-
istered facial image texture maps as a means for 3D facial expression anima-
tion [Williams 90b]. By the late 1990s, large data sets of high quality laser
scanned data were being used to create detailed morphable facial models
by Blanz and Vetter [Blanz and Vetter 99].
The new wave of enhanced image processing and scanning technology
promised to usher in a new style of facial animation. In 1993, Lee, Ter-
zopoulos, and Waters described techniques to map individuals into a canon-
ical representation of the face that has known physically based motion at-
tributes [Lee et al. 93].
Another growth area was in medicine, with a focus on surgical plan-
ning procedures and accurate simulation of face tissue dynamics. In 1988,
Deng [Deng 88] and later Pieper [Pieper 91] in 1991, used a finite-element
model of skin tissue to simulate skin incisions and wound closure. More
recently the finite-element approach has been applied to highly detailed
biomechanical models of muscle and skin tissue derived from the Visible
Human Project by Sifakis, Neverov, and Fedkiw [Sifakis et al. 05].
Through the late 1990s there was a surge of interest in facial analy-
sis from video cameras. This interest was twofold: first, to provide the
ability to track the human face to create lifelike characters, and second,
to develop the ability to detect facial expression and thereby derive emo-
tional states. There has been some success in both areas. Two popular
techniques are model-based [Yuille et al. 89, Blake and Isard 94] and opti-
cal flow-based [Black and Yacoob 95, Essa and Pentland 94] techniques.
The late 1990s and early 2000s became a threshold for high-fidelity face
capture and rendering for the film industry. Landmark films such as The
Lord of the Rings (New Line Cinema 2002), The Matrix Reloaded (Warner
Bros. 2003), The Polar Express (Warner Bros. 2004), Monster House (Sony
Pictures 2006) required face motion capture sessions of actors using mark-

i i

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