AN ANALYSIS OF THE CURRENT AND FUTURE STATE OF 3D FACIAL ANIMATION TECHNIQUES AND SYSTEMS by Chen Liu B.A., Communication University of China 2006 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF SCIENCE In the School of Interactive Arts and Technology © Chen Liu 2009 SIMON FRASER UNIVERSITY Fall 2009 All rights reserved. However, in accordance with the Copyright Act of Canada, this work may be reproduced, without authorization, under the conditions for Fair Dealing. Therefore, limited reproduction of this work for the purposes of private study, research, criticism, review and news reporting is likely to be in accordance with the law, particularly if cited appropriately. APPROVAL Name: Chen Liu Degree: Master of Science Title of Essays: An analysis of the current and future state of 3D facial animation techniques and systems Examining Committee: Chair: ______________________________________ Dr. Bernhard Riecke Assistant Professor, Interactive Arts and Technology ______________________________________ Prof. Steve DiPaola Senior Supervisor Associate Professor, Interactive Arts and Technology ______________________________________ Dr. Chris Shaw Supervisor Associate Professor, Interactive Arts and Technology ______________________________________ Dr. Tom Calvert Internal Examiner Professor, Interactive Arts and Technology Date Defended/Approved: December-02-2009 ii Declaration of Partial Copyright Licence The author, whose copyright is declared on the title page of this work, has granted to Simon Fraser University the right to lend this thesis, project or extended essay to users of the Simon Fraser University Library, and to make partial or single copies only for such users or in response to a request from the library of any other university, or other educational institution, on its own behalf or for one of its users. 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Simon Fraser University Library Burnaby, BC, Canada Last revision: Spring 09 STATEMENT OF ETHICS APPROVAL The author, whose name appears on the title page of this work, has obtained, for the research described in this work, either: (a) Human research ethics approval from the Simon Fraser University Office of Research Ethics, or (b) Advance approval of the animal care protocol from the University Animal Care Committee of Simon Fraser University; or has conducted the research (c) as a co-investigator, collaborator or research assistant in a research project approved in advance, or (d) as a member of a course approved in advance for minimal risk human research, by the Office of Research Ethics. A copy of the approval letter has been filed at the Theses Office of the University Library at the time of submission of this thesis or project. The original application for approval and letter of approval are filed with the relevant offices. Inquiries may be directed to those authorities. Simon Fraser University Library Simon Fraser University Burnaby, BC, Canada Last update: Spring 2010 ABSTRACT Computer facial animation is now being used in a multitude of important fields. It brings a more human, social and dramatic reality to computer games, films and interactive multimedia, and is growing in use and importance. Authoring computer facial animation with complex and subtle expressions is still difficult and fraught with problems. It is currently mostly authored using generalized computer animation techniques, which often limit the quality and quantity of facial animation production. Given additional computer power, facial understanding and software sophistication, new face-centric methods are emerging but typically are immature in nature. This research attempts to define and organizationally categorize current and emerging methods, including surveying facial animation experts to define the current state of the field, perceived bottlenecks and emerging techniques. The thesis culminates in documenting this shared knowledge and making recommendations based on the data gathered, on possible new techniques for next generation, face-centric, computer animation systems. Keywords: facial animation; animation systems; animation techniques; user survey; motion capture iii DEDICATION To my loving husband Lei Chen, who has supported me throughout this entire venture. iv ACKNOWLEDGEMENTS I would like to thank my senior supervisor, Steve DiPaola. His guidance has helped me complete this study as well as complete my entire graduate career. Thank you for your great help with the whole process from constructing a viable survey to finding professional subjects in animation. Thanks also to the members of my committee and Tom Loughin who has assisted me through statistical analysis. I also want to thank my parents who have raised me and have taught me from a baby. If it were not because of your teaching and moral example, I would not have pursued a Master degree. All my success in the future will also be your success. In the end, I want to thank my husband Lei Chen for his support and love during my graduate studies. He gave me both economic and emotional support throughout these years. v TABLE OF CONTENTS Approval ............................................................................................................................ ii Abstract .............................................................................................................................iii Dedication ........................................................................................................................ iv Acknowledgements ........................................................................................................... v Table of contents .............................................................................................................. vi List of Figures .................................................................................................................. viii List of Tables ..................................................................................................................... x 1: Survey of 3D Facial Animation .................................................................................. 1 1.1 State of Facial Animation .......................................................................................... 1 1.1.1 Introduction.................................................................................................... 1 1.1.2 Computer Facial Animation History ............................................................... 3 1.2 Application Areas ...................................................................................................... 5 1.2.1 The Film and Advertisement industry ............................................................ 6 1.2.2 Game Industry ............................................................................................... 6 1.2.3 Medicine ........................................................................................................ 8 1.2.4 Social Agents and Avatars ............................................................................ 9 1.3 Thesis Summary ....................................................................................................... 9 2: Facial Animation Techniques .................................................................................. 11 2.1 Shape interpolation or Blend Shapes ..................................................................... 12 2.2 Parameterization ..................................................................................................... 15 2.3 Bone-based Rigging Methods ................................................................................. 17 2.4 Deformation-based Approaches ............................................................................. 19 2.4.1 Free-form deformation (FFD) ...................................................................... 19 2.4.2 Extended free-form deformation (EFFD) ....................................................