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A review of Facial Caricature Generator

Suriati Bte Sadimon, Mohd Shahrizal Sunar, and Habibollah Haron

Abstract— Caricature is a pictorial description of a person or subject in a summarizing way using exaggeration of the most distinguish features and over-
simplification of the common features in order to make that subject ‘unique’ and to preserve the recognizable likeness of the subject. Facial caricature gen-
erator is developed to assist the user in producing facial caricature automatically or semi-automatically. It is derived from the rapid advance in computer
graphics and computer vision as well as introduced as a part of non-photorealistic rendering technologies. Recently, facial caricature generator becomes
particularly interesting research topic due to the advantageous features of privacy, security, simplification, amusement and their rampant emergent real-
world application such as in magazine, digital entertainment, Internet and mobile application. This paper reviews the uses of caricature in variety of applica-
tions, theories and rules in the art of drawing caricature, how these theories are simulated in the development of caricature generation system and the current
research trend in this field. There are two main categories of facial caricature generator based on their input data type: human centered approach and image
centered approach. It also briefly explains the general process of generating caricature. The state of the art techniques in generating caricature are described
in detail by classifying it into four approaches: interactive, regularity-based, learning-based and predefined database of caricature illustration. Expressive
caricature is also introduced which is evolved from the neutral caricature. This paper also discusses relevant issues, problems and several promising direc-
tions for future research.

Index Terms—caricature, exaggeration, face image, facial feature extraction, computer graphics and vision.
——————————  ——————————

1 INTRODUCTION

C aricature is a pictorial or literary representation of a

person or thing by exaggerating the most distinctive
features and simplifies the features that are more
common in order to make the person or thing different
from others and to create an easily identifiable visual
likeness. Facial caricature represents features of an indi-
vidual face in a simple and effective way. It exhibits the
extraordinary characteristics of a person. Caricature can
be drawn in a humorous, comical, laughable, insulting or
offensive style depending on their purpose.
The word ‘caricature’ is often mistaken for portrait and
cartoon drawing. Portrait is any artistic representation of
a person, which the intent is to display the likeness, per-
sonality and the mood of the person. A cartoon is a piece
of art, usually humorous or satirical in intent. The propor-
tions of the facial features in caricature are exaggerated
and the style is much simple whereas the exaggeration
does not exist in portrait drawing. The proportion of the
facial features in portrait drawing must be exactly the
same as the subject. The picture in caricature should look
like a real person even though it is exaggerated but in
cartoon, the picture does not refer to any particular real
person or the person might be not exit in the real world. If
someone known by the viewer is seen in a cartoon, the
cartoon becomes a caricature. So, a caricature can be
viewed as a combination between portrait drawing and
cartoon drawing. However, a caricature does not neces-
sarily have to be a cartoon. It could be a painting, or a
————————————————
 Suriati Sadimon, Department of Computer Graphics and Multimedia,
Universiti Tekonologi Malaysia, Johor, Malaysia.
 Mohd Shahrizal Sunar, Department of Computer Graphics and Multime-
dia, Universiti Tekonologi Malaysia,Johor, Malaysia.
 Habibollah Harun, Department of Industrial Computing, Universiti
Tekonologi Malaysia, Johor, Malaysia.
sculpture. As long as the proportions are incorrect, and it
can be recognizable as a particular person then it could be
seen as a caricature [1].
A digital caricature is a caricature drawn using the ar-
tistic skills with the help of computer software like Corel
Painter, Flash, Photoshop, and Illustrator. It is drawn
completely by freehand directly onto the computer with
the use of a tablet, an electronic pencil and a mouse.
Computers can really aid the process of drawing carica-
ture in making it all a bit quicker and easier. However,
some artists prefer to draw caricature in traditional and
natural way using pencil and paper and then scan the
caricature into the computer. This is called scanned digi-
tal caricature. On the other hand, facial caricature gener-
ator is to produce facial caricature automatically or semi-
automatically using computer graphics techniques. There
are very few software programs designed specifically for
automatically creating caricatures, and they are still not
really successful [2] . Facial caricature generator attempts
to imitate the artist in drawing caricatures. They try to
convert the process of drawing caricature into the formu-
la and algorithm that will be executed by computer. It can
assist the user in producing caricatures whether for the
skilled user or for those who do not have any ability in
drawing caricature. Therefore, this paper provides a
comprehensive and critical review of the recent research
activity, approach and application in facial caricature
generator. This paper is organized as follows: in section
2, we briefly survey the application of caricature. Section
3 gives a brief review of the theories and rules in the art of
drawing caricature, including the element of caricature
and the process of drawing caricature. Category of facial
caricature generator based on their input data type is de-
scribed in section 4 and the general process of generating
facial caricature is detailed explained in section 5. In sec-
tion 6, we provide a detail review of different approaches

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in generating facial caricature from face image. Section 7
briefly addresses the expressive caricature. In Section 8,
we discuss several issues, problems and the promising
direction for facial caricature generator research. Lastly,
section 9 summarizes and concludes this review paper
2 APPLICATION OF CARICATURE
2.1 Caricature in Entertainment and Political Magazine
Caricature has been widely used in our daily life since the
past few decades. It always can be seen in magazine or
newspaper for various different purposes. Caricatures of
movie stars are often displayed in entertainment maga-
zines. It is used for entertainment through the combined
use of fantasy and humor. Caricature is also used for ex-
pression of social and political perspective such as criti-
cizing intolerance, injustice, political corruption and so-
cial evils using humor and satire. Caricatures of politi-
cians are commonly met in editorial cartoons. Political
caricatures generally are thought provoking and strive to
educate the viewer about a current issue. A typical news-
paper article has a great many words to deliver infor-
mation and ideas whereas a political caricature can ad-
dress issues to ground level and expose the reader to
sharp ridicule by reducing an entire article down to sim-
ple pictures. Political caricatures have been proved as a
powerful vehicle for swaying public opinion and criticiz-
ing or praising political figures [3].
2.2 Caricature in Internet and Mobile Application
With the emergence of Internet and mobile technology, a
caricature has been used for social communication and
entertainment over web or mobile phone. The user can
protect their identity and real image from other users for
security purposes but still allows the basic facial gestures
to be recognizable. Caricature is very applicable to be
used in network environment because of their simplifica-
tion in representing a person, which can reduce the com-
putational burden and the bandwidth requirement, com-
pared to the real photo image. Caricature is used as a dis-
play picture to create a memorable impression of a par-
ticular user in visual messenger, visual chat room, bulle-
tin board and forum. It is also used as an avatar in virtual
community such as virtual museum, virtual classroom, in
interactive movie and multiple user role-playing commu-
nity in virtual game. Avatar is a graphical representation
of a person in virtual environment. According to K. L.
Nowak and C. Rauh [4], the people preferred an avatar
that is matched to their own gender, type (human) and
with other characteristics that are similar to their own.
Thus, use of facial caricature of the people as an avatar
might be a good preference since the caricature can pro-
vide users with valuable information about their partners
and can reduce uncertainty in their interaction. Caricature
is also used as an avatar in a blog, website, profile page
on the social networking and dating sites. Other than that,
caricature also can be used in e-business card, e-greeting
card, e-logo or as a perfect gift idea for many occasions.
Many research have been carried out concerning the use
21
of caricature in internet and mobile phone application [5],
[6], [7], [8], [9]. J. Liu et al. [5] and R. Q. Zhou and J. X. Liu
[7] changed the people’s real photograph captured by
mobile camera to black and white caricature and then it
was used to synthesize the multimedia animation mes-
sage and transferred it to the mobile terminal as an enter-
tainment. M. Lyons et al. [8] used caricature of human
face in creation personalized avatar system. J. Liu et al. [6]
proposed a prototype system for online chatting in which
caricature was used for people to express their emotion or
to show their identity to the others they communicating
with M. Sato et al. [9] used caricature with a small set of
characteristic points for non-verbal communication in
mobile phone.
2.3 Caricature in Face Recognition
Use of caricature for face recognition and perception has
been extensively studied in cognitive psychology, visual
perception, computer vision, and pattern recognition ar-
ea. Caricature is often used in facial recognition especially
to recognize the criminal faces in police investigation or
to identify subjects in forensic process. The victims or
witnesses are often asked to describe the facial features of
the criminal and then, an artist will draw the caricature
according to the description. Caricatures are generally
perceived as better likenesses of a person than the veridi-
cal images [10]. It is because the exaggeration of the dis-
tinctive feature in caricature emphasizes the features of
the face and enhances the recognition. The distinctive
features are important in face recognition and faces with
unusual features are better recognized than more typical
faces [11]. Caricature is not only used during recognized
faces but also used to increase the amount of memorable
information of the face encoded for later recognition.
People often recognize faces from their own races better
than those from other races [12]. J. Rodriguez et al. [12]
used caricature to reduce other-race effect in facial recog-
nition and to help individuals focus their attention to the
features that are useful for recognition. G. Rhodes et al.
[13] found that line drawing caricatures can be better rec-
ognized than the veridical image but photographic carica-
ture did not. C. Frowd et al. [10, 14], and J. Smitaveja et al.
[15] employed caricature in face recognition system using
different approaches.
2.4 Caricature in Information Visualization and
Education
Basic concept of caricature that exaggerated the character-
istic features of the subject and simplifies the overall
structure is adopted in information visualization for bet-
ter understanding about the subject. It provides a power-
ful metaphor for illustrative visualization. It is called as
caricaturistic visualization [16]. Caricature is also used to
visualize the differentiation of subjects or concepts that
hard to be noticed or to ease the user in understanding
the difference of subjects. The potential applications are
such as quality control, comparative biology, case-based
education for medical students and deformation surveil-
lance. Caricature is also used to enhance learning espe-
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cially for the complex learning. It helps the cognitive sys-
tem to pick up distinctive features of the learned material
and minimizes any perceptual or representational confu-
sion [17].
2.5 Caricature in User Interface Agent
Caricature is also used as an interface agent to assist a
user in accomplishing daily computer tasks such as sort-
ing email, filtering information and scheduling meetings.
It can help the user interact with the agent and under-
stand the agent’s behavior or characteristic through their
external trait [18]. Caricature could also make a computer
more human-like, engaging, entertaining, approachable,
and understandable to the user, establish relationships
with users, and make the users feel more comfortable
with computers [19]. It also creates strong implications in
user interaction with the system, which makes the user
more likely to be cooperative.
3 THEORIES AND RULES IN THE ART OF DRAWING
CARICATURE
3.1 Elements of Caricature
There are three essential elements that must be presented
in caricature [20],[21]. The first element is Likeness. All
good caricature must have a good likeness of their sub-
jects. If the caricature cannot represent who it is supposed
to be, then it is not a caricature. The second element is
exaggeration. All caricature must have some form of ex-
aggeration or a departure from the exact representation of
the subject features. If there is no exaggeration, what we
have is a portrait but not a caricature. The degree of exag-
geration employed by each individual caricaturist varies
enormously. Exaggeration is the essence of a caricature
and not a distortion. Exaggeration is the overemphasis of
truth, while distortion is a complete denial of truth [22]
for instance if the mouth of a person is prominent, make it
enormous and not make it tiny. However, there are ex-
traordinary creative caricaturists who succeed in dis-
torting some part of facial feature without losing their
likeness. The last element is statement or subjective im-
pression. Caricature must have something to say about
the subject. It might be something to do with the situation
the subject is drawn in, their personality through expres-
sion or body language or visual fun of some aspect or
their image.
3.2 Process of drawing caricature
Drawing a caricature is an inborn talent exits only in a
few peoples [23]. This inborn talent embedded in their
subconscious mind and hard to be explained. However,
these talented people still have to be taught because
sometimes this talent may go unnoticed or undiscovered
until later of life. Drawing caricature needs eye-hand co-
ordination, which uses the eyes to pay attention to the
subject and the hands to draw the subject based on the
information received through the eyes. In addition, we
need our brain to find the most prominent facial features
that make the person different from everyone else [21].
The process of drawing caricature involves two basic
22
steps, observation and exaggeration.
Observation is the most important things to do in
drawing caricature. The likeness can be lost very easily if
the observation is not carefully accomplished. Caricaturist
need to understand what they see in the individual face
that makes him recognizable, observe which of the facial
features are larger, smaller, sharper, and rounder than
most people’s, identify the salient facial features that
make him unique and extract his personal interpretation.
Person’s distinguishing characteristic can be determined
by comparing his/ her facial features with the reference.
According to the psychologist [13], human beings have a
“mean face” recorded in their brain, which is an average
of faces they encounter in life. This “mean face” acts as a
reference. The distinguishable facial feature is the feature
that larger or smaller or sharper or rounder than average.
However, a caricaturist considers the difference not only
from the average face but also their surrounding features
of the same subject. L. Redman [22] employed the princi-
ple of relativity to define the distinctive facial features.
Relativity in the arts can be thought of as having two
parts: the relationship of things to others of their own
kind and the relationship of things to their surrounding
and abutting elements. The first part gives us the infor-
mation about the size or shape of the facial features com-
pare to others such as the eye is larger than others where-
as, the second part tells about the distance or aspect ratio
between the facial features such as distance between eyes
or ratio of the mouth width to the nose width. L. Redman
[22] used in-betweener as a frame of reference for deter-
mining how to exaggerate the subjects’ features. He exag-
gerates any features of the subject that is different from
in-betweener. T. Richmond [20] defined the relationship as
the distances between the five simple shapes, their size
relative to one another, and angle they are at in relation-
ship to the center axis of the face. The five simple shapes
are left eye, right eye, nose, mouth, and face shape. He
used classical portrait proportion as a point of reference
to observe where the subject's face might differ and de-
cide what relationships to change and how much to
change them. The width of an eye is used as the primary
frame of reference. It is difficult to observe those faces in
which the unique features are not obvious. In order to
make observation easy, simplify the face into five basic
shapes by eliminating the details.
The second step is exaggeration. The way of the
caricaturists draw and exaggerate a caricature is depend
on their style. Most of the artists start drawing a carica-
ture with the simplest form or outline of the subject after
they have determined the unique features or the relation-
ship to be exaggerated from their observation. The simple
shape is easier to draw, control and exaggerate to the de-
sired shape than ones with a lot of complex element. The
caricaturist always creates several little drawing of differ-
ent exaggerated facial features and then picks the best one
[1]. After that, the detail of facial features will be added to
create the likeness. Which facial features are the most im-
portant part and should be looked and drawn first is var-
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ies to different artist. K. Bjorndahl [1] , and Shafali [21]
consider that the eyes is the most important feature on the
face, whereas T. Richmond [20] believes that the face
shape is the most important part and then eye and nose.
The exaggeration is the manipulation of the relationship
of the features to one another in term of their distance,
size and angle and not the features themselves taken in-
dividually. Even the eyes is bigger than other peoples, it
cannot be simply drawn in bigger size. The rest of the face
should be taken into account. Every change to one feature
will affect to the others features or called as action and
reaction. For example, if the eyes are moved farther apart,
the nose will move closer to the eyes. If the chin is
changed to become bigger, the top of a head will be
smaller. This technique will create higher impact exag-
geration. Other than that, basic knowledge of drawing,
anatomical knowledge and experience in drawing a hu-
man portrait are very helpful in drawing caricature.
related to the linguistic terms. The increase and the de-
crease of the parameter value are defined according to the
Linguistic term. Linguistic terms used to describe the fa-
cial features are such as “big”, “small”, “round”, “thin”
and “thick”. Impression terms are such as “pretty”, “se-
vere”, “honesty”, “active”[28], “cheerful”, “quiet”, “ma-
ture”, “youthful” [30]. The general procedure for generat-
ing facial caricature from word description is shown in
Fig 1. The user will input words that describe their de-
sired facial caricature image. The words have been de-
fined in the fuzzy set. Some calculation will be done ac-
cording to the inputted term to get the features parameter
values. The correspondence image in the database will be
located [30] or the average face that is used as an initial
face will be transformed to the desired facial caricature
according to the parameter value [27], [29].
Input

Linguistic terms / words

4 CATEGORY OF FACIAL CARICATURE
- round eyes, big nose, little,
GENERATOR more, very, slightly, etc
Facial caricature generator originally is intend to generate
all type of caricature and not only human face caricature.
However, most of the previous studies only focus on
producing or synthesizing facial caricature. It is because
face is a unique feature of human being and a substantial
Relationship
factor in providing a large part of human identity. Faces
have been the subjects of interest of numerous studies Linguistic terms
such as in image processing, computer vision, biometric,
pattern recognition, cognitive psychology, visual percep-
tion, computer graphic and animation. Basically, there are Facial features parameter values
two main purposes of study dealing with faces: for face
recognition that involves analysis tasks and face recon-
struction that consist of synthesis tasks [24], [25]. Synthe-
sizing facial caricature can be classified under the face
reconstruction studies but also involves many other tech- Get the corresponding image accord-
niques from another area of study. In fact, it is also intro- ing to the parameter values
duced as a part of non-photorealistic rendering technolo-
gy, which attempt to mimic any existing artistic style
whether in image-space or object-space. Facial Caricature Modification
Generator can be divided into two main category based output
on their input data set: human centered approach that use caricature
word descriptions as input data and image centered ap-
proach that use photographic face images as input data Fig 1 General procedure to generate facial caricature from word descrip-
[26]. tion.

4.1 Human Centered Approach Finally, facial caricature with obtained parameter values
is presented to the user. If the output is not fit to the de-
A facial caricature is generated based on the user’s verbal
sired facial caricature image, some modification can be
description of facial features and the impressions about
done also using the linguistic term. S. Iwashita et al. [27],
the target face. This approach attempts to imitate how the
S. Iwashita et al. [29], and T. Onisawa and Y. Hirasawa
suspect’s face is drawn based on verbal description given
[30] focused on how to seek the desired image of the face
by the witness in police investigation. There have been
so that the output really reflect the face image in the us-
some studies on generating facial caricature from the us-
er’s mind while J. Nishino et al. [28] concentrated on the
er’s linguistic description [27], [28], [29], [30]. These stud-
linguistic acquisition and emphasizing on the structure of
ies are using fuzzy theory to express the meaning of the
the fuzzy set. The problems that always encountered in
linguistic term or word and to represent the parameter
these studies are the ambiguity meaning of the linguistic
value of each facial feature. These parameter values are
term, the display of the facial features is not really similar
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to the defined term, the output are seem unnatural, lim-
ited number of the defined linguistic term causes the de-
sired facial caricature cannot be displayed and the mean-
ing of the linguistic words do not express the size of the
facial features relatively to the size of the face.
4.2 Image Centered Approach
This approach uses a 2D face image as an input data to
generate a facial caricature drawing. It attempts to imitate
how the caricaturists draw the caricature by looking at
the face image or at the real person or just based on their
memory. This approach takes advantages of the image
processing technology to process input face images and
other related analysis tasks. The first caricature generator
was created by S. E. Brennan [31]. She extensively studied
the style, theory and method of caricature generation and
examined the perceptual phenomena regarding to the
distinctive facial features and came out with some heuris-
tic of the caricature generation process. The process of
caricature generation was carried out on the basis of ex-
aggerating the differences between the subject and the
average one. However, after that there have been many
other works with different approaches. Generally, the
process of generating facial caricature can be described as
shown in Fig 2. First, extract facial feature points from the
original face image. Then, find the distinctive features
and exaggerate it to the new ones. Lastly, warp the face
shape of the original face image or the face sketch to the
target position according to the new points in order to
produce a photographic caricature or sketch caricature,
respectively. Some other works just connect the exagger-
ated points using line or curve function to generate a faci-
al caricature. This process involves many areas of study.
Face processing and extraction is a subject research in
image processing and computer vision whereas line
drawing, stroke, image warping or deforming is in com-
puter graphics and animation. To find the distinctive faci-
al features and exaggeration rate need for knowledge of
cognitive psychology and visual perception.
5 PROCESS OF GENERATING CARICATURE FROM
INPUT FACE IMAGE
The detail of the common process in generating facial
caricature is explained as followed.
5.1 Face Extraction
Facial feature extraction can be performed manually or
automatically. This step can take advantages of image
processing technology to process the face image such as
preprocessing, detection, localization, segmentation and
feature extraction. P. Y. Chiang et al. [32] utilized Canny
edge detector and Hough transform for iris localization
and applied Active Contour Model (ACM) to obtain the
final face mesh. ACM only performs when the shape of
object is simple, the background is monotonous and no
prior knowledge [33].
24
input
face image
Face processing/ feature extraction Face
sketch
Other
sources
Extracted feature points
Find distinctive features
Transformation-
morph/ deform
Exaggerate the features
New points / exaggerated features points
Output
Caricature
Fig 2 General procedure to generate facial caricature from input face image
H. Koshimizu [34] also extracted iris using Hough trans-
form and extracted other features using K-L expansion.
Most of the existing works in generating caricature used
modified Active Shape Model (ASM) [35], [36], [37], [38]
and modified Active Apperance Model (AAM) [39], [40],
[41], [42] to extract facial feature points. ASM and AAM is a
model of the shape variations and texture variations of facial
images using Principal component analysis (PCA). The coeffi-
cients of eigenshape or eigenface are used as parameters to rep-
resent the face shape and face texture. By adjusting the model
parameters, the model can be well fit to a new facial image and
can be used to automatically extract the facial shape feature
points [38]. The difference between ASM and AAM is the
ASM model uses local image textures in small regions of
landmark points, whereas the AAM model uses the
whole appearance[37]. AAM generally performs better
than ASM [33]. Normally, automatic extraction of facial
feature points is done during run time whereas manual
extraction is employed during learning or training phase
to get an average face or to get underlying features.
5.2 Facial feature point definition
These defined facial feature points are also known as
landmark points. Other than that, we need to define what
parameters to be extracted. The parameters that are al-
ways being used in caricature generation are facial fea-
ture points, size feature, shape feature, aspect ratio, dis-
tance between features and curvature property of each
facial segment. The number of facial feature points used
by the existing researchers varies according to the pur-
pose of their use but usually ranges from 50 to 300. High-
er number of facial feature points is commonly used for
animation [32] and lower number is always used for mo-
bile application [9]. High number of facial feature points
can generate variety form of exaggeration without de-
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stroy the likeness of the subject and more interesting but ing to the SRM.
it has high computation and storage complexity whereas
the lower number of facial feature points can save the
computation and storage cost but the result is less inter-
esting and limited to certain exaggeration. Table 1 below
shows the landmark points used in some research works.
Table 1
Number of Landmark Points Used in Some Research Works
Basic Research works
features Fig 3 Canon model [47]
[43] [44] [45] [46] [32] [23] [9]
eyes 16 16 16 40 44 8 12

eyebrows 20 20 20 14 16 8 16

nose 12 12 12 25 22 5 3

mouth 17 20 20 24 18 6 10

ears - - - 12 - 10 10 Fig 4 Norm face grid

Face 19 19 24 25 19 9 9 There are many other approaches that employed by
contour the existing works to find the distinctive facial features
Hair style - - - 31 - - - and to assign the exaggeration rate, which will be ex-
plained later in detail at section 6. The summarization of
Total 84 87 92 171 119 46 60
points
these approaches is shown in Table 2 below. There are
three approaches to find the distinctive features: interac-
5.3 Distinctive Facial Features and Exaggeration tive, regularity-based, and learning-based and three ap-
proaches to assign or to define the exaggeration rate: in-
After the entire required facial feature points have been
teractive, empirical, and learning-based. However, there
extracted from the input face image, the distinctive facial
is one approach that did not use this step in producing
features need to be determined and then those features
caricature. It is predefined database of caricature illustra-
would be exaggerated to the desired form. According to
tion.
the theory and rule of drawing caricature, an input face
image need to be compared with the reference face in Table 2
order to determine the distinctive facial features. The ref-
Different approaches in generating caricature
erence face can be either an average face or a standard To Define To Determine the Distinctive Facial Features
face model. Average face or mean face is derived from the the Exagger- learning-
interactive regularity-based
collection of face images in database. Facial features are ation Rate based
represented by using N points of x and y coordinates. Let [26], [31],  [34],  [38], 
say, there are M face images in the database, the mean interactive [53], [60] 
[39],  [41],  [48], 
 
face can be calculated by [55],[56], [57],[58], 
1 M
1 M [61], [62],[63] 
x i( s )   , y i( s )  
(P ) (P )
xi j
yi j
(1) [64], [32],[ 44], [54],
M j 1 M j 1 empirical    
[59]
i  1 , 2 ,..., N [43], [35]
learning-based   [23], [65]
where xi(Pj) and yi(Pj) are the x and y coordinates for the i- [36]  
th feature point of the j-th normalized face data.
Standard face model is a standard proportion of 5.4 Image Transformation
the ideal face. V. Boyer [47] proposed a caricature model- This is the last step in generating caricature. The most
ing and rendering based on the Canon model as shown in common technique in computer graphics that can be used
Fig 3. The exaggeration is applied on the differences from to transform the input facial image to the desired facial
the face image and the canon model. B. Gooch [48] used caricature is image metamorphosis or morphing. Image
norm face as a reference to find the distinctive features to metamorphosis is implemented by combining image
be exaggerated. Four vertical lines are set to be equidis- warping with color interpolation (cross-dissolve). There
tant while the horizontal lines are assigned distance val- are two basic techniques of morphing: field morphing
ues 4/9, 6/9 and 7/9 from the top of the frame as shown and mesh morphing [50]. The field morphing algorithm
in Fig 4. Furthermore, F. Ni et al. [49] proposed Self Ref- uses a set of control line segments to relate features in the
erence Model (SRM) to be used in caricature generation source image to features in the target image, while the
system. The distinctive features are properly estimated mesh morphing algorithm uses a rectangular grid of
and quantified by evaluating some differences between points, which has aligned to the key feature location of
the input face and the standard facial parameters accord- the image. The field morphing method is easier to be ap-
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plied than the mesh morphing method but it takes more
time to compute [50], [51]. The most common problem in
morphing is to specify corresponding feature points of
the images that can provide reasonable result and reduce
computational complexity [52] and to morph only specific
parts of the face image while holding other parts constant
[50]. The metamorphosis techniques that implemented by
the previous works in generating caricature are mesh
morphing [23], [35], [36], feature-based morphing [32],
[53] or known as field morphing, Thin plate spline warp-
ing [43], and Delaunay Triangulation warping [54]. Fur-
thermore, Arruda et al. [42] used deformable mesh tem-
plate, M. Obaid et al. [40] employed quadratic defor-
mation model and E. Akleman et al. [53] used implicit
free form deformation. C. C. Tseng et al. [44], B. Gooch et
al. [48] and Z. Mo et al. [55] did not state the specific tech-
nique of morphing.
The final caricatures produced by the existing
works come in a variety of styles such as photographic
caricature [23], [35], [36], [54], [55], [56] as shown in Fig
5(a), sketch caricature [43], [44], [55] in Fig 5(b), black-
white illustration caricature [41], [48] and hand-drawn-
like caricature as shown in Fig 5(c) [32]. Some of other
works generate outline caricatures as shown in Fig 5(d)
by connecting the exaggerated facial feature points using
lines [31],[34], [57], [58], [59], piecewise cubic Hermite
interpolation [37], Bezier curves [39], and B-Spline curves
[9], [38],[46].
(a) (b)
(c) (d)
Fig 5 (a) Photographic caricature [55] (b). sketch caricature [44] (c) hand-
drawn like caricature [32] (d) outline caricature [34]
6 DIFFERENT APPROACHES IN GENERATING
FACIAL CARICATURE FROM INPUT FACE IMAGE
6.1 Interactive Approach
In this approach, the distinctive facial features and the
exaggeration rate are determined interactively by the us-
er. The user can drag the points of the facial features to
enlarge or reduce the size in order to generate the desired
caricature. E. Akleman [60] came up with a very simple
26
algorithm, which utilize the interactive morphing tool to
generate caricatures as shown in Fig 6. He starts with an
extremely simple template, which represents the essential
features by a few numbers of lines. Only one feature is
exaggerated at a time. He uses try and error method to
find the distinctive feature to be exaggerated. If that ex-
aggeration did not create a likeness, go in the opposite
direction. If this too did not give the required result, re-
turn the feature to its original position. The user must
correctly identify the distinctive features. It is difficult to
do for the ordinary user and take a long time in doing try
and error process to get the desired result. The user is also
might exposed to the risk of producing unrecognizable
caricature. E. Akleman et al. [53] further came up with a
new deformation technique that uses simplical complex
to generate caricature. He uses simplices (point and trian-
gle) as a basic deformation primitive. Triangles can pro-
vide shear transformation, which cannot be supported by
line. The deformations are defined by a set of simplex
pair. Blending function is used to interpolate the transla-
tion vector, which define the source to target mapping.
This system can intuitively and interactively produce an
extreme caricature but requires experience to meaningful-
ly specify source and target simplices. All these works
require expert knowledge or skilled user input, which
limits their applicability for every-day use [48].
(a)
(b)
Fig 6 (a) original face image and its simple template [53] (b) caricature
image and its simple template [53]
6.2 Regularity-based Approach
Regularity based approach is summarizing the rules of
creating caricature and simulated by computer to gener-
ate caricature automatically or semi-automatically. The
basic rule in drawing caricature is exaggerating the dif-
ference from the reference face. Average face is widely
agreed among the caricaturists and the researchers to be
used as a reference face. S. E. Brennan [31] used an aver-
age face derived from a collection of face images in data-
base as a reference to find distinctive features. The posi-
tions of 165 feature points on the input face image corre-
sponding to the reference points in the average face are
marked manually with mouse click. These points are then
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compared with the positions of similar points on the av-
erage face in order to determine the extent of deviation.
This deviation would further be exaggerated by moving
away the feature points from the average to yield a carica-
ture as shown in Fig 7. The rate of exaggeration was de-
fined interactively by hand control. The facial caricature is
represented in line drawing that connects all these feature
points. This system still requires skill user input to control
the feature points in order to generate an interesting cari-
cature.
(a) (b) (c)
Fig 7 (a) input face image (b) line representation of input face image [31]
(c) caricature image [31]
This rule is also used by [23] ,[26] ,[32], [39], [41], [55],
[56], [61]. P. Y. Chiang et al. [32] carried out with a differ-
ent result as shown in Fig 8 but still using an average face
as a reference face. An artist’s work is used as a source
image to be morphed according to the exaggerated points
of original face image to produce a caricature. The notion
of “exaggerating the difference from the mean” (EDFM) is
also used by [34],[57],[58],[62],[63]. This rule can be de-
fined in formula as
Q  P  b  P  S  (2)
where P is input images, Q is generated caricature, S is
the average face, b is the rate of exaggeration and (P-S) is
the difference between input image and the average face.
(a) (b) (c)
Fig 8 (a) artist’s work [32] (b) original face image [32] (c) caricature image
[32].
They proposed an interactive system (PICASSO), which
take the model, the caricaturist and the gallery into con-
sideration. The area of the model’s face that the gallery
looks mainly at can be detected by collecting the gaze
distribution using eye-camera. Those features in the area
of high distribution of gaze will be exaggerated to the
greater degree. The scalar of exaggeration rate depends
on the caricaturist and gallery. T. Fujiwara [57] proposed
WEB-PICASSO, which employs variety of mean face that
can be selected by the user. The use of different mean face
will produce different caricature and give different im-
27
pression to the user. T. Kamimura and Y. W. Chen [38], C.
C. Tseng [44], S. J. Gibson et al.[54], and X. Guangzhe et
al. [59] employed Principle Component Analysis (PCA) to
find the major principle components of features. The pa-
rameter of exaggeration rate is determined empirically by
performing orthogonal expansion to the eigenvector [59].
Varying the coefficient of eigenvector would change the
face shape. However, Z. Mo et al.[55] has a strong persua-
sion that EDFM method may not produce the best carica-
tures. The distinctiveness of a displaced feature not only
depends on its distance from the mean, but also its vari-
ance for example even eye width and mouth width devi-
ate from the mean in equal distance, the eye will be more
distinctive compared to the mouth if the eye width has
much less widely distributed. Instead of using mean face
as a reference to find the distinctive features, some works
using standard face model as a reference. B. Gooch et al.
[48] proposed an interactive method in deforming the
black and white facial illustration to produce caricatures
which rely much less on the presence of well-trained us-
ers. He uses a norm face grid (Fig 4) as a reference and a
facial feature grid (FFG) for an input face image which
consist a rectangle frame, four vertical line that marking
the inner and outer corners of the eyes and three horizon-
tal lines mark the position of the eyes, the tip of the nose,
and the mouth as shown in Fig 9(a). Scaling the vectors
between corresponding vertices in the norm face grid and
the user-set grid does the exaggeration. To allow more
expressive freedom, vertices on the left and right of the
grid can be manipulated individually but not the internal
features in order to produce a caricature as shown in Fig
9(b) and Fig 9(c).
(a) (b) (c)
Fig 9 (a) Facial Feature Grid (FFG) (b) both grid and underlying image are
warp interactively (c) the resulting caricature [48].
Table 3 shows all the previous works in this approach. Most of
the works implemented the first relativity principle [22].
Only C. C. Tseng [44] and C. Wenjuan et al. [39] apply both of
relativity principle, which considers the difference not only
from the average face but also other neighbor features of
the same subject to make the caricature more contrastive. C.
Wenjuan et al. [39] employed the handcraft rules of a particular
caricaturist in his work. He characterizes the face in a propor-
tion form and uses hierarchy to control the exaggeration. He
does not only increase exaggeration of the major distinctive
features but also decrease the exaggeration of non-distinctive
features. Most of the previous works in this approach defined
the exaggeration rate interactively by dragging the feature
points or setting the parameter value except
[23],[32],[44],[54],[59]. K. H. Lai et al. [23] used learning-
based approach to capture the exaggeration rate from the
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caricaturist. C. C. Tseng [44], S. J. Gibson[54], and X. exaggerations and not only linear exaggeration, which
Guangzhe [59] determined the exaggeration rate empiri- scale the features with a factor as provided in most of the
cally by eigenvector and by a simple linear model [32]. existing caricature generation systems. They proposed a
neural network based caricature generation. Feed for-
Table 3
ward back propagation [23] and cascade correlation [65]
Regularity-based approach are adopted to capture the relationship between the dis-
Relativity tinctive facial features and the changes from original face
Reference
face Relationship to image to caricature. The distinctive facial features are de-
Relationship to others
the surrounding
termined by comparing face image to the average face.
[26], [31],  [34],  [38], 
Average This system cannot generate caricature exactly the same
[39],  [41],  [55],[56],  [44], [39]
face as the artist drawing but still can be accepted as satisfac-
[57],[58], [61], [62],[63]
tory result as shown in Fig 10. J. Liu et al.[35] and J. Liu et
Standard
[47] , [48], [49]  al. [36] learn the style of general artist by using hand
face model
drawn caricatures that are created by many artists over
the world while K. H. Lai et al.[23], L. Liang et al.[43] and
N. S. Rupesh [65] learn an individual artist style and the
6.3 Learning-based Approach caricatures are drawn by a particular artist. K. H. Lai et
al.[23], L. Liang et al.[43], and N. S. Rupesh [65] known as
This approach is always used to capture the artist style or
supervised learning whereas Liu et al.[35] and J. Liu et al.
to simulate the caricaturist creativity that are difficult to
[36] as semi-supervised learning.
codify algorithmically such as the style of the particular
artist exaggerate the facial features, the style of stroke and
the style of sketch. The artist’s product will be learned
using machine learning technique or artificial intelligent
methods. This approach requires extensive training data-
bases containing pairs of original face image and its cor-
responding caricatured face image drawn by caricaturist.
L. Liang et al.[43] proposed the caricature generating sys-
tem based on example. He analyses 92 face image-
caricature pairs and classifies into 28 prototypes using (a) (b) (c)
Partial Least Square (PLS). Each prototype contains sam- Fig 10: (a) original face image (b) hand-drawn caricature created by an
ples with similar direction of exaggeration correspond to artist (c) the resulting caricature [23]
some facial features. Any input of face image would be
classified into one prototype. The facial features to be ex- 6.4 Predefined Database of Caricature Illustration
aggerated and the rate of exaggeration are estimated us-
The distinctive features and exaggeration rate are not de-
ing local linear model (least square). The exaggeration
termined explicitly in this approach. Illustration carica-
direction and the selected facial features determined by
tures correspond to the original facial parts need to be
this method are limited and the distinctive facial features
defined beforehand [46], [66], [67]. This approach is also
selected by the artist may cover different prototypes. J.
known as component-based [68]. An input face image
Liu et al. [35] proposed a mapping learning approach to
will be extracted and caricature illustration closest to the
generate facial caricature. He employs Principle Compo-
extraction result would be selected from a database. T. W.
nent Analysis (PCA) to obtain the principle component of
Pai and C. Y. Yang [46] concentrated on classifying and
the facial features and uses Support Vector Regression
drawing methodology in order to ease the matching pro-
(SVR) to learn the mapping model in principle compo-
cess between an input face image and the pre-generated
nent space. A new input face photograph would be pro-
caricature in facial bank. The resulting caricature generat-
jected into the principle component space and the vector
ed by T. W. Pai and C. Y. Yang [46] shown in Fig 11. The
that represents the position of the target caricature could
problem of this approach is to obtain all the required cari-
be predicted using the mapping model. This vector needs
cature illustration in advance. If the correct caricature
to be transformed from the principle component space to
illustration is not available in the database, the facial part
high-level feature space to get the caricature’s shape. Both
of an input face image might be replaced with unsuitable
of the works [35]and [43] used a linear methods to map
one and resulted in producing unrecognizable caricature.
the original face image to its corresponding facial carica-
Sometime, even the individual parts of the input face im-
ture whereas J. Liu et al. [36] further came up with non-
age are matched flawlessly, the resulting caricature bear
linear mapping model. He employs semi-supervised
very little resemble to the person [68].
manifold regularization learning to reduce dimensionali-
ty of the caricature and to build regressive model in order
to predict the caricature pattern from the given original
face image. K. H. Lai [23] and N. S. Rupesh [65] also be-
lieve that generating facial caricature involves non-linear
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(a) (b) (c) (c) (d)

Fig 11 (a) original face image (b) matched face contour (c) caricature image
[46] Fig 12 (a) input face image (b) natural expression (c) smile expression (d)
surprise expression [40]

7 EXPRESSIVE FACIAL CARICATURE

8 ISSUES AND FUTURE RESEARCH
Instead of generating facial caricature without consider-
8.1 Human Centered Approach
ing the expression of the face image as explained in all
previous sections, there are some effort to produce an
All the previous studies assume that the linguistic term
expressive facial caricature [27], [29], [40], [68], [69], [70].
have the same meaning for all people but according to H.
In A. J. Calder et al. [69], a neutral expression face image
Benhidour and T. Onisawa [26], the same faces can be
acts as a reference face. The expressive caricature is pro-
differently interpreted by different people. So, the mean-
duced by exaggerating the difference between an expres-
ing of the linguistic term for drawing facial caricature
sive face image and the neutral expression face image. W.
should be represented according to the type of users and
H. Liao and Chien An Lai [68] used facial component ac-
many other factors. Instead of using fuzzy theory in rep-
tion definition (FCAD) to control a subset of facial param-
resenting the meaning of the language terms, other suita-
eter to produce a multiple expressive caricature. M. Obaid
ble approaches or hybrid approach might be investigated.
et al. [40] defined the expression using facial action cod-
Other than that, linguistic term in those studies is in-
ing system (FACS) and used quadratic deformation mod-
putted in text format. Thus, use of voice as an input to
el to synthesize an expressive caricature. A. J. Calder et al.
generate facial caricature can be an interesting subject to
[69] generated an expressive caricature from an expres-
be studied.
sion face image whereas [40], [68], [69] produced multi-
8.2 Reference Face
ple expressive caricature from a neutral expression face
The distinctive facial features can be determined by com-
image. The multiple expressive caricatures produced by
paring one face with the reference face. Average face is
[40] shown in Figure 12. However, the expressive carica-
well accepted as a reference face for the caricature gener-
ture produced by them [40], [68], has less or no exaggera-
ated system which is used by the skilled user or the artis-
tion if compared to the original expressive face image. S.
tic effect of the resulting caricature is not considered, but
Iwashita [27] and J. Nishino [29]generate an expression-
if the system attempt to imitate the style of a particular
less facial caricature first and then, the facial features are
artist, it begs the questions: “Does the average face ob-
changed to the desired facial expression based on the fa-
tained from a set of face images in the database equal to
cial expression definition obtained from questionnaire,
the “mean face” in the mind of the artist?” and “ Do a set
which contains a parameter value of each facial features
of face images in the database represent all the faces that
for various types of facial expression. The process of pro-
the artist encounter in life?”. If the average face does not
ducing an expressive caricature is generally similar to the
represent the “mean face” in a particular artist’s mind, it
general process of generating caricature that explained
might affect the generated caricature because the different
before in section 5 except they need to add some method
average face will produce different caricature [57] and
to control the location of facial feature points according to
how a person interprets the human face is different from
the type of facial expression. Most of them assumed that a
others [26]. Therefore, to find a method and the best ref-
particular expression of all people has the same expres-
erence face that exactly represents the ‘mean face’ in art-
sive face and used the same value of parameter to change
ist’s mind can be one of the future works.
the facial feature points.
8.3. Correspondence of Feature Points

In the caricature generation process, comparison of facial

feature points between two different face images need to
be implemented such as between the input face image
and the hand-drawn caricature image in learning-based
approach or between the input face image and the refer-
(a) (b) ence image in finding the distinctive facial features. Most
of the previous works manually labeled the position of
facial feature points in one face image corresponding to
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the facial feature points in another face image. They used
their experience and judgment to select the position of the
facial feature points, which is prone to human mistake,
and take a lot of time. The questions here are how to find
the corresponding feature locations in different faces?
Does the location of facial feature points in one face is
accurately correspond to the facial feature points in an-
other face?
8.4. Learning-based Approach
The crucial problems in this approach are limited data
collection of face image-caricature pairs and inconsistency
of the artist styles. To find a method, which can generate
caricature that exactly the same or very close to the art-
ist’s work under that problem is one of the future chal-
lenges. This approach still need to be explored since the
number of the previous works using this approach is still
very reduced. Furthermore, none of them extracted the
rule of artist’s style, explained how the artist exaggerated
the facial features and showed the comparison of the dif-
ferent artist’s style. If the rules of the artist’s style can be
summarized in formula or words, it can enhance the artis-
tic effect of the current facial caricature generator and the
style of a particular artist can be preserved even when the
artist and his works are no longer available. In addition, if
the art-style of the caricaturist can be understood, it can
give many beneficial to the application of the caricature
[25] . A good facial caricature generator system not only
able to simulate the artist works and produce an interest-
ing caricature but also at the same time allows users to
easily interact with the system. Thus, how to integrate
between learning-based approach and interactive control
of the exaggeration rate also can be one of the future
works. The user might be allowed to produce caricature
in their style of exaggeration based on the style of several
artists.
8.5. Pose of the Input Face Image
In previous works, pose of the input face image and the
generated facial caricature are limited to the front-view
whereas in the real world, most of the caricature drawn
by the artist is in multi-view according to the prominent
features of the person and the pose of original face image
is also not only in front-view. In fact, sometime the artist
uses more than one original face image with various pose
to get more information about the subject in order to
draw very good caricature. Therefore, multi-view facial
caricature generation system needs to be developed in
future.
8.6. Elements of Good Caricature
There are three elements of good caricature: likeness, ex-
aggeration and statement or subjective impression. The
first two elements are successful displayed in current car-
icature generation system but how to express the third
element in the facial caricature generator can be an inter-
30
esting subject research.
8.7. Non-photorealistic Rendering Techniques
This technique such as pen-and-ink, brush, hatch, paint-
ing etc need to be improved and enhanced to render the
facial caricature texture and the style of artist drawing
need to be captured and combine with the existing non-
photorealistic rendering technique in order to let the cari-
cature approaching the artist’s product.
9 CONCLUSION
This paper attempts to provide a comprehensive survey
of application, theory and research on facial caricature
generator and to provide some structural categories for
the approach and method described in the previous pa-
pers. The use of caricature can be seen in various applica-
tions such as in entertainment and political magazines, in
Internet and mobile application, in face recognition, in
information visualization and education, and in user in-
terface agent. The important things in process of drawing
caricature are observation and exaggeration. The chal-
lenge of the artist is to find the most distinctive facial fea-
tures that make the person different from everyone else,
to exaggerate that features and at the same time to main-
tain the likeness of the person. Facial caricature generator
can be categorized into two according to the input data
set, image processing approach and human centered ap-
proach. The first one uses face image as an input data and
another one uses word description as an input. The first
category is studied by the researcher and discussed in this
paper more than the second one. The approaches of gen-
erating facial caricature from the input face image can be
divided based on how the distinctive facial features are
determined and how the exaggeration rate is defined.
There are three approaches according to how the distinc-
tive facial features are determined: interactive, regularity-
based, and learning-based and there are also three ap-
proaches based on how the exaggeration rate is defined:
interactive, empirical and learning-based. However, there
is one approach that did not define the distinctive facial
features and the exaggeration rate. It is predefined data-
base of caricature illustration. Regularity-based approach
is the most widely used approach to determine the dis-
tinctive features in the previous work, whereas most of
the previous works used interactive approach in defining
the exaggeration rate. Nevertheless, the learning-based
approach seem to become a significant approach due to
the researchers do not only intend to produce a simple
caricature but also consider the artistic effect of caricature
and endeavor to capture the style of the artist in their
works. In addition, there is a lack of integrity in learning-
based approach and interactive approach in order to de-
velop a good facial caricature generator system. Facial
caricature generator also has been enhanced to generate
multiple expressive facial caricatures which can be em-
ployed in caricature animation and other application in
the future. Nonetheless, to generate a facial caricature that
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exactly similar to the artist’s product still remain as an bernetics‐‐Part A: Systems and Humans. vol. 33, p. 407(6), 2003. 

open problem for further investigation and the existing [15]  J.  Smitaveja,  K.  Sookhanaphibarn,  and  C.  Lursinsap,  ʺFacial 
issues in the previous works could spur researchers to Metrical  and  Caricature‐Pattern‐Based  Learning  in  Neural 
explore and enhance this field in future. Network  System  for  Face  Recognition,ʺ  in  Eigth  IEEE/ACIS 
International  Conference  on  Computer  and  Information  Sci‐
ence, 2009. 
[16]  P.  Rautek,  I.  Viola,  and  M.  E.  Groller,  ʺCaricaturistic  Visuali‐
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Suriati bte Sadimon received her BSc in Science, Computer with Educa-
tion from Universiti Teknologi Malaysia and her MSc in Distributed Mul-
timedia System from University of Leeds, United Kingdom. She is current-
ly persuing her Phd study at Universiti Teknologi Malaysia. Her area of
interest includes computer graphics, face image processing and machine
learning.

Mohd Shahrizal Sunar received his BSc in Computer Science from Uni-
versiti Teknologi Malaysia, his Msc in Computer Graphics and Virtual
Environment from University of Hull, United Kingdom and his Phd in
Computer Graphics from Universiti Kebangsaan Malaysia. Currently, he is
a senior lecturer and a head of department of Computer Graphics and Mul-
timedia, Universiti Teknologi Malaysia. His area of interest includes com-
puter graphic, virtual reality, game programming and image processing.

Habibollah Haron received his BSc in Computer Science from Universiti

Teknologi Malaysia, his Msc in Computer Technology in Manufacture from
Universiti of Sussex, United Kingdom and his Phd in Computer Aided
Geometric Design from Universiti Teknologi Malaysia. Currently, he is an
Associate Professor and a head of department of Modelling and Industrial
Computing, Universiti Teknologi Malaysia. His area of interest includes
computer aided geometric design and soft computing.