archives of civil and mechanical engineering 18 (2018) 320–330

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Original Research Article

Robust and automatic measurement of

grinding-induced subsurface damage in optical
glass K9 based on digital image processing

Yong Jie Zhao, Yun Hui Yan, Ke Chen Song, Hao Nan Li *
School of Mechanical Engineering and Automation, Northeastern University, Shenyang 110819, China

article info abstract

Article history: Optical glass K9 is a critical kind of optical materials, however experiments have indicated
Received 4 May 2017 that the mechanical grinding of K9 easily led to subsurface damage (SSD). Although
Accepted 25 July 2017 substantial SSD measurement methods have been suggested, the problems including the
Available online 1 September 2017 prior knowledge of SSD and slow measurement speed still impede the reported method
applications. To this end, this paper has presented an image-process-based method that can
Keywords: identify and measure the grinding-induced SSD in K9 specimens. By performing grinding
Measurement trials, the method has been found to be able to accurately (with biggest relative error of 3.13%
Optical glass in comparison with the manually measured results) and quickly (with the measurement
Image processing speed of 1.68 s per image) measure SSD depths. Without any parameter presetting, the
Subsurface damage method enables automatic SSD measurements, allowing the users without SSD knowledge
Grinding to be able to use the method. Moreover, the method has shown the good robustness to the
input image size, illumination, tilted specimen placement, and material flaws. The method
is therefore anticipated to be meaningful for the industrial manufacturing, design and
application of optical glass.
© 2017 Politechnika Wrocławska. Published by Elsevier Sp. z o.o. All rights reserved.

mechanical properties and optical performances of K9

1. Introduction
Optical glass K9 offers good optical transparency, high hardness,
and superior wear resistance, and therefore is considered as
one of the most widely employed materials in the optics
industry [1]. However, many experimental observations [1,2]
have indicated the mechanical grinding process of K9 easily
led to subsurface damage (SSD). The grinding-induced SSD can
be characterized by the cracks nucleating at the machined
surface and vertically spreading tens of micrometers to the
specimen bottom [3], and has been found [4,5] harmful to both
products. To this end, many methods have been suggested
to evaluate the grinding-induced SSD in brittle materials, and
most proposed methods can be generally categorized into (i)
indirect and (ii) direct methods.
Indirect methods usually evaluate SSD depths based on
certain physics, chemistry or mechanics principles, so that any
additional operations to expose subsurface cracks can be
avoided. Lundt et al. [6] have quantified the subsurface cracks
by utilizing the scanning infrared depolarisation effect, where
the SSD depths were quantified by analyzing the missing
wavelengths of the polarized laser beam that can penetrate the

* Corresponding author.
E-mail address: lhnlwfb@163.com (H.N. Li).
http://dx.doi.org/10.1016/j.acme.2017.07.009
1644-9665/© 2017 Politechnika Wrocławska. Published by Elsevier Sp. z o.o. All rights reserved.
 archives of civil and mechanical engineering 18 (2018) 320–330
K9 substrate. However, the precise control of the laser beam
power is also in demand otherwise the laser would probably burn
the K9 sample. Aida et al. [7] have evaluated the grinding-
induced SSD depths in the GaN substrate based on the
cathodoluminescence effect. However, the additional experi-
ments [8] have proved that the electrons impacting on the optical
glass would probably degrade the functional performances (e.g.
optical transmissivity) of K9. A series of interesting studies by Li
et al. [9], Lv et al. [4] and Yao et al. [1] established the explicit
mathematical relationships between the ground surface rough-
ness Rz and the SSD depths so that SSD values can be obtained
based on measured Rz. However, substantial assumptions have
been made in these above studies. Although indirect methods
would not introduce any additional SSD, expensive equipment,
high requirement of professional knowledge, and complex
calculations during the SSD measurement are still needed for the
indirect SSD evaluation. Moreover, the material flaw may also
largely influence the measurement accuracy [10,11].
In comparison, direct SSD evaluation methods have been
believed more reliable, because the subsurface cracks would be
somehow exposed in the direct methods so that the crack
depths are visible and measureable. Tonshoff et al. [12] and
Esmaeilzare et al. [13] have proposed the angle polishing
method (APM), where the ground K9 surface was lapped and
polished under an angle of about 308 and then the exposed
subsurface cracks were measured. The results have proved the
method feasibility, but the polishing operation may introduce
additional SSD. Pei et al. [14] have proposed the section
polishing method (SPM), where before grinding the K9 sample
was firstly cleaved into two parts, then the interested cross-
sections were carefully polished to remove any cracks, and
finally glued together, so that SSD can be measured after the
grinding process by melting the glue and observing the
subsurface cracks in the interested cross-sections. However,
during the grinding process, the material behaviors of the
glued sample may differ from the original sample as the second
phase material (i.e. glue) was introduced. A more reliable direct
method has been presented by Li et al. [9–11], in which a slot
(1 mm width and 5 mm uncut margin) was firstly produced
from the bottom of the specimen, and then a soft rubber
hammer impacted the specimen so that the specimen can be
cleaved along the energetically preferential crystalline plane
and therefore the newly-introduced SSD can be minimized.
Although direct SSD evaluation methods have been believed
more reliable than indirect methods, the SSD measurement in
direct methods still requires human involvement after the SSD
micrographs (see typical example given in Fig. 1) are captured.
Even trickier problems may include: (i) the ground surface in
most cases is tilted therefore the SSD depth in Fig. 1 should be
‘‘SSD’’, rather than ‘‘L1’’ according to the SSD definition [15].
However, most microscopes can not precisely identify and
measure this; (ii) the prior professional knowledge of SSD is
required during the manual measurements, and (iii) the
manual measurement of SSD depths may be feasible only
when small quantities of measurements are required.
Based on above, the critical need for the automatic SSD
measurements would become increasingly pronounced when
considering the demanding requirements from the modern
industrial manufacturing. To fill this gap, this paper presents
an image-process-technique-based method that can robustly
321
Fig. 1 – Captured cross section micrograph with subsurface
damage.
and automatically identify and measure the grinding-induced
SSD in optical glass K9. The method is believed to be able to
considerably stretch the limitations of most of the direct
methods reported in the literature (e.g. Ref. [9–14]), and promote
the realization of the automatic SSD measurements in large
quantities. Therefore the method is anticipated to be meaning-
ful and helpful for not only the industrial manufacturing, but
also the design and application of optical glass.
2. Method description
2.1. Method flowchart
The proposed method mainly includes three modular algo-
rithms (MAs) (see Fig. 2): MA (i) the recognition and reconstruc-
tion of the tilted ground specimen surface, MA (ii) the
recognition of the subsurface cracks, MA (iii) the calculation
of the SSD depths by using the unit of pixels, and MA (iv) the
recognition of the scale bar and the SSD length unit conversion
from pixels to length units.
2.2. Recognition and reconstruction of the ground
specimen surface
The basic principle of the ground surface recognition is based
on an important feature of SSD micrographs: a dark region
without any visual details is located at the top of the ground
specimen surface because the specimen thickness changes
the optical pathway around the ground surface (see Fig. 3a).
Therefore, no matter the surface is tilted or not, the bottom
profile of the dark region can be approximately regarded as the
ground specimen surface, which can be further employed as
the landmark for the SSD measurement. The detailed
recognition procedures are as follows:
(i) Considering the aim of the proposed method is to
automatically measure SSD depths in large quantities,
the measurement speed should be as fast as possible.
Therefore the captured SSD micrographs (see Fig. 1) are
firstly converted into the gray images (see Fig. 3b).
322 archives of civil and mechanical engineering 18 (2018) 320–330

Fig. 2 – Proposed method flowchart.

Fig. 3 – (a) The basic principle of the recognition of the ground specimen surface based on the dark region, (b) the converted
gray SSD micrograph, (c) the edge detection result by using the Canny edge detector, (d) the extraction of the bottom profile of
the dark region, (e) the morphological erosion, (f) the morphological reconstruction, (g) the linear fitting, and (h) the final
detection result of the ground specimen surface.
 archives of civil and mechanical engineering 18 (2018) 320–330
(ii) Because from the cross-section view the ground surface
should be, in theory, a profile with the micro-scale details
(e.g. the roughness and waviness), the classic multi-scale
Canny edge detection algorithm [16] is therefore employed
to the captured SSD micrographs so that the ground surface
profile (see 'A' in Fig. 3c) can be successfully detected.
(iii) The next step to identify the ground surface is to extract
the upper part of the detected edges in Fig. 3(c) by keeping
the uppermost pixel of the detected edges in each pixel
column of the micrograph and removing all the other
detected edge pixels (Fig. 3d).
(iv) Some false ground surface pixels (see 'B' in Fig. 3d) may be
kept due to the discontinuity of the ground surface in
certain pixel columns. To fix this, the morphological
erosion-reconstruction algorithm is employed. Morpho-
logical erosion can be considered as an operation that can
effectively recognize certain specific features and then
present the features by using the merged structure.
Suppose I is the binary data of Fig. 3(d), the morphological
erosion operation can be mathematically expressed as [17]
O ¼ IQB1 ¼ fajðB1 Þa  Ig (1)
where the structure element B1 is set as [1,1,1,1,1,1,1,1] to
recognize straight lines.
Morphological reconstruction can expand the erosion
result by iteratively presenting certain features, i.e. [17]
Hkþ1 ¼ ðHk B2 Þ \ I (2)
where Hk denotes the reconstructed result after the kth
iteration (k = 1, 2, 3. . .), the structuring element B2 is set as
2 3
1 1 1
4 1 1 1 5 to expand certain features, and the operator 
1 1 1
Fig. 4 – The results by performing the (a) revised saliency estimation, (b) threshold segmentation, (c) morphological erosion,
and (d) morphological reconstruction.
323
refers to the dilation operation, i.e. [17]
~ 2 Þ \ Hk  Hk g:
Hk B2 ¼ fajðB (3)
a
The SSD micrographs processed by the morphological
erosion and reconstruction algorithms are separately
presented in Fig. 3(e) and (f), where the false detected
ground surface pixels are effectively removed.
(v) The ground surface is approximately considered as the
linear fitting result of the extracted uppermost pixels of
the ground surface profile given in Fig. 3(f). The basic
fitting function form is set as y = ax + b, therefore the tilted
angle b of the specimen can be expressed as b = arctan(a).
2.3. Recognition of the subsurface cracks
After the ground surface is recognized, the deepest SSD depth
should also be determined by the following steps:
(i) The revised saliency estimation method is performed
to the converted gray images. The revised method is
similar to the classic one proposed in Ref. [18], but the
difference is all the operations are performed to the gray
value of each pixel, rather than to the 3D color data in
the CIELAB color space. When the image coordinate origin
is defined as the left-top corner of the image (see the
coordinate in Fig. 4), then the revised method can be
mathematically expressed as:
Pxþx0 Pyþy0
xx0 yy0 Gðx; yÞ
Sðx; yÞ ¼ k Pðx; yÞk (4)
A
where G(x,y) is the gray value of the pixel locating at
the coordinate (x,y), S(x,y) is the saliency value of this pixel,
P(x,y) is the pixel gray value filtered by the Gaussian filter,
A is the total number of the pixels within the neighboring
324 archives of civil and mechanical engineering 18 (2018) 320–330

rectangular region with [x  x0, x + x0] along the x direction

and [y  y0, y + y0] along the y direction. The output result
by using the revised saliency estimation method is
presented in Fig. 4(a).
(ii) Then the threshold segmentation is adopted to segment
the subsurface cracks. Here the self-adapted Otsu thresh-
old based on Ref. [17], rather than the fixed (or constant)
threshold, is calculated and used for each different image.
The basic idea of the determination of the Otsu threshold
T is [17]: when the gray image can be segmented into two
groups (i.e. the interested target and the background), the
Otsu threshold T would result in the maximal difference of
the sum of the gray values of each group, i.e.
Let ni denote the number of the pixels having the gray
value i and L refers to the maximal gray level of the image
(with M pixel length and N pixel width), the probability of Fig. 5 – SSD depth calculation (with the unit of pixels).
pixel having the gray value i would be
ni
pi ¼ : (5)
MN the geometrical relationship as shown in Fig. 5. The SSD depth
can be obtained based on the point-to-line distance [19], i.e.
Hence, the probabilities of the two groups (i.e. the
interested target and the background) v1,2 are respectively
X
T   
SSDpixel ¼ distance axy þ b ¼ 0; x; ymax
v1 ¼ pi
0 jaxymax þ bj
: (6) ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi : (10)
X
L
v2 ¼ pi ¼ 1v1 a2 þ ð1Þ2
Tþ1

Therefore, the average gray value for the two groups

2.5. SSD Length conversion based on the automatic
are respectively
recognition of the scale bar
PT
ip
g1 ¼ 0 i
v
PL 1 : (7) Note that the SSD calculated by Eq. (10) is expressed by the unit
ip of pixels, therefore the realistic SSD depths can only be
g2 ¼ Tþ1 i
v2 achieved by the length conversion based on the scale bar given
Thus, the total gray value of all the pixels in the image is in the image. However, in most measurement cases, the scale
bar is automatically placed, and more importantly, scaled and
X
L
gT ¼ ipi (8) changed depending on the used magnification of the micro-
0 scope. This section therefore aims to automatically recognize
the scale bar so as to finally express SSD depths by length unit.
i.e., the difference of the sum of the gray values of the two
The scale bar automatically generated by the microscope
groups (denoted as s 2B ) is
 2  2 Olympus BX51M is employed as an example in this study.
s 2B ¼ v1 g1 gT þ v2 g2 gT : (9) As seen in Fig. 6(a), the automatic recognition of the scale
bar generally includes three steps: recognition of the (i) scale
Hence, the Otsu threshold T is the gray value which
bar region and scale bar length (unit: pixels), (ii) recognition of
allows Eq. (9) to reach the maximum value. Fig. 4(b)
digit and unit character, and (iii) conversion of the SSD depth
presents the result by performing the Otsu threshold
from the pixels to the length unit.
segmentation.
For the step (i), because the color variation near the
(iii) Noise pixels (see 'C' in Fig. 4b) are also remained in the image boundary of the white scale bar region tends to be sharp, the
after performing the threshold segmentation, therefore the scale bar region is detected by using the sobel edge detector
similar morphological erosion-reconstruction (see Section [20] (see the result in Fig. 6b). To remove noise pixels (see 'A'
2.2) is conducted once again (see results in Fig. 4d). in Fig. 6b), digits and unit characters, the morphological
(iv) The deepest subsurface crack depth then can be obtained erosion-reconstruction is performed by using the structure
by searching each pixel within the detected subsurface element [1,1,1,1,1,1,1,1] (detailed in Section 2.2) so that only the
cracks in Fig. 4(d) until the pixel having the maximum y straight lines including the region boundary and the scale bar
coordinate is found (see the pixel (x, ymax) in Fig. 4d). can be recognized and kept (see the result in Fig. 6c). The scale
bar region then can be found by (i) summing up the gray values
of all the pixels within a certain row and column, and
2.4. Calculation of the SSD depths (ii) searching the first and last peak values of the summed
gray values separately among all the rows and columns in the
When both the ground surface and the deepest subsurface image (see Fig. 6c). Similarly, the scale bar length Nc (unit: pixels)
crack are recognized, the SSD value can be obtained based on can be determined by the column number difference between
 archives of civil and mechanical engineering 18 (2018) 320–330 325

Fig. 6 – (a) illustration of the scale bar region, bar length, digits and unit character, (b) results by using the sobel edge detector
[20], (c) recognition of the scale bar region and bar length, and (d) digits and unit characters are extracted by removing the
scale bar from the scale bar region.

the second and the third peaks in summed gray values among
all the columns in the image (see Fig. 6c).
For the step (ii), the digits and the unit characters are
extracted by removing the scale bar from the scale bar region in
the original image (see Fig. 6d). The digit and character
recognition is implemented by using the template matching
technique [21] with the templates including the digits from 0 to 9
and the characters 'd', 'c', 'm' and 'm' so that all the possible units
automatically generated by the microscope can be captured.
For the step (iii), assuming the recognized digit and the unit
is lc, the realistic SSD depth SSD can be expressed as:
As seen in Fig. 7, all the grinding trials have been performed
on the grinding machine tool (M7150, Shenyang Machine Tools
Co.) by using the diamond grinding wheel (D120N100V751/8, JR
Diamond Tools Co.). Before the trials, the wheel has been
dressed by another diamond wheel (D80S100V61/6, JR Diamond
Tools Co.) with the dressing ratio of -0.6 and dressing depth of
15 mm (10 times). During the trials, the K9 specimen has been
fixed on the jig, and a wide range of grinding parameters (see
Table 1) have been used so that different depths of SSD can be

lc
SSD ¼ SSDpixel  : (11)
Nc

3. Experimental validation of the method

To validate the proposed method, grinding trials of optical

glass K9 have been performed in this section. The commercial
optical glass K9 bricks (Zenni Optics Co.) with 25 mm (length)
* 25 mm (width) * 5 mm (height) have been used. Before the
trials, the specimens have been carefully polished so that any
scratches from previous processing was removed. Fig. 7 – The experimental setup of the grinding trials.
326 archives of civil and mechanical engineering 18 (2018) 320–330

Table 1 – The used grinding parameters.

Grinding parameters
Depth of cut, ap (mm)
Grinding wheel speed, vs (m/s)
Workpiece feed rate, vw (mm/min)
SPECIFIC material removal rate, Q (mm3/mm min)
Values
0.1, 0.2, 0.5, 0.8, 1.0, 1.2, 1.5, 2.0, 2.5, 2.7, 3.0, 3.5, 3.9, 4.0, 5.5, 6.0, 7.1, 8.0,
9.0, 10.0, 11.0, 12.0, 13.0, 14.0, 15.0, 20.0
11, 12.4, 13.8, 15.3, 16.5, 17.9, 19.2, 20.6
2, 10, 20, 30, 40, 50, 60, 70, 80, 90, 100
0.0002–1.5

Fig. 8 – The comparison of the manually measured SSD values and the values obtained by the proposed method when
different grinding parameters have been used.
 archives of civil and mechanical engineering 18 (2018) 320–330
Fig. 9 – The comparison between the SSD values reported in Ref. [13] and the ones detected by the proposed method.
obtained. The SSD measurement method has been completely
the same as the one suggested in Refs. [9–11].
4. Validation and discussion
By comparing the manually measured SSD values and the
values obtained by the proposed method, the method
evaluation is performed from the following three aspects:
the measurement (i) accuracy, (ii) speed and automaticity, and
(iii) robustness.
4.1. Measurement accuracy
4.1.1. For the micrographs captured in grinding trials
Fig. 8 presents the validation result of the method accuracy. It
can find that, although a wide range of grinding parameters
have been used and the SSD depths cover from 4.95 to
24.17 mm, a good agreement between the manually measured
SSD values and the values obtained by the proposed method is
presented. The biggest relative error is only 3.13%, while for the
other three sets of comparisons the relative errors are all
smaller than 2%. Considering the SSD depths in the industrial
grinding process are commonly within the range from 5 to
15 mm [9,10], the proposed method is anticipated to be able to
measure SSD depths with high accuracy.
4.1.2. For the micrographs reported in previous studies
Fig. 9 presents the comparison between the SSD values
reported in Ref. [13] and the ones detected by the proposed
method. It shows that, the subsurface cracks given in Ref. [13]
can be accurately recognized, although the SSD values varied
327
from 24.27 mm to 34.71 mm. Among the comparisons of all the
three SSD micrographs provided in Ref. [13], the biggest
relative error is only 4.71% while the smallest one even reaches
2.10%, proving the proposed method accuracy to a large extent.
4.2. Measurement speed and automaticity
By measuring the SSD depths in the 12 micrographs given in
Fig. 10, the total SSD measurement time is found to be 20.12 s
(the employed computer is InterCore i7-6500U 2.5 GHz),
meaning the method measurement speed is 1.68 s per image.
It would be almost impossible for the manual measurement to
be faster than this speed, even for the highly skilled operators,
indicating the advance of the automatic SSD measurement.
It is also noteworthy that, as long as the original images are
inputted into the proposed algorithm, the method can
automatically measure SSD depths without the requirement
of any parameter presetting. This high automaticity allows the
users, even without any prior professional knowledge about
SSD, to be able to use the proposed method.
4.3. Method robustness
As mentioned above, the realistic SSD images may be various
in terms of the image size, the surrounding illumination, the
tilted angle of the ground surface, and the material flaw
interference. Therefore the proposed method should be robust
enough.
4.3.1. Robustness to the image size
Fig. 11 shows that the method robustness to the image sizes. It
can find that, although for the shrinked images some details
328 archives of civil and mechanical engineering 18 (2018) 320–330

Fig. 10 – The original SSD micrographs and the images processed by the proposed method that are used to evaluate the
measurement speed.

are missing during the detection, the deepest crack depth as
well as the tilted ground surface is still accurately recognized.
Among all the twelve sets of comparisons between the
manually measured SSD depths and the automatically-
detected ones (see Fig. 11a5–d5), only two relative errors are
more than 8.88%, indicating the good robustness of the
proposed method to the image resolution/size.
However, it should also note that, the relative errors
increase when the image sizes are reduced. This may because
the scale bars in the low-resolution images have few pixels,
and therefore the failure detection of even one pixel would
lead to considerable error. Therefore the future work may
contain the investigation of more accurate measurement
strategies for the low-resolution micrographs, although more
and more advanced microscopes that can output high-quality
micrographs are produced.
4.3.2. Robustness to the surrounding illumination
It can also observe from Fig. 11(g1, g2, h1, h2, i1, i2, j1, j2, k1, k2)
that, although different surrounding illumination including
the blue, green, yellow, and white light are used, the proposed
method is still capable of accurately recognizing and measur-
ing the SSD depths. This high robustness to the surrounding
 archives of civil and mechanical engineering 18 (2018) 320–330
Fig. 11 – Method robustness to different sized images.
illumination may be because the first step of the proposed
method is to convert the input image into the gray format (see
Section 2.2) therefore the surrounding illumination effect can
be largely weakened.
4.3.3. Robustness to the tilted angle of the ground surface
It is also important to note from Fig. 11(b1, b2, h1, h2, l1, l2) that,
the proposed method can also accurately recognize the ground
specimen surfaces when the surfaces are tilted during the
microscope observation. Therefore, SSD depths can be
accurately defined by calculating the point-to-line distance.
For the manual measurement, on the contrary, the accurate
measurement of the distance from the deepest subsurface
crack to the tilted ground surface may be a tricky and time-
consuming task.
4.3.4. Robustness to the material flaw interference
Figs. 8, 10, 11 indicate that, although the material flaws are
found in the specimen subsurface in the captured image, the
subsurface crack recognition of the proposed method would
not be affected, showing the method robustness to the
material flaw interference. This robustness to the flaws is
probably resulted from the employed morphological erosion-
reconstruction operation during the subsurface crack recogni-
tion (see Section 2.3), by which only the lines (or continuous
points) rather than the discrete points can be recognized and
kept.
329
5. Conclusions
This paper has presented an image-process-technique-based
method that can identify and measure the grinding-induced
SSD in optical glass K9. The main findings may include:
 The method can accurately measure SSD depths where the
biggest relative error was only 3.13%;
 The method measurement speed was approximately
1.68 s per image, which would be much faster than the
manual measurement, even for the highly skilled operators;
 The method can automatically measure SSD depths without
the requirement of any parameter presetting, allowing the
users, even without any prior professional knowledge about
SSD, to be able to use the proposed method;
 The method showed the good robustness to the (i) input
image resolution/size, (ii) surrounding illumination, (iii) the
tilted angle of the ground surface, and (iv) material flaw
interference.
Based on above, the proposed method is believed to be able
to considerably promote the realization of the automatic SSD
measurements in large quantities, and therefore is anticipated
to be meaningful and helpful for not only the industrial
manufacturing, but also the design and application of optical
glass.
330 archives of civil and mechanical engineering 18 (2018) 320–330
Funding
National Nature Science Foundation of China.
Acknowledgements
This work is supported by the National Key Research and
Development Program of China (2017YFB0304200), the Nation-
al Natural Science Foundation of China (51374063) and the
Fundamental Research Funds for the Central Universities
(N141008001, N150308001).
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