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SS Number 84 A reprint from GATFWorld, the magazine of the Graphic Arts Technical Foundation

An Introduction to
Appearance Analysis
by Richard W. Harold

characteristics of the object, and ance have such importance that quanti-

P
rinters and graphic arts ser- human perception. Given that manu- tative identifications of appearance are
vice providers who deal daily factured products are meant to fulfill demanded by every marketplace.
with such practices as color an intended purpose, their appearance Durability and resistance to fading
correcting images, “matching” is one of their most important commer- or degradation are also important fac-
proofs and press sheets, control- cial attributes. Appearance often deter- tors when considering the expected life
ling register, or using densitome- mines the acceptability of a product to of a product. Subjective comments
ters, spectrophotometers, or its seller, and ultimately to the con- about light fastness and durability are
profiles and color management are sumer or end-user. The quality of a often looked upon with great skepti-
already familiar with the concept of product’s appearance is psychologically cism, but standardized testing proce-
appearance analysis. They are also related to its expected performance dures and quantitative measurements
familiar with that very subjective and useful life. It therefore determines before and after exposure testing can
aspect of appearance analysis that its reception (or rejection) by potential serve as a basis for comparison and
comes from a customer who says, purchasers. help educated consumers make more
“Well, it just doesn’t look right All manufacturing industries are informed purchase decisions.
to me.” concerned with the appearance of their The behavior of light interacting
While the judgment of a prod- products. Appearance involves all visual with products such as inks, paints, coat-
uct’s appearance inevitably phenomena such as color, gloss, shape, ings, papers, textiles, plastics, metals,
includes subjective opinion and texture, shininess, haze, and translu- ceramics, pharmaceuticals, cosmetics,
contextual issues, an element of cency that characterize objects. All and food varies depending on many
science, technology, and numbers other things being equal, when con- physical characteristics. Using the right
and measurements also applies, sumers have a choice, they buy what instrumentation and problem-solving
especially when it comes to color looks best. Appearance is the foremost techniques, it is possible to measure
and the factors that affect it. And and most impressive product message. the distinctive appearance attributes
that is what author Richard Harold of a wide variety of products.
clarifies in this article. Harold, who
has been involved with appearance
analysis for over 30 years and with
Appearance is the Interaction of Objects and
GATF for two years, first describes foremost and most Materials
the interaction of light with objects,
which results in the human percep-
impressive product While light sources are visible by
their own emitted light, objects and
tion of appearance. He then goes message. materials appear to the eye according
on to connect this perception to to how they affect the light that falls on
the instruments and measure- Buyers also expect uniformity of them (incident light). The objects or
ments that have been developed appearance in any group of the same materials may be a printed surface, a
to analyze appearance attributes. product. When consumers see a differ- sheet of paper, an apple, or any of
ence among the same products on dis- a great variety of different things.
The appearance of an object is the play, that difference is associated with Light (Figure 1) is defined as visu-
result of a complex interaction of the poor quality or out-of-date packaging. ally evaluated radiant energy of wave-
light incident on the object, the optical Visual appeal and uniformity of appear- lengths from about 380 to 770 nm.

© 2001 Graphic Arts Technical Foundation


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An Introduction to Appearance Analysis

A completely Geometric Attributes


radiating source, of Appearance
called a “blackbody
Unlike color, the geometric
radiator,” can be
attributes of appearance, often associ-
used as a reference
ated with surface properties, cannot be
standard for identi-
completely defined in any simple coor-
fying the color of
dinate arrangement. Fortunately, if
incandescent light
only relatively flat, uniform, surface
sources. The corre-
Figure 1. The electromagnetic spectrum. Our eyes are sensitive areas and over-simplified specular and
lated color temper-
to a limited range of the electromagnetic spectrum, the wave- diffuse distributions of light are consid-
lengths from about 380 to 780 nm, which contain all the colors ature (CCT) of a
ered, some meaningful simplification
we know. light source is the
of geometric attributes is possible.
temperature of a
First, light may be characterized as
blackbody radiator
reflected or transmitted by an object.
visually closest to
Reflected light is light that rebounds
the appearance of
from an illuminated surface. Transmit-
the light source.
ted light is light that passes through the
For example, a typ-
object and is viewed from the exit side.
ical incandescent
Transmitted and reflected light may
(tungsten filament)
each be further divided into diffused
lamp would have
and undiffused light, giving four main
a CCT of about
kinds of light distribution from objects:
2856 K.
diffuse reflection, specular reflection,
Although the
diffuse transmission, and regular trans-
appearance of
mission (see Figure 3). This separation
materials, including
into diffuse and specular components
Figure 2. Relative spectral sensitivity of human vision. We see printed ones,
light in the yellow-green portion of the spectrum around 550
provides a good approximation (ade-
results from very
nm much more easily than elsewhere. The 1924 Photopic quate for many analyses) of the geo-
complex factors,
Vision curve represents the eye’s sensitivity under daylight metric distribution of reflected or
the problem can be
viewing conditions. The 1951 Scotopic Vision curve shows transmitted light.
nighttime vision sensitivity with a shift toward the blue end simplified for anal-
Selective absorption of certain
of the spectrum. ysis by separating
wavelengths is what results in our per-
chromatic (color)
Different wavelengths have different ception of color. When absorption is
attributes from geometric (gloss, haze,
colors, and some wavelengths are visi- the dominant process, the resulting col-
texture, etc.) attributes, and by separat-
bly more intense than others. The eye’s ors are not intense. If all wavelengths
ing diffuse from specular light distribu-
varying response to the same amount are absorbed, black results. And if all
tions. With the help of this breakdown,
of energy at different wavelengths can wavelengths are reflected, white
it is possible to identify nearly any
be represented by the luminosity curve results.
attribute and prescribe the measuring
of the human eye (Figure 2). These All the following processes operate
instrument and techniques needed to
graphical representations, known as on the majority of objects:
analyze it.
■ Specular (shiny) reflection
“spectral curves,” can describe the The light striking an object will be
■ Diffuse reflection
amount of light or radiation at each affected by its interaction with the
■ Regular transmission
wavelength, or our response to it, as object in several ways. The light distri-
■ Diffuse transmission by scattering,
in the luminosity curve. butions (types of reflection or transmis-
Light can be produced by heating and absorption.
sion) that result after light strikes an
objects (e.g., the filament in a light Physical analyses of the combined
object give us our impressions
bulb) to incandescence or by the results of these processes are made
of what the object looks like. Specular
excitation of atoms and molecules using measurements from spectro-
reflection, for example, makes an
(e.g., when the heating coil in a elec- photometers and goniophotometers
object look glossy or shiny. Metals are
tric stove begins to glow red). Fluores- (see Figure 4).
usually distinguished by stronger spec-
cence, where light is converted from Spectrophotometric curves are a
ular reflection than that from other
one spectral region to another, is a measure of the reflection or transmis-
materials, and smooth surfaces are
special case. sion of light, wavelength by wave-
always shinier than rough ones.
length, over the visible spectrum.

2 © 2001 Graphic Arts Technical Foundation No. 84


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Figure 3. Types of light reflection and transmission.

Diffuse reflection Diffuse reflection is character- Diffuse transmission Diffuse transmission occurs
istic of light that is redirected when light penetrates an
(scattered) over a range of object, scatters, and emerges
angles from a surface on diffusely on the other side. As
which it is incident. Diffuse with diffusely reflected light,
reflection accounts for more diffusely transmitted light
of the color than any other leaves the object surface in all
type of distribution because directions. Diffuse transmis-
most objects are opaque and sion is seen visually as cloudi-
reflect light diffusely. ness, haze or translucency,
each of which is of interest in
appearance measurement.

Specular reflection Specular reflection is reflection Regular transmission Regular transmission refers to
as from a mirror. It is highly light passing through an object
directional instead of diffuse, without diffusion. Regular
and the angle of reflection is the transmission measurements
same as the angle of the inci- are widely used in chemical
dent light striking the object. analysis and color measure-
Specular reflection is what gives ment of liquids. Potential
objects a glossy or mirrorlike appearance attributes impor-
appearance. There are a variety tant for regular transmission
of ways to assess or “see” this should be roughly analogous
glossy appearance. with gloss attributes associ-
ated with specular reflection.

Spectral curves thus relate to color and describing appearance, they quantify often referred to as the spectrophoto-
can be used to help identify the com- the light-object interaction part of the metric characteristics. Visible wave-
ponent dyes or pigments used to pro- observing situation. lengths are those between the violet
duce the color. and red ends of the spectrum, near
Goniophotometric curves describe 400 and 700 nm, respectively (see Fig-
how light is reflected from or transmit- Chromatic Attributes ure 1). The selective absorption of dif-
ted through objects as a function of of Appearance ferent amounts of the wavelengths
varying angles, and they relate to geo- within these limits ordinarily deter-
metric attributes such as gloss and The Physics of Color mines the colors of objects. Wave-
haze. Although spectrophotometric Color is associated with light waves, lengths not absorbed are reflected or
and goniophotometric measurements specifically, their wavelength distribu- transmitted (scattered) by objects and
do not provide conclusive values tions. These distributions are most thus visible to observers. In other

Figure 4. Instruments used for physical analysis of light reflection and transmission. The goniophotometer (left) measures light scatter as a
function of variable angles of illumination or observation. This instrument is useful for studies of gloss, luster, surface smoothness (or rough-
ness), haze, and distinctness of image. A spectrophotometer measures and analyzes the reflected light from a surface wavelength by wave-
length as a means of determining the color of that surface. The unit shown here (right) is an automated scanning spectrophotometer that
measures both reflected and transmitted light. Handheld spectrophotometers about the size of densitometers are also available.

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An Introduction to Appearance Analysis

curves representing ration while a pure color is said to have


100 chromatic colors is high saturation.
White highest in that part of A third attribute or dimension
Yellow
the spectrum associ- of color is associated with an object’s
% Relative Reflectance

Red ated with that color luminous intensity (usually light-


Blue Green (i.e., light that is scat- reflecting or transmitting capacity).
tered) and drops to This attribute is variously called light-
Gray lower values at other ness, value, and sometimes, although
wavelengths (i.e., light incorrectly, “brightness.”
that is absorbed). The three attributes of an object’s
color, then, are hue, saturation, and
Physiology of Color lightness. They are related to each
Black Psychologically and
0 other as shown in Figure 6. One of the
400 700 physiologically, color best-known surface-color systems is
Wavelength, nanometers (nm)
is a perception in the the Munsell System of Color Notation
brain, resulting from illustrated in Figure 7. In this system,
Figure 5. Spectrophotometric curves for some typical colored signals brought to it by
surfaces. The white, gray, and black curves are nearly horizontal
the three visually perceived dimensions
light receptors in the of color appearance are designated as
lines, while each of the curves representing a chromatic color is
highest in the part of the spectrum associated with that color. eyes. The color of any hue, value (lightness), and chroma
material results from (saturation). In color communication,
words, yellow objects characteristically the effect that the pigments, dyes, or particularly when discussing color dif-
absorb blue light; red objects absorb other absorbing materials in the per- ferences, lightness, chroma and hue
green light, and so on. ceived object have on light. The eye (LCH) are the most frequently used
Physically, the color of an object does not see wavelength analyses, such terms.
is measured and represented by spec- as the curves in Figure 5; rather, it syn-
trophotometric curves, which are plots thesizes the responses of three color Illuminants
of fractions of incident light (that is receptors (for red, green, and blue The light source (the illuminant)
reflected or transmitted) as a function light) in the eye. A skilled colorimetrist will affect the perception of color.
of wavelength throughout the visible can estimate from curves, such as those Both natural daylight and artificial sim-
spectrum relative to a reference. The in Figure 5, what a specimen’s color ulated daylight are commonly used for
typical reference is a white standard will look like, but an unskilled person visually examining the color difference
that has been calibrated relative to the cannot. between materials. A window facing
perfect white reflecting diffuser (100% north (to be free of direct sunshine)
reflectance at all wavelengths). Figure Attributes of Color is the natural illuminant normally
5 shows spectrophotometric curves for As Seen by an Observer employed. Artists are known for their
some typical colored surfaces. What an artist sees when examining preference for studios with “north”
The white, gray, and black curves a color is neither its spectrophotomet- light. However, natural daylight varies
are nearly straight, horizontal lines at ric curve nor the separate responses greatly in spectral quality with time of
the top, middle, and bottom of the of the eye’s red, green, and blue light day, weather conditions, direction of
graph, respectively, while each of the receptors. If asked to identify the color view, time of year, and geographical
of an object, the artist will speak first of location. Because of this variability, the
its hue. Hue is the attribute that corre- trend in industrial testing has been
sponds to whether the object is red, toward using a simulated daylight
Lightness

orange, yellow, green, blue, or violet. source that can be standardized and
This attribute is often related to the remain relatively stable in spectral
hue circle, which has been recognized quality.
by artists, color technologists, and dec- In order to define the artificial light
orators for years. sources used in appearance evaluation,
A second attribute of color, and a the Commission Internationale de
readily appreciated one, is saturation. l’Eclairage (CIE) established standard
Saturation is determined by how far illuminants, which have spectral char-
from the gray (lightness) axis toward acteristics similar to natural light
Figure 6. How hue, saturation, and light- the pure hue at the outer edge that a sources and are reproducible in the
ness are related to each other in a three-
color is perceived to be. A pastel tint, laboratory (CIE, 1931): Illuminant A
dimensional color system.
for example, is said to have a low satu- defines light typical of that from an

4 © 2001 Graphic Arts Technical Foundation No. 84


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are activated by UV light. For the lus values can be derived. The 2°
proper visual examination and color Observer is intended to be used when
measurement of these materials, it is viewing smaller samples (typical of
necessary to control not only the visible printed materials) that create an angle
but also the UV energy that impinges of view at the eye between about 1°
upon them. and less than about 4° (similar to look-
ing at an object through a small hole
about the size of a U.S. dime).
Color Measurement Scales In 1960, the CIE proposed a 10°
Supplementary Standard Observer (see
CIE Standard Observer
Figure 9) in an effort to obtain a better
Scientific color measurement is correlation with commercial judgments
Figure 7. The Munsell system of color based on numerical representations when viewing larger samples with
notation. or quantifications of the three color- larger fields of view (e.g., when viewing
incandescent lamp, Illuminant B repre- response mechanisms in the human a pair of painted test panels that are
sents direct sunlight, and Illuminant C eye. The response of the light receptors 4 in. [100 mm] square). The functions
represents average daylight from the in the eye to different wavelengths of finally adopted in 1964 give more
total sky. See Figure 8 for examples light is widely known. In order to make weight to the shorter wavelengths and
of some CIE illuminants. measurements that correspond to the are believed to more adequately repre-
In 1963 a “D” series of illuminants way the eye sees color, specific numeri- sent the object-color response function
was proposed to the CIE and later cal values for the responses of the aver- of human observers. Using the 10°
adopted. The D Illuminants represent age human eye to different wave- Observer is recommended whenever
daylight more completely and accu- lengths of light are required. the pairs of specimens being viewed
rately than do Illuminants B and C The delineation of the three color- create an angle subtended at the eye
because the spectral distributions for matching response functions of the greater than about 4°. Imagine drawing
the D Illuminants have been defined human observer is called the 1931 CIE two lines to your eye from the opposite
across the ultraviolet (UV), visible, Standard Observer (also known as the sides of the samples being examined.
and near-infrared (IR) wavelengths 2° Observer). This international stan- That conical dimension would probably
(300–830 nm). dard can also be shown as a table of be larger than 4° for most of the larger
The D Illuminants are usually weighting factors from which a specifi- sized samples typically evaluated for
identified by the first two digits of their cation of color by CIE X, Y, Z tristimu- paints, plastics, etc.
correlated color temperature (CCT);
for example, D65 represents average
daylight with a CCT of 6504 K. Most
industries now specify Illuminant D65
when “daylight” is required for visual
evaluations and color measurement.
The only exception is the graphic arts
industry, which specifies Illuminant
D50 (5000 K) for prints and transpar-
encies because it is more spectrally
balanced across the entire visible
spectrum. The low-temperature light
emitted by a candle, for example, is
weighted to longer wavelengths (mainly
reds and yellows). It is difficult to judge
blue and violet colors by candlelight.
Within recent years, interest in the
UV content of any illuminants used for
visual evaluation and color measure-
Figure 8. Examples of illumination along with graphs showing the spectral power distri-
ment has increased. The major reason butions (SPDs) of the related CIE-designated Illuminants: D65 – average daylight, A –
is an increase in the commercial use, incandescent light, and F2 – cool white fluorescent light. Because different illuminants
chiefly in papers and textiles, of fluo- affect our perception of color, it is important to use standard viewing conditions (see
rescent whitening agents (FWAs) that Refs. 10–12) and a viewing booth when judging printed color.

No. 84 © 2001 Graphic Arts Technical Foundation 5


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An Introduction to Appearance Analysis

linear function Richard S. Hunter between 1942 and


such as the 1958. Many other opponent-colors-type
square or cube scales were developed between 1958
root of the CIE and the early 1970s, but they are rarely
Y value, which used today.
is percent In 1976, the CIE adopted another
reflectance (or L, a, b-type scale identified as the
transmission). CIE 1976 L*a*b* scale. Often abbre-
The scien- viated as the “CIELAB” scale, it is the
tific validity of current recommended color scale in
the opponent- almost all domestic and international
colors system is color measurement test methods and
strongly sup- specifications.
ported by
experimental
Figure 9. Comparison of CIE 2° and 10° Standard Observer. evidence. For Communicating Color by
example, in Numbers: Color and Color
Opponent-Colors (L, a, b-type) 1966 Russell L. De Valois of the Pri- Difference Scales
Color Scales mate Vision Laboratory at the Univer- The industrial use of color measure-
Because the CIE scales do not pro- sity of California (Berkeley) attached ment, formulation, and specification has
vide even reasonably uniform estimates electrodes to individual optic nerve become a common practice to ensure
of perceived color differences or color fibers of monkeys and identified L, a, more consistent production without
and relationships, scientists have devel- and b correlating signals, rather than X, visible variation. Customers have come
oped so-called uniform color scales. Y, and Z correlating signals. The wide to expect to see the same color every
Most, although not all, are opponent- acceptance and use of the opponent- time they purchase the same product,
colors (L,a,b-type) scales. colors system by practicing color tech- whether it is days or months between
The opponent-colors theory of nologists also supports its validity. purchases. To achieve this degree of
color vision had its beginnings with Figure 11 shows the dimensions of color control, numerical tolerances are
Thomas Young in 1807, Hermann Von the L, a, b opponent-colors coordinate developed to ensure that if production
Helmholtz in 1857, and Ewald Hering system. The earliest of these L, a, b- falls within the specified tolerance,
in 1878. It was refined in 1930 by G.E. type scales was the original Hunter there will be minimal chance of
Müeller, and since then, those who L, a, b scale developed and refined by
have applied Müeller’s principles
have created several highly useful
techniques.
The opponent-colors theory pre-
sumes that, in the human eye, there is
an intermediate signal-switching stage
between when the light receptors in the
retina receive color signals and when
the optic nerve takes those color signals
to the brain (see Figure 10). During this
switching stage, it is presumed that red
responses are compared with green to
generate a red-to-green color dimen-
sion. The green response (or red and
green together, depending on the the-
ory) is compared in a similar manner
with the blue to generate a yellow-to-
Figure 10. The opponent-colors theory presumes, that, in the human eye, there is an inter-
blue dimension. These two dimensions
mediate signal-switching stage between when the light receptors in the retina receive color
are widely, although not always, associ- signals and when the optic nerve takes those color signals to the brain. During this switch-
ated with the symbols “a” and “b,” ing stage, it is presumed that red responses are compared with green to generate a red-to-
respectively. The necessary third green color dimension. The green response (or red and green together, depending on the
dimension, “L” for lightness, is a non- theory) is compared in a similar manner with the blue to generate a blue-to-yellow signal.

6 © 2001 Graphic Arts Technical Foundation No. 84


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ment. Proper applica- 9. Akihiro Kondo with R.W. Harold,


tion of these princi- “Measuring the Effect of Substrate Prop-
ples to industrial and erties on Color Inkjet Images, GATF-
printing situations can World, Sep/Oct 1999, p. 31–36.
quantify appearance 10. R.W. Harold and D.Q. McDowell,
and thus enable its “Standard Viewing Conditions for the
precise control. Graphic Arts,” GATF SecondSight reprint
Many color and (Cat. No. SS72), 1999, 7 pages.
appearance instru- 11. D.Q. McDowell and L. Warter,
ment manufacturers “Viewing Conditions: What’s New?
can provide assistance Should We Care?” IPA Prepress Bulletin,
in applying this tech- Nov/Dec 1997, p. 17-20.
nology for specific
12. ISO3664:2000, Standard Viewing
applications. Several
Conditions for Prints, is available from
leading universities
Figure 11. Example of an opponent-colors L,a,b-type color system. NPES at www.npes.org/standards/
and some instrument
order.htm.
manufacturers offer
customer complaints about color courses in appearance analysis and 13. Gary G. Field, Color and its Repro-
matching. color measurement. See the references duction, 2nd Edition, GATFPress, Pitts-
Although there are numerous ways for further information. ■ burgh, 1999, chap. 2–6.
to specify color tolerances, one increas-
ingly popular method involves using a References and Resources
Richard W. Harold (rwharold@worldnet.
total color difference formula based on 1. R.S. Hunter, and R.W. Harold, The att.net), director of color and appear-
the CIELAB color scale and differ- Measurement of Appearance, 2nd Edi- ance applications for BYK-Gardner USA,
ences in lightness, chroma, and hue tion. Wiley-Interscience, New York, Columbia, MD, has worked extensively
called ∆E CMC (l:c). The CMC for- 1987. with pigments, dyes, inks, paints and
mula has appeared in several different 2. F.W. Billmeyer Jr. and M. Saltzman, coatings, plastics and a host of other
domestic and ISO (International Stan- Principles of Color Technology, 2nd Edi- industries where color and appearance
dards Organization) standards. tion. Wiley-Interscience, New York, are important. An organic chemist
The CMC formula is being used in 1981. by training, he is convenor of ISO
many industries, including paints, plas- TC38/SC1/WG7 Colour Measurement
3. Colorimetry, 2nd Edition., CIE Publica-
tics, graphic arts, paper, textiles, inks, and vice chairman of ASTM Committee
tion No. 15.2, Bureau Central de la CIE,
and food products to name just a few. E12 on Color and Appearance.
Vienna, Austria, 1986.
CMC values for an “acceptable” color
match typically range from about 0.4 4. The Science and Technology of
© Graphic Arts Technical Foundation, 2001
(for some paints and textiles) to 2 to 4 Appearance Measurement, Hunter Asso-
200 Deer Run Road
units (for some graphic arts appli- ciates Laboratory, Inc., Marketing Publi- Sewickley, PA 15143-2600
cations). The size depends, of course, cation, Reston, Virginia, 1981. Phone: 412-741-6860 Fax: 412-741-2311
Printed in U.S.A. 434101 5-01 1.5 M
on the nature of the product, the appli- 5. R.L. De Valois, Physiological Basis of
Information in this report may not be quoted
cation, and customer requirements and Color Vision, Color 69, Vol. 1, p. 29, or reproduced without prior written consent
expectations. Muster-Schmidt, Göttingen, 1970. of GATF, except that up to 50 words may be
quoted without advance permission provided
A new total color difference for- 6. Colour Physics for Industry, 2nd Ed., the quotation refers specifically to GATF as
mula, CIE ∆E 2000, reportedly with edited by R. McDonald, Society of Dyers the source and does not contain formulas or
significant improvements over the pre- processes.
and Colourists, England, 1997.
vious ∆E
7. ASTM Standards on Color and Appear-
formulas (∆E* CIELAB and ∆E
ance Measurement, Sixth Edition, Ameri-
CMC), is being considered in CIE
can Society for Testing and Materials,
Committee for eventual public release.
Conshohocken, PA, 2000.
8. R.W. Harold and Gerald M. Kraai,
Conclusions “Legal Protection for Color,” GATFWorld,
This overview is intended to clarify March/April 1999, p. 31–36
the basic concepts of the science and
technology of appearance measure-

No. 84 © 2001 Graphic Arts Technical Foundation 7

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