Evaluation of Flow Liquefaction: influence of high stresses

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Evaluation of Flow Liquefaction: influence of high stresses P.K. Robertson Gregg Drilling & Testing Inc., California, USA ABSTRACT Flow liquefaction can be triggered by either cyclic or static loading and is a major issue for major geotechnical structures such as tailings dams. Flow liquefaction can occur in any saturated or near saturated contractive soil such as very loose sands and silts as well as very sensitive clays. For failure of a soil structure, such as a slope or embankment, a sufficient volume of material must strain soften and show strength loss. Case histories have shown that when significant strength loss occurs in critical sections of a soil structure, failures are often rapid, occur with little warning, and the resulting deformations are often very large. Case histories also show that most flow liquefaction failures occur in young, uncemented non-plastic or low-plastic soils that have a brittle strain softening response where peak strength is reached at small strains followed by rapid strength loss. Methods have been developed to evaluate if soils are either dilative or contractive at large strains (e.g. Robertson, 2010) based on Critical State concepts. However, not all contractive soils are strain softening and not all soils that are strain softening have high brittleness. Laboratory data, supported by field observations, shows that contractive sand-like soils become progressively more ductile with increasing stress. 1 INTRODUCTION Soil liquefaction is a major concern for structures constructed with or on saturated sandy soils. Robertson and Wride (1998) and others have distinguished between liquefaction due to cyclic loading, where the effective overburden stress can reach zero during cyclic loading with a resulting loss of soil stiffness (cyclic liquefaction) and liquefaction due to strain-softening with a resulting loss of shear strength (flow liquefaction) and presented a simplified flow chart to aid in the evaluation. Flow liquefaction is also referred to as static liquefaction (e.g. Jefferies and Been, 2016). However, since the phenomenon can be triggered by either static or cyclic loading, the term flow liquefaction is becoming more commonly used. Flow liquefaction can occur in any saturated or near saturated contractive and strain softening soil, such as very loose sands and silts as well as very sensitive clays. For failure of a soil structure, such as a slope or embankment, a sufficient volume of material must strain-soften. The resulting failure can be a slide or a flow depending on the soil characteristics and ground geometry. The resulting movements are due to internal, gravity-induced stresses and can occur after the triggering mechanism (e.g. earthquake). Flow liquefaction is a major design issue for large soil structures such as mine tailing impoundments and earth dams. As these soil structures increase in size, the ability to predict soil behavior at high effective overburden stresses has become increasingly important. Many procedures have been published for estimating the liquefied shear strength of sandy soils. Procedures based on case histories remain the most popular (e.g. Seed, 1987; Seed and Harder, 1990; Ishihara, 1993; Olson and Stark, 2002; Idriss and Boulanger, 2008; Robertson, 2010; Kramer and Wang, 2015 and Weber, 2015). Olson and Stark (2002, 2003) suggested a detailed procedure, based on a database of case histories, consisting of three tasks: (1) evaluate susceptibility to strength loss; (2) evaluate liquefied shear strength, s u(liq) and postliquefaction stability; and (3) evaluate if liquefaction will be triggered. Olson and Stark (2002) defined the liquefied shear strength, s u(liq), as the shear strength mobilized at large deformation by a saturated, contractive soil following the triggering of strain-softening response. Others have used the term undrained residual shear strength (e.g. Seed and Harder, 1990) or undrained steady-state shear strength (Poulos et al., 1985). The term liquefied shear strength will be used here to be consistent with the Olson and Stark (2002) terminology. Olson and Stark (2003) schematically illustrated the main triggering load paths, as shown on Figure 1. Undrained strain softening can be triggered by either static or dynamic loads, or by deformation under a static shear stress that is larger than the liquefied shear strength. As demonstrated by Sasitharan et al. (1993), loading can be completely drained prior to the triggering of undrained strain softening response. Figure 1. Schematic undrained response of contractive, strain softening soil (after Olson and Stark, 2003) Case histories have shown that when significant strength loss occurs in critical sections of a soil structure, failures are often rapid, occur with little warning and the resulting deformations are often very large. Experience has also shown that the trigger events can be very small.

Silvis and de Groot (1995) and others have suggested that triggering should always be assumed if the soils are susceptible to significant strength loss. Hence, the design for high-risk soil structures should be carried out with caution. In general the emphasis in design is primarily on the evaluation of susceptibility to strength loss and the resulting liquefied shear strength. Case histories show that most flow liquefaction failures occur in young, uncemented non-plastic or lowplasticity soils that have a brittle strain softening response where peak strength is reached at small strains followed by rapid and significant strength loss. Methods have been developed to evaluate if soils are either dilative or contractive at large strains (e.g. Robertson, 2010; Jefferies and Been, 2016) based on Critical State concepts and cone penetration test (CPT) data. However, not all contractive soils are strain softening and not all soils that are strain-softening show a highly brittle response. This paper will present and discuss factors that influence strain-softening response, with an emphasis on high stress levels and discuss how stress level can influence the evaluation of flow liquefaction. Robertson (2010) suggested that contractive soils can be identified when the normalized clean sand equivalent cone resistance (Q tn,cs) is less than 70. The existing case history database for flow liquefaction is somewhat limited with less than 40 total cases and less than 10 well documented recent cases that have high quality in-situ test data (e.g. CPT). All these cases have relatively low effective overburden stresses (s vo) with most s vo < 2 atm. Recently Kramer (2008), Kramer and Wang (2015) and Weber (2015) have suggested that the liquefied undrained strength ratio (s u,liq/s vo) decreases with increasing effective overburden stress, as shown schematically in Figure 3. This originates from the observation that the critical state line (CSL) generally is somewhat steeper than the in-situ consolidation curves, which in turn, suggests that the soil becomes more contractive with increasing effective stress. The trends shown in Figure 3 are based on limited field case histories where most have an in-situ effective overburden stress s vo < 2 atm. 2 RECENT TRENDS Based on critical state concepts, calibration chamber studies, high quality frozen samples and a limited number of high quality case histories, Robertson (2010) proposed a relationship between normalized cone resistance (Q tn) and normalized friction ratio (F r) to identify soils that are potentially contractive at large strain, as shown in Figure 2. This chart applies to young uncemented soils with little or no microstructure (Robertson, 2016). More recent flow liquefaction case histories have confirmed the application of the chart shown in Figure 2 (Robertson, 2012; Morgenstern et al., 2016). Figure 3. Liquefied undrained strength ratio as a function of normalized clean sand equivalent SPT, N 1,60,cs (modified from Weber, 2015) To evaluate how stress level influences the behavior of soil, the following approach will be summarized: (1) theoretical framework; (2) laboratory evidence, and (3) field observations. Figure 2. CPT-based Soil Behavior Type (SBT) chart showing case histories where flow liquefaction occurred (modified from Robertson, 2010). 3 THEORETICAL FRAMEWORK Critical State Soil Mechanics (CSSM) provides an excellent framework to evaluate soil behavior. CSSM is based on the observation that soils ultimately reach critical state (CS) at large strains and at critical state there is a unique relationship between shear stress, normal effective stress and void ratio. Since critical state is independent of the initial state, the parameters that define critical state depend only on the nature of the grains of the soils and can be linked to basic soil classification and grain characteristics (e.g. Atkinson, 2007). The current insitu state of a soil can be defined in a number of ways. In fine-grained (clay-like) soils it is common to define the current state in terms of overconsolidation ratio (OCR) that is related to the normal compression line (NCL), since fine-grained soils tend to have a unique NCL that is

essentially parallel to the CSL. In coarse-grained (sandlike) soils it is still common to define in-situ state in terms of relative density (D r), especially for clean sands. However, it is becoming more common to define the current state in terms of a state parameter (y) that is related to the CSL, since the NCL is not unique (e.g. Been and Jefferies, 1985). At low confining stress the CSL for many clean silica-based sands can be very flat in terms of void ratio versus log mean effective stress and hence, there is an approximate link between relative density and state parameter, at low stresses. However, state parameter can capture the current state and behavior for most sand-like soils over a wide range of stress. At high stress the consolidation lines for sand-like soils tend to converge to a unique Limiting Compression Curve (LCC) that becomes parallel to the CSL (e.g. Pestana and Whittle, 1995). There is an important difference between the behavior of soils that are either loose or dense of CS. Soils that are loose of CS tend to contract on drained loading (or where pore pressures rise on undrained shear). Soils that are dense of CS tend to dilate at large shear strains (or where pore pressures can decrease in undrained loading). The tendency of soils to change volume while shearing is called dilatancy and is a fundamental aspect of soil behavior. The behavior of soils in shear prior to failure can be classified into two groups; soils that dilate at large strains and soils that contract at large strains. Saturated soils that contract at large strains have a shear strength in undrained loading that is lower than the strength in drained loading, whereas saturated soils that dilate at large strains tend to have a shear strength in undrained loading that is either equal to or larger than in drained loading. When saturated soils contract at large strains they may also show a strain softening response in undrained shearing, although not all soils that contract show a strain softening response in undrained shear. This strength loss in undrained shear can result in instability given an appropriate geometry. Hence, classification of soils that are either contractive or dilative at large strains is an important first step in understanding in-situ soil behavior for many geotechnical problems, such as flow liquefaction. This concept was part of an updated CPT-based soil classification system suggested by Robertson (2016). However, not all contractive soils are strain softening and not all soils that are strain softening have a highly brittle response. Key elements that illustrate differences and similarities between clay-like and sand-like soils from a CSSM framework that is supported by laboratory evidence are the following: Clay-like soils Unique normal consolidation line (NCL) NCL parallel to CSL State defined relative to NCL (i.e. OCR) Soils with OCR < 4 are mostly contractive at large strain Sand-like soils Non-unique NCL State defined relative to CSL (i.e. y or p o/ p cs) Unique Limiting Compression Curve (LCC) at high stress LCC parallel to CSL Soils with y > -0.05 are mostly contractive at large strain. These main points can be summarized in Figure 4 that schematically show plots of void ratio (e) versus log. mean effective stress (p ) for both clay-like and sand-like soils. In-situ state can be defined in terms of state parameter (y) or initial stress ratio (p o/p cs), as shown in Figure 5. The initial stress ratio can be interchanged with y, using: p o / p cs = 10 (y/l) [1] where; p o is the current in-situ mean effective stress; p cs is the mean effective stress at CS for the same void ratio and l is the slope of the CSL over the stress range between p o and p cs. For normally consolidated clay-like soils (i.e. on NCL) the stress ratio is typically between 2 to 4 and for sand-like soils at high stresses (i.e. on the LCC) the stress ratio is also between 2 to 4 (Pestana and Whittle, 1995). Figure 4. Schematic plots of void ratio (e) versus mean effective stress (p ) for clay-like and sand-like soils showing Critical State Lines (CSL), Normal Consolidation Lines (NCL) and Limiting Compression Curve (LCC) (modified from Jefferies and Been, 2016) Figure 5. State parameter (y) and initial stress ratio (p o/p cs)

Bishop (1967) characterized brittleness by a brittleness index, I B, defined as follows: I B = (t p t r)/t p [2] Where t p and t r are the peak and residual strength defined under the same effective normal stress. When I B = 1 the soil has loss 100% of it s strength and when I B = 0 there is no strength loss. The rate of strength loss is also a factor to characterize the susceptibility of a soil to progressive failure or to flow. High plasticity soils tend to have large strains to both peak and residual strength and therefore tend not to experience flow failures (Ladd et al., 1977), whereas, low plasticity soils tend to have smaller strains to both peak and residual strength. Most case histories of flow liquefaction have occurred in low plasticity or non-plastic soils consistent with the small strain to peak strength and high brittleness. 4 LABORATORY EVIDENCE Jefferies and Been (2016) presented a summary of typical CSL s for a wide range of sand-like soils where each CSL was approximated by a straight line over the stress range tested (p < 3atm). There are several examples where the CSL has been determined over a wider stress range (e.g. Vesic and Clough, 1968; Verdugo and Ishihara, 1996; Schnaid et al., 2013). Figure 6 compares the measured CSL s for a range of sand-like soils in terms of relative density (D r) versus log p. Relative density is used as a way to normalize the CSL (Konrad and Watts, 1995). Use of D r is approximate, since there can be some uncertainty in e max and e min, but it provides a useful framework to compare data from a wide range of sand-like soils. Bolton (1986) developed a relationship to link dilatancy and D r with stress level. Boulanger (2003) showed that the Bolton (1986) relationship could be used to develop CSLs (i.e. zero dilatancy) for a range of sandlike soils, as shown in Figure 7. Bolton (1986) showed that dilatancy was influenced by grain characteristics via an empirical constant (Q), where Q ~ 10 for quartz and feldspar, 7 for anthracite and 5.5 for chalk (calcium), as shown on Figure 7. The curvature of the CSL at high stress has been observed in many sands, reflecting the onset of significant particle crushing, and its position is captured by the empirical parameter Q, which is influenced by grain characteristics, such as mineralogy, grain shape and grain size distribution. Figure 7. Critical State Line (CSL) based on Bolton (1986) relative dilatancy index To illustrate the influence of stress level on soil behavior in undrained shear, data from three undrained triaxial compression tests on very loose Erksak sand (Test A, B and C) will be used (Jefferies and Been, 2016), as shown in Figure 8. Figure 6. Comparison of published Critical State Lines (CSL) for a wide range of sand-like soils (p a = atmospheric pressure ~ 100kPa) Figure 6 shows that at high stress the CSL becomes highly non-linear and the slope of the CSL line approaches values similar to either compressible sandlike soils (e.g. carbonate sands such as Dogs Bay sand) or clay-like soils. Figure 8. Critical State Line (CSL) and approximate Limiting Compression Curve (LCC) for Erksak sand (data from Jefferies and Been, 2016) Figure 8 shows the non-linear CSL as well as the approximate location of the Limiting Compression Curve (LCC) for Erksak sand. Also shown on Figure 8 are start

and end points for three example undrained triaxial compression tests performed from very loose states. Table 1 presents a summary of the test results, as presented by Jefferies and Been, 2016. Full details and associated test results are contained in Jefferies and Been (2016). The state parameter values in Table 1 are based on the slope of the CSL over the stress range for each test (i.e. from p o to p cs). also independent of initial fabric and direction of loading (Sadrekarimi and Olson, 2011). Table 1 Summary of undrained triaxial test results on Erksak sand (Jefferies and Been, 2016) Test y p o/p cs s u,cs/p o I B A 0.07 100 0.006 0.9 B 0.20 6 0.10 0.4 C 0.25 4 0.14 0.2 Table 1 shows that, although the test samples had increasing values of y, the undrained shear strength ratio at CS (s u,cs/p o) becomes increasingly larger and brittleness (I B) becomes smaller. In these examples, where the CSL is highly non-linear, state is best captured by the initial stress ratio, p o/p cs. The results in Table 1 for Erksak sand are also confirmed by tests on other sand-like soils, as shown in Figure 9 that shows I B versus p o/p cs (modified from Sadrekarimi and Olson, 2011). Figure 9 clearly shows that as the stress ratio decreases, brittleness also decreases. When the initial stress ratio (p o/p cs) becomes less than about 4, brittleness (I B) is less than 0.2 (i.e. less than 20% strength loss). As a reference, most normally consolidated clay-like soils, with no microstructure, have a stress ratio (p o/p cs) of around 4 (i.e. OCR < 4). The test results in Figure 9 are also independent of initial fabric and direction of loading (Sadrekarimi and Olson, 2011). Figure 10. Undrained shear strength ratio at Critical State (CS) versus brittleness (I B) (modified from Sadrekarimi and Olson, 2011) The results summarized in Figure 8 and Table 1, and supported by the results in Figures 9 and 10, illustrate that for very loose contractive sand-like samples, brittleness progressively decreases and the large strain undrained strength ratio progressively increases with increasing stress level due to the non-linear CSL. The results also illustrate that contractive sand-like soils become progressively more ductile with increasing stress. The results also show that at high stresses the undrained strength ratio tends toward a value between 0.2 to 0.3. Schnaid et al. (2013) suggested that at a certain stress level a very loose sand-like soil transitions from contractive, brittle and potentially unstable behavior to one that becomes contractive, ductile and more stable. Figure 11 illustrates this transition for Erksak sand. The transition in behavior is associated with a significant change in slope of the CSL and where the CSL becomes approximately parallel with the LCC. This change in behavior at the break point in the CSL is somewhat similar to the change in behavior in soils during 1-D consolidation from an overconsolidated state to the normally consolidated state. Figure 9. Brittleness (I B) versus initial stress ratio (p o/p cs) for a range of sands (modified from Sadrekarimi and Olson, 2011) with three tests on Erksak sand added in red. Figure 10 presents the same test results in terms of undrained shear strength ratio at CS (s u,cs/s vo) versus I B. The results in Figure 10 illustrate that the large strain s u,cs/s vo decreases with increasing brittleness and are 5 FIELD OBSERVATIONS Most flow liquefaction case histories have back-calculated liquefied undrained shear strength ratio values (s u,liq/s vo) less than 0.15, which would suggest I B > 0.4, as illustrated in Figure 11. Also note that when I B = 0 the undrained strength ratio is between 0.2 to 0.3 which is consistent with the yield strength ratio suggested by Olsen and Stark, (2003) and similar to values for most normally consolidated clay-like soils (Ladd et al., 1977). Case histories of flow liquefaction failures show that the effective overburden stress prior to failure was less than about 2atm and the resulting back calculated liquefied undrained strength ratio values were between 0.15 and 0.05.

Figure 11. Undrained shear strength ratio at CS versus brittleness (I B) from laboratory tests compared with range of back-calculated liquefied undrained strength ratio values based on case histories. 6 APPLICATION As tailings dams become higher and the in-situ vertical effective stress increases, it is helpful if geotechnical engineers can estimate the stress level at which loose, uncemented sand-like soils become ductile and, hence, more stable in terms of strength loss. The shape and location of the CSL in terms of void ratio (or relative density) and mean effective stress is controlled primarily by grain characteristics, as illustrated in Figure 7. Grain characteristics are also reflected to some degree by the CPT normalized friction ratio (F r), as suggested by Plewes et al. (1992) and Reid (2014). Figure 12 presents a summary of the major flow liquefaction case histories in terms of CPT F r (%) and the pre-failure normalized vertical effective stress (s vo/p a). Included in Figure 12 are the approximate limits of contractive brittle behavior from selected laboratory tests on Erksak and Monterey sand, that are both clean poorly graded silica-based sands, and a silty tailings (Schnaid et al, 2013). Figure 12 also includes the downstream slope of the Lower San Fernando Dam (LSFD-DS) that did not fail (shown in red). The downstream slope had a higher effective stress than the upstream slope due to the higher piezometric surface in the upstream slope. The Lower San Fernando Dam upstream and downstream slopes plot close to the laboratory derived limit for a somewhat similar hydraulically placed silty sand (tailings). The limits shown on Figure 12 based on laboratory tests may be higher than experienced in-situ, since most sands in-situ are not often at their loosest possible states. Figure 12 suggests that the limit of brittle behavior can be estimated from CPT friction ratio (F r), where the limit could be as high as s vo = 10atm for clean, poorly graded (rounded) silica-based sands (similar to Erksak sand) but only around s vo = 2 or 3atm for more compressible silty sand (such as the silty tailings). This decrease in the stress limit of brittle behavior is consistent with the change in shape of the CSL suggested by the empirical relationship proposed by Bolton (1986) and shown in Figure 7. Figure 12 can be used as a preliminary estimate of the limiting stress for brittle behavior using CPT data. For high-risk projects it is recommended to evaluate the limiting stress for brittle behavior based on laboratory testing. Since critical state is independent of the initial state, the parameters that define the CSL depend only on the nature of the grains of the soils and can be linked to grain characteristics, as illustrated by the Bolton (1986) relationship in Figure 7. For many tailings deposits, that are young and uncemented, it is possible to carry out laboratory testing on reconstituted samples to determine the CSL and the LCC. Figure 13 shows a summary of the laboratory testing carried out on silty tailings by Schnaid et al (2013) in terms of the LCC and CSL. The CSL can be approximated by a bi-linear relationship, where the break in slope is approximately the limit of brittle behavior, which for the silty tailings is about s vo = 3atm (based on an assumed K o = 0.5), as shown on Figure 13. Figure 12. Relationship between pre-failure vertical effective stress and CPT normalized friction ratio for flow liquefaction case histories and selected laboratory results Figure 13. Summary of laboratory testing on silty tailings (after Schnaid et al., 2013) showing CSL and LCC

It should also be possible to infer the approximate CSL location at high stresses by performing a 1-D consolidation test to high stresses on very loose reconstituted samples to determine the approximate LCC. The CSL can be assumed parallel to the LCC at high stress with a spacing ratio of about 2 to 4. The approximate limit of brittle behavior is when the stress ratio (p LCC/p CS) is less than about 5, which should represent I B < 0.4, based on Figure 9. 7 ESTIMATION OF LIQ. UNDRAINED STRENGTH Since the SPT-based relationships (e.g. Figures 3) tend to be less reliable due to the poor repeatability of the SPT, it is preferred to use CPT-based correlations, such as that proposed by Robertson (2010) and shown in Figure 14. Jefferies and Been (2016) suggested a modification to the Robertson (2010) relationship using CSSM concepts, and is also shown in Figure 14. The relationships shown in Figure 14 were based on case histories where s vo < 2atm. Based on laboratory tests carried out under high effective confining stress, very loose contractive sand-like soils with no microstructure will tend toward a large strain undrained strength ratio of s u/s vo = 0.22, which is a value associated with low plastic clay-like soils. Hence, the relationship shown in Figure 14 should be limited to only low effective overburden stresses (e.g. < 2 atm.) Figure 14. Liquefied undrained strength ratio as a function of normalized clean sand equivalent cone resistance, Q tn,cs (modified from Robertson, 2010) 8 SUMMARY Critical state soil mechanics (CSSM) provides a useful framework to understand how stress level influences the behavior of sand-like soils in undrained shear. Laboratory data show that the Critical State Line (CSL) becomes non-linear at high stresses and that this nonlinearity reduces the brittleness of very loose contractive sand-like soils. The non-linear nature of the CSL also shows that the best form of representing in-situ state is the initial stress ratio (p o/p cs) that can be interchanged with y/l, but avoids the need to estimate the slope of the CSL (l). This representation of in-situ state illustrates the importance of the slope of the CSL (l) over the appropriate stress range. Robertson (2010) showed that it is possible to estimate if a soil is contractive at large strains using the CPT and that this approach applies to young uncemented soils (Robertson, 2016). More recent flow liquefaction case histories have confirmed the application of this approach (e.g. Morgenstern et al., 2016). However, not all soils that are contractive at large strains are strain softening and not all soils that are strain softening have high brittleness. Laboratory data show that for very loose contractive sand-like soils, brittleness progressively decreases and soils become progressively more ductile with increasing stress level due to the non-linear CSL. Laboratory data combined with field observations suggest that for sandlike soils brittleness is less than 0.4 (i.e. less than 40% strength loss) when the initial stress ratio p o/p cs < 5. The stress level that defined the limit of brittle behavior can be estimated from CPT normalized friction ratio (F r), which is an index of grain characteristics. In general, the limit of brittle behavior can be as high as s vo ~ 10atm for clean, poorly graded (rounded) silica-based sands and about s vo ~ 2atm for more compressible silty sand and/or angular sands. This decrease in the stress limit of brittle behavior is consistent with the change in shape of the CSL suggested by the empirical relationship proposed by Bolton (1986). Sand-like soils at high stress tend to behave more clay-like when the CSL and LCC become essentially parallel. The resulting behavior at high stress is more ductile (i.e. less brittle) with a large strain undrained strength ratio closer to s u/s vo = 0.22. For high risk projects, it is possible to evaluate the limit of brittle behavior based on laboratory testing on very loose reconstituted samples, since the CSL is independent of the initial state and the parameters that define the CSL depend only on the nature of the grains. It is also possible to infer the approximate CSL location at high stress by performing a 1-D consolidation test to high stresses on very loose reconstituted samples to determine the approximate Limiting Compression Curve (LCC). The CSL can be assumed parallel to the LCC at high stress with a spacing ratio of between 2 to 4. The approximate limit of brittle behavior can then be estimated when the initial stress ratio (p LCC/p CS) is less than about 5. Application of in-situ tests (e.g. SPT and CPT) requires appropriate normalization of penetration resistance to estimate in-situ state. There is increasing support and acceptance that the normalization should use a stress exponent closer to 1.0 for very loose sand-like soils that is also more appropriate for the high stresses that exist around in-situ penetration tests (Maki et al., 2014). Case histories support the observation that very loose sand-like soils are more brittle at low stresses with lower liquefied undrained strength ratio. Case history flow liquefaction failures tend to result in progressive failure mechanisms where instability progresses in sections that each have relative low effective overburden stresses

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