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F. Ž. Županič, M. Meško, I.

Podbregar: Methodology of an Aircraft Accident Response System Assessment

FRANC ŽELJKO ŽUPANIČ, M.Sc. Safety and Security in Traffic


E-mail: zupanic@sloveniacontrol.si Preliminary Communication
Slovenia Control, Slovenian Air Navigation Services, Ltd Accepted: July 8, 2011
Kotnikova 19a, 1000 Ljubljana, Slovenia Approved: Mar. 14, 2012
MAJA MEŠKO, Ph.D.
E-mail: maja.mesko@fm-kp.si
University of Primorska, Faculty of Management
Cankarjeva 5, 6000 Koper, Slovenia
IZTOK PODBREGAR, Ph.D.
E-mail: iztok.podbregar@fvv.uni-mb.si
University of Maribor,
Faculty of Criminal Justice and Security
Kotnikova 8, 1000 Ljubljana, Slovenia

METHODOLOGY OF AN AIRCRAFT ACCIDENT


RESPONSE SYSTEM ASSESSMENT

ABSTRACT However, whenever an aircraft accident happens, les-


sons must be learned how to avoid its reoccurrence
The paper investigates the ability to learn from an air- [2]; otherwise, the “accident lesson is much too expen-
craft accident as the opportunities for learning diminish with
sive”. The essence of the ability to learn from an air-
the decline in the accident rate. A safety compromising case
is studied as the processes of aircraft accident intervention
craft accident is the provision of a functional response
and recovery can degrade the ability of an aircraft accident system which assures that the processes of aircraft
investigation process to enhance aviation safety by reveal- accident intervention and recovery do not interfere
ing accident causation. In the case study an assessment of with the aircraft accident investigation. The interfer-
the Slovenian aircraft accident response system was made. ence with the investigation lessens the ability to im-
For the purpose of evaluating the successfulness of aircraft prove aviation safety by providing the reasons for the
accident intervention and effectiveness of recovery, a model
accident – and this is a general problem addressed in
of aircraft accident response system requirements has been
developed. Based on non-conformances identified by the
the paper. The quest for a solution to the problem is
model of requirements, remedial measures are proposed for driven by the hypothesis that the role and importance
the enhancement of the aircraft accident response system of the safety aspect of the transition from intervention
operation. Criteria for the definition of the transition from to recovery in the event of an aircraft accident is to
accident intervention to recovery are derived from the as- significantly contribute to flight safety. The principle is
sessment findings in a manner not to impede the aircraft thereby to protect the lives, health and safety of people
accident investigation effectiveness and efficiency.
and to keep public order.
KEY WORDS When an accident happens, intervention is re-
quired which must then be followed by recovery. Inter-
aircraft accident, response system, intervention, recovery, vention is an organized act of intervening by one or
investigation, crisis management more rescue units or departments with the purpose
of protecting and rescuing people and their property,
1. INTRODUCTION cultural heritage and the environment and preventing
further damage and other consequences of the acci-
The aircraft accident response system consists of dent [3]. When an imminent danger to life or health
aircraft accident intervention, recovery and investiga- of people, animals, property, heritage and the environ-
tion, which are subject areas falling within the scope ment is eliminated, and when the risk of further injury
of the paper. As the aircraft accident rate declines, the is removed or reduced, the intervention is completed.
opportunity for learning from accidents diminishes, It is followed by recovery, the purpose of which is to
and the opportunity to develop effective accident in- eliminate the consequences of the accident [3]. It in-
vestigation recommendations for the industry is also cludes the necessary measures and activities to en-
reduced [1]. Clearly reactive aviation safety manage- sure that the basic living conditions and sustainable
ment has to evolve into proactive safety management. recovery of affected areas are provided for and that

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F. Ž. Županič, M. Meško, I. Podbregar: Methodology of an Aircraft Accident Response System Assessment

the original state is re-established or even further im- cue system objective is to reduce, mitigate or prevent
proved. the casualties and harmful consequences of an air-
Crisis is a situation in which confidence in some- craft accident. The system entities are organized by
thing or someone is inhibited to such an extent that local communities, the state and certain companies
there are serious doubts of its existence [4, 5, 6, 7, with regard to the threat posed to their areas (associa-
8]. Since crisis appears in different forms, one gen- tions and services), or with regard to the risk related
erally accepted definition of the term cannot be ac- to the activities they perform (companies, institutions
cepted [9]. However, there are three characteristics and other organizations). The Administration for Civil
of each crisis. The first characteristic is suddenness. Protection and Disaster Relief, the Police and the Slo-
Although certain signs of crisis can be observed pri- venian Armed Forces constitute the system backbone.
or to its outbreak, crisis always comes unexpectedly. The system is organized to utilize the facilities, servic-
Another feature is uncertainty, strongly influenced by es and expertise of intergovernmental, governmental
the provision of good quality information for decision- or non-governmental organizations and civil society
making. The third common characteristic of all crises in order to enhance the complementarity of efforts in
is time pressure, which requires prompt decision-mak- achieving the system objectives effectively.
ing and stress management by all participants in the Response system entities are engaged in protec-
crisis. Crisis is a term often used to describe difficult tion, rescue and relief and public services, following
and dangerous situations critical for the future [10]. As a decision of the competent authority or local govern-
an aircraft accident is characterized by suddenness, ment body.
unexpectedness, potentially difficult access to the ac-
cident site and the possibility that all passengers and 2.2 Existing response system
crew members and residents of populated areas could
fact-finding statistics
be victims, it is a crisis situation, as it complies with
crisis-specific criteria. The operational entity personnel were interviewed
to obtain information about the existing operational
2. CASE STUDY: SLOVENIAN measures designed to ascertain the requirements of
an aircraft accident intervention and recovery system.
RESCUE SYSTEM
Individuals from the target groups have already been
or could be engaged in aircraft accident intervention
2.1 Availability of protection, or recovery (Figure 1).
rescue and relief forces In addition to most respondents (Figure 1) that
found their competences or responsibilities specified
Protection, rescue and relief forces are available in detail, nobody considered the competences or re-
human resources of the state and other organiza- sponsibilities in the event of an accident as non-exis-
tions (associations, services, companies, institutions tent. This is a good indicator of their understanding of
or local communities) intended to protect, rescue and responsibilities and competences, as it helps avoid
relieve from disasters, including an aircraft accident. mistakes resulting from “the transfer of responsibil-
By definition of the core national plan [11], the res- ity”. For example, when someone thinks that some-

Respondents experience Respondents employment structure

Respondents Active involvement in aircraft


(group of 65) 81 % accident intervention or recovery

Fire services
participation in
23%
Opinion of 73 %

Other 45%
50 % 34 % 16 %
Emergency
service 11%
recovery intervention support
process process functions

Armed Forces
Competences and responsibilities in the event of an 11%
Airport staff
aircraft accident are specified 10%

Figure 1 - Respondents competence check-up

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F. Ž. Županič, M. Meško, I. Podbregar: Methodology of an Aircraft Accident Response System Assessment

Table 1 - Ranking of factors important in the process of aircraft accident intervention and recovery
Safety factors important in the process of air- Ranked as the most important safety
Rank
craft accident intervention and/or recovery factor by the portion of respondents
Definition of criteria for the transition from air-
1 36%
craft accident intervention to recovery
2 Properly trained and qualified staff 24.5%
Assessment of the situation and the consequences of an
3 17%
aircraft accident for people and the environment
4 Proper determination of competences 12%
5 Determination of emergency measures for risk mitigation or reduction 3%
6 Setting up of an appropriate infrastructure 3%
Definition of measures for recovery of an aircraft accident site 1.5%
Definition of the scope of measures for re-
7 1.5%
covery of an aircraft accident site
Deadline for the reconstruction of the damaged
8 1.5%
area at the aircraft crash site determination
9 Protection of property 0%

thing is not their responsibility and the task remains es are ranked and detailed in Table 1. The leading pri-
undone. It is namely the case where the responsibility ority is the definition of criteria for the transition from
is transferred from one person to another. aircraft accident intervention to recovery.
A survey conducted on the issue of the entire se-
quence of an aircraft accident intervention, investiga-
3. AIRCRAFT ACCIDENT RESPONSE
tion and recovery identified a systematic problem. While
the majority of the interviewees (81%) have already SYSTEM ANALYSIS
been actively involved in an aircraft accident response,
thus having direct practical experience (Figure 1), only 3.1 Design-Functionality-Performance-
56% of the respondents did not identify any problem Mission model of aircraft accident
areas in the aircraft accident response system (Figure response system requirements
2). For the latter group it may be presumed that they
know exactly what their competences and responsibili- The design, functionality, performance and mission
ties are and when their work is completed. However, a (DFPM) model of aircraft accident response system re-
significant fraction (36%; Figure 2) of interviewees re- quirements is introduced in Table 2. It was inspired by
sponded, that deficiencies in procedures of transition the:
from intervention to aircraft accident recovery do exist. –– aircraft accident rehearsal model of [12],
Since those deficiencies directly influence an aircraft –– intervention strategies implemented to prevent
accident investigation and thus reactive safety man- repetitions of similar clinical incidents [13],
agement, there should be no lack of understanding. –– Hewlett-Packard FURPS+ model for classifying
Additionally, doubtfulness leading to the “I don’t know“ software requirements [14, 15].
response (Figure 2) suggests that the respondents lack While the FURPS+ model is analysing functional-
knowledge in both, intervention and recovery. ity, usability, reliability, performance, supportability, as
On the basis of the collective experience of the in- well as design, implementation, interface and physical
terviewees the factors important for the effectiveness requirements [14, 15], the DFPM model classifies the
of aircraft accident intervention and recovery process- functional and non-functional requirements into de-
sign, functionality, performance and mission require-
Problem identification by the respondents
ments of an aircraft accident response system (Table
2).
The DFPM model is answering the basic questions
56 % 36 % 8%
of minimal operational requirements imposed on the
No problem Deficiencies in the definition of Doubtfulness aircraft accident intervention and recovery system:
exists their functions and of the moment, leading to the –– Where will the system and how will its components
when their duties are to be "I don’t know"
transferred to another body or response be used?
institution –– How will the system’s mission objective be accom-
plished and what are the critical system parame-
Figure 2 - Response system problem area identification ters to accomplish the mission?

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F. Ž. Županič, M. Meško, I. Podbregar: Methodology of an Aircraft Accident Response System Assessment

Table 2 - DFPM model of aircraft accident response system requirements

DFPM model of an aircraft accident response system requirements

Main focus areas System requirements Attributes

Arhitecture
DESIGN  Probability of an aircraft accident
Structure  Human resources qualifications
and training
Behavior  Hardware:
– Usability
Coverage – Compatibility
– Availability
– Serviceability
Capacity
– Physical properties
 Resources operational distribution
Resources

Procedures
 Probability of an aircraft accident
Interoperability  Intradepartmental coordination
 Cross-subsystem interfaces and
Logistics coordination
 Procedures combinability and
commonality
Contingencies

Predictability of an  Probability of an aircraft accident


FUNCTIONALITY aircraft accident  Severity of an aircraft accident

Localizability of an
aircraft accident  Response scenario planning
 Capabilities
 Availability
Responsiveness
 Executability
 Adaptability
Testability  Recoverability

Response time
PERFORMANCE
 Speed of intervention
Execution time
 Time of recovery

Resource consumption

Sucessive action
feasibility

Efficiency

MISSION Activation
Operational
field implementation Search

Information gathering

Command

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F. Ž. Županič, M. Meško, I. Podbregar: Methodology of an Aircraft Accident Response System Assessment

–– How effective or efficient must the system be in limits of responsibilities and competences of major
performing its mission? decision-makers i.e. commanders and coordinators
–– How long will it be in use and in what environments are specified in the National Protection and Rescue
will the system be expected to operate in an effec- Plan in the Event of an Aircraft Accident, version
tive manner? 4.0 [16]. At the operational level, the authority, du-
–– Obviously, the aircraft accident response system ties and responsibilities of the nominated post hold-
can be improved (or generated) using the DFPM ers are defined in the mandatory safety and security
model of requirements. related documentation of certified organizations in-
The DFPM model has been developed to allow its volved in aircraft accident intervention and recovery.
requirements to evolve beyond prescriptive i.e. “com- They are addressing, in particular, the management
mand and obey” requirements and include principles personnel in charge of safety and security, including
of a goal-based and performance driven body of the the relationship and reporting lines between different
system’s expectations. The best practices are integrat- parts and processes of the intervention (and to some
ed into attributes of model requirements. The DFPM extent) recovery system.
model enables the evaluation of the aircraft accident
response system’s overall effectiveness, as well as the 3.2.2 Unaddressed issues of the response system
intervention and recovery process successfulness in
The assessment against the DFPM model design
particular by the assessment of the system’s compli-
requirements identified a common core gap. The gap
ance with requirements.
can be closed by institutional and governing principle
Using the DFPM model the existing aircraft acci- improvements:
dent intervention and recovery system is analysed in –– policy of overall responsibility of the Ministry of
the following chapter based upon the assessment of Transport to carry out the tasks of aircraft accident
conformance to the requirements for successful and intervention and recovery (currently, this task is be-
effective aircraft accident response. ing carried out by the Civil Aviation Directorate on a
volunteer basis),
3.2 Aircraft accident response system –– responsiveness by various departments of the
DFPM assessment discussion Ministry of Transport (financial, legal, information,
etc.),
3.2.1 Response system maturity –– defragmentation of post holders for logistics sup-
port of the process of aircraft accident investiga-
The DFPM model-based functional analysis provid- tion and recovery at the cross-ministerial level,
ed an insight into the level of compliance with the func- which would clear the availability shortcomings
tional requirements identifying the necessary task, identified from the best practices point of view,
actions and activities that must be accomplished for –– powers to assume certain material (financial) com-
successful aircraft accident intervention and efficient mitments.
post-intervention recovery. The fundamental structure Furthermore, unaddressed system design issues,
supporting the process of aircraft accident interven- resulting in imperfect intervention and in particular re-
tion and recovery can be considered as established, covery planning, became evident:
available and functioning. A statement is evidenced –– a line of conduct and practices of relationships
from the case study identifying the intervention and with the owner of a property (land) of an aircraft
recovery forces (§2.1, §2.2) and respecting the results accident site,
of a fact-finding statistics oriented towards the provi- –– mode and best practices of interfering with the
sion of the system’s functional chain (Table 1). property of an aircraft accident site for the pur-
Aircraft accident intervention and following post- poses of investigating the causes of an aircraft ac-
intervention recovery are safety management func- cident,
tions. Since they cannot function and do not exist in –– means of protection of property of an aircraft ac-
an empty, or vacated space, a conceptual framework cident site,
is needed. The architectural, structural and behav- –– standards defining the satisfactory post-recov-
ioural system foundation is laid down by the trans- ery state of the property of an aircraft accident
position of an international regulatory framework site,
into the national legislation. The processes under –– protocol of communication with the owner of the
discussion are governed by the Civil Aviation Act and aircraft involved in an accident,
subordinated Decree on the investigation of aircraft –– mechanisms for operational access to (curative)
accidents, serious incidents and incidents and the financial resources during intervention and recov-
Rules on logistics support to the aircraft accident ery, including the introduction of mechanisms for
and incident investigation body. The authority, duties, preventive financial resources allocation.

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F. Ž. Županič, M. Meško, I. Podbregar: Methodology of an Aircraft Accident Response System Assessment

3.2.3 Scantiness of competences 3.3 The process of transition from aircraft


accident intervention to recovery
The assessment produced a critical safety-related
finding of non-conformance with the qualification re-
3.3.1 The problem of transition
quirements for individuals and teams participating in
the intervention. The personnel participating in the The problem of the transition from aircraft acci-
process of aircraft accident intervention and recov- dent intervention to recovery emerged amid the DFPM
ery is not sufficiently trained and to the point not ad- conformance assessment. Aircraft accident interven-
equately educated according to international rules and tion and recovery are by their definition separated ac-
recommendations of the European Union legislation, tivities, but they are at the same time interdependent.
the International Civil Aviation Organization (ICAO), Simultaneously, the process of an aircraft accident in-
and the European Civil Aviation Conference (ECAC). vestigation is performed for the reconstruction of the
Educational deficiencies are leaving general safety accident and the determination of the causes of the ac-
culture impaired. An unsatisfying level of experience cident. The problem importance intensifies as it is the
and skilfulness of participating personnel can be per- key element of reactive safety management derived
ceived due to the only sporadic full scale and realistic from a prompt and effective investigation of an aircraft
aircraft accident simulations. The finding is critical as accident. The accident investigation itself depends
it affects the crucial responsiveness of the system in on effective information gathering about the probable
terms of human resources capabilities, their availabil- causes of the accident and the contributing factors
ity and aptitude for adaptability, as well as in terms identifiable on-site and on-the-wreckage. The general
of mission executability. In addition to qualification problem of transition narrows down to the problem of
currency assurance, regular and adequate training a milestone or a moment appropriate for the transition
would enhance performances of a system in terms of from aircraft accident intervention to recovery determi-
response and execution time, as well as efficiency of nation, as the transition itself is not exactly defined by
operations, cooperation and coordination of combined the system’s structural or behavioural design features.
actions. Simulations of an aircraft accident can be re- Recovery, defined as an activity to eliminate the
garded as an instrument of the intervention and recov- consequences of an aircraft accident and in its suc-
ery plan verification, and an efficient methodology for cessive phase the activity of re-establishing the pre-ac-
a continual system development. They have the ability cident state, cannot start before accident intervention
to facilitate the advancement in the domain of mission is completed. It cannot even start before the aircraft
execution including operational unit-level mission-ob- accident investigation reaches the phase in which all
jective-oriented on-the-spot cooperation and coordina- obtainable information regarding the aircraft crash
tion and tactical delegation of powers and duties. site and aircraft wreckage is gathered. At least the au-
thority for approval, if not the authority deciding on the
3.2.4 Logistical discontinuities commencement of recovery, must be systematically
delegated to the investigator in charge of a particular
Logistics and hardware, i.e. material resources, are aircraft accident on-site investigation. Seconded to
facilitators of successful aircraft accident intervention the decision-making authority should be the head of
and effective post-intervention recovery. Notwithstand- the on-site intervention subsystem, i.e. the group of in-
ing the existence of a system with established architec- tervening units whose support in the decision-making
ture, structure, and behaviour, irregularities and defi- process should prevent interference between aircraft
ciencies accounted for in the field of logistics support accident intervention and recovery activities.
result in discontinuation of aircraft accident response If aircraft accident recovery commences prema-
sequences. Remedial measures should improve the turely, a non-negligible possibility exists that informa-
material resources and equipment available for aircraft tion about the aircraft crash site and about aircraft
accident intervention and recovery in general. Improve- wreckage obtainable exclusively on-site and on-the-
ments should in particular provide the availability of: wreckage can be non-returnable and forever lost.
–– prompt transportation in all phases of intervention Considering that the personnel involved in the aircraft
and recovery, recovery do neither possess the knowledge nor the ex-
–– adequate and interoperable communication equip- perience in the subject of the aircraft accident investi-
ment including the provision of on-site data access gation, clues about the probable causes of the aircraft
and transmission (cellular network based internet accident and factors only contributing to the identifica-
access), tion on the spot might be erased unknowingly and un-
–– appropriate fire-fighting, rescue and personal pro- intentionally. There is even a chance that the aircraft
tective equipment, accident investigator is deliberately denied an on-site
–– storage facilities, particularly for post-recovery re- obtainable but crucial information through an actually
construction of an aircraft involved. unlawful action masked by the recovery activity.

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3.3.2 Transition criteria of the airline involved in an accident. The promptness


of an accident traces disposal from the physical world
The amalgamation of aircraft accident interven- as well as deletion from the passenger memory might
tion, investigation and recovery processes into a co- drive the airline post-accident income. However, in a
herent response system would significantly increase large-scale aircraft accident this burden of added com-
the efficiency of reactive (post occurrence) safety plexity actually facilitates the successfulness of an air-
management. However, this amalgamation effective- craft accident investigation which results through reac-
ness depends on the transition from aircraft accident tive safety management in increased aviation safety.
intervention to recovery. To make the decision-making Emergent preventive costs added by the complexity of
about the transition from aircraft accident intervention reactive aviation safety management introduced are
to recovery a predictable and manageable process, its therefore excusable (theoretically as long as they do
procedures and final provisions must be based on the not exceed the total costs of an aircraft accident [17]).
transition criteria. Since they have to assure an entire- Small-scale aircraft accidents represent another
ly feasible on-site aircraft accident investigation prov- aspect in the discussion about the transition from
able by completely established facts obtainable from aircraft accident intervention to recovery. Actually,
the aircraft accident site and wreckage, the transition the processes of aircraft accident intervention and re-
criteria actually represent a proactive approach to avi- covery run almost simultaneously in cases of a small
ation safety assurance. The set of transition criteria is aircraft accident, and are frequently performed by the
combined by: same responding unit. No matter how, one must not
–– the response time of an aircraft accident investiga- seek for leisure shortcutting in aviation safety assur-
tion team, ance.
–– the on-site aircraft accident investigation execution
time driven by:
–– availability of human resources, 4. CONCLUSION
–– availability of technical resources i.e. hardware,
–– availability of transportation, The Slovenian aircraft accident response system
–– accessibility of the accident site, effectiveness was investigated by interviewing mostly
–– the level of aircraft accident investigation proce- experienced personnel of response system operation-
dure perfection including the level of experience al entities. On the basis of the collective experience
and expertness of investigators, of the interviewees, the deficiencies in the procedures
–– the level of intervention process technical measure of transition from an aircraft accident intervention to
perfection assuring additional damage prevention, recovery were identified as paramount.
including prompt documentation on intervention- A DFPM (Design, Functionality, Performance, and
induced but unavoidable additional damage to the Mission) model of aircraft accident response system
accident site and/or aircraft wreckage, requirements has been developed according to which
–– the efficiency of logistics support to the investiga- the processes of intervention, investigation, and recov-
tion process, ery should accomplish their objectives successfully, re-
–– the availability of storage facilities for the off-site liably, and efficiently. The model of response system
reconstruction of the aircraft wreckage distribu- requirements was used for a systematic assessment
tion; namely, a successful technical investigation of the processes of aircraft accident intervention and
of an aircraft accident derives its conclusions from recovery existing in Slovenia in terms of design, func-
the relative position, pattern and distribution of tionality, performance, and mission execution.
wreckage and parts or objects on board an aircraft Using the DFPM model, the maturity of the Slo-
that therefore has to remain unchanged during in- venian aircraft accident response system was as-
vestigation, certained. However, unaddressed institutional and
–– the location of the aircraft accident; if the accident governing issues, scantiness of operational person-
site is on or in the vicinity of the airport, it is reason- nel competences as well as logistical discontinuities
able to expect an appropriate level of experience emerged. Based on the non-conformances to the sys-
and expertise of intervention and recovery units, tem requirements, remedial measures are proposed
–– the level of total response system perfection. and detailed to enhance the Slovenian aircraft acci-
The issues of the transition from aircraft accident dent response system. Accordingly, the aptness of
intervention to recovery introduce complexity into the problem issue identification and the aptness of cor-
aircraft accident response system, which increases ei- rective actions development prove the methodological
ther the execution time or the required resources and correctness and practicability of the DFPM model of
therefore unavoidably generates additional costs. One aircraft accident response system requirements.
might argue that swift completion of aircraft accident The assessment of an aircraft accident response
recovery has a significant impact on “good reputation” system demonstrated the power to prove (hypothesis

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F. Ž. Županič, M. Meško, I. Podbregar: Methodology of an Aircraft Accident Response System Assessment

set for the research) that the role and importance of KLJUČNE BESEDE
the safety aspect of the transition from aircraft acci-
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tribute to the enhancement of aviation safety. Namely, preiskava, krizno upravljanje
an incorrect or inappropriate transition from the pro-
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142 Promet – Traffic&Transportation, Vol. 24, 2012, No. 2, 135-142

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