Characterization and Application of Nanomaterials 2025, 8(2), 10326. https://doi.org/10.24294/can10326 Article Functionalization of graphene by intercalation: A theoretical insight Vittoria Urso Department of Physics, Sapienza Università di Roma, 00185 Rome, Italy; vittoria.urso@uniroma1.it CITATION Urso V. Functionalization of graphene by intercalation: A theoretical insight. Characterization and Application of Nanomaterials. 2025; 8(2): 10326. https://doi.org/10.24294/can10326 ARTICLE INFO Received: 14 November 2024 Accepted: 18 March 2025 Available online: 6 May 2025 COPYRIGHT Copyright © 2025 Author(s). Characterization and Application of Nanomaterials is published by EnPress Publisher, LLC. This work is licensed under the Creative Commons Attribution (CC BY) license. https://creativecommons.org/ licenses/by/4.0/ Abstract: The intercalation of alkali metals in graphene monolayers and bilayers has been studied using first-principles calculations in particular density functional theory. Alkali metals intercalate into graphite, leading to the formation ofM-graphene layered materials (withM = Li, Na, K, Rb, and Cs). Intercalated species can modify the very electronic structure of graphene and consequently its electron mobility. Thanks to various experimental studies, it has been possible to demonstrate that alkali metal intercalation can be used to modify the electronic structure close to the Fermi level of the M-graphene materials and manipulate the carrier mobility and therefore we want to do this also with computational studies. These materials have a wide variety of applications, especially for the development of new batteries and other devices. The first principles are discussed on the effects of the intercalation of a heavy-alkali metal (K) on the electronic structure of graphene monolayers and bilayers. Keywords: graphene; alkali metals; intercalation; Dirac cone shift PACS numbers: 71.10.−w; 78.20.Bh; 81.05.ue 1. Introduction Graphene is the most studied of two-dimensional (2D) materials [1–6], pristine free-standing graphene has a high electron mobility, which is reduced when deposited on a substrate due to graphene-substrate interactions [7–12]. Graphene and carbon nanotube CNTs are among the most prominent nanoscale materials currently studied [13]. Two-dimensional (2D) graphene [14] has a rather unique sublattice symmetry and is a zero-gap semiconductor with a point-like Fermi surface and a linear dispersion at the Fermi level; these properties are responsible for observed ballistic transport, Dirac-type quasiparticles, and anomalous quantum Hall effects [15]. Graphene is a flat monolayer of carbon atoms tightly packed in a two-dimensional (2-D) honeycomb lattice and is a basic building block for graphitic materials of all other dimensions [16] as shown in Figure 1. Its interesting electrical and transport properties have attracted much attention since its discovery in 2004. Graphene is one atom thick and its very high mobility allows the quantum Hall effects to be observed even at room temperature [17]. Alkali metals adsorbed onmetallic substrates have been studied for a long time [18,19], but the nature of the alkali-substrate bond is not yet fully understood. A subset of these studies concerns the adsorption of alkali in graphite [19]. The electronic properties of graphite can change dramatically due to intercalators; for example, electrical conductivity along the planes increases dramatically [19]. Potassium (K) has been the most studied of all alkali metals intercalated on graphite [20–24]. The first step in studying the surface structure of K in graphite is the intercalation process [25]. In Figure 2 there are some 1 Characterization and Application of Nanomaterials 2025, 8(2), 10326. methods of intercalation of K on graphite, in particular methods for investigating the coverage of K/graphite, in the last column you can find a reference for each experiment: Figure 1. Carbon allotropes. Top left: Graphene 2-D; top right: Graphite 3-D; bottom left: nanotube 1-D; bottom right: fullerene 0-D [17]. Figure 2. Critical coverage for K/graphite condensation taken from reference [25]. 2. Theory Graphene is made out of carbon atoms with a structure shown in Figure 3 [26]. The lattice vectors can be written as a1 = a 2 (3, √ 3) a2 = a 2 (3,− √ 3) (1) 2 Characterization and Application of Nanomaterials 2025, 8(2), 10326. where a ≈ 1.42Å. The reciprocal-lattice vectors are given by b1 = 2π 3a (1, √ 3) b2 = 2π 3a (1,− √ 3). (2) The two pointsK andK’ at the corners of the Brillouin zone (BZ) are of particular importance, these are named Dirac points, their positions in momentum space are [26]: K = ( 2π 3a , 2π 3 √ 3a ) K′ = ( 2π 3a ,− 2π 3 √ 3a ) . (3) Figure 3. Honeycomb lattice and its Brillouin zone. Left: lattice structure of graphene, made out of two interpenetrating triangular lattices (a1 and a2 are the lattice unit vectors, and δi, i = 1, 2, 3 are the nearest-neighbor vectors). Right: corresponding Brillouin zone. The Dirac cones are located at theK andK ′ points [26]. The three nearest-neighbor vectors in real space are given by δ1 = a 2 (1, √ 3), δ2 = a 2 (1,− √ 3), δ3 = −a(1, 0). (4) Usually the Schrödinger equation is quite sufficient to describe the electronic properties of materials. Charge carriers in semiconductors have a non-zero effective mass and their behavior can be well described by Schrödinger’s equation. Graphene is an exception [27–30]: its charge carriers behave like relativistic particles and therefore it is more natural to describe them with the Dirac equation rather than the Schrödinger equation [31] (see Figure 4). The tight-binding Hamiltonian for electrons is: H = −t ∑ ,σ (a+σ,ibσ,j + H.c.) − t′ ∑ <>,σ (a+σ,iaσ,j + b+σ,ibσ,j + H.c.) (5) where t ≈ 2.8 eV is the nearest-neighbor hopping energy and t’ = 0.1 eV (obtained from ab initio calculations) is the next nearest-neighbor hopping energy. The energy bands have the form: E±(k) = ±t √ 3 + f(k)− t′f(k) (6) with 3 Characterization and Application of Nanomaterials 2025, 8(2), 10326. f(k) = 2 cos ( √ 3kya) + 4 cos ( √ 3 2 kya)cos ( 3 2 kxa) (7) where the plus sign applies to the upper (π∗) and the minus sign to the lower (π) band, from Equation (7) can be seen that the spectrum is symmetric around zero energy if t′ = 0. For a finite value of t′, the electron-hole symmetry is broken and the π and π∗ bands become asymmetric. In Figure 5 there is the full band structure with both t and t′, there is also a zoom in of the band structure close to one of the Dirac points (at the K or K ′ point in the BZ). This dispersion can be obtained by expanding the full band structure, Equation (7), close to the K (or K′) vector, Equation (3), as k = K+ q, with |q| ≪ |K| E±(q) ≈ ±vF |q|+O[(q/K)2] (8) where vF is the Fermi velocity, given by vF = 3ta/2, with a value of vF ≃ 1×106 m/s. The most important difference between this result and the usual case ϵ(q) = q2/(2m), wherem is the electron mass, is that the Fermi velocity does not depend on the energy or momentum. Figure 4. (A) Charge carriers are normally described by the Schrödinger equation with an effective mass m∗ different from the free electron mass (p is the momentum operator). (B) Relativistic particles in the limit of zero rest mass follow the Dirac equation, where c is the speed of light and σ is the Pauli matrix. (C) Charge carriers in graphene are called massless Dirac fermions, with the Fermi velocity vF = 1× 106 m/s playing the role of the speed of light. (D) Bilayer graphene provides us another type of quasi-particles: they are massive Dirac fermions described by a rather bizarre Hamiltonian that combines features of both Dirac and Schrödinger equations [31]. The coverage-dependent behavior of K/graphite is obtained by means of a combination of one-dimensional low energy electron diffraction (LEED) and electron energy loss spectroscopy (EELS): low covers can be prepared in which the K atoms are partially ionized and evenly distributed over the surface due to dipole-dipole interactions. As coverage increases, the upper layer compresses uniformly until it reaches a critical coverage (Θ) of 0.1 monolayer (ML) [19]. Coverages below this limit are defined as dispersed phase, while the critical coverage (0.1 ML) will be referred to as saturated dispersed phase. At 0.1 ML, potassium forms approximately a covering layer (7 × 7 ). Above 0.1 ML, islands (2 × 2) start to nucleate until the covering layer 4 Characterization and Application of Nanomaterials 2025, 8(2), 10326. (2 × 2) is fully developed and corresponds to Θ = 1 ML. The region between 0.1 and 1 ML will be defined as mixed phase. Figure 5. Electronic dispersion in the honeycomb lattice. Left: energy spectrum. Right: zoom in of the energy bands close to one of the Dirac points. 3. Computational details Calculations are performed within the first-principles density functional theory (DFT) under the local density approximation (LDA). Our main goal is to observe the effect of doping on graphene, and since we are not directly interested in describing long-range interactions or structural distortions, we focus on the simplest approach: LDA. LDA is sufficient to observe charge transfer from the alkali metal to graphene, changes in the electronic bands of graphene, such as filling of conduction bands, and changes in local electronic properties, such as the change of the density of states (DOS) near the Fermi level. LDA is an approximation that works well when dispersion effects (van der Waals forces) are not dominant or are not crucial for the interaction between the alkali metal and graphene; there are no large structural distortions in the graphene lattice that significantly affect the geometry or symmetry of the electronic bands. LDA is preferred in all cases like these for computational simplicity because it is less computationally expensive than GGA making it more suitable for preliminary studies or large-scale simulations and for the description of local electronic changes; and because LDA can provide an accurate idea of the change in electron density and energy levels as a result of doping without the need to deal with the weak interactions between the alkali metal and graphene. In practice we use the so-called “rigid band model”, a simple model in which the interaction between graphite and an adsorbate or intercalant is limited to the donation or removal of the charge by the atom, with no other influences on the graphite bands [19]. The model thus allows us to understand the observed binding energy shifts, estimate the amount of charge transferred, etc. The QUANTUM ESPRESSO package is used to perform all calculations [32]. The primitive unit cell and the experimental value of the lattice constant are shown inFigure 6, my calculated lattice constant is 2.44Å = √ 3×1.41Å, which is slightly smaller than the experimental value. 5 Characterization and Application of Nanomaterials 2025, 8(2), 10326. Figure 6. On the left: Model of (a) two-dimensional and (b) three-dimensional graphite together with the structural parameters. In (a), the surface unit cell, containing two C atoms, is highlighted. On the right: A schematic diagram of the (2 × 2) structure formed by K on the graphite surface. Both the substrate and the overlayer unit cells are represented [25]. Calculations for the isolated graphene layer (2 × 2) and (4 × 4), the isolated adatom layer (2 × 2) and (4 × 4), and the adatom-graphene system (2 × 2) and (4 × 4) are performed with the same hexagonal supercell. The Brillouin zone is sampled with a grid of 8 × 8 × 1 k points centered on Γ, and Gaussian smearing with a width of σ = 0.01 eV is used for the occupation of the electronic levels. A larger supercell improves the description of the interactions between alkalines and graphene, reducing periodic confinement effects and improving the convergence of physical properties. Finer sampling of the Brillouin zone allows for a better description of electronic bands and densities of states, especially in regions close to the Dirac points of graphene. With alkaline intercalation, the effect on electronic bands (e.g., shifting of conduction bands or formation of new states) can be more precisely predicted. The self-consistency convergence threshold was set at 1.0d−9, the convergence threshold on total energy at 1.0d−5, and the convergence threshold on forces (a.u.) at 1.0d−4. We have performed calculations of K on graphite at the H site; see Figure 7: Figure 7. The three adsorption sites: Hollow H, bridge B, and top T [33]. 4. Results We have analyzed 11 different systems through self-consistent field calculations with QUANTUM ESPRESSO under the local density approximation (LDA) and Perdew-Zunger functionals and the Von Barth-Car method (pz-vbc), including spin polarization, and we have obtained the results showed in Table 1: 6 Characterization and Application of Nanomaterials 2025, 8(2), 10326. Table 1. The results of all systems, the greater the shift of the Dirac cone the greater the doping. System Total energy (eV) /num. atoms Schift Dirac cone (eV) dk−graphene (Å) 1. KC8 −138.9405 −1.07 2.89 2. KC32 −150.6698 −0.90 2.73 2bis. KC32 (s = 2) −150.6703 −0.88 2.73 3. K4C32 −138.9397 −1.07 2.93 4. K4C32 (alt. side) −138.9153 −1.18 2.84 5. K4C32 (check.) −138.9153 −1.18 2.83 6. C8KC8 (st. AB) −146.5524 −1.07 2.84 7. C8KC8 (st. AA) −146.5547 −1.18 2.85 8. KC8C8 −146.54465 −1.07 2.91 9. KC8C8K −138.9507 −1.07 2.92 10. KC2 −105.6311 −2.30 2.66 11. K2C32 −146.5225 −0.98 2.83 The following subsections show the systems visualized with xcrysden and the DOS visualized with xmgrace. 4.1. KC8 In Figure 8 theKC8 system is shown and in Figure 9 its DOS. Figure 8. In the upper there is theKC8 system in top view (on the left) and in side view (on the right) in (2 × 2) unit cell and in the lower there is the replicated KC8 system in the top view (on the left) and in the side view (on the right) in (6× 6) unit cell. The carbon-carbon distance is dc−c = 1.4106Å. 7 Characterization and Application of Nanomaterials 2025, 8(2), 10326. Figure 9. The DOS (density of states) of the KC8 system, on the left the full DOS and on the right a range of energy around the Fermi level. In Figure 10 are shown the PDOS (projected DOS). Figure 10. The full and its partial DOS s and p. 4.2. KC32 In Figure 11 theKC32 system is shown and in Figure 12 its DOS. 8 Characterization and Application of Nanomaterials 2025, 8(2), 10326. Figure 11. In the upper there is the KC32 system in top view (on the left) and in side view (on the right) in (4 × 4) unit cell and in the lower there is the replicated KC32 system in the top view (on the left) and in the side view (on the right) in (12× 12) unit cell. The carbon-carbon distance is dc−c = 1.4106. Figure 12. The DOS of the KC32 system, on the left the full DOS and on the right a range of energy around the Fermi level. Only in this case do we have a magnetic case as shown in Figures 13 and 14. 9 Characterization and Application of Nanomaterials 2025, 8(2), 10326. Figure 13. The DOS of theKC32 system with spin = 2, on the left the DOS of my calculation and on the right the DOS of Figure 3 of the reference [34]. Figure 14. The DOS of theKC32 system with spin = 2, on the left a range of energy around the Fermi level of my DOS and on the right Figure 4 of the reference [34]. 10 Characterization and Application of Nanomaterials 2025, 8(2), 10326. 4.3. K4C32 In Figure 15 theK4C32 system is shown and in Figure 16 its DOS. Figure 15. In the upper there is the K4C32 with (4 × 4) cell and in the lower there is the replicatedK4C32 system. The carbon-carbon distance is dc−c = 1.4102. Figure 16. The DOS of theK4C32 system, on the left the full DOS and on the right a range of energy around the Fermi level. 4.4. K4C32 with K on alternate side In Figure 17 the K4C32 with K on alternate side system is shown and in Figure 18 its DOS. Figure 17. In the upper there is the K4C32 system with (4 × 4) cell and in the lower there is the replicatedK4C32 system. The carbon-carbon distance is dc−c = 1.4119. 11 Characterization and Application of Nanomaterials 2025, 8(2), 10326. Figure 18. The DOS of theK4C32 system, on the left the full DOS and on the right a range of energy around the Fermi level. 4.5. K4C32 with K at checkerboard In Figure 19 the K4C32 with K at checkerboard system is shown and in Figure 20 its DOS. Figure 19. In the upper there is the K4C32 system with (4 × 4) cell and in the lower there is the replicatedK4C32 system. The carbon-carbon distance is dc−c = 1.4111. Figure 20. The DOS of theK4C32 system, on the left the full DOS and on the right a range of energy around the Fermi level. 12 Characterization and Application of Nanomaterials 2025, 8(2), 10326. 4.6. C8KC8 with stacking AB In Figure 21 the C8KC8 with stacking AB system is shown and in Figure 22 its DOS. Figure 21. In the upper there is the C8KC8 system with (2× 2) cell and in the lower there is the replicated C8KC8 system. The carbon-carbon distance is dc−c = 1.4131. Figure 22. The DOS of the C8KC8 system, on the left the full DOS and on the right a range of energy around the Fermi level. 4.7. C8KC8 with stacking AA In Figure 23 the C8KC8 with stacking AA system is shown and in Figure 24 its DOS. Figure 23. In the upper there is the C8KC8 system with (2× 2) cell and in the lower there is the replicated C8KC8 system. The carbon-carbon distance is dc−c = 1.4121. 13 Characterization and Application of Nanomaterials 2025, 8(2), 10326. Figure 24. The DOS of the C8KC8 system, on the left the full DOS and on the right a range of energy around the Fermi level. 4.8. KC8C8 In Figure 25 theKC8C8 system is shown and in Figure 26 its DOS. Figure 25. In the upper there is the KC8C8 system with (2× 2) cell and in the lower there is the replicatedKC8C8 system. The carbon-carbon distance is dc−c = 1.4083. Figure 26. The DOS of theKC8C8 system, on the left the full DOS and on the right a range of energy around the Fermi level. 14 Characterization and Application of Nanomaterials 2025, 8(2), 10326. 4.9. KC8C8K In Figure 27 theKC8C8K system is shown and in Figure 28 its DOS. Figure 27. In the upper there is theKC8C8K system with (2×2) cell and in the lower there is the replicatedKC8C8K system. The carbon-carbon distance is dc−c = 1.4100. Figure 28. The DOS of the KC8C8K system, on the left the full DOS and on the right a range of energy around the Fermi level. 4.10. KC2 In Figure 29 the C8KC8 system is shown and in Figure 30 its DOS. Figure 29. In the upper there is theKC2 system with (1×1) cell and in the lower there is the replicatedKC2 system. The carbon-carbon distance is dc−c = 1.50. 15 Characterization and Application of Nanomaterials 2025, 8(2), 10326. Figure 30. The DOS of the KC2 system, on the left the full DOS and on the right a range of energy around the Fermi level. 4.11. K2C32 In Figure 31 the C8KC8 system is shown and in Figure 32 its DOS. Figure 31. In the upper there is the KC16 system with (2 × 2) cell and in the lower there is the replicatedKC16 system. The carbon-carbon distance is dc−c = 1.4106. Figure 32. The DOS of the KC16 system, on the left the full DOS and on the right a range of energy around the Fermi level. 16 Characterization and Application of Nanomaterials 2025, 8(2), 10326. 5. Conclusions Chemical doping is a natural way to increase the performance or personalize the properties of graphene or any other 2D material. The band gap can be produced in graphene by chemical doping with a significant reduction in its carrier mobility [35]. However, there are several methods for modifying the band gap of graphene without the use of traditional chemical doping. These approaches exploit geometry, physical interactions (such as quantum confinement [36] or strain engineering [37]), and structural modifications such as oxidation [38] or the use of multilayer structures [39] to achieve semiconductor-like electronic behavior, opening the band gap of graphene, or simply the application of electric fields [40]. After doping graphene, several mechanisms contribute to the reduction of charge carrier mobility. The main ones are the following: impurity scattering [41], phonon scattering (lattice vibrations) [42], defect [43] and dislocation scattering, local structure distortions. The computational results obtained are well compared to the experimental data of reference [44] shown in Figure 33 and with some literature dealing with this topic [45–52] and could be useful for predicting material properties [53,54]. Figure 33. (a) UV photoemission spectral density of the K-NPG system as a function of K exposure (spectra vertically stacked for the sake of clarity). (b) Perspective 3D view of the spectral density evolution of the VB close to the Fermi level (black line) as a function of K dose; the Dirac point energy shift ΔE due to charge injection is reported as a red line in the top projection of the 3D perspective view. (c) Experimental spectral density of K-NPG at saturation coverage (red line) compared with clean NPG, shifted by −0.6 eV in spectral density (gray filled area) [44]. 17 Characterization and Application of Nanomaterials 2025, 8(2), 10326. The experimental results of Figure 33 are obtained with UPS, ultraviolet photoelectron spectroscopy, (h̄ν = 21.2 eV and h̄ν = 40.8 eV whose sources are HeI and HeII, respectively) used to probe the surfaces of materials (see Figure 34). The most significant observation is an intensity peak at the Fermi energy EF in the intercalation compounds. This peak is mainly due to alkali-like s states [55]. Photoelectron spectroscopy is the most powerful and versatile technique to study the electronic structure of the valence bands in atoms, solids, and molecules (ionization energy of molecules, HOMO). Multiplying the DOS of the computational calculations with the Fermi-Dirac distribution f(E), we get the density of conduction electrons at any particular energy N(E) = DOS · f(E). For the Koopmans Theorem we have Ii = −ϵi, where Ii is the binding energy of an electron in the state i and ϵi is the orbital energy of the state i-th. Identification of calculated orbital energies with ionization potentials is possible as shown in Figure 35. Figure 34. With XPS (with hν > 1000 eV) the electron emission is a good reflection of the density of states (weighted by the transition rate across the VB). At low photon energies (hν < 50 eV) as in UPS the situation is more complex but richer in information. Figure 35. Left: Computational results for pristine graphene (QUANTUM ESPRESSO (qe) C8) and K-doped graphene (qe K4C32 instead of KC8 and KC32) compared with experimental results from reference [44]. Right: A zoom of the same data. UPS results involving a coverage of 0.3–0.4 ML are very similar to those obtained computationally with QUANTUM ESPRESSO for theKC32 system (1 ML→ KC8). Finally, it is possible to observe from the total energy values of systems 6,7 and 11 that the bilayer is more favored than the monolayer (it is also possible to verify this for the KC8 systems) and this compares well with other works [56–58]. 18 Characterization and Application of Nanomaterials 2025, 8(2), 10326. The electron donating ability of alkalis, which increases as we move down the group, from Li to Cs [59–66], changes the electronic balance and therefore shifts the Fermi level. Li being the lightest and having a low electronegativity has a tendency to easily donate its valence electron to the graphene surface. Consequently, the introduction of Li is expected to shift the Fermi level upwards, potentially increasing the density of electronic states near the Fermi level. This could increase the conductivity of the system and, in some cases, lead to metallic behavior. Na, although larger than Li maintains a similar behavior, the Fermi level could shift even higher than pure graphene, but to a lesser extent than Li. K being larger than Na tends to donate its valence electron even more easily, but the bond strength between graphene and the adatom is generally weaker. It could be observed that the interaction of potassium with graphene leads to a marked upward shift of the Fermi level but due to the lower electron affinity the effect may be more transient or less stable. Rb and Cs [67], the heavier of the family, the adatomics become even more reactive and tend to donate electrons to graphene more easily. However, the chemical stability of systems with Rb [68] and Cs may decrease, since these alkali atoms tend to have a low adhesion energy to graphene, leading to possible desorption phenomena at relatively low temperatures. In these cases, it could be observed significant shifts of the Fermi level, but with a less stable behavior over time, especially at high temperatures. The interaction between graphene and alkali adatomics, as we have seen, also affects the band structure of the system, in particular the Dirac cone, Li adsorption on graphene may cause minimal distortion of the Dirac cone, but the symmetry of the cone should remain fairly intact. However, a shift in the Fermi level upwards can make the systemmore conductive. At low concentrations, this effect may not be sufficient to significantly alter the structure of the Dirac cone, but at higher concentrations, changes in the symmetry of the band structure may emerge, with stronger coupling between the graphene electrons and the Li p-orbitals [69]. When Na and K are adsorbed on graphene they can influence the Dirac cone more pronouncedly. The stronger coupling between the alkali s-orbitals and the graphene p-orbitals may lead to more pronounced distortions in the Dirac cone, changing the shape and position of the conduction and valence bands. In particular, the stronger interaction with Na and K may also affect the characteristic symmetry of graphene, leading to asymmetric effects in the cone [70]. For Rb [71] and Cs [72], the interaction with graphene is weaker, but the change in band structure could be significant in terms of the shift and deformation of the Dirac cone. We may see asymmetric deformations in the Dirac cone and a reduction in band structure symmetry, as the heavier alkali adatomics can more strongly influence the local electronic properties of graphene. Li and Na are more stable than their heavier counterparts. Their reactivity may be more easily manageable under experimental conditions, although their adhesion to graphene may not be very strong. This means that the adatom can remain stably adsorbed on graphene, with little problem of desorption at moderate temperatures. K, Rb, and Cs are more reactive and less stable on the graphene surface. These adatomics tend to desorb easily at higher temperatures, and thus the system may not be viable in long-term devices, especially if thermal stability is critical. They could also change the structure of graphene more dramatically, causing structural deformations. Li could be used to improve electronic 19 Characterization and Application of Nanomaterials 2025, 8(2), 10326. conductivity in batteries or other electronic devices. Its high reactivity with graphene could also make it useful for improving energy storage. Na [73] and K are useful for applications where increased conductivity is needed but long-term stability is less critical (e.g., short-lifetime devices or fuel cells). 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