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Psychology of Music http://pom.sagepub.

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A Re-Valuation of the Ancient Science of Harmonics


Leon Crickmore
Psychology of Music 2003 31: 391
DOI: 10.1177/03057356030314004

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A RT I C L E 391

A re-valuation of the ancient Psychology of Music


Psychology of Music
science of harmonics Copyright © 
Society for Education,
Music and Psychology
Research
vol (): ‒
[- ()
:; ‒; ]

LEON CRICKMORE

A B S T R AC THarmonics was the theoretical arithmetic underpinning the tuning


of musical instruments in ancient times. It was a numerical science based on
ratios of string-length. The ancients believed that the planets circled the heavens
in similar mathematical proportions, and that, by analogy, these also
corresponded to powers in the human psyche. Harmonics survived as such until
the 17th century. Only recently, however, have musicologists made a
breakthrough to a more comprehensive understanding of its coherence and
cultural significance. This article offers a short re-valuation of harmonics. It
seeks to stimulate debate about the relevance of the relationships between
number and tone to contemporary thought, and whether an understanding of
harmonics has anything to contribute to future interdisciplinary research into
the evolution of music and the human mind.

K E Y W O R D S : evolution, mathematics, music, Plato, temperament

Introduction
Harmonics was one of the earliest numerical sciences. It was concerned with
the theoretical arithmetic underpinning the tuning of ancient musical
instruments. Harmonics probably emerged amongst our stone-age ancestors,
matured in ancient India, Babylon and Egypt, and flourished in Greece,
which is the source of our earliest surviving records of it. Harmonics contin-
ued to maintain its ground until the 17th century, since when it has been
overtaken by experimental science and technology.
The frequency of vibration which gives rise to musical pitch varies in
inverse proportion to the length of the vibrating string or air-column. There
are scientific instruments for measuring frequency of vibration accurately,
and modern mathematics can easily handle irrational numbers such as

12√2 , needed to divide the musical octave into 12 equal semitones to form a

sempre :

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392 Psychology of Music 31(4)

chromatic scale, tuned in the manner which, since the time of Bach, has
been known as ‘equal temperament’. However, since the ancients were
unable to measure frequency accurately, and their mathematics was limited
in its capacity to deal with irrational numbers, they defined pitch in terms of
ratios of string-length. With the aid of a monochord – an instrument with
one string and a movable bridge, designed to keep all other factors constant
while string-length alone is varied – they were able to specify musical pitches
by means of numbers which represented their magnitude on a given ruler or
canon. According to Nicomachus, writing in the 2nd century AD, the
Pythagoreans called monochords ‘canons’ (Levin, 1994: 61). The authors of
the ancient texts on harmonics employed ratios with great sophistication.
Their science of harmonics was a beautifully proportioned and crafted con-
struct, even if their fascination with correlations between number and tone
sometimes led them to confuse acoustical theory with cosmology. Ancient
writers recognized three categories of music: cosmic (musica mundana),
human (musica humana) and instrumental (musica instrumentalis). The third
of these, which for the ancients did not primarily refer to the performance of
music by instruments, but rather to the ratios of string-length that relate
number to tone, is the focus of this article. Since the development of empiri-
cal science and psychology, the first two categories of ancient music rarely
feature in modern thinking except as poetic metaphors. Godwin (1986,
1993), however, has compiled two sourcebooks of texts from the literature of
human and cosmic music. In the light of the collective impact of these, it
seems reasonable to regard such texts as evidence of an ancient intellectual
tradition which sought synthesis on the basis of analogies with systems of
musical tuning. The earliest surviving treatise on the tuning of the musical
scale, The Division of the Canon, could date from around the turn of the fourth
century BC (see Barbera, 1991). McClain (1976), however, presents a plausi-
ble case for a much earlier understanding of harmonics in India, Babylon and
Egypt. McClain (1978) demonstrates in detail how Plato used harmonics as a
framework for the mathematical and musical allegories in his dialogues.

Ratios and the harmonic series


The main ratios of string-length used in harmonics were called by the ancients
‘superparticular’ ( n + 1
n ), e.g. 2:1, 3:2, 4:3 etc. Superparticular ratios corre-
spond to what modern acousticians call the ‘harmonic series’. Practical musi-
cians in ancient times would presumably have been familiar with such a
series (at least in part) from the scale of the natural trumpet. The three super-
particular ratios quoted above are expressed by means of the integers 1, 2, 3,
4, which defined the Pythagorean tetractys. The tetractys was also represent-
ed geometrically as a triangle, made up of ten stones or points, from which it
is easier to visualize these three superparticular ratios and their reciprocals
( n ) – 1:2, 2:3, 3:4 (Figure 1a). However, the wider mathematical
n+1

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Crickmore: A re-valuation of the ancient science of harmonics 393

FIGURE 1a The Pythagorean tetractys.

. .

FIGURE 1b The algebraic implications of the tetractys.

implications of the tetractys are more likely to be appreciated, if it is


expressed in modern algebraic terms (Figure 1b). These implications were
understood by the ancients; the algebraic notation alone is modern.
Reciprocity was a fundamental concept in harmonics. In mathematics,
the reciprocal of a number is one divided by that number (1/n). In music, it

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394 Psychology of Music 31(4)

simply means the measurement of intervals in an opposite direction, for any


ratio can be sung in either direction – up or down. But this can become a seri-
ous source of confusion in any historical discussion of harmonics. Modern
musicians, accustomed to thinking in terms of frequency increasing by given
ratios, initially conceive of musical scales as rising (2:1 signifies the octave
above). Ancient musicians, however, thought first in terms of increasing
string-length and conceived their scales initially as falling (2:1 signified the
octave below).
Figure 2 summarizes the argument so far. It shows the first six terms of
the modern harmonic series, both falling and rising; expressed as superpar-
ticular ratios and as their reciprocals; realized musically both by string-length
and by frequency. The particular pitches used for the musical notation in this
and subsequent figures have been chosen for convenience of presentation
only. They are arbitrary and could, of course, have been standardized.
String-lengths

Frequencies
FIGURE 2 The first six terms of the harmonic series with their ratios.

The musical tetractys


From Figure 2 it can be seen that the first superparticular ratio (2:1) gener-
ates the interval of the octave (diapason); the second (3:2), the fifth (dia-
pente); and the third (4:3), the fourth (diatessaron). Modern musicians refer
to these degrees of the scale as the tonic, dominant and sub-dominant,
respectively. Placed in descending sequence in the order tonic, dominant, sub-
dominant and tonic octave, they form an ancient pattern, the invention of
which is usually attributed to Pythagoras, though its origin was probably
much earlier. This pattern is now generally known as the ‘musical tetractys’

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Crickmore: A re-valuation of the ancient science of harmonics 395

or ‘musical proportion’. Each musical scale (mode) in ancient Greece con-


tained the four notes of the musical proportion as ‘fixed’ tones, arranged in
two tetrachords (fourths) with a whole tone (9:8, i.e. 3:2 ÷ 4:3 = 9:8) in
between. The space within each of the tetrachords was then filled out by two
‘variable tones’. According to Pythagorean practice, the two tetrachords
must be strictly symmetrical, with their tones defined by integers. Figure 3
illustrates the musical tetractys, its internal relationships and an algebraic
expression of the arithmetic by which the note values were calculated.

String-
length
Tone

Octave
(cf. Fig 1b)

FIGURE 3 The musical tetractys.

Plato’s World Soul: the Dorian and Phrygian modes in


Pythagorean tuning
In his dialogue Timaeus (34–37), Plato describes the making of the ‘World
Soul’. It is to be generated from the prime numbers 2 and 3, by two interlock-
ing geometrical progressions: 1, 2, 4, 8 and 1, 3, 9, 27. In a note to his trans-
lation of the Timaeus, Lee (1977[1965]: 48) adds that Plato now treats these
progressions ‘as if they defined a musical scale’. It is a pity that Lee did not
pursue the matter to identify this scale. Between each pair of terms, their
arithmetic and harmonic means are now inserted: 3/2 and 4/3 (see Figure
3). The intervals of a fourth (4/3) are then filled by two whole tones (9/8),
leaving over a remainder – not a superparticular ratio – with the proportion
256:243, i.e. 4/3 ÷ (9/8 × 9/8), or 4/3 ÷ 81/64 = 256/243. This has to
serve as a semitone, although it is actually smaller than half a tone. The
smallest integers capable of defining the first octave of the World Soul are
384–768. When the calculations have been made, the first octave of the

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396 Psychology of Music 31(4)

World Soul scale will be recognized by musicians as the ancient Greek Dorian
mode; while the octave 432–864 (items 2–9 in the series) constitutes the
Phrygian mode. In the Republic (398–99c, see Bloom, 1968), Plato limits the
modes to be permitted in his model cities to these very two. Modern musicians
refer to pitches defined by ratios generated by 2 and 3 only as Pythagorean
tuning. The first octave and a tone of the scale defined by the World Soul
numbers are shown in Figure 4.

BC

AD

FIGURE 4 Plato’s World Soul.

The octave 432–864 defines the ancient Greek Phrygian mode in the
smallest integers possible. However, the multiplication or division by two of a
tone-number simply lowers or raises it by an octave, without changing the
letter-name by which the pitch is identified. For instance, 864 can be consid-
ered functionally equivalent to 27 (33), i.e. 864 ÷ 25. American musicologists
have coined the phrase ‘octave equivalence’ for this. Indeed, the Phrygian
scale in its entirety is therefore implied in the cube of 3. For, musically, start-
ing, for instance from base D, 1:3:9:27 means D, A, E, B, a series of fifths in an
upward direction; and D, G, C, F, similarly downwards. Given octave equiva-
lence, these named notes can be rearranged to form the ancient Greek
Phrygian mode (see Figure 4).
Another significant feature of this tuning of the Phrygian mode is that its
ratios remain invariant under reciprocation:  9:8, 256:243, 9:8, 9:8, 9:8,
256:243, 9:8 . Thus the numbers 432, 486, 512, 648, 729, 768, 864 (see
Figure 4) function simultaneously as ratios of frequency and of string-length
to define the same scale ascending and descending. Perhaps it was on
account of the convenience of its symmetry in reciprocation that this ancient
Greek Phrygian scale – represented by the white notes of the piano in the
octave D to D – became the first of the eight Church Modes (protus authenticus

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Crickmore: A re-valuation of the ancient science of harmonics 397

or primus tonus). To add to the confusion, from about the end of the eighth
century AD, some ancient writers label this scale Modus Dorius. In conse-
quence, if asked to explain the Dorian mode, modern musicians will some-
times simply describe it as the white notes D–D on a keyboard, failing to dis-
tinguish between the mediaeval Dorian and the ancient Greek Dorian modes.
The Dorian mode of the ancient Greeks should be described, equivalently, as
the white-note octave E–E, descending (see Figure 4). As already noted, the
ancient Greeks viewed their scales, initially, as descending, i.e. corresponding
to increasing string-length. It is particularly important to bear this in mind
when considering the Dorian mode, for in Pythagorean tuning, the Dorian
mode, unlike the Phrygian, differs under reciprocation. The reciprocal of the
ancient Greek Dorian mode is our modern major scale (Figure 5).

-
m

m
m

FIGURE 5 The ancient Greek Dorian and Phrygian modes with their reciprocals.

Plato’s Timaeus and its World Soul scale never sank entirely into oblivion
during the dark and middle ages on account of a Latin translation of its first
part by Calcidius. Then, from the ninth century, the De Institutione Musica of
Boethius – composed early in the 6th century and containing translations
and paraphrases of passages from the Sectio Canonis, works by Nicomachus
and Ptolemy’s Harmonica – ensured that the science of harmonics was trans-
mitted through to the renaissance and beyond (Bower, 1989).

Just tuning
The ancient Greek Dorian mode can also be defined by smaller integers than
the 384–768 shown in Figure 4. To achieve this, the prime number 5 has to
be used as a generator, in addition to 2 and 3. Just as Pythagorean tuning was

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398 Psychology of Music 31(4)

generated from interlocking geometrical progressions from 2 and 3, so the


new tuning system is generated by 2, 3 and 5. Modern musicians call such a
system Just tuning (Figure 6). Figure 7 shows the Greek Dorian mode and its
reciprocal in Just tuning. This particular tuning was known as Ptolemy’s
Diatonic Syntonon (2nd century AD).

FIGURE 6 The arithmetical basis for Pythagorean and Just tuning.

FIGURE 7 Ptolemy’s Diatonic Syntonon.

To express this tuning in the smallest integer ratios of string-length


requires the octave 72–144 (namely, 72, 80, 90, 96, 108, 120, 135, 144).
Both these tunings involve the use of 10:9 as well as 9:8 to define a whole
tone. Major and minor thirds are 5:4 and 6:5, respectively, as in the harmonic
series (Figure 2). Plato’s friend, Archytas, went on to experiment with a
whole tone in the ratio 8:7. This entailed the introduction of yet another
prime number (7) as a generator (namely, 9:8, 8:7, 28:27, 9:8, 9:8, 8:7,
28:27). But such a tuning proved to be of little help to practical musicians: its
‘semitone’ (28:27) was far too small. To the present author, one significant
point about Archytas’s use of the septimal tone ratio for his diatonic tuning,

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Crickmore: A re-valuation of the ancient science of harmonics 399

is that his scale can be accommodated in the octave 5040–10080. And


Plato proposes 5040 – one of the very few specific numbers mentioned
in his mathematical/musical passages – as a convenient limit for the number
of citizens in his model city of Magnesia (Laws, 737 and 771, see Saunders,
1970).

Plato’s musical allegories


Plato’s dialogues abound in references to music and musical/mathematical
allegories. For centuries these mathematical constructions have defied
attempts by Platonists to explain them adequately. Only in the last 30 years or
so have scholars in America (e.g. McClain, 1976, 1978; Godwin, 1993;
Levin, 1994) made a breakthrough, though their achievement has not yet
been absorbed into modern classical scholarship. One notable exception is
Solomon (2000). Plato’s description of his model city of Magnesia is one of
the most sophisticated of these musical allegories. McClain (1978: 97–115)
has interpreted it in detail and in a manner likely to be considered convincing
by most thinking musicians. Moreover, it is an interpretation which can be
applied consistently and effectively throughout Plato’s later dialogues. Plato
seems so determined that everything in Magnesia should be limited and regu-
lated by numbers that some commentators have felt obliged to label him a fas-
cist. McClain’s view is milder; he suggests that Plato was simply a musical
humorist. McClain analyses Magnesia in terms of a tuning system like the
one devised by Archytas, generated from the primes 2, 3, 5 and 7, with 5040
(24 × 32 × 5 × 7, or 7!) as its limiting index.
Another number to which Plato makes explicit reference is 729 (Republic,
587–8, see Bloom, 1968). This, Plato claims, is the number of times by which
the philosopher king lives more pleasantly than a tyrant. Often assumed to be
no more than a rhetorical flourish or poetic exaggeration, the choice of 729
will quickly be recognized by students of harmonics as particularly apt.
Assuming octave equivalence, powers of 3 generate a series of perfect fifths,
729 = 36, and produces the tritone (e.g. F to B), an interval shunned by medi-
aeval musicians as diabolus in musica (the devil in music). Thus, by his choice
of 729, Plato is identifying the life of a tyrant with the worst possible disso-
nance known in the musical system of his time. In fact, this kind of harmonic
metaphor pervades the whole of Plato’s Republic (see Bloom, 1968): moral
virtue is a harmony in the soul; social justice is a harmony between rulers,
guardians and workers. Add to the dissonant tritone, generated by six rising
fifths, its reciprocal, produced by six falling fifths, and one comes face to face
with that infamous discrepancy known as the Pythagorean comma: the dif-
ference between seven octaves (27) and twelve fifths (3/2)12 = 312/219 =
531441:524288 – ‘a prodigious calculation’ (Republic, 587e, see Bloom,
1968). Musically, the Pythagorean comma can be conceived as the difference
between, for example, B and C flat. Figure 8 illustrates this crucial flaw intrin-

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400 Psychology of Music 31(4)

FIGURE 8 The Pythagorean comma.

sic to Pythagorean tuning, exacerbated by Just tuning, and remedied only by


tuning in Equal Temperament (e.g. B = C flat).

Discussion
Since the 17th century, academic interest in harmonics has tended to be
restricted to specialists in acoustics and mathematics. It may now be timely,
therefore, to widen the debate to embrace a number of other fields of contem-
porary knowledge, and to speculate whether harmonics could have a contri-
bution to make to future interdisciplinary research into the evolution of
music and the human mind.
In his introduction to McClain (1976), Professor Siegmund Levarie
describes this book as ‘an intellectual breakthrough of the utmost signifi-
cance’. But he also recognizes realistically that the author’s interdisciplinary
approach is unlikely to earn the immediate support of academic experts ‘who
have become too specialized to view the whole rather than the detail’.
McClain (1978) applies his findings to the specific field of Plato’s dialogues.
Building on the work of Brumbaugh (1954), who had examined every refer-
ence to mathematics in Plato, McClain analyses Plato’s references to music in
the light of harmonics, and attempts to reconstruct the actual numbers and
number sets underlying Plato’s musical and mathematical allegories.
However, the comments on music in the notes of most modern translations of
Plato still remain disappointingly unenlightening. One can only speculate
over the reasons for this. Has McClain’s work been judged and found want-
ing, sidelined by prejudice, or simply escaped notice? In so far as McClain is
right in believing that harmonics was a protoscience, governing not only the
musical tuning systems but also the astronomy, calendars, temple construc-
tion and myths of several ancient cultures, then ignorance of it, or indiffer-

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Crickmore: A re-valuation of the ancient science of harmonics 401

ence to it, can only serve as an obstacle to the advancement of research into
the evolution of music and the human mind.
The relevance of harmonics to three groups of professionals whose work is of
particular interest to readers of Psychology of Music warrants specific comment.

(1) PERFORMERS
During the last 50 years, the revival of interest in early music and its authen-
tic performance on period instruments has given rise to the rediscovery, study
and practical use of a range of historic tunings. For performers, however, the
theoretical side of harmonics is always subordinate to musical instinct. The
exact tunings they use (especially singers and string players) are determined
by their ears rather than by mathematical calculation. To pitch a note with
the voice or to tune an instrument is as much an art as a science. This has
probably always been so. Although Plato, an idealist, insisted that tuning the-
ory should be studied exclusively in mathematical terms, Aristoxenus,
Aristotle’s pupil, known as ‘the musician’, held that the final arbiter must be
the ear.

(2) MUSIC PSYCHOLOGISTS


The ethnomusicologist, Elizabeth Tolbert (2001) and music psychologist, Ian
Cross (2001) discuss various theories of the evolution of music and the
human mind. Both authors make comparisons between the evolution of
music and that of language, but neither refers explicitly to the relationship
between tone and number, or to the evolution of mathematics. Cross, how-
ever, reflecting on the archaeological evidence for musical behaviours in
Upper Palaeolithic times, reports the existence of flint tools capable of pro-
ducing ‘extraordinarily clearly pitched and resonant notes’ (2001: 101).
Questions such as whether further study of the tuning of these and other
lithophones and ancient auloi might provide some indication of how far back
in time the musical tetractys can be traced, or how early superparticular
ratios were used in musical tuning, require continuing research. Such
investigation is likely to call for the expertise of historians of mathematics
and science as well as archaeologists. Since the human ear is the only
sense organ which recognizes cyclic repetition such as the musical octave, it
seems plausible that music may have played a more significant part than is
generally realized in the evolution of the human mind.

(3) MUSIC EDUCATORS


Music in the National Curriculum in England (HMSO, 1992), the original speci-
fication for music as a foundation subject at Key Stages 1–3, comprises two
Attainment Targets: Performing and composing; Listening and appraising.
Those responsible for devising this music curriculum might be puzzled, if not
irritated, by the following comment from Boethius (see Bower, 1989: 50):
‘How much nobler, then, is the study of music as a rational discipline than as

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402 Psychology of Music 31(4)

composition and performance.’ There is, of course, no necessary correspon-


dence between the ancient and modern concepts of performers, composers
and listeners. In every age, good instrumental practice combines manual
skills and musical judgement.
Appendix IV of McClain (1978, cf. McClain, 1970) describes how to tune a
monochord with minimum arithmetic complexity by folding a strip of paper
of exactly the same length as the sounding portion of the string. There follow
exercises to tune scales in Pythagorean and Just tuning and in Equal
Temperament. An imaginative team of teachers might construct a mono-
chord and develop a project from this material. The ear’s problems could then
be demonstrated to the eye. Pupils might experience how musical tempera-
ment is always a compromise between conflicting claims, and achieve a
greater insight into both music and mathematics than they would from the
teaching of each of these disciplines separately. For Plato, education in music
– by which he meant harmonics – was ‘most sovereign’ (Republic, 401d, see
Bloom, 1968).

REFERENCES

Barbera, A. (1991) The Euclidian Division of the Canon: Greek and Latin Sources. Lincoln,
NE: University of Nebraska Press.
Bloom, A. (1968) The Republic of Plato, translated with notes and an interpretative
essay by A. Bloom. New York: Basic Books.
Bower, C.M. (1989) Fundamentals of Music, translation from Anicius Manlius
Severinus Boethius. New Haven, CT: Yale University Press.
Brumbaugh, R.S. (1954) Plato’s Mathematical Imagination. Bloomington: Indiana
University Press (Millwood: Kraus Reprint, 1977).
Cross, I. (2001) ‘Music, Mind and Evolution’, Psychology of Music 29(1): 95–102.
Godwin, J. (1986) Music, Mysticism and Magic: A Sourcebook. London: Routledge and
Kegan Paul.
Godwin, J. (1993) The Harmony of the Spheres: A Sourcebook of the Pythagorean
Tradition in Music. Rochester, VT: Inner Traditions International.
HMSO (Her Majesty’s Stationery Office) (1992) Music in the National Curriculum
(England). London: Department of Education and Science.
Lee, D. (1977[1965]) Timaeus and Critias, translation from Plato. London: Penguin.
Levin, F.R. (1994) The Manual of Harmonics of Nicomachus the Pythagorean, transla-
tion and Commentary. Grand Rapids, MN: Phanes Press.
McClain, E.G. (1970) ‘Pythagorean Paper Folding: A Study in Tuning and
Temperament’, The Mathematics Teacher 63(3), March.
McClain, E.G. (1976) The Myth of Invariance. York Beach, ME: Nicolas-Hays.
McClain, E.G. (1978) The Pythagorean Plato. York Beach, ME: Nicolas-Hays.
Saunders, T.J. (1970) Plato. The Laws, translated with an introduction by T.J.
Saunders. London: Penguin.
Solomon, J. (2000) Ptolemy Harmonics: Translation and Commentary. Leiden: Brill.
Tolbert, E. (2001) ‘Music and Meaning: An Evolutionary Story’, Psychology of Music
29(1): 84–94.

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Crickmore: A re-valuation of the ancient science of harmonics 403

L E O N C R I C K M O R E was born in 1932 and was educated at King’s College, Cambridge


and the University of Birmingham. After working in further education, he became
Dean of the Faculty of Arts at the North East London Polytechnic (1973). He served
as HM Inspector of Schools (1978–86) and as HM Staff Inspector of Music
(1986–92). He was awarded an honorary fellowship of the Royal Scottish Academy of
Music and Drama in 1997. He has published church music and various papers on
musicology, psychology and philosophy.
Address: 13 Great Footway, Langton Green, Tunbridge Wells, Kent TN3 0DT, UK.

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