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research-article2015
QHRXXX10.1177/1049732315617444Qualitative Health ResearchMalterud et al.

Innovative Methods
Qualitative Health Research

Sample Size in Qualitative Interview


2016, Vol. 26(13) 1753­–1760
© The Author(s) 2015
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DOI: 10.1177/1049732315617444
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Kirsti Malterud1,2,3, Volkert Dirk Siersma1,


and Ann Dorrit Guassora1

Abstract
Sample sizes must be ascertained in qualitative studies like in quantitative studies but not by the same means.
The prevailing concept for sample size in qualitative studies is “saturation.” Saturation is closely tied to a specific
methodology, and the term is inconsistently applied. We propose the concept “information power” to guide adequate
sample size for qualitative studies. Information power indicates that the more information the sample holds, relevant
for the actual study, the lower amount of participants is needed. We suggest that the size of a sample with sufficient
information power depends on (a) the aim of the study, (b) sample specificity, (c) use of established theory, (d) quality
of dialogue, and (e) analysis strategy. We present a model where these elements of information and their relevant
dimensions are related to information power. Application of this model in the planning and during data collection of
a qualitative study is discussed.

Keywords
sample size; participants; methodology; saturation; information power; qualitative

Background approaches, without any explanation of how the concept


should be understood in this non-GT context and how it
Qualitative researchers need tools to evaluate sample size serves to justify the number of participants.
first while planning a study, then during the research pro- A commonly stated principle for determining sample
cess to appraise sample size continuously, and finally to size in a qualitative study is that N should be sufficiently
ascertain whether the sample size is adequate for analysis large and varied to elucidate the aims of the study (Kuzel,
and final publication (Guest, Bunce, & Johnson, 2006; 1999; Marshall, 1996; Patton, 2015). However, this prin-
Morse, 1995; Sandelowski, 1995). In quantitative stud- ciple provides no guidance for planning, although experi-
ies, power calculations determines which sample size (N) enced researchers seem to follow their own rules of thumb
is necessary to demonstrate effects of a certain magnitude about approximate numbers of units that were needed in
from an intervention. For qualitative interview studies, no previous comparable studies to arrive at a responsible anal-
similar standards for assessment of sample size exist. ysis (Mason, 2010).
Reviews indicate that qualitative researchers demon- The authors of the present article have extensive expe-
strate a low level of transparency regarding sample sizes rience from planning, conducting, publishing, and super-
and the underlying arguments for these (Carlsen & vising qualitative as well as quantitative studies, and we
Glenton, 2011; Mason, 2010). Often, the authors just share a concern for methodology across research meth-
claim that saturation was achieved, inferring that addition ods. We agree with Mason (2010) that qualitative
of more participants did not add anything to the analysis, researchers should try hard to make our methods as robust
without specifying their understanding of how saturation and defensible as possible, aiming for intersubjectivity on
has been assessed. The saturation concept was originally
coined by Glaser and Strauss (1999) as a specific element 1
University of Copenhagen, Copenhagen, Denmark
of constant comparison in Grounded Theory (GT) analy- 2
Uni Research Health, Bergen, Norway
sis. Within the GT framework, sample size is appraised as 3
University of Bergen, Bergen, Norway
an element of the ongoing analysis where every new obser-
Corresponding Author:
vation is compared with previous analysis to identify simi- Kirsti Malterud, Research Unit for General Practice, Uni Research
larities and differences. The saturation concept is, however, Health, Kalfarveien 31, N-5018 Bergen, Norway.
again and again claimed in studies based on other analytic Email: Kirsti.malterud@gmail.com
1754 Qualitative Health Research 26(13)

why and how decisions regarding design, sampling, and for health professionals. The aim of the present subproj-
analysis are taken (Malterud, 2001). We shared the pre- ect was to explore self-care among patients with diabetic
conception that an approximation of sample size is neces- foot ulcers by describing activities performed by patients
sary for planning, while the adequacy of the final sample to treat the ulcers and their motivation for doing so. The
size must be continuously evaluated during the research PhD student was a young MD who already had some
process. Reviewing principles of sample size in qualita- experience with qualitative research from a previous
tive studies, we shall below argue that sample size cannot project where descriptive cross-case analysis had been
be predicted by formulae or by perceived redundancy. conducted. Participants would be recruited among
Tools to guide sample size should not rely on proce- patients in a diabetes out-patient clinic who had recently
dures from a specific analysis method, but rest on shared been diagnosed with their first ulcer. Further sampling
methodological principles for estimating an adequate strategies and criteria would be informed by stepwise
number of units, events, or participants. For this purpose, analysis along with data collection by means of semi-
we propose the concept information power. The larger structured individual interviews.
information power the sample holds, the lower N is When to stop recruitment during this process would
needed, and vice versa. In this article, we shall concen- not be a simple decision for the novice researcher. The
trate on information power applied in the context of qual- grant proposal requested an advance estimate of the
itative interview studies. number of interviews to plan how many participants
The aim of this article is to present and discuss a prag- were needed to elucidate the aim of the study and to
matic model for assessment of sample size in qualitative get an idea of how much time the data collection would
studies, reflecting on how the information power needed require. From previous research, her supervisor had
for a specific study can be achieved. some ideas about the number of participants needed for
this project. The student would, however, prefer to
plan her study and make her decisions on the basis of
Method
some standards about how many participants she
We have developed and elaborated the model inductively. would need to conduct a responsible analysis. Below,
First, we sketched a case presented as a fictional study. This we present the model we developed as a tool to appraise
study has neither been planned nor conducted but served as sample size by appraisal of five major items that in dif-
a specific reference for our discussions and elaborations. ferent ways determine the information power of the
Then, we took this case as our point of departure for a sample.
review of conditions we considered to have an impact on
information power and sample size in this specific study.
Finally, we conceptualized the items and their dimensions Items Having an Impact on
as a model, intended to be transferable to interview studies Information Power
beyond the particular context of the fictional study. Reviewing alternative choices of design and method for
We conducted the process as a pragmatic focus group the fictional interview study, we identified five items that
conversation between the authors, taking our shared along different dimensions have an impact on the infor-
experiences as a point of departure for constructing the mation power of the sample: (a) study aim, (b) sample
case. Our ongoing discussions functioned as analysis, specificity, (c) use of established theory, (d) quality of
identifying and bit by bit prioritizing the most important dialogue, and (e) analysis strategy. Below, we present
items having an impact on sample size from a logical these items and their dimensions separately and system-
point of view. A parallel discussion concerned the con- atically. In real life, however, the items are related and
cept “information power.” The process was supported by have a mutual impact on each other.
available literature about the current state of the art
regarding sample size in qualitative studies as well as lit-
erature discussing weaknesses in these standards. Below, Study Aim—Narrow or Broad?
we shall present and discuss the model. Information power, guiding adequate sample size is
related to the study aim. A broad study aim requires a
The Case: Planning an Interview larger sample than a narrow aim to offer sufficient infor-
Study on Diabetic Foot Ulcer mation power, because the phenomenon under study is
more comprehensive. A study aiming to explore how
Experiences patients with their first diabetic foot ulcer manage shift of
We situated the case as the first of three subprojects of a bandages would need notably fewer participants than a
PhD study where the overall objective was to contribute study about how patients with foot ulcer generally man-
to theories of self-care and to describe patients’ practices age self-care in everyday life.
Malterud et al. 1755

In our case, the researcher would have to choose Established Theory—Applied or Not?
between extending the number of participants by recruit-
ing a larger, purposive sample, or narrowing the aim of the Furthermore, information power, guiding adequate sam-
study to maintain sufficient information power. If, how- ple size is related to the level of theoretical background of
ever, the aim of the study concerns a very specific or rare the study. A study supported by limited theoretical per-
experience, such as self-care among blind patients with spectives would usually require a larger sample to offer
diabetic foot ulcers, this would in itself limit the number sufficient information power than a study that applies
of eligible participants. An alternative emphasis of the specific theories for planning and analysis. Theories from
study could be to explore how individual resources inter- social science about the authority that professionals exer-
fere with self-care of diabetic foot ulcers. If so, a study cise might, for example, enhance the information power
based on interviews with one single or just a few partici- of our study about self-care experiences with diabetic
pants might provide access to exciting hypotheses from a foot ulcers. New knowledge, even from a rather small
high level of information power. Defining the aim of the sample, might be obtained by looking for strategies used
interview study, the researcher also offers some promises by patients to counter professional authority intended to
regarding transferability of the findings. The information make them perform specific self-care. Theory serves to
power of the sample will be critical to achieve the aim. synthesize existing knowledge as well as extending the
sources of knowledge beyond the empirical interview
data. On the contrary, another study starting from scratch
Sample Specificity—Dense or Sparse? with no theoretical background must establish its own
Information power is also related to the specificity of foundation for grounding the conclusions. If so, a larger
experiences, knowledge, or properties among the partici- sample size would probably be needed to grant sufficient
pants included in the sample. To offer sufficient informa- information power. Theoretical frameworks offer models
tion power, a less extensive sample is needed with and concepts that may explain relations between different
participants holding characteristics that are highly spe- aspects of the empirical data in a coherent way. Empirical
cific for the study aim compared with a sample contain- studies with very small numbers can make a difference if
ing participants of sparse specificity. Specificity concerns they address and elucidate something crucial to theory.
here participants who belong to the specified target group
while also exhibiting some variation within the experi- Quality of Dialogue—Strong or Weak?
ences to be explored.
A sample including individuals from the target group Information power is also related to the quality of the
holding experiences not previously described could also interview dialogue. A study with strong and clear com-
enhance information power. Knowing that self-care is munication between researcher and participants requires
limited by patient resources, we could, for example, aim fewer participants to offer sufficient information power
for an especially specific sample identified by discussions than a study with ambiguous or unfocused dialogues. In a
with the nurses at the diabetic clinic including variations qualitative study, empirical data are co-constructed by
of both success in handling ulcers and some variation in complex interaction between researcher and participant,
age, gender, and type of diabetes. If we do not constrain and a number of issues determine the quality of the com-
recruitment procedures to include only patients with foot munication from which the information power is estab-
ulcers, a much larger number of participants would be lished. Analytic value of the empirical data depends on
needed to cover those whose experiences we study. the skills of the interviewer, the articulateness of the par-
Still, a purposive sample, established with specific ticipant, and the chemistry between them, and it is diffi-
aspects of variation in mind, is not always feasible. The cult to predict the quality of the dialogue in advance.
strategy of convenience sampling, accepting participants In our study, the PhD student holds more than average
who are available, without trying to influence the configu- background knowledge about diabetic foot ulcers,
ration of the sample, implies the risk of more limited speci- because she has been a consultant for the home nursing
ficity, thereby requiring more participants. Following such service in her area within this field the last 2 years. For
a recruitment strategy, we would probably need more inter- her, the interviews would not be her first encounter with
views and participants to obtain a sufficiently broad scope the subject area, and she would easily approach the par-
of activities performed by patients to treat the ulcers and ticipants’ self-care practices. However, by nature, she is
their underlying motivations. However, we might be rather shy, and it takes her some time to establish trust
fortunate and drop into a group of participants with a diver- and report. It might therefore be necessary for her to
sity of experiences. Hence, sample specificity cannot obtain some extra interview training in advance, or to
always be predicted but can be supported by suitable increase sample size. Her more experienced supervisor,
recruitment. well read in diabetes complications, and an experienced
1756 Qualitative Health Research 26(13)

interviewer, used six interviews to establish a sample


with adequate information power for an analysis that
could contribute to existing knowledge in her previous
project. An interview interaction with tensions and con-
flicting views may reduce the confidence needed to talk
about intimate details. However, a researcher who never
challenges his or her participant runs the risk of develop-
ing empirical data holding low information power, which,
during analysis, only reproduces what is known from
before.

Analysis Strategy—Case or Cross-Case?


Finally, information power is related to the strategy cho-
sen for analysis in the specific project. An exploratory
cross-case analysis requires more participants to offer
sufficient information power compared with a project
heading for in-depth analysis of narratives or discourse
details from a few, selected participants. In this project, a
thematic cross-case analysis will be conducted, because Figure 1. Information power—Items and dimensions.
we want to uncover realistic and pragmatic descriptions
of customary self-care practices and their foundations as According to the model, considerations about study
a contribution applicable in clinical practice (Malterud, aim, sample specificity, theoretical background, quality
2012). Referring to the supervisor’s experience, a purpo- of dialogue, and strategy for analysis should determine
sive sample of six to 10 participants with diverse experi- whether sufficient information power will be obtained
ences might therefore provide sufficient information with less or more participants included in the sample. A
power for descriptions of different self-care practices study will need the least amount of participants when the
teaching health professionals some useful lessons. study aim is narrow, if the combination of participants is
Within an exploratory analysis, the ambition is not to highly specific for the study aim, if it is supported by
cover the whole range of phenomena, but to present established theory, if the interview dialogue is strong, and
selected patterns relevant for the study aim. A single, if the analysis includes longitudinal in-depth exploration
deliberately chosen and well-articulated participant might of narratives or discourse details. A study will need a
illustrate a typical case but not demonstrate variations in larger number of participants when the study aim is
self-care. Two participants with diametrically opposite broad, if the combination of participants is less specific
habits might illustrate different aspects of a continuum for the research question, if it is not theoretically informed,
but would not be sufficient to embrace discrepancies if the interview dialogue is weak, and if cross-case analy-
deviating from the main line. Fifty participants might sis is conducted, especially if the aim is to cover the
provide all the sufficient variations as well as deviances broadest possible range of variations of the phenomena
regarding the actual practices. However, the overview of studied.
empirical data, needed as the point of departure for an The dynamic interaction between the different items
accountable, thematic analysis of potentially relevant included in the model involves a trade-off between condi-
patterns, would become difficult to grasp, to present tions that require more versus fewer participants in a
appropriate intersubjectivity, and to organize for further sample. For example, an experienced researcher who
analysis. expresses a narrow aim and achieves an excellent inter-
view dialogue may be able to conduct a cross-case analy-
Information Power in Qualitative sis with sufficient variation of results even with a small
sample. However, a novice researcher with limited theo-
Interview Studies—The Model
retical knowledge may need a larger group of participants
From our reflections above, we have conceptualized the to reveal something new although the aim is well-focused
items and their dimensions as a model intended as a tool and the interview dialogues are good.
to appraise sample size in qualitative interview studies in Our model is not intended as a checklist to calculate N
general (Figure 1). The model can be used to reflect sys- but is meant as a recommendation of what to consider
tematically on items with an impact on the information systematically about recruitment at different steps of the
power in the actual study. research process. An initial appraisal of the number of
Malterud et al. 1757

informants needed in our case should consider the fact information as possible with the least number of partici-
that the researcher is a novice researcher. Her personal pants, selected at random. We do not repudiate the exis-
shyness affects her ability to establish a good dialogue tence of settings where such assumptions might be
(more participants). Her study is, however, theoretically adequate. Most often, however, they will be violated in a
founded, and she has thorough experience with the qualitative study. Participants are selected purposively as
empirical matters in question (less participants). She is to provide the most information, and information will
heading for cross-case analysis requiring more partici- simply not exist, but is elaborated by the researcher, sup-
pants, and the aim of her study is neither especially broad ported by the theory applied (Kvale, 1996; Patton, 2015;
nor narrow. Because nurses will help her select partici- Sandelowski, 1995).
pants with characteristics specific to her study, the need A straightjacket of untenable assumptions may harm
for participants will be smaller. Finally, her experienced the research process (Bacchetti, 2010). McWhinney urged
research supervisor conducted a similar study last year, medical researchers to focus more on particularities, not
with thick data from six successful interviews. Based on only universals (McWhinney, 1989), and Sandelowski
these considerations, a provisional number of 10 partici- argued that the case study (N = 1) is the basic unit of anal-
pants could be an example of a cautious initial appraisal ysis in any qualitative study, independent of the amount of
for our case. empirical data (Sandelowski, 1996). In qualitative
Appraisal of information power should be repeated research, belonging to the interpretative paradigm, the
along the process, supported by preliminary analysis. logic of exploration is more emphasized than the logic of
After the first three interviews, a first review of the data justification, and other assumptions for sampling are usu-
can be done and first suggestions of relevant theory can ally more adequate than what can possibly be predicted or
be made. In our case, it appears that some patients do not calculated (Kuhn, 1962; Malterud, 2001; Marshall, 1996;
want to participate and that it might not be possible to Sandelowski, 1996).
achieve as much variation of self-care as expected. Due We have presented a pragmatic model for appraisal of
to some extra interview training and extensive reading, sample size in qualitative interview studies. Our model
the researcher manages to make good report and steer the offers a manageable strategy where the principal assump-
dialogue well. The interviews conducted so far have a tions have been explicated for implementation and can be
high relevance for the research question. Initial analytic contested for methodological elaboration. Below, we
ideas have emerged at this point and are helpful in mak- shall discuss the strengths and limitations of this model
ing the aim of the study more accurate, and some infor- and compare it with current leading standards regarding
mation seems promising in terms of adding new sample size in qualitative studies.
knowledge to the field. At this point, the attained and pro-
jected information power appears to be unexpectedly
The Model—Strengths and Limitations
strong, and the number of participants needed may be
adjusted downward. This assessment will have to be con- Information power is the core concept of our model. We
sidered again before closing data collection. have argued that information power of an interview sam-
Besides the use of conducting own research projects, ple is determined by items such as study aim, sample
our model may be used to evaluate empirical data from specificity, use of established theory, quality of dialogue,
other researchers, if the five items included in the model and analysis strategy. For each of these items, we have
can be derived from study reports. We therefore encour- proposed dimensions along a continuum where research-
age fellow researchers to present some reflections on ers are invited to position themselves and their study to
information power in their publications. assess an approximate number of participants needed for
responsible analysis. We argue that such an assessment
should be stepwise revisited along the research process
Discussion and not definitely decided in advance. In this way, recruit-
ment can be brought to an end when the sample holds
The Logic of Particularities sufficient information power. Still, the model may offer
Formal power calculations have been proposed as an support also in the initial planning of a qualitative inter-
alternative to informal, heuristic rules of thumb in quali- view study.
tative studies for appraisal of sample size (DePaulo, The five items we have included in our model are nei-
2000; Guest et al., 2006). The basic principle behind such ther mutually exclusive nor the only conceivable determinants
attempts assumes a population where a set of information of information power. A common denominator is that explora-
(such as self-care methods for management of diabetic tion of a comprehensive phenomenon requires data with
foot ulcers) of some sort is available, each with different appropriate variation regarding some selected qualities.
prevalence, and the aim is to identify as much of this However, a pragmatic model intended for implementation
1758 Qualitative Health Research 26(13)

calls for prioritization. Following the inductive develop- not tied to development of theory or theoretical sampling,
ment path we have described, we therefore decided to which are specific procedures of GT. The most notable
include a limited and feasible amount of vital compatible advantages of our model are therefore perhaps the addi-
items whose dimensions with an impact for information tion of the relevance of established theory applied in a
power could be easily identified, appraised, and presented. study, furthermore that the model considers types of anal-
On a list of potential items to be included in the model, ysis beyond cross-case analysis.
we have omitted the recruitment issue, which actually The best qualitative analysis is conducted from empir-
raises a paradox. When recruitment is easy, the researcher ical data containing abundant and various accounts of
is at liberty to select a relevant and purposive sample and new aspects of the phenomenon we intend to explore
thereby reduce the number of participants. However, if (Morse, 1991, 2015a; Patton, 2015). The sample should
only a few among many potential participants volunteer, be neither too small nor too large (Kvale, 1996;
the specificity of the sample may be jeopardized and Sandelowski, 1995). In our experience, reviewers often
thereby increase the number of participants necessary. If seem to be more concerned with samples being too small
so, information power may be enhanced by considering than being too large, instead of appraising the outcome of
the reasons for the declines. Simple changes in proce- analysis from these particular interviews. We would warn
dure, such as interviewing at home instead of in the clinic, against methodological ideologies or strategies unreflect-
may remove these obstacles and contribute to a sample edly leading to too large samples (Chamberlain, 2000).
where fewer participants are needed. The five items do By initial and consecutive assessment of information
not have universal importance, and their relative impor- power, the researcher may avoid waste of time and
tance may therefore change from project to project and resources for collection of unnecessary data, elaboration
over the course of a research process. of information that is not relevant for the aim of the study,
To make the model simple and readily understood, we and lack of overview needed for a thorough analysis. Our
chose to develop it for the context of individual interview model indicates that this can be obtained even with a
studies, where the question of sample size usually refers sample of rather few participants, provided that the infor-
to the number of participants. The sample size concept is mation power is sufficient.
more ambiguous when it comes to other qualitative
research designs, such as focus group studies (number of
groups, number of participant, or number of interviews),
Should “Saturation” Be Replaced by
observational studies (number of events to be recorded, “Information Power?”
number of people to be included, number of sites to visit), Saturation is often mentioned as a criterion for sample
or studies with data from written sources (pages of text, size in qualitative studies (Morse, 1995). The concept has
number of documents, number of organizations). been presented as an element of the constant comparative
method, which is a central element of GT, intended to
Something Old, Something New, Something generate theories from empirical data (Glaser & Strauss,
1999). During data collection, the researcher compares
Borrowed, Something Blue . . . sequentially added events until exhaustive saturation of
The information power concept and the items it com- properties of categories and of relations among them is
prises share some features with existing concepts and obtained (Charmaz, 2006). Furthermore, theoretical sam-
ideas within qualitative methodology. In our model, spec- pling based on preliminary theory developed in the study
ificity covers issues usually discussed as matters of sam- is required for saturation in a GT analysis to finally arrive
pling (Patton, 2015). The role of aim in our model with at saturation. Saturation occurs when the researcher no
regard to sample size has also been discussed by Morse longer receives information that adds to the theory that
(2000), and it is likewise related to Patton’s discussion of has been developed.
trade-offs between breadth and depth in a study (Patton, These procedures are, however, not part of all qualita-
2015). tive studies, and O’Reilly and Parker (2013) argue that
The dialogue item in our model shares some features adopting saturation as a generic quality marker is inap-
with Spradley’s notion of “good informants” (Spradley, propriate. Although GT has clear guidance about what
1979), which is discussed as an aspect of adequacy by constitutes theoretical saturation, the meaning of satura-
sampling (Morse, 1991, 2000, 2015b). Our model differs, tion within other qualitative approaches is not clear.
however, in that we emphasize the quality of the dialogue Authors claiming saturation are not always transparent
rather than the nature of the topic, although these dimen- about how it has been achieved (Morse, 2015a), and sev-
sions both cover the accessibility of the data. Adequacy, eral studies are actually not compatible with the satura-
as discussed by Morse, concerns the sufficiency and qual- tion concept of GT. Reviews reveal that the concept is
ity of data. Unlike the concept of adequacy, our model is often poorly specified and definitely not corresponding
Malterud et al. 1759

with the original meaning of saturation from GT (Carlsen Implications for Research Practice
& Glenton, 2011).
For an exploratory study, we do not head for a com- Qualitative interview studies may benefit from sampling
plete description of all aspects of the phenomenon we strategies by shifting attention from numerical input of
study. We are usually satisfied when a study offers new participants to the contribution of new knowledge from
insights that contribute substantially to or challenge cur- the analysis. Information power indicates that the more
rent understandings. Furthermore, the epistemological information the sample holds, relevant for the actual
anticipation of GT that exhaustive sampling of a definite study, the lower number of participants is needed. An ini-
set of variations can be obtained and covered by satura- tial approximation of sample size is necessary for plan-
tion is not the theory of science at the heart of most quali- ning, while the adequacy of the final sample size must be
tative research (Malterud, 2012). To be sure, Morse evaluated continuously during the research process. The
rejects such an understanding of saturation, spelling out results presented in the final publication will demonstrate
characteristics within categories as the domain to be satu- whether actual sample held adequate information power
rated (Morse, 2015a). to develop new knowledge, referring to the aim of the
We consider Morse’s accuracy on this point as rather study at hand.
unusual among qualitative researchers, who more often
refers to “heard it all” (Morse, 2015a). Research with Declaration of Conflicting Interests
social constructivist roots, where knowledge is consid- The authors declared no potential conflicts of interest with
ered partial, intermediate, and dependent of the situated respect to the research, authorship, and/or publication of this
view of the researcher, does not support an idea that article.
qualitative studies ideally should comprise a “total”
amount of facts (Alvesson & Sköldberg, 2009; Haraway, Funding
1991). There are differences in how various approaches The authors received no financial support for the research,
frame research questions, sample participants, and col- authorship, and/or publication of this article.
lect data to achieve richness and depth of analysis.
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