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Matchprint Virtual Proof:
Technical White Paper

Introduction

    This white paper describes characteristics and system level requirements to achieve accurate remote viewing of subtractive CMYK images on RGB displays. When implemented successfully, this process is called virtual proofing.

    Though our goal is to explain the virtual proofing process as straightforwardly as possible, this white paper is intended primarily for individuals having a solid understanding of color management and process control within the print production

Remote Hard Copy Proofing, Soft Proofing and Virtual Proofing

    CMYK color proofing is traditionally achieved and communicated through a hard copy proof. Publishers, ad agencies, corporate clients and others verify and approve hard copy proofs before going into production. Hard copy proofs must be physically transported from the pre-press service provider to the client - a step costing irrecoverable time. If color-critical proofing could be achieved electronically (essentially eliminating proof transportation time), the proof to print cycle could be significantly simplified and shortened.

    Some electronic methods for remote transmission of images currently exist, but they do not achieve the critical requirement of acceptable color proofing. Remote hard copy proofing and soft proofing are two examples:

    Remote hard copy proofing (sending a print electronically, for hard copy printing at a destination) has been tried over the years. This concept is attractive in theory, but in practice is difficult and generally undependable due to the uncertainties of the output devices. For example, the person initiating and transmitting the digital file has no idea if the output device on the other end is calibrated or if correct colorants or media are loaded.

    Soft proofing (RGB display) is used today for non-color critical applications. The most common form of this is to e-mail a PDF (Portable Document Format) file. When viewed with standard software products, such as Adobe® Acrobat®, the resulting soft proof yields information on position, geometry, layout, fonts, etc., but cannot be trusted with respect to color.

    Virtual proofing is the process created by Kodak Polychrome Graphics (KPG) that combines the speed and ease of use offered by PDF files with the added assurance of accurate CMYK color rendition. The result of KPG’s research and development to achieve virtual proofing is the topic of this technical white paper.

    Many integrated, high-performance components, both hardware and software, are required to successfully achieve virtual proofing of CMYK images. Systems already exist that exhibit a portion of the required performance requirements. However, virtual proofing requires substantial enhancements and additions to these existing components and systems. KPG Matchprint Virtual Proofing System is one of the few technologies that has received strong affirmation from all segments of the print production workflow – ad agencies, trade shops, publishers, and printers.

Existing Approaches for Color on Displays

    KPG RealTimeProof® System

    This system is specifically designed to practice soft proofing. Users upload native CMYK file formats such as PostScript, PDF, CT/LW, TIFF-IT and others. The remote server processes these files into high resolution CMYK bitmaps which are then converted to a standard RGB color space. Users at remote locations employ standard Internet browsers (e.g., Netscape Navigator or Microsoft Internet Explorer) to view thumbnail displays of the processed images, which are organized in folders similar to those used on Macintosh® and Windows®-based systems.

    The remote server enables the user to view image areas rapidly by compressing and transmitting only the data needed for on-screen viewing (“pixels on demand”). At the local level, conversion can be enabled from standard RGB to the local RGB of the system using the standard Apple ColorSync® protocol on a Macintosh-based system. Annotations, mark-ups and comments from the viewer are password enabled and archived as metadata with the image file at the server.

    Portable Document Format (PDF)

    The simplest means to view images and perform annotations is Adobe Acrobat PDF features. The mechanism used for annotations of PDF files is considered adequate (in terms of encryption and authentication) to be considered on par with a hard copy signature.

    Neither KPG RealTimeProof nor PDF image viewing with Adobe Acrobat approaches claim to offer color-critical proofing. In order to achieve that increased performance, new components and processes must be added.

    Soft proofing, even in a local, controlled environment has had only modest success, often achieved only with significant investment in consultants who are expert in color management tools. Limitations of current display hardware and calibration technology are central to the overall problem.

Monitors: CRT vs. LCD

    Current RGB display technologies fall broadly within two categories: CRT and LCD. While suited for general purpose computing applications, the vast majority of either CRT or LCD displays are not suitable for critical color viewing.

    CRT (cathode ray tube) is a specialized vacuum tube (e.g., the “picture tube” in television sets) in which images are produced by an electron beam striking a phosphorescent surface. Most desktop computer monitors still use CRTs, though the fraction of LCD monitors is continually increasing.

      Pros: CRT displays are a mature technology. They have sufficient color gamut, stable color properties, good uniformity across the monitor (top/down/left/right), smooth, analog voltage-based reproduction behavior, and little change in color appearance when images are viewed from an angle.

      Cons: CRT monitors have limited brightness (typically 95 Candelas/m2 as compared to light booths which can be 600 Candelas/m2), resolution is limited to ~100 dpi, they’re heavy with a significant footprint and there is limited correlation between measured reflective colors on paper with the “same” color displayed on the CRT.

    LCD (liquid crystal display) is the technology used for displays in notebook / laptop computers and a growing share of desktop installations as well. In contrast to CRTs, an LCD display is a subtractive color device, starting with a “white” backlight (typically fluorescent) and subtracting red, green and blue with electrically controlled variable filters.

      Pros: LCD monitors are capable of much higher intensity (up to 250 Candelas/m2), they have higher contrast ratios than CRT (500:1 or more versus 200:1), better visual correlation of colors on reflective media with those displayed on the LCD, acceptable gamut for simulating CMYK and up to 200 dpi resolution.

      Cons: LCD is a newer technology. Even the best displays typically exhibit lower quality screen uniformity (top/down/left/right), and more shift in color appearance when images are viewed from angles other than directly in front. Brightness of LCD displays decays over time, typically losing 50% of original luminance in three years.

    KPG’s initial Matchprint Virtual Proofing System utilized CRT technology. CRTs used in conjunction with the inventions described in this white paper are quite satisfactory for virtual proofing overall. Recent improvements in LCD technology have enabled a comparable, LCD-based second-generation Matchprint Virtual Proofing System.

LABRGB = LABCMYK Doesn’t Match

    Current CMYK to RGB Conversion Technologies

    A key barrier to successful virtual proofing is the limitations of CMYK to RGB conversion technologies and systems currently available.

    Most CMYK profiling technologies exhibit artifacts and inaccuracies when converting to L*a*b*, RGB, or C’M’Y’K’. Higher order methods for profiling the source CMYK system are necessary for virtual proofing. An example of such a method is described in Dr. William Rozzi’s U.S. Patent 6,232,954, “Arrangement for High-Accuracy Colorimetric Characterization of Display Devices and Method…”.

    Assuming one has accurate CMYK profiling, another barrier to successful virtual proofing is the visual disparity perceived between the CMYK hard copy and the RGB image displayed. Visual testing at KPG with a number of people viewing color has confirmed the experience of skilled providers of ICC based solutions: when CRT and hard copy measured L*a*b* values agree, the visual match leaves significant room for improvement.

    The reasons for these disparities and the technical solutions for them are described here.

Stability and Calibration Methods are Less than Optimal

    Current display calibration technologies

    KPG’s laboratory evaluation of existing high-end, calibrated display systems indicated a maximum error of ~2 delta E from target with a typical error of 1 delta E. Although this error is considered small by some standards, our laboratory testing indicated that when the total difference between two displays is larger than approximately 1 delta E (particularly in the +/- directions of delta a* or delta b*) the visual difference is noticeable to experienced color viewers. State of the art display calibration technology prior to introduction of Matchprint Virtual Proof was not adequate to achieve sufficient display-to-display color consistency.

Barriers to Color Management

    Deficiencies in current color management architectures

    Even if a system could be devised and manufactured with accurate calibration and color management, virtual proofing requires a system level infrastructure in order to work reliably.

    Color management infrastructure today, as embodied in ColorSync (at the operating system level) and ICC support by applications such as Adobe PhotoShop (at the application level), is designed to provide a very high degree of flexibility. Files can be converted or rendered to a display device according to the needs of the user. This type of system is very powerful in the hands of a color expert performing research, but can be very risky in a workflow involving many people with varying degrees of skill in color management.

    The ultimate system for local and remote virtual proofing is one that permits wide-ranging choice and flexibility in the hands of a color expert (referred to as the administrator from here on) and enables complete control by the administrator over the entire workflow.

    The administrator should also determine the acceptable degree of risk with regards to calibration. In other words, how does the administrator have confidence or confirm that the system remains in calibration? For example, how could he or she know whether lightning struck nearby a remote site, thereby destabilizing the color properties of the virtual system? The capability to enforce calibration or system self-check is necessary to manage the risk from such an event.

Virtual Proofing: Overview of the Invention

    Hardware system architecture

    Color monitors

    Accurate, highly stable, calibrated color monitors: A true virtual proofing system requires both a very high base level of display design and performance and a calibration method for the RGB display system to ensure consistency between any two displays over the lifetime of the devices. (The word consistency means a nearly identical side-by-side or day-to-day match for any RGB image displayed.) Display to display consistency applies equally whether the displays are immediately adjacent or geographically remote from each other. In theory, this technology could be built into a display system. Acceptable display-to-display consistency has been demonstrated and is the subject of Dr. Christopher Edge’s U.S. Patent 6,775,633 entitled “Calibration Techniques for Imaging Devices”.

    The suitable display must have a high degree of color uniformity across the entire screen. A desired goal is that any measured area exhibits <1 delta E from the center in a*b* for white and any value of gray, and <2 delta E from center L*.

    An accurately calibrated system requires an accurate measurement device. Note that most low cost emissive colorimeters and spectrophotometers commonly vary from each other by +/-2 delta E or more. For some of these instruments, the device-to-device variability is much higher than the random noise of each device. Colorimeters or spectrophotometers for use in a virtual proof calibration system must be calibrated to a defined, highly reproducible standard such that the accuracy of the local measurement device relative to the standard is comparable to the error due to noise and random measurement error of the instrument . Calibrating the device to a reference standard is achieved and periodically re-confirmed through highly structured manufacturing procedures and references.

    Viewer for hard copy

    Since virtual proofing can periodically entail a side-by-side visual confirmation of colors displayed on the screen with those of CMYK hard copy proofs, an accurate illuminated viewing environment is necessary. Note that light booths historically have exhibited considerable variability with regard to color temperature, even among those indicating a standard viewing environment such as D50. However, since light booths are almost never placed side by side, this variability has not been a major issue. To a large degree, human visual perception adapts to the slight differences in color temperature and defines the current viewing condition as “white” when viewing images of snow, white lace, or other “white” back grounds.

    A challenge for successful virtual proofing is a display device which simulates both the effects of the illuminant as well as the paper and color properties of the hard copy proof. When a display is adjacent to a small light box viewer, slight differences between the systems are readily apparent. This problem is handled by selecting viewing equipment which:

    • Has uniform intensity, particularly from top to bottom,
    • Contains light bulbs or fluorescent tubes that are consistent over time and from lot to lot.

    Commercially available D50 (i.e., 5000K color temperature) fluorescent tubes from different manufacturers (or even different lots from the same supplier) can vary significantly from the design center point of 5000K. KPG evaluation has shown that narrow tolerances on these bulbs are necessary to insure color consistency among virtual proofing locations. Additionally, the illumination level in the hard copy viewing equipment must be reduced somewhat to yield an overall perceived brightness comparable to the display device. Note that color temperature or spectral characteristics cannot vary as illumination level is adjusted.

    To ensure color, appearance and contrast of CRT display images are not compromised by stray light, a viewing environment which eliminates or nearly eliminates ambient light (e.g., a kiosk enclosed by an opaque curtain or walls) is necessary. Matchprint Virtual Proof - LCD systems (by virtue of their significantly higher brightness) enable viewing under less restrictive ambient light conditions, though the user’s perception of color can be impacted by ambient or incident light.

    Standard PC, server, and network connectivity

    At a minimum, the virtual proof system requires a local PC (note that “PC” can mean either Macintosh or Windows based computers) to process the image data file and render the images on the display system. The levels of connectivity can be as follows:

    • Stand alone workstation - requires a suitable viewing environment (e.g., kiosk or subdued light area), calibrated display system, optional illuminated viewer for hard copy, and (if required) colorimetric measurement device for the viewer and PC system. All software and color control resides on the PC.
    • Interconnected workstations – essentially this includes two or more of the previously mentioned stand-alone workstations supported by some form of network infrastructure for ease of file transfer.
    • Server-based solution - multiple display systems interconnected with a server acting as the central, authoritative intermediary. In this scenario, the software components for processing files and converting color data can be distributed. The generalized conversions, including RIP’ing and conversion to standard RGB space can be best performed at the server. The non-general conversions can be performed at each local system using software in the form of a browser plug-in or native viewing client software and other local applications.

    This third example would address issues such as image enhancement or CPU-intensive image processing for a particular display device and conversion from standard RGB to local RGB for that display device.

    Software system architecture The server-based solution, which is the most complex and powerful system for remote virtual proofing, is described here. The simpler forms of this system mentioned previously would be similar in many respects, except that the core processing software would reside locally on one or more systems rather than separating software and image functions among server and clients.

    The following subsection, “Soft Proofing - Database for storing page image files and metadata,” describes the basic infrastructure of a system that implements soft proofing. This technology exists today in KPG’s line of RealTimeProof products.

    The next subsection, “Specific requirements for virtual remote proofing,” describes the enhancement, additions and modifications required to expand a soft proofing environment to achieve virtual proofing.

    Soft Proofing - Database for storing page image files and metadata

    Most image databases provide standard features such as the ability to search by various fields such as job name, image name, customer name, date, etc., as well as the ability to view thumbnail versions of each. By design, image databases generally permit metadata (e.g., annotations) or data associated with each page to be archived and retrieved easily. Both KPG’s RealTimeProof and Matchprint Virtual Proofing System products provide a professional infrastructure for the image database and access via Web browsers.

    Upload/download: For a distributed system, a simple means of transferring high-resolution image files to and from the server is required. Most databases permit metadata to be associated and transferred simultaneously with the image file itself at the time of upload. In the case of KPG’s RealTimeProof and Matchprint Virtual Proofing System, metadata are associated with the destination “folders” that can be designated as workspaces, projects, files, versions, etc. In general, the central requirement is that metadata be easily associated and retrieved.

    Page file interpreter: The local or remote system must have the means to interpret and process the necessary image file formats. Most commonly, some form of raster image processor (RIP) is incorporated into the system. Well-known examples of this are the CPSI PostScript RIP software module by Adobe Systems and the Harlequin RIP from Global Graphics. CMYK image data and vector commands are converted to a CMYK bit map (“rasterized” file). Alternatively, the image data and vector commands can be converted to CT/LW format if systems at the remote end are capable of properly interpreting and displaying files in this format.

    Processing parameters: Each file or job processed by this system must have an associated set of parameters. Some soft proofing systems allow the user to set resolution as a parameter while others allow color CMYK simulation to be set. Note that most high-end CMYK proofing systems allow both.

    Examples for setting processing parameters in soft proofing systems as well as in high-end digital proofing systems are:

    • Provide a menu of predetermined sets of parameters such as resolution, color target, etc. (e.g., output CMYK controllers for Kodak Approval and KPG Matchprint Digital Halftone) in the print window.
    • Provide a setup window for resolution for each hot folder into which files or jobs are loaded or uploaded (e.g., KPG RealTimeProof or Matchprint Virtual Proof).

    Once processing parameters are set, a means of verifying the parameters after the fact must be provided. In the case of hard copy output, it is useful to automatically provide the setup conditions on the border of the proof (often alongside a color bar or other quality checking element). In the case of files in a database or server used for soft proofing, metadata must be associated with each file to provide information on the parameters used for processing and displaying the file.

    The resulting data are compressed and transmitted from server to the remote soft proofing location. Of course, truly loss-less compression is highly desirable, but often difficult to achieve.

    Viewing of images from multiple nodes on the network: If the mechanism used to perform virtual proofing is a server-based model, then a means of viewing the image must be provided. Since general-purpose Internet browsers are not optimized to view high-resolution images, the solution provided by KPG RealTimeProof and Matchprint Virtual Proofing System is convenient and effective. This approach utilizes data compression technology to send only the necessary image data at screen resolution, which can be supplemented (essentially transparently to the viewer) from the server as users zoom in and out of a high-resolution image file.

    The value of the server-based approach is that multiple users can simultaneously access the same or different files at the same time from the same server database, even if they are geographically separated. The central server is not used to display imagery – rather all images are displayed remotely via browser and plug-in modules or native client viewing software.

    Password protected annotations: Both the KPG RealTimeProof and Adobe Acrobat systems offer the feature of password protection combined with annotations. Each participant making annotations has both a unique password and an on-screen color for the annotations performed. Each color-coded annotation has a label with the annotator’s name to identify the source of comments or image mark-ups.

    Color management: Both the KPG RealTimeProof and Adobe Acrobat systems offer a degree of color management support. The Acrobat system allows each PDF file to be tagged with a CMYK ICC profile. The Acrobat system renders each CMYK pixel to the RGB display by communicating with the color management system in the operating system (e.g., ColorSync, ICM v2.0, etc.) to determine the default local RGB display profile and to convert the CMYK data to RGB pixels by means of CMYK and local RGB profile.

    Specific requirements for remote virtual proofing

    The previous subsection, “Database for storing page image files and metadata,” describes the state of soft proofing technologies today. In many cases, soft proofing is adequate in itself without need for the additional critical color performance enabled by virtual proofing. Of course, virtual proofing encompasses all the requirements and capabilities of soft proofing, with the following additional requirements:

    Color Administrator: Each virtual proofing site should have a designated color administrator and a system administrator (who can be the same person). The color administrator must have the flexibility to adjust the unique process parameters described in the following sections (in particular, color simulation targets). Participants without administrator privileges are not able to view or change the options available to the administrator. This ensures all participants will see an image or page in the same way with the same degree of color precision.

    Selection of color target simulation: Each page, project, or group of jobs needs a designated CMYK proof simulation. The administrator for the project must choose which ICC profile is associated with the each viewed image or page.

    For remote virtual proofing using the server-based approach, KPG’s Matchprint Virtual Proofing System has added CMYK simulation (i.e., the CMYK ICC profile) as a process parameter for the job, selected by the administrator using password access. Non-administrators can view and confirm which color simulation was chosen for the job, but are not allowed to modify the choice. This arrangement ensures flexibility and the assurance of consistent color viewing among sites which can be geographically separated.

    Optimized color management for print CMYK to display RGB: The profile and CMYK to local display RGB conversion must include corrections to XYZ and is the subject of KPG’s published U.S. patent application entitled “Correction Techniques for Soft Proofing”. This patent application describes correction of XYZ data measured on displays to correlate with XYZ data measured on CMYK hard copy.

    When accurate CMYK profiling is combined with the RGB transformations described in these invention records and with accurate display calibration, critical color viewing (i.e., virtual proofing) is achieved.

    Image enhancement for screen viewing: In order to provide visual contrast and detail, RGB image data rendered on the display device should be dynamically enhanced. Because display screen resolution is usually limited to approximately 100 dpi (for both CRT and LCD monitors), image enhancement is needed to achieve appearance comparable to the corresponding hard copy proof. As a higher zoom ratio is used, less enhancement (or none) is required since the rendering of the image detail is now visually equivalent between hard copy and virtual proof.

    Control of time between calibrations: The display system (display hardware plus calibration software/hardware) must employ accurate calibration technology as described in KPG’s U.S. Patent 6,775,633 “Calibration Techniques for Imaging Devices”.

    One of the difficulties in remote hard copy proofing is the challenge of getting remote proofing devices to match each other or a common standard. There is a further challenge to enforce periodic calibration to ensure a continuing satisfactory match between multiple proofing systems.

    Matchprint Virtual Proof enforces a 24-hour calibration interval to ensure trustable, consistent color proof to proof, day to day and location to location.

    Critical color mode indicator: Systems implementing virtual proofing can also be used in an adjunct, non-color critical mode.

    An example could be an advertising agency professional who wishes to view images for content from a laptop computer while traveling. In this case, the capabilities of soft proofing (but not virtual proofing) are available from the system, though critical color viewing is missing. The browser plug-in or viewing application can recognize that critical color viewing capabilities are not currently enabled. Although images can be accessed, displayed and annotated, critical color judgments are not possible. Optimally, an indicator to advise the user that the local viewing system is not currently in critical color mode would be present. An example might be a banner or mark on or adjacent to the image being viewed. In a similar fashion, all annotations performed while the system is in non-critical color mode should indicate (for all viewers) they were made in non-color mode.

    Indicator of measurement CIELAB values: In order to relate color of virtual proof images to quality assurance and process control systems already in place, an “eye-dropper” tool that supports CIELab values is highly useful.

    The virtual proofing system described in this document would best provide an “eye-dropper” tool with the characteristics indicated below. KPG’s Matchprint Virtual Proof provides an enhanced eye-dropper tool to meet these requirements for virtual proofing:

    • Displays the original CMYK values when the tool is pointing toward a particular pixel location in the displayed image.
    • Displays an accurate prediction of the measured value of L*a*b* along with the value of CMYK. This value should be consistent with a particular color measurement device such as a Gretag SPM50 at D50 illumination, 2-degree observer and should be calculated and displayed to an accuracy of one decimal place (e.g., it should read L*a*b* = (97.5, 0.3, -0.2) rather than L*a*b* = (98, 0, 0)).

    The reason for displaying the predicted color measurement value is to permit a press operator or other user to measure a specific color to confirm whether it matches the L*a*b* color value intended in the original image file.

    Requirement for system warm-up: A final quality assurance mechanism required in a virtual proofing system is adequate warm-up time. Laboratory studies have shown that both CRT and LCD displays often emit more light and different chromatic characteristics when first switched on, but equilibrate and remain very stable for long periods of time once temperature stability is achieved.

    Consider a display set to a particular target white point value (for example, an illumination white point of D50). If the display is switched off, allowed to cool and then switched back on, brightness can typically be initially higher by 5 or more delta units in L*.

    To address this issue, the virtual proofing system must include a local startup application that detects whether the system has been shut down and rebooted. Off time can be used to determine the needed warm-up time.

    There are several ways of preventing premature use of the system using this startup application:

    • The startup application could create a time stamp file that is read by the browser or image viewer application. The viewer application would then preclude image viewing in “color critical” mode until the appropriate warm-up time has transpired.
    • The calibration application could inhibit calibration until warm-up has occurred.
    • The startup application could launch the calibration application, which can in turn alert the user that warm-up is required. The user can leave the area and return after the remaining warm-up time indicated on-screen has transpired. On returning, the user would find an on-screen prompt to follow the calibration procedure for each attached color-critical display. The system is then “good to go”. This approach is implemented in Matchprint Virtual Proof.

    One possible approach for connecting the display to the computer is to disable the on/off switch on the display itself so that is it always in the “on” state. Monitor and PC are then connected to a single power source (with the monitor connected to an auxiliary outlet on the PC).

    As an extra precaution, the startup application can run continuously in the background and periodically communicate with the display via protocols such as VESA specified DDC/CI or USB to ensure the display is in fact on and functioning.

Our Expectations of Virtual Proofing

    The virtual proofing system described in this white paper has a number of highly beneficial characteristics:

    • It renders subtractive CMYK images to an additive (in the case of CRT displays) or subtractive (LCD) RGB screen so Matchprint Virtual Proof: Technical White Paper accurately that users will feel they are viewing and interacting with a traditional hard copy proof,
    • Effects of ambient light are reduced or eliminated,
    • Color consistency between images viewed at multiple locations at multiple times is achieved,
    • Administrators determine proofing color targets for jobs viewed at multiple locations,
    • Periodic calibration if enforced before color-critical images are viewed, and
    • The system manages risk by eliminating common causes of color variability.
    With the virtual proofing characteristics described here coupled with the collaborative capabilities of soft proofing, critical-color virtual proofing becomes a reality.

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Version 3.2.1
5 October 2004