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Spectral and color prediction for arbitrary halftone
patterns: a drop-by-drop, WYSIWYG, 

“ink on display” print preview
Peter Morovič, Ján Morovič, Xavier Fariña, 

Pere Gasparin, Michel Encrenaz, Jordi Arnabat

Presented at 23rd IS&T Color and Imaging Conference, 21st October 2015, Darmstadt, Germany
Overview
• Motivation – why do we keep working on print modeling?
• Background – existing approaches & limitations
• An end-to-end print simulation approach
• Test setup
• Results & discussion
• Conclusions
Motivation
• Why?
• Digital print production: 

many short-run jobs
• Bottleneck: 

operator intervention
• Web-to-print workflows 

increase cost of manual 

overrides + greater need 

for accurate print preview 

before placing order
• To avoid re-printing
• To provide customer assurance
• Challenge: Make print preview close to final printed output as possible
• If not, decisions made on basis of preview are unreliable 

& inaccuracies further aggravate getting to right print
Lacking components
• First, accurate model of
print color formation,
applicable to technologies
like inkjet
• Ink-media interactions are
complex, highly non-linear &
not well represented by
models developed for
analog printing
• Second, framework for
applying scaling to print
preview that reflects nature
of print color formation,
instead of assuming display
color formation.
Background: print spectral & color models
• Prediction of ink overprinting: Kubelka Munk
(1931)
• Per-ink K (absorption) and S (scattering), 

derived from opacity and reflectance:
• where R∞ is reflectance of infinitely thick sample;
prediction made at wavelength λ
• Combining multiple ink layers is then 

additive in K and S:
• where B is substrate, l is number of ink layers, 

ci concentration and Ki absorption coefficient of
the i-th layer
Wang & Wang, 2007
Background: print spectral & color models
• Prediction of integrated halftone
color: Yule-Nielsen modified
Neugebauer
• Reflectance of entire halftone pattern
predicted from constituent ink dot
overlap colors:
• where R(λ) is reflectance of optically-
integrated halftone pattern
neighborhood, wj is relative area
coverage of the j-th Neugebauer
Primary – P, and n is Yule-Nielsen non-
linearity accounting for optical dot gain.
Side view
Colorants
Substrate
Appearance
W
C M Y
Neugebauer primaries
Materials
Example halftone
C M Y CMY
+ + =
NP areas
W=1/9
C=1/9
M=2/9
CM=2/9
CY=1/9
MY=1/9
CMY=1/9Colorant vector
[C,M,Y]=[5/9, 6/9,3/9]
Background: print spectral & color models
• Model summary:
• specific ways for predicting specific phenomena
• scattering, absorption, optical dot gain and optical
integration
• specific assumptions about properties of constituent
parts
• e.g., homogeneity of ink layers, interfaces, independence
of layer properties, infinite substrate thickness, etc.
• knowledge of certain component properties is a
prerequisite
• Reflectance of infinitely thick ink layers, scattering of
substrate, concentrations of inks, optical dot gain,
Neugebauer Primary area coverages.
• Practical challenges:
• difficult to know properties
• fundamental properties often estimated from
measurements
• Opportunity: think of models 

merely as computational mechanisms
Background: ICC-based soft-proofing
• What: print color simulations (soft-proofs) obtained by building ICC profiles of
display and printing system and color managing print colorimetry to display
device color space
• treats printing system like a black box
• at best, result is color accurate at LUT nodes
• in-between, assumptions of linearity are made
• process is blind both to spatial features (e.g., grain) and to actual nature of
transitions between profile LUT nodes
• incl., mapping from device color space to printing system’s colorant space (i.e., color
separation) and consequences of specific halftoning used (e.g., when dots start overlapping).
• Limitations:
• no sense of print’s spatial features,
• makes transitions have a characteristically display-like look
• mismatch in artifacts (missing some from the print; introducing others not in print)
Background: ICC-based soft-proofing
Original
Soft-proof
Print photo
False
artifacts
Grain
Transitions
An end-to-end print simulation approach
3 key elements:
• Predicting print appearance from halftone data instead
of continuous-tone data input to a printing system after
color management.
• Extending printer modeling by a mechanism that
enforces spectral correlation.
• Printer model based scaling, instead of device color
space linear interpolation.
Element 1: Print-ready halftone data
• Pass print job through same
• color management,
• color separation,
• linearization and
• halftoning
• as used for printing.
• End result: halftone that could be
directly printed, but that will be used for
on-screen simulation instead.
Element 2: RONT model
• Starting point: Kubelka Munk + Yule-Nielsen
modified Neugebauer, with key parameters
being Reflectance, Opacity and the optical
dot-gain N exponent. (RON)
• BUT: RON does not represent inkjet systems
well
• Approach: add computational
mechanisms to model
• All of KM+YNN performed wavelength-by-
wavelength
• BUT: strong correlation between adjacent
spectral bands (e.g., Singh et al., 2003; Morovic
et al., 2014)
Element 2: RONT model
• Concept: adjust reflectance predictions in a
given band based on predictions made for its
neighbors.
• takes advantage of data from spectral
neighborhood
• allows for enforcing correlation found in natural
spectra that a per-band model may break
• Mechanism: matrix transformation of the
reflectances predicted using RON parameters
only
• To compute such matrix T, L2 norm between
intermediate RON reflectance predictions (RI) and
measured reflectances (RM) needs to be minimized:
that not all wavelengths have an equal spr
axis. A wavelength-by-wavelength view (F
ences between individual correlations in mo
Element 2: RONT model
• where R matrices have m rows (for m samples) and s columns (for s spectral
bands) and where f() is function specifying t terms to use in error minimization,
resulting in dimensions of f(RI) being m×t and those of T being t×s.
• f() may add constant term, cross terms and power terms
• in simple, hypothetical case of s=2, result of f() could be the following for a second
order case:
• Having computed T, its result is applied to predictions based on RON parameters:
Element 3: Print optical integration-based scaling
• simulate optical integration that takes place when print is viewed at different distances
• each display pixel represents optical integration of print halftone pixel neighborhood
• display pixel color needs to be computed using full RONT model for neighborhood, instead of as
mean of per-halftone-pixel predictions.
Test setup
Label Z6200-4 PWT-4 L310-4 L310-6
Printer (HP)
Desigjet
Z6200
PageWide
Technology
Latex 310 Latex 310
Substrate
HP
Heavyweight
Coated
HP
Heavyweight
Coated
Self-Adhesive 

Vinyl
HP

Photorealistic
Paper
Inks
CMYK
aqueous
CMYK
aqueous
CMYK

latex
CMYKcm
latex
Max. drops per ink
per pixel 2 2 3 2
Neugebauer 

Primaries 34=81 34=81 44=256 36=729
Training samples 756 620 3257 4808
Test 

samples 459 620 3257 4808
Results (∆E2000)
System Model Median
95th
%tile
Max.
Z6200-4
RON 8.5 23.2 35.4
RONT 1.5 4.8 8.2
PWT-4
RON 3.2 8.1 15.6
RONT 0.9 2.2 3.4
L310-4
RON 4.1 11.2 29.9
RONT 1.3 2.8 6.5
L310-6
RON 1.7 4.9 10.6
RONT 0.9 2.2 7.7
Simulation
Print photo
Conclusions
• Successful print simulation can make the difference between
• wasting resources and frustrating (or even losing) customers,
• delivering salable products efficiently & with good customer experience.
• A new solution was presented here that:
• bases simulations on same data that drives printing systems – i.e., colorant channel
halftone data
• ensures that simulated halftone data is scaled for display in a way that respects its
local properties,
• Resulting simulations that are both more color-accurate 

and represent print-specific features and limitations faithfully.
• Next steps: test new framework on broader variety of printer-substrate-ink
configurations and extended as necessary.
Spectral and color prediction for arbitrary halftone patterns: a drop-by-drop, WYSIWYG, “ink on display” print preview

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Spectral and color prediction for arbitrary halftone patterns: a drop-by-drop, WYSIWYG, “ink on display” print preview

  • 1. Spectral and color prediction for arbitrary halftone patterns: a drop-by-drop, WYSIWYG, 
 “ink on display” print preview Peter Morovič, Ján Morovič, Xavier Fariña, 
 Pere Gasparin, Michel Encrenaz, Jordi Arnabat Presented at 23rd IS&T Color and Imaging Conference, 21st October 2015, Darmstadt, Germany
  • 2. Overview • Motivation – why do we keep working on print modeling? • Background – existing approaches & limitations • An end-to-end print simulation approach • Test setup • Results & discussion • Conclusions
  • 3. Motivation • Why? • Digital print production: 
 many short-run jobs • Bottleneck: 
 operator intervention • Web-to-print workflows 
 increase cost of manual 
 overrides + greater need 
 for accurate print preview 
 before placing order • To avoid re-printing • To provide customer assurance • Challenge: Make print preview close to final printed output as possible • If not, decisions made on basis of preview are unreliable 
 & inaccuracies further aggravate getting to right print
  • 4. Lacking components • First, accurate model of print color formation, applicable to technologies like inkjet • Ink-media interactions are complex, highly non-linear & not well represented by models developed for analog printing • Second, framework for applying scaling to print preview that reflects nature of print color formation, instead of assuming display color formation.
  • 5. Background: print spectral & color models • Prediction of ink overprinting: Kubelka Munk (1931) • Per-ink K (absorption) and S (scattering), 
 derived from opacity and reflectance: • where R∞ is reflectance of infinitely thick sample; prediction made at wavelength λ • Combining multiple ink layers is then 
 additive in K and S: • where B is substrate, l is number of ink layers, 
 ci concentration and Ki absorption coefficient of the i-th layer Wang & Wang, 2007
  • 6. Background: print spectral & color models • Prediction of integrated halftone color: Yule-Nielsen modified Neugebauer • Reflectance of entire halftone pattern predicted from constituent ink dot overlap colors: • where R(λ) is reflectance of optically- integrated halftone pattern neighborhood, wj is relative area coverage of the j-th Neugebauer Primary – P, and n is Yule-Nielsen non- linearity accounting for optical dot gain. Side view Colorants Substrate Appearance W C M Y Neugebauer primaries Materials Example halftone C M Y CMY + + = NP areas W=1/9 C=1/9 M=2/9 CM=2/9 CY=1/9 MY=1/9 CMY=1/9Colorant vector [C,M,Y]=[5/9, 6/9,3/9]
  • 7. Background: print spectral & color models • Model summary: • specific ways for predicting specific phenomena • scattering, absorption, optical dot gain and optical integration • specific assumptions about properties of constituent parts • e.g., homogeneity of ink layers, interfaces, independence of layer properties, infinite substrate thickness, etc. • knowledge of certain component properties is a prerequisite • Reflectance of infinitely thick ink layers, scattering of substrate, concentrations of inks, optical dot gain, Neugebauer Primary area coverages. • Practical challenges: • difficult to know properties • fundamental properties often estimated from measurements • Opportunity: think of models 
 merely as computational mechanisms
  • 8. Background: ICC-based soft-proofing • What: print color simulations (soft-proofs) obtained by building ICC profiles of display and printing system and color managing print colorimetry to display device color space • treats printing system like a black box • at best, result is color accurate at LUT nodes • in-between, assumptions of linearity are made • process is blind both to spatial features (e.g., grain) and to actual nature of transitions between profile LUT nodes • incl., mapping from device color space to printing system’s colorant space (i.e., color separation) and consequences of specific halftoning used (e.g., when dots start overlapping). • Limitations: • no sense of print’s spatial features, • makes transitions have a characteristically display-like look • mismatch in artifacts (missing some from the print; introducing others not in print)
  • 9. Background: ICC-based soft-proofing Original Soft-proof Print photo False artifacts Grain Transitions
  • 10. An end-to-end print simulation approach 3 key elements: • Predicting print appearance from halftone data instead of continuous-tone data input to a printing system after color management. • Extending printer modeling by a mechanism that enforces spectral correlation. • Printer model based scaling, instead of device color space linear interpolation.
  • 11. Element 1: Print-ready halftone data • Pass print job through same • color management, • color separation, • linearization and • halftoning • as used for printing. • End result: halftone that could be directly printed, but that will be used for on-screen simulation instead.
  • 12. Element 2: RONT model • Starting point: Kubelka Munk + Yule-Nielsen modified Neugebauer, with key parameters being Reflectance, Opacity and the optical dot-gain N exponent. (RON) • BUT: RON does not represent inkjet systems well • Approach: add computational mechanisms to model • All of KM+YNN performed wavelength-by- wavelength • BUT: strong correlation between adjacent spectral bands (e.g., Singh et al., 2003; Morovic et al., 2014)
  • 13. Element 2: RONT model • Concept: adjust reflectance predictions in a given band based on predictions made for its neighbors. • takes advantage of data from spectral neighborhood • allows for enforcing correlation found in natural spectra that a per-band model may break • Mechanism: matrix transformation of the reflectances predicted using RON parameters only • To compute such matrix T, L2 norm between intermediate RON reflectance predictions (RI) and measured reflectances (RM) needs to be minimized: that not all wavelengths have an equal spr axis. A wavelength-by-wavelength view (F ences between individual correlations in mo
  • 14. Element 2: RONT model • where R matrices have m rows (for m samples) and s columns (for s spectral bands) and where f() is function specifying t terms to use in error minimization, resulting in dimensions of f(RI) being m×t and those of T being t×s. • f() may add constant term, cross terms and power terms • in simple, hypothetical case of s=2, result of f() could be the following for a second order case: • Having computed T, its result is applied to predictions based on RON parameters:
  • 15. Element 3: Print optical integration-based scaling • simulate optical integration that takes place when print is viewed at different distances • each display pixel represents optical integration of print halftone pixel neighborhood • display pixel color needs to be computed using full RONT model for neighborhood, instead of as mean of per-halftone-pixel predictions.
  • 16. Test setup Label Z6200-4 PWT-4 L310-4 L310-6 Printer (HP) Desigjet Z6200 PageWide Technology Latex 310 Latex 310 Substrate HP Heavyweight Coated HP Heavyweight Coated Self-Adhesive 
 Vinyl HP
 Photorealistic Paper Inks CMYK aqueous CMYK aqueous CMYK
 latex CMYKcm latex Max. drops per ink per pixel 2 2 3 2 Neugebauer 
 Primaries 34=81 34=81 44=256 36=729 Training samples 756 620 3257 4808 Test 
 samples 459 620 3257 4808
  • 17. Results (∆E2000) System Model Median 95th %tile Max. Z6200-4 RON 8.5 23.2 35.4 RONT 1.5 4.8 8.2 PWT-4 RON 3.2 8.1 15.6 RONT 0.9 2.2 3.4 L310-4 RON 4.1 11.2 29.9 RONT 1.3 2.8 6.5 L310-6 RON 1.7 4.9 10.6 RONT 0.9 2.2 7.7
  • 19. Conclusions • Successful print simulation can make the difference between • wasting resources and frustrating (or even losing) customers, • delivering salable products efficiently & with good customer experience. • A new solution was presented here that: • bases simulations on same data that drives printing systems – i.e., colorant channel halftone data • ensures that simulated halftone data is scaled for display in a way that respects its local properties, • Resulting simulations that are both more color-accurate 
 and represent print-specific features and limitations faithfully. • Next steps: test new framework on broader variety of printer-substrate-ink configurations and extended as necessary.