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The Cleft Palate–Craniofacial Journal 00(00) pp.

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Ó Copyright 2016 American Cleft Palate–Craniofacial Association

ORIGINAL ARTICLE

Palatal Fistula Risk after Primary Palatoplasty: A Retrospective Comparison


of a Humanitarian Organization and Tertiary Hospitals
Kimberly M. Daniels, M.S., Emily Yang Yu, B.S., Rebecca G. Maine, M.D., M.P.H., Yin Heng, M.D.S., Li Yang, D.D.S.,
Ph.D., Bing Shi, D.D.S., Ph.D., D. Scott Corlew, M.D., M.P.H., William Y. Hoffman, M.D., F.A.A.P., George A.
Gregory, M.D.

Background: Humanitarian surgical organizations provide palatoplasties for patients without


access to surgical care. Few organizations have evaluated the outcomes of these trips. This
study evaluates the palatal fistula rate in patients from two cohorts in rural China and one in the
United States.
Methods: This study compared the odds of fistula formation among three cohorts whose
palates were repaired between 2005 and 2009. One cohort included 97 Chinese patients operated
on by teams from the United States and Canada under the auspices of Resurge International.
They were compared to cohorts at Huaxi Stomatology Hospital and the University of California
San Francisco (UCSF). Age, fistula presence, and Veau class were compared among cohorts
using Chi-square tests. Logistic regression was used to analyze predictors of fistula formation.
Results: The fistula risk was 35.1% in patients treated by humanitarian teams, 12.8% at Huaxi
University Hospital and 2.5% at UCSF (P ,0.001). Age and Veau class were associated with
fistula formation (Age P ¼ 0.0015; Veau P ,0.001). ReSurge and Huaxi patients had 20.2 and 5.6
times the odds of developing a fistula, respectively, compared to UCSF patients (P ,0.01, both).
A multivariable model controlling for surgical group, age, and gender showed an association
between Veau class and the odds of fistula formation.
Conclusions: Chinese children undergoing palatoplasty by international teams had higher
odds of palatal fistula than children treated by Chinese surgeons in established institutions and
children treated in the United States. More research is required to identify factors affecting
complication rates in low-resource environments.

KEY WORDS: fistula, palatoplasty

A cleft palate occurs in 1:700 to 1:500 live births, nanit et al., 2012; Deshpande et al., 2014). In high-income
depending on ethnicity (Derijcke et al., 1996; Mossey, 2004; countries, cleft palates are usually repaired by 18 months of
Maine et al., 2012; Centers for Disease Control and age to reduce problems with speech (Chapman et al., 2008;
Prevention, 2013). A cleft palate can affect speech, hearing, Deshpande et al., 2014). These children have a team of
eating, and appearance (Maine et al., 2012; Thanawiratta- plastic surgeons, otolaryngologists, audiologists, speech
pathologists, dentists, orthodontists, and nursing specialists
working together to ensure successful surgical, dental,
Kimberly Daniels is Research Data Manager, Department of Plastic speech, and hearing outcomes (American Cleft Palate-
and Oral Surgery, Boston Children’s Hospital, Boston, MA. Emily Yu
and Dr. Maine are senior residents, Department of Surgery, University Craniofacial Association, 1993; Furr et al., 2011; Maine et
of California San Francisco, San Francisco, CA. Dr. Heng is al., 2012).
SpeechTherapist, Cleft Department, West China Hospital of Stoma-
tology, Sichuan University; Dr. Yang is Associate Professor, Deputy
Unfortunately, many children in low- and middle-
Director, Cleft Department, West China Hospital of Stomatology, income countries (LMIC) have no access to surgeons who
Sichuan University; Dr. Shi is Professor and Vice Dean, West China can perform palate repairs (Bermudez, 2000; Mossey, 2004;
Hospital of Stomatology, Sichuan University, Sichuan Province,
China. Drs. Corlew and Hoffman are Professors of Surgery, Division Maine et al., 2012). Consequently, these children depend on
of Plastic and Reconstructive Surgery, University of California San humanitarian organizations to provide free reconstructive
Francisco; Dr. Gregory is Professor, Departments of Anesthesia and surgery (Bermudez, 2000; ReSurge International, 2014).
Pediatrics, University of California San Francisco, San Francisco, CA
This study was funded by Fulbright. No products, devices or drugs
were used in this research.
Poster presentations: London Launch of the Lancet Commission on Submitted January 2016; Revised April 2016, August 2016,
Global Surgery at the Royal Society of Medicine, London, UK April August 2016; Accepted September 2016.Month 2016
27–28, 2015. This abstract was also published by The Lancet on April Address correspondence to: Kimberly M. Daniels, Department of
27, 2015. Plastic and Oral Surgery, 300 Longwood Avenue, Boston, MA 02115.
Acknowledgements: We thank Libby Wilson, M.D., for her help Email: Kimberly.Daniels@childrens.harvard.edu
confirming the fistula diagnosis in the ReSurge patients. DOI: 10.1597/16-007

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Most organizations sponsor short-term trips intended to and their participation in these procedures was during a
provide patient care rather than research. Follow-up care is postdoctoral year. Postoperative evaluations were conduct-
provided on repeat trips or by local providers if the patients ed between 1 and 5 years after palate surgery.
return for follow-up. Patients often cannot return for Each international patient answered a questionnaire and
follow-up appointments due to poor infrastructure, limited underwent a brief physical examination. The questionnaire
resources, and the distance they live from the surgical site assessed demographics, socioeconomic status, and medical
(Mossey, 2004; Maine et al., 2012; Jansen et al., 2014). This history. Examinations determined presence of a fistula,
makes collecting detailed, accurate patient records and quantified dental caries, and evaluated speech and hearing.
assessing their surgical outcomes difficult. As a result, few A medical student (E.Y.Y.) was trained over a 3-month
studies have evaluated the outcomes of palate repairs in period by WYH and his team at UCSF to perform these
LMICs following mission trips. evaluations and acquire all photos of the palate accurately
Palatal fistula is defined as an opening in the soft or hard and in the same way. She used a palatal mirror after it was
palate connecting the oral cavity to the nasal cavity. It is a warmed (to avoid fogging) to capture a photo of each
common complication following palatoplasty, with a child’s palate. She went to China for 1 year, accompanied
reported risk of 2% to 30% (Parwaz et al., 2009; Maine by a translator for each interview and evaluation. Palatal
et al., 2012; Deshpande et al., 2014; Schönmeyr et al., 2016). fistulae were confirmed using the photos of the palate and
Like a cleft palate, a palatal fistula also makes it difficult to questions about symptoms caused by fistulae by a third-
speak and eat properly (Deshpande et al., 2014). Previously party blinded plastic surgeon not involved in patients’
identified risk factors for fistula formation include older age original surgical care.
at the time of surgery, surgeon skill and experience, larger For comparison, fistula risk and demographic informa-
cleft size, Veau classification, surgical technique used to tion were collected from the medical records of a second
close the palate, tension along the suture line, and the cohort of 123 children who underwent palatoplasty
patient’s oral health (Emory et al., 1997; Turner et al., 1998; between 2006 and 2009 at UCSF and evaluated postoper-
Andersson et al., 2008; Bindingnavele et al., 2008;
atively annually with the first follow-up at 6 months. One
Deshpande et al., 2014; Schönmeyr et al., 2016).
plastic surgeon (W.Y.H.) operated on all UCSF patients
This study compares the probability of developing a
and participated in their postoperative evaluations. He and
fistula after primary palatoplasty in three cohorts: (1) a
his team determined the presence or absence of a fistula for
humanitarian plastic surgery organization, ReSurge Inter-
this cohort. Our third cohort—a random sample from all
national (international), (2) West China Stomatology
economic classes of 253 subjects operated on by four
Hospital (West China), and (3) the University of California
surgeons between 2005 and 2009—was collected from the
San Francisco Craniofacial Center (UCSF). Outcomes
West China Stomatology Hospital in the Sichuan Province
were compared to determine if there are factors that
of China. Fistula risk and demographic information was
influence fistula formation in these populations.
collected from the medical records of this group as well.
METHODS Similar to UCSF, in this hospital, presurgical orthopedics is
included in the treatment plan of the patient when needed.
This was a retrospective study of three cohorts that Our colleague (S.B.) ensured that fistulae were assiduously
underwent primary palatoplasty between 2005 and 2009. looked for at follow-up and all fistulae noted were reported
Patients with alveolar clefts were excluded from this study. in patients’ medical records. The earliest follow-up visit was
The international cohort consisted of 201 patients identified at 1 month for one patient in this cohort. All other patients
through China’s Family Planning Committee and ReSurge had a follow-up visit at least 2 months after palatoplasty
International’s records. A total of 116 patients from Akesu, with an average follow-up period of 15 months for this
Qiqihaer, Ganzhou, and Chongqing were located by study cohort. These patients were not contacted because they
staff and asked to participate in this study between October were evaluated by their surgeons. Informed consent was
2009 and June 2010. Informed oral assent was obtained waived by the UCSF committee on human protection
from all patients over 6 years of age (as required by UCSF’s because only routinely collected data were reviewed at these
Committee on Human Subjects Protection and the NIH). two institutions. The West China Stomatology Hospital’s
Informed consent was also obtained from the parents or Human Subjects Protection Committee also approved of
guardians of all patients under 18 years in this cohort prior this study.
to evaluation. Patients were excluded from analyses if This study was approved by the Human Subjects
ReSurge did not perform their primary palate surgery, that Committees at UCSF. Analysis of the de-identified data
is, it was performed by other groups. Fifteen board-certified was approved by the Harvard University IRB. China does
or board eligible (five Webster Fellows) American and not have an IRB process but China’s Family Planning
Canadian surgeons performed the palatoplasties. One Committee, a government agency, agreed to participate
fellow participated each year over the period 2005 to and our Human Subjects Committees decided this was
2009. All fellows completed a residency in plastic surgery satisfactory.
Daniels et al., PALATAL FISTULA RISK IN UNITED STATES AND CHINA 0

TABLE 1 Descriptive Statistics

Variable ReSurge International West China UCSF P-value*

N 116 253 123


Excluded 20 3 3
Fistula 35.4% 12.8% 2.5% ,0.001
Male 57 (58.7%) 134 (53.6%) 73 (60.8 %) 0.726
Age ,0.001
,2 years 15 (15.5%) 104 (41.6%) 109 (90.8%)
2–4 years 27 (27.8%) 69 (27.6%) 9 (7.5%)
4 years 55 (56.7%) 77 (30.8%) 2 (1.7%)
Veau class ,0.001
I 9 (9.3%) 23 (9.2%) 7 (5.8%)
II 11 (11.3%) 124 (49.6%) 41 (34.2%)
III 53 (54.6%) 79 (31.6%) 48 (40.0%)
IV 23 (23.7%) 24 (9.6%) 21 (17.5%)
* P-values are all from chi-square tests of association.
This data was collected from study participants in all three cohorts and compared here. There is a statistically significant association between the cohorts and fistula presentation, age
at palatoplasty, and Veau class.

Analysis cleft or fistula instead of a palatal cleft (2), or if surgeons


from groups other than ReSurge performed their primary
A power analysis was done to be sure this study was palatoplasty (15). Medical records were available for 120
adequately powered. Chi-square tests were used to (97.6%) UCSF patients. Of the 1612 patients who had their
compare the Veau classification distributions and the palatoplasty at the West China Stomatology Hospital, 775
fistula proportions. Age distributions between the (48.1%) returned for a follow-up clinic visit and 253 were
international, Huaxi, and UCSF cohorts were compared randomly selected from this group. Complete data was
with a Kruskall-Wallace test. Where significant differ- available for 250 subjects.
ences among the three cohorts were found, a Scheffe’s Demographics of the three cohorts are compared in
test or a Bonferroni correction was used to determine Table 1; descriptive statistics of the international popula-
the cohorts that were significantly different from one tion are in Table 2. Of the international patients, 35.4% had
another. a fistula at the time of evaluation, 12.8% of West China
Logistic regression was used to create a multivariable patients had a fistula, and only 2.5% of UCSF patients had
predictive model to assess the effects of the surgical a fistula; all were significantly different from each other (P
cohort, gender, age at palate surgery, and Veau class on ,0.001). The median age of the international patients at the
the odds of developing a fistula. Within the internation- time of palatoplasty was 4.5 years (IQR: 2.47 to 8.02 years).
al cohort, univariate logistic regression models were In the West China cohort, it was 2.73 years (IQR: 1.61 to
used to estimate each variable’s effect on the odds of 4.73 years), and at UCSF it was 9.8 months (IQR: 9.5 to
developing a palatal fistula. A sensitivity analysis 11.3 months). The age distributions were all significantly
predicted the number of patients who would have to different (P ,0.001). Most children in the international and
be fistula-free among the patients lost to follow-up to
change our results. Wald confidence intervals and P- TABLE 2 ReSurge Descriptive Statistics
values are reported for each variable in the univariate
analysis and multivariable analysis. P-values less than Variable ReSurge International*

0.05 were considered statistically significant. Data were N 97


analyzed using SAS 9.3 (SAS Institute Inc, Cary, NC) Median travel time (mins) to physician 15 (IQR: 5, 30)

and STATA 12.0 software (StataCorp LP, College Dental caries


Proportion 84%
Station, TX).
Average number 5.79 6 4.6
Proportion who have seen dentist 9.3%
RESULTS Proportion living in rural farming region 87.6%
Received pre-surgical orthodontics 4 (4.1%)

A total of 1936 patients underwent primary palatoplasty Problems gaining weight before surgery
1 71 (73.2%)
during the study period: 201 with ReSurge, 1612 at the 2 7 (7.22%)
West China Stomatology Hospital, and 123 at UCSF. In 3 8 (8.3%)
the international group, the follow-up rate was 57.7%. 4 11 (11.3%)
Median income/month (Yuan) 2000 (IQR: 1000, 3000)
There were 96 (82.7%) patients included in the analysis
*thinsp;This data was collected from the ReSurge Cohort via interview and
from the international group. Patients in this group were evaluation. None of the ReSurge subjects received speech therapy or regular primary
excluded due to missing data (3 patients), if they had a nasal care.
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TABLE 3 Multivariable Analysis of Predictors of Presenting with a Fistula

Unadjusted Analysis Multivariate Analysis


Parameter Crude OR Confidence Interval* P-value* Adjusted OR Confidence Interval* P-value*

Surgical group
ReSurge versus UCSF 20.213 (5.959, 68.561) ,0.001 15.581 (5.055, 68.538) ,0.001
West China versus UCSF 5.575 (1.671, 18.594) 0.005 7.027 (2.321, 30.542) 0.002
Age at surgery (years) 1.071 (1.024, 1.122) 0.004 1.018 (0.963, 1.075) 0.534
Gender, M versus F 1.370 (0.805, 2.330) 0.246 1.042 (0.578, 1.877) 0.892
Veau, III, IV versus I, II 6.399 (3.182, 12.871) ,0.001 5.630 (2.677, 11.837) ,0.001
* Wald Confidence Intervals and P-values.

UCSF cohorts were Veau class III and IV (78.3% and 4). None of the variables were significantly associated with
57.5%, respectively); 58.8% of the West China cohort was fistula development.
Veau class I or II. The distribution of cleft types across the
Veau classification varied among the three groups (P DISCUSSION
,0.001).
A multivariable model analyzed the effects of gender, This study found that patients operated on by the
Veau class, age at primary palate surgery, and the cohort/ international team had the highest odds of fistula
surgical group on the presence of a fistula (Table 3). formation, followed by the children at the West China
Although age at palatoplasty was associated with the odds Stomatology hospital. Those at UCSF had the lowest odds
of having a fistula in the unadjusted analysis, it was not of developing a fistula during the study period. The
significant after controlling for the surgical group, gender, outcomes of local surgeons (West China and UCSF
and Veau class. The strongest effects were seen from the surgeons) were better than those of international teams
surgical group and the Veau class. The odds of a child in the with respect to fistula formation. The surgical group and
international cohort developing a fistula were 15.6 times the Veau classes III and IV were associated with increased risk
odds a child from UCSF doing so in the multivariable of fistula formation in a multivariable model controlling for
analysis. In the same model, the odds a child in the West the patient’s age at palatoplasty and gender. The incidence
China cohort presenting with a fistula were 7.0 times the of higher Veau classes in the international group may
odds of a child at UCSF. account for some of the difference found. More detailed
Univariate models were analyzed within the international analysis of the international cohort did not identify other
data set to look for predictors of fistula development (Table variables associated with fistula formation.

TABLE 4 Univariate Analysis of Each Variable’s Association With the Presence of a Fistula Within the ReSurge Cohort

Lower 95% Upper 95%


Variable Odds Ratio Confidence Bound Confidence Bound Wald P-value

Veau classification*
II versus I 4.571 0.409 51.138 0.217
III versus I 3.778 0.437 32.672 0.227
IV versus I 8.727 0.935 81.492 0.057
Gender, M versus F 1.894 0.774 4.635 0.162
Number of dental carries 1.002 0.910 1.104 0.962
Neighborhood type, urban city versus rural farming 0.325 0.067 1.579 0.164
Highest grade† 0.923 0.780 1.093 0.354
Monthly income,‡ 1 versus 0 0.449 0.116 1.735 0.245
Age at palate repair 1.005 0.894 1.131 0.928
Has seen a dentist,§ 1 versus 0 1.520 0.380 6.085 0.554
Travel time to a physician 1.006 0.989 1.023 0.517
Frequency of seeing a physician|| || 1.279 0.897 1.823 0.173
Oral health impression 0.898 0.610 1.323 0.587
Trouble gaining weight#
1 versus 0 2.556 0.528 12.360 0.243
2 versus 0 1.917 0.440 8.346 0.386
3 versus 0 0.426 0.085 2.130 0.299
All data were collected from interviews with the parent or primary caregiver that accompanied the child to the assessment.
* Veau class was also analyzed as a dichotomous variable (class III, IV versus I, II) and this resulted in an OR: 1.851 (0.608, 5.633) and a Wald P-value of 0.2782.

Highest grade represents the highest grade of education completed by either of the parents of the subject.

Monthly income was dichotomized where 1 ¼ top 25% and 0 ¼ otherwise.
§
Represents whether or not the child has ever seen a dentist and coded as yes ¼ 1, no ¼ 0.
|| ||
Collected on a 5- point scale from 1 to 5 in order of increasing frequency.
Collected on a 1 to 5 scale in order of decreasing severity.
#
Collected on a 4-point scale in order of increasing difficulty gaining weight.
Daniels et al., PALATAL FISTULA RISK IN UNITED STATES AND CHINA 0

The outcomes of palatoplasty procedures in LMIC have older patients who may have wider, more technically
been studied to a limited extent (Maine et al., 2012; difficult palates to repair (Rossell-Perry et al., 2015;
Abdurrazaq et al., 2013; Deshpande et al., 2014; Hardwicke Schönmeyr et al., 2016). Peruvian surgeons using the same
et al., 2014; Zhang et al., 2014; Fayyaz et al., 2015; mission model had a 25% risk of fistula on their missions
Schönmeyr et al, 2015; Schönmeyr et al., 2016). Our study, but only a 3.82% risk in their private patients (Rossell-
the Maine et al. study, and a study from Lagos University Perry et al., 2015). We did not have specific information on
Teaching Hospital in Nigeria found higher rates of fistula the surgeons performing the palatoplasties in the interna-
formation in LMIC compared to the United States (Maine tional or West China cohorts and so cannot draw any
et al., 2012; Abdurrazaq et al., 2013). An Indian study of conclusions about the impact of the surgeon or their
1608 patients found a 13.6% fistula risk, similar to our experience and skill level on the risk of their patients
12.8% risk in the Huaxi cohort (Schönmeyr et al., 2016). presenting with a fistula. More research is required to
Nonetheless, recent literature review showed ‘‘[no] differ- determine why patients in the mission model have more
ence in incidence of fistula formation between populations fistulae than patients who receive their surgery in other
from Europe, the Americas, or Asia’’ (Hardwicke et al., ways. Understanding this difference will allow patients
2014). The only Chinese study we found reported a fistula treated on mission trips to have improved outcomes and
rate of 0.95% in their study population; however, their reduced incidence of fistula formation. Having such data
study population was not defined and cannot be compared would allow all humanitarian organizations to learn from
to our West China data (Zhang et al., 2014). While the risk the successes and failures of other hospitals and for
of fistula after primary palatoplasty varies for many reasons nongovernmental organizations (NGO) to improve their
between 0.95% and 54% in the literature, comparable quality of care.
palatoplasty outcomes have been reported between LMIC The multivariable model included the surgical group that
and high-income countries (Maine et al., 2012; Hardwicke performed the palatoplasty, gender, the age at primary
et al., 2014; Zhang et al., 2014). palate surgery, and Veau class as independent variables.
Less is known about palatoplasty outcomes from Fistula presentation was the dependent variable. Crude
surgical missions. Maine et al. evaluated Ecuadorian estimates of all of these variables, except gender, were
patients who underwent cleft palate repair for the presence significantly associated with the presentation of a fistula;
of a fistula and found that the risk of palatal fistula was the however, when combined into a multivariable model, only
same (56%) whether the surgeon was visiting or Ecuador- the surgical group and Veau class were associated with
ian (Maine et al., 2012). Both groups used the same mission having a fistula. This finding is supported by other studies
model used by many groups. For nonmission patients showing that increased Veau class contributes to fistula risk
(private patients) of the Ecuadorian surgeons, fistula (Maine et al., 2012; Hardwicke et al., 2014; Lithovius et al.,
formation was 6% (Maine et al., 2012). We also found 2014; Ahmed et al., 2015; Schönmeyr et al., 2016).
similar results from our Chinese cohorts. A humanitarian We could not identify why some children in the
organization in Pakistan found that fistula risk decreased international cohort had fistulas and others did not. This
with increased surgeon experience (Fayyaz et al., 2015). may be due to a lack of variability in socioeconomic status,
They report a fistula rate of 50% when resident surgeons dental health, medical care, and types of food consumed
performed the surgery, which was not the case in our (Table 2). The majority of patients lived in rural
international group (Fayyaz et al., 2015). When performed communities where they grew most of their own food,
by experienced surgeons, their fistula risk was 9.6%, similar had access to electricity and water, had poor oral health,
to that found in Finland (Lithovius et al., 2014; Fayyaz et and saw a physician only when they were sick.
al., 2015). ReSurge International vets all surgeons and
allows only board-certified plastic surgeons to operate on Limitations
missions (Maine et al., 2012). All surgeons who apply to
work under the auspices of ReSurge International provide The follow-up rate for the international group was
recommendation letters from other plastic surgeons 57.7%, which is high for mission surgery but was
confirming the surgeon’s level of experience with cleft achieved only by sending someone (E.Y.Y.) to China
repairs (Maine et al., 2012). Although Webster Fellows for a year to collect the data. Though similar to other
participated in ReSurge procedures, they were always global health studies in LMIC, this follow-up rate still
supervised by the board-certified, vetted plastic surgeons brings up concerns related to selection bias due to loss
who were responsible for the patients in our study. None of to follow-up (Maine et al., 2012). The West China
these Fellows operated outside of the scope of practice cohort is limited in its generalizability because the
standard to the United States. cohort of patients we randomly sampled represented
While the vetting of these surgeons suggests that they 48.1% of the West China population who returned for a
have the skill and experience to repair cleft palates in their follow-up visit and, therefore, our results are represen-
own practice with good results, it does not guarantee tative only of patients who returned for follow-up. Both
experience repairing cleft palates in a low-resource setting in these cohorts dealt with a lack of follow-up. The
0 Cleft Palate–Craniofacial Journal, Month 0000, Vol. 00 No. 00

difficulties of treating patients, conducting research, and fistula rates vary widely among humanitarian groups,
following up with patients in low-resource settings have countries, and local environments. The success of a surgical
been well-documented in the literature (Maine et al., mission must be determined by both patient outcomes and
2012; Jansen et al., 2014; Hackenberg et al., 2015; the number of surgeries performed. It is essential that
Schönmeyr et al., 2016). It is possible that patients in outcomes achieved on missions are objectively evaluated
either of these cohorts without problems and no fistula and the principles of constant improvement be implement-
did not return for follow-up or that patients with ed. Constant evaluation and revision of strategic concepts,
significant problems did not do so because travel was programs, and policies are critical to the success of
expensive, far away, or they felt nothing more could be humanitarian organizations in their efforts to improve
done. Some may not even know how to recognize a global care and standards. It is only through this critical
surgical complication. Therefore, the bias could be evaluation that innovative ways to improve the care
positive or negative. Our sensitivity analysis showed provided will continue to be developed.
that in the unlikely event that none of the international
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