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Food Control 18 (2007) 789–799

www.elsevier.com/locate/foodcont

Risk assessment for listeriosis in consumers of Parma


and San Daniele hams
a,*
Armando Giovannini , Giacomo Migliorati a, Vincenza Prencipe a, Davide Calderone b,
Carlo Zuccolo c, Paolo Cozzolino d
a
Istituto Zooprofilattico Sperimentale dell’Abruzzo e del Molise ‘‘G. Caporale’’, Via Campo Boario, 64100 Teramo, Italy
b
Consorzio del Prosciutto di Parma, Parma, Italy
c
Consorzio del Prosciutto di San Daniele, San Daniele, Udine, Italy
d
Dipartimento di Sanità Pubblica, Azienda Unità Sanitaria Locale, Parma, Italy

Received 24 September 2005; received in revised form 6 March 2006; accepted 6 March 2006

Abstract

Following the detection of Listeria monocytogenes in samples of dry cured ham imported in the USA from Italy, the Italian Ministry
of Health planned a risk assessment for listeriosis in ham consumers. The risk assessment was performed according to international
guidelines set by FAO and WHO. Expected incidence of illness was 4.7 · 1010 cases per serving in the case of normal adult population,
6.1 · 107 in the case of organ transplanted patients, the most susceptible risk sub-population. Due to the low value of water activity
even in the deeper parts of the ham, bacterial growth had a very slight effect on the probability of illness.
 2006 Elsevier Ltd. All rights reserved.

Keywords: Listeria monocytogenes; Dry cured ham; Risk assessment

1. Introduction • It can grow slowly in many foods even during refriger-


ated storage.
Outbreaks of illness associated with the consumption of • Unlike most bacteria it is particularly resistant to the
coleslaw, pasteurized milk, and fresh soft cheese in the conditions and treatments used to control foodborne
early 1980s in the USA led, to the recognition of Listeria pathogens.
monocytogenes as a foodborne pathogen (CFSAN/FSIS,
2003). This pathogen can cause death and is particularly The risk of severe listeriosis is well documented in the
difficult to control in ready-to-eat (RTE) foods (i.e., prod- case of soft cheese (Altekruse, Timbo, Mowbray, Bean, &
ucts that may be consumed without any further cooking or Potter, 1998; Bemrah, Sanaa, Cassin, Griffiths, & Cerf,
reheating) because (CFSAN/FSIS, 2003): 1998; Dalton et al., 1997; Farber, Ross, & Harwig, 1996;
Gilot et al., 1997), and smoked fish (Brett, Short, &
• It is commonly found in the environment, including McLaughlin, 1998; CFSAN/FSIS, 2003; Ericsson et al.,
food processing, distribution, and retail environments, 1997; FAO, 1999; Gombas, Chen, Clavero, & Scott, 2003;
in foods, and in the home. Miettinen et al., 1999). It is also evident that different path-
• It primarily affects a small segment of the population ogen/commodity combinations play different roles in the
with a heightened susceptibility. epidemiology of human listeriosis: estimates of the expected
number of cases per million servings range from 4.5 · 109
cases per million servings in the case of hard cheese to 0.065
*
Corresponding author. Tel.: +39 086 133 2281; fax: +39 086 133 2251. cases per million servings in the case of Frankfurters not
E-mail address: a.giovannini@izs.it (A. Giovannini). reheated before consumption (CFSAN/FSIS, 2003).

0956-7135/$ - see front matter  2006 Elsevier Ltd. All rights reserved.
doi:10.1016/j.foodcont.2006.03.014
790 A. Giovannini et al. / Food Control 18 (2007) 789–799

Control strategies adopted in the various countries differ was to be selected at the end of the production chain. The
greatly. Concerning RTE, for example, the USA and the sample was stratified by producer and by type of product
European Commission have adopted a ‘‘zero-tolerance’’ (bone-in, de-boned and sliced hams) and proportionate
policy. Other countries, such as Canada have ‘‘zero-toler- to the amount of product (weight) exported to the USA
ance’’ or tolerance policies depending on the type of RTE in 2001. Due to (i) the low number of samples collected
food. Nevertheless, even countries that adopted a general of bone-in hams, (ii) the different criteria for specimens col-
‘‘zero-tolerance’’ policy have chosen, in practice, different lection in de-boned and sliced hams and (iii) the lower sen-
appropriate levels of protection (ALOPs) on the basis of sitivity of the analysis of sliced hams – due to the lower
different sampling plans, ranging from the absence of L. contamination level – only the results obtained from de-
monocytogenes in 1 g to the absence of L. monocytogenes boned hams were used in the exposure assessment.
in 10 samples of 25 g each. It is noteworthy that for the
same RTE foods, i.e. cooked RTE crustaceans and smoked 2.1.2. Collection of specimens
salmon, some countries maintain a ‘‘zero-tolerance’’ policy, In the case of bone-in and de-boned hams, from the por-
while Australia and New Zealand decided to permit a level tion not covered by the skin of each sampled ham, one or
of up to 100 CFU in one of five samples of 25 g. The reason more surface slices (3–5 mm thick) were cut, to collect a
for the difference is due to the small amounts of these RTE total sample of 100 g (Fig. 1). In the case of sliced hams,
foods consumed in the two countries, and which would a packet of vacuum packed sliced ham has been considered
result in 1 case every 1600 years in the case of cooked as a single specimen.
RTE crustaceans. Therefore, the most objective way to
decide the ALOP of a country seems to perform specific 2.1.3. Laboratory analysis of samples
risk assessments for each relevant RTE food, giving the Each specimen was divided into two equal aliquots of
expected incidence of infection per million servings con- 50 g. Twenty-five grams of the first aliquot was tested qual-
sumed and to estimate the yearly expected number of cases itatively for L. monocytogenes (FSIS, 2002) with the
on the basis of the amount of that specific food consumed remaining 25 g tested quantitatively using a MPN tech-
in a country. The present research was initiated following nique (FSIS, 2002). Samples positive to the qualitative
the detection by the Food Safety Inspection Service (FSIS) technique and negative to the MPN technique have been
in the USA in June 2002 and its subsequent notification in considered to be at a contamination level between the
July of the presence of L. monocytogenes in dry cured hams two published detection thresholds for the two techniques,
imported from Italy. The FSIS authorities and representa- i.e. between 0.04 and 0.3 organisms per gram (FSIS, 2002).
tives of the Italian Ministry of Health met in Washington,
DC and defined the strategy to be adopted in Italy to 2.2. Exposure assessment
ensure the control of L. monocytogenes in exported ham.
This strategy included, among other activities, the sampling 2.2.1. Estimation of the, frequency distribution of surface
programs, the standardization of laboratory methods to eval- contamination
uate prevalence of L. monocytogenes in ham, and a risk According to the literature (Gill, McGinnis, Rahn, &
assessment for L. monocytogenes and Salmonella in cured Houde, 1996; Kilsby & Pugh, 1981), the contaminated
pork ham. The aim of this study is to perform a risk assess- samples are detectable contaminations arising from a con-
ment on dry cured hams produced by the Parma and the tinuous log normal distribution of contamination, and the
San Daniele Consortia and to estimate the expected inci- minimum detectable level from the presence/absence tests
dence of listeriosis in the normal adult populations and is typically 1 organism in 25 g or 0.04 organisms per gram.
in some at risk sub-populations. A low percentage of samples are contaminated at or above
this level with the remaining samples having non-detectable
2. Materials and methods levels (i.e., <0.04 organisms per gram) (Fig. 2).
To estimate the mean and the standard deviation of the
2.1. Collection and analysis of samples lognormal distribution, wide ranges of values for the mean
and for the standard deviation have been considered and
2.1.1. Samples the best fitting pair of values has been chosen as that
At each of the two Consortia, a separate sampling was minimizing the D statistics in the one-sample Kolmogo-
planned according to the criteria given in the UNI ISO rov–Smirnov test for goodness-of-fit (Siegel & Castellan,
norms 2859:1993, part 1 and part 2. The sampling was 1988):
designed to guarantee the consumer that any prevalence Z xi 
X observedi 

of L. monocytogenes contamination >5% would be detected MaxðDlj ;rj Þ ¼ Max  Normalðxi ; lj ; rj Þ  
N 
with a 90% probability, and to guarantee the producer that 1

any prevalence of L. monocytogenes contamination <2.5%


would be recognized as a low prevalence with no attendant where D is the Kolmogorov–Smirnov statistics; xi is each
regulatory consequences (i.e. no systemic corrective action measured contamination level; lj the hypothesized mean;
would be necessary). A random sample of 306 cured hams rj the hypothesized standard deviation; Observedi the num-
A. Giovannini et al. / Food Control 18 (2007) 789–799 791

Fig. 1. Technique used to collect specimens and indication of the surface potentially contaminated (‘tested specimen’ and ‘serving’).

Fig. 2. Example of a log-normal frequency distribution of bacterial contamination. Adapted from CFSAN/FSIS, 2003.

ber of samples showing that specified contamination level, The goodness-of-fit of the estimated frequency distribu-
and N the total number of samples. tion of the contamination levels was evaluated graphically
The uncertainty of the mean and the standard deviation by comparing the cumulative distribution of observed data
has been estimated using the non-parametric bootstrap against the cumulative theoretical distribution.
(Vose, 2000), and employing the same estimation tech-
nique. To obtain convergence, 1000 iterations of the boot- 2.2.2. Conversion of surface contamination levels into
strap sampling were performed using @Risk (Palisade contamination per serving
Corporation, version 3.5.2) and the pairs of values for Since contamination by L. monocytogenes is located on
the mean and the standard deviation recorded. the surface of the ham, the levels of contamination per
The mean and the standard deviation of the recorded serving were calculated from the distribution of surface
values and the Pearson’s correlation coefficient for the contamination (Fig. 1). Based on the roughly elliptical
pairs of parameters simulated by bootstrap were calculated shape and thickness (3–5 mm) of the slices and the spe-
also, to be used in further simulations. cific weight of ham (weighted average of fat and muscle
792 A. Giovannini et al. / Food Control 18 (2007) 789–799

components = 0.96 g/cm3), the total volume, and the sur- • The Exponential model is a non-threshold model, which
face area of a typical slice, were calculated. Finally, a mul- implies that there is no ‘‘minimum infectious dose’’.
tiplying factor to be used to convert the level of surface • A key attribute of the model is its log-linearity (log dose
contamination measured in the samples down to the level vs. log probability of illness) at low doses; this implies
of contamination expected for an average serving of 28 g that at low doses, a single serving with a specified level
(made up of 2 slices, 1 mm thick, cut orthogonally to the of contamination has the same public health impact as
ham’s surface) was calculated. 10 servings with 10-fold fewer organisms.

2.2.3. Simulation of the extraction of servings Exponential curve:


The first step was to generate the theoretical distribution
P ¼ 1  eRN
of surface contamination, by extraction of the two param-
eters (mean and standard deviation) from the distribution where P is the probability of illness; N is the number of L.
of uncertainty, and according to the estimated correlation monocytogenes consumed; R is the parameter that defines
coefficient between the two parameters: the dose–response relation for the population being
Mean ¼ Normalðll rl Þ considered.
Values for R were obtained from the ‘‘Joint FAO/WHO
St: Dev ¼ Normalðlr rr Þ correlated to the Mean Expert Consultation on Risk Assessment of Microbiologi-
according to r cal Hazards in Foods – Risk characterization of Salmonella
The second step was the extraction of the log (MPN/g) of spp. in eggs and broiler chickens and L. monocytogenes in
surface contamination from the above extracted ready-to-eat foods’’ (WHO/FAO, 2001). Various risk pop-
distribution: ulations were considered: normal adult population, organ
transplant, AIDS, dialysis, bladder cancer, gynecological
logðMPN=gÞ ¼ NormalðMean; St: Dev:Þ
cancer patients, elderly over 60 years of age, perinatal
The third step was the conversion of log (MPN/g) of sur- exposure.
face contamination into MPN/serving and rounding the re- For each risk sub-population the relevant dose–response
sult to the closest integer. curve was calculated.
A total of 100,000 iterations were run in @Risk environ- Then, based on the distribution of exposure levels, the
ment to obtain convergence of simulation results. expected incidence of listeriosis per serving consumed by
each risk sub-population was calculated. The expected inci-
2.2.4. Estimation of the frequency distribution of the dence of listeriosis per serving was calculated as the average
contamination of servings of the probability of infection, weighted on the entire sim-
The simulated distribution of contamination of servings ulated distribution of exposure and on the uncertainty (i.e.
was assumed to be a log-normal distribution like that of the probability distribution) of the parameters of the log-
surface contamination. The best fitting pair of l and r, normal distribution of exposure, and generated by
was chosen by the same Kolmogorov–Smirnov test for bootstrap.
goodness-of-fit (Siegel & Castellan, 1988) as described
above. 2.3.2. Simulation of Listeria growth during storage
Uncertainty of the parameters of the theoretical distri- Growth of L. monocytogenes was simulated using the
bution was estimated by non-parametric bootstrap. One- deterministic model developed by the USDA and
thousand iterations of the bootstrap sampling were implemented in the USDA Pathogen Modeling Program
performed using @Risk and the pairs of values for mean (PMPWin version 6.1.0), under the following set of
and standard deviation recorded. assumptions:

2.3. Dose–response assessment • Initial contamination equal to the maximum observed


contamination level in the sampled hams (5 organisms/
2.3.1. Dose response assessment immediately after serving).
production • Water activity aw = 0.94 (the maximum observed in
A first dose–response assessment was performed under Parma ham).
the assumption of the absence of bacterial growth. • Duration of storage between 1 and 30 days.
It was based on an exponential curve for the following • Storage temperature between 4 and 10 C.
reasons: • Storage at higher, less suitable temperatures of between
10 and 25 C.
• The use of the Exponential model meets the recommen-
dations of the draft ‘‘WHO/FAO Guidelines on Hazard Finally, the expected incidence of listeriosis per serving
Characterization for Pathogens in Food and Water for consumed by each risk sub-population was recalculated,
the selection of dose–response models for infectious based on the new exposure levels after bacterial growth
microorganisms’’ (FAO/WHO, 2003). during storage.
A. Giovannini et al. / Food Control 18 (2007) 789–799 793

3. Results Table 2
Ham samples positive and subdivided by consortium and product type
3.1. Collection and analysis of samples Product type Parma San Not #Positive
Daniele identified samples
for L.m.
A total of 637 samples were collected (Table 1). Only the
490 samples collected from de-boned ham were considered Bone-in ham (P) 0 0 0 0
De-boned ham (D) 15 5 0 20
in the following analysis because the methods for sample Sliced ham, 0 0 0 0
collections were different in the case of sliced hams; also, vacuum
the ability of this sampling procedure for detecting a sur- packed [V]
face contamination was lower. Total 15 5 0 20
Twenty positive samples were detected, 15 in Parma
hams and 5 in San Daniele hams (Table 2). The total fre-
quency of contamination was 4.08% (95% confidence inter- points were included within the 95% confidence limits of
val: 2.67–6.22%). the distribution, as determined by bootstrap.
Each MPN/g of surface contamination was equivalent
3.2. Exposure assessment to 3.10 MPN/serving (Table 3).
The results of the simulation of the extraction of serv-
The frequency distribution of observed contamination ings are shown in Fig. 4. The frequency distribution of
levels (MPN/g of surface contamination) was fitted by a the simulated levels of contamination of servings was fitted
log-normal distribution with the mean 4.8 (95% confi- by a lognormal distribution with the mean 4.6 (95% con-
dence limits: 6 to 4) and the standard deviation 1.9 fidence limits: 4.4 to 4.8), the standard deviation 2.7
(95% confidence limits: 1.5–2.4) (Fig. 3); the mean and (95% confidence limits: 2.6–2.8) and the Pearson correla-
the standard deviation were significantly correlated (Pear- tion coefficient between the mean and the standard devia-
son correlation coefficient r = 0.70). All observed data tion r = 0.996 (Fig. 5). All simulated data points were
included within the 95% confidence interval. The result of
the exposure assessment (Fig. 5) is the probability distribu-
tion of the doses ingested by consumers of the portion of
Table 1 the ham not covered by the skin; this is considered the
Ham samples collected and subdivided by consortium and product type
worst-case scenario.
Product type Parma San Not Total
Daniele identified
3.3. Dose–response assessment
Bone-in ham (P) 0 0 1 1
De-boned ham (D) 306 181 3 490
Sliced ham, vacuum packed [V] 16 130 0 146
The results of the dose–response assessment, compared
to the results of the exposure assessment (probability of
Total 322 311 4 637
exposure to the various doses of L. monocytogenes) are

Fig. 3. Observed cumulative distribution of the log (MPN/g) of Listeria surface contamination, the theoretical lognormal distribution, and its 99%
confidence limits.
794 A. Giovannini et al. / Food Control 18 (2007) 789–799

Table 3 shown in Figs. 6–8. The dose able to give a 1% probability


Frequency distribution of the levels of Listeria contamination per slice and of clinical listeriosis in the normal adult population is
per serving
between 1011 and 1013 CFU of L. monocytogenes and, given
Results of sampling MPN/slice MPN/serving Number of the distribution of contamination on hams, its probability
(MPN/g less than) samples
can be estimated between 3.5 · 108 and 5 · 1010. The
0.04 0.06 0.12 470 most likely levels of contamination have a negligible ill-
0.3 0.47 0.93 9
0.6 0.93 1.86 6
ness-inducing probability (Fig. 6), i.e. the probability of
0.9 1.40 2.79 2 clinical listeriosis after ingesting a serving with the maxi-
1.2 1.86 3.73 1 mum observed level of contamination is between
1.5 2.33 4.66 2 1 · 1014 and 1 · 1012. Based on the distribution of expo-

Fig. 4. Frequency distribution of the simulated levels of Listeria contamination in extracted servings.

Fig. 5. Cumulative probability distribution of the doses of Listeria ingested by consumers of the portion of the ham not covered by the skin (worst-case
scenario): simulated values, theoretical distribution, and 95% confidence limits.
A. Giovannini et al. / Food Control 18 (2007) 789–799 795

sure levels, the expected incidence of listeriosis per serving lognormal distribution, with a theoretical range from
consumed by each risk sub-population, was calculated 1 to +1, it could overestimate the very high contami-
(Fig. 9). nation levels. For this reason, the growth of L. monocytog-
The dry cured ham has to be stored at refrigeration enes during storage was simulated with reference to the
temperatures unless it is vacuum packed or packed in a maximum observed contamination level. In Fig. 10, results
modified atmosphere. Therefore, the dose–response curves for the normal adult population are shown: during the
after growth during storage at temperatures ranging from first 6 days of storage at 10 C the expected increase of
4 to 10 C and for periods ranging from 1 to 30 days are the risk of clinical listeriosis is 1 logarithm (from the base-
shown in Figs. 10 and 11. A further set of dose–response line 1 · 1013 to 1 · 1012); subsequently, the expected
curves has been calculated for the normal population after increase is around 1 logarithm every 2 days; in the
storage under higher temperature conditions (tempera- instance of storage at 4 C, around 16 days are required
tures ranging from 10 to 25 C, Fig. 12). Since the esti- to increase the risk of the first logarithm with the subse-
mated probability distribution of contamination is a quent increase at 1 logarithm every week. In Fig. 11 the

Fig. 6. Listeria exponential dose–response curves for the normal adult population, compared to the results of exposure assessment.

Fig. 7. Listeria exponential dose–response curves for some at-risk sub-populations, compared to the results of exposure assessment.
796 A. Giovannini et al. / Food Control 18 (2007) 789–799

Fig. 8. Listeria exponential dose–response curves for some at-risk sub-populations, compared to the results of exposure assessment.

Fig. 9. Expected incidence of listeriosis per serving in various at-risk sub-populations.

results for the most susceptible population (organ trans- Once the maximum bacterial concentration (log(CFU)/g
plant patients) are shown: the increase of the risk of clin- around 9.5) is reached, the probability of infection per
ical listeriosis follows the same trend observed for the serving for the normal adult population is around 105
normal adult population, beginning from an initial level (Fig. 12).
around 109. In Fig. 12, results after the storage of ham
at higher temperatures are shown for the normal adult 4. Discussion
population: during storage at 25 C the expected increase
of the risk of clinical listeriosis is about 3 logarithms per Sampling was conducted at holdings exporting hams to
day (from a baseline of 1 · 1013) during the first three the USA and was stratified proportionally to the amount
days of storage; subsequently the increase is slower until of product (weight) exported in 2001. Nevertheless, the
the stationary phase of the bacterial growth is reached results represent the entire production of the two consortia
on the 5th day. The time required for bacterial growth since their exports to the USA is only a small fraction of
to stabilize increases decreasing storage temperature; at their entire production, most of which is for the domestic
10 C stabilization is reached on the 30th day of storage. and European markets.
A. Giovannini et al. / Food Control 18 (2007) 789–799 797

Fig. 10. Dose–response curve after Listeria growth during refrigerated storage for the normal adult population; initial contamination = 5 cells per serving;
aw = 0.94.

Fig. 11. Dose–response curve after Listeria growth during refrigerated storage for organ transplant patients; initial contamination = 5 cells per serving;
aw = 0.94.

Sampling was done at the end of the production process ered by skin (aw = 0.92) and where it cannot reach deeper
just before dispatch. Sampling at this stage was considered tissues (aw = 0.94) until de-boning, when cross-contamina-
to be representative of the possible exposure risk to the tion is possible. The de-boning and skinning of ham usually
consumer, because contamination by L. monocytogenes is takes place in the retail market or in the production plant
restricted to that part of the surface of the muscle not cov- just before shipment.
798 A. Giovannini et al. / Food Control 18 (2007) 789–799

Fig. 12. Dose–response curve after Listeria growth during non-refrigerated storage for the normal adult population; initial contamination = 5 cells per
serving; aw = 0.94.

The exposure assessment that was performed is a worst- ing, however, has little effect on the shape of the dose–
case scenario because the only part of the ham originally response relationship. Not enough data on natural out-
contaminated is the surface of the muscle not covered by breaks have been found in the available literature to
the skin because contamination of the other parts occurs attempt to fit the data to a Beta-Poisson model as was
passively during skinning and de-boning. Other parts, made in a previous risk assessment (Giovannini et al.,
therefore, may have a contamination level that is less than 2004).
or, at maximum, equal to the contamination level of the It was not possible to use a stochastic approach for the
sampled portion of the ham. Bacterial growth may occur dose–response assessment because of the very little expected
only in cross-contaminated deep parts close to the bone number of cases according to the exponential model: even
because the whole of the external surface has a water activ- with 100,000 iterations the model was just able to generate
ity of less than 0.92. The simulation of bacterial growth a single case of listeriosis. The power of the hardware
during storage (at retail or at the consumer’s home) was employed did not allow us to run the millions of iterations
performed considering a water activity of 0.94 for the required to have an output probability distribution. There-
whole ham; this simulation is also a worst-case scenario. fore, it was necessary to use a deterministic model.
The exponential dose–response curve was chosen as rec- The probability of infection estimated after bacte-
ommended by the Joint FAO/WHO Expert Consultation rial growth at refrigeration temperature was lower
on Risk Assessment of Microbiological Hazards in Foods (3.9 · 108) than the probability of infection estimated
(WHO/FAO, 2001). This model, however, is based on without bacterial growth (6.1 · 107). This is an artifact
some stringent assumptions that only in some instances due to the need to choose a value for the inoculum that ini-
can be met under real-world conditions, namely (i) the tiates bacterial growth; the initial value chosen was 5 CFU/
probability of infection is assumed to have a constant value serving (the maximum observed contamination level). On
for any given host and any given strain of the pathogen, the contrary, the theoretical range of the estimated proba-
and (ii) the distribution of the organisms in the inoculum bility distribution of contamination varies from 1 to
is assumed to be random, and characterized by a Poisson +1, and the simulations performed gave a maximum sim-
distribution (FAO/WHO, 2003). The first assumption does ulated exposure of 2,491,743 CFU/serving. The probability
not take account of the biological variability of both hosts of infection calculated without bacterial growth was the
and pathogen strains. This shortcoming could be overcome average of the probability of infection, weighted on the
by the use of a Beta-Poisson model, that assumes a proba- entire simulated distribution of exposure and on the uncer-
bility of initiating an infection to be different for every tainty (i.e. the probability distribution) of the parameters
organism in every host, and where the probability of infec- of the lognormal distribution of exposure. On the contrary,
tion is assumed to follow a beta distribution. The second the probability of infection calculated after bacterial
assumption excludes spatial clustering of cells in the inocu- growth refers to a single value of exposure. Therefore,
lum. Clustering can be represented by a negative binomial the risk calculated after bacterial growth, to be properly
distribution or any other contagious distribution. Cluster- interpreted, has to be considered in terms of its increase
A. Giovannini et al. / Food Control 18 (2007) 789–799 799

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