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ASPECTS OF ROAD SAFETY AUDITS

By George Kanellaidis1

(Reviewed by the Highway Division)

ABSTRACT: The procedure of road safety audit (RSA), which originated in Great Britain and is now being
spread in several countries around the world, can be incorporated in the framework of designing, constructing,
and operating road infrastructure as a means for preventing accidents. RSA, which can be applied to both new
and existing road facilities, is typically carried out by an independent team consisting of highway engineers and/
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or traffic safety experts. The present paper focuses on the possibilities for further enhancing the consideration
of human factor-related issues in RSA guidelines. This can be achieved through the incorporation of quantitative
checks on consistency or driver work load. Such tests can give more weight to the auditors’ reasoning. Moreover,
the scope is investigated for providing increased opportunities for road user involvement in the RSA process.
Public involvement is examined from the aspect of a group’s representation, appropriate RSA stages, effective
procedures, and responsibility. The possible means and methods for communication between auditors and road
users’ representatives are also discussed.

INTRODUCTION policies. Guidelines for the design of highways include, to a


greater or lesser extent, safety-oriented considerations. How-
Road safety is an issue of prime importance in all motorized ever, road design must be a compromise between several fac-
countries. Although accident rates vary considerably among tors besides safety, such as economy, traffic flow efficiency,
countries, there is a consensus that their levels are far higher environmental considerations, etc. Consequently, established
than societies can tolerate. In the search for effective ways of practices and ad hoc decisions at all levels of road design may
coping with this problem, there has recently been a drive to- not reflect maximum safety but, rather, a weighted optimum
ward closer international cooperation, among both researchers
between all relevant factors.
and policymakers. The research community has been increas-
In addition, design standards in different countries (or in
ingly active regarding the international exchange of experience
different project types) may have different degrees of com-
in road safety, as manifested from events such as the ‘‘1997
pulsoriness, ranging from binding regulations to fully discre-
Traffic Safety on Two Continents’’ conference. It is also worth
tionary possibilities (Ruyters et al. 1994); it is typically the
mentioning the initiatives undertaken in the 1990s by the Eur-
case for guidelines to suggest a minimum value for a design
opean Commission (EC). One of the catalysts for EC activities
element (e.g., curvature), dependent on a preselected design
has been the Gerondeau report (Gerondeau 1991), whereby it
speed. It is true that many guidelines incorporate certain con-
is proposed that European countries should aim to benefit from
sistency checks, to ensure that the liberty of selecting (above-
one another’s experience in road safety issues, by seeking to
minimum) design values does not result in an unpredictable,
supplement the conventional EC’s approach of issuing direc-
tives with new forms of action, such as the following: and thus, unsafe driving environment. Nevertheless, adherence
to highway design standards does not mean that a highway
facility could not have been designed or built in a safer way.
• Permanent exchange of road safety-related information
Concepts such as quality management and sustainable safety
across countries (such as accident databases).
have gained ground in the past decade and may have been
• The production and dissemination of technical manuals
among the factors that led policymakers and project managers
with suggested improvements, as an interim step toward
the eventual harmonization of road safety policies (in- to realize the need for purely safety-oriented tools, to be used
cluding the creation of a European highway code). as a means for achieving and maintaining the required safety
• Attachment of importance to accident prevention, as a levels of roads intended for public use. One such procedure,
means for monitoring quantified targets (the report set a which originated in Great Britain and is now spreading in sev-
goal of reducing the killed and seriously injured figures eral other countries, is the road safety audit (RSA). The con-
by 20–30% by the year 2000). cept of RSA comes close to Gerondeau’s recommendation for
‘‘systematic external checks of the safety of every road net-
The prevention of traffic accidents involves much effort in work’’ (Gerondeau 1991). RSA can be applied to either new
a wide range of fields, including regulatory measures (con- road schemes or existing roads. The latter case is envisaged
cerning driving rules, licensing, vehicle standards, and other as a supplement to conventional road safety engineering prac-
issues), technical advances (such as improved vehicle design tices (such as the ‘‘blackspot treatment’’ procedures) and adds
or pavement construction techniques) and last but not least, a preventive element to what is, essentially, a corrective (re-
specific infrastructure/engineering improvements. It is widely medial) approach. Application of RSA to new road schemes,
accepted (Gerondeau 1991; Ruyters et al. 1994) that sound which is the focus of this paper, can be seen as a means for
road design standards should be the backbone of road safety improving the process of designing and implementing high-
way projects, through the addition of explicit checks on their
1
Assoc. Prof., Hwy. Engrg., Nat. Tech. Univ. of Athens, 5 Iroon safety at distinct stages of their development.
Polytechniou, Athens, GR 157 73, Greece. RSA is one of the best examples regarding the application
Note. Discussion open until May 1, 2000. To extend the closing date of techniques and research findings to real-world problems.
one month, a written request must be filed with the ASCE Manager of The present paper is a review of the RSA concept, its current
Journals. The manuscript for this paper was submitted for review and
application, and possible enhancements. Besides providing a
possible publication on April 15, 1997. This paper is part of the Journal
of Transportation Engineering, Vol. 125, No. 6, November/December, concise overview of the experience with RSA in Great Britain
1999. 䉷ASCE, ISSN 0733-947X/99/0006-0481–0486/$8.00 ⫹ $.50 per and elsewhere, the paper explores potential links between RSA
page. Paper No. 15563. and important developments in the following:
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J. Transp. Eng. 1999.125:481-486.


• Highway engineering research: The significance of human stage) or be subject to assessment by the recipient of the report
factors research findings and the scope for further incor- (client, designer, or project manager).
porating these into RSA practice. A RSA, at any project stage, should involve the following
• Highway engineering practice: The establishment of en- steps for the auditor (Austroads 1994):
vironmental assessment and the examination of a similar
framework for RSA. • An initial meeting between the auditor and the recipient
of the audit report
RSAs: THEIR ROLE IN DESIGN AND • Assessment of the design documents and other back-
IMPLEMENTATION OF HIGHWAY PROJECTS ground information
• Inspection of the site
A RSA can be defined as ‘‘a formal examination of an ex- • Writing of the report
isting road or traffic project [. . .], in which an independent • A final meeting for discussing the recommendations
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examiner reports on the project’s accident potential and safety


performance’’ (Austroads 1994). It involves ‘‘evaluation of A valuable tool for auditors, useful at all stages of an RSA,
physical elements and their interaction having a direct bearing is the set of checklists included as an attachment to RSA man-
on the safety of road users and others affected by a road con- uals (DOT 1990; Austroads 1994). It is generally thought ap-
struction scheme, in order to detect foreseeable potential safety propriate to use the checklists primarily as a memory aid—to
hazards’’ (DOT 1990). make sure that nothing has been overlooked—instead of
The RSA originated in Great Britain in the 1980s, where solely relying on those for carrying out the audit; ‘‘they are
the first formal guidelines were published (DOT 1990). Since not a substitute for knowledge and experience’’ (Austroads
1991, RSA has been mandatory for British motorways and 1994).
‘‘trunk roads.’’ Other countries, such as Australia, New Zea- In assessing documents, such as drawings and other data, the
land, and Denmark, have adopted the procedure and developed main task for the auditor is to consider the compliance with
their own guidelines, whereas in several other countries the road/traffic engineering guidelines. However, auditing goes
introduction of RSA has been considered or piloted. In the beyond checking adherence to design standards (Proctor and
United States, the Federal Highway Administration has re- Belcher 1993). In certain situations, it may be necessary to re-
cently decided to promote the RSA process at state and local vise a design that is compatible with standards to achieve im-
levels; several states and some local governments have been proved safety. Moreover, decisions that do not directly or in-
active in initiating pilot audits (Austroads 1998). directly affect safety should not belong to the scope of an audit.
Regardless of the size or nature of a road project, a RSA A practical example of auditing the design of a signalized
can be conducted at the following stages in the development intersection is presented in Fig. 1 (Austroads 1994). To avoid
of a road project: locating a pedestrian crossing 10 m downstream from a traffic
signal, the proposed layout in this example was changed to
• Feasibility reduce the number of conflict points.
• Preliminary/draft design The potential intersection between highway design stan-
• Detailed design dards and RSAs should not be overlooked. Because the revi-
• Preopening sion of design standards is a long and complex process
(Kanellaidis 1996), it might be possible to utilize RSAs as a
Auditing at an early stage (such as feasibility) can help elim- means for improving those standards. As audits take a broad
inate potential safety problems that can arise from initial de- view concerning safe road design, it is generally the case that
cisions (e.g., selection of road type and route), and whose cor- their recommendations also include the application of concepts
rection at a later stage may be time-consuming, costly, or and specific practices, which, although being accepted and of
simply impossible (Ruyters et al. 1994). The report by Ruyters proven effectiveness, have not yet found their way into design
et al. has identified four distinct ‘‘levels’’ at which road safety guidelines. The lessons learned from the experience of road
may be considered: authorities with RSAs, regarding both the proposed design so-
lutions themselves and their effectiveness (in terms of the new
1. The road network in its entirety road’s safety performance, as monitored and quantitatively re-
2. Road classification corded), should be documented in a systematic way to serve
3. Adherence to standards as an input for the next revision of design standards.
4. The detailed design process
RSAs AND HUMAN FACTORS
From among these levels, it is Levels 3 and 4 that coincide Human factor engineering involves the application of find-
with decisions and actions pertaining to individual projects; it ings from behavioral studies to engineering solutions. In the
is, therefore, at those levels that RSAs are most relevant. How- context of highway design, the term ‘‘human factors’’ denotes
ever, an RSA at the feasibility stage, where the role of a new the attachment of emphasis on road user characteristics.
road in the network hierarchy is defined, can be considered as Among the main categories of factors contributing to traffic
a potential safety improvement at the level of road classifica- accidents, those related to road users account (alone or in com-
tion. At Level 1, one needs to consider the overall benefits for bination with road- and vehicle-related factors) for more than
the road system from introducing RSA, either as an option or 90% of crashes (Sabey and Taylor 1980; Evans 1991). It is to
as a requirement, for individual projects. be expected that measures and standards directly pertaining to
RSA should be carried out by an independent team, whose the road users (such as education, information, and enforce-
members must possess sufficient knowledge in the fields of ment) should be crucial to a road safety policy. However,
road design, traffic engineering, and driver behavior. The au- given the interaction among all three components of the ‘‘hu-
ditor has to submit a written report to the client (i.e., the high- man-vehicle-road environment’’ system, measures concerning
way authority that owns the project) or, in certain cases, to the highway or vehicle design also affect driver behavior. Thus,
designer or project manager. Depending on the organizational the importance of human factors to road safety is beyond
structure, the auditor’s recommendations may either be bind- doubt.
ing (i.e., compulsory to follow before proceeding to the next Researchers have suggested (Lamm et al. 1986; Krammes
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FIG. 1. Practical Example of RSA (Austroads 1994)

1994) that highway design guidelines should more explicitly For several of the above concepts, some highway design
consider road user characteristics. This could help reduce the guidelines have already incorporated explicit checks and pro-
probability of driver error or, in cases where it cannot be suf- visions. For example, since the mid-1980s, German standards
ficiently reduced, provide a ‘‘forgiving’’ road environment (RAS-L-1 1995) have included a graph for estimating the con-
(‘‘Policy’’ 1994). Certainly, the development of highway de- sistency of consecutive horizontal curves, as well as a model
sign guidelines has been marked by an increased emphasis on for predicting the 85th percentile speed as a function of the
road user requirements and a stronger behavioral content than road’s bendiness, or curvature change rate. Also, standards in
before. It can be argued, however, that there is still a human the United States (AASHTO 1994) and other countries make
factor deficit to be overcome. either quantitative provisions or comments regarding the safety
Specifically, two main areas can be identified (Kanellaidis of certain road user types (e.g., pedestrians) or special condi-
1996) in the context of human factors in road and traffic en- tions. However, other human factor-related concepts are not
gineering: extensively (or not at all) covered in road design guidelines.
It is interesting to note that RSA guidelines (Austroads
• Area I: Effect of highway design on driver behavior 1994; ‘‘Guidelines’’ 1996) seem to also have made consider-
• Area II: Consideration of driver behavior variability able advances toward the incorporation of at least some of
those concepts. Some examples are mentioned below.
Some Area I concepts and suggestions included in audit
To illustrate the scope of the above two areas, some of the guidelines are as follows:
main concepts associated with each one are listed below.
• Principle for safer road designs: ‘‘Designing for the user’’
Area I Concepts (Austroads 1994).
• Preopening stage: It is essential to drive, cycle, walk, and/
• Design consistency, driver expectancy, and driver work- or ride through the scheme, where appropriate, to see it
load: Quantitative indices, investigation of their associa- as the road user sees it (‘‘Guidelines’’ 1996).
tion with safety of design (Messer et al. 1981; Leisch and • Preliminary design stage: The impact of landscaping on
Leisch 1977; Hirsh 1987; Polus and Dagan 1987). visibility and road user perception should be checked
• Models linking geometric design parameters and variables (‘‘Guidelines’’ 1996).
pertaining to driver behavior: For example, speed-curva- • Concerning junctions: It is important to avoid perceptual
ture graphs (McLean 1981; Kanellaidis et al. 1990; Lamm problems, junction choice should be consistent along
et al. 1992). routes to aid driver recognition (‘‘Guidelines’’ 1996), per-
• Drivers’ perception of the risk associated with geometric ception of priority should be reinforced by visual cues
design features: Objective versus subjective risk, risk (Austroads 1994).
compensation, and other theories (Watts and Quimby • Concerning merges: Adequate sight distance is required
1980; Wright and Boyle 1987; Kanellaidis and Dimitro- in advance to allow drivers to appreciate and plan the
poulos 1994). merge (Austroads 1994).
• Need to avoid a visually deceptive combination of sharp
curves and restricted sight distances (‘‘Guidelines’’ 1996)
Area II Concepts
Some Area II concepts and suggestions included in audit
• Need for improved consideration of all types of road guidelines are as follows:
users, including among others: aging drivers, drivers us-
ing speeds above the 85th percentile speed, pedestrians, • Auditing principles include meeting the needs and per-
and other vulnerable road users (McLean 1981; Zegeer ceptions of all types of road users, and achieving a bal-
and Council 1993). ance between needs where they may be in conflict. The
• Examination of driver behavior under nonstandard envi- ‘‘drive, ride, walk in safety’’ concept is associated with
ronmental conditions, such as darkness and adverse highlighting the needs of the more vulnerable road user;
weather. in a safety audit, the road scene should be visualized
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J. Transp. Eng. 1999.125:481-486.


through the eyes of all the different types of road users within RSA frameworks of environmental assessment proce-
(‘‘Guidelines’’ 1996). dures, which include public participation as an integral part,
• Need to consider the special needs of heavy vehicles, bi- could lead to the eventual incorporation of RSAs into the
cycles, pedestrians, particularly children, the elderly, and framework of what is known as the ‘‘environmental impact
the intoxicated (Austroads 1994). assessment’’ in Europe, or the environmental impact statement
• Preopening stage: The emphasis is to inspect the scheme in the United States—concepts developed in the last 30 years.
from the viewpoint of the different road users: Pedestri- The following aspects may be considered for initiating such
ans, cyclists, equestrians, public transport operators, enhancement in RSA procedures.
goods vehicles, as well as car drivers (‘‘Guidelines’’
1996). Definition and Representation of Affected Groups
• Follow-up stage: The emphasis should be on the ‘‘drive,
ride, walk’’ concept, to check that the perception of safety As a first step in the introduction of public involvement, it
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to different road users is up to expectations (‘‘Guidelines’’ will be important to define the categories of affected groups.
1996). In a rural road project, these will include the drivers of private
• Need to inspect the audited sight also by nighttime cars, motorcycles, and special categories of vehicles (such as
(Austroads 1994) and to assess the effect of wet weather lorries and buses), where relevant. In an urban road project
on day and night visibility (‘‘Guidelines’’ 1996). (or a road including sections passing through inhabited areas),
other road user categories may also be of interest, such as
The above provisions in guidelines are expressed in terms pedestrians, cyclists, taxi drivers, etc. The representatives of
of suggested principles and best practice tips. However, they affected groups for the purposes of auditing can be selected
are rarely, if ever, expressed quantitatively. It could be argued from associations of professional and amateur drivers (for ex-
that the auditor’s experience and judgment, together with his/ ample, automobile/motorcycling/cycling clubs, lorry driver un-
her familiarity with both design standards and state-of-the-art ions, etc.). The viewpoint of pedestrians (and of the general
research findings, should be sufficient to ensure that human public) could be expressed by representatives from local gov-
factor-related issues are treated in the best possible way. How- ernment and/or special unions or other citizen initiatives. If
ever, it may be practical to introduce explicit quantitative special categories of drivers are to be considered, relevant as-
checks as part of auditing guidelines, possibly as a supplement sociations could also have their representative. For example,
or enhancement to checklists. Where available, such provi- the aging of the western world’s population and the resulting
sions (e.g., for consistency/driver workload) could help im- increase in the percentage of older road users would suggest
prove and clarify the behavioral perspective of a road safety that these should be particularly considered and represented in
audit: The auditor’s judgment could thus be backed by quan- the public panel through a member of a pensioners’ union or
tified estimates that are easy to obtain, without the need to other similar body. It is important that the representatives ap-
consult standards or to seek within the vast body of research. pointed are not posing as road safety experts, nor should they
This could lead to RSA guidelines developing into self-suffi- be chosen on such grounds.
cient yet flexible manuals, such as the Highway Capacity Man-
ual (1985). Relevant RSA Stages

PUBLIC INVOLVEMENT IN RSAs A suitable time at which the public can be involved in a
RSA seems to be at the preopening stage, when it is possible
Given the significant current behavioral content of RSAs, to drive (and also walk or cycle) through the facility. It seems
as well as the potential for its enhancement, the requirement reasonable that public involvement should, as a first step, be
for engineers to ‘‘learn to see the highway in the eyes of the included only at that stage; at earlier stages, it would arguably
ordinary driver’’ (Messer et al. 1981; ‘‘Guidelines’’ 1996) is be too difficult for nonspecialists in highway design to under-
highly relevant in the case of road safety auditors. A question stand the engineering plans of the highway and to imagine the
arising from that consideration is whether, and to what extent, problems that would occur to them as drivers/pedestrians.
input from the actual road users can be utilized in the RSA However, there arises the possibility that the preopening stage
process. Can RSAs provide the opportunity for drivers, riders, may be too late for significant corrections to be made to the
and walkers—for whom engineers are supposed to act, in a design. Perspective drawings of the highway scheme (Taigan-
way, as surrogates—to actually have a say in decisions that idis and Kanellaidis 1998) could then be of help, particularly
are to affect their own safety? if it is possible to produce animation on a computer screen to
British guidelines for RSA (‘‘Guidelines’’ 1996) mention simulate movement through the facility, and thus facilitate
‘‘feedback from road users’’ as a possible input during the evaluation by nonexperts at the detailed design stage. Never-
monitoring (follow-up) phase of an audited road, to establish theless, the introduction of visual aids depends on how far it
whether the perception of safety in a completed scheme is up is technically feasible (and economically reasonable) to pro-
to the users’ expectations. An even more substantial step in duce realistic and meaningful representations of road users’
the direction of public involvement in road safety would be to visions.
seek the opinion of road users during the auditing process
itself. Public involvement should not be taken to mean that Communication
experts’ assessments are inadequate or unreliable. Its main
purpose is to provide the road users’ angle, and thus, to help An important issue to the success of public involvement is
engineers acquire a better understanding of their perception, the need for a systematic, effective procedure of communicat-
expectations, and needs. ing (common language) between experts and the public. In this
Road safety presents certain similarities to environmental context, the presence of a mediator (Hartgen and Driggers
effects, in that both are quality aspects of road traffic that, in 1993) will be essential. This mediator may be a member or
the context of specific projects, are often overlooked due to associate of the engineering auditing team, independent of the
level-of-service and accessibility requirements. On the basis of design team. The mediator should also be in a position to
that similarity, it has been suggested (Wegman et al. 1994) adequately fulfill his/her role; i.e., he/she should be approved
that procedures used to assess environmental impacts could be by the panel of road users and be capable of reaching a good
transferred to the evaluation of road safety impacts. Adoption standard of communication with them. The role of the medi-
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J. Transp. Eng. 1999.125:481-486.


ator will become more important if, in the future, the possi- Given the significance of human factors for road safety, it
bility of extending public involvement to audits on the detailed is argued that design guidelines should ensure a more explicit
design stage is explored. In this case, he/she will have to es- consideration of road user characteristics, particularly those
tablish a two-way communication with the public, by trans- concerning: (1) the effect of highway design on driver behav-
lating the plans of the road to them as well as receiving their ior; and (2) driver behavior variability among different road
reactions and comments. user types. Safety audit guidelines seem to have made consid-
erable advances toward incorporating relevant requirements in
Contribution their principles and checklists. It may be practical, however,
to introduce quantitative checks (e.g., for consistency or driver
The public panel can provide inputs in one or more of the
workload) as a supplement or enhancement of checklists, to
following forms (Wright and Boyle 1987; Brackett 1993;
back the auditor’s judgment by easily obtainable quantified
Zeitlin 1993; Kanellaidis and Dimitropoulos):
information. Eventually, RSA guidelines could develop to self-
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sufficient yet flexible highway safety manuals, useful not just


• Ratings of road hazards (in one or more subjective scales):
for the auditor but, primarily, for the highway designer, within
These could come in the form of rank-ordering, or mark-
the broader objective of developing a safety culture among the
ing on a bipolar semantic differential scale. This proce-
engineering community.
dure has the advantage of being quantitative and offering
Another possible development for the RSA process lies in
the possibility of correlating (average) ratings to physical
providing increased opportunities for road user involvement.
features of the road. Its main disadvantage is the difficulty
It has been suggested that procedures used for environmental
of allowing meaningful comparisons between different
impact assessment/statements, of which public participation is
panels of raters.
an integral part, could be transferred to the evaluation of road
• Verbal (oral or written) description of potentially hazard-
safety impacts. Important steps in developing such a frame-
ous sites: This method would have the advantage of being
work include: (1) defining the affected groups and specifying
potentially very descriptive but would present the diffi-
the means of representing them; (2) identifying auditing stages
culty of quantification and standardization.
in which public input would be most appropriate; (3) working
• Presenting the road user with a checklist/questionnaire for
out systematic and effective procedures for communicating,
assessing safety: In this process, failure to give the panel’s
possibly through a third-party mediator; (4) selecting the most
members the freedom of identifying what they consider
useful forms (e.g., questionnaire) for provision of the public
dangerous (this could be achieved by including open-
panel’s contribution; and (5) clarifying the limits of the pub-
ended items) would very likely result in lack of infor-
lic’s responsibility. Public involvement should not be taken to
mation.
mean that experts’ opinion is inadequate. It should rather be
seen in the overall perspective of ensuring a better two-way
Responsibility
communication between engineers and road users: The former
Finally, it will be necessary to clarify the limits of the pub- acquiring a direct understanding of road users’ perception and
lic’s responsibility. As audits are not concerned with the stra- needs, and the latter experiencing a sense of involvement in
tegic design of the scheme, public involvement cannot (and the implementation of a road project, enhancing both the
should not) be another bureaucratic hurdle. Rather, it is im- safety of the scheme and their own overall acceptance of it.
portant that arrangements are such that the auditing process is
smooth, effective, and comprehensive. The mediator should be ACKNOWLEDGMENTS
responsible for collecting and clarifying the comments of the
panel’s members. However, it is the auditing team (i.e., the The writer wishes to thank Ioannis Dimitropoulos and Anastasia
Flouda, Research Associates of the National Technical University of Ath-
safety engineers) that should be responsible for the production ens, for their suggestions regarding the completion of this paper.
of the audit report (which should clearly indicate what com-
ments/issues were raised by the public panel and how they
were dealt with). APPENDIX. REFERENCES
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SUMMARY AND CONCLUSIONS Austroads. (1998). Proc., Austroads Int. Rd. Safety Audit Forum.
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