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A n I n t r o d u c t i o n t o the Use of E p i d e m i o l o g i c Research

M e t h o d s in D a i r y Science

CHARLES R. CURTIS, 1 HOLLIS N. ERB, 2


and JANET M. SCARLETT KRANZ
Section of Epidemiotogy
Department of Clinical Sciences
New York State College of Veterinary Medicine
CornelI University
Ithaca, NY 14853

ABSTRACT if the specific exposure were prevented.


Many dairy scientists are not familiar The attributable fractions are useful in
with epidemiologic study designs and planning preventive and herd health
measures. The various designs (cross- programs.
sectional, case-control, cohort) are re-
viewed with special reference to their INTRODUCTION
strengths and weaknesses. Epidemiologic Epidemiologic study designs are being used
measures (incidence and prevalence rates, more and more often in animal disease research.
relative risk, odds ratio, attributable Such studies can be used to evaluate the impact
fraction, and population attributable of management on health and performance and,
fraction) are defined, and their validity in ultimately, to formulate herd health and
the contexts of the different study preventive or control programs. However, a
designs is discussed. working knowledge of epidemiologic designs
Incidence rate (risk of disease) is the and measures is required, particularly their
number of new cases of a disease divided strengths and weaknesses in various situations.
by the population at risk during a specified Analytic designs (cohort, case-control, cross-
time period. Prevalence rate is the fre- sectional) are observational and are often
quency of both new and old cases in a conducted in the "field"; therefore, the designs
population at a specified point or period are used to establish "association", not "causa-
in time divided by the average population tion". Certain measures (e.g., incidence rate)
during that same period. Both incidence can be calculated only from specific designs,
and duration of disease contribute to whereas other measures (e.g., odds ratio) can be
prevalence. Odds ratios and relative risks derived from all three designs.
are measures of association (how much The objective of this paper is to review the
disease the exposed group experienced basic analytic epidemiologic study designs and
relative to the nonexposed group) and are measures with emphasis on their strengths,
used to assess the relative hmportance of weaknesses, and the validity of conclusions that
risk factors. Attributable fraction is the can be derived from them for use in evaluating
proportion of the incidence in the exposed relationships between risk factors and disease
group that can be attributed to the and in formulating herd heath, preventive or
specific exposure. Population attri- control programs for dairy cattle. The secondary
butuable fraction is the expected reduc- objective is to discuss the nature of "disease",
tion in incidence in the whole population because it is pertinent to what the designs can
accomplish.

DISEASE AND EXPOSURE


Received November 4, 1985.
Accepted September 11, 1986. The criteria used to define disease can vary
t Supported in part by a National Science Founda- widely, and any particular study should detail
tion Graduate Fellowship. Present address: Department carefully the criteria used. The definition of
of Clinical Sciences, College of Veterinary Medicine disease can range from a broad clinical sign
and Biomedical Sciences, Colorado State University,
Fort Collins 80523. (e.g., diarrhea) to a specific genetic defect or
2 Reprint requests. aberration. Disease can be thought of as a

1987 J Dairy Sci 70:373-380 373


374 CURTIS ET AL.

model in which the presence or absence of signs for transmission to other cows. The inclusion of
predicts whether the disease is present or absent prevalent cases (i.e., those that have existed
(1). for some time before a study is initiated) can
One important consideration is the differen- result in confusion of prognostic with etiologic
tiation between clinical and subclinical disease. factors. One major disadvantage of examining
In subclinical disease, pathogenic changes occur duration of disease, and perhaps the major
but there are no overtly detectable clinical signs reason it is not widely studied, is that it is
(14). Clinical disease is defined by overtly often very difficult to measure in an uncon-
observable signs associated with underlying trolled (i.e., the field) situation. For example,
pathogenic changes (14). Subclinical disease for diseases such as mastiffs and scours, quanti-
does not always progress to clinical disease. For fication is difficult, because the clinical signs
example, for every clinical case of mastitis in a may become inapparent for some time and then
herd there are 10 subclinically affected animals reappear, making it difficult to establish whether
(12). Clinical and subclinical disease states have the reappearance of the signs signals a new
generally similar etiologies except that some occurrence of disease or merely a flare-up of
factor distinguishes the clinically from the the old disease. Because of this problem, some
subclinically affected animal, which explains investigators have chosen to evaluate only the
the difference in disease expression. If both first occurrence of a disease in a lactation (2, 3,
clinical and subclinical diseases are grouped 5,6,8).
together, factors that influence the development "Exposure" refers to risk (or protective)
of clinical manifestations may be missed or factors; these factors can be variable (e.g.,
confused with factors associated with the another disease, a chemical, a drug, a vaccine).
etiology of the subclinical disease. If the disease In observational studies, exposures are only
has both clinical and subclinical manifestations, measured rather than dictated (the reverse is
it should be examined using separate clinical true of experimental studies). One of the
and subclinical classifications to differentiate greatest difficulties is measuring exposure
between factors associated with the etiology of accurately, especially since it often is assessed
the underlying pathogenesis and factors asso- retrospectively. The strengths and limitations of
ciated with development of clinical manifesta- the methods used to assess exposure (e.g.,
tions (9, 15). Problems also can result when laboratory tests, questionnaires, observations)
clinical disease syndromes have several etiologies; must be considered carefully, as the methods
for instance, "secondary" ketosis has a different determine the quality of data and affect the
etiology than "spontaneous" ketosis, although ability of the researcher to infer a causal
the clinical manifestations are similar (10). relationship. An example from our own studies
An alternative approach to using subclinical (2) was our use of nutritional data collected
and clinical classifications is a classification from a questionnaire rather than from actually
scheme based on severity or stages of progression measuring feed intake/orts and analyzing
of diseases (e.g., in human cancer). Although nutrient content of feed. We were careful to
this approach can be useful, there are dis- point out the nature of these data and not to
advantages. It can be hard to standardize make "strong" causal inferences regarding the
nomenclature and definitions for severity or relationships observed.
stages. Of practical importance is the relative
lack of availability (and understanding) of
EPIDEMIOLOGIC STUDY DESIGNS
multivariate techniques for polychotomous
outcomes (9). The three basic study designs of analytic
Duration of disease has received more epidemiology are cohort, cross-sectional, and
attention than severity of disease, especially for case-control (9, 13, 14). The basis for their
mastiffs (12). Duration is important from both difference is related to the method of sampling
economical and health (primarily prognosis) employed.
reasons. For example, the longer the duration In a cohort design, subjects (e.g., farms,
of mastiffs, the lower the milk yield, the higher cows, feedlot pens) are selected based on
the cost for treatment, the greater the damage presence or absence of exposure. The exposed
to udder tissue, and the greater the opportunity (E+) and unexposed (E--) subgroups (cohorts)

Journal of Dairy Science Vol. 70, No. 2, 1987


OUR INDUSTRY TODAY 375

are examined for development of disease study that the exposure preceded disease;
subsequent to exposure (9, 14). Data may or therefore, one should be careful about cross-
may not be retrospective, depending on whether sectional studies that make "causal" claims.
exposures and disease already have taken place. In the case-control design, cases of the
The cohort design is very similar to a clinical or disease (D+) are accumulated and controls (D--)
field trial except that 1) in a trial the exposure are obtained randomly, usually from the same
is created (applied) and assigned by the inves- population (4, 9, 13, 14). In the case-control
tigator and 2) the trial cannot be retrospective. study the distribution of D+ and D-- animals
For example, the herds that receive herd health is usually not in proportion to the " t r u e "
care from the New York State College of proportional distribution of cases and controls
Veterinary Medicine could be classified (Figure in the population (4, 9, 13, 14). In contrast, the
1) based on housing type: freestalls (E+) and cohort study (being a random sample or total
tiestalls (E--). If these herds are monitored for population of exposed and unexposed animals)
1 yr and the incidence of clinical mastiffs (D+) represents the true proportions of D+ and D--;
compared between the two housing types, this this becomes extremely important in the risk
would be a prospective cohort study looking at and association sections. Exposure (occurring
the association of housing t y p e to the occur- before the disease developed among the cases
rence of mastitis. If, instead, the records from and during a comparable period in the controls)
1980 were used to classify the herds on the is assessed for the two groups (13). Case-control
basis of housing, and the incidence of mastitis studies can be prospective but usually are
was assessed from the records for 1981, the retrospective. The case-control study is statis-
study design would be a retrospective cohort, tically efficient for studying rare diseases (13).
because the events occurred before the study Other advantages of the case-control design are
was initiated. Another example of retrospective the relatively rapid conduct, smaller sample
cohort design is in the study in Michigan (7) sizes required, lower expense, and no need for a
after polybrominated biphenyls (PBB) inad- follow-up period as with the prospective cohort
vertently were added to cattle feed. The exposed design. The major disadvantages of the case-
group was composed of farms that fed the PBB control study are that incidence rates cannot be
contaminated feed. Cohort studies are useful measured and there is a relatively large potential
when the disease under study is common, the for bias inherent to the design (13). The poten-
exposed and unexposed groups are easily tial biases, which are beyond the scope of this
identified, and follow-up is relatively easy (9). discussion, relate to how cases and controls
For a rare disease, the cohort design is im- were selected as well as to problems in assessing
practical, because large cohorts are needed to exposure retrospectively when disease status is
accumulate enough cases to have sufficient known (4). An example of a case-control study
power to detect differences in disease risk (9, is the one Grymer et al. (8) conducted of left
13).
In cross-sectional studies, animals are sampled
without regard for disease or exposure status
and subsequently classified in disease-exposure = ~s~s~ ~ =n~ ~s~s~
categories (Figure 1). Exposure and disease are cases = control S

assessed concurrently (9, 14). These studies also


a b
are called prevalence studies, because the cases E-+ = exposed liE+= a+b
of disease exist (are prevalent) when the study
is conducted (rather than being accumulated as E- ~ non-exl~osed c d NE_= c+d
they occur). For example, Curtis et al. (3)
cross-classified all cows calving on 33 dairy
farms on the basis of parturient hypocalcemia ND,= a~: ND.=b*d N*

(disease) and eight other periparturient diseases


(exposures). The time order of the various
diseases was not assessed; therefore, the study
had a cross-sectional design. In general, the Figure 1. Distribution of exposure and disease in
assumption cannot be made in a cross-sectional a2 × 2table.

Journal of Dairy Science Vol. 70, No. 2, 1987


376 CURTIS ET AL.

abomasal displacement ( L D A ) in Denmark. IR (Table 1) can be calculated o n l y in the


T h e y selected 22 herds a f f e c t e d with L D A following designs: 1) a c o h o r t study where
(cases) and 12 u n a f f e c t e d (control) herds. F e e d the exposed and u n e x p o s e d cohorts are in pro-
composition was e x a m i n e d as a risk factor for p o r t i o n to their true values in the p o p u l a t i o n
LDA, and < 1 7 % crude fiber fed in the ration (i.e., by r a n d o m sampling) or in a c o h o r t study
(E+) increased risk of L D A 10-fold c o m p a r e d where a defined p o p u l a t i o n is entirely e x a m i n e d ,
with feeding > 17% crude fiber (E--). or 2) the special circumstance of a case-control
study in which the entire target p o p u l a t i o n is
MEASURES OF RISK being examined. F o r example, f r o m Figure 2
Risk is measured (assessed) primarily using and Table 2, the overall IR of retained placenta
incidence rates [IR (9, 13, 14)]. An IR is the = 1 5 6 / 1 3 7 4 = .114, = 11.4%, or 11.4 cases per
n u m b e r of new cases of disease divided by the 100 cows at risk (Table I formulas). Exposure-
p o p u l a t i o n at risk during a specified interval (9, specific IR refers to the IR in the E+ and E--
13, 14). Thus, an IR estimates the probability groups and these are i m p o r t a n t for calculation
that an individual in the p o p u l a t i o n at risk o f certain measures of association (Table 1).
will develop the disease during an interval. Neither overall nor exposure-specific IR can be
Erb et al. (5) introduced the t e r m "lactational calculated validly f r o m a cross-sectional study
incidence r a t e " (LIR) in which the n u m b e r of (9) or (usually) f r o m a case-control study
lactations at risk is the d e n o m i n a t o r of the IR. [except in the rare case in which the entire
This is a useful c o n c e p t for the dairy scientist, target p o p u l a t i o n has been used and f o l l o w e d
because the unit of observation is a lactation (9, 13, 1 4 ) ] ;
rather than an individual cow for a variable The prevalence rate (PR) is not a true
n u m b e r of physiological cycles. A valid overall measure of risk; rather, PR means the f r e q u e n c y

TABLE 1. Formulas for calculation of epidemiologic measures. 1

Measure Formula

Overall incidence rate (IR) ND+ = a+c


N* a+b+c+d
IR in the E+ = 1RE+ a
=
a

NE+ a+b
IR in the E - = IR E _ C = C

N E_ c+d
Overall Prevalence Rate (PR) ND+ = a+c
N* a+b+c+d
Relative Risk (RR) IRE+ = a/NE+ = a/(a+b)
IRE- c/N E_ C/(c+d)
Odds Ratio (OR) a/b m ad
c/d bc
Attributable Fraction (AF) IRE+ - IRE-- = R R - 1
IRE+ RR
Population Attributable Fraction (PAF) 2 P(E+)*(RR-- 1)
1 + p(E+)*(RR-1)

See Table 2 for variables in formulas.


2 P(E+) = proportion exposed in target population.

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OUR INDUSTRY TODAY 377

T A B L E 2. Measures of risk and association from a 2 × 2 table of milk fever and retained placenta. ~

S t u d y design
Measure Cohort Case-control Cross-sectional

LIR 2 of retained placenta (RP) 156 = .114 NA 3 NA


1374
LIR of milk fever (MF) 90 = .066 NA NA
1374
LPR 4 of RP 156 = . 1 1 4 NA .114
1374
LPR of MF 90. = .066 NA .066
1374
R R s of RP for cows 2 3 / 9 0 = 2.47 NA NA
with MF 133/1284
OR 6 for RP for cows 23 × 1151 = 2.97 2.97 2.97
with MF 67 × 133
AF T of RP a m o n g cows 2.47-1 = .6 NA NA
with MF 2.47

PAF s of RP a m o n g 9 0 / 1 3 7 4 ( 2 . 4 7 - 1 ) = .09 NA9 NA9


cows with MF 1+90/1374 (2.47-1)

1 Data from Curtis et al. (2) and presented in Figure 2; n = 1374 m u l t i p a r o u s Holstein cows; 33 herds, Ithaca,
NY, See Table 1 for formulas of different measures.
2 LIR = Lactational incidence rate.
3 NA = Not applicable.
4 LPR = Lactational prevalence rate,
s R R = Relative risk.
6 OR = Odds ratio.
7 A F = Attributable fraction.
s PAF = Population attributable fraction.
9 Can be calculated if O R and proportion o f exposed controls are known.

of disease (both new and continuing cases) at a i s t i n g c a s e s it will b e i n f l u e n c e d b y t h e d u r a -


s p e c i f i c p o i n t o r p e r i o d in t i m e (9, 1 3 , 14). The t i o n o f d i s e a s e : P R = I R × d u r a t i o n (9, 1 4 ) .
PR includes survivors of the disease, and N a t z k e ( 1 2 ) i l l u s t r a t e d t h i s r e l a t i o n s h i p in
t h u s , it is n o t v e r y u s e f u l in l o o k i n g f o r risk the context of mastitis control programs with
f a c t o r s if t h e d i s e a s e is r a p i d l y f a t a l . P r e v a l e n c e a n e q u a t i o n ( a v e r a g e level o f i n f e c t i o n = t o t a l
rates are useful when planning or evaluating Cow had place~xta retained
>24 hr
s o m e p r e v e n t i v e o r c o n t r o l p r o g r a m s , e.g., t o
consider costs or to evaluate a decline due to
yes (D+) no (D-)
a successful control or prevention measure.
Incidence rates also can be used to evaluate the yes (E+) 23 67 90
e f f e c t i v e n e s s o f p r e v e n t i v e p r o g r a m s , b u t as
Cow had cli.n.ical
discussed previously, these rates are more milk f e v e r no (E-) 133 1151 1284
d i f f i c u l t t o o b t a i n . P r e v a l e n c e r a t e s ( T a b l e 2)
can be calculated from cohort and cross- 156 1218 1374
sectional but usually not from case-control Figure 2. A 2 × 2 table of milk fever and retained
s t u d i e s (9, 1 4 ) . B e c a u s e t h e P R i n c l u d e s e x - placenta.

Journal o f Dairy Science Vol. 70, No. 2, 1987


378 CURTIS ET AL.

cows infected × duration of infection) and relative odds ratio), and attributable fraction
concluded that prevalence of infection could be (AF). Relative risk and OR essentially estimate
reduced by decreasing the rate of new infections the same thing: the risk of disease given presence
or by decreasing the duration of infection. of exposure relative to the risk of disease given
Only for diseases of short duration (relative the absence of the exposure (9, 13, 14, 17).
to the period of observation) will PR approx- Relative risk is actually a "relative incidence
imately equal IR (9, 14). To illustrate the rate ratio", and the OR is actually a "ratio
difficulty in using the lacational prevalence rate of relative odds of disease" in exposed and
(LPR) to estimate LIR we examined LPR for unexposed subjects (alternatively, because OR
milk fever and retained placenta for different is bidirectional, "ratio of relative odds of
observation periods (Table 3). Milk fever is a exposure" in diseased and nondiseased subjects).
disease of short duration (usually 1 d) and Relative risk can be calculated (Table 1) validly
retained placenta is of longer duration [median only in the same situations as for exposure-
3 d (2)]. Prevalence rates were calculated specific IR [IRE+, IR E_ (9, 14, 16)].
(Table 3) for six, 7-d periods and two, 30-d One formula for the OR equals the ratio of
periods chosen at random from data reported the "odds of D+ given E+" to the "odds of D+
elsewhere (2). The PR includes all existing cases given E--". The OR can be calculated (Table 1)
on the starting day of the specified period and from any of the designs because it does not
those new cases occurring during the period. depend on IR. In addition, the OR is an es-
The denominator is the number of cows in milk timator of the RR (9, 14, 17) for all study
plus the new lactations begun during the designs when the disease is rare (e.g., overall IR
period. The LPR for both milk fever and <.05). We will restrict our discussion to OR,
retained placenta differ substantially from the although much of what is stated also applies to
LIR in Table 2. Even for the longer 30-d RR.
periods (long relative to the duration of disease), Odds ratios are a multiplicative measure of
the LPR both overestimate and underestimate risk that range in value from 0 to positive
the LIR for both diseases. infinity (13, 14, 17). The null value (no associa-
tion) is 1 (13, 17). Odds ratios >1 imply a
direct association between the factor and
MEASURES OF ASSOCIATION disease [i.e., the factor puts the animal at
The measures of association with which increased risk of disease (13, 17)]. Odds ratio
epidemiologists are most concerned are relative <1 imply an inverse association [i.e., the factor
risk (RR; or risk ratio), odds ratio (OR; or decreases risk of disease (11, 17)]. Odds ratios

TABLE 3. Lactational prevalence rates of retained placenta and milk fever for different observation periods.l

Period Prevalence/100 lactations


Starting Retained Milk
date 2 Length placenta fever

(d)
5/30/81 30 20.5 9.4
12/26/81 30 8.0 3.3
3/08/81 7 7.1 3.6
8/02/81 7 20.0 0
10/04/81 7 3.2 3.2
10/25/81 7 11.0 8.3
11/01/81 7 8.0 2.0
11/15/81 7 9.7 12.9

1Data from Curtis et al. (2); n = 1374 Holstein cows; 33 herds; Ithaca, NY.
2Starting dates of periods picked at random between February 1981 and March 1982.

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OUR INDUSTRY TODAY 379

of 2 and .5 (1:2) have the same correlative importance of the exposure in the exposed with
magnitude but imply associations in opposite respect to the disease studied. The A F for milk
directions. Odds ratios are biased further away fever from Table 2 is .6. The interpretation of
from the null value of 1 than the RR when the this A F is that 60% of the IR of retained
disease is common, although as the probability placenta in cows with milk fever can be attri-
of disease decreases and the sample size in- buted to milk fever.
creases, OR and RR are approximately equal In order to estimate (using the A F ) how
(asymptotic) to each other (9). Significance much disease could be prevented in the target
tests of the null hypothesis OR = RR = 1.0 and population, the amount of exposure must be
confidence intervals can be calculated for the considered. If, instead, only 1% of the target
OR and RR (9, 13). population were exposed (i.e., had milk fever),
F r o m Figure 2 and Table 2, if milk fever is then 1% of the IR of retained placenta could be
the exposure of interest and its association with prevented in the target population if milk fever
retained placenta is to be assessed, the following were prevented. If the prevalence of milk fever
would be true: If this were a cohort study, we was 20%, then 23% of the IR of retained
could calculate an overall IR, IRE+ , IRE_ , PR, placenta could be prevented by preventing milk
RR, and OR. The OR = 2.97 means that a cow fever. This estimate is called the population
with milk fever is 2.97 times more likely to attributable fraction (PAF) or etiologic fraction
develop retained placenta than a cow without [(13, 16, 17)see Table 1 for formula].
milk fever. Only the OR could be calculated if Attributable fraction and PAF are very
the case-control design were assumed; for a useful to formulate herd health and prevention
cross-sectional study, only the PR and OR measures. With the advent of multivariate
could be calculated. Also, for the cohort study, statistical techniques, A F and PAF estimates
OR > RR (since RR > 1). As an example of an can be obtained while adjusting for other
OR < 1, Erb et al. (6) found that primiparous confounding factors and multivariate inter-
heifers that conceived at first service had OR = actions. Using the example illustrated, a pre-
.1 of subsequently being culled. This OR means vention program for milk fever to reduce
that heifers conceiving at first service were 10 the incidence of retained palcenta in a herd
times less likely to be culled than heifers that with IR of milk fever equal to 1% would have
did not conceive at first service. little merit. However, in a herd with IR of milk
Strength of association (RR or OR very fever equal to 20%, a program of milk fever
different from 1.0) is helpful in inferring prevention would be useful to prevent both
causation, although it does not stand by itself disorders.
and should be used in conjunction with other
evidence (11, 15). There are no formal guide- G E N E R A L DISCUSSION
lines for what magnitude of association strongly When little is known about a disease or
suggests a causal association, although there condition, a cross-sectional study is usually the
should, of course, be statistical significance. first approach taken by an epidemiologist. The
There is a rough guideline that states that " R R cross-sectional design usually is less costly than
of magnitide greater than 5 are likely to be the other designs and can provide information
causal" (11). This is because in a well-designed on the prevalence of disease and its possible risk
study, it is unlikely that an unsuspected source factors (as determined by OR) for future
of bias exists that is sufficient to create such studies. If the disease is rare (e.g., bovine
disparity in the observed data. leukemia) one might decide to conduct a
Attributable fraction is used most often for case-control study to determine further etiology
application in public health (or herd health) of the disease. It would be difficult and costly
and preventive medicine. Attributable fraction to conduct a cohort study of rare disease, and
is the proportion of the incidence rate in the one would gain little more knowledge than
exposed group that can be attributed to the from the case-control study. If the disease is
exposure factor, and A F usually can be calcu- common (>5%), one might prefer to do a
lated (Table 1) only when IRE+ and IR E _ are cohort study because of the ability to calculate
valid (9, 13, 16). Attributable fraction assumes IR, AF, and PAF, which have distinct ad-
a causal relationship and indicates the relative vantages for implementation of herd health and

Journal of Dairy Science Vol. 70, No. 2, 1987


380 CURTIS ET AL.

preventive control programs. Unfortunately, land, a n d M. E. W h i t e for reviewing t h e m a n u -


c o h o r t studies are costly a n d t i m e - c o n s u m i n g . s c r i p t a n d f o r t h e i r h e l p f u l suggestions.
A d d i t i o n a l l y , studies t h a t i n s t i t u t e p r e v e n t i v e
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polybrominated biphenyl on production and
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Lifetime Learning Publ., Belmont, CA.
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T h e a u t h o r s t h a n k D. E. B a u m a n , M. D. 16 Walter, S. D., and T. R. Holford. 1978. Additive,
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Journal of Dairy Science Vol. 70, No. 2, 1987

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