NEUROSCIENCE AND EARLY CHILD DEVELOPMENT © By Leah S. Taylor, Ph.D. prepared for the Medical Division of the Oklahoma Health Care Authority Introduction A great deal of attention currently is focused on the way the brain in young children develops and how brain functions evolve both in utero and after birth. Until fairly recently most neuroscientists adopted the notion that our neurology is hard wired, and that genetic information , formulated out of conception, in unchangeable. Science was on the side of “nature” in the nature vs. nurture debate. It remained settled in the notion that the most we could do was to provide medical explanations for certain mental health disorders by looking at chemical imbalances in the brain (Arden and Linford , p. 17). Research was based on how to create medications that could change these imbalances to assist those with depression, anxiety, regulation disorders, schizophrenia, etc. The notion that human beings are biochemically determined left those with mental health disorders to see themselves as unable to change their thinking and behavioral patterns except through medically enhanced treatments (Volk, pp. 52-57). Behaviorists and cognitive behaviorists were aware that repetitive changes in thoughts and behaviors can change the wiring in the brain. However, they did not explore the way the brain functions. They were concerned about outcomes and focused on behavioral treatments which were based on techniques whose application could be measured in terms of successful outcomes, creating what are known as evidence-based practices (Volk). In so doing, they enhanced the value of psychotherapies based on changes in cognition and behavior. In the past twenty years or so, however, the research has shown clearly that it is the relationship between therapist and client that primarily creates lasting change. It is this profound application of the value of the relationship that helped in the prevailing research and awareness of how neuroscience works and the role that relationship plays in wiring and re-wiring the brain. In so doing, neuroscience has come front and center in the application of modalities which utilize relationships to target specific areas of the brain to create changes for those with mental illness and problematic behaviors. In the following narrative, the author has chosen to simplify, as much as possible, the brain structures and functions for the reader, and, in so doing, may overlook some neuroscientific functions within the genome and the epigenome for the sake of clarity and ease of understanding. Neuroscience is an evolving field and discoveries are being made every day which one simple paper will not be able to address. It is important to note that this paper is designed to shed light on how the therapist might use its concepts in assisting those children who are developmentally delayed and emotionally disabled through early physical impairment, inadequate care, trauma, and abuse. The Genome A child at birth comes into the world with at least 100 billion neurons. A newborn has twice as many neurons as his/her mother. Depending on what happens in the intrauterine experience (e.g., toxins) and the postnatal experience (enriched parenting, stressful events, neglect, abuse, etc.), the brain begins a process of “pruning” both neurons and neural circuits as they evolve 1|Page (Arden and Linford, 2009). “Gene-driven” development occurs prenatally. Within 2-3 days the first embryotic cell layer, called the ectoderm develops and thickens to become the neural plate, which develops into the central nervous system. This plate rounds up to become the neural tube which develops into three primary brain vesicles. These fluid filled vesicles create five secondary brain vesicles from which structures, such as the brain stem (the medulla, pons, and midbrain.) Atop the brain stem is the diencephalon which contains the thalamus and the hypothalamus. The cerebrum, a more evolved part of the brain, encompasses the hippocampus and the amygdala. These structures are the most important in understanding the main concepts in this paper. The 100 billion neurons in the infant brain “come on line” as the structures in the brain evolve. Some of these neurons are pre-wired to go to specific parts of the brain, some become available to structures and functions as they evolve, and some migrate to certain anatomical positions and become specialized during embryonic development. By the 26th week in utero, there are approximately 250,000 neurons which are using dendrites and axons (extensions from the nerve cell body) to communicate with collegial neurons in other parts of the brain and become parts of networks that create brain functions. This gene-driven development of the brain is hard-wired and the structures of the brain follow an evolutionary order. These structures are organized from the most simple (e.g. fewer cells – the brainstem) to the most complex (e.g. more cells and more synapses – the frontal cortex). The functions of the brain evolve from the most simple and reflexive (e.g., regulations of body temperature) to the most complex (e.g., concrete and abstract thought). The brain stem contains most of the autonomic nervous system, controlling blood pressure, heart rate, body temperature and other autonomic functions). The diencephalon contains the thalamus which is the central relay portion of the brain. It acts as a switchboard controlling synaptic positioning of neurons and promoting neural circuitry. It also mediates fear, controls aggression, and is involved with pleasure. The diencephalon also contains the hypothalamus, which regulates the sleep/awake cycle, appetite, arousal , sexuality, motor regulation, emotional reactivity, and attachment. The limbic system contains the hippocampus (memory) and the amygdala (fight/flight/freeze), and other structures. The limbic system is currently under review as to its function and structure. The hippocampus and the amygdala are embryologic parts of the cerebrum. As these structures develop, so does the neocortex, responsible for affiliation, concrete and abstract thought) (Perry, p. 31). The brain develops two hemispheres, the right hemisphere, involved in novelty and the “whole picture”, and the left hemisphere, involved with detail and routine. The two hemispheres are connected by the corpus callosum, the bridge between the left and right hemispheres of the brain, a remarkable structure made up of axons and which connects nerve cell bodies from one side of the brain to dendrites of neurons on the other side of the brain. The hypothalamus and the amygdala have a communication link which becomes important during periods of stress. The cerebellum is a separate structure which is involved with motor control and balance. The early functionality, as well as the order of all of these structures continues its development after the child is born. However, the brain itself is predisposed toward relationships as partners in the development of its structures, which is why human infants have the highest caretaking maintenance of all species. Infants require the stimulation of living in families, with forming long-term relationships, and with the ability, when properly developed, to subdue aggressive desires which might destroy the maintenance of long-term bonds. This predisposition is the product of an evolutionary process over the millennia, creating a neuroanatomy and hormonal balance which has conditioned responses in pregnant women and mothers of newborns that we know as the “mommy brain”. 2|Page Arden states that from the brain’s point of view “love is simply the brain’s way of nurturing another brain” (Arden, p. 15). All of the neural circuitry and the networks within the newborn brain come “on line” after birth. The brain over-produces neurons, and based on its post-natal experience, will prune at least half of them and will prune as many as 100,000 synaptic connections between neurons as a result of the postnatal environment. The newborn comes into the world attuned to what it experiences in the environment. John Arden refers to this process as “nurtured nature” (Arden, 1999, p. 11). Genes provide a starting point and define the potentials available to a newborn human being. Experience then takes on the role of shaping the brain. The Epigenome Children inherit about 20,000 genes located on 46 chromosomes – 23 pairs. Each pair has one maternal and one paternal chromosome. Chromosomes are composed of DNA, which comprises the blueprint of a cell. All cells have within them this master blueprint. The genes are considered the “structured genome”. The structured genome determines what is possible in the developing child. This structured genome, the DNA sequence, is set in stone. However, during the past few decade we have come to know what is called the epigenome. The epigenome consists of structures called “tags” which are markers, or pieces of information, that are stuck on one or several genes. These tags, or “histones” as they are called, may be changed by environmental influences – positive or negative – and leave a “chemical” signature on the genes. Early prenatal or postnatal exposures can influence the functioning of a gene long-term and actually pass from one generation to another. The signature can be temporary or permanent and different experiences can result in different epigenomic configurations. These experiences include those of enrichment (attentive attachment and care), nutrition and diet, external stressors in the environment (earthquakes, war, tornadoes, etc.), maternal depression, lack of positive responsiveness from caretakers, severe neglect (which constitutes the majority of child abuse cases), (see Maternal Depression, working paper #8 and The Science of Neglect, working paper #12, p.7), severe health problems, surgeries, and lengthy hospitalizations. By altering exposures and the way in which caregivers react to environmental influences, negative outcomes can be shifted to positive ones. These shifts actually influence the architecture of the brain and the connections which affect the functionality of neural circuits. The epigenome is the most responsive to neuroplasticity in the first few years of a child’s development. The ages of zero to three seem to be the most available for change. However, some experts see this availability through the age of six and even beyond. As the child moves into adolescence and adulthood, new experiences can change the epigenome , and therefore, the gene, and “re-wire” certain connections in the brain (Schore,2003 and 1994); Arden and Linford,2009); Volk, pp. 5257). Treatments utilizing what we know about the effectiveness of working with the science of the epigenome will be discussed in the treatment section of this paper. An extremely important process in the early childhood years, especially from birth to age 2, is the development of what we still call the limbic system, or emotional, brain. Higher level cortical functions develop later. The development of the emotional brain evolves through the connection between what is known as the prefrontal orbital cortex and the amygdala. The prefrontal orbital cortex rests deep in the brain behind the optic nerve – see diagram A -- and is responsible for the early recognition of regulation of impulses and primitive awareness of right and wrong. The 3|Page amygdala is connected to impulses and drives. The connection is made through a structure called the cingulate cortex which is sensitive to hormones and which send stress signals to the amygdala and partners with the prefrontal lobes to mediate the responses of the amygdala and initiate the ability to self-regulate (see diagram B). When the child is stressed through maltreatment, the anterior part of the cingulate sends a signal to the amygdala which immediately creates a reaction of arousal. The amygdale immediately sends a signal to the hypothalamus which then sends to the pituitary a message to stimulate the adrenal glands to literally “squirt out” cortisol. This process is called the Amygdala-Hypothalamic-Adrenocortical (A-HPA) Axis. This action also sends norepinephrine and epinephrine, stress hormones circulating through the brain, to not only stimulate the adrenal glands but also to flood the right prefrontal cortex. The cingulate relays information back and forth from the prefrontal cortex and the amygdala. Too much cortisol suppresses the immune system. The limbic system (the seat of emotional life) and the prefrontal orbital cortex (the seat of intentional behaviors such as regulation of impulses, conscious decision making, and inhibition of the drives of the amygdala), is flooded with norepinephrine, accelerating anxiety and over-activity, causing a firing of neurons that can create drastic changes in mood and behavior, especially in the ability to self-regulate (Fallon, p. 100). Through the epigenome, a perfectly healthy gene can be modified to create the possibility of mental illness, dysregulation, and the inability to function appropriately later in life. Children are very sensitive to their early environment, since the brain architecture and functions are in a developmental process. Children blossom when they are treated with copious amounts of love. A child’s neurons in the brain, called “mirror neurons”, exist in the frontal lobes of the brain (see diagram C). These neurons are analogous to mirror neurons in the frontal lobes of the caretaker. One serves (displays) a behavior and the other returns a similar behavior (such as a smile or a hug). This “serve and return” interaction between the child and an adult is essential to building the brain’s architecture. The orbitofrontal cortex (diagram C) processes the child’s awareness of the caretaker’s intentions (help or harm), ethics (caring or not caring), and morality (right and wrong) and mirrors those in the child. What is called the “theory of mind” (how one mind understands the intentions of another’s mind), includes a structure called the Insula. The insula is not shown in the diagrams, but is a small structure centered in an area where it connects with the temporal and the parietal lobes. The insula, along with its connection to other brain structures, enables the perception of intentions and ethics of others. (See diagram D for these lobes). This insula partners with the orbitofrontal cortex and as these two areas connect, Fallon suggests that they form the “neuroanatomical circuitry for the Golden Rule” (Fallon, p. 149). Conversely, a deficit of positive connections can lead to both a lack of empathy and pro-social intention. Chronic maltreatment and neglect alters the ability of the neurological response systems to enable a child to cope with stress, thus creating some of the defense mechanisms that therapists know as oppositional behavior, hyper vigilance, impulsivity, the inability to self-soothe, extreme withdrawal and paranoid ideation. Neurodynamic modules become activated by stress, which sends information from the body, the amygdala, and other brain areas to emotional networks in the orbital prefrontal cortex for information and interpretation. Information such as facial expression and tone of voice are particularly important in the early development of the infant and provide a wealth of information to the prefrontal cortex (Arden, p. 105). Through facial expression and tone of voice the child develops an ability to imitate the caretaker and understand the intentions of the caretaker. In the early years, the child can become sensitized to others, not through cognition, but through the feeling provided by the limbic structures. However, by the time a child is 4 years old 4|Page he/she has developed the capacity for experience-dependent awareness and mentalizing these intentions. Abuse can damage the ability of the brain to be able to accurately mentalize intentions and, therefore, precipitate unrestrained behaviors based on an inaccurate reading of another’s behaviors. In the past 15 years neuroscientists and psychotherapists have begun to speak the same language. The brain, in the past, has been a mystery to the field of psychotherapy, and the focus was primarily on the chemistry of the brain, rather than the evolution of function within the dynamic processes of the brain. What we have learned through the integrated approach to child development and brain structure and function, is that the limbically and cortically mediated systems of the brain are the basis for the attachment style of the child through the actions/reactions of the parent, the caretaker, and the therapist. We now know that the attachment style is pivotal to developing healthy thinking and behavior, and that it is a “cocreated” process which is replicated in psychotherapy as two brains connect with each other, developing information which moves the epigenome to act in such a way as to create change in the gene expression and regulation, even later in life. Although we focus on early child development in this paper, we know that neuroplasticity exists through the lifespan, and that therapists can utilize the understanding of neural connections to create healthier, more functional, and more satisfying ways of living for individuals who suffer from the distractions of depression, anxiety, and serious mental disorders. It is important to note that epigenetic and genetic systems are intertwined and work together to create the expression of a gene (Wright and Saul, p. 217). These modifications are influenced by the environment but the processes are complex and are not fully known at this time. It is also possible that an individual may be more or less vulnerable to epigenetic modifications through heredity. As the medical profession continues to learn more about the variations in how the epigenome operates (e.g., histone modifications), clinical treatments can be more exact. At this point in time, however, we do have evidence that excellent outcomes occur through the attachment/relationship of the child and parent/therapist through brain-related awareness, Therapeutic Possibilities Through the study of the brain over the past decade we have come to learn that without attachment the developing child does not evolve in a pro-social and empathic manner. Neuroscientists have come to realize that the brains of children are particularly sensitive to relationships in their environment. These relationships not only allow infants to develop normally, but they also enable children in their early years to re-wire their existing neural connections. This promotes healthy interpersonal interaction, interpersonal communication (verbal and nonverbal), theory of mind, flexibility, positive moods and behaviors, and resiliency (Arden, p.107). The significance of the importance of attachment can be transferred to the therapeutic relationship through the concept of “attunement”. The foundation for this concept was developed by D.W. Winnicott many years ago when he explained the parental/caretaking environment as one in which the caregiver allows for the separateness of the child while also creating moments that are completely shared emotionally (see reference for Winnicott). 5|Page Researchers since Winnicott have demonstrated that the therapeutic relationship can provide the same process in developing the child’s emerging perception of himself and other developing capacities for empathy and avoid ambivalent or negative attachments. The process of relationship-based therapy allows for the child to experience both negative and positive thoughts and feelings for the therapist within the “holding environment” of the therapy, and to experience an emotional and conceptual integration of the self as a whole, cared-for and co-created through the actions of the therapist. Without the pivotal attachment through therapeutic relationship, with only behavioral and cognitive-based therapies – many beyond the scope of the understanding of the child -- the wiring and re-wiring of neural circuits cannot proceed. In recent years, relationship-based therapies for infants and children are beginning to attain traction in the therapeutic literature and some in social policy governing child welfare. Effective therapies involve learning the ways in which the child organizes and experiences his/her environment, the type of attachment style the child possess, and the child’s cognitive and emotional behaviors. These create a dynamic understanding of how the brain works to re-create neural processes through the mirroring connections of therapist and child. The relationship-based therapies are based in previous “client-centered” therapies, such as those of Carl Rogers and Virginia Axline where the therapist mirrors what the client is saying and symbolically holds the client in “attunement”. The play therapy models of Virginia Axline took Roger’s model and applied it to a nondirective play therapy model. The therapist mirrors and supports the child’s decisions and behaviors in the play therapy room, using limited rules to maintain order and provide safety for the child. Some very new models have emerged based on the understanding of neurodynamics, as described below. Intensive therapist-client therapies which utilize the creative arts, such as art, music, massage, and dance therapies. These therapies need to be repetitive, patterned, and consistent. They are sensory inputs to the developing brain and can influence brain function. They also enhance relationships through the creative processes, some centered in the right brain which develops more quickly than the left brain. Some even move back into the brainstem (such as drumming and tapping). Drumming and tapping generate processes of the brainstem which calm the rest of the brain so that the messages inherent in calming body movements (the wet feeling of water and clay, the soothing sound of music, the repetitive sound of tapping). These techniques can enable the higher brain structures and functions to create new circuits, or re-wire neural circuits by changing those circuits created from arousal/cortisol reactions (Perry, p. 38). A summary of the work of Dr. Alan Schore (Schore, 1994 and 2003) includes the regulatory capacity of the human being as being essential to the continuity of the self. This article speaks of the lack of the capacity of the infant/toddler to develop this ability without the relationship of the caretaker’s calming of the stress reactions and mirroring self-soothing behaviors, and, in so doing, the ability of the child to learn how to self-soothe and regulate reactions to arousal. The awareness of neuroscience can develop protocols to teach parents and caretakers how to use mirroring to promote infant and toddler health. Those who understand the process of anxiety-producing behaviors in young children can be taught re-parenting processes, self-talk, mindfulness, and meditation. It can alleviate 6|Page aberrant patterns from stress in early childhood, and develop new neural circuits in adolescence and adulthood. Filial play therapy, developed by a number of play therapists (see authors in appendix), involves the training of the parent or caretaker (adoptive or foster parent) in learning the skills of play therapy with the assistance of the therapist. Often the therapist is in the session with the parent and child, but strives for the time when he/she supervises weekly play therapy sessions conducted by the parent. When the parent and the child are ready, these sessions can be continued at home, and the parent then meets with the therapist for feedback regarding these sessions. Children learn through play and the parent facilitates the growing brain of the child by involving herself/himself in the play experience and facilitating attachment. In an article on reversing the effects of autism (Gravotta), a hypothesis is posited by the work of researchers using MRI’s of autistic children at the University of North Carolina at Chapel Hill that the crucial neurodynamic links developed in the first year of life which shape the brain’s architecture suddenly go awry. Work done at the University of Georgia picked up on this hypothesis and developed both a checklist for detecting autistic signs and a treatment for children who are in their first three years of development. The treatment focuses on the re-wiring of neural circuits to sculpt a more functional brain. The primary treatment for autism, applied behavioral analysis, relies on explicit behavioral rewards for changes in behavior. This method was not working for the children seen at the University of Georgia. Autism, like many developmental disorders, is highly complex and no one treatment fits all. The therapists at the Georgia center, after developing a checklist, discovered a treatment model called the Early Start Denver Model (ESDM), a therapy for children as young as one year old developed at the University of California at Davis by Sally Rogers and by Geraldine Dawson of the MIND Institute, now at Duke University. ESDM emphasizes interaction with a primary parent/therapist and aims to make the activities themselves, such as smiling, the facial expressions of the caretaker, or pointing, rewarding in and of themselves. ESDM has so far shown promise in ameliorating the symptoms of autism and in developing more normal development responses. After two years of the interaction therapy, instead of the standard ABA therapy, the brains of these children mirrored those of normal children. In a survey on autism treatments, done by the Oregon Center for Evidence-based Policy at the Oregon Health and Science University, the findings on ESDM showed significant gains in children with autism. In the early ‘80’s Lewis Baxter, M.D. led a team of researchers to explore the neural mechanisms of obsessive compulsive disorder. Through the evolution of the PET scan which can trace biological processes, they were successfully able to investigate a structure called the caudate nucleus, the habit center of the brain, near the orbital frontal cortex (see diagram E). The team thought it might be the nexus for OCD – a kind of hub where the rational thinking of the cortex joins with the emotion-ruled centers of the brain. Under Dr. Baxter’s direction, they were able to identify this structure as pivotal in the obsessive compulsive disorder. Researchers at UCLA did find hyperactivity in both the caudate and the orbital frontal cortex in OCD sufferers. Jeffrey Schwartz, M.D. who had joined Baxter’s team at UCLA then worked with the team on a way to treat OCD using this discovery as the core of his thesis. (Volk; Schwartz and Begley) Schwartz call this treatment “self-directed neuroplasticity” – the ability to re-wire the brain through a series of thoughts directed at 7|Page this neurological connection of the caudate nucleus near the orbital frontal cortex. He explored this area as a “natural ground zero for the noxious brew of repetition and terror to collide” (Volk, p. 54). In an attempt to prove the theory, he developed a group therapy process for those with OCD using a form of mindfulness training which separates the self of the person from his or her own thoughts. He teaches his patients that they have badly wired brains and that the wiring does not define them and is separate from them. He then proposes repetitive ways of thinking that successfully undoes the aberrant rewiring in the connection between the two parts of the brain. After treatment, brain scans of the patients showed considerable dimming of activity in the orbitofrontal cortex and the caudate nucleus (Volk, p. 57). Schwartz’s findings have come under attack by other neuroscientists who claim that one cannot undo the hereditary genetic structure of the brain, especially after early childhood. However, Baxter’s work, along with that of Schwartz, has continued work in this area has given hope that with the right therapist/teacher, OCD sufferers can alter gene expression through environmental strategies. Since many children and adolescents suffer from OCD related to depression and anxiety, it may be the beginning of a kind of treatment that, through the relationship of therapist and child, can re-wire the OCD process and bring relief to these children. Child-Parent Psychotherapy (CPP) is a specific treatment for abused and traumatized children, ages 0-5. It is a relationship-based treatment for traumatized young children. The therapist sees the child/parent dyad and does a history related to the childhood developmental trajectory and traumatic events. The therapist then works to strengthen the relationship between the child and the parent and to reduce perceptions and behaviors that have contributed to maladaptive, trauma-induced behaviors (hypervigilance, lack of self-regulation, etc.). The goal of the family therapy is to restore the healthy attachment of the child and parent. It promotes the joint recall of the traumatic event so that it is possible to use mirroring (reciprocating) behaviors of mother and child and to restore the capacity for a sense of safety and appropriate affect. The parent and child are also taught how to identify triggers for the recurrence of memory which floods the child’s developing brain and can re-create dysregulated behaviors and affect. CPP can be used with foster and adoptive parents. Implications for Policy Because of what we have learned from both research and practice regarding relational needs of children and relationship-based therapies, there are a number of initiatives recommended for policy makers. These recommendations cover a wide range of possibilities and only a few important ones will be mentioned here. Psychotherapists should all be trained in the stages and trajectory of child development. They should be able to identify both normal and abnormal behaviors based on developmental stages. Psychotherapists should be trained in the basics of neurodynamics and brain development, so that they can employ treatments based on the relational aspect of early child development (as well as the relational imperatives at all stages of child and adolescent development). 8|Page Psychotherapists should maintain close connections with primary care doctors so that medical evaluations can assist in informing the psychotherapist in those behaviors due to trauma or inadequate parenting versus a disease process that must be medically treated. The developing brain of children is often involved in services other than the home. Their mental health depends on the coordination of all services in their environment so that similar or same interactions can occur in each environment (see Establishing a Level Foundation, Harvard working paper # 6). Child Welfare policies should include training of child welfare personnel in ways to intervene to create interventions which will mitigate damage to the child’s development (see Early Childhood Intervention, Casey Foundation). Policymakers should recognize the importance of engaging families who have problems with their children in their early years (see Engaging Families, 2010). They should also recognize the importance of educating payers of services to ensure that families/parents are involved in the therapeutic treatment of dysregulation problems of early childhood. “Collaborative learning” processes need to be developed in communities where early child diagnosis and treatment is a focus of attention. Participants could include practitioners, university-based centers, child welfare, employment counselors, day care administrators, etc. (see Frontiers of Innovation, Harvard). Again, we sit at the beginning of this new frontier of epigenetics and behavioral health treatments. This paper is only a very short explanation which, hopefully, will inspire our therapeutic community to develop new ways to help our clientele and, in the process, bring brain science into the mainstream of our understanding of emotional distress and the therapies that can alleviate it. Respectfully submitted to Dr. Sylvia Lopez, Chief Medical Officer and Dr. Garth Splinter, Medicaid Director, March, 2014 The preparer of this paper wishes to recognize the following specialists who assisted in the critique of this paper and their suggestions for modifications: Dr. John Arden, author of many books and articles on brain-based-therapy, and an internationally renowned researcher and writer in the areas of genetics and epigenetics. Dr. Robert Powitzky, former director of Mental Health Services of the Oklahoma Department of Corrections, retired and now consulting with correctional personnel throughout the country, known for his understanding of behavioral health treatments and how they affect the mechanisms of the brain. Dr. Robert Evans, a current medical director in the Medical Services Unit of the Oklahoma Health Care Authority, to whose help this author is indebted for the clarity of his explanations regarding brain structures and their functions. 9|Page Brain Diagrams Diagram A Diagram B Diagram C Diagram D Diagram E 10 | P a g e References Arden, John B. and Lloyd Linford. Brain-Based Therapy with Children and Adolescents. Wiley and Sons, Inc., New Jersey, 2009. Axline, Virginia. Dibs in Search of Self. Random House, A Ballentine Book, New York, 1964. 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