WHICH CLASSIFICATION FOR ETHMOID MALIGNANT TUMORS INVOLVING THE ANTERIOR SKULL BASE? Giulio Cantù, MD,1 Carlo L. Solero, MD,5 Rosalba Miceli, PhD,2 Luigi Mariani, MD,2 Franco Mattavelli, MD,1 Massimo Squadrelli-Saraceno, MD,1 Gabriella Bimbi, MD,1 Stefano Riccio, MD,1 Sarah Colombo, MD,1 Laura Locati, MD,3 Patrizia Olmi, MD,4 Lisa Licitra, MD3 1 Department of Head and Neck Surgery, Istituto Nazionale per lo Studio e la Cura dei Tumori, Via Venezian 1, 20133 Milan, Italy. E-mail: [email protected] 2 Division of Medical Statistics and Biometrics, Istituto Nazionale per lo Studio e la Cura dei Tumori, Milan, Italy 3 Unit of Medical Oncology of the Department of Head and Neck Surgery, Istituto Nazionale per lo Studio e la Cura dei Tumori, Milan, Italy 4 Department of Radiotherapy, Istituto Nazionale per lo Studio e la Cura dei Tumori, Milan, Italy 5 Second Division of Neurosurgery, Istituto Nazionale Neurologico ‘‘C. Besta,’’ Milan, Italy Accepted 19 August 2004 Published online 30 December 2004 in Wiley InterScience (www.interscience.wiley.com). DOI: 10.1002/hed.20136 Abstract: Background. The purpose of this study was to compare three systems of classification for malignant ethmoidal tumors in patients undergoing anterior craniofacial resection. Methods. A radiologic locoregional evaluation of 241 patients with malignant ethmoid tumors was performed before patients underwent an anterior craniofacial resection. Disease in each case was staged according to the American Joint Committee on Cancer – Union Internationale Contre le Cancer (AJCC-UICC) 1997 classification, the AJCC-UICC 2002 classification, and the Istituto Nazionale Tumori (INT) classification. Kaplan – Meier curves and Cox models were used to investigate the prognostic value of each classification system on diseasefree survival (DFS) and overall survival (OS). The classifications were compared in terms of prognostic discrimination capability, measured by use of an index of agreement between each classification and DFS or OS time. Correspondence to: G. Cantù Partially presented at the 15th Annual Meeting of the North American Skull Base Society, February 11 – 17, 2004, New Orleans, Louisiana. B 2004 Wiley Periodicals, Inc. 224 Classification of Ethmoid Tumors Results. All three classification systems yielded statistically significant results in the Cox analysis, both for DFS and OS. In the AJCC-UICC 2002 system, minor differences were observed between T1 and T3 tumors. The INT classification showed a progressive worsening of the prognosis with increasing stage. The index of prognostic discrimination favored the INT classification over both the 1997 and 2002 AJCC-UICC classifications. Conclusions. Both the 1997 and 2002 AJCC-UICC classifications seemed to have limited prognostic value. By contrast, the INT classification satisfied one of the main goals of tumor staging, demonstrating the progressive worsening of prognosis with different tumor classes. A 2004 Wiley Periodicals, Inc. Head Neck 27: 224 – 231, 2005 Keywords: ethmoid tumors; tumor staging; craniofacial resection; paranasal sinuses; prognostic factors After the paramount work of Ketcham et al,1 a large number of articles on anterior craniofacial resection for malignant tumors involving the anterior skull base have been published, and now HEAD & NECK March 2005 this type of surgery is widely recognized as the ‘‘gold standard’’ for tumors approaching or involving the cribriform plate. However, few studies have examined prognostic factors in this tumor type. Tumor extension represents one of the most important and recognized factors impacting long-term outcome, implying that optimal tumor staging classification is critical for accurate prognostic assessment.2 – 4 Before 1997, many different staging classifications based on disparate criteria were adopted for malignant tumors arising in the ethmoid. In 1999, we successfully validated an original classification (the Istituto Nazionale per lo Studio e la Cura dei Tumori [INT] classification, Table 1) for ethmoidal cancer5 against the 5th Edition of the American Joint Committee on Cancer – Union Internationle Contre le Cancer (AJCC-UICC) classification.6,7 The INT classification relies on the most commonly accepted prognostic factors. On the basis of these encouraging results, in this study we tested the 6th AJCC-UICC8,9 2002 classification in terms of prognostic performance versus the 1997 AJCC-UICC and the INT classifications. This article is based on the evaluation of 241 patients with malignant tumors involving the ethmoid, all undergoing anterior craniofacial resection. Results of this comparative analysis are reported. involving the ethmoid). Ten patients (4%) were excluded from the analysis because of postoperative death. Therefore, 241 cases were considered in this study. Eight patients with small tumors (T1 according to the INT classification) did not require craniofacial resection and, therefore, were not included in the analysis. Since 1997, we have no longer operated on patients with either melanoma (n = 2) or deep involvement of the brain (n = 4). The adopted surgical technique has already been published.10,11 Patient charts, operative notes, follow-up clinic notes, radiographic study results, and pathologic reports were analyzed for each patient. In particular, radiographic study results and pathologic reports were used to assess the clinical and pathologic T classification. Patients’ ages varied from 11 to 79 years (median age, 55.3 years), and the male/female ratio was 2.5 (173/68). Disease characteristics are reported in Table 2, together with the tumor distribution according to all the three staging systems. One hundred fifty patients (62%) were initially seen with primary disease; of these, 59 (39%) underwent primary chemotherapy with cisplatin, Table 2. Disease characteristics. No. (%) PATIENTS AND METHODS From 1987 through June 2002, 251 patients underwent an anterior craniofacial resection for malignant tumors involving the anterior skull base at the INT. The ethmoid was always involved, and it was the site of origin of the tumor in all but 11 patients (maxillary sinus tumors Table 1. INT classification of malignant ethmoid tumors. T1 Tumor involving the ethmoid and nasal cavity sparing the most superior ethmoid cells T2 Tumor with extension to or erosion of the cribriform plate, with or without erosion of the lamina papiracea and without extension into the orbit T3 Tumor extending into the anterior cranial fossa extradurally and/or into the anterior two thirds of the orbit, with or without erosion of the anteroinferior wall of the sphenoid sinus, and/or involvement of the maxillary and frontal sinus T4 Tumor with intradural extension, or involving the orbital apex, the sphenoid sinus, the pterygoid plate, the infratemporal fossa or the skin Abbreviation: INT, Istituto Nazionale per lo Studio e la Cura dei Tumori. Classification of Ethmoid Tumors Type of disease Primary Recurrence Tumor histology Adenocarcinoma Squamous cell carcinoma Esthesioneuroblastoma Adenoid cystic carcinoma Melanoma Other INT classification T2 T3 T4 AJCC-UICC 1997 classification T1 T2 T3 T4 AJCC-UICC 2002 classification T1 T2 T3 T4A T4B 150 (62.2) 91 (37.8) 113 (46.9) 25 (10.4) 24 (9.9) 21 (8.7) 11 (4.6) 47 (19.5) 83 (34.4) 71 (29.5) 87 (36.1) 32 (13.3) 22 (9.1) 69 (28.6) 118 (49.0) 21 (8.7) 21 (8.7) 62 (25.7) 64 (26.6) 73 (30.3) Abbreviations: INT, Istituto Nazionale per lo Studio e la Cura dei Tumori; AJCC-UICC, American Joint Committee on Cancer – Union Internationale Contre le Cancer. HEAD & NECK March 2005 225 fluorouracil, and leucovorin according to a treatment protocol in use at our institution since 1996. The remaining 91 patients (38%) were initially seen with a recurrence after previous treatment performed elsewhere. Such treatments, either alone or in combination, were as follows: surgery in 67 cases (74%), radiotherapy in 58 cases (64%), and chemotherapy in 30 cases (33%). In patients with recurrent disease, the tumors were classified according to their extension on presentation at our institute. After surgery performed at our institute, 132 patients (55%) overall underwent planned postoperative radiotherapy with a dose of 50 to 66 Gy. Histologic diagnosis was based on either a transnasal biopsy or the specimen analysis from previous surgery performed elsewhere. The extent of the tumor was always assessed with at least a CT scan in axial and coronal projections. In cases with intracranial and/or intraorbital extension documented by CT scan, an MRI was added to assess the infiltration of dura mater and periorbita. Only four patients were initially seen with cervical node metastases (three with undifferentiated carcinomas and one with melanoma). Disease-free survival (DFS) and overall survival (OS) times were measured from the date of surgery to the date of disease recurrence or death; in the absence of either event, the time was measured from the date of surgery to the date of last follow-up available. DFS and OS curves were estimated with the Kaplan – Meier method according to each classification Statistical Methods. system. The prognostic effect of the latter was also investigated by means of Cox regression models,12 after checking the underlying proportional-hazard assumption. The Cox analyses were adjusted for the type of disease (primary or recurrent), a factor shown to be an important predictor in our previous study.5,10 The tumor stage classifications and the type of disease were entered into the models by means of 0/1 indicator variables. Suitable interaction terms were also included for testing whether the individual classifications had different prognostic effects depending on the type of disease. The prognostic discrimination of each classification (ie, the agreement between each classification and OS or DFS time) was estimated by use of the probability of concordance K,13 with rescaling on the maximum concordance theoretically achievable with each classification in the available sample. The higher the probability (up to a maximum of 1), the better the quality of the classification system. To evaluate the performance of the AJCC-UICC 2002 classification compared with either the INT or AJCC-UICC 1997 classification, we calculated the difference between the estimates of K, together with the corresponding bias-corrected accelerated percentile interval (BCa) bootstrap 95% confidence intervals (CIs).14 In all of the analyses, the conventional twosided 5% significance level was adopted. We used SAS (SAS Institute Inc., SAS/STAT User’s Guide, version 6. 4th ed, vol 1, Cary, NC: SAS Institute Inc., 1989) and the S-Plus software (S-PLUS 2000 FIGURE 1. Disease-free survival (DFS, left panel) and overall survival (OS, right panel) curves according to the American Joint Committee on Cancer – Union Internationale Contre le Cancer 1997 tumor classification. 226 Classification of Ethmoid Tumors HEAD & NECK March 2005 FIGURE 2. Disease-free survival (DFS, left panel) and overall survival (OS, right panel) curves according to the American Joint Committee on Cancer – Union Internationale Contre le Cancer 2002 tumor classification. Guide to Statistics, vol 1 and 2, Data Analysis Products Division, MathSoft, Seattle, WA) to perform modeling and statistical calculations. RESULTS The median follow-up time was 61 months. One hundred forty-two patients (59%) had a disease recurrence. These recurrences were mainly local, either isolated (n = 117) or in combination with other sites (n = 14); they rarely occurred at distant sites (n = 9) or only in the lymphatic nodes (n = 2). One hundred twenty-one deaths were recorded, caused by tumor recurrence (n = 110), other primary tumors (n = 2), or nonneoplastic causes (n = 9). A correspondence between clinical and pathologic staging for the INT classification was found in 236 (98%) of 241 patients. Four of the five unmatched patients had a relapse after prior surgery and radiotherapy performed elsewhere. In three cases, the pathologic stage was superior to the clinical one; and in two cases, vice versa. Clinical staging missed the presence of disease in the following sites: skin, intradural extension, infratemporal fossa, maxillary sinus, and orbital apex (one case each). Relevant survival curves are shown in Figure 1. The 5-year DFS probability (95% CI) was 0.44 (0.24 – 0.62) for patients with T1 tumors, 0.62 (0.32– 0.82) for pa- AJCC-UICC 1997 Classification. FIGURE 3. Disease-free survival (DFS, left panel) and overall survival (OS, right panel) curves according to the Istituto Nazionale per lo Studio e la Cura dei Tumori tumor classification system. Classification of Ethmoid Tumors HEAD & NECK March 2005 227 FIGURE 4. Disease-free survival (DFS, left panel) and overall survival (OS, right panel) curves for patients with adenocarcinoma only according to the Istituto Nazionale per lo Studio e la Cura dei Tumori tumor classification system. tients with T2 tumors, 0.32 (0.21 – 0.44) for patients with T3 tumors, and 0.27 (0.18 –0.36) for patients with T4 tumors; the corresponding figures for OS were 0.40 (0.19 – 0.60), 0.72 (0.39 – 0.89), 0.45 (0.32 – 0.57), and 0.41 (0.31 – 0.51). According to this classification, T2 tumors had a relatively favorable prognosis, whereas a less favorable prognosis was shown for T3 and T4, and the prognosis for T1 tumors was in between. Cox model analysis showed a significant prognostic effect of the classification on DFS ( p = .005) but not OS ( p = .061). The agreement between AJCC-UICC 1997 classification and clinical outcome was K = 0.68 for DFS and K = 0.66 for OS. Survival curves are shown in Figure 2. The 5-year DFS probability (95% CI) was 0.46 (0.21 – 0.68) for patients with T1 tumors, 0.40 (0.15 – 0.65) for patients with T2 tumors, 0.46 (0.32 – 0.58) for patients with T3 AJCC-UICC 2002 Classification. tumors, 0.34 (0.22 – 0.46) for patients with T4a tumors, and 0.18 (0.10 – 0.29) for patients with T4b tumors; the corresponding figures for OS were 0.38 (0.14 – 0.63), 0.52 (0.21 – 0.76), 0.60 (0.47 – 0.72), 0.37 (0.21 – 0.53), and 0.35 (0.23 – 0.47). Patients with T2 tumors showed the most favorable prognosis, as seen with the AJCC-UICC 1997 classification. For the remaining stages, a trend toward an unfavorable prognosis with increasing stage was apparent. Cox model analysis showed a significant prognostic effect of the classification on DFS ( p = .001) and OS ( p = .013). The agreement with the clinical outcome was K = 0.67 for DFS and K = 0.65 for OS. The preceding values are similar to those reported for the AJCC-UICC 1997 classification. Figure 3 shows the DFS (left panel) and OS (right panel) curves of the whole series according to the INT classification. A clear INT Classification. Table 3. Results of Cox model analysis of the INT classification. Disease-free survival INT classification Type of disease Overall survival INT classification Type of disease Tumor characteristic Hazard ratio (95% CI) Wald’s p value T3 vs T2 T4 vs T2 Recurrent vs primary 1.87 (1.22 – 2.88) 3.21 (2.14 – 4.81) 1.83 (1.33 – 2.53) <.001* T3 vs T2 T4 vs T2 Recurrent vs primary 2.05 (1.24 – 3.38) 3.25 (2.04 – 5.18) 2.18 (1.52 – 3.13) <.001* <.001 <.001 Abbreviations: INT, Istituto Nazionale per lo Studio e la Cura dei Tumori; CI, confidence interval. *P for the 2-degrees of freedom test for the overall association. 228 Classification of Ethmoid Tumors HEAD & NECK March 2005 separation among the curves for both endpoints is shown. The 5-year DFS probability (95% CI) was 0.51 (0.38 – 0.62) for patients with T2 tumors, 0.37 (0.25 –0.49) for patients with T3 tumors, and 0.13 (0.05 –0.24) for patients with T4 tumors; the corresponding figures for OS were 0.65 (0.52 – 0.76), 0.45 (0.32 –0.57), and 0.24 (0.14 – 0.36). Similar patterns were observed by plotting the DFS and OS curves of patients with adenocarcinoma (Figure 4). Significant results ( p < .001) were achieved in the Cox model for both DFS and OS (Table 3). Type of disease (primary vs recurrent) was confirmed as a prognostic factor both for DFS and OS ( p < .001).5,10,11 The test on the interaction between INT classification and type of disease failed to achieve statistical significance, suggesting that the prognostic role of the INT classification might not differ in primary and recurrent tumors. The agreement between the INT classification and clinical outcome was K = 0.75 for DFS and K = 0.74 for OS. The difference in terms of agreement between INT and AJCC-UICC 2002 classifications was 0.082 (95% CI, 0.053 –0.113) for DFS and 0.086 (95% CI, 0.052 –0.115) for OS. The confidence limits excluded a zero difference, thus providing statistical support to the evidence of a better overall performance of the INT classification compared with the AJCC-UICC 2002 staging system. DISCUSSION Nowadays anterior craniofacial resection is the ‘‘gold standard’’ for the surgical treatment of tumors involving the anterior skull base. Although the surgical techniques have been extensively described, few articles have focused on the oncologic prognostic factors.15 – 17 All authors emphasize the fact that the prognosis for these patients is dictated by the primary tumor, whereas the problems of lymph node and distant metastases are of minor importance. Two recent retrospective analyses concluded that dural and/or orbit involvement, histologic type, and positive margins are indicative of a poor prognosis.18,19 However, in neither study was a clinical classification used to stage the disease preoperatively. The identified prognostic factors were pathologic rather than clinical. However, in our opinion, the real problem is a clinical one. Faced with a patient with a tumor involving the anterior skull base, what are the clinical criteria that indicate the likelihood of Classification of Ethmoid Tumors curing him or her with a craniofacial resection? In addition to histologic findings, can we relate these criteria to T classification? In short, we need a clinical prognostic classification. In their review on nasal and paranasal sinus carcinoma, Dulguerov et al20 wrote: ‘‘Articles that employed a staging system for patients with nasal and ethmoid carcinoma were sparse and the classification systems used varied and sometimes were arbitrary.’’ A lot of original classifications have been published in the past, but some of them were only used for esthesioneuroblastomas.21,22 Roux et al23 used a classification quite similar to the AJCC-UICC 2002 system. The UICC-AJCC 1997 staging system6,7 introduced the concept, which we had already adopted,24 that different prognostic values should be applied in cases of tumor involvement of either the anterior orbit or its apex. In the former case, we may achieve a radical resection with orbital cleaning, but this is not the case for tumors with orbit apex involvement. However, we believe that the UICC-AJCC 1997 classification has some discrepancies. A T1 tumor may be small, low, and resectable by means of rhinotomy or endoscopy, but it may also be rather large, eroding the lamina papyracea, even without orbital involvement, and/or eroding the cribriform plate, without intracranial extension, thus requiring a craniofacial resection. Nasal cavity extension is the peculiarity of a T2 lesion. We see no reason why neoplastic vegetations in the empty space of this cavity may worsen the prognosis. The possible involvement of turbinates and/or nasal septum may be easily cured with a medial maxillectomy. In addition, T4 tumor classification is too broad. In fact, 49% of our patients have T4 disease. This classification includes tumors with little intracranial extension without dural involvement, tumors attached to the outer surface of the dura, and tumors with brain infiltration. In the INT classification system, the first two tumor presentations would be classified as T3 and the third as T4. We believe it is possible to achieve clean margins with a dural resection in the first two cases but not when the tumor involves the brain. Furthermore, the definition of sphenoid sinus involvement is far too general. A tumor eroding the anteroinferior wall of the sphenoid sinus is quite easily resectable; whereas, when the tumor involves and destroys the superiorposterior-lateral walls and spreads to the cavernous sinuses, the sella turcica, and the clivus, it is impossible to achieve complete removal. Finally, a tumor involving the frontal sinus may be resected HEAD & NECK March 2005 229 more easily and radically than a tumor that extends to the pterygoid plate or infratemporal fossa; this latter extension was not reported in the AJCC-UICC 1997 classification system. The AJCC-UICC 2002 classification8,9 uses a different definition of T categories and includes nasal cavity and ethmoid sinus in a nasoethmoid complex, thus finding a solution for the difficult distinction of the site of origin of tumors of this region. The new AJCC-UICC classification introduces a subdivision of the T4 classification, with T4a and T4b defining the tumor under these categories as resectable and unresectable, respectively. By use of the last classification for our patients and by comparing it with the 1997 classification, the number of T1 tumors is smaller (21 vs 32) and the number of T2 tumors is the same, but three T1 tumors (1997) are reclassified as T2 (2002), and eight T1 tumors are reclassified as T3. Actually, involvement of the medial wall of the orbit, even if without orbital extension, makes what was previously a T1 tumor become a T3 tumor. But such a tumor is very different from that invading the maxillary sinus and destroying the palate (also T3). The T4a classification includes tumors with minimal extension to the anterior cranial fossa, or involving the skin, the sphenoid, or frontal sinuses (T4 in the old classification) and tumors involving the anterior orbital contents (previous T3). Also, in this case, we find a migration of cases to an upper stage (26 T3 tumors [1997] are reclassified as T4a [2002]). In fact, no less than 56% of our patients have T4a and T4b disease. The adoption of the new classification will by itself be responsible for the improved results of future studies, at least with T3 tumors. Actually, the prognostic discriminative effect of T1 versus T3 was lost in the latest classification compared with the 1997 classification (Figures 1 and 2). One must be aware that by adopting the latest AJCCUICC classification, along with the most recent widespread application of modern imaging methods, there will be a shift in classification from lower to upper stages, which is the basis of the well-known Will Rogers phenomenon. This implies that the results from upcoming studies should be carefully interpreted, especially when assessing therapeutic improvements. Tumors invading the dura, orbital apex, brain, middle cranial fossa, cranial nerves other than (V2), nasopharynx, or clivus, are classified as T4b. In our opinion, these tumors are very different 230 Classification of Ethmoid Tumors from one another, and not all of them are unresectable. Actually, many surgeons dealing with skull base surgery usually operate on tumors involving the dura of the anterior cranial fossa. Moreover, some authors demonstrated a different prognosis between patients with dural involvement and those with brain invasion.10,25 All the preceding discrepancies are illustrated in Figures 3 and 4. According to the AJCC-UICC 1997 classification, no trend was observed in terms of DFS or OS rates among T1, T3, and T4 tumor classifications. Oddly, only the patients with T2 tumors showed a better outcome. We believe that a plausible explanation may rest on the fortuitous selection in T2 stage of fungating and probably less-aggressive tumors. According to the AJCC-UICC 2002 classification, patients with T2 disease again showed the most favorable prognosis; minor differences were observed between T1 and T3, whereas a trend toward the most unfavorable prognosis was apparent only for T4a and T4b. The preceding results affect the prognostic capability of both the 1997 and 2002 AJCC-UICC classifications. The INT classification system turned out to have the best overall performance. The distribution of the tumors into each T classification is balanced, without grouping a large number of cases in one stage or another. A progressive worsening of the prognosis was shown to occur from T2 to T4 classifications. Such findings were confirmed for both primary tumors and recurrences, as well as for a specific histotype such as adenocarcinoma. All features of tumor extension that are used in the INT classification system to distinguish one stage from another can be easily assessed with clinical examination, CT scan, and MRI. MRI is able to detect the grade of dura and/or orbital involvement, as well as intradural extension. Actually, in our study, the T classification changed after surgical resection in only five cases; four of them involved relapses after prior surgery and radiotherapy. In these cases, the cicatricial tissues may simulate tumor (or vice versa), so allowing an overstaging or downstaging of the tumor. The INT classification does not include N status, which might seem a limitation. However, although nodal involvement is recognized as a weak prognostic indicator, its rare occurrence in ethmoid tumors would add little information to prognostic classification based on T classification only. In our database we use the AJCC-UICC stages for lymph nodes. HEAD & NECK March 2005 CONCLUSIONS The latest AJCC-UICC classification correctly merges nasal cavity and ethmoid tumors in a nasoethmoid complex, avoiding the moot question about the site of origin of these tumors. However, such classification does not offer clear advantages over the AJCC-UICC 1997 classification in terms of prognostic ability, because in each stage it includes tumor extensions that are very different in terms of curability. Moreover, the AJCC-UICC 2002 classification considers T4b tumors unresectable, whereas in many cases they are quite easily resectable. The validity of the INT classification was confirmed on this large series of patients, and it was shown to achieve the best prognostic discrimination among T classifications. We believe that the INT system for malignant ethmoid tumors is valid for a number of reasons. First, it is based on anatomic and not just pathologic criteria. Second, it takes into account the possibilities and limitations of the ‘‘gold standard’’ treatment for ethmoid tumors (ie, craniofacial resection) to achieve radical resection. Third, it satisfies one of the main goals of tumor staging, namely, the progressive worsening of prognosis for different classes. Finally, our system of tumor classification proved to be valid not only for the overall series but also when applied separately to untreated and recurring cases and to adenocarcinomas, the most frequent histologic type in our series. Staging can be carried out clinically by means of CT scans and MRI, which accurately reveal tumor extensions and involvement of those anatomic structures that determine any modification of stage. This allows comparison of results among homogeneous series treated with surgery, radiotherapy, chemotherapy, and therapeutic combinations. Acknowledgments. Dr Cantù acknowledges the valuable support of the nurses of Head and Neck Surgery Unit at Istituto Nazionale per lo Studio e la Cura dei Tumori, Milan, Italy. This study was sponsored in part by Associazione Italiana per la Ricerca sul Cancro (AIRC). REFERENCES 1. Ketcham AS, Wilkins RH, Van Buren JM, Smith RR. A combined intracranial facial approach to the paranasal sinuses. Am J Surg 1963;106:698 – 703. 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