Janevicetal.BMCPublicHealth2012,12:76 http://www.biomedcentral.com/1471-2458/12/76 STUDY PROTOCOL Open Access Women of Color and Asthma Study protocol for Control: A randomized controlled trial of an asthma-management intervention for African American women Mary R Janevic1*, Georgiana M Sanders2, Lara J Thomas1, Darla M Williams1, Belinda Nelson1, Emma Gilchrist1, Timothy RB Johnson3 and Noreen M Clark1 Abstract Background: Among adults in the United States, asthma prevalence is disproportionately high among African American women; this group also experiences the highest levels of asthma-linked mortality and asthma-related health care utilization. Factors linked to biological sex (e.g., hormonal fluctuations), gender roles (e.g., exposure to certain triggers) and race (e.g., inadequate access to care) all contribute to the excess asthma burden in this group, and also shape the context within which African American women manage their condition. No prior interventions for improving asthma self-management have specifically targeted this vulnerable group of asthma patients. The current study aims to evaluate the efficacy of a culturally- and gender-relevant asthma-management intervention among African American women. Methods/Design: A randomized controlled trial will be used to compare a five-session asthma-management intervention with usual care. This intervention is delivered over the telephone by a trained health educator. Intervention content is informed by the principles of self-regulation for disease management, and all program activities and materials are designed to be responsive to the specific needs of African American women. We will recruit 420 female participants who self-identify as African American, and who have seen a clinician for persistent asthma in the last year. Half of these will receive the intervention. The primary outcomes, upon which the target sample size is based, are number of asthma-related emergency department visits and overnight hospitalizations in the last 12 months. We will also assess the effect of the intervention on asthma symptoms and asthma-related quality of life. Data will be collected via telephone survey and medical record review at baseline, and 12 and 24 months from baseline. Discussion: We seek to decrease asthma-related health care utilization and improve asthma-related quality of life in African American women with asthma, by offering them a culturally- and gender-relevant program to enhance asthma management. The results of this study will provide important information about the feasibility and value of this program in helping to address persistent racial and gender disparities in asthma outcomes. Trial Registration: ClinicalTrials.gov: NCT01117805 Keywords: Asthma, randomized controlled trials, women, African Americans, chronic disease management, self- regulation, behavioral interventions *Correspondence:[email protected] 1CenterforManagingChronicDisease,UniversityofMichigan,1415 WashingtonHeights,AnnArbor,Michigan,USA Fulllistofauthorinformationisavailableattheendofthearticle ©2012Janevicetal;licenseeBioMedCentralLtd.ThisisanOpenAccessarticledistributedunderthetermsoftheCreativeCommons AttributionLicense(http://creativecommons.org/licenses/by/2.0),whichpermitsunrestricteduse,distribution,andreproductionin anymedium,providedtheoriginalworkisproperlycited. Janevicetal.BMCPublicHealth2012,12:76 Page2of7 http://www.biomedcentral.com/1471-2458/12/76 Background and gender-role issues in asthma management. This Asthma and asthma-management among African- intervention was efficacious in reducing health care utili- American women zation while improving asthma-related quality of life and AsthmaprevalenceintheUnitedStatescontinuestobeat clinical status [15,16]. However, unpublished analyses a worrying high level across the population, and both examining the subgroup of African American women in womenandAfricanAmericanscontinuetobedispropor- this trial (n = 89) suggest that this group failed to tionatelyaffectedbythisillness.Amongadults,prevalence achieve the same magnitude of positive outcomes as the among women is nearly double that among men (9.7 vs. overall study population, although statistical power was 5.5%), representing a shift from childhoodwhereasthma limited. These findings suggest the possibility that an predominates among boys, and is higher among non- intervention that better meets the specific asthma-edu- Hispanic Blacks compared to non-Hispanic Whites (8.7 cation and support needs of African American women vs.8.1%)[1].Genderandracedisparitiesarealsopresent may achieve more positive results. There are few exam- inmeasuresofasthmamorbidity,emergencydepartment ples in the literature of asthma-management programs use/hospitalization,andmortality[2-4]. relevant to the needs of African American patients (see The greater asthma incidence, prevalence and severity [17] for review), and none that are specific to women. observed among women compared to men has been TheWomenBreatheFreeprogramwasadaptedtomeet relatedtomultipleissues;forexample,hormonally-linked the needs and preferences of African American women biological differences [5] and greater effects of smoking using a process that consisted of two primary phases: andobesity[5,6].Certainriskfactorsforpoorasthmaout- focusgroups and expert review. In the first phase, forty- comessuchasdepressionandmedicationnon-adherence fourAfricanAmericanwomenwithasthmawhohadcom- may also be more commonamong women[6]. Similarly, pleted the Women Breathe Free study were recruited to multiple factors, many of which are associated with low take part in focus group discussions. Open-ended ques- socioeconomicstatus(SES),likelyplayaroleinthegreater tions were posed about asthma-management concerns, asthma burden among African Americans; e.g., lack of andalsothesocial,cultural,clinical,andpracticalaspects access to optimal medical care, greater prevalence of of an intervention that would help them better manage indoor and outdoor environmental triggers commonly their asthma. Major themes that emerged from these foundinlow-incomeareas,lackofasthmaeducationand groups included: difficulties associated with being over- support,racialdiscrimination,andlessuseofanti-inflam- weight; extensive family care responsibilities; costs asso- matorymedicines[7-10]. ciated with asthma care and medicines as a barrier to With excess risk conferred by both gender and race, management;theinfluenceofsocialnetworkmemberson AfricanAmericanwomencompriseaparticularlyvulner- asthma management; and the importance of social sup- ablegroupofasthmapatients,andarethusalogicalfocus port.Desiredcharacteristicsofanasthma-educationpro- of programsto improveasthmaoutcomes. Thedesignof gram included: a personalized program that addresses theseprogramsshouldconsiderfactorslinkedtobothsex/ asthma-management challenges in the context of eco- genderandracethatmayaffectasthmamanagement.For nomicconstraints;counselorswhosharethewomen’scul- example, many women experience menstruation-linked turalbackgroundanddemonstraterespectfortheirsocial fluctuation in asthma symptoms and have greater expo- and cultural experience, values, and beliefs; counselors surethanmentocommonasthmatriggerssuchashouse- whoareknowledgeable,patient,andabletomotivateand hold cleaning products [11]. Compared to other ethnic offer‘handholding’whenneeded;deliveredbytelephone, groups, African American women have a higher average a mode whichthe women foundmore flexible, personal, body mass index (BMI), which has been linked to more andprivatethangroupmeetings;andmaterialsthatmake severeasthmasymptoms[12].Inaddition,amongwomen useofchecklistsandgraphicsinplaceofextensivetext. screenedforparticipationinabirthcohortstudy,African Aftermaterialsrelatedtointerventioncontentandpro- AmericanwomenhadhigherlevelsoftotalIgE,withspe- cesswereinitiallydevelopedbasedonfocusgroupresults, cificsensitivitytomoreaeroallergens,thantheirCaucasian thesecondphaseofadaptation,expertreview,tookplace. counterparts [13]. They may also have a greater reliance A panel was convened consisting of three doctoral-level onover-the-counterorhomeremediesandbemorelikely expertsinasthmaandculturalappropriateness(anepide- todelaycare-seeking[14]. miologist/healtheducator,aculturalanthropologist,anda socialworker).AllpanelmemberswerethemselvesAfrican Adapting Women Breathe Free for an African American Americanwomenwhohadextensiveexperience working population inthe fieldof asthma educationintheAfrican American A telephone-based asthma education intervention for community. This group reviewed all materials and made women age 18 and over, Women Breathe Free, was the suggestionsformodificationsasneeded.Asummaryofthe first published trial of an intervention addressing sex ways in which the new program, called Women of Color Janevicetal.BMCPublicHealth2012,12:76 Page3of7 http://www.biomedcentral.com/1471-2458/12/76 andAsthmaControl(WCAC),isdesignedtoberelevantto e.g. asthma symptoms and QOL, the intervention effect anAfricanAmericanpopulationcanbefoundinTable1. occurredduringthefirst12monthsandthepowercalcu- lations for these were performed at 12 months, which is Methods/Design thesameormoreconservativethan24months. This study uses a randomized controlled design (inter- TherelativelyrareoccurrenceofEDvistsandhospitali- vention vs. usual care) to test the efficacy of Women of zations for asthma requires a large sample size to detect Color and Asthma Control, a telephone-based asthma clinical improvementover time. Inpreviousworkby the management intervention for African American women. authorsbasedon364participantswithasthma,belonging All study procedures have been reviewed and approved to the intervention group was associated with a 75% by the Institutional Review Board at the University of reductionforhospitalizationand53%forEDvisitswithat Michigan (IRB Study HUM00033784). least80%power(alpha=5%)at24-monthfollow-up.We conservatively estimate a smaller reduction for the same Study hypotheses twooutcomeswithasimilarsamplesizeandthesamesta- Compared to women in the usual care group, women in tistical power. An initial total sample of 420 and a final theinterventiongroupwill:1)useemergencydepartment availablesampleof286willhavesufficientpowertodetect (ED) services for asthma less frequently and be hospita- a32%improvementintheproportionofparticipantshav- lized for asthma less frequently; 2) need urgent care in a ingat least1EDvisit(42% inmeanEDvisits)anda41% physician’sofficelessoften;3)experiencefewersymptoms improvementintheproportionhavingatleastonehospi- of asthma; and 4) have higher levels of asthma-related talization(46%inmeanhospitalizations).Notethatthese qualityoflife.Weexpecttoseebetween-groupdifferences powercalculations also ensureour ability to assessother atboth12and24monthsfrombaseline. important outcomes such as asthma symptoms and asthmaqualityoflife. Sample size determination The sample size of 420 at baseline (210 women in each Participant recruitment treatment condition) was determined by power calcula- Wearerecruitingatotalof420participantsforthisstudy tions using the primary study outcomes of ED visits and overanapproximatelytwo-yearperiod.Tobeeligible,par- hospitalizationsinthelast12months,takingintoaccount ticipantsmust:1)beawoman18yearsofageorolderand 30%attritionrateover24monthsandalossof5women self-identifyasAfricanAmerican,2)haveaccesstoaland- per group due to pregnancy. In previous work we line or mobile telephone, 3) not be pregnant, and 4) not observedthatforEDvisitsandhospitalizationsthetreat- resideinaninstitution. menttakesatleast12monthstoreachfulleffect;thus,the Primary recruitment is through the University of sample size calculations for these outcomes were per- Michigan Health System (UMHS), with eligibility formed at 24 months. However, for the other outcomes, requirements for participants including: 1) have at least Table 1Examplesofculturally-relevant aspects ofthe WomenofColor andAsthma Control intervention Programelement Relevance Programstaff InterventioncounselorsareAfrican-Americanwomen,toenhancerapportwithparticipants.Non-counselingstaffaretrained inissuesrelatedtoculturalsensitivity. Participantvisuals PhotographsinworkbookrepresentadiversityofAfricanAmericanwomenandfamilies.Photosoftelephonecounselors includedinworkbook. Workbookcontent Useofculturally-relevantactivitieswhendiscussingpotentialtriggers(e.g.,nailsalons,churchandfamilygatherings).Useof culturally-relevantexamplesinlistofpotentialasthma-managementproblems(e.g.,asthmamedicineisexpensivesoIonly buyitwhenmysymptomsarebad,myfamilythinksprayerisallIneedtotakecareofmyasthma). Telephonesession Culturally-linkedfactorsaddressedbytelephonecounselorsduringprogramsessions,whererelevant: content –Potentialperceptionthatasthmaislife-threateningandthatfears,ifnotmanaged,canblockeffectiveaction. –Therolethatbeingoverweightmayplayinworseningasthmasymptoms. –Impactoftimeandfamilyresponsibilities,includingextendedfamily. –Economicconstraintsinmanagingasthma. –Theimportanceofcommunitylifeandthepotentialinfluenceonasthmamanagementofthebeliefsofotherwomenin theirsocialcircles. –Potentialuseofalternativetherapies. –Possibilityoffrequentasthmasymptoms. –Possibilityofuseofurgentandemergencyservicesforasthmaasaregularfeatureofcare. –Possibilityofnotusinganti-inflammatorymedicine. –Generationofapotentialallergyprofiletohelpinformulatingstrategiesrelatedtoenvironmentalcontrol,potential seasonsofincreasedrisk,andtherelationshipbetweenasthmaandrhinitis. -Effectivecommunicationwithhealthcareteamandothersourcesofsupport. Janevicetal.BMCPublicHealth2012,12:76 Page4of7 http://www.biomedcentral.com/1471-2458/12/76 one outpatient visit at the University of Michigan Health block, there will be an equal number of intervention System (UMHS) in the past year; and 2) be listed on the and control participants. This process ensures that over UMHS Asthma Patient Registry, a validated all-payer the course of the study, 210 women will be assigned to registry of patients with persistent asthma cared for each of the two study conditions. It also reduces poten- within UMHS. Lists of potential participants from the tial confounding effects (e.g., seasonal variation) which UMHS Asthma Registry are periodically generated and might occur due to the rolling recruitment process. reviewed by a research nurse. Eligible patients are then mailed a packet including consent forms, a study over- Theory and content of intervention view page and a letter from the project director inviting WCAC is based on the Center for Managing Chronic them to enroll. The letter is followed by a recruitment Diseasemodelofself-regulationfordiseasemanagement, phone call, which includes information about the study’s a framework that has been informed by social cognitive purpose, randomization, and data collection. Upon theory [18]. Participants are introduced to a self-regula- returning a signed consent form, participants are tory problem-solving process, which is designed to help enrolled in the study and randomized after baseline data them engage more effectively in their asthma manage- collection. ment.Thisprocess,whichreflectsthekeycomponentsof Secondaryrecruitmentmethodsincludepostingonthe the self-regulationmodel,includethe followingsteps:1) University of Michigan’s clinical trial research database, Identifying a problem in asthma management (partici- http://UMClinicalStudies.org; partnering with the Blue pants are offered a list of potential asthma-management Cross Blue Shield of Michigan (BCBSM) to identify problems,includingthoseassociatedwiththeirsex,gen- members in the area who meet study criteria; and insti- der roles, culture and other relevant challenges; recom- tutingacommunityrecruitmentplanthatincludespost- mendations from the participant’s physician are also ingflyersinlocalhealthcenters,hairsalons,community reviewedatthisstage);2)Observingoneself,one’senvir- organizations, and churches. All patients recruited out- onment, and one’s pattern of symptoms so as to under- side of the Registry will have patient records in the stand both the influences on the problem and the way UMHS or BCBSM systems that can be used for analysis those influences might be ameliorated; 3) Setting an ofoutcomesrelatedtohealthcareutilization.Anypoten- asthma-management goal; 4)Developing a plan or tialparticipantcontactingstudystaffafterlearningabout strategy to achieve the goal; and 5)Tracking progress, the study through one of these secondary recruitment reacting appropriately, and establishing suitable methods will be screened for eligibility and then mailed rewardsforsuccess.Participantsareguidedbythecoun- thestudypacketasdescribedabove. selor through a period of self-observation using a peak- To enhance recruitmentandretentionof participants, flow meterandsymptomdiary,alongwithachecklistof a number of strategies are employed. Strategies include: physicalactivity,environmentalfactors,andotherpoten- 1) providing a $20 gift card upon completion of each tial precipitants to asthma exacerbations. This observa- data-collection interview; 2) mailing periodic greeting tion period enables them to see the barriers and cards to establish a personal connection; 3) providing facilitators to achieving desired management practices eachintervention-group participantwithhercounselor’s and outcomes. Telephone sessions last 45 minutes to 1 photograph and a personalized letter; 4) utilizing as hour and take place approximately every two weeks. recruiters, interviewers, and counselors individuals who Table2providesan overview ofthe content ofeachses- share a cultural understanding and who have worked sion. Importantly, the content of the intervention also with and in the African American population; and 5) reinforcestheprioritymessagesputforthbytheNational attemptingcontactsovera periodofseveralweekssince AsthmaEducationand PreventionProgram’sGuidelines disconnected phone lines are sometimes reconnected Implementation Panel [19]: appropriate use of inhaled afteraperiodoftime. corticosteroids, reviewing asthma control, having an asthma action plan, periodic follow-up visits with clini- Randomization cian as appropriate, and allergen and irritant exposure After the baseline interview, participants are assigned to control. either treatment or control groups using a restricted randomization scheme. This scheme achieves balance Control condition between the two groups at all points during the study The control condition will consist of usual care from the period. Prior to the beginning of the study, a permuted UMHS or a BCBSM provider. At the UMHS, this care block randomization schedule for 420 subjects was cre- consists of evidence-based clinical practice and adher- ated using the RANTBL and RANUNI functions in SAS ence to National Asthma Education and Prevention Pro- to generate blocks with varying sizes of 8, 10, or 12 and gram (NAEPP) guidelines for asthma diagnosis and random numbers for group assignment. After every treatment, and development of asthma action plans. Janevicetal.BMCPublicHealth2012,12:76 Page5of7 http://www.biomedcentral.com/1471-2458/12/76 Table 2WomenofColor andAsthma Control intervention: Overview ofprogramsessioncontent Session Examplesoftopics,andself-regulationphases Goalsforparticipant Othercontent addressed: 1 Useofpeakflowmeter(PFM);trackingsymptoms, Self-observeusingasthmadiary(mail medicationsandtriggers;allergies. copyofdiarydatabacktohealth educator). 2 ReviewPFMandsymptomdiary. Usereviewtoidentifysymptom patternsandtriggers.Continueself- observation. 3 ReviewPFMandsymptomdiary;review Developaplanforaddressingthe Discussionsofsex-,gender-andculture- therapeuticplanprovidedbyphysician.Identifya problemareaandreachinggoal.Carry relatedinfluencesonasthmaandasthma managementgoalanddevelopplantoachieve outstepsofthemanagementplan. managementareintegratedintoeach goal. session. 4 Reviewprogresstowardgoalandadjustplanas Assessprogress,fine-tuneplan,and needed. continuetowardproblemresolution. 5 Reviewprogresstowardgoalandconsidernext Achievegoalasappropriate,apply steps(e.g.,refineplan,choosenewproblem,etc.). problemsolvingprocesstonew/ Discussrewardandbenchmarksofprogress. differentmanagementproblems. Emphasis is also placed on patient education about dis- nighttime asthma symptoms, rescue medication use, and ease processes, importance of trigger avoidance, and the overall self-rated asthma control over the last 4 weeks. development of a partnership for asthma care. Standar- Mini Asthma Quality of Life Questionnaire [21] dized asthma education kits are available in all UMHS This validated 15-item scale addresses the following four clinic sites, and clinic personnel have been trained in domains specific to adult asthma patients: 1) activity their use by a certified asthma educator. Of note, sex- limitations; 2) symptoms; 3) emotional function; and 4) specific, gender-role, or culturally-related issues are not environmental stimuli. systematically or routinely addressed during the clinical Absenteeism activity days encounter or in educational materials. All WCAC parti- In the previous 12 months, 1) total days when physical cipants are sent basic asthma education materials ("Con- activity was limited because of asthma; 2) total days of trolling Your Asthma” booklet from the American missed work or school because of asthma. College of Chest Physicians) upon completion of the Other health care utilization baseline interview. In the previous 12 months, unscheduled clinic visits for urgent asthma treatment and scheduled clinic visits for Outcomes and measures asthma care. Data is collected from participants via telephone inter- Asthma self-regulation skills and self-efficacy viewswithtrainedresearchassistants.Dataiscollectedon A scale was developed by the authors that measures the paper and then entered twice into Qualtrics, a secure frequency with which participants engage in the self-reg- onlinesurveyprogram,toensureaccuracy.Withtheparti- ulatory behaviors of observations, judgments, and reac- cipants’permission,anaudiorecordingoftheinterviewis tions as applied to asthma management; and also also made to verify data accuracy and completion. Data measures self-efficacy for each of these behaviors. collectiontakesplaceatthreetimepoints:baseline(before Sex/gender-specific management problems randomization),12months,and24months. This scale, used in previous work by the authors [15], Theprimarystudyoutcomesarethenumberofasthma- measures the frequency of problems of asthma manage- relatedEmergencyDepartment(ED)visitsandthenumber ment related to hormonal cycles, sexual activity, urinary ofovernighthospitalizations inthelast 12months.These incontinence, and triggers associated with gender roles. willbecollectedviaself-reportontelephoneinterviews,as African-American-specific management problems wellasfrommedicalandbillingrecords. This scale, developed by the authors, measures the fre- Other outcomes of interest include the following: quency with which participants experience asthma-man- Frequency of daytime and nighttime asthma symptoms agement challenges that may be common among (coughing, wheezing, shortness of breath, and chest African American women (e.g., having numerous family tightness), over the past month, seasonally, and in the responsibilities, physician communication, money con- last 12 months. cerns or worries). Asthma Control Test [20] Data is also collected on a wide array of demographic, This validated, five-item questionnaire assesses the effect health and psychosocial characteristics at all three time of asthma on daily functioning, shortness of breath, points. Janevicetal.BMCPublicHealth2012,12:76 Page6of7 http://www.biomedcentral.com/1471-2458/12/76 Analysis will also provide important information about the recep- Statistical testing will evaluate changes in the primary tiveness of participants to an intervention relevant in andsecondaryoutcomes,andotheroutcomesofinterest, this manner. If shown to be efficacious, the WCAC pro- over the course of the study, and assess differences in gram will represent one means of addressing persistent these changesasa function ofparticipation inthe inter- racial disparities in asthma outcomes. vention. Descriptive statistics will be computed for all outcomes, aswell associodemographicandhealthchar- Listofabbreviationsused acteristics, overall and for each study group (treatment ED:EmergencyDepartment;WCAC:WomenofColorandAsthmaControl; andcontrol).Thiswillhelpdeterminewhetherthetreat- PFM:peakflowmeter;QOL:qualityoflife;SES:socioeconomicstatus;BMI: mentandusual-caregroupsareequivalentpriortointer- bodymassindex;UMHS:UniversityofMichiganHealthSystem;BCBSM:Blue CrossBlueShieldofMichigan. vention,andhowthesegroupsdifferatspecificfollow-up points (12 and 24 months after baseline). We will use Acknowledgements mixed-effectsmodelsfortheanalysisofcontinuousout- ThistrialisfundedbyGrantR18HL094272-01fromtheLungDivisionofthe NationalHeart,Lung,andBloodInstitute.MRJissupportedbyan come variables and generalized estimating equations administrativesupplementtothisgrantforRe-entryinBiomedicaland (GEEs) for analyzing discrete outcomes. Pre-planned BehavioralResearchCareers.Wewouldalsoliketothankallthewomen contrasts will examine the nature of change over time, participatinginthistrial. includingthetimingandlongevityofinterventioneffects. Authordetails SAS Version 9.2 and IVEware (to multiply impute miss- 1CenterforManagingChronicDisease,UniversityofMichigan,1415 ingdata)willbeusedforanalysis[22,23]. WashingtonHeights,AnnArbor,Michigan,USA.2UniversityofMichigan MedicalSchoolandDepartmentsofInternalMedicineandPediatrics,1500E. MedicalCenterDrive,AnnArbor,Michigan,USA.3UniversityofMichigan Process evaluation MedicalSchoolandDepartmentofObstetricsandGynecology,1500E. Data will also be collected regarding key aspects of the MedicalCenterDrive,AnnArbor,Michigan,USA. intervention process. First, participants will be asked to Authors’contributions complete a brief online or mail survey regarding their NMCisthePrincipalInvestigatorofthestudy,andGMSandTRBJareCo- experience with the WCAC program (e.g., satisfaction investigators;MRJisaResearchAssociatewiththestudy.LJT,DMW,BN,and EGareinvolvedinprojectmanagementand/orinterventiondelivery.All with counselor, perceived improvement in asthma-man- authorsparticipatedinthedesignofthetrial,intervention,and/ormeasures. agement skills) when they have completed the series of MRJandNMCdraftedthemanuscript;allauthorsreviewed,edited,and telephone counseling sessions. This survey also includes approvedthefinalmanuscript. itemsdesignedtoassessparticipants’satisfactionwiththe Competinginterests culturally-relevant elements of the program (e.g.,“If you Theauthorsdeclarethattheyhavenocompetinginterests. weretoparticipate ina programlike thisone again,how Received:3January2012 Accepted:24January2012 importantwoulditbetoyouthatyourhealtheducatorbe Published:24January2012 African American?”). Second, telephone counselors will keeplogsofeachphonesessiontotrackelementssuchas References participants’ goals and progress in the self-regulation 1. CentersforDiseaseControlandPrevention(CDC):Vitalsigns:asthma prevalence,diseasecharacteristics,andself-managementeducation: process. Finally, all telephone counseling sessions are UnitedStates,2001–2009.MMWRMorbMortalWklyRep2011, audio-recorded and a random subset are reviewed for 60(17):547-552. theirfidelitytotheplannedprogramcontent.Thisprocess 2. 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