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International Journal of Psychophysiology 131 (2018) 96–101

Contents lists available at ScienceDirect

International Journal of Psychophysiology


journal homepage: www.elsevier.com/locate/ijpsycho

Adding HRV biofeedback to psychotherapy increases heart rate variability T


and improves the treatment of major depressive disorder

Yoko Tsui Caldwell, Patrick R. Steffen
Brigham Young University, United States

A R T I C L E I N F O A B S T R A C T

Keywords: Heart rate variability (HRV) is a significant marker of health outcomes with decreased HRV predicting increased
Heart rate variability disease risk. HRV is decreased in major depressive disorder (MDD) but existing treatments for depression do not
Major depressive disorder return heart rate variability to normal levels even with successful treatment of depression. Heart rate variability
Biofeedback biofeedback (HRVB) increases heart rate variability but no studies to date have examined whether combining
Psychotherapy
HRVB with psychotherapy improves outcome in MDD treatment. The present study used a randomized con-
trolled design to compare the effects of HRVB combined with psychotherapy on MDD relative to a psychotherapy
treatment as usual group and to a non-depressed control group. The HRVB + psychotherapy group showed a
larger increase in HRV and a larger decrease in depressive symptoms relative to the other groups over a six-week
period, whereas the psychotherapy group only did not improve HRV. Results support the supplementation of
psychotherapy with HRVB in the treatment of MDD.

1. Introduction increases HRV. Therefore, the purpose of the present study was to ex-
perimentally investigate if adding HRVB to psychotherapy, compared to
Depression is a highly prevalent and debilitating disorder. The a treatment as usual psychotherapy group, would increase HRV and
World Health Organization estimates that depression is the third improve the treatment of depression.
leading cause of disease burden in the world and will be the leading Depression impacts all areas of life including mood (e.g. sadness and
cause by the year 2030 (WHO, 2011), with depression severely im- feelings of worthlessness), cognition (difficulties concentrating, deci-
pacting both psychological and physiological functioning. Heart rate sion making), and physiological functioning (e.g., sleep, energy), and as
variability (HRV) in particular, a key marker of parasympathetic depression progresses there is a shift in autonomic balance towards
functioning and a potent predictor of physical morbidity and mortality, sympathetic dominance and decreased HRV (Holzel et al., 2011; Kemp
significantly decreases as depression progresses (Gorman and Sloan, et al., 2014a; Kemp et al., 2014b; Koschke et al., 2009). These symp-
2000; Kemp et al., 2010; Kemp et al., 2012; Koschke et al., 2009; Sgoifo toms significantly disrupt daily life and left untreated negatively impact
et al., 2015). Unfortunately, even though there are effective treatments work, relationships, and physical health. Successful treatments for de-
for depression including antidepressants and psychotherapy, HRV re- pression include antidepressants and psychotherapy. Antidepressant
mains low even after successful resolution of depressive symptoms medications are frequently used to help reduce depressive symptoms
(Kemp et al., 2010). In other words, current treatments improve psy- and help those afflicted with MDD to recover more quickly (Arroll et al.,
chological wellbeing, but do not resolve physiological issues such as 2009; Fournier et al., 2010). Despite the high usage of antidepressants,
heart rate variability. findings from several studies suggest that only a third to a half of pa-
Depression rates have increased in recent decades in spite of effec- tients find antidepressants to be effective, with long term outcomes
tive treatments, and one potential reason for this problem is lack of being poor (Garcia-Toro et al., 2012; Hughes and Cohen, 2009; Pigott
recovery in HRV following treatment (Greenberg et al., 2015; Kemp et al., 2010; Rush et al., 2006). Antidepressant medications do not
et al., 2010; Kessler et al., 2012; Kessler et al., 2014; WHO, 2011). HRV improve HRV functioning, and some studies have found that anti-
biofeedback (HRVB) reliably increases HRV and may represent a solu- depressant medications decrease HRV even further (Bassett, 2016;
tion to the HRV recovery problem observed in depression treatment Gorman and Sloan, 2000; Kemp et al., 2010). Interestingly, Licht et al.
(Lehrer and Gevirtz, 2014). No studies to date, however, have experi- (2010) found that starting antidepressant medication use decreased
mentally tested whether combining HRVB with standard psychotherapy HRV and stopping antidepressant medication use increased HRV.


Corresponding author.
E-mail address: steffen@byu.edu (P.R. Steffen).

https://doi.org/10.1016/j.ijpsycho.2018.01.001
Received 23 October 2017; Received in revised form 20 December 2017; Accepted 3 January 2018
Available online 05 January 2018
0167-8760/ © 2018 Elsevier B.V. All rights reserved.
Y.T. Caldwell, P.R. Steffen International Journal of Psychophysiology 131 (2018) 96–101

Psychotherapy also improves depressive symptoms and helps those 2. Methods


afflicted with MDD to recover more quickly (Butler et al., 2006; De
Maat et al., 2007; DeRubeis et al., 2008; Gartlehner et al., 2015; Hollon 2.1. Participants
et al., 2005). As with antidepressants, psychotherapy has not been
shown to improve HRV in physically healthy MDD individuals, but A total of 32 female college students ages 18 to 25 were recruited.
there is evidence that psychotherapy improves HRV in patients with Participation was voluntary. Exclusion criteria included an age < 18 or
coronary artery disease, at least in those severely depressed (Carney over 25 years, use of vasoactive medications, cardiovascular disease,
et al., 2000; Kim et al., 2009). Mindfulness and mindful approaches to alcohol or drug abuse, any physiological or neurological disorders,
psychotherapy improve HRV in non-depressed individuals, but no stu- history of electroconvulsive therapy, and head injury.
dies to date have shown success with improving HRV in a depressed Of the 32 participants, 21 individuals with MDD were recruited
sample. In fact, Wheeler et al. (2014), in a study of Mindfulness Based through the Brigham Young University (BYU) Counseling Center con-
Cognitive Therapy, found that depressive symptoms improved but HRV secutively. One participant with MDD was excluded in the study due to
did not change. In two unique studies that combined elements of equipment error. In total, 20 participants with MDD participated in the
mindfulness with CBT, HRV did improve. Kim et al. (2009) studied a study. All met diagnostic criteria for MDD, with five reporting a history
CBT alone versus CBT plus forest meditation and found HRV im- of depressive symptoms during their teen years. One of the MDD par-
provement for the combined group but the CBT alone group showed no ticipants reported current use of medication (Prozac); however, she was
changes. In a similar study, combining slow breathing exercises with in the process of weaning off this medication. MDD participants were
CBT improves HRV (Chien et al., 2015). It is noteworthy that slow, randomized into either an experimental group (n = 10) that received
diaphragmatic breathing is a key part of HRVB. both HRV biofeedback training and psychotherapy for MDD or a
HRVB is a promising intervention that may improve HRV during treatment as usual (TAU) psychotherapy only group (n = 10). Another
depression treatment. HRVB involves learning how to breathe at a re- 11 healthy individuals were recruited through BYU campus as the
sonance frequency rate, typically about 6 breaths per minute. control group. One participant from the control group was excluded due
Individuals with healthy breathing patterns, including athletes, medi- to equipment error. In total, 10 participants remained in the control
tators, and Sherpas, spend more time breathing at this resonance rate group (CON). None met criteria for psychiatric disorders or reported
(Bernardi et al., 2001a; Bernardi et al., 2001a, 2001b). HRVB training medication use. Thus, the total sample for data analyses consisted of 20
increases baroreflexes and helps people develop healthier breathing MDD participants and 10 healthy control participants. These groups did
patterns (Lehrer et al., 2003). HRV is considered an index of adapt- not differ by age (HRVB ages M = 20.09, SD = 1.81; TAU ages
ability, a measure of the body's ability to balance environmental change M = 20.20, SD = 1.47; control ages M = 20.64, SD = 1.29).
and physiological needs, and the effects of HRVB appear to be at least
partially mediated by improved baroreceptor and parasympathetic
function. 2.2. Psychological measures
Initial studies examining HRVB as a therapy for depression have
found encouraging results. Karavidas et al. (2007) investigated HRVB as The MINI International Neuropsychiatric Interview (MINI; Sheehan
a standalone treatment for major depressive disorder. They examined et al., 1998) was used in this study. The MINI is one of the most widely
11 participants diagnosed with major depressive disorder with no used clinical structured diagnostic interview instrument with adequate
control group and found that depressive symptoms decreased and HRV internal consistency (α = 0.66; Sheehan et al., 1998). The MINI was
increased during the course of treatment. At the end of treatment, used during the recruitment stage to ensure all individuals in the HRVB
however, HRV returned to baseline levels. As with previous research group and TAU group met criteria for MDD, and all participants from
using anti-depressants and psychotherapy, gains in depression treat- the CON group did not meet criteria for any disorders listed on the
ment were maintained. In a similar study, Siepmann et al. (2008) in- MINI.
vestigated HRVB as a standalone treatment for depression, examining The BDI-II (Beck et al., 1996) was used to examine the severity of
14 participants diagnosed with depression and also examining 12 depression symptoms. The total score of the BDI-II is 63 with 4 levels of
healthy volunteers who received HRV, as well as 12 healthy controls cutoff scores. A total score between 0 and 13 indicates “minimal” level
who did nothing. There was no depressed control group, however, so of depression, score between 14 and 19 indicates “mild” level of de-
complete randomization was not achieved. They found that HRVB im- pression, score between 20 and 28 indicates “moderate” level of de-
proved both depressive symptoms and HRV in the depressed group but pression, and score between 29 and 63 indicates “severe” level of de-
not in the healthy groups. Finally, in a study by Zucker et al. (2009) 38 pression. The BDI-II has demonstrated reliability and validity, with
patients with PTSD were randomly assigned to either HRVB or pro- internal consistency ranging from 0.87 to 0.93 (Titov et al., 2011).
gressive muscle relaxation. At the end of the four-week study, only the
HRVB group displayed significant decreases in depression and sig-
nificant increases in HRV. Overall, research findings suggest that HRV 2.3. Physiological measures
has the potential to be an effective adjunctive treatment for depression.
No published studies to date, however, have examined HRVB as an Physiological data were recorded using a biofeedback system (J&J
adjunct to psychotherapy using a randomized controlled design. The Engineering, Poulsbo, WA). Measures of HRV were recorded and ana-
purpose of the present study was to examine HRVB as an adjunct to lyzed including the standard deviation of normal-to-normal intervals
psychotherapy in the treatment of major depressive disorder with (SDNN) between adjacent heartbeats, high frequency (HF) and low
participants randomized to treatment groups. We hypothesized that the frequency (LF) heart rate variability (HRV), and the ratio between LF
HRVB group would show a larger increase in heart rate variability and a and HF (LF/HF). SDNN is the amount of variability in heartbeat in-
larger decrease in depressive symptoms relative to treatment as usual tervals for a given time period; in this study 5-minute time intervals
(TAU) and to a non-depressed control group (CON). We also hypothe- were used (Vaschillo et al., 2006). Higher values of SDNN represent
sized that the effects of group membership on depression change would higher HRV and are associated with better health outcomes. HF HRV
be mediated by changes in heart rate variability. To carefully study the reflects parasympathetic activity and typically corresponds to the range
question, we focused on women diagnosed with Major Depressive between 0.15 and 0.40 Hz (Karavidas et al., 2007; Kemp et al., 2012).
Disorder beginning psychotherapy. LF HRV is influenced by both the sympathetic and parasympathetic
systems and baroreflex activity and typically corresponds to the range
between 0.05 and 0.15 Hz.

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Y.T. Caldwell, P.R. Steffen International Journal of Psychophysiology 131 (2018) 96–101

2.4. Procedure resonance frequency breathing rate and breathed in phase with their
heart rate for 20 min on each of the visit. A follow-up appointment was
All participants were recruited through the BYU campus and scheduled upon completion of the 5th training session.
Counseling Center. Informed consent was given prior to clinical inter-
view. After potential participants signed the informed consent, the MINI 2.4.5. Follow-up measurement
was administered. All psychotherapy participants who met criteria for Similar to the baseline HRV measurement, participants from the
MDD were randomized into either the HRVB or TAU group and re- three groups were asked to fill out an online survey first and then
ceived the standard psychotherapy approach offered at the student breathed with their normal breathing rate for 10 min. Data were re-
counseling center consisting of Cognitive Behavioral and Acceptance corded through the biofeedback system. After that, participants were
and Commitment Therapy approaches. Individuals without any psy- debriefed. Total time commitment for the follow-up HRV measurement
chopathology were assigned into the control group. All participants was approximately 30 min including placing electrodes and instruc-
from the 2 therapy groups were scheduled for the baseline HRV mea- tions. Hence, the total time commitment for the present study was
surements before or during the first week of therapy. approximately 6 weeks.

2.4.1. Baseline measurement 2.5. Analytic strategy


Each participant was asked to abstain from exercising, consuming
caffeinated and tobacco products for 3 h before testing. Participants' All data were analyzed using a 3 (HRVB, TAU, control) × 2 (base-
baseline HRV was measured at the BYU Counseling Center. An online line, 6 week follow-up) repeated measures ANOVA design. Dependent
survey which included the BDI-II and demographic information was variables were total BDI-II scores, SDNN, and LF/HF ratio with separate
administrated. Participants where then instrumented with a respiration repeated measure ANOVAs conducted for each dependent variable.
belt directly over the participant's waist for respiration data and ECG Follow up analyses were conducted to examine the interactions among
electrodes were placed on each wrist to measure HRV. A ground elec- the various experimental groups using a post-hoc Tukey test. Effect size
trode was put on the left wrist, above the ECG electrode. After all the was measured using partial eta squared (η2). The HRV frequency
sensors were placed, participants were instructed to breathe with their measures demonstrated skewed distributions, therefore the natural log
normal day-to-day breathing rate for 10 min as a baseline measure- transformation was performed on LF, HF, and LF/HF ratio before
ment. After the baseline recording, all participants from the HRVB analyses were conducted.
group received their first HRV training session. The TAU and control
groups were scheduled to come back for follow-up measurements. 3. Results

2.4.2. 1st HRV training 3.1. Baseline comparisons


This training session occurred on the same day immediately fol-
lowing the HRV baseline measurement. The purpose of the first training We examined whether combining HRVB with psychotherapy would
session was to demonstrate and teach abdominal breathing. For more improve the treatment of MDD and measures of HRV relative to a TAU
detail on the procedures see Lehrer et al. (2013). In brief, participants group and a non-depressed control group. At baseline there were sig-
learned diaphragmatic breathing, practicing for 20 min. This breathing nificant differences in BDI scores as expected, with the HRVB and TAU
technique set the stage for the following 4-week HRV training sessions. groups reporting higher levels of depressive symptoms than the healthy
Upon finishing the first training session, participants were scheduled for controls, with no differences between HRVB and TAU groups, F(1, 27)
their second visit and reminded to practice diaphragmatic breathing 15 = 17.13, p < 0.001, partial η2 = 0.56; see Table 1. Both treatment
to 20 min a day, 4 to 5 times a week. Additionally, participants received groups reported mild to moderate level of depression, scoring above the
a weekly e-mail reminding them to practice and their weekly ap- cutoff for clinically significant levels of distress, with the control group
pointment. The baseline HRV measurement and all of the following reporting a minimal level of depression. There were no significant
HRV training sessions lasted approximately 30 to 45 min each. differences between groups for SDNN (F(1, 27) = 1.51, p = 0.24,

2.4.3. 2nd HRV training Table 1


The purpose of the second training session was to determine each Descriptive information by experimental group.
participants' resonance frequency breathing rate, i.e. the rate that cre-
HRVB + TAU TAU Controls F p
ates the greatest oscillations in HR (Lehrer and Gevirtz, 2014). At the (n = 10) (n = 10) (n = 10)
beginning of this training session, all participants were instructed to do Mean (SD) Mean (SD) Mean (SD)
diaphragmatic breathing for 3 min then breathed at different rates,
from 6.5 down to 4.5 breathes per minute (see Vaschillo et al., 2006) BDI
Baseline 24.9 (11.7) 17.7 (7.1) 3.7 (4.0) 17.13 0.001
with a change of 0.5 stepped down each time. Each rate of breathing 6 weeks 12.0 (10.5) 12.1 (5.5) 2.5 (3.3) 5.99 0.007
lasted for 2 min and HRV data was recorded for each breathing rate. Difference 12.9 (12.1) 5.6 (5.8) 1.2 (1.6) 5.76 0.008
Participants followed a visual pacer on a computer screen at their SDNN
corresponding respiratory rate. Participants' resonance frequency Baseline 42.9 (23.1) 50.0 (12.13) 56.7 (16.5) 1.51 0.24
6 weeks 60.3 (26.5) 48.5 (10.2) 56.3 (17.9) 0.96 0.40
breathing rate was determined by the highest LF spike, which was
Difference 17.4 (9.7) − 1.5 (9.5) −0.4 (16.3) 7.47 0.003
generated from the J&J program. Once participants' optimal breathing LF
rate was determined, they were instructed to practice with a visual Baseline 2.9 (0.5) 2.9 (0.3) 3.1 (0.3) 1.32 0.28
pacer corresponding to their optimal breathing rate for another 3 min. 6 weeks 3.2 (0.4) 2.8 (0.4) 3.2 (0.4) 3.54 0.04
Upon completion, participants were scheduled for three weekly 20 min Difference − 0.3 (0.5) 0.1 (0.2) −0.1 (0.2) 3.03 0.07
HF
HRV training sessions. They were also instructed to practice 4 to 5 times Baseline 2.7 (0.6) 3.0 (0.4) 3.0 (0.4) 1.05 0.36
a week for three weeks, between 15 and 20 min a day by using visual 6 weeks 2.6 (0.6) 2.8 (0.5) 2.8 (0.5) 0.66 0.53
guides that could be downloaded from the internet for free. Difference 0.1 (0.5) 0.2 (0.3) 0.2 (0.3) 0.10 0.90
LF/HF ratio
Baseline 1.1 (0.2) 1.0 (0.2) 1.1 (0.2) 1.22 0.31
2.4.4. 3rd, 4th and 5th HRV training
6 weeks 1.3 (0.3) 1.0 (0.2) 1.2 (0.2) 3.86 0.03
These three training sessions aimed to fine tune and target partici- Difference − 0.2 (0.2) − 0.03 (0.1) −0.1 (0.2) 2.86 0.08
pants' resonance frequency breathing rate. Participants practiced their

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Y.T. Caldwell, P.R. Steffen International Journal of Psychophysiology 131 (2018) 96–101

30 65

25
60
Beck Depression Inventory

20
55
HRV+TAU HRV+TAU

SDNN
15 TAU TAU
CON 50 CON
10

5 45

0 40
Week 1 baseline Week 6 follow-up Week 1 baseline Week 6 follow-up
Fig. 1. Effects of HRV + TAU, TAU, and control groups on Beck Depression Inventory Fig. 2. Effects of HRV + TAU, TAU, and control groups SDNN (HRV) at baseline and at 6-
scores at baseline and at 6-week follow-up. week follow-up.

partial η2 = 0.10; see Table 1), log LF (F(1, 27) = 1.32, p = 0.28, SDNN change found a significant relationship, p < 0.005, B = 8.911,
partial η2 = 0.09; see Table 1), log HF (F(1, 27) = 1.05, p = 0.36, SE B = 2.907. Regression analyses examining the relationship SDNN
partial η2 = 0.073; see Table 1), and log LF/log HF ratio (F(2, 27) change and BDI change also found a significant relationship, p = 0.03,
= 1.22, p = 0.31, partial η2 = 0.08; see Table 1) at baseline. Therefore, B = 0.24, SE B = 0.104. The Sobel test statistic was 1.84 with a one-
groups did not significantly differ on measures of HRV at baseline. tailed p = 0.03 indicating that mediation occurred. It appears there-
fore, that the depressive symptom improvement seen in the HRVB
group was partially driven by improvements in HRV (SDNN).
3.2. Post-treatment comparisons

Our first research question addressed the impact of HRVB combined 4. Discussion
with psychotherapy on depressive symptoms over time. Overall, de-
pressive symptoms decreased over the course of the experiment as Traditional interventions for MDD, such as antidepressants and
evidenced by a significant main effect of time in the ANOVA for BDI psychotherapy, do not improve HRV even after successful reduction of
total score, F(2, 27) = 21.34, p < 0.001, partial η2 = 44. This main depressive symptoms (Kemp et al., 2010; Kim et al., 2009; Licht et al.,
effect was qualified by a significant group × time interaction, F(2, 27) 2010). HRVB improves HRV and has shown promise as a treatment for
= 5.76, p < 0.01, partial η2 = 0.30. Relative to baseline, the HRVB depression (Karavidas et al., 2007; Siepmann et al., 2008; Zucker et al.,
group showed the largest decline (Mbaseline = 24.9; Mfollow-up = 12.0; 2009). We hypothesized that combining HRVB with psychotherapy
see Fig. 1), with depression level dropping from a moderate to minimal would improve HRV relative to a treatment as usual (TAU) psy-
level. The TAU group's depression scores slightly shifted from a mild to chotherapy group and a healthy control group. We found that HRVB
minimal depression level at the follow-up time point while the health plus psychotherapy led to greater increases in HRV and greater de-
controls' depression scores remained at the minimal level (TAU: total creases in depressive symptoms for patients with MDD relative to the
BDI-II scores Mbaseline = 17.7; Mfollow-up = 12.10; control total BDI-II TAU and non-MDD controls, with increased HRV partially accounting
scores Mbaseline = 3.7; Mfollow-up = 2.5). The TAU group, however, did for the depression change. These findings support the supplementation
not differ significantly in depression change scores from the control of traditional psychotherapy with HRVB as a method to reverse the
group. negative effects of depression on HRV.
Our second research question addressed the impact of HRVB com- These findings extend current knowledge in two ways. First, a
bined with psychotherapy on measures of HRV over time. Overall, randomized controlled design allows direct comparisons to be made
SDNN, HF, and the LF/HF ratio changed significantly over time (but not between HRVB + TAU and TAU only groups. Analyzing what HRVB
LF) as evidenced by significant main effects of time in the ANOVAs for contributes above and beyond traditional psychotherapy builds on
SDNN, F(2, 27) = 5.291, p = 0.03, partial η2 = 0.164; HF, F(2, 27) previous studies which did not randomize across experimental groups,
= 4.29, p < 0.05, partial η2 = 0.14; and LF/HF, F(2, 27) = 11.13, instead using within-subject designs (Karavidas et al., 2007; Siepmann
p = 0.002, partial η2 = 0.29. For LF, the ANOVA results approached et al., 2008). Second, examining HRVB as an adjunct to psychotherapy
significance with F(2, 27) = 3.11, p = 0.09, partial η2 = 0.10. These allows us to explore how HRV may be improved supplementing stan-
main effects were qualified by a significant group × time interaction dard therapeutic approaches to MDD. It appears that combining HRVB
for SDNN, F(2, 27) = 7.469, p = 0.003, partial η2 = 0.356, with the with psychotherapy has the potential to significantly improve therapy
results approaching significance for LF, (2, 27) = 3.03, p = 0.07, par- outcomes as well as improve HRV over time.
tial η2 = 0.18, and the LF/HF ratio, F(2, 27) = 2.86, p = 0.08, partial We note two key implications of these findings. First, psychotherapy
η2 = 0.175, with these changes being driven by the HRVB group. The participants show increased levels of physiological stress and stress
HRVB group had a 17-point increase on SDNN from baseline to the response compared to matched controls during lab based stressors
follow-up time point (Mbaseline = 42.9; Mfollow-up = 60.3; p = 0.002), (Steffen et al., 2014), and increased physiological response to stress at
whereas the TAU and control groups displayed minimal changes (see baseline predicts worse psychotherapy outcomes in depressed patients
Fig. 2). (Ehrenthal et al., 2010). This heightened stress physiology may explain
Our third research question examined whether changes in HRV why HRV does not increase following effective anti-depressant and
would account for the relationship between experimental group and psychotherapy treatments for depression. In other words, effective
depressive symptoms. To conduct the Sobel Test for the significance of treatment of depression might not reduce stress physiology which
mediation, two regression analyses were first run to obtain the un- contributes to decreased HRV. Therefore, addressing physiology as well
standardized beta weights and associated standard errors. Regression as psychology may increase psychotherapy effectiveness, and com-
analyses examining the relationship between experimental group and bining HRVB with psychotherapy may significantly improve depression

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Y.T. Caldwell, P.R. Steffen International Journal of Psychophysiology 131 (2018) 96–101

outcomes as well as HRV outcomes. patterns in major depressive disorder after an inadequate response to first-line anti-
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