Modern computer systems rely heavily on sophisticated caching mechanisms to bridge the performance gap between fast processors and relatively slow main memory. As we push the boundaries of parallel processing and multi-core architectures, understanding the intricacies of cache systems becomes crucial for computer scientists and engineers. This comprehensive exploration delves into four critical aspects of cache design: write policies, eviction strategies, invalidation mechanisms, and cache coherence protocols including snooping.
Table of Contents
- Introduction to Cache Systems
- Cache Write Policies
- Cache Eviction Strategies
- Cache Invalidation Mechanisms
- Cache Coherence and Snooping Protocols
- Performance Implications and Trade-offs
- Modern Implementations and Future Directions
- Conclusion
Introduction to Cache Systems {#introduction}
Cache memory serves as a high-speed buffer between the processor and main memory, exploiting both temporal and spatial locality of reference to dramatically improve system performance. In modern multi-level cache hierarchies, each level presents unique challenges in terms of data management, consistency, and performance optimization.
The fundamental principle behind caching is simple: frequently accessed data should be stored in faster, smaller memories closer to the processor. However, the implementation details become complex when we consider multiple processors, multiple cache levels, and the need to maintain data consistency across the entire system.
Understanding cache behavior requires grasping several key concepts:
- Cache Hit: When requested data is found in the cache
- Cache Miss: When requested data must be fetched from a lower level in the memory hierarchy
- Cache Line: The unit of data transfer between cache levels (typically 64 bytes in modern systems)
- Set Associativity: The organization of cache lines into sets, affecting where data can be placed
Cache Write Policies {#write-policies}
Write policies determine how the cache system handles store operations from the processor. The choice of write policy significantly impacts both performance and system complexity, with different trade-offs between speed, power consumption, and data consistency requirements.
Write-Through Policy
In a write-through cache, every write operation updates both the cache line (if present) and the corresponding location in the next level of the memory hierarchy simultaneously. This policy ensures that the cache and lower-level memory remain consistent at all times.
Advantages:
- Data Consistency: Lower-level memory always contains the most recent data
- Simplified Error Recovery: System failures don't result in data loss since all writes are immediately propagated
- Reduced Cache Coherence Complexity: Other processors can always find the latest data in main memory
Disadvantages:
- Performance Overhead: Every write operation requires accessing slower memory levels
- Increased Bus Traffic: Write operations consume memory bus bandwidth even for cache hits
- Power Consumption: Frequent memory accesses increase energy usage
Implementation Considerations:
Write-through caches often employ write buffers to mitigate performance penalties. When the processor issues a write, the data is immediately written to the cache (if present) and placed in a write buffer. The write buffer then handles the slower process of updating lower-level memory asynchronously. This approach maintains the consistency guarantees of write-through while reducing the immediate performance impact.
Processor Write Request → Cache Update + Write Buffer Entry → Background Memory Update
The write buffer depth must be carefully chosen. Too shallow, and the processor stalls waiting for buffer space. Too deep, and the complexity and power consumption increase unnecessarily.
Write-Back (Write-Behind) Policy
Write-back caches only update the local cache line on write operations, deferring updates to lower-level memory until the cache line is evicted or explicitly flushed. This approach maximizes write performance at the cost of increased complexity in maintaining data consistency.
Advantages:
- Superior Write Performance: Writes complete at cache speed rather than memory speed
- Reduced Bus Traffic: Multiple writes to the same cache line require only one eventual memory update
- Lower Power Consumption: Fewer accesses to slower, more power-hungry memory levels
Disadvantages:
- Data Consistency Challenges: Cache and memory may contain different values for the same address
- Complex Error Handling: Cache failures may result in data loss
- Increased Cache Coherence Complexity: Other processors cannot rely on memory containing current data
Dirty Bit Implementation:
Write-back caches require a dirty bit (also called modified bit) for each cache line to track whether the line contains data that differs from lower-level memory. When a cache line is written:
- The dirty bit is set
- On eviction, if the dirty bit is set, the line is written back to memory
- If the dirty bit is clear, the eviction requires no memory write
Write-Back Buffer Optimization:
Modern write-back caches often use victim caches or write-back buffers to reduce the performance impact of dirty line evictions. When a dirty line must be evicted, it's placed in a special buffer and the eviction can complete immediately. The buffer handles the actual write-back asynchronously.
Write-Allocate vs. No-Write-Allocate
These policies determine cache behavior on write misses:
Write-Allocate (Fetch-on-Write):
- On a write miss, the cache line is loaded from memory before being updated
- The written data and surrounding bytes from the cache line are now available for future reads
- More complex but exploits spatial locality
No-Write-Allocate (Write-Around):
- On a write miss, data is written directly to memory without loading the cache line
- Simpler implementation with lower miss penalty for write-only access patterns
- May miss opportunities to exploit spatial locality
The choice between these policies often depends on the expected access patterns. Write-allocate works well for applications with high spatial locality, while no-write-allocate can be more efficient for streaming applications that write data once and never access it again.
Hybrid Approaches
Some modern caches implement adaptive write policies that switch between write-through and write-back based on runtime characteristics:
- Temporal Switching: Using write-through for the first few writes to a cache line, then switching to write-back
- Address-Based Switching: Different memory regions may use different policies
- Load-Based Switching: Switching to write-through under heavy system load to reduce cache coherence traffic
Cache Eviction Strategies {#eviction-strategies}
When a cache is full and new data must be loaded, eviction strategies determine which existing cache line to replace. The choice of eviction strategy significantly impacts cache hit rates and overall system performance.
Least Recently Used (LRU)
LRU evicts the cache line that has been accessed least recently. This strategy is based on the principle of temporal locality—recently accessed data is more likely to be accessed again soon.
Implementation Challenges:
For a fully associative cache with N lines, perfect LRU requires maintaining timestamps or a complete ordering of all cache lines. This becomes prohibitively expensive as associativity increases.
Approximation Techniques:
- 2-bit LRU: For 4-way set associative caches, uses 2 bits per set to track approximate LRU order
- Clock Algorithm: Uses a single reference bit per line, implementing a circular approximation to LRU
- Pseudo-LRU: Uses log₂(N) bits to maintain a binary tree representing approximate access order
Tree-based Pseudo-LRU Example:
For a 4-way set associative cache:
Root
/ \
N1 N2
/ \ / \
L0 L1 L2 L3
Each node contains a bit indicating which subtree was more recently accessed. On access to line L2:
- Set N2 = 0 (left subtree more recent)
- Set Root = 1 (right subtree more recent)
This approach requires only 3 bits instead of full timestamps but provides a reasonable approximation to true LRU.
First-In-First-Out (FIFO)
FIFO evicts the cache line that has been in the cache the longest, regardless of access patterns. While simpler to implement than LRU, FIFO ignores temporal locality and often performs worse.
Implementation:
- Circular buffer or queue structure
- Single pointer tracking the next line to evict
- O(1) eviction decision time
FIFO can be effective in scenarios where access patterns show little temporal locality or where implementation simplicity is paramount.
Random Replacement
Random replacement selects a cache line to evict using a pseudo-random number generator. Despite its apparent simplicity, random replacement can be surprisingly effective and avoids pathological cases that can plague deterministic algorithms.
Advantages:
- Simple implementation requiring only a random number generator
- Immune to adversarial access patterns that exploit deterministic algorithms
- Predictable average-case behavior
Implementation Considerations:
- Linear Feedback Shift Registers (LFSRs) provide fast, simple pseudo-random number generation
- Quality of randomness affects performance—pure random can outperform poor approximations to LRU
Least Frequently Used (LFU)
LFU tracks access frequency for each cache line and evicts the line with the lowest access count. This strategy works well for applications with stable working sets where some data is accessed much more frequently than others.
Implementation Challenges:
- Requires maintaining access counters for each cache line
- Counter overflow and aging mechanisms needed for long-running systems
- More complex than LRU but can outperform it in specific scenarios
Aging Mechanisms:
- Periodic Decay: Regularly divide all counters by 2 to emphasize recent history
- Window-Based LFU: Only count accesses within a sliding time window
- Adaptive Aging: Adjust aging rate based on observed access patterns
Most Recently Used (MRU)
Counterintuitively, MRU evicts the most recently accessed line. This strategy is effective for specific access patterns, particularly sequential scans of large data structures where recently accessed data is unlikely to be needed again soon.
Use Cases:
- Database systems scanning large tables
- Streaming applications processing data sequentially
- Loop nests with large datasets that don't fit in cache
Advanced Eviction Strategies
Modern processors implement increasingly sophisticated eviction algorithms:
Adaptive Replacement Cache (ARC):
- Maintains separate LRU lists for recently used and frequently used items
- Dynamically adjusts the balance between recency and frequency
- Self-tuning based on observed miss patterns
Dynamic Re-Reference Interval Prediction (DRRIP):
- Predicts re-reference intervals for cache lines
- Uses these predictions to make more informed eviction decisions
- Particularly effective for mixed workloads with different locality patterns
Dead Block Prediction:
- Attempts to identify cache lines that will never be accessed again
- Evicts predicted dead blocks early to make room for more useful data
- Uses program counter information and other contextual clues
Cache Invalidation Mechanisms {#invalidation}
Cache invalidation ensures that cached data remains consistent with the authoritative copy, which becomes critical in multi-processor systems and when dealing with I/O operations or memory-mapped devices.
Software-Controlled Invalidation
Software-controlled invalidation gives programs explicit control over cache contents through special instructions or system calls.
Cache Flush Instructions:
- WBINVD (x86): Write-back and invalidate entire cache
- CLFLUSH (x86): Flush specific cache line
- DC CIVAC (ARM): Clean and invalidate data cache line to point of coherency
Use Cases:
- DMA Operations: Ensuring cache coherency when devices access memory directly
- Memory Protection: Invalidating caches when changing page permissions
- Debugging: Forcing predictable memory states during system analysis
Programming Considerations:
Software invalidation requires careful orchestration:
; Before DMA operation
CLFLUSH buffer_address ; Ensure any dirty data is written to memory
MFENCE ; Memory fence to ensure completion
; Perform DMA operation
call dma_transfer
; After DMA operation
CLFLUSH buffer_address ; Invalidate potentially stale cache data
MFENCE ; Ensure invalidation completes before use
Hardware-Controlled Invalidation
Hardware mechanisms automatically maintain cache consistency without software intervention, essential for transparent multi-processor cache coherence.
Bus Snooping Invalidation:
- Cache controllers monitor bus transactions
- Invalidate local copies when other processors write to the same address
- Ensures coherence with minimal software involvement
Directory-Based Invalidation:
- Central directory tracks which caches contain copies of each memory block
- Sends targeted invalidation messages when updates occur
- More scalable than snooping for large processor counts
Time-Based Invalidation
Some systems implement time-based invalidation for specific use cases where data has known lifetimes or when consistency requirements are relaxed.
TTL (Time-To-Live) Caches:
- Each cache line has an associated timestamp or age
- Lines are automatically invalidated after a predetermined time
- Useful for web caches, DNS caches, and other distributed systems
Implementation Challenges:
- Requires reliable timing mechanisms
- Must balance consistency with performance
- Clock synchronization in distributed systems
Content-Based Invalidation
Advanced systems may implement invalidation based on data content or semantic information rather than just addresses.
Checksum-Based Invalidation:
- Compute checksums for cache lines periodically
- Invalidate lines whose checksums indicate corruption
- Useful for error detection in long-term storage caches
Semantic Invalidation:
- Use program analysis to determine when data dependencies change
- Invalidate caches based on high-level data relationships
- Research area with potential for compiler-assisted optimization
Cache Coherence and Snooping Protocols {#coherence-snooping}
Cache coherence ensures that all processors in a multi-processor system observe a consistent view of memory, despite each having private caches that may contain copies of the same data. This is one of the most complex aspects of modern cache design.
The Cache Coherence Problem
Consider two processors P1 and P2, each with private caches, accessing shared variable X:
Initial state: X = 42 in memory
P1 reads X:
- P1 cache contains X = 42
- Memory contains X = 42
P2 reads X:
- P1 cache contains X = 42
- P2 cache contains X = 42
- Memory contains X = 42
P1 writes X = 100:
- P1 cache contains X = 100
- P2 cache contains X = 42 (stale!)
- Memory may contain X = 42 or X = 100 (depending on write policy)
Without coherence mechanisms, P2 would read stale data, violating program correctness.
Bus Snooping Protocols
Bus snooping protocols maintain coherence by having all cache controllers monitor (snoop) bus transactions and take appropriate actions to maintain consistency.
MSI Protocol
The MSI protocol is the foundation of many coherence schemes, with three possible states for each cache line:
Modified (M):
- Cache line has been modified and differs from memory
- Only one cache can hold a line in Modified state
- Cache must respond to other processors' read requests
- Must write back to memory on eviction
Shared (S):
- Cache line is unmodified and matches memory
- Multiple caches may hold the same line in Shared state
- No write-back required on eviction
Invalid (I):
- Cache line is not present or has been invalidated
- Must fetch from memory or another cache on access
MSI State Transitions:
From Invalid (I):
- PrRd (Processor Read) → Shared (S) if other caches have copies
- PrRd (Processor Read) → Modified (M) if no other caches have copies and line is dirty elsewhere
- PrWr (Processor Write) → Modified (M), invalidate all other copies
From Shared (S):
- PrRd → Shared (S) (no change)
- PrWr → Modified (M), send invalidation to other caches
- BusRd from other processor → Shared (S) (no change)
- BusRdX from other processor → Invalid (I)
From Modified (M):
- PrRd → Modified (M) (no change)
- PrWr → Modified (M) (no change)
- BusRd from other processor → Shared (S), provide data to requesting processor
- BusRdX from other processor → Invalid (I), provide data to requesting processor
MESI Protocol
The MESI protocol extends MSI with an Exclusive state, reducing bus traffic for private data:
Exclusive (E):
- Cache line is unmodified but only cached by this processor
- Can transition to Modified without bus transaction
- Reduces invalidation traffic for private data
MESI Advantages:
- Silent Transitions: E→M transitions don't require bus communication
- Reduced Invalidations: Private data doesn't generate unnecessary coherence traffic
- Better Performance: Fewer bus transactions for single-processor access patterns
MESI State Machine:
The transition from Shared to Exclusive occurs when a processor reads data and no other caches currently hold the line. This optimization significantly improves performance for privatization patterns where data moves from shared to processor-private access.
MOESI Protocol
MOESI adds an Owned state to MESI, further optimizing performance in certain scenarios:
Owned (O):
- Cache line has been modified but is also present in other caches in Shared state
- Owned cache is responsible for providing data to other processors
- Multiple caches can have the same line with one in Owned state and others in Shared
MOESI Benefits:
- Reduced Memory Traffic: Modified data can be shared without writing back to memory
- Lower Latency: Cache-to-cache transfers are faster than memory accesses
- Power Efficiency: Fewer memory accesses reduce power consumption
Directory-Based Coherence
While snooping protocols work well for small-scale multiprocessors, they don't scale efficiently to large numbers of processors due to broadcast requirements. Directory-based protocols address this limitation.
Directory Organization:
- Each memory block has associated directory information
- Directory tracks which caches contain copies of each block
- Coherence actions are point-to-point rather than broadcast
Scalability Advantages:
- Reduced Traffic: No broadcast messages for coherence
- Better Scalability: Network traffic grows linearly with processor count
- Flexible Topologies: Works with various interconnection networks
Implementation Challenges:
- Directory Overhead: Additional storage required for tracking information
- Complexity: More complex protocols and potential for race conditions
- Memory Distribution: Directory information must be distributed or replicated
Advanced Coherence Optimizations
Modern coherence protocols implement numerous optimizations to improve performance and reduce overhead:
Migratory Sharing:
- Detect when data migrates between processors
- Use specialized coherence actions for migratory patterns
- Reduce latency for producer-consumer scenarios
Bulk Invalidation:
- Invalidate multiple cache lines with single message
- Useful for page-based operations or large data structure updates
- Reduces coherence message overhead
Adaptive Protocols:
- Switch between snooping and directory-based coherence based on system load
- Use runtime information to optimize protocol behavior
- Balance performance with resource usage
Cache-to-Cache Transfers:
- Allow direct data transfer between caches
- Bypass memory for cache-to-cache coherence transactions
- Significant latency and bandwidth improvements
Non-Uniform Cache Architecture (NUCA) Considerations
As cache sizes grow, uniform access latency becomes impossible to maintain. NUCA designs partition large caches into banks with different access latencies, complicating coherence protocols.
Static NUCA:
- Fixed mapping of addresses to cache banks
- Simple implementation but may cause load imbalance
- Coherence complexity similar to traditional designs
Dynamic NUCA:
- Data can migrate between banks based on access patterns
- Better load balancing but increased coherence complexity
- Requires coherence protocols within the cache itself
Performance Implications and Trade-offs {#performance}
The choice of cache policies involves complex trade-offs between performance, power consumption, complexity, and scalability. Understanding these trade-offs is crucial for system designers and performance engineers.
Write Policy Performance Analysis
Write-Through vs. Write-Back Performance:
The performance difference between write policies depends heavily on workload characteristics:
Write-heavy workload with poor temporal locality:
- Write-through: Every write pays full memory latency penalty
- Write-back: Writes complete at cache speed, but evictions are expensive
Write-heavy workload with good temporal locality:
- Write-through: Still pays memory penalty but write buffer can help
- Write-back: Excellent performance, multiple writes amortized over single eviction
Read-heavy workload:
- Both policies perform similarly for reads
- Write policy choice has minimal impact
Quantitative Analysis:
Consider a cache with:
- Cache hit time: 1 cycle
- Memory access time: 100 cycles
- Write buffer depth: 4 entries
For a write-through cache with write buffer:
- Write hit with buffer space: 1 cycle
- Write hit with full buffer: 1 + (buffer_entries × memory_latency) cycles
- Effective write time depends on write buffer management efficiency
Eviction Strategy Performance
LRU vs. Random Performance Comparison:
Extensive research has shown that LRU generally outperforms random replacement, but the margin varies significantly:
- High Temporal Locality: LRU can achieve 2-3× lower miss rates than random
- Low Temporal Locality: Performance difference may be less than 10%
- Adversarial Patterns: Random can outperform LRU in pathological cases
Associativity Impact:
The choice of eviction strategy interacts strongly with cache associativity:
- Direct-Mapped: No eviction choice, performance depends entirely on mapping function
- 2-Way Set Associative: Simple LRU (1 bit per set) shows significant improvement over random
- High Associativity: Diminishing returns for complex LRU approximations
Coherence Protocol Overhead
Snooping Protocol Performance:
Bus snooping introduces several sources of overhead:
- Bus Arbitration: Processors must compete for bus access
- Snoop Bandwidth: All processors must monitor all bus transactions
- False Sharing: Unrelated data in the same cache line causes unnecessary coherence traffic
Quantitative Overhead Analysis:
In a 4-processor system with snooping:
- Each memory transaction is observed by all 4 processors
- Bus utilization increases by factor of 4× for coherence monitoring
- Coherence miss penalty includes bus arbitration and snoop processing time
Directory Protocol Trade-offs:
Directory-based protocols trade different types of overhead:
- Storage Overhead: Directory information requires additional memory
- Indirection: Extra hop through directory increases latency for some operations
- Hot-Spot Avoidance: Eliminates broadcast bottlenecks but may create directory bottlenecks
Power and Energy Considerations
Modern processors spend significant power on cache operations, making power-aware cache design crucial:
Write Policy Power Impact:
- Write-Through: Higher memory access frequency increases DRAM power
- Write-Back: More complex control logic but fewer memory accesses
- Write Buffers: Additional storage and control logic power overhead
Coherence Power Overhead:
- Snooping: All caches must monitor bus, increasing dynamic power
- Directory: Additional memory accesses for directory operations
- Cache-to-Cache Transfers: May reduce memory power but increase network power
Dynamic Power Management:
Advanced processors implement various power optimization techniques:
- Cache Way Shutdown: Disable unused cache ways to reduce leakage power
- Coherence Filtering: Avoid unnecessary snoops through address filtering
- Adaptive Policies: Switch between policies based on power/performance requirements
Modern Implementations and Future Directions {#modern-future}
Contemporary processor designs implement increasingly sophisticated cache systems that push the boundaries of performance, power efficiency, and scalability.
Current Industry Implementations
Intel Architecture:
- Ice Lake: Implements modified MESIF protocol with Forward state for optimization
- Alder Lake: Heterogeneous caches with different policies for performance and efficiency cores
- Sapphire Rapids: Advanced directory-based coherence for high core counts
AMD Architecture:
- Zen 3: Unified L3 cache with victim cache functionality
- EPYC: NUMA-aware cache policies for large-scale systems
- 3D V-Cache: Massive L3 caches requiring new eviction strategies
ARM Architecture:
- Cortex-A78: DynamIQ cluster-level coherence with configurable cache policies
- Neoverse V1: Advanced prefetching with cache-aware replacement policies
- Apple M1: Unified memory architecture affecting traditional cache design
Emerging Technologies
Processing-in-Memory (PIM):
Near-data computing changes fundamental cache assumptions:
- Coherence Challenges: Maintaining consistency between host and memory-side processing
- New Eviction Strategies: Account for processing capabilities at different levels
- Hybrid Policies: Dynamic switching between conventional and PIM-optimized policies
Non-Volatile Memory Integration:
- Intel Optane: Blurs line between cache and storage, requiring new consistency models
- STT-MRAM Caches: Non-volatile caches that retain data through power cycles
- ReRAM: Potential for in-cache computation affecting eviction decisions
Machine Learning Enhanced Caching:
- Learned Eviction: Neural networks predict optimal replacement decisions
- Adaptive Coherence: ML models optimize protocol selection based on workload characteristics
- Predictive Invalidation: AI-driven cache line lifetime prediction
Research Directions
Quantum-Safe Caching:
As quantum computing advances, cache security becomes important:
- Quantum-Resistant Coherence: Protocols secure against quantum attacks
- Cache Side-Channel Protection: Hardware mechanisms to prevent timing attacks
- Homomorphic Cache Operations: Computing on encrypted cached data
Carbon-Aware Computing:
Environmental concerns drive new optimization criteria:
- Energy-Proportional Caches: Performance scaling based on available renewable energy
- Carbon-Optimal Policies: Choosing policies based on grid carbon intensity
- Lifecycle-Aware Design: Optimizing for manufacturing and disposal impact
Neuromorphic Cache Architectures:
Brain-inspired computing models suggest new caching approaches:
- Associative Memory Caches: Content-addressable storage with learning capabilities
- Synaptic Coherence: Protocols inspired by neural network communication
- Adaptive Plasticity: Caches that evolve their behavior based on long-term usage patterns
Integration with Accelerators
Modern systems increasingly include specialized accelerators (GPUs, AI chips, FPGAs) that complicate cache design:
Heterogeneous Coherence:
- CPU-GPU Coherence: Unified memory spaces requiring cross-architecture cache protocols
- AI Accelerator Integration: Specialized coherence for tensor operations and neural networks
- FPGA Cache Integration: Reconfigurable hardware affecting cache design requirements
Memory Hierarchy Evolution:
- Multi-Level Storage: Integration of various memory technologies (SRAM, DRAM, NVM, storage)
- Compute-Near-Storage: Processing capabilities at storage level affecting cache hierarchy
- Optical Interconnects: Ultra-high bandwidth connections changing coherence trade-offs
Conclusion {#conclusion}
Cache systems represent one of the most complex and critical aspects of modern computer architecture. The intricate interplay between write policies, eviction strategies, invalidation mechanisms, and coherence protocols determines not just performance, but also power consumption, correctness, and scalability of computing systems.
As we've explored, each design decision involves fundamental trade-offs:
- Write policies balance immediate performance against consistency and complexity
- Eviction strategies attempt to predict future access patterns with limited information
- Invalidation mechanisms ensure correctness while minimizing performance overhead
- Coherence protocols scale shared memory programming models across increasing numbers of processors
The field continues to evolve rapidly, driven by new technologies, changing workloads, and emerging requirements. Machine learning integration, non-volatile memories, specialized accelerators, and environmental concerns all influence future cache system design.
For computer scientists and engineers, understanding these systems requires appreciating both the theoretical foundations and practical implementation challenges. The principles we've discussed—locality of reference, consistency models, and performance trade-offs—remain constant even as specific implementations evolve.
As computing systems become more parallel, more specialized, and more constrained by power and environmental considerations, cache system design will only become more critical. The engineers who deeply understand these systems will be essential in building the next generation of computing platforms that meet society's growing computational demands while operating within physical and environmental constraints.
The journey from simple write-through caches to modern coherent multi-level hierarchies with machine learning optimization demonstrates the incredible innovation possible when theoretical computer science meets practical engineering constraints. This evolution continues, promising even more sophisticated and efficient memory systems in the years ahead.
This blog post represents current understanding of cache systems as of 2025. The field continues to advance rapidly, and readers should consult recent research literature for the latest developments in cache architecture and optimization techniques.
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