TMI Research: Human Memory

An Empirical Investigation Into the Effect of Beta Frequency Binaural-
beat Audio Signals on Four Measures of Human Memory

By Richard Cauley Kennerly Back to the research index

ABSTRACT

Beta frequency binaural-beat audio signals were utilized to
investigate facilitation of human performance on two memory tasks and
two memory related tasks. Subjects were 50 college students randomly
assigned with a double-blind methodology to the control or
experimental groups. The control group listened to instrumental music.
The experimental group listened to the same music with binaural-beat
audio signals bedded under the music. The four dependent variables
used were a 25 item word list recall test, a 25 item word list
recall/recognition test, and from the WAIS-R the digit symbol and
digit span subtests. The experimental group displayed statistically
significant (p. 05) increases in mean scores with the word list recall
test, the digit symbol subtest, and the digit span subtest. No
statistically significant increases in the experimental mean over the
control mean were noted in the word list recognition/recall subtest.
The results indicate that beta frequency binaural-beat audio signals
are an effective method for facilitating simple free recall memory,
ability to attend, and the ability to persevere at routine motor
tasks.

PREFACE

This thesis is the culmination of a long personal struggle with the
educational system. I have always loved questioning and learning. Yet
before graduate school I never enjoyed, or did well in school. I have
spent a lifetime on the edge of academic failure where every mediocre
grade was a struggle. As a child, adults told me that I was smart and
that there was no reason I shouldn't be able to make excellent grades.
The unspoken judgement being that I just didn't want to, that there
was something wrong with me or worse, that I just didn't try hard
enough. I know I frustrated many people, yet I was the most frustrated
one of all.

As an adult I worked my way through college, and graduated out of luck
and shear persistence. If I failed a class, I took it over until I
made the grade I needed. In graduate school I knew I would need a new
strategy, since I could no longer take classes over with the new grade
replacing the old. I could not afford to work so hard for such
mediocre results. I was still very frustrated, and I turned that
frustration into a search for answers.

To my joy, I found a combination of dimethylaminoethanol (DMAE) , a
nutrient found in seafood, and binaural-beat signals worked well to
offset my learning disabilities.

What had been an academic Sisyphean struggle became a genuine
pleasure. The effect was one of personal transformation and excellent
grades. I felt as though I had been set free from a life long prison.

The thesis you now hold arises out of my personal success with, and
interest in, binaural-beat signals.

This thesis is dedicated to Elisabeth Schumacher, my mother. Without
her unfailing love and devotion, none of my life achievements would
have been possible. She has believed in me when I didn't believe in
myself. She has given me support when I needed it, without regard for
herself. She has loved me beyond all reason, and that has sustained me
down a long and rocky road.

INTRODUCTION

This study is an empirical inquiry into the facilitation of human
memory with the use of beta frequency binaural-beat audio signals
(BBS's) under conditions designed to control for confounding
variables. Previous studies have not controlled for confounding
variables, preventing any definite conclusions on the extent to which
BBS's may facilitate memory.

Were the observed results with BBS's in previous research the result
of placebo effects, a confounding variable, or the binaural-beat
signals? It is not an answerable question until research is done
demonstrating the effectiveness of BBS's in facilitating memory under
more controlled conditions.

The hypothesis and experimental design of this study are constructed
to be able to answer the question of the effectiveness of BBS's in
facilitating memory under controlled conditions. Statistically
significant results in this study would support earlier non-empirical
research which has found BBS's to be useful in facilitating improved
academic performance among mainstream and Attention Defict/Hyperactive
Disorder (ADHD) populations. The results of the earlier studies, and
more tightly controlled studies with other brain wave training
techniques, suggest that beta frequency BBS's should significantly
facilitate memory.

Hypothesis and Operational Definition of Memory

There were four hypothesis used in this research, each postulating
that in a study controlling for confounding variables the experimental
group would display a statistically significant improvement in mean
scores over the control group at a .05 or less significance level.

Hypothesis one (H1) postulated a statistically significant higher mean
score for the experimental group as measured by a 25 item word list
recall test.

Hypothesis two (H2) postulated a statistically significant higher mean
score for the experimental group as measured by a 25 item word list
recall/recognition test.

Hypothesis three (H3) postulated a statistically significant higher
mean score for the experimental group as measured by the WAIS-R digit
symbol subtest.

Hypothesis four (H4) postulated a statistically significant higher
mean score for the experimental group as measured by the WAIS-R digit
span subtest.

The statistically significant improvement in the mean scores of the
experimental group over the control group on any of the tests allows
one to infer that facilitation of test performance occurred. If there
were no confounding variables, this facilitation of test performance
can be assumed to be the result of the independent variable.

The free recall word list test and the combined recognition/recall
test are the two most memory related tasks out of the four presented
and thus the two most relevant to drawing any conclusions about the
facilitation of memory. Generally memory can be characterized as "the
ability to reproduce or recount information that was experienced at an
earlier time" (Domjan & Burkhard, 1982, p. 308).

For the purposes of this study memory was operationally defined as a
subject's ability to reproduce the information presented on a test
within the limited time allocated for reproduction of that
information.

The Four Dependent Variables

Four tests were administered to each of 50 undergraduates
participating in the study to obtain data on the effect of binaural-
beat signals on memory. The first test, word list free recall, was a
simple free recall memory task given to obtain data on the
facilitation of memory with beta-frequency binaural-beat signals.

The second test was a German vocabulary combined recall-recognition
test given to obtain data on the facilitation of memory with a more
complex associative recognition/recall task.

The third and fourth tests were the digit span and digit symbol
subtests of the WAIS-R. These two tests were administered in order to
gain clarity on the observations of teachers who have used binaural-
beat signals in their classrooms. These teachers have reported
increases in grades, student attention, and decreased hyperactivity
while using binaural- beat audio signals in their classes (Edrington,
1985). The two WAIS-R subtests were used to determine if binaural-beat
audio signals could facilitate the ability to attend and persevere at
routine tasks. Facilitation of these two features of cognitive
performance may be in part, or in whole, the underlying factors in the
facilitation of memory by binaural-beat signals.

What Are Binaural-Beat Audio Signals?

Binaural-beat audio signals are a specific audio entrainment technique
for altering a subject's brain waves. Alteration of a subject's brain
wave frequency or amplitude produces changes in the subject's
performance level on some cognitive tasks (Hutchinson, 1994). Brain-
wave training is the utilization of brain-wave altering equipment
(usually biofeedback equipment) to produce durable changes in a
subject's brain waves (Peniston, & Kulkosky 1989).

Brain-wave training has been found to yield excellent results in the
facilitation of human memory, attention span, and relaxation
(Hutchinson, 1994). Furthermore, this research has been demonstrating
brain-wave training as an effective intervention in impaired levels of
functioning due to ADHD, learning disabilities (LD), physical brain
trauma, and psychological trauma (Ochs, 1993).

As a specific technique of brain-wave training, BBS's have not been
empirically studied to produce statistically significant data on how
comparable they are to other forms of brain-wave training. Such
results would lay a more solid groundwork for clinicians and clinician
researchers who are using, or interested in using, binaural-beat
brain-wave training.

It is hoped that this study will be one of the first bricks in the
laying of a solid research foundation for support of clinicians and
organizations interested in applied research and application of
binaural-beat brain-wave training.

REVIEW OF RELATED LITERATURE

There has been a quiet revolution occurring in the study of human
cognitive functioning and its associated brain wave activity.
Breakthroughs have been occurring whose application may rival the
introduction of drug therapies to psychiatry. This new wave of
therapies involves non-drug interventions capable of rapidly healing
previously resistant pathologies and improving cognitive performance
in normal subjects.

These new interventions have arisen out of ongoing research in
Electroencephalographic (EEG) feedback. In the sixties, EEG feedback
was used primarily to control stress. However the interest of serious
researchers waned as EEG biofeedback was embraced in the popular
culture as a cure all and was tainted with a somewhat disreputable air
by association with the human potential movement. Clinical interest in
biofeedback returned with the decline of popular attention to
biofeedback and the publication of controlled studies showing the
effectiveness of biofeedback in chemical and psychometric tests with
up to three years of follow-up (Ochs, 1993).

As new generations of EEG equipment became available, researchers
developed an expanding understanding of brain wave patterns.
Associations were found between specific patterns of brain wave
activity and pathological, normal, and optimal cognitive
performance/states.

Utilizing this information, biofeedback researchers have been training
subjects who have frequency patterns associated with various disorders
to alter their brain wave patterns to match those associated with
normally functioning individuals (Hutchinson, 1994). This technique
has been found to be a rapid and effective intervention for many
severe and resistant pathologies including, "depression, sleep
disorders, seizures, chronic fatigue, headaches, mood swings, anxiety"
(Hutchison, 1994, p. 361), alcoholism, (Peniston, & Kulkosky,
1989), addiction, attention deficit hyperactive disorder (ADHD),
epilepsy, post-traumatic stress, paralysis and cognitive impairment as
a result of a stroke or head injury (Ochs,1993).

On the Million Clinical Multiaxial Inventory (MCMI) brain-wave
training (BWT) resulted in significant decreases on the "scales
labeled schizoid, avoidant, passive-aggressive, schizotypal,
borderline, paranoid, anxiety, somatoform, dysthymia, alcohol abuse,
psychotic thinking, psychotic depression, and psychotic delusion" when
used with vietnam veterans suffering from post-traumatic stress
(Peniston, & Kulkosky, 1990, p. 37).

Possible Mechanisms Underlying Brain-wave Training

Triggering of Neurotransmitters

Why should helping individuals retrain their brain wave frequency
patterns be so helpful? A suggestion might be found in the work of
Patterson and Capel (1983) in Surrey, England. They found that
different neurotransmitters were triggered by different frequencies
and wave forms. For example, a 10-hertz signal boosts production and
turnover rate of serotonin. "Each brain center generates impulses at a
specific frequency, based on the predominant neurotransmitters it
secretes," says Dr. Capel. "In other words, the brain's internal
communications system--its language, if you like--is based on
frequency..." (Ostrander & Schroeder, 1991, p. 264).

The implications of Capel's & Patterson's work is that one can
alter the brain's neurochemistry, and thereby it's functioning, with
modifications of brain wave frequency.

The popular drug Prozac alleviates depression by increasing serotonin
levels. The serotonin levels are elevated through the selective
chemical inhibition of the brain's serotonin-reuptake enzymes (Kramer,
1993). The positive effect of Prozac on a depressed subject's mood and
social functioning can be profound, effects which are generated by
elevating the subject's serotonin levels.

According to Patterson and Capel, a similar increase in the level of
serotonin in the brain could be achieved through the induction of a
10-hertz signal. Could we alleviate depression and other impairments
associated with low serotonin levels as effectively with brain wave
training as with Prozac? What about other forms of impaired mental
functioning for which we have no effective chemical interventions?
According to many researchers we can, and the triggering of the
release of beneficial neurotransmitters may be why.

Return of the Brain to Pre-Trauma Neurochemical State

The direct release of desirable neurotransmitters through an increase
in amplitude of specific brain wave frequencies might not be the only
mode of action for brain-wave training. A somewhat related theory of
why helping subjects retrain their EEG patterns could be helpful is
postulated by Len Ochs, a California therapist and researcher. Dr.
Ochs speculates that the neurochemical response to trauma may become
entrained as a permanent state, limiting normal functioning, and that
brain-wave training may allow a return to the pre-trauma neurochemical
state.

Dr. Ochs postulates that psychological or physical trauma induces such
a high level of neurochemical excitement that a seizure may be
imminent. In order to protect itself, the brain responds with
inhibitory chemicals. One could visualize it as the neurochemical
equivalent of curling up in a ball. In a protective stance, the
inhibited brain has lost function, just as person curled up in a ball
cannot walk or function normally in their protective posture.

Dr. Ochs postulates that these inhibitory chemicals may linger in the
brain for an extended period of time (one supposes for lack of
activation of the proper janitorial reuptake enzymes) or, that the
brain mechanism responsible for the production of the seizure
protecting neurotransmiters does not reset itself to the pre-trauma
state, creating a new homeostatic state of impaired functioning.

If brain-wave training resets the neurochemistry to its pre-trauma
state, such a mechanism would explain why it is helpful, and why it
works with pathologies resistant to other interventions.

EEG Disentrainment Feedback

Dr. Ochs created an EEG biofeedback device which operates directly on
the subjects EEG patterns through light and sound drivers. Normally in
EEG biofeedback a subject must attend to, and attempt to respond to a
signal which provides information about their brain wave frequencies.

Unlike traditional EEG biofeedback, in Dr. Ochs' device there is no
need for the subject to be consciously in the loop or attempting to do
anything. The overall brain waves respond to and match the frequency
and amplitude of the signals delivered via strobe glasses and
headphones. The audio and visual stimuli in turn are generated by the
overall amplitude and frequency of the EEG. A computer monitors both
and allows the clinician to intervene and sweep the frequencies upward
or downward.

Dr. Ochs calls his form of biofeedback "EEG disentrainment feedback
(E.D.F.)" (Ochs, 1993). The equipment is actually entraining the
brainwave frequencies, yet he refers to it as disentrainment feedback.
The disentrainment is for the hypothesized intervention of
disentraining a protection mechanism gone awry, a locked in state of
emergency brain functioning.

Ochs has been having remarkable results with victims of both
psychological trauma and physical brain trauma. He has successfully
treated victims of closed head injury, stroke, post-traumatic stress,
depression, and addiction. Many of these patients had conditions which
were very resistant to treatment with other interventions.

If Dr. Ochs hypothesis is true, then the EDF and all other brain wave
retraining devices either activate the proper inhibitory enzyme
reuptake mechanism, or they disrupt the seizure inhibition responses
which have taken over as the day to day standard for neurochemical
functioning.

In either case, brain-wave training would be helping because it allows
the brain to reset itself to its normal unimpaired state of
functioning. The brain-wave training would not be directly repairing
what is impaired, but would be enabling the brain to heal itself
(Ochs,1993).

The observations and speculations of Ochs, Patterson and Capel provide
some insight into why such "physical therapy" for the brain may work.
They illustrate why we might be as effective using brain wave training
to improve some individual elements of functioning, such as memory, as
well as working on broad fields of impaired functioning such as
depression, head injury, addiction, ADHD, ect..

The Peniston Protocol

Perhaps the most famous research to date using EEG biofeedback
training has been the work of Peniston and Kulkosky for their
procedure, the Penniston protocol. Peniston and Kulkosky used alpha-
theta brain-wave training to increase the amount and amplitude of the
subjects alpha and theta brain waves.

Dr. Eugene Peniston and Dr. Paul Kulkosky randomly assigned alcoholics
to a control group which received conventional medical treatment
(Minnesota Model (12 Step)), and an experimental group for which the
only interventions were fifteen twenty minute sessions of Alpha-Theta
brain wave training. They also included in the study a second control
group of non-alcoholics. The results sent a shockwave through every
segment of the alcohol treatment community aware of the study
(Hutchison, 1994).

The control group, who received traditional medical treatment,
demonstrated an 80 percent relapse rate during the thirteen month post
treatment follow-up period. The experimental group, who received 15
twenty minute brain- wave training (BWT) sessions (and no other
treatment) demonstrated only a 20 percent relapse rate during the same
follow-up period. "Depression, as indexed by Becks's Depression
Inventory, was significantly reduced to control (nonalcoholic) level
after BWT" (Peniston, & Kulkosky, 1989, p. 276). The alcoholic
control group did not demonstrate any significant change in depression
as measured by Beck's Depression Inventory.

Lack of Success with Standard Medical Treatment

Only a twenty percent success rate with traditional intervention
techniques in the Peniston & Kulkosky study is not an unusual
finding on the effectiveness of currently available alcohol treatment.

At the Washington University Department of Psychiatry, John Helzer and
colleagues concluded in their study that "Less than 10 percent of
those treated specifically for alcoholism survived and were not
drinking alcoholically five to eight years after receiving treatment"
(Peele, 1989, p. 78).

In a study of the Minnesota Model at Cambridge following up 100
patients across eight years, researchers concluded "there is
compelling evidence that the results of our treatment were no better
than the natural history of the disease" (Peele, 1989, p. 74).

Peniston and Kulkosky also note that "major outcome studies that have
used specific therapeutic interventions such as controlled drinking,
abstinence, compulsory AA attendance, and an active follow-up program
yielded results after 2 and 8 years that were no better than those of
the natural history of the disorder" (Peniston, & Kulkosky, 1989,
p. 271).

Advantage of Brain-wave training Over Standard Medical Treatment

If alcoholism does involve impaired brain function, then the above
statistics and results would not be surprising. The subjects who
received the traditional medical treatment are fighting against there
own physiology, whereas those who are receiving the alpha-theta brain-
wave training are not.

Beta-endorphine has been linked to internal control mechanisms for
eating and ethanol consumption (Peniston, & Kulkosky, 1989) .
Based upon an existing literature, Peniston and Kulkosky observe, "If
Beta-endorphin is elevated in alcoholics, a return to consumption of
ethanol calories would be inevitable" (Peniston, & Kulkosky, 1989,
p. 276).

Peniston and Kulkosky did find significantly elevated levels of beta-
endorphine in the group who received traditional medical treatment.
They did not find elevated levels of beta-endorphine in the group who
received the brain-wave training.

Just as a painter with no arms must struggle to overcome the
limitations of his physiology to pursue what he wants to do, so might
an alcoholic need to struggle against his physiology to pursue his own
choices for his life. Within the traditional model of treatment, a
basic physiological impediment is not being addressed. According to
the findings of Peniston & Kulkosky, that basic physiological
impediment is being addressed with brain-wave training; a
physiological impediment addressed not with drug therapy, but with a
non-invasive technique which allows elevated brain chemistry to return
to normal values. This is a technique which in essence allows the
brain to heal itself.

The implications of the Penniston protocol are not just for the
alcoholic, but also for any victim of the class of impaired brain
functioning Dr. Ochs discusses. Under his model anyone with impaired
neurochemistry (such as elevated beta-endorphine) would receive the
same benefit of normalized brain chemistry after the brain-wave
training.

EEG Beta Brain-wave training

While the Peniston protocol focuses on Alpha and Theta brain-wave
training, other researchers have been looking into the benefits of
using brain-wave training for beta frequencies. Beta training is
another brain-wave training technique which trains the subjects to
increase the amplitude and frequency of their mid-range beta
frequencies. Beta training has been found to be an effective tool for
treating ADHD and dyslexia (Hutchison, 1994, p. 360) and would seem to
be significant particularly in the area of education.

In a controlled study, (Dr. Siegried) Othmer has found that this beta
training produces average IQ increases of 23 percent. In cases where
the starting IQ value was lower than 100, the average IQ increase was
33 points. Othmer has also found dramatic improvements in visual
retention and auditory memory, and the subjects showed major gains in
reading and arithmetic. In a one-year follow-up study, the trainees
showed major improvements in self-esteem and concentration and
significant improvements in such areas as handwriting, school grades,
sleep, irritability, organization, hyperactivity, verbal expression,
and headaches...Amazingly the improvements seem to be permanent.
(Hutchison, 1994, p. 360-361).

These results warrant further research and beckon for educational
application. How many special education classes and special education
students could benefit from significant improvements in levels of
hyperactivity, irritability, organization, and self-esteem? How many
mainstream classes and students would appreciate and benefit from
increased auditory memory and visual retention, IQ gains of 23 percent
and improvements in verbal expression, reading and arithmetic? Pursuit
of beta brain-wave training is clearly warranted for its potential to
help students and teachers alike in achieving the goals of quality
education.

Barriers of Cost to EEG Brianwave Training

As a tool to facilitate education, Beta training would seem to hold
the same promise as alpha-theta training does for alcoholism. Indeed
considering the proliferation of destructive drug use among current
student populations, alpha-theta training might also be of significant
interest in an educational setting. Unfortunately, in an educational
environment financial resources limit making available EEG biofeedback
brain-wave training to those who could benefit from it.

A major limitation in the application of EEG biofeedback training has
been the cost of the equipment and the limited context under which it
can be used. It is hard to imagine a classroom where all twenty
students are seated with electrodes on their heads and a biofeedback
therapist attending to each of them. Even as a lab where the students
may go for one period a day, the cost would be prohibitive. The EEG
biofeedback equipment can cost between $4,000 and $20,000 (Hutchison,
1994) per machine. Furthermore, EEG biofeedback requires the one on
one attention of highly trained personnel. Cost for the therapists and
equipment precludes EEG biofeedback training from practical use for
most educational settings.

Alternatives to EEG Biofeedback Training

Fortunately, EEG biofeedback training is not the only way to
accomplish the EEG training. Audio and visual driving of brain wave
frequencies without a feedback loop has been found to be an effective
method of performing the same brain-wave training. Currently available
to the public for prices ranging from $99 to $350 (Tools for
Exploration Vol. V, No. 2 Summer/Fall 1994), are Light and Sound (LS)
machines.

These devices use audio and photic driving to alter the users brain
waves to the desired frequency and amplitude patterns. Dr. Ochs EEG
biofeedback device uses an LS machine as the part of the equipment
which drives the alterations in brain-wave frequencies. His device
becomes a form of EEG BWT because of the feedback loop through the
computer and EEG machine.

An LS machine consist of set of headphones, blackout glasses with
small lights placed over each eye, and a small computer. The computer
controls the strobe frequency of the lights, matching them with the
frequency of auditory monaural and binaural beats. The LS machines are
not only cheaper to purchase than EEG BWT training equipment, but are
also cheaper to operate. Unlike EEG biofeedback BWT training they do
not require the one on one attention of highly trained personnel
(Hutchison, 1994).

Comparable Results with Light and Sound Brain-wave Training and EEG
Brain-wave Training

Russell, and Carter, have been using LS brain-wave training with
learning disabled (LD), and ADHD children for beta brain-wave training
(Russell & Carter, 1990). The purpose of the LS beta training is
to increase the amplitude and frequency of beta brain wave activity in
the frontal lobes. ADHD has been found to be "linked to abnormally
slow brain-wave activity in specific parts of the brain, including the
premotor cortex and the superior prefrontal cortex, which are used
when people pay attention, or keep still" (Hutchison, 1994, p. 358).

A significant difference in the verbal and performance subtests of the
Weschler Intelligence Scale for Children is a diagnostic indicator of
possible organicity, ADHD or learning disability (Aiken, 1988). What
Dr. Russell and Dr. Howard noted in their LD or ADHD subjects was that
whichever subtest was suppressed in the pre-test was significantly
raised in the post-test (after the Beta training) .

Groups that began with low verbal IQ scores had pronounced gains in
verbal IQ, spelling, and arithmetic. Groups that began with high
verbal but low performance IQ showed significant gains in non-verbal
IQ, reading, spelling and memory...they concluded that the degree of
significant improvement in functioning is related to the number of
treatment sessions. (Hutchison, 1994, p. 362)

It can be seen that this intervention is normalizing the spread of the
WISC subtest scores and apparently following Dr. Ochs hypothesis. The
brain-wave training is permitting an individual with impaired
functioning to be normalized and enter a state of unimpaired
functioning on measures normally associated with organicity.

Russell and Carter suggest that use of LS devices and EEG training
"may stimulate either the successful establishing of new neural
pathways in the brain or re- establishing of old pathways that have
been disrupted" (Hutchison, 1994, p. 363).

The re-establishment of old disrupted neural pathways sounds in
essence the same as the primary mode of action for brain wave training
hypothesized by Ochs. But if beta, and perhaps all brain-wave
training, is doing more than just re-establishing old pathways (if it
is actually creating new neural pathways as Russell and Carter
suggest) then might it also be of value to expand normal mental
capacities?

In the study of ADHD children conducted by Russell and Carter,
significant increases in IQ scores were noted as the result of beta
training raising the depressed subtest on the WISC. Othmer also found
in his beta training biofeedback that ADHD subjects IQ scores rose
significantly. These were both populations with impaired functioning
whose rise in IQ scores can be viewed as the probable result of
gaining an unimpaired level of functioning where before there had been
an impaired level of functioning.

But if beta, and perhaps all brain wave training, is actually creating
new neural pathways as a secondary mode of action, and if, as a
tertiary mode of action, is stimulating the production of beneficial
neurotransmitters as suggested by the work of Dr. Meg Patterson and
Dr. Ifor Capel, then it would be reasonable to assume that brain-wave
training might actually increase the level of functioning of an
unimpaired subject.

Cranial Electrical Stimulation

Research suggestive of just such a hypothesis may be found in the
investigation of cranial electrical stimulation (CES). CES is a
technique which introduces the desirable frequencies by low level
electrical currents applied to the cranium. The medical college at the
University of Wisconsin conducted a study on a commercially available
CES device, the BT-5. The purpose of the study was to determine if the
BT-5 would reduce student anxiety during final exams. The unexpected
results were increases in IQ by twenty to thirty points and a
conclusion by the researchers that the "BT-5 (CES) stimulation appears
to enhance neural efficiency..." (Ostrander & Schroeder, 1991, pp.
265-266).

As with the other forms of brain wave training, CES has a history of
research showing significant improvements in individuals with an
impaired level of functioning. Like the Peniston protocol, CES brain
wave training has had profound beneficial effects on the impaired
mental and social functioning of alcoholics and addicts. CES has
enabled some addicts and alcoholics to go cold turkey without any
withdrawal symptoms, apparently through the stimulation of the
production of beneficial endorphins (Ostrander & Schroeder, 1991).
CES brain wave training has been found to be effective in the
treatment of impaired short term memory in alcoholics. With severe
alcoholism, it can take as long as eight years of total abstinence
before short term memory returns to its unimpaired level of
functioning. With CES brain wave training, it can take as little as
five days (Ostrander & Schroeder, 1991).

If neural efficiency is increased, if new neural pathways can be
created and if an impaired state of homeostatic functioning can be
reset to a fully functional one, then all of these technologies and
interventions represent a staggering opportunity to improve the
opportunities and quality of life for broad populations of individuals
through brain-wave training.

The results that Russell and Carter have obtained with a form of beta
brain-wave training which does not involve EEG biofeedback is
apparently of the same calibre as Othmer has received with beta brain-
wave training involving EEG biofeedback. The demonstrated
effectiveness of both approaches validates that one does not need the
EEG feedback loop for the brain-wave training to be effective.

This demonstration of comparable results means that the significant
potential of brain-wave training does not have to be limited by the
fiscal constraints of EEG biofeedback brain-wave training. Despite the
lowered cost of the LS brain-wave training devices verses the EEG
biofeedback equipment, the LS machines are expensive enough that in an
educational setting access may be a significant problem.

There is one other more cost effective method of conducting brain-wave
training: binaural- beat audio signals. In the LS machines, the brain
waves are altered through the use of light and sound drivers. In
binaural-beat audio signal brain-wave training, only sound driving is
used to alter brain waves.

Binaural-beat audio signals are the final technology we will discuss
and the technology under investigation in this study.

Binaural-Beat Audio Signals

Binaural-beat signals utilize a powerful form of audio driving to
alter brain- wave frequencies. In specific forms of intervention,
frequencies could be presented to individuals for brain-ave training
in essentially the same manner as LS brain wave training.

Binaural-beats signals (BBS's) were first observed by the German
scientist H.W. Dove in 1839. In its simplest form BBS's consist of two
pure tones of different pitch being presented to each ear. Before the
advent of electronic occilators, researchers used tuning forks to
produce the tones. Heard in the open air (monaural beats) , the sound
will wax and wane due to wave interference. A subject can hear these
monaural beats with just one ear if need be. Binaural beats occur when
the tones are presented separately to each ear. The sound no longer
waxes and wanes in the room, but is heard inside the subject's head as
a tone synthesized by the brain which does not exist outside of the
subject's head (Oster, 1973).

The brain synthesizes the two sounds into a single experienced tone
which seems to originate from the center of the subjects head. The
synthesizing of the two tones into one experienced tone produces a
phenomena known as hemispheric synchronization, where the electrical
activity of the two hemispheres of the brain unite into a single
synchronous pattern with an overall frequency at the frequency of the
difference between the two original tones. If the difference between
the two tones matches a particular brain wave state, such as 4-8 Hz
(Theta) , then the overall brain activity will tend to match that
frequency, and hence enter that brain wave state. This phenomena is
referred to as the Frequency-Following Response (FFR) and is a
powerful form of brai-wnave entrainment (Edrington, & Allen,
1985). The FFR can easily take a subject into Beta, Alpha, Theta, or
Delta brain wave states and help them maintain those states.

By using only audio stimulation for brain wave training, the financial
access to the benefits of brain-wave training is improved. Equipment
is reduced to a simple tape and personal stereo tape player. In the
classroom, access is improved by use of open air speakers which
prevents the subjects from having to wear any equipment at all and
thus does not interfere with the normal structure of a class
(Edrington, 1985). But are BBS's as effective as other means of brain-
wave training? In an educational setting, if one did want to
facilitate memory and learning, how effective would BBS's be?

Existing research has shown that teachers who have used BBS's in their
classrooms have reported a decrease in student distractibility and an
increase in academic performance (Owens, 1984). A study conducted with
an introductory psychology class found significantly higher scores in
the experimental group on five out of six tests (Edrington 1983). A
study conducted at a government training center found an increase in
scores by 30% for Morse code students (Waldkoetter, 1982a) and 75% on
mental-motor skills (Waldkoetter, 1982b) using BBS's in addition to
standard teaching procedures. The US Army has also reported positive
results in using BBS's, in this case to improve acquisition of a
second language (Pawelek, & Larson). Such findings would seem to
indicate that in these settings the BBS's are an effective and
worthwhile intervention for improving a student's educational level
functioning.

Variables in This Study

The Independent variable was the presence of BBS's on the instrumental
music tape the experimental group listens to; and the absence of the
BBS's on the same instrumental music tape heard by the control group.

Four dependent variables were used to obtain more data on the types of
memory facilitated by BBS's. These dependent variables were tests
administered to 50 undergraduate students of West Georgia College. The
students were randomly assigned with a double-blind methodology to the
experimental or control groups. Each student listened to a tape of
music (Independent Variable) while being administered a free recall
word list test, a novel word recognition/recall test, and two subtests
of the WAIS-R (the digit symbol, and digit span) . The four tests
administered were the Dependent Variables measuring an effect of the
Independent Variable on memory.

For the purposes of this study, memory will be defined as "the ability
to reproduce or recount information that was experienced at an earlier
time" (Domjan, M., & Burkhard, B., 1982, p. 308) . Operationally,
memory will be defined by the subject's ability to reproduce on each
of four subtests the information that was presented to them. The more
information a subject is able to reproduce, the higher the subject's
score on that test, and the more "memory" that will be considered to
have been recorded.

Based upon the existing research, I hypothesized that the experimental
group would display a statistically significant improvement in recall
over the control group. I made this hypothesis on the basis of the
success of previous less rigorous studies on BBS's and on the basis of
the success of other forms of beta brain-wave training in the
facilitation of human memory and learning.

Purpose and Rationale of This Study

None of the previous research on BBS's have provided adequate controls
for other variables, which might account for the improvement in
performance on memory and learning tasks. Improvements in memory have
been demonstrated with proper controls with other forms of brain-wave
training, but this data is lacking for binaural-beat signals. This
study is a step toward filling in that gap.

Were the observed results with binaural-beat signals in previous
research the result of placebo effects, a confounding variable or the
binaural-beat signals? If the BBS's do facilitate memory, do they also
facilitate an increased ability to attend as reported by Edrington?

This study is an attempt to demonstrate, in a repeatable manner, the
facilitation of memory with the use of BBS's under conditions which
attempt to control for confounding variables.

METHOD

Subjects

50 undergraduate students at West Georgia College participated in the
study. Some, if not most of the students participated for extra
credit, or to meet a course requirement. Five graduate students also
participated in the study but the results of their tests were
discarded to prevent skewing of the results.

Design

A between-groups design, also known as an independent subject design
was used in the study. Subjects were randomly assigned with a double-
blind methodology to experimental and control groups. A .05 or less
significance level was used to determine whether or not to accept the
null hypothesis (p.05) or reject it (p=.05) in favor of the research
hypothesis.

The experimental group contained 27 subjects who were presented with a
music tape bearing binaural-beat audio signals while performing four
different learning tasks.

The control group contained 23 subjects who performed the same four
learning tasks as the experimental group. The music tape that the
control group listened to did not contain the BBSs but was otherwise
identical to the tape the experimental group was presented with.

Latin Squares

In order to counterbalance any effect of practice or fatigue, the
order of the four learning tasks was presented on a rotating basis
known as "Latin Squares" (Puff, 1982). This was done to insure the
even distribution of any carryover effects from one learning task to
another.

Subject five was returned to the test order presented for subject one,
subject six the same as subject two, ect.. Each group had its own
supply of test packets. This was to maintain rotation of the learning
tasks within each group to ensure the even distribution across
subjects of any carryover effects from one task to another.

Apparatus

The Independent Variable

The BBS's used in the study for beta brain- wave training were
provided by The Monroe Institute. There were two tapes, an
instrumental music tape for the control group, and the same tape with
BBS's for the experimental group. The presence or absence of the
binaural-beat audio signals was the Independent Variable.

The tapes were presented via headphones and stereo tape player at a
low volume. The researcher maintained control over the tape volume to
prevent any possible confounding of the results by varied volume
levels.

The Dependent Variables

The subjects were presented with four different learning tasks: word
list recall (appendix B), German vocabulary list recognition/ recall
(appendix C), and from the WAIS-R (1981) the Digit Span, and Digit
Symbol subtests. There are 25 items on both the word list recall, and
the German language vocabulary recognition/recall. The scores on the
Digit Span and Digit Symbol subtests were scaled by age in accordance
with the procedures given in the WAIS-R manual. These four subtests
were the dependent variables in the study.

Procedure

Informed Consent of Research Subjects

The experimenter presented each subject with a consent form in
compliance with the West Georgia Institutional Review Board procedure
for research with human subjects. Each subject was instructed to
completely read the consent form, including the description of the
experiment, before signing and proceeding with their participation in
the study.

It was explained to the subjects that the purpose of the experiment
was to determine what effect, if any, listening to these tapes at a
low volume has on memory tasks. It was explained that the tapes do not
contain any subliminal messages, that there will be four separate
memory tasks, and that the whole process should take no more than 45
minutes.

The subjects were also informed that if they were interested in the
results of the study or their personal scores, those would be
available to them after the completion of the study.

Each subject was instructed to ask the experimenter if they had any
questions, and if not, to sign the consent form if they were still
interested in participating in the study.

Assignment of Subjects and Pre-Test Period

Each subject was then randomly assigned to the control or experimental
group by a coin toss. The tapes were labeled K1 and K2 for
experimental and control group respectively. A result of heads
resulted in the subject being assigned to K1, and a result of tails in
their being assigned to K2. At the time of the collection of the data,
neither the experimenter nor subject knew which tape was for the
experimental group, and which was for the control group.

Once the subject was assigned to a group, the appropriate tape was
placed in the tape player, and the subject was asked to listen to the
tape for fifteen minutes. The fifteen minute period of listening to
the tape was to allow time for the entrainment of the brain waves of
the subjects in the experimental group.

While the subject was listening to the tape their name was placed on a
list for their professor if they were participating in the study for
extra-credit. They were given a subject number which was placed on the
front of their test packet. Each test packet was also marked for the
sex of the subject, position in latin square rotation, and group.

Presentation of the Four Tests

At the end of the fifteen minutes of listening to the tape, each
subject was instructed to continue listening to the tape while being
presented with each of the four subtests. Each subject was presented
with the learning tasks in as uniform a manner as possible.

The Word List Recall Test

For the word list recall subtest (appendix B), the subject was told,
"I would like you to take two minutes and look at the words I am about
to give you. When I say "stop" please turn the sheet over. I will
provide you with a second sheet of paper on which I would like for you
to reproduce as many of the words as you can. After five minutes I
will again say "stop," at which time I would like for you to stop
working. If you have any questions I can repeat these instructions,
would you like for me to do that, or do you want to proceed?"

If needed the researcher repeated the instructions. When the subject
indicated their understanding of the directions the researcher stated,
"Ok, let's proceed." The researcher then presented the subject with
the word list, and timed for three minutes. At the end of three
minutes the researcher stated "stop," and replaced the word list with
a blank piece of paper. At the end of five minutes the researcher
again stated "stop," and collected the recalled list from the subject.

The German Vocabulary Recognition/Recall Test

For the German vocabulary recognition/recall list (appendix C), the
subject was told "I would like you to take three minutes and look at
the words and definitions I am about to give you. When I say "stop"
please turn the sheet over. I will provide you with a second sheet of
paper on which I would like for you to fill as many definitions of the
words as you can. After three minutes I will again say "stop," at
which time I would like for you to stop working. If you have any
questions I can repeat these instructions. Would you like for me to do
that, or do you want to proceed?" If requested to do so, the
researcher repeated the instructions.

When the subject indicated their understanding of the directions the
researcher stated, "Ok, let's proceed." The researcher then presented
the subject with the German vocabulary recognition/recall list and
timed for three minutes. At the end of three minutes the researcher
stated "stop" and placed a list of the words without definitions in
front of the subject while retrieving the original word and definition
list. At the end of five minutes the researcher again stated "stop,"
and collected the recalled list from the subject.

The Digit Span and Digit Symbol Tests

The experimenter presented the Digit Span and Digit Symbol subtests in
accordance with standard test administration procedures for the
Wechsler Adult Intelligence Scale, as outlined in the WAIS-R manual.

Scoring of Tests

The Word List Recall and the German vocabulary recognition/recall
tests were scored with one point being assigned for each correct
answer. These were 25 item tests yielding a possible score of 0 to 25
points for each subject.

The Digit Symbol and Digit Span subtests of the WAIS-R were scored and
scaled before being analyzed, in accordance with the procedures
outlined in the WAIS-R manual.

Limitations

In an attempt eliminate confounding variables a simple posttest-only
design was employed. Each subject was seen in a single interview to be
assigned to a group, be exposed to one of the two levels of the
independent variable, and finally to have the effect of the
independent variable measured. While this design maximized the
isolation of the independent variable it did not provide the
independent variable an opportunity to exert a cumulative effect upon
the dependent variable.

This is an important limitation in this study because of the noted
cumulative effect of brain-wave training. Russell and Carter observed
"that the degree of significant improvement in functioning is related
to the number of treatment sessions" (Hutchinson, 1994, p. 362).
Peniston and Kulkosky also note "Time course analysis of the EEG
effects of brain-wave training revealed that increases in alpha and
theta rhythms occurred gradually across the 15 treatment sessions"
(Peniston, & Kulkosky, 1989 p. 276).

The studies which evaluated student performance over a period of weeks
or months have had the benefit of the cumulative effect of brain-wave
training. The cumulative effect of the binaural-beat audio signals is
a part of the brain-wave training process which was not included in
the design of this study and may have a significant impact on the
strength of the response as measured by the dependent variable.

This study did not provide for repeated exposures to the dependent
variable due to limitations in resources. A logical next step might be
to conduct this study again with a longitudinal dimension to observe
any increase of performance across repeated sessions, and to observe
the effect of binaural audio signals on learning as well as memory.

Placebo and suggestion effects were deliberately filtered out with a
double-blind design, in order to gain clarity on what role the layered
binaural-beat audio signals play in the positive results obtained with
binaural-beat audio signals. Some of the positive results of previous
studies may have been the result of just such effects, thus the
positive results of this study may not be as profound as in previous
research.

RESULTS

There were four hypothesis used in this research, each postulating
that in a study controlling for confounding variables the experimental
group would display a statistically significant improvement in mean
scores over the control group at a .05 or less significance level.

Hypothesis one (H1) postulated a statistically significant higher mean
score for the experimental group as measured by a 25 item word list
recall test. Hypothesis two (H2) postulated a statistically
significant higher mean score for the experimental group as measured
by a 25 item word list recall/recognition test. Hypothesis three (H3)
postulated a statistically significant higher mean score for the
experimental group as measured by the WAIS-R digit symbol subtest.
Hypothesis four (H4) postulated a statistically significant higher
mean score for the experimental group as measured by the WAIS-R digit
span subtest.

In reviewing the data the experimental group does display
statistically significant higher mean scores on three of the four
dependent measures, allowing for the rejection of the null hypothesis
for H1, H3, and H4. The obtained data does not allow for the rejection
of the null hypothesis with H2. Figures one through four display the
mean scores with histograms and significance level.

Word List Free Recall Results

On the Word List Recall subtest, the control group displayed a mean
score of 14 correct responses, and the experimental group displayed a
mean score of 15.93 correct responses out of a possible 25. When
evaluated with a t-test for the statistical significance of the
result, the value of t(2.5) is found to fall between a probability of
.02 and .01 (df=48). Since this is less than the minimum significance
level of .05, the result is considered statistically significant.

Word List Recognition Results

On the Word List Recognition subtest, the control group had a mean
score of 12.61 correct responses, and the experimental group had a
mean score of 15.04 correct responses out of a possible 25. When
evaluated with a t-test for the statistical significance of the
result, the value of t(1.76) is found to fall between a probability of
.10 and .05 (df=48). Since this is greater than the minimum
significance level of .05 the result is not considered statistically
significant.

Digit Symbol Results

The scaled Digit Symbol subtest displayed a mean score of 9.46 for the
control group, and a mean score of 11.44 for the experimental group.
When evaluated with a t-test for the statistical significance of the
result, the value of t(2.83) was found to be greater than the critical
value for a probability of .01 (df=48). Since this is less than the
minimum significance level of .05, the result is considered
statistically significant.

Digit Span Results

The scaled Digit Span subtest displayed a mean score of 7.69 for the
control group and 9.85 for the experimental group. When evaluated with
a t-test for the statistical significance of the result, the value of
t(2.4) was found to fall between a probability of .02 and .01(df=48).
Since this is less than the minimum significance level of .05, the
result is considered statistically significant.

DISCUSSION

For H1 the Word List Recall test, H3 the Digit Symbol test, and H4 the
Digit Span tests, the data does permit the rejection of the null
hypothesis in favor of the research hypothesis. For H2 the Word List
Recognition test, the data does not allow for the rejection of the
null hypothesis.

The data does support binaural-beat audio signals facilitating memory
as measured by the word list recall test. The results of the digit
span and digit symbol tests support the reports of Edrington, who
found a decrease in student hyperactivity and an increased ability to
pay attention in class while using BBS's.

It is reasonable to infer, given the current data, that beta-frequency
BBS's are helpful for those individuals seeking help in free recall
memory, attention and completion of routine tasks.

The Four Dependent Variables

The Word List Recall is a simple free recall test, and thus was
considered by the experimenter to be the core dependent variable for
examining any facilitation of memory with binaural-beat audio signals.
The facilitation of memory as measured by higher mean scores on this
test in the experimental group demonstrate that binaural-beat audio
signal beta brain-wave training did facilitate memory.

The German vocabulary recognition list is more of a combined free
recall and cued recall task and was also expected to be facilitated by
the beta-frequency BBS's. Surprisingly the results for this subtest
did not show a statistically significant increase in memory as the
other three subtests did.

Since a Latin Squares rotation of the tests was used, this data is not
the result of the order of presentation.

The results may mean that the associative memory mechanisms behind
remembering the meanings for a novel set of words were not reinforced
as strongly as the mechanisms behind the pure recall of a word list.

These results are not expected to be a reflection of previous
knowledge of German by some of the subjects. All subjects stated that
they did not know German, and the words used were not similar in sound
to the English equivalent.

Given that previous work in the comparable task of second language
acquisition has reported success with BBS improving performance
(Pawelek, & Larson, 1985), the lack of statistically significant
mean scores may be an artifact of the single session limitations of
this study. As noted in the limitations section, brain-wave training
has been shown to increase in effectiveness with repeated sessions.

It would be interesting to see if the data from administering a
foreign language vocabulary test would have statistically significant
outcomes in a longitudinal study, which would provide for a repeated
exposures to beta-frequency BBS brain-wave training.

The Digit Span subtest is not only an indication of an ability to
recall and repeat back a series of rote numerical digits, but also of
an individuals ability to attend. The increase in Digit Span should be
of interest for assisting those populations, such as ADHD, with an
impaired ability to maintain their attention on rote memory tasks.

This data supports the anecdotal reports of teachers and other
professionals who have reported an increased ability to attend (or a
decrease in student distractibility) among their students when using
binaural-beat audio signals (Edrington, 1985). The binaural-beat audio
signals should, as reported by Edrington, reported, be of use in the
classroom to increase the students' ability to attend to the lesson
and instructor at hand.

The Digit Symbol test is timed, and the more the subject must look up
the meaning of a symbol, the less time he has for filling out the
meanings. Heightened memory should facilitate higher scores on this
test due to less time spent going back to the list of symbols and
their numerical equivalents.

However, the Digit Symbol subtest is not characterized in
psychological assessment as a memory test, but as a performance
subtest, measuring the subject's ability to persevere at routine
tasks.

The increase in performance of the experimental group over the control
group at this task may be significant in its implications for
assisting those populations who have academic difficulty due to an
impaired ability to persevere at routine motor tasks, such as an ADHD
child.

Relation of Obtained Results with Previous Research

The results support the ability of BBS's to function as an effective
stand alone form of brain-wave training. The research does provide
support for the observations of teachers who have reported increased
grades and fewer behavioral problems with their students while
utilizing binaural-beat audio in the classroom.

The data is able to support the conclusions of previous research that
binaural-beat audio signals increase a subject's ability to perform
free recall tasks, attend (reduced student distractibility) and
persevere at routine tasks (as measured by the Digit Span and Digit
Symbol subtests); three important dimensions for success in the
classroom.

The beta-frequency BBS brain-wave training did have a positive impact
on dimensions of mental performance known to be impaired in ADHD. This
opens the possibility that beta frequency BBS's may yield comparable
results to the beta frequency brain-wave training conducted with EEG
biofeedback and light and sound machines.

The results for the German vocabulary recognition/recall list are not
able to support the data on a similar task as reported by Pawelek and
Larson in the BBS facilitation of second language acquisition. This
may be an artifact of the number of brain-wave training sessions used.
It would be interesting to see if the data from administering a
foreign language vocabulary test would have statistically significant
outcomes in a longitudinal study.

A secondary question of the study was the effect of beta frequency BBS
on attention. Could BBS's be used to help ADHD populations? Striking
research exists with other forms of brain-wave training (Othmer,
Russell, & Carter) facilitating improved performance in ADHD
populations. While this study was not designed to answer the question
of how effective beta frequency BBS's could be with ADHD subjects, its
design was organized to look at one element of ADHD; attention.

In order to gain clarity on the relevance of binaural-beat brain-wave
training for use with ADHD populations, the digit span and digit
symbol subtests of the WAIS-R were administered. The two WAIS-R
subtests were included in the study in order to determine if binaural-
beat audio signals could facilitate the ability to attend and
persevere at routine motor tasks. Statistically significant results on
the free recall word list test, digit span, and digit symbol tests,
provide support for the conclusion that beta-frequency BBS's do
facilitate improved attention. By inference the BBS form of brain-wave
training should be helpful to ADHD subjects. Based upon the success of
biofeedback brain- wave training, non-empirical BBS research and this
study, further research seems warranted in applied empirical follow-up
studies on the facilitation of memory with beta-frequency BBS's among
both mainstream and ADHD populations.

Recommendations

It would be rewarding to pursue the effect of binaural-beat audio
signals into broader applications. Of particular interest would be the
use of binaural-beat audio signals to help ADHD and unimpaired
students function at a higher level in mainstream classes.

Another study seems to be in order to properly address the question of
whether or not the BBS's can facilitate learning as well as memory.
The differentiation being that learning refers to "enduring effects of
prior experience" (Domjan, & Burkhard, 1982, p. 309) and memory
may be a short lived effect of prior experience. An empirical
longitudinal investigation of BBS brain-wave training on learning
would clarify the applicability of the BBS brain-wave training
technology toward learning in normal and ADHD populations.

Due to the unexpected lack of significant results with the German
vocabulary recognition/recall list, a longitudinal study with foreign
language vocabulary recognition/recall lists would be of interest.
Such a study could determine if this is a task not facilitated by beta
frequency BBS brain-wave training, or if it is facilitated only with
repeated brain-wave sessions.

Finally it would be of interest to investigate alpha-theta BBS brain-
wave training in the treatment of alcoholism and drug abuse. If the
results of such a study find comparable benefits to the Peniston
protocol, then the social and educational impact would be wide
ranging. Access to an effective intervention may be opened up to the
alcoholic or addict student. A student may be able to simply go to the
school counselor's office to receive effective, lasting treatment for
an acute social and educational impairment.

Conclusions

Having found binaural-beat audio signals to be an effective method of
facilitating memory on three of the four dependent variables in this
study, it may be inferred that they are a viable form of brain-wave
training and could provide a portable inexpensive method of assisting
students and other individuals in memory tasks. This suggests that the
observed results with binaural-beat signals in previous research were
the result of the binaural-beat signals and not the result of placebo
effects or a confounding variable.

Binaural-beat audio signal brain-wave training could provide a cost
effective non- drug alternative to those individuals and educational
systems seeking to augment standard techniques. Not only special
populations, but mainstream education could benefit from making widely
available a form of brain-wave training which makes the learning
environment more enjoyable and productive.

It is hoped that this research demonstrated binaural-beat audio signal
brain-wave training as a viable alternative to other more expensive
and cumbersome methods of brain-wave training. Furthermore, it is
hoped that this project will have layed part of the groundwork for
more conclusive applied studies with binaural-beat brain-wave training
in a variety of student populations and educational environments.
Continuing applied research in brain-wave training holds promise to
have a profound positive impact on the learning disabled, special
education classes and the educational system in general.

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