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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR241]
[Page 669-676]
TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 241--UNITED STATES LOCATIONAL REQUIREMENT FOR DISPATCHING OF UNITED STATES RAIL OPERATIONS--Table of Contents
Sec.
241.1 Purpose and scope.
241.3 Application and responsibility for compliance.
241.5 Definitions.
241.7 Waivers.
241.9 Prohibition against extraterritorial dispatching; exceptions.
241.11 Prohibition against conducting a railroad operation dispatched by
an extraterritorial dispatcher; exceptions.
241.13 Prohibition against track owner's requiring or permitting use of
its line for a railroad operation dispatched by an
extraterritorial dispatcher; exceptions.
241.15 Penalties and other consequences for noncompliance.
241.17 Preemptive effect.
241.19 Information collection.
Appendix A to Part 241--List of Lines Being Extraterritorially
Dispatched in Accordance With the Regulations Contained in 49
CFR Part 241, Revised as of October 1, 2002
Appendix B to Part 241--Schedule of Civil Penalties
Appendix C to Part 241--Geographical Boundaries of FRA's Regions and
Addresses of FRA's Regional Headquarters
Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28 U.S.C.
2461, note; 49 CFR 1.49.
Source: 67 FR 75960, Dec. 10, 2002, unless otherwise noted.
[[Page 670]]
Sec. 241.1 Purpose and scope.
(a) The purpose of this part is to prevent railroad accidents and
incidents, and consequent injuries, deaths, and property damage, that
would result from improper dispatching of railroad operations in the
United States by individuals located outside of the United States.
(b) This part prohibits extraterritorial dispatching of railroad
operations, conducting railroad operations that are extraterritorially
dispatched, and allowing track to be used for such operations, subject
to certain stated exceptions. This part does not restrict a railroad
from adopting and enforcing additional or more stringent requirements
not inconsistent with this part.
Sec. 241.3 Application and responsibility for compliance.
(a) Except as provided in paragraph (b) of this section, this part
applies to all railroads.
(b) This part does not apply to--
(1) A railroad that operates only on track inside an installation
that is not part of the general railroad system of transportation; or
(2) Rapid transit operations in an urban area that are not connected
to the general railroad system of transportation.
(c) Although the duties imposed by this part are generally stated in
terms of a duty of a railroad, each person, including a contractor for a
railroad, who performs a function covered by this part, shall perform
that function in accordance with this part.
Sec. 241.5 Definitions.
As used in this part:
Administrator means the Administrator of the Federal Railroad
Administration or the Administrator's delegate.
Dispatch means--
(1) To perform a function that would be classified as a duty of a
``dispatching service employee,'' as that term is defined by the hours
of service laws at 49 U.S.C. 21101(2), if the function were to be
performed in the United States. For example, to dispatch means, by the
use of an electrical or mechanical device--
(i) To control the movement of a train or other on-track equipment
by the issuance of a written or verbal authority or permission affecting
a railroad operation, or by establishing a route through the use of a
railroad signal or train control system but not merely by aligning or
realigning a switch; or
(ii) To control the occupancy of a track by a roadway worker or
stationary on-track equipment, or both; or
(iii) To issue an authority for working limits to a roadway worker.
(2) The term dispatch does not include the action of personnel in
the field--
(i) Effecting implementation of a written or verbal authority or
permission affecting a railroad operation or an authority or permission
affecting a railroad operation or an authority for working limits to a
roadway worker (e.g., initiating an interlocking timing device,
authorizing a train to enter working limits); or
(ii) Operating a function of a signal system designed for use by
those personnel.
Dispatcher means any individual who dispatches.
Emergency means an unexpected and unforeseeable event or situation
that affects a railroad's ability to use a dispatcher in the United
States to dispatch a railroad operation in the United States and that,
absent the railroad's use of an extraterritorial dispatcher to dispatch
the railroad operation, would either materially disrupt rail service or
pose a substantial safety hazard.
Employee means an individual who is engaged or compensated by a
railroad or by a contractor to a railroad to perform any of the duties
defined in this part.
Extraterritorial dispatcher means a dispatcher who, while located
outside of the United States, dispatches a railroad operation that
occurs in the United States.
Extraterritorial dispatching means the act of dispatching a railroad
operation that occurs on trackage in the United States by a dispatcher
located outside of the United States.
Fringe border dispatching means the act of extraterritorial
dispatching a
[[Page 671]]
railroad operation that occurs on trackage in the United States
immediately adjacent to the border between the United States and Canada
or the border between the United States and Mexico by a dispatcher who
is a railroad employee located in Canada or Mexico.
FRA means the Federal Railroad Administration, United States
Department of Transportation.
Movement of a train means the movement of one or more locomotives
coupled with or without cars, requiring an air brake test in accordance
with part 232 or part 238 of this chapter, except during switching
operations or where the operation is that of classifying and assembling
rail cars within a railroad yard for the purpose of making or breaking
up trains.
Occupancy of a track by a roadway worker or stationary on-track
equipment or both refers to the physical presence of a roadway worker or
stationary on-track equipment, or both, on a track for the purpose of
making an inspection, repair, or another activity not associated with
the movement of a train or other on-track equipment.
Person means an entity of a type covered under 1 U.S.C. 1, including
but not limited to the following: a railroad; a manager, supervisor,
official, or other employee or agent of a railroad; an owner,
manufacturer, lessor, or lessee of railroad equipment, track, or
facilities; an independent contractor providing goods or services to a
railroad; and an employee of such owner, manufacturer, lessor, lessee,
or independent contractor.
Railroad means any form of nonhighway ground transportation that
runs on rails or electromagnetic guideways and any person providing such
transportation, including--
(1) Commuter or other short-haul railroad passenger service in a
metropolitan or suburban area and commuter railroad service that was
operated by the Consolidated Rail Corporation on January 1, 1979; and
(2) High speed ground transportation systems that connect
metropolitan areas, without regard to whether those systems use new
technologies not associated with traditional railroads; but does not
include rapid transit operations in an urban area that are not connected
to the general railroad system of transportation.
Railroad contractor means a contractor to a railroad or a
subcontractor to a contractor to a railroad.
Railroad operation means the movement of a train or other on-track
equipment (other than on-track equipment used in a switching operation
or where the operation is that of classifying and assembling rail cars
within a railroad yard for the purpose of making or breaking up a
train), or the activity that is the subject of an authority issued to a
roadway worker for working limits.
Roadway worker means any employee of a railroad, or of a contractor
to a railroad, whose duties include inspection, construction,
maintenance, or repair of railroad track, bridges, roadway, signal and
communication systems, electric traction systems, roadway facilities, or
roadway maintenance machinery on or near track or with the potential of
fouling a track, and flagmen and watchmen/lookouts.
State means a State of the United States of America or the District
of Columbia.
United States means all of the States.
Working limits means a segment of track with definite boundaries
established in accordance with part 214 of this chapter upon which
trains and engines may move only as authorized by the roadway worker
having control over that defined segment of track. Working limits may be
established through ``exclusive track occupancy,'' ``inaccessible
track,'' ``foul time,'' or ``train coordination'' as defined in part 214
of this chapter.
Sec. 241.7 Waivers.
(a) General. (1) A person subject to a requirement of this part may
petition the Administrator for a waiver of compliance with such
requirement. Except as provided in paragraph (b) of this section, the
filing of such a petition does not affect that person's responsibility
for compliance with that requirement while the petition is being
considered.
(2) (i) Each petition for waiver under this section shall be filed
in the manner and contain the information required by part 211 of this
chapter.
[[Page 672]]
(ii) Petitions seeking approval to conduct fringe border operations
shall also comply with the requirements of paragraph (c) of this
section.
(iii) Petitioners not filing under paragraph (c) of this section
should review the guidelines at 66 FR 63942 (Dec. 11, 2001), and frame
their petitions to address the safety and security concerns articulated
in the preamble, or contact the Office of the Chief Counsel, RCC-12,
FRA, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590, for a copy
of the guidelines.
(3) If the Administrator finds that a waiver of compliance is in the
public interest and is consistent with railroad safety, the
Administrator may grant the waiver subject to any conditions that the
Administrator deems necessary.
(b) Special dispensation for existing extraterritorial dispatching.
(1) A railroad that files a waiver request seeking to continue
extraterritorial dispatch of an operation that it has dispatched from
Canada or Mexico pursuant to regulations contained in 49 CFR part 241,
revised as of October 1, 2002, may continue extraterritorial dispatching
of that operation until the railroad's waiver request is acted upon by
FRA if the petition is filed no later than April 11, 2003.
(2) If the waiver request is for an operation not listed in appendix
A to this part, the waiver request must describe when the
extraterritorial dispatching of the operation commenced and how the
dispatching was authorized by regulations contained in 49 CFR part 241,
revised as of October 1, 2002. FRA will notify the railroad if FRA
determines that the operation was not permitted by the terms of those
regulations.
(c) Fringe border dispatching. (1) A waiver request to have a
railroad employee located in Canada or in Mexico dispatch a railroad
operation in the United States immediately adjacent to the border of the
country in which the dispatcher conducts the dispatching will generally
be approved by FRA, subject to any conditions imposed by FRA, if the
waiver request meets all of the terms of paragraphs (c)(2) and (3) of
this section. A proponent of a waiver request may seek relief from the
terms of paragraphs (c)(2) and (3) of this section.
(2) The railroad proposing to conduct the fringe border dispatching
shall supply the following documents as part of the waiver request:
(i) A description, by railroad division, applicable subdivision(s),
and mileposts, of the line proposed to be dispatched;
(ii) A copy of the operating rules of the railroad that would apply
to the proposed fringe border dispatching, including hours of service
limitations, and the railroad's program for testing the dispatchers in
accordance with these operating rules and for ensuring that the
dispatchers do not work in excess of the hours of service restrictions;
(iii) A copy of the railroad's drug and alcohol abuse prevention
program that applies to the fringe border dispatchers. The program
shall, to the extent permitted by the laws of the country where the
dispatching occurs, contain the following:
(A) Preemployment drug testing;
(B) A general prohibition on possession and use of alcohol and drugs
while on duty;
(C) Reasonable cause alcohol and drug testing;
(D) A policy dealing with co-worker and self-reporting of alcohol
and drug abuse problems;
(E) Post-accident testing; and
(F) Random drug testing;
(iv) The steps the railroad has taken to ensure the security of the
dispatch center where the fringe border dispatching will take place;
(v) The railroad's plans for complying with the requirements of
paragraph (c)(3) of this section; and
(vi) A verification from a government agency in the country where
the dispatching will occur that the agency has safety jurisdiction over
the railroad and the proposed dispatching, and that the railroad's
safety programs referenced in paragraphs (c)(2)(ii) and (iii) of this
section meet the safety requirements established by the agency or, in
the absence of established safety requirements, that the programs are
satisfactory to the agency.
(3) Except as otherwise approved by FRA, fringe border dispatching
must
[[Page 673]]
comply with the following requirements:
(i) The trackage in the United States being extraterritorially
dispatched shall not exceed the following route miles, measured from the
point that the trackage crosses the United States border:
(A) For operations conducted pursuant to the regulations contained
in 49 CFR part 241, revised as of October 1, 2002, the route miles shall
be the miles normally operated by the railroad in conducting the
operation; and
(B) For all other operations, the route miles shall not exceed five
miles.
(ii) Except for unforeseen circumstances such as equipment failure,
accident, casualty, or incapacitation of a crew member, each
extraterritorially dispatched train shall be under the control of the
same assigned crew for the entire trip over the extraterritorially
dispatched trackage.
(iii) The fringe border dispatcher shall communicate instructions to
the train crew and maintenance of way employees working on the line in
the English language and, when referencing units of measurement, shall
use English units of measurement.
(iv) The rail line shall be under the exclusive control of a single
dispatching district or desk; and
(v) The dispatching of the train shall be transferred from the
fringe border dispatcher to a dispatcher located in the United States at
one of the following locations within the mileage limits mandated in
paragraph (c)(3)(i) of this section:
(A) Interchange point;
(B) Signal control point;
(C) Junction of two rail lines;
(D) Established crew change point;
(E) Yard or yard limits location;
(F) Inspection point for U.S. Customs, Immigration and
Naturalization Service, Department of Agriculture, or other governmental
inspection; or
(G) Location where there is a change in the method of train
operations.
Sec. 241.9 Prohibition against extraterritorial dispatching;
exceptions.
(a) General. Except as provided in Sec. 241.7(d) and paragraphs (b)
and (c) of this section, a railroad subject to this part shall not
require or permit a dispatcher located outside the United States to
dispatch a railroad operation that occurs in the United States if the
dispatcher is employed by the railroad or by a contractor to the
railroad.
(b) Transitional period to continue existing extraterritorial
dispatching. A railroad that has normally extraterritorially dispatched
railroad track in the United States from Canada or Mexico pursuant to
the regulations contained in 49 CFR part 241, revised as of October 1,
2002, may continue extraterritorial dispatching of that railroad track
until April 10, 2003, to permit the railroad an opportunity to file a
waiver request pursuant to Sec. 241.7.
(c) Emergencies. (1) In an emergency situation, a railroad may
require or permit one of its dispatchers located outside the United
States to dispatch a railroad operation that occurs in the United
States, provided that:
(i) The dispatching railroad notifies the FRA Regional Administrator
of each FRA region where the railroad operation was conducted, in
writing as soon as practicable, of the emergency; and
(ii) The extraterritorial dispatching is limited to the duration of
the emergency.
(2) Written notification may be made either on paper or by
electronic mail.
(3) A list of the States that make up the FRA regions and the street
and e-mail addresses and fax numbers of the FRA Regional Administrators
appears in appendix C to this part.
(d) Liability. The Administrator may hold either the railroad that
employs the dispatcher or the railroad contractor that employs the
dispatcher, or both, responsible for compliance with this section and
subject to civil penalties under Sec. 241.15.
Sec. 241.11 Prohibition against conducting a railroad operation
dispatched by an extraterritorial dispatcher; exceptions.
(a) General. Except as provided in Sec. 241.5(d) or paragraphs (b)
and (c) of this section, a railroad subject to this part shall not
conduct, or contract for the conduct of, a railroad operation in the
United States that is dispatched
[[Page 674]]
from a location outside of the United States.
(b) Transitional period to continue existing extraterritorial
dispatching. A railroad that has normally conducted, or contracted for
the conduct of, a railroad operation in the United States that is
extraterritorially dispatched pursuant to the regulations contained in
49 CFR part 241, revised as of October 1, 2002, may continue to conduct
or contract for the conduct of the operation until April 10, 2003, to
permit the railroad an opportunity to file a waiver request pursuant to
Sec. 241.7.
(c) Emergencies. (1) In an emergency situation, a railroad may
conduct, or contract for the conduct of, a railroad operation in the
United States that is dispatched from a location outside the United
States, provided that:
(i) The dispatching railroad notifies the FRA Regional Administrator
of each FRA region where the railroad operation was conducted, in
writing as soon as practicable, of the emergency; and
(ii) The extraterritorial dispatching is limited to the duration of
the emergency.
(2) Written notification may be made either on paper or by
electronic mail.
(3) A list of the States that make up the FRA regions and the street
and e-mail addresses and fax numbers of the FRA Regional Administrators
appears in appendix C to this part.
(d) Liability. The Administrator may hold either the railroad that
conducts the railroad operation or the railroad contractor that conducts
the operation, or both, responsible for compliance with this section and
subject to civil penalties under Sec. 241.15.
Sec. 241.13 Prohibition against track owner's requiring or permitting
use of its line for a railroad operation dispatched by an
extraterritorial dispatcher; exceptions.
(a) General. Except as provided in paragraphs (b) and (c) of this
section, an owner of railroad track located in the United States shall
not require or permit the track to be used for a railroad operation that
is dispatched from outside the United States.
(b) Transitional period to continue existing extraterritorial
dispatching. An owner of a track segment located in the United States
that is extraterritorially dispatched pursuant to the regulations
contained in 49 CFR 241, revised as of October 1, 2002, may require or
permit the track segment to be continued to be used for a railroad
operation that is extraterritorially dispatched until April 10, 2003, to
permit the railroad an opportunity to file a waiver request pursuant to
Sec. 241.7.
(c) Emergencies. In an emergency situation, an owner of railroad
track located in the United States may require or permit the track to be
used for a railroad operation that is dispatched from outside the United
States, provided that:
(1) The dispatching railroad notifies the FRA Regional Administrator
of each FRA region where the operation was conducted, in writing as soon
as practicable, of the emergency and
(2) The extraterritorial dispatching is limited to the duration of
the emergency. Written notification may be made either on paper or by
electronic mail.
(d) Liability. The Administrator may hold either the track owner or
the assignee under Sec. 213.5(c) of this chapter ( if any), or both,
responsible for compliance with this section and subject to civil
penalties under Sec. 241.15. A common carrier by railroad that is
directed by the Surface Transportation Board to provide service over the
track in the United States of another railroad under 49 U.S.C. 11123 is
considered the owner of that track for the purposes of the application
of this section during the period that the directed service order
remains in effect.
Sec. 241.15 Penalties and other consequences for noncompliance.
(a) Any person who violates any requirement of this part or causes
the violation of any such requirement is subject to a civil penalty of
at least $500 and not more than $11,000 per violation, except that:
Penalties may be assessed against individuals only for willful
violations, and, where a grossly negligent violation or a pattern of
repeated violations has created an imminent hazard of death or injury to
persons, or has caused death or injury, a
[[Page 675]]
penalty not to exceed $22,000 per violation may be assessed. Each day a
violation continues shall constitute a separate offense.
(b) An individual who violates any requirement of this part or
causes the violation of any such requirement may be subject to
disqualification from safety-sensitive service in accordance with part
209 of this chapter.
(c) A person who knowingly and willfully falsifies a record or
report required by this part may be subject to criminal penalties under
49 U.S.C. 21311.
Sec. 241.17 Preemptive effect.
Under 49 U.S.C. 20106, the regulations in this part preempt any
State law, regulation, or order covering the same subject matter, except
an additional or more stringent law, regulation, or order that is
necessary to eliminate or reduce an essentially local safety hazard; is
not incompatible with a law, regulation, or order of the United States
Government; and does not impose an unreasonable burden on interstate
commerce.
Sec. 241.19 Information collection.
(a) The information collection requirements of this part are being
reviewed by the Office of Management and Budget pursuant to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.).
(b) The information collection requirements are found in the
following sections: Sec. 241.7(a), (b), (c); 241.9(c); 241.11(c);
241.13(c); and 214.15. When an effective date for these sections is
established, FRA will publish notice of that date in the Federal
Register.
Appendix A to Part 241--List of Lines Being Extraterritorially
Dispatched in Accordance With the Regulations Contained in 49 CFR Part
241, Revised as of October 1, 2002
------------------------------------------------------------------------
Description of United States Length of United
track segment being States' track Railroad conducting
extraterritorially dispatched segment the dispatching
------------------------------------------------------------------------
Maine: Between Vanceboro, 99 miles......... Eastern Maine Ry. Co.
Maine and Brownville
Junction, Maine.
Michigan:
U.S. trackage between 1.8 miles........ Canadian Pacific
Windsor, Ontario, and Railway Company.
Detroit, Michigan.
U.S. trackage between 3.1 miles........ Canadian National
Sarnia, Ontario, and Port Railway Company
Huron, Michigan. (CN).
Minnesota: Sprague 43.8 miles....... CN.
Subdivision, between
Baudette, Minnesota, and
International Boundary,
Minnesota.
------------------------------------------------------------------------
Appendix B to Part 241--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section \2\ Violation violation
------------------------------------------------------------------------
241.9(a) Requiring or permitting $7,500 $11,000
extraterritorial dispatching of a railroad
operation....................................
(b) Failing to notify FRA about 5,000 7,500
extraterritorial dispatching of a
railroad operation in an emergency
situation................................
241.11 Conducting a railroad operation that is
extraterritorially dispatched:
(a)(1) Generally.......................... 7,500 11,000
(a)(2) In an emergency situation-where 2,500 5,000
dispatching railroad fails to notify FRA
of the extraterritorial dispatching......
241.13 Requiring or permitting track to be
used for the conduct of a railroad operation
that is extraterritorially dispatched:
(a)(1) Generally.......................... 7,500 11,000
(a)(2) In an emergency situation-where 2,500 5,000
dispatching railroad fails to notify FRA
of the extraterritorial dispatching......
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $22,000 for any violation where circumstances warrant. See 49
U.S.C. 21301, 21304 and 49 CFR part 209, appendix A.
\2\ Further designations for certain provisions, not found in the CFR
citation for those provisions, and not found in this Appendix, are FRA
Office of Chief Counsel computer codes added as a suffix to the CFR
citation and used to expedite imposition of civil penalties for
violations. FRA reserves the right, should litigation become
necessary, to substitute in its complaint the CFR citation in place of
the combined designation cited in the civil penalty demand letter.
[[Page 676]]
Appendix C to Part 241--Geographical Boundaries of FRA's Regions and
Addresses of FRA's Regional Headquarters
The geographical boundaries of FRA's eight regions and the addresses
for the regional headquarters of those regions are as follows:
(1) Region 1 consists of Maine, Vermont, New Hampshire, New York,
Massachusetts, Rhode Island, Connecticut, and New Jersey. The mailing
address of the Regional Headquarters is: 55 Broadway, Room 1077,
Cambridge, Massachusetts 02142. The fax number is 617-494-2967. The
electronic mail (E-mail) address of the Regional Administrator for
Region 1 is: Mark.McKeon@fra.dot.gov.
(2) Region 2 consists of Pennsylvania, Delaware, Maryland, Ohio,
West Virginia, Virginia, and Washington, DC. The mailing address of the
Regional Headquarters is: Two International Plaza, Suite 550,
Philadelphia, Pennsylvania 19113. The fax number is 610-521-8225. The E-
mail address of the Regional Administrator for Region 2 is:
David.Myers@fra.dot.gov.
(3) Region 3 consists of Kentucky, Tennessee, North Carolina, South
Carolina, Georgia, Alabama, Mississippi, and Florida. The mailing
address of the Regional Headquarters is: Atlanta Federal Center, 61
Forsythe Street, SW., Suite 16T20, Atlanta, Georgia 30303. The fax
number is 404-562-3830. The E-mail address of the Regional Administrator
for Region 3 is: Fred.Dennin@fra.dot.gov.
(4) Region 4 consists of Minnesota, Wisconsin, Michigan, Illinois,
and Indiana. The mailing address of the Regional Headquarters is: 300
West Adams Street, Rm 310, Chicago, Illinois 60606. The fax number is
312-886-9634. The E-mail address of the Regional Administrator for
Region 4 is: Laurence.Hasvold@fra.dot.gov.
(5) Region 5 consists of New Mexico, Oklahoma, Arkansas, Louisiana
and Texas. The mailing address of the Regional Headquarters is: 4100
International Plaza, Suite 450, Fort Worth, Texas, 76109-4820. The fax
number is 817-284-3804. The E-mail address of the Regional Administrator
for Region 5 is: John.Megary@fra.dot.gov.
(6) Region 6 consists of Nebraska, Iowa, Colorado, Kansas, and
Missouri. The mailing address of the Regional Headquarters is: 911
Locust Street, Suite 464, Kansas City, Missouri 64106. The fax number is
816-329-3867. The E-mail address of the Regional Administrator for
Region 6 is: Darrell.Tisor@fra.dot.gov.
(7) Region 7 consists of California, Nevada, Utah, Arizona, and
Hawaii. The mailing address of the Regional Headquarters is: 801 I
Street, Suite 466, Sacramento, California 95814. The fax number is 916-
498-6546. The E-mail address of the Regional Administrator for Region 7
is: Alvin.Settje@fra.dot.gov.
(8) Region 8 consists of Washington, Idaho, Montana, North Dakota,
Oregon, Wyoming, South Dakota, and Alaska. The mailing address of the
Regional Headquarters is: Murdock Executive Plaza, 703 Broadway, Suite
650, Vancouver, Washington 98660. The fax number is 360-696-7548. The E-
mail address of the Regional Administrator for Region 8 is:
Dick.Clairmont@fra.dot.gov.
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