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Marien v. Connecticut Yankee Atomic Power Co., 93-ERA-49 (ALJ June 27, 1994)


Date:  June 27, 1994

Case No. 93-ERA-00049
OWCP No. 93-107-0862

CARMELA V. MARIEN,
     
     Complainant,
     
  v.
     
NORTHEAST NUCLEAR ENERGY CO.,

     Respondent.

and

Case No. 93-ERA-00050
OWCP No. 93-107-08627

MARIANNE W. NERRICCIO,
     
     Complainant,
     
  v.

CONNECTICUT YANKEE ATOMIC POWER CO.,

     Respondent.

Appearances:

     Norman A. Pattis, Esq.,
          For the Complainants

     Edward M. Richters, Esq. (at the hearing), Charles C.   
     Thebaud, Jr., Esq. and John E. Matthews, Esq. (on brief),
          For the Respondents

Before:   Ainsworth H. Brown
          Administrative Law Judge




[PAGE 2] RECOMMENDED DECISION AND ORDER These consolidated cases arise under Section 210 of the Energy Reorganization Act of 1974, as amended, 42 U.S.C. § 5851 ("the Act"). The Act protects employees who assist or participate in actions to carry out the purposes of the federal statues regulating the nuclear energy industry. Section 210 provides, inter alia, that "no employer may discharge any employee or otherwise discriminate against any employee with respect to compensation, terms, conditions, or privileges of employment because the employee . . . notified his employer of an alleged violation of this chapter or the Atomic Energy Act of 1954 (42 U.S.C. 2011 et seq.)." 42 U.S.C. § 5851(a)(1)(A). Respondents are two subsidiaries of Northeast Utilities Company engaged in the generation of nuclear power. Complainant, Carmela V. Marien, is a Occupational Health Administrator at Respondents' Millstone Nuclear Power Station located in Brief, Connecticut. Complainant, Marianne Nerriccio, is an Occupational Health Administrator at Respondents' Connecticut Yankee Haddam Neck Plant located in Haddam, Connecticut. Complainants are responsible, in part, for administrating the federally mandated fitness for duty program which screens employees of nuclear facilities for drug and alcohol use. See 10 C.F.R. § 26. The program is designed to promote the "goal of achieving a drug free work place and a work place free of the effects of such substances." 10 C.F.R. § 26.10(c). In their Complaints filed on June 28, 1993, with the Secretary through the Wage and Hour Division of the Employment Standards Administration, Complainants allege that they have been subjected to retaliatory harassment since they jointly raised concerns regarding the computer software designed by Respondents to implement the fitness for duty program. According to Complainants, the software was defective in two ways. First, inadequate measures existed to ensure that information generated by or contained in the computer remained confidential. Second, they noticed that certain individuals appeared to be selected for random testing more often than others. By letters dated July 29, 1993, the Wage and Hour Division informed Complainants that it concluded that no violation of Section 210 had occurred. By telegrams received on August 3, 1993, Complainants requested a formal hearing before the Office of Administrative Law Judges. 29 C.F.R. § 24.4(d)(2)(i).
[PAGE 3] A formal hearing was held on October 12 and 13, 1993 in New London, Connecticut. Because the parties were unable to present all of their testimony and documentary evidence in those two days, the hearing was continued and ultimately concluded on December 13 and 14, 1993 in Hartford, Connecticut. At the commencement of the hearing, it was determined that since the same or substantially similar evidence is relevant and material to the matters at issue in both of these cases, they would proceed in a consolidated fashion. (TR 5)[1] ; see also, 29 C.F.R. § 24.5(b). After the close of the hearing the parties were given the opportunity to submit written briefs. Since attorney Richters has been reassigned to a position outside of Respondents' legal department, Charles C. Thebaud, Jr., Esq. and John E. Matthews, Esq. entered their appearance and filed a brief on behalf of Respondents. Complainants have filed their brief. FINDINGS OF FACT AND CONCLUSIONS OF LAW The findings of fact and conclusions of law which follow are based upon my observation of the appearance and demeanor of the witness who testified at the hearing and upon my analysis of the entire record, arguments of the parties, and applicable regulations, statutes, and case law. I. Factual Background In early January 1993, Respondents introduced a "new" computer program designed to administer the federally mandated fitness for duty program at the Millstone and Connecticut Yankee facilities. Gerald Tavares, who is a supervisor in Respondents' information resources applications development group, testified that his group was responsible for developing this new system. (TR 681) He stated that this system was designed in response to problems encountered with the older system that had been in use for several years. (TR 681). Mr. Tavares explained that rather than develop this new program from scratch, it was developed on one of the main computer systems already in use at Respondents' facilities. (TR 684). Mr. Tavares also explained that Bryan Cook, who is employed as an occupational safety and health administrator by Respondents, was his point of contract between the information resources group and the fitness for duty program. (TR 687). Complainant, Marianne Nerriccio, testified that when the new program was installed she was told by Bryan Cook that it was "In a test mode. Play with it." (TR 27). Following his
[PAGE 4] instructions, Ms. Nerriccio testified that "there were problems with . . . implementation from day one." (TR 27). For example, she learned that Carmela Marien was able to add and delete names from the random list of employees to be tested on any given day. (TR 27). She also stated that she learned that she could inadvertently send the random list to the wrong printer which might allow an individual to know that they were going to be tested in advance. (TR 30). Ms. Nerriccio testified that she began to call these problems to the attention of her superiors. (TR 34). However, "it got to the point where I felt like every time I called, I would hear defense on the other side. Like, in other words, 'It's you again, now what's the problem?' So, I finally got to the point where I just kept a list of my problems, and stopped calling." (TR 34). Sometime in the middle of May 1993, the Nuclear Regulatory Commission (NRC) was conducting a routine security audit of the Connecticut Yankee facility. At the time, Nerriccio was approached by a NRC inspector, Edward B. King. Ms. Nerriccio testified that in response to King's questions, she related some of her concerns regarding the computer system. (TR 36). As a result of this conversation, Mr. King contacted Carmela Marien at the Millstone facility and a meeting was held involving Complainants, the NRC, and other supervisory employees of Respondents. (TR 36). The minutes of this meeting were introduced as RX 1. The minutes of the May 12, 1993 meeting show that the purpose of the meeting was to discuss concerns related to the computer system. Complainants have not challenged the accuracy of these minutes. The minutes indicate that many issues were discussed and solutions identified. It is apparent from these minutes that while some issues were resolved, it was anticipated that several of the problems were going to take some time to remedy. Finally the minutes indicate that "Mr. King concluded the meeting by stating that the NRC is satisfied with [Respondents'] FFD Program, and that he considered his role to be one of facilitating improvements to the program." (RX 1). Then on June 8, 1993 a regular monthly staff meeting was held. All of Respondents' key personnel responsible for the fitness for duty program were present at this meeting. It is uncontested that the first item of the agenda was the computer system. Ms. Nerriccio testified that one item of concern to her was that it appeared that some names were being selected for
[PAGE 5] random testing more often than others. (TR 39). Ms. Nerriccio then stated that Bryan Cook assured her and Ms. Marien that the system had been checked. Ms. Nerriccio testified that in response, Ms. Marien "spoke up" but then "Bryan [Cook] said that if she didn't go to all the outside agencies . . . that we wouldn't have these problems. I mean, he really just got up off his chair, red faced, and yelled at her." Ms. Nerriccio further testified that "I was accused at that meeting twice by David Heritage of calling the NRC." (TR 42). Complainants allege that it is the events of this meeting that constitute a violation of Section 210. When detailing her damages as a result of her whistle- blowing activity, Ms. Nerriccio testified that: "I come to work everyday and I do my job to the best of my ability, and I will continue to do that. But as far as my personal life, it's destroyed." (TR 48). However she also stated that she suffered no loss of privileges of employment, no demotion, no loss of pay raise, no transfer and no denial of vacation time. (TR 119). In fact, she was given additional paid leave with no reduction in sick, vacation, or personal days. (TR 158-159). Apparently Ms. Nerriccio said it best when she stated "Let me tell you one thing. As far as doing my daily job, nothing from the May or June meeting has interfered with my daily job." (TR 105). Carmela Marien offered a similar history of the events leading up to the June 8, 1993 meeting. She stated that she also received a copy of the new computer program with instructions from one of her supervisors, David Heritage, who is manager of occupational safety and health for Respondents. Ms. Marien testified that she was told to "see if you could break this one." (TR 190). She too noticed problems with the program and sought assistance. However, "every time we would call with something different it was very apparent that tensions were starting to build." (TR 191). As an example of problems she found with the system, the Complainant related two occasions where she was able to alter someone else's log-on ID which might have a negative impact on the system's security. (TR 194-195). Like Ms. Nerriccio, Ms. Marien kept a list of problems with the system. This list was introduced as RX 7 and contains many of the same concerns that Complainants testified to. Ms. Marien also confirmed that she was called by Mr. King of the NRC and spoke to him. (TR 206). She explained that "One doesn't refuse to talk to the NRC if they want to talk to you." (TR 206). Ms. Marien also remembers the staff meeting of June 8. She stated that she was discussing the computer system and "I started to say something else and I remember him [Bryan Cook] leaning
[PAGE 6] over the table red faced and shaking and screaming at me, 'you deserve everything you get for going to all those places and all those outside agencies.'" (TR 219). Ms. Marien also testified that the stress of these events was too much for her asthmatic condition so she had to leave the room. (TR 220). She also recalled David Heritage saying to Marianne Nerriccio "well, you called the NRC." (TR 220). Ms. Marien was also questioned regarding her current work environment: Q. Do you feel comfortable raising concerns about the integrity of the fitness for duty program? A. No, sir, I do not. (TR 240). Ms. Marien stated that she had heard some unidentified individual insinuate that her position might be in jeopardy. (TR 257). However she admitted that no one had given her a direct reason to fear for her employment. (TR 254).[2] Complainants also offered the testimony of Katherine L. Duncan a registered nurse who is a contract employee for Respondents. She testified that she works regularly at the Millstone facility approximately four days a week. (TR 383). She testified that she also has experienced problems with the security of the random list and speculated that unauthorized access was possible. (TR 388). Ms. Duncan also independently confirmed many of the problems identified by Complainants. (TR 389-395). Ms. Duncan testified that she had the opportunity to observe Carmela Marien's demeanor the day after the June 8 meeting and surmised that Ms. Marien appeared to be upset. (TR 406). Complainants' final witness was Angelica Anderson. Like Complainants, she is an occupational health administrator for Respondents. (TR 425). She is based in the Berlin, Connecticut corporate headquarters. (TR 424). She recalls being present at the June 8, 1993 meeting. (TR 428). She said that the meeting initially was "joking" in tone but rapidly turned "professional." (TR 429). Later the tone changed again. Ms. Anderson stated, "I'm not going to use the word if it was not professional, but there seemed to be -- people were just rasing their voice." (TR 432). Jeanne Johnson, a fitness for duty administrator for Respondents is employed at the Berlin, Connecticut headquarters.
[PAGE 7] (TR 812). She testified that she was present at the June 8, 1993 meeting and did not hear the remark allegedly made by Bryan Cook. (TR 820). Sheila Oates, who is also a fitness for duty administrator for Respondents at the Berlin, Connecticut headquarters, testified that she was present at the June 8, 1993 meeting and that Bryan Cook did not get out of his chair or make any allegations regarding the NRC. (TR 837). On direct examination Bryan Cook recalled being at the meeting but stated that he did not yell or turn red faced. (TR 852). However, on cross-examination, he conceded that "If I raised my voice it was only because she [Marien] was on the other complete end of the table." (TR 860). He also conceded that "I may have" gotten red faced. (TR 860). David Heritage testified that he is manager of occupation safety and health for Respondents. (TR 455). Mr. Heritage testified that the fitness for duty program is part of his overall responsibilities. (TR 456). He stated that he did not consider the new computer program to be in its final version when it was placed on the computers in early 1993. (TR 458). He testified that he was aware that Ms. Marien had been able to change log-on ID's. (TR 460). Mr. Heritage testified that as a result of the growing complaints related to the computer system, he ordered Bryan Cook to develop a master "punch list" of problems to be resolved. (TR 462). This list was developed in early May 1993 and was introduced as RX 2. The master punch list identifies several problems that the Millstone and Connecticut Yankee facilities were encountering with the new software. These problems largely relate to ease of use, security, and the apparent lack of randomness in the individuals selected for testing. (RX 2). Mr. Heritage testified that he was the chairman of the June 8, 1993 meeting. (TR 468). He stated that at that time he considered the Complainants' security and confidentiality concerns to be valid. (TR 469). He recalled Ms. Marien leaving the room at one point and that while she was gone Ms. Nerriccio stated that Ms. Marien feared for her job. (TR 471). Mr. Heritage testified that he told Ms. Nerriccio that Ms. Marien was mistaken. Heritage denied that Bryan Cook because upset or that anyone made any reference to the NRC. David Heritage's testimony on this point is not entirely
[PAGE 8] credible because he testified that after this meeting he informed his superiors of the strained relationships between those involved in administering the fitness for duty program. He stated that he was instructed not to speak to anyone for few days so that everyone would have a chance to calm down. Eventually a "team-builder," Robert DeLisa, was employed to help restore a positive working environment between the parties involved. I am unpersuaded that Respondents would gone to these great lengths had the meeting been as sedate as described by Heritage and Cook. The first "team-builder" to be retained, Robert DeLisa, testified that he is the owner of the DeLisa Consulting Group, a company that helps organizations with promoting "team development, organizational development, [and] conflict mediation." (TR 515). He stated that the was contacted by Virginal Fleming who is a personnel manager for Respondents. (TR 517). DeLisa stated that Fleming gave the impression that this was an urgent matter. DeLisa stated that when he was retained he "was not there to make a right or wrong call, who did good things or who did bad things. I was to mediate." (TR 519). DeLisa testified that he was given the names all the persons involved in the June 8, 1993 meeting. (TR 520-521). He stated that, with the promise of anonymity, he spoke to each of the individuals involved. He recalled, "In my opinion, I would say that everybody I spoke to, without exception, was cooperative and open in their responses and honest." (TR 527). Mr. DeLisa stated that one of the Complainants told him that she heard Bryan Cook say to Carmela Marien "If you hadn't gone to all those outside agencies you wouldn't feel this way." (TR 529). DeLisa stated that he thought that this was significant enough of a statement that he "checked it" through the other interviews and no one else had heard it. (TR 529). His findings on this point are in direct conflict with Complainants' hearing testimony where they both testified that they heard this remark. After this first round of interviews, DeLisa concluded that "it appeared to me that the core conflict was among three key people." (TR 535). They were Ms. Marien, Ms. Nerriccio, and Mr. Heritage. DeLisa testified that after identifying the conflict among these individuals, he contacted Virginia Fleming to report his results. (TR 536). DeLisa testified that the was then instructed to speak to David Heritage to formulate a course of action. Mr. DeLisa recalled his meeting with Heritage: "His general reaction was he wanted to get it resolved, and whatever it took he would be willing to do so, as long as there was a sense of
[PAGE 9] fairness and balance." (TR 537). DeLisa testified that he then called each of the Complainants at home to discuss his findings and recommendations. He described Ms. Nerriccio as uncooperative and as a result he felt "completely stymied." (TR 545). DeLisa described his conversation with Ms. Marien as a more "give and take conversation." (TR 546). At this point, DeLisa stated that he "felt awful" that he was unable to bring the parties together but observed that "you can't force it. It's like forcing two kids in a playground to shake hands. It doesn't work." (TR 549). Mr. DeLisa stated that he then reported his findings to Virginia Fleming. Virginia Fleming testified that after DeLisa had abandoned his efforts, she contacted a second "team-builder", Barry C. Jentz, to help facilitate an end to the dispute. However, it is unclear how far Jentz progressed considering Complainants deny receiving Jentz's c.v. and other materials that were apparently sent in a letter dated September 7, 1993. (RX 6 & RX 7). With respect to the technical problems with the software, Mr. Tavares testified that the information resources group was aware in the breach involving the changed log-on ID. (TR 690). He explained that this breach "was taken very seriously" and that "within approximately eight hours" corrections were made to prevent a similar occurrence. (TR 690). However, he also stated that a log-on ID is similar to a street address while a password is the actual key to someone's house. Therefore, he felt that knowledge of someone's log-on ID was not a problem to the degree Complainants thought it to be. He also explained how the other problems were corrected. Mr. Tavares testified that he was unaware of any other unresolved problems with respect to the computer program. (TR 695).[3] He concluded, "I am months behind on projects because of the diversion of resources that check, double check and triple check, and go back and investigate every allegation that's ever been raised against a particular system . . . I mean we are bending over backwards to try to do this, and do this right. Any concern is investigated." (TR 738). II. Complainants' Prayer for Relief At the opening of the formal hearing in this matter, Claimants' counsel requested the following relief: 1. A written and verbal apology from David Heritage and Bryan Cook for their treatment of Claimants during the June 8, 1993 meeting;
[PAGE 10] 2. A written acknowledgement from senior management of Respondents stating that intimidation and harassment was practiced against Claimants; 3. A written promise that this sort of intimidation and harassment will never happen again for any reason, not just for rasing concerns that are warranted by law; 4. A written statement and reiteration to all company employees, including senior management, that the practice of intimidation and harassment is not acceptable, and will not be tolerated; and 5. The sum of $50,000 for each Claimant to compensate for the stress and emotion turmoil they and their families had undergone as a result of Respondents' treatment of them, and second to send a message to the nuclear industry that attempts to penalize whistle-blowers will not be tolerated. (TR 7-8). III. The Law In this case, Complainants initially have the burden of proving a prima facie case by a preponderance of the evidence. To prove a prima facie case, an employee must establish each of the following elements: (a) That the employee engaged in protected activity; (b) That the employer knew that the employee engaged in protected activity; (c) That the employer took some adverse action against the employee; and (d) The employee must present evidence sufficient to at least raise an inference that the protected activity was the likely reason for the adverse action. Sellers v. Tennessee Valley Authority, 90-ERA-14 (Sec'y April 18, 1991) Decisions of the OALJ and OAA, Vol. 5, No. 2, March-April 1991, p. 165 at 166. See also Thompson v. Tennessee Valley Authority, 89-ERA-14 (Sec'y July 19, 1993) Decisions of the OALJ and OAA, Vol. 7, No. 4, July-Aug. 1993, p. 316 at 319. Once Complainants have established their prima facie case,
[PAGE 11] Respondents have the burden of presenting evidence that the alleged adverse action was motivated by legitimate, nondiscriminatory reasons. Id.; See also Lockert v. U.S. Dept. of Labor, 867 F.2d 513, 519 & n. 2 (9th Cir. 1990). If Respondents articulate a legitimate, nondiscriminatory reason for their action, Complainants must establish that Respondent's proffered reason was not its true reason, but, rather, a pretext. Id. IV. Discussion In addition to acknowledging that this action is covered by the Act, Respondents concede the first two elements of Complainants' prima facie case. To show that they are clearly proven, I will briefly discuss the first two elements. To establish the first element of Complainants' prima facie case, they must prove that they have engaged in protected activity. The fitness for duty program is an important component of the overall safety scheme of any nuclear facility. See 10 C.F.R. § 26.10. Prior to the 1992 amendments to the Act it was uncertain if internal complaints were adequate to constitute a protected activity. See e.g., Mackowiak v. University Nuclear Systems, Inc., 738 F.2d 1159, 1163 (9th Cir. 1984). See also Bivens v. Louisiana Power & Light, 89-ERA-30 (Sec'y June 4, 1991) Decisions of OALJ and OAA, Vol. 5, No. 3, May-June 1991, p. 152 at 153. However, the 1992 amendments to the Act have made it clear that an employee has engaged in protected activity if, as in the instant case, he or she has "notified his employer of an alleged violation." 42 U.S.C. § 5851(a)(1)(A). Furthermore, while not formally contacting the NRC, Complainants also voiced their concerns to a NRC inspector. Therefore, I find that Complainants' have established the first element of their prima facie case. To establish the second element of Complainants' prima facie case, they must prove that their employer knew that they have engaged in protected activity. The uncontradicted testimony of all of the witnesses and the minutes of the May 12, 1993 involving Edward King of the NRC, Complainants, and other employees of Respondents establish that Respondents were aware of Complainants' protected activity. See (RX 1). To establish the third element of Complainants' prima facie case, they must prove that Respondents took some adverse action against them. In this case, Complainants allege that the adverse
[PAGE 12] action against them came in the form of harassment and intimidation, particularly at the June 8, 1993 meeting. Unfortunately, several different versions of the events of that meeting were offered by the witnesses. Human nature being what it is, people may have different memories and perceptions of the an event and may offer contradictory, yet honest, testimonial descriptions. Without question, tensions were at the peak during this meeting regarding the shortcomings of the computer system. However, I cannot conclusively determine that Bryan Cook or David Heritage actually made comments regarding Complainants contacting the NRC or that Bryan Cook raised his voice and turned red. Assuming for the sake of argument that they did, although it may be unpleasant to be present at the meeting where voices are raised and accusations are made, I cannot say that these events, by themselves, are sufficient to be regarded as an adverse action on the part of Respondents. If raised voices in business meetings would be actionable, a litigation explosion of an infinite dimension would result. Difficulties and tensions are merely part of the everyday fabric of the work place. Complainants' allegations of an adverse impact on their medical and emotional health are wholly unsubstantiated. Complainants themselves have testified that they have had suffered no other form of retaliation such as reassignment, loss of pay, adverse performance evaluation, or denial of a vacation. Furthermore, Respondents have actually taken affirmative remedial measures to facilitate an amicable end to the tension respecting impaired communication acknowledged by most of the witnesses. First, Robert DeLisa was employed to identify the problems between the parties and to "team build" a stronger organization. After he was unsuccessful, Barry Jentz was employed to try to resume where DeLisa left off. At the hearing, none of the witnesses expressed any negative sentiment towards Complainants and universally expressed a desire to resolve their differences and work towards a more cooperative relationship. I find that Complainants' have failed to establish a prima facie case because they have not proven that Respondents took any adverse action against them. When some of the factual disputes degenerate to whether a person at a meeting became red faced it was certainly a time to "team build," but that issue falls short of a patters of adverse activity or a hostile environment. The allegation of "ruin" is understood as hyperbole.
[PAGE 13] At the top of page 14 of their closing argument, the Complainants make a point of their perceived deficiencies in the Respondents' investigative efforts respecting the complaint of harassment. This contention overlooks the purpose of the hearing to afford them an opportunity to air their compliant of harassment, that is, to prove that they suffered harassment. This task is aided by the due process rights embodied in the Administrative Procedures Act including the right to an impartial decision maker, the right call and cross-examine witnesses, and the right to a written decision on the record. The focus is not on the nature of any investigative efforts of Northeast, but what actions Northeast perpetrated against Complainants as a result of their protected activities. What is relevant is whether Ms. Marien and Ms. Nerriccio were injured by their employer. Without an injury, there is no remedy. Having found that Complainants have not met their threshold burden of establishing a prima facie case, their Complaint must be dismissed. RECOMMENDED ORDER For the reasons stated above, it is recommended that the instant Complainants of Carmela V. Marien (93-ERA-00049) and Marianne W. Nerriccio (93-ERA-00050) be dismissed in their entirety. Ainsworth H. Brown Administrative Law Judge Dated: June 27, 1994 Camden, New Jersey NOTICE: This Recommended Decision and Order and the administrative file in this matter will be forwarded for review by the Secretary of Labor to the Office of Administrative Appeals, U.S. Department of Labor, Room S-4309, Frances Perkins Building, 200 Constitution Ave., NW, Washington, DC 20210. The Office of Administrative Appeals has the responsibility to advise and assist the Secretary in the preparation and issuance of final decisions in employee protection cases adjudicated under the regulations at 29 C.F.R. Parts 24 and 1978. See 55 Fed. Reg. 13250 (1990). [ENDNOTES] [1] The following references will be used herein: CX for Complainants' exhibits; RX for Respondents' exhibits; and TR for the transcripts of the hearings held before me in New London and Hartford, Connecticut. [2] During the time period relevant to this action, both Complainants received a whistle at their office. (CX 1; CX 2). However, Complainants have been unable to prove the source of these whistles and their meaning. In fact, Ms. Marien testified that at first she though the whistle sent to her "was a joke" but that "no one came forward, unlike the rat poison I've got and the other whistles I've got, and the dead rats that I've got." (TR 235). If co-workers of a whistle-blower will send rat poison as a gag gift, then certainly two anonymous whistles in the mail are so ambiguous that I cannot draw any conclusion from the mere fact that they were sent to Complainants. [3] I note, however, that Complainants still maintain that the computer will select some individuals for testing more often than others. If true this result would be a violation of 10 C.F.R. § 26.3 which requires that "all persons within that group have an equally probability of selection." However, my inquiry is limited to determining whether Complainants have suffered any adverse action because of their complaints.



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