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Chapter 1.
INTRODUCTION
Section 1. PURPOSE AND
SCOPE OF THESE GUIDELINES
The Federal Motor Carrier Safety Administration (FMCSA) recognizes
that controlled substances use and alcohol misuse affect everyone in the United States in one
way or another. In response to passage of the Omnibus Transportation Employee Testing
Act
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of 1991, the FMCSA has published
regulations prohibiting controlled substances use
and alcohol misuse and modified other current regulations. The current regulation is 49
CFR part 382, "Controlled Substances and
Alcohol Use and Testing," which replaced 49 CFR
part 391, subpart H, "Controlled Substances Testing." In addition, the Department
of Transportation (DOT) has issued 49 CFR part 40, "Procedures for Transportation
Workplace Drug and Alcohol Testing Programs,"
which prescribes testing methods to be followed.
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Introduction
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To assist employers (motor carriers)
in implementing those regulations, the FMCSA has developed these guidelines. The
ultimate goal for the FMCSA and the commercial motor vehicle (CMV)* industry is to
achieve a controlled substance and alcohol-free
work force in the interest of the health and
safety of employers, employees, and the public.
These guidelines are the FMCSA's "small entity compliance guide" for
purposes of the Contract With America Advancement Act of 1996 (Pub. L. 104-121, Title
II, Subtitle A, March 29, 1996). Under this act, the content of this small entity
compliance guide is not subject to judicial review
but may be considered as evidence of the reasonableness or appropriateness of
any proposed fines, penalties, or damages in an FMCSA civil or administrative action.
These guidelines are written as if an employer has no controlled substances
and/or alcohol testing program already in place. They provide a logical sequence
for implementing the various elements of a successful program and contain examples
of documents, checklists, forms, and procedures that may be used by individual employers
in formulating their programs. The following
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required elements of a controlled
substances use and alcohol misuse program are discussed:
· Policy and procedure development
· Driver education and supervisor training
· Urine specimen collection and testing
· Breath and saliva sample collection
and testing
· Recordkeeping and reporting.
As an employer (motor carrier), you may go beyond these requirements
to incorporate additional features (such as employee assistance programs) that are
not mandated by FMCSA regulations. However, you must make clear that any features
you add are not part of the FMCSA-mandated program and will be conducted under
other applicable authority, not the FMCSA's. For example, if you test for controlled
substances other than the five that the FMCSA
specifies, you must make the employees aware that they are being tested for those
additional controlled substances under your
authority, not the FMCSA's. You must collect
separate specimens for analysis, and you must not
use the Federal Drug Testing Custody and Control Form.
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*Note: The term "Commercial Motor Vehicle" or "CMV" as used in this document
is defined in the appendix of this chapter, page 1-22.
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Employers Domiciled in the United States
For employers domiciled in the United States, the rules require testing to have
begun by January 1, 1996.
If you begin your highway transportation operations after January
1, 1996, you must start your testing program on the day you begin
transportation operations. The development of policies and
procedures, including preemployment testing, must
be completed prior to the date you begin transportation operations.
Employers Domiciled in Foreign Countries
For employers domiciled in foreign countries that operate in the United States,
the rules require testing to have begun by July 1, 1997. If you began your
highway transportation operations in the United
States after July 1, 1997, you must start your
testing program on the day you begin operations in
the United States. The development of policies and procedures, including
preemployment testing, must be completed prior to the day
you begin operations in the United States.
Section 2. HOW TO USE THESE GUIDELINES
These guidelines are a ready reference for those in the CMV industry that
must formulate and implement programs to control substance abuse. They are organized
by
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subject, and each subject is addressed in
the general order that it would be encountered in the actual formulation and implementation of
a controlled substances use and alcohol misuse program.
Each major subject is discussed in a separate section. Sample documents,
forms, terms and definitions, and checklists are
provided in the appendix at the end of each chapter.
These materials were designed to help employers
meet the minimum regulatory requirements contained in 49 CFR parts 40 and 382.
These guidelines do not take precedence over or alter any requirement established
under FMCSA or DOT regulations.
In certain cases, the information in this document goes beyond the
regulatory minimum and covers additional aspects of
a controlled substances use and alcohol misuse program that are considered helpful
in developing a comprehensive program. It is the option of each employer to implement
a program that goes beyond the regulatory minimum.
To assist you in differentiating between program elements required by regulation
and optional suggestions for maximizing program effectiveness, certain key words are
used throughout the text (see the box on next page).
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Regulatory Text
Statements in this manual that refer to regulatory
requirements contain the words
"shall" or
"must" (e.g., "A substance abuse management
program shall include a policy statement"). Program elements
not explicitly required by regulations, but suggested as an
integral part of successful implementation, are generally addressed using the
word "should." Optional elements, or
those program features that have several acceptable alternatives, are
normally expressed by use of the word
"may."
Section numbers from the regulations are also used to more clearly define
regulatory requirements. For example, §382.103
means that this regulation is specifically mentioned
in 49 CFR part 382, section 103; and, in a similar manner, §40.25 references 49 CFR part
40, section 25.
Section 3. OTHER RESOURCES
While every attempt has been made to make these guidelines as complete and
self-supporting as possible, additional published material is available. Where appropriate,
these additional resources are identified.
The appendix at the end of this chapter contains a list of sources of
additional information that you may wish to acquire
as you begin developing your controlled substances use and alcohol misuse program.
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FMCSA division offices
located throughout the United States are listed in
the appendix for additional information. Division offices should be consulted for
specific guidance applicable to an employer's
program implementation and for any updates and amendments to the these regulations
and guidance.
To access FMCSA or the DOT's Office of Drug and Alcohol Policy and Compliance
on the web, go to:
www.fmcsa.dot.gov
www.dot.gov/ost/dapc
FMCSA does not maintain lists of trade associations, unions, or insurance
companies, but these can be good sources of
additional information.
If you want additional copies of these guidelines, you may reproduce as many
copies as you need.
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Introduction
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Chapter 1 Appendix
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Introduction
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Sources of Additional Information
and Other Published Documentation
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Sources of Additional Information and Other Published Documentation
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Drug Testing Procedures Handbook
Urine Specimen Collection Procedures Guidelines
Substance Abuse Professional Procedures Guidelines
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U.S. Dept. of Transportation
Office of Drug and Alcohol Policy
and Compliance
1200 New Jersey Avenue SE
Washington, DC 20590
Phone (202) 366-DRUG
Fax On Demand: (800) 225-(DRUG)
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Drug & Alcohol Abuse Prevention and the ADA: An
Employer's Guide
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The Institute for a Drug-Free
Workplace
East Tower Suite 1010
1301 K Street, N.W.
Washington, DC 20005
Phone: (202) 842-7400
Fax: (202) 842-0011
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Random Drug Testing Manual
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Office of Safety & Security
Federal Transit Administration
400 Seventh Street, S.W.
Room 6432
Washington, DC 20590
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Breath Alcohol Technician and Screening Test
Technician Training Curricula (Teacher and
Student Guide)
Alcohol and Drug Testing Regulations
49 CFR parts 40 and 382
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Order by Mail:
Superintendent of Documents
P.O. Box 371954
Pittsburgh, PA 15250-7954
Order by Telephone or Fax:
Phone: (202) 512-1800
Fax: (202) 512-2250
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A central information and referral service for technical
support, printed materials, audiovisuals, and
networking.
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National Clearinghouse for
Alcohol and Drug Information
P.O. Box 2345
Rockville, MD 20847-2345
(800) 729-6686 (outside Maryland
and DC area)
(301) 468-2600 (DC and
Maryland)
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Toll-Free Information Lines
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Alcoholics Anonymous -----
(800) 356-9996
American Council on Alcoholism
Helpline---(800)527-5433
Cocaine Hotline-----
(800) COCAINE
National Council on Alcoholism------
(800) NCA-CALL
National Institute on Drug Abuse
Hotline--- (800) 662-HELP
National Institute on Drug Abuse
Helpline--- (800) 843-4971
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Collection Sites, Consortia, Medical Review Officers
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National Association of Collection Sites
(800) 355-1257
Substance Abuse Program Administrators
Association---- (615) 834-8288
American Association of Medical Review
Officers (919) 489-5407
American College of Occupational &
Environmental Medicine, Medical Review
Officer Certification Council
(708) 228-6850
American Society of Addiction Medicine
(301) 656-3920
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Various Materials
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(Check local listings)
State and local governments
State and local truck & motor coach associations
State and local employee counseling
programs |
FMCSA Service Centers |
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Eastern Service Center: CT, DE, MA, MD, ME, NH, NJ,
NY, PA, VA, VT, WV |
802 Cromwell Park drive
Suite N
Glen Burnie, MD 21061
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Phone: (443) 703-2240
Fax: (443) 703-2253
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Midwestern Service Center: IA, IL, IN, KS, MI, MN, MO, NE, OH, WI
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19900 Governors Drive
Suite 210
Olympia Fields, IL 60461
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Phone: (708) 283-3577
Fax: (708) 283-3579
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Southern Service Center: AL, AR, FL, GA, KY, LA, MS, NC, NM, OK, SC, TN, TX
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1800 Century Boulevard, N.E.
Suite 1700
Atlanta, GA 30345-3220
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Phone: (404) 327-7400
Fax: (404) 327-7349
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Western Service Center: AK, AZ, CA, CO, HI, ID, MT, ND, NV, OR, SD, UT, WA, WY
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201 Mission Street
Suite 2100
San Francisco, CA 94105
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Phone: (415) 744-3088
Fax: (415) 744-2665
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FMCSA Division Offices
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FMCSA Division Offices
State |
City |
Phone |
Fax |
Alabama |
Montgomery |
(334) 223-7244 |
(334) 223-7700 |
Alaska |
Anchorage |
(907) 271-4068 |
(907) 271- 4069 |
Arizona |
Phoenix |
(602) 379-6851 |
(602) 379-3627 |
Arizona |
Douglas |
(520) 364-6422 |
(520) 364-6456 |
Arizona |
Nogales |
(520) 761-4419 |
(520) 761-3093 |
Arizona |
San Luis |
(928) 627-1336 |
(928) 627-1770 |
Arkansas |
Little Rock |
(501) 324-5050 |
(501) 324-6562 |
California |
Sacramento |
(916) 930-2760 |
(916) 930-2278 |
California |
Calexico |
(760) 768-7300 |
(760) 768-6423 |
California |
Ontario |
(909) 937-2949 |
(909) 390-5642 |
California |
San Diego |
(619) 710-8400 |
(619) 710-2804 |
Colorado |
Denver |
(303) 969-6748 |
(303) 969 6741 |
Connecticut |
Glastonbury |
(860) 659-6700 |
(860) 659-6725 |
Delaware |
Dover |
(302) 734-8173 |
(302) 734-5380 |
District of Columbia |
Washington |
(202) 219-3553 |
(202) 219-3546 |
Florida |
Tallahassee |
(850) 942-9338 |
(850) 942-9680 |
Georgia |
Atlanta |
(404) 562-3620 |
(404) 562-3704 |
Hawaii |
Honolulu |
(808) 541-2700 |
(808) 541-2702 |
Idaho |
Boise |
(208) 334-1842 |
(208) 334-1046 |
Illinois |
Springfield |
(217) 492-4608 |
(217) 492-4986 |
Indiana |
Indianapolis |
(317) 226-7474 |
(317) 226-5657 |
Iowa |
Ames |
(515) 233-7400 |
(515) 233-7494 |
Kansas |
Topeka |
(913) 267-7288 |
(913) 267-7290 |
Kentucky |
Frankfort |
(502) 223-6779 |
(502) 223-6767 |
Louisiana |
Baton Rouge |
(225) 757-7640 |
(225) 757-7636 |
Maine |
Augusta |
(207) 622-8358 |
(207) 622-8477 |
Maryland |
Baltimore |
(410) 962-2889 |
(410) 962-3916 |
Massachusetts |
Cambridge |
(617) 494-2770 |
(617) 494-2783 |
Michigan |
Lansing |
(517) 377-1866 |
(517) 377-1868 |
Minnesota |
Minneapolis |
(651) 291-6150 |
(651) 291-6001 |
Mississippi |
Jackson |
(601) 965-4219 |
(601) 965-4674 |
Missouri |
Jefferson City |
(573) 636-3246 |
(573) 636-8901 |
Montana |
Helena |
(406) 449-5304 |
(406) 449-5318 |
Nebraska |
Lincoln |
(402) 437-5986 |
(402) 437-5146 |
Nevada |
Carson City |
(775) 687-5335 |
(775) 687-3803 |
New Hampshire |
Concord |
(603) 228-3112 |
(603) 228-0390 |
New Jersey |
Trenton |
(609) 637-4222 |
(609) 538-4913 |
New Jersey |
Little Falls |
(973) 357-4134 |
(973) 357-4099 |
New Mexico |
Albuquerque |
(505) 346-7858 |
(505) 346-7859 |
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FMCSA Division Offices
State |
City |
Phone |
Fax |
New York |
Albany |
(518) 431-4145 |
(518) 431-4140 |
New York |
Buffalo |
(716) 551-4701 |
(716) 551-3312 |
New York |
New York City |
(212) 668-2130 |
(212) 668-2133 |
New York |
Syracuse |
(315) 448-0311 |
(315) 448-0313 |
North Carolina |
Raleigh |
(919) 856-4378 |
(919) 856-4369 |
North Dakota |
Bismarck |
(701) 250-4346 |
(701) 250-4389 |
Ohio |
Columbus |
(614) 280-5657 |
(614) 280-6875 |
Oklahoma |
Oklahoma City |
(405) 605-6047 |
(405) 605-6176 |
Oregon |
Salem |
(503) 399-5775 |
(503) 399-5838 |
Pennsylvania |
Harrisburg |
(717) 221-4443 |
(717) 221-4552 |
Pennsylvania |
King of Prussia |
(610) 992-8680 |
(610) 992-8685 |
Pennsylvania |
Pittsburgh |
(412) 395-6935 |
(412) 395-5078 |
Pennsylvania |
Scranton |
(570) 346-4949 |
(570) 821-4080 |
Puerto Rico |
Hato Rey |
(787) 766-5985 |
(787) 766-5015 |
Rhode Island |
Providence |
(401) 431-6010 |
(401) 431-6019 |
South Carolina |
Columbia |
(803) 765-5414 |
(803) 765-5413 |
South Dakota |
Pierre |
(605) 224-8202 |
(605) 224-1766 |
Tennessee |
Nashville |
(615) 781-5781 |
(615) 781-5755 |
Tennessee |
Jackson |
(731) 424-9332 |
(731) 424-0783 |
Texas |
Austin |
(512) 536-5980 |
(512) 916-5980 |
Texas |
Brownsville |
(956) 541-5894 |
(956) 982-0741 |
Texas |
Eagle Pass |
(830) 757-6749 |
(830) 757-9097 |
Texas |
El Paso |
(915) 593-8574 |
(915) 594-8857 |
Texas |
Fort Worth |
(817) 978-3225 |
(817) 978-4666 |
Texas |
Laredo |
(956) 712-1385 |
(956) 723-1479 |
Texas |
McAllen |
(956) 683-0181 |
(956) 683-7280 |
Texas |
Roma |
(956) 847-7209 |
(956) 847-7409 |
Utah |
Salt Lake City |
(801) 963-0096 |
(801) 963-0096 |
Vermont |
Montpelier |
(802) 828-4480 |
(802) 828-4424 |
Virginia |
Richmond |
(804) 771-8585 |
(804) 771-8681 |
Washington |
Olympia |
(360) 753-9875 |
(360) 753-9024 |
West Virginia |
Charleston |
(304) 347-5935 |
(304) 347-5617 |
Wisconsin |
Madison |
(608) 829-7530 |
(608) 829-7540 |
Wyoming |
Cheyenne |
(307) 722-2305 |
(307) 772-2905 |
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Terms and Definitions Used in Chapter 1
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Terms and Definitions
Alcohol The intoxicating agent in beverage alcohol, ethyl alcohol, or other low
molecular weight alcohols, including methyl and isopropyl alcohol.
Alcohol Use The drinking or swallowing of any beverage, liquid mixture, or
preparation, including any medication, containing alcohol.
Commercial Driver's License
(CDL) A license issued by a State or other jurisdiction, in accordance with the
standards contained in 49 CFR part 383, authorizing an individual to
operate a class of commercial motor vehicle (CMV). The individuals
required to have a CDL under 49 CFR part 383 are subject to controlled
substances and alcohol testing. Individuals who are required to possess
CDLs by virtue of State or local law or by employer policy, but not by
Federal regulation, are not subject to the provisions of 49 CFR parts 382
and 383
Commercial Motor Vehicle
(CMV) A motor vehicle or combination of motor vehicles used in commerce to
transport passengers or property if the motor vehicle
(a) Has a gross combination weight rating (GCWR) of 11,794
kilograms or more (26,001 pounds or more) inclusive of a towed
unit, with a gross vehicle weight rating (GVWR) of more than 4,536
kilograms (10,000 pounds); or
(b) Has a GVWR of 11,794 kilograms or more (26,001 pounds or
more); or
(c) Is designed to transport 16 or more passengers, including the driver;
or
(d) Is of any size and is used in the transportation of materials found to
be hazardous for the purposes of the Hazardous Materials
Transportation Act and is required the to be placarded under the
Hazardous Materials regulations (49 CFR part 172, subpart F).
Consortium/Third Party
Administrator (C/TPA) A service agent that provides or coordinates one or more drug and/
or alcohol testing services to DOT-regulated employers. C/TPAs
typically provide or coordinate the provision of a number of such
services and perform administrative tasks concerning the operation of
the employers' drug and alcohol testing programs. This term includes,
but is not limited to, groups of employers that join together to
administer, as a single entity, the DOT drug and alcohol testing programs
of its members (e.g., having a combined random testing pool). C/TPAs
are not employers under the rules.
Controlled Substances For the purposes of these guidelines, the terms "drugs" and
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"controlled substances" are interchangeable and have the same
meaning. The DOT is testing only for the following five controlled
substances: marijuana (THC), cocaine, opiates, phencyclidine
(PCP), and amphetamines (including methamphetamines).
Designated Employer
Representative (DER) An individual identified by the employer as able to receive
communications and test results from service agents and who is
authorized to take immediate actions to remove employees from
safety-sensitive duties and to make required decisions in the testing
and evaluation processes. The individual must be an employee of
the company. Service agents cannot serve as DERs.
Driver Any person (volunteer or paid) who operates a CMV and is required
to have a CDL. This includes, but is not limited to,
§ Full-time, regularly employed drivers
§ Leased drivers
§ Independent owner-operator contractors (employed
directly or leased)
§ Casual, intermittent, or occasional drivers.
Drug See Controlled Substances.
Employee See Driver.
Employer (or Motor Carrier) Any person engaged in a business affecting interstate commerce
who owns or leases a commercial motor vehicle in connection with
that business, or assigns employees to operate it, but such terms does
not include the United States, any State, any political subdivision of
a State, or an agency established under a compact between States
approved by the Congress of the United States.
FMCSA Federal Motor Carrier Safety Administration.
FRA Federal Railroad Administration.
Gross Combination Weight Rating The total value specified by the manufacturer(s) of the vehicle as
the loaded weight of two or more vehicles. In the absence of a
value specified by the manufacturer, it will be determined by adding
the gross vehicle weight rating of the power unit to the total weight
of the towed unit and any load thereon.
Gross Vehicle Weight Rating The value specified by the manufacturer of the vehicle as the loaded
weight of a single vehicle.
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Seating Capacity or
Designed to Transport The value specified by the manufacturer of the vehicle as the
maximum number of persons that may sit in a single vehicle. A
commercial motor vehicle that is altered by removing seats continues to
be a commercial motor vehicle until the vehicle's seating capacity
certification plate is replaced by a manufacturer.
Service Agent Any person or entity, other than an employee of the employer, that
provides services specified under the regulations to employers and/or
employees in connection with DOT drug and alcohol testing
requirements.
Stand-Down The practice of temporarily removing an employee from the
performance of safety-sensitive functions based only on a report from a
laboratory to the medical review officer (MRO) of a confirmed
positive test, an adulterated test, or a substituted test, before the MRO
has completed verification of the test results.
Complete definitions of terms used in parts 40 and 382 may be found in §40.3 and §382.107.
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