[Federal Register Volume 65, Number 246 (Thursday, December 21, 2000)]
[Rules and Regulations]
[Pages 80302-80306]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-32381]


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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

14 CFR Part 1214

RIN 2700-AC40


Code of Conduct for the International Space Station Crew

AGENCY: National Aeronautics and Space Administration (NASA).

ACTION: Interim final rule.

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SUMMARY: NASA is issuing new regulations entitled ``International Space 
Station Crew,'' to implement certain provisions of the International 
Space Station (ISS) Intergovernmental Agreement (IGA) regarding ISS 
crewmembers' observance of an ISS Code of Conduct.

DATES: Effective Date: October 1, 2000.

FOR FURTHER INFORMATION CONTACT: John F. Hall, Jr., Senior Counsel 
(Commercial and International), 202-358-2432.

SUPPLEMENTARY INFORMATION: On January 29, 1998, the United States 
formally joined with fourteen nations in an unprecedented international 
partnership for cooperative space exploration and development, known as 
the ISS. The Agreement Among the Government of Canada, Governments of 
Member States of the European Space Agency, the Government of Japan, 
the Government of the Russian Federation, and the Government of the 
United States of America Concerning Cooperation on the Civil 
International Space Station, which forms the foundation of the ISS 
partnership, provides in Article 11, that each partner,

[[Page 80303]]

in exercising its right to provide ISS crew, shall ensure that its 
crewmembers observe a Code of Conduct to be developed and approved by 
the partners for the maintenance of order and conduct of crew 
activities in or on the Space Station.
    At the present time, the Governments of the United States, Japan, 
and Canada have deposited instruments indicating their adherence to the 
IGA, and upon deposition of a similar instrument by the Government of 
the Russian Federation, the IGA will become operative. The signatory 
governments to the IGA (with the exception of three governments of the 
European Partner governments) have also signed a Provisional 
Arrangement committing themselves to abide by the terms and conditions 
of the IGA pending its formal entry into force.
    In accordance with the underlying ISS Memoranda of Understanding 
(MOU) and other agreements concluded between NASA and each of the ISS 
partners and other participating states, the ISS Code of Conduct is 
intended to: establish a clear chain of command on-orbit; establish a 
clear relationship between ground and on-orbit management; establish a 
management hierarchy; set forth standards for work and activities in 
space, and, as appropriate, on the ground; establish responsibilities 
with respect to elements and equipment; set forth disciplinary 
regulations; establish physical and information security guidelines; 
and define the ISS Commander's authority and responsibility, on behalf 
of all the Partners, to enforce safety procedures, physical and 
information security procedures, and crew rescue procedures for the 
ISS.
    Consistent with the provisions of the IGA and MOU's, and in order 
to ensure that NASA-provided ISS crewmembers are apprised of and 
observe the ISS Crew Code of Conduct, this interim final rule 
establishes a requirement that each such crewmember observe the Code of 
Conduct for the ISS Crew. Certain NASA-provided ISS crewmembers are 
further required to enter into an agreement with NASA in which they 
agree to accept and be governed by the standards specified in the ISS 
Crew Code of Conduct. This requirement is in addition to other 
responsibilities to which certain ISS crewmembers may be subject, 
including obligations regarding Space Shuttle standards of conduct 
agreements. Nothing in the ISS Code of Conduct or this rule limits or 
modifies the rights and obligations of NASA-provided ISS crewmembers 
under the Constitution or laws of the United States.
    Additionally, this rule amends the title of 14 CFR part 1214, from 
``Space Shuttle'' to ``Space Flight,'' in order to more accurately 
reflect the scope of the provisions contained therein, including 
subpart 1214.4, as added by this rule.
    Since this action is administrative in nature and involves Agency 
policy management procedures, no public comment period is required.
    This rule is not subject to the requirements of the Regulatory 
Flexibility Act, since it will not exert a significant economic impact 
on a substantial number of small entities.
    This rule is not a major rule as defined in Executive Order 12866.

List of Subjects in 14 CFR Part 1214

    Code of conduct, Crewmembers, Exploration, Government employees, 
Government procurement, Security measures, Space transportation and 
exploration.

    For the reasons set out in the preamble, 14 CFR Chapter V is 
amended as follows:
    1. The title of Part 1214 is revised to read as follows:

PART 1214--SPACE FLIGHT

    2. Subpart 1214.4 is added to read as follows:

Subpart 1214.4--International Space Station Crew

Sec.
1214.400   Scope.
1214.401   Applicability.
1214.402   International Space Station crewmember responsibilities.
1214.403   Code of Conduct for the International Space Station Crew.
1214.404   Violations.

    Authority: 42 U.S.C. sections 2455, 2473, and 2475; 18 U.S.C. 
799.


Sec. 1214.400  Scope.

    (a) This subpart sets forth policy and procedures with respect to 
International Space Station crewmembers provided by NASA for flight to 
the International Space Station.
    (b) In order to provide for the safe operation, maintenance of 
order, and proper conduct of crew aboard the International Space 
Station, the January 29, 1998, Agreement Among the Government of 
Canada, Governments of Member States of the European Space Agency, the 
Government of Japan, the Government of the Russian Federation, and the 
Government of the United States of America Concerning Cooperation on 
the Civil International Space Station (hereinafter Agreement), which 
establishes and governs the International Space Station, requires the 
development and approval of a Code of Conduct for International Space 
Station crew. Pursuant to Article 11 of the Agreement, each 
International Space Station partner is obliged to ensure that 
crewmembers which it provides observe the Code of Conduct.


Sec. 1214.401  Applicability.

    This subpart applies to all persons provided by NASA for flight to 
the International Space Station, including U.S. Government employees, 
uniformed members of the Armed Services, U.S. citizens who are not 
employees of the U.S. Government, and foreign nationals.


Sec. 1214.402  International Space Station crewmember responsibilities.

    (a) All NASA-provided International Space Station crewmembers are 
subject to specified standards of conduct, including those prescribed 
in the Code of Conduct for the International Space Station Crew, set 
forth as Sec. 1214.403. NASA-provided International Space Station crew 
members may be subject to additional standards and requirements, as 
determined by NASA, which will be made available to those NASA-provided 
crewmembers, as appropriate.
    (1) NASA-provided International Space Station crewmembers who are 
not citizens of the United States will be required to enter into an 
agreement with NASA in which they agree to comply with specified 
standards of conduct, including those prescribed in the Code of Conduct 
for the International Space Station Crew (Sec. 1214.403). Any such 
agreement will be signed on behalf of NASA by the NASA General Counsel 
or designee.
    (2) NASA-provided International Space Station crewmembers who are 
citizens of the United States but are not employees of the U.S. 
Government will be required to enter into an agreement with NASA in 
which they agree to comply with specified standards of conduct, 
including those prescribed in the Code of Conduct for the International 
Space Station Crew (Sec. 1214.403). Any such agreement will be signed 
on behalf of NASA by the NASA General Counsel or designee.
    (3) NASA-provided International Space Station crewmembers who are 
employed by a branch, department, or agency of the U.S. Government may, 
as determined by the NASA General Counsel, be required to enter into an 
agreement with NASA to comply with specified standards of conduct, 
including those prescribed in the Code of Conduct for the International 
Space Station Crew (Sec. 1214.403). Any such agreement will be signed 
on behalf of

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NASA by the NASA General Counsel or designee.
    (b) All NASA-provided personnel on board the International Space 
Station are additionally subject to the authority of the International 
Space Station Commander and shall comply with Commander's orders and 
directions.


Sec. 1214.403  Code of Conduct for the International Space Station 
Crew.

    The Code of Conduct for the International Space Station Crew, which 
sets forth minimum standards for NASA-provided International Space 
Station crewmembers, is as follows:

Code of Conduct for the International Space Station Crew

I. Introduction

A. Authority

    This Code of Conduct for the International Space Station (ISS) 
crew, hereinafter referred to as Crew Code of Conduct (CCOC), is 
established pursuant to:
    (1) Article 11 (Crew) of the intergovernmental Agreement Among 
the Government of Canada, Governments of Member States of the 
European Space Agency, the Government of Japan, the Government of 
the Russian Federation, and the Government of the United States of 
America Concerning Cooperation on the Civil International Space 
Station (the IGA) signed by the Partner States on January 29, 1998; 
and
    (2) Article 11 (Space Station Crew) of the Memoranda of 
Understanding between, respectively, the National Aeronautics and 
Space Administration of the United States of America (NASA) and the 
Canadian Space Agency (CSA), NASA and the European Space Agency 
(ESA), NASA and the Government of Japan (GOJ), and NASA and the 
Russian Space Agency (RSA) Concerning Cooperation on the Civil 
International Space Station (the MOU's), which require, inter alia, 
that the crew Code of Conduct be developed by the partners.

B. Scope and Content

    The partners have developed and approved this CCOC to: establish 
a clear chain of command on-orbit; establish a clear relationship 
between ground and on-orbit management; and establish a management 
hierarchy; set forth standards for work and activities in space, 
and, as appropriate, on the ground; establish responsibilities with 
respect to elements and equipment; set forth disciplinary 
regulations; establish physical and information security guidelines; 
and define the ISS Commander's authority and responsibility, on 
behalf of all the partners, to enforce safety procedures, physical 
and information security procedures and crew rescue procedures for 
the ISS. This CCOC and the disciplinary policy referred to in 
Section IV shall not limit the application of Article 22 of the IGA. 
This CCOC succeeds the NASA-RSA Interim Code of Conduct, which was 
developed pursuant to Article 11.2 of the MOU between NASA and RSA 
to cover early assembly prior to other partners' flight 
opportunities.
    This CCOC sets forth the standards of conduct applicable to all 
ISS crewmembers during preflight, on-orbit, and post-flight 
activities, (including launch and return phases). ISS crewmembers 
are subject to additional requirements, such as the ISS Flight 
Rules, the disciplinary policy, and requirements imposed by their 
Cooperating Agency or those relating to the Earth-to-Orbit Vehicle 
(ETOV) transporting an ISS crewmember. Each ISS crewmember has a 
right to know about such additional requirements. ISS crewmembers 
will also abide by the rules of the institution hosting the 
training, and by standards and requirements defined by the 
Multilateral Crew Operations Panel (MCOP), the Multilateral Space 
Medicine Board (MSMB) and the Multilateral Medical Operations Panel 
(MMOP). Each ISS crewmember will be informed by the Cooperating 
Agency providing him or her of the responsibilities of ISS 
crewmembers under the IGA, the MOU's and this CCOC. Further, each 
ISS crewmember will be educated by the Cooperating Agency providing 
him or her through the crew training curriculum and normal program 
operations as to ISS program rules, operational directives and 
management policies. Completion of postflight activities shall not 
affect an ISS crewmember's continuing obligations under Section V of 
this CCOC.

C. Definitions

    For the purposes of the CCOC:
    (1) ``Cooperating Agency'' means NASA, CSA, ESA, Rosaviakosmos 
(formerly RSA) and, in the case of Japan, the Science and Technology 
Agency of Japan (STA) and, as appropriate, the National Space 
Development Agency of Japan (NASDA), assisting agency to STA.
    (2) ``Crew Surgeon'' means a Flight Surgeon assigned by the MMOP 
to any given expedition. He or she is the lead medical officer and 
carries primary responsibility for the health and well-being of the 
entire ISS crew.
    (3) ``Disciplinary policy'' means the policy developed by the 
MCOP to address violations of the CCOC and impose disciplinary 
measures.
    (4) ``ETOV'' means Earth-to-Orbit Vehicle travelling between 
Earth and the ISS.
    (5) ``Flight Director'' means the Flight Director in control of 
the ISS.
    (6) ``Flight Rules'' means the set of rules used by the 
Cooperating Agencies to govern flight operations.
    (7) ``ISS crewmembers'' means any person approved for flight to 
the ISS, including both ISS expedition crew and visiting crew, 
beginning upon assignment to the crew for a specific and ending upon 
completion of the postflight activities related to the mission.

II. General Standards

A. Responsibilities of ISS Crewmembers

    ISS Crewmembers shall comply with the CCOC. Accordingly, during 
preflight, on-orbit, and postflight activities, they shall comply 
with the ISS Commander's orders, all Flight and ISS program Rules, 
operational directives, and management policies, as applicable. 
These include those related to safety, health, well-being, security, 
and other operational or management matters governing all aspects of 
ISS elements, equipment, payloads and facilities, and non-ISS 
facilities, to which they have access. All applicable rules, 
regulations, directives, and policies shall be made accessible to 
ISS crewmembers through appropriate means, coordinated by the MCOP.

B. General Rules of Conduct

    ISS Crewmembers' conduct shall be such as to maintain a 
harmonious and cohesive relationship among the ISS crewmembers and 
an appropriate level of mutual confidence and respect through an 
interactive, participative, and relationship-oriented approach which 
duly takes into account the international and multicultural nature 
of the crew and mission.
    No ISS crewmember shall, by his or her conduct, act in a manner 
which results in or creates the appearance of: (1) Giving undue 
preferential treatment to any person or entity in the performance of 
ISS activities; and/or (2) adversely affecting the confidence of the 
public in the integrity of, or reflecting unfavorably in a public 
forum on, any ISS partner, partner state or Cooperating Agency.
    ISS crewmembers shall protect and conserve all property to which 
they have access for ISS activities. No such property shall be 
altered or removed for any purpose other than those necessary for 
the performance of ISS duties. Before altering or removing any such 
property, ISS crewmembers shall first obtain authorization from the 
Flight Director, except as necessary to ensure the immediate safety 
of ISS crewmembers or ISS elements, equipment, or payloads.

C. Use of Position

    ISS crewmembers shall refrain from any use of the position of 
ISS crewmember that is motivated, or has the appearance of being 
motivated, by private gain, including financial gain, for himself or 
herself or other persons or entities. Performance of ISS duties 
shall not be considered to be motivated by private gain. 
Furthermore, no ISS crewmember shall use the position of ISS 
crewmember in any way to coerce, or give the appearance of coercing, 
another person to provide any financial benefit to himself or 
herself or other persons or entities.

D. Mementos and Personal Effects

    Each ISS crewmember may carry and store mementos, including 
flags, patches, insignia, and similar small items of minor value, 
onboard the ISS, for his or her private use, subject to the 
following:
    (1) mementos are permitted as a courtesy, not an entitlement; as 
such they shall be considered as ballast as opposed to a payload or 
mission requirement and are subject to manifest limitations, on-
orbit stowage allocations, and safety considerations;
    (2) mementos may not be sold, transferred for sale, used or 
transferred for personal gain, or used or transferred for any 
commercial or fundraising purpose. Mementos which, by their nature, 
lend themselves to exploitation by the recipients, or which, in the 
opinion of the Cooperating Agency providing the ISS

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crewmember, engender questions as to good taste, will not be 
permitted.
    An ISS crewmember's personal effects, such as a wristwatch, will 
not be considered mementos. Personal effects of any nature may be 
permitted, subject to constraints of mass/volume allowances for crew 
personal effects, approval of the ISS crewmember's Cooperating 
Agency, and approval of the transporting Cooperating Agency and 
considerations of safety and good taste.
    If a Cooperating Agency carries and stores items onboard the ISS 
in connection with separate arrangements, these items will not be 
considered mementos of the ISS crewmembers.

III. Authority and Responsibilities of the ISS Commander, Chain of 
Command and Succession Onorbit; Relationship Between Ground and On-
Orbit Management

A. Authority and Responsibilities of the ISS Commander

    The ISS Commander, as an ISS crewmember, is subject to the 
standards detailed elsewhere in this CCOC, in addition to the 
command-specific provisions set forth below:
    The ISS Commander will seek to maintain a harmonious and 
cohesive relationship among the ISS crewmembers and an appropriate 
level of mutual confidence and respect through an interactive, 
participative, and relationship-oriented approach which duly takes 
into account the international and multicultural nature of the crew 
and mission.
    For avoidance of doubt, nothing in this Section shall affect the 
ability of the MCOP to designate the national of any Partner State 
as an ISS Commander.

(1) During Preflight and Postflight Activities

    The ISS Commander is the leader of the crew and is responsible 
for forming the individual ISS crewmembers into a single, integrated 
team. During preflight activities, the ISS Commander, to the extent 
of his or her authority, leads the ISS crewmembers through the 
training curriculum and mission-preparation activities and seeks to 
ensure that the ISS crewmembers are adequately prepared for the 
mission, acting as the crew's representative to the ISS program's 
training, medical, operations, and utilization authorities. During 
postflight activities, the ISS Commander coordinates as necessary 
with these authorities to ensure that the ISS crewmembers complete 
the required postflight activities.

(2) During On-Orbit Operations

(a) General

    The ISS Commander is responsible for and will, to the extent of 
his or her authority and the ISS on-orbit capabilities, accomplish 
the mission program implementation and ensure the safety of the ISS 
crewmembers and the protection of the ISS elements, equipment, or 
payloads.

(b) Main Responsibilities

    The ISS Commander's main responsibilities are to: (1) Conduct 
operations in or on the ISS as directed by the Flight Director and 
in accordance with the Flight Rules, plans and procedures; (2) 
direct the activities of the ISS crewmembers as a single, integrated 
team to ensure the successful completion of the mission; (3) fully 
and accurately inform the Flight Director, in a timely manner, of 
the ISS vehicle configuration, status, commanding, and other 
operational activities on-board (including off-nominal or emergency 
situations); (4) enforce procedures for the physical and information 
security of operations and utilization data; (5) maintain order; (6) 
ensure crew safety, health and well-being including crew rescue and 
return; and (7) take all reasonable action necessary for the 
protection of the ISS elements, equipment, or payloads.

(c) Scope of Authority

    During all phases of on-orbit activity, the ISS Commander, 
consistent with the authority of the Flight Director, shall have the 
authority to use any reasonable and necessary means to fulfill his 
or her responsibilities. This authority, which shall be exercised 
consistent with the provisions of Sections II and IV, extends to: 
(1) the ISS elements, equipment, and payloads; (2) the ISS 
crewmembers; (3) activities of any kind occurring in or on the ISS; 
and (4) data and personal effects in or on the ISS where necessary 
to protect the safety and well-being of the ISS crewmembers and the 
ISS elements, equipment, and payloads. Any matter outside the ISS 
Commander's authority shall be within the purview of the Flight 
Director.
    Issues regarding the Commander's use of such authority shall be 
referred to the Flight Director as soon as practicable, who will 
refer the matter to appropriate authorities for further handling. 
Although other ISS crewmembers may have authority over and 
responsibility for certain ISS elements, equipment, payloads, or 
tasks, the ISS Commander remains ultimately responsible, and solely 
accountable, to the Flight Director for the successful completion of 
the activities and the mission.

B. Chain of Command and Succession On-orbit

    (1) The ISS Commander is the highest authority among the ISS 
crewmembers on-orbit. The MCOP will determine the order of 
succession among the ISS crewmembers in advance of flight, and the 
Flight Rules set forth the implementation of a change of command.
    (2) Relationship of the ISS Commander to ETOV and Other 
Commanders
    The Flight Rules define the authority of the ETOV Commander, the 
Rescue Vehicle Commander, and any other commanders, and set forth 
the relationship between their respective authorities and the 
authority of the ISS Commander.

C. Relationship Between the ISS Commander (On-Orbit Management) and 
the Flight Director (Ground Management)

    The Flight Director is responsible for directing the mission. A 
Flight Director will be in charge of directing real-time ISS 
operations at all time. The ISS Commander, working under the 
direction of the Flight Director and in accordance with the Flight 
Rules, is responsible for conducting on-orbit operations in the 
manner best suited to the effective implementation of the mission. 
The ISS Commander, acting on his or her own authority, is entitled 
to change the daily routine of the ISS crewmembers where necessary 
to address contingencies, perform urgent work associated with crew 
safety and the protection of the ISS elements, equipment or 
payloads, or conduct critical flight operations. Otherwise, the ISS 
Commander should implement the mission as directed by the Flight 
Director. Specific roles and responsibilities of the ISS Commander 
and the Flight Director are described in the Flight Rules. The 
Flight Rules outline decisions planned in advance of the mission and 
are designed to minimize the amount of real-time discussion required 
during mission operations.

IV. Disciplinary Regulations

    ISS crewmembers will be subject to the disciplinary policy 
developed and revised as necessary by the MCOP and approved by the 
Multilateral Coordination Board (MCB). The MCOP has developed an 
initial disciplinary policy which has been approved by the MCB. The 
disciplinary policy is designed to maintain order among the ISS 
crewmembers during preflight, on-orbit and postflight activities. 
The disciplinary policy is administrative in nature and is intended 
to address violations of the CCOC. Such violations may, inter alia, 
affect flight assignments as an ISS crewmember. The disciplinary 
policy does not limit a Cooperating Agency's right to apply relevant 
laws, regulations, policies, and procedures to the ISS crewmembers 
it provides, consistent with the IGA and the MOU's.

V. Physical and Information Security Guidelines

    The use of all equipment and goods to which ISS crewmembers have 
access shall be limited to the performance of ISS duties. Marked or 
otherwise identified as export controlled data and marked 
proprietary data obtained by an ISS crewmember in the course of ISS 
activities shall only be used in the performance of his or her ISS 
duties. With respect to data first generated on-board the ISS, the 
ISS crewmembers will be advised by the appropriate Cooperating 
Agency or by the data owner or provider through that Cooperating 
Agency as to the proprietary or export-controlled nature of the data 
and will be directed to mark and protect such data and to continue 
such protection for as long as the requirements for such protection 
remain in place. Additionally, ISS crewmembers shall act in a manner 
consistent with the provisions of the IGA and the MOU's regarding 
protection of operations data, utilization data, and the 
intellectual property of ISS users. They shall also comply with 
applicable ISS program rules, operational directives, and management 
policies designed to further such protections.
    Personal information about ISS crewmembers, including all 
medical information, private family conference, or other private 
information, whether from verbal, written, or electronic sources, 
shall not be used or disclosed by other ISS crewmembers for any 
purpose, without the consent of the affected ISS crewmember,

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except as required for the immediate safety of ISS crewmembers or 
the protection of ISS elements, equipment, or payloads. In 
particular, all personal medical information, whether derived from 
medical monitoring, investigations, or medical contingency events, 
shall be treated as private medical information and shall be 
transmitted in a private and secure fashion in accordance with 
procedures to be set forth by the MMOP. Medical data which must be 
handled in this fashion includes, for example, biomedical telemetry, 
private medical communications, and medical investigation data. 
Nothing in this paragraph shall be interpreted to limit an ISS 
crewmember's access to all medical resources aboard the ISS, to 
ground-based medical support services, or to his or her own medical 
data during preflight, on-orbit, and postflight activities.

VI. Protection of Human Research Subjects

    No research on human subjects shall be conducted which could, 
with reasonable foresight, be expected to jeopardize the life, 
health, physical integrity, or safety of the subject.
    No research procedures shall be undertaken with any ISS 
crewmember as a human subject without: (1) written approval by the 
Human Research Multilateral Review Board (HRMRB) and (2) the full 
written and informed consent of the human subject. Each such 
approval and consent shall be obtained prior to the initiation of 
such research, and shall fully comply with the requirements of the 
HRMRB. The HRMRB is responsible for procedures for initiation of new 
experiments on-orbit when all consent requirements have been met, 
but the signature of the human subject cannot be obtained; explicit 
consent of the human subject will nonetheless be required in all 
such cases. Subjects volunteering for human research protocols may 
at their own discretion, and without providing a rationale, withdraw 
their consent for participation at any time, without prejudice, and 
without incurring disciplinary action. In addition, approval or 
consent for any research may be revoked at any time, including after 
the commencement of the research, by: the HRMRB, the Crew Surgeon, 
the Flight Director, or the ISS Commander, as appropriate, if the 
research would endanger the ISS Crew Member or otherwise threaten 
the mission success. A decision to revoke consent by the human 
subject or approval by the other entities listed above will be 
final.


Sec. 1214.404  Violations.

    This subpart is a regulation within the meaning of 18 U.S.C. 799, 
and whoever willfully violates, attempts to violate, or conspires to 
violate any provision of this subpart or any order or direction issued 
under this subpart may be cited for violating title 18 of the U.S. Code 
and could be fined or imprisoned not more than 1 year, or both.

Daniel S. Goldin,
Administrator.
[FR Doc. 00-32381 Filed 12-20-00; 8:45 am]
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