Document ID: EPA-HQ-OECA-2010-0291-0003
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2010-09-13T04:00Z

INFORMATION COLLECTION REQUEST

SUPPORTING STATEMENT

FOR

State Review Framework

August 24, 2010

U.S. Environmental Protection Agency

Office of Compliance

TABLE OF CONTENTS

Part A

1.	IDENTIFICATION OF THE INFORMATION COLLECTION

	1(a)	Title of the Information Collection

	1(b)	Short Characterization/Abstract

2.	NEED FOR AND USE OF THE COLLECTION

	2(a)	Need/Authority for the Collection

	2(b)	Practical Utility/Users of the Data

3.	NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

	3(a)	Nonduplication

	3(b)	Public Notice Required Prior to ICR Submission to OMB

	3(c)	Consultations

	3(d)	Effects of Less Frequent Data Collection

	3(e)	General Guidelines

	3(f)	Confidentiality

	3(g)	Sensitive Questions

4.	THE RESPONDENTS AND THE INFORMATION REQUESTED

	4(a)	Respondents/SIC Codes

	4(b)	Information Requested

5.	THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION METHODOLOGY,
AND INFORMATION MANAGEMENT

	5(a)	Agency Activities

	5(b)	Collection Methodology and Management

	5(c)	Small Entity Flexibility

	5(d)	Collection Schedule

6.	ESTIMATING THE BURDEN AND COST OF THE COLLECTION

	6(a)	Estimating Respondent Burden

	6(b)	Estimating Government Burden

	6(c)	Bottom Line Burden and Cost Table

	6(d)	Reasons for Change of Burden

	6(e)	Burden Statement

Part B

This part is not applicable because no statistical methods were used in
collecting this information.

Part A

1.	IDENTIFICATION OF THE INFORMATION COLLECTION

	1(a)	Title of the Information Collection

ICR:	 State Review Framework (EPA ICR Number 2185.04)

OMB Control Number: N/A

“State Review Framework”

	1(b)	Short Characterization/Abstract

	The State Review Framework (“Framework”) is an oversight tool
designed to assess state performance in enforcement and compliance
assurance.  The Framework’s goal is to evaluate state performance by
examining existing data to provide a consistent level of oversight and
develop a uniform mechanism by which EPA Regions, working
collaboratively with their states, can ensure that state environmental
agencies are consistently implementing the national compliance and
enforcement program in order to meet agreed-upon goals and standards. 
Furthermore, the Framework is designed to foster dialogue on enforcement
and compliance performance between the states that will enhance
relationships and increase feedback, which will in turn lead to
consistent program management and improved environmental results. 

	Specifically, the Framework is a structured process that provides
critical information on a state’s (or Region’s, for states with
EPA-implemented programs) core enforcement and compliance assurance
performance by employing existing data available in EPA’s existing
national databases and presented in management reports for each state. 
No new data collection is required for the national databases.  Data
from national databases is complimented by data obtained through file
reviews of a state environmental agency’s compliance and enforcement
files.  No new data is required in these files; however, they are
reviewed to ensure proper and adequate documentation.  

	The Framework process asks regions, states and local governments to
examine the existing data described above in three core programs: Clean
Air Act (“CAA”), Stationary Sources; Clean Water Act (“CWA”),
National Pollutant Discharge Elimination System (“NPDES”); and
Resource Conservation and Recovery Act (“RCRA”), Subtitle C.  The
Framework process looks at thirteen (13) elements.  The EPA evaluates
the twelve (12) primary elements, and a thirteenth optional element,
using data and file review metrics that require no new reporting burden.
 The utility of the Framework’s metrics and the Implementation Guide
are a direct result of the collaboration between states, Regions,
Headquarters, and environmental leaders.  These stakeholders provided
extensive input and comments which helped to shape the Framework.  OECA
completed evaluations of pilot and full implementation stages of the
review process, which included input from the pilot states.  The results
of these evaluations have been used to improve the Framework and further
ensure that it is narrowly crafted and only collects information that
satisfies the Agency’s needs.

The thirteen (13) elements mentioned above are: (1) Degree to which data
in national system reflect regulated universes, state activities, and
compliance monitoring findings; (2) Degree to which data reported into
the national system is accurately entered and maintained (example,
correct codes used, dates are correct, etc.). (3) Degree to which
required data was entered into the national database in a timely manner;
(4) Degree to which all enforcement/compliance commitments in relevant
agreements (i.e., PPAs, PPGs, categorical grants, CMS plans,
authorization agreements, etc.) are met and any products or projects are
completed; (5) Degree to which state completed the universe of planned
inspections/compliance evaluations (addressing core requirements and
federal, state and regional priorities); (6) Degree to which inspection
or compliance evaluation reports properly document observations, are
completed in a timely manner, and include accurate description of
observations; (7) Degree to which compliance determinations are
accurately made and promptly reported in the national database based
upon compliance monitoring report observations and other compliance
monitoring information (e.g., facility-reported information); (8) Degree
to which the state accurately identifies significant noncompliance/high
priority violations and enters information into the national system in a
timely manner; (9) Degree to which state enforcement actions include
required corrective action (i.e., injunctive relief or other complying
actions) that will return facilities to compliance in a specific time
frame; (10) Degree to which a state takes timely and appropriate
enforcement actions in accordance with policy relating to specific
media; (11) Degree to which state documents in its files that initial
penalty calculation includes both gravity and economic benefit
calculations, appropriately using the BEN model or other method that
produces results consistent with national policy; (12) Degree to which
differences between initial and final penalty are documented in the file
along with a demonstration in the file that the final penalty was
collected; and (13) (Optional) Other program activities (e.g., using
outcome data, compliance assistance, self-disclosure programs,
innovative approaches, etc.).  In the interest of accuracy and
efficiency, the Framework also includes a five-step protocol for
managing the process: (1) pre-review; (2) offsite review; (3) onsite
review; (4) drafting of the report; and (5) composing the final report
and follow-up.  After reviewing the level of performance based on the
metrics developed under the 12 required performance elements, and other
information collected in the review process, EPA will determine if a
state or Region meets minimum performance levels.

2.	NEED FOR AND USE OF THE COLLECTION

	2(a)	Need/Authority for the Collection

The purpose of this collection is to assess state performance in core
enforcement and compliance assurance programs.  The goals are to provide
a consistent level of oversight and develop a uniform mechanism by which
EPA Regions, working collaboratively with their states, can ensure that
state environmental agencies are meeting agreed-upon goals.  It is
important to note that all data requested by this collection is
currently in EPA’s or the state’s databases and enforcement and
compliance files.  No additional monitoring or sampling will be required
by this ICR. 

While the data that the Agency will collect is pre-existing, the Agency
is permitted to review the states’ Clean Air Act, Stationary Source
program, the Solid Waste Disposal Act, Subtitle C program, and the Clean
Water Act, National Pollutant Discharge Elimination System permit
program to ensure minimum performance levels are met.  The Agency’s
oversight authority for the aforementioned programs are:

(1) Clean Air Act, Stationary Source program:

Section 114 allows collection of information from states.  Specifically,
the collection of the requested information is authorized by 40 CFR
70.4(j)(1), which states that “[a]ny information obtained or used in
the administration of a State program shall be available to EPA upon
request without restriction and in a form specified by the
Administrator, including computer-readable files to the extent
practicable,” and 40 CFR 70.10(c)(1)(iii), which addresses EPA
oversight of State and local agencies’ compliance and enforcement
efforts for major sources under Title V operating permit programs.

(2) Solid Waste Disposal Act, Subtitle C program:

The Act refers to activities at companies that generate hazardous waste.
 At §3007, the Agency is permitted to have access to and request
records regarding hazardous waste generating activities.   Additionally,
40 CFR 271.17(a) authorizes EPA, upon request without restriction,
access to “[a]ny information obtained or used in the administration of
a State program.”

(3) Clean Water Act, NPDES program:

The Act refers to activities involving the discharge of materials into
waters of the United States.  At §308, the Agency is permitted to
review records to determine compliance with effluent limitations or
treatment performance standards.  Further, the NPDES state program
regulations provide that   “[a]ny information obtained or used in the
administration of a State program shall be available to EPA upon request
without restriction."  40 CFR 123.41.  Also, 40 CFR 123.43 requires
states to provide EPA with information on NPDES program implementation.

The information collected through this ICR will aid the Agency in
achieving EPA’s Strategic Plan goal to increase compliance and
environmental stewardship.  This goal was developed in response to the
1993 Government Performance and Results Act and is described in EPA’s
2006 - 2011 Strategic Plan, Goal 5, “Compliance and Environmental
Stewardship.”

	2(b)	Practical Utility/Users of the Data

EPA will use the data obtained from the collection to determine if a
state or Region meets minimum performance levels.  Such a determination
is necessary to recognize states that are performing well and to provide
assistance to states that are not meeting minimum performance levels.

3.	NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

	3(a)	Nonduplication

The information to be obtained under this ICR has not been collected by
EPA or any other federal agency. 

	3(b)	Public Notice Required Prior to ICR Submission

On April 14, 2010, EPA published a pre-ICR Federal Register Notice
announcing its intent to request to renew an existing approved ICR for
the State Review Framework to OMB.  Attachment A includes a copy of this
Federal Register Notice.  EPA received no comments to the Federal
Register Notice.

	3(c)	Consultations    

EPA consulted with several key state and media associations in the
course of developing the State Review Framework.  The leadership and
membership of these organizations were instrumental in helping OECA
develop the initial concept for the State Review Framework, in working
to develop the main components and metrics, completing pilot projects
and providing input into its evaluation.  These associations are:

ECOS

ASIWPCA

ASTSWMO

STAPPA/ALAPCO

The main contacts with these organizations are: 

Environmental Council of States (ECOS)

Steve Thompson

Executive Director

Oklahoma Department of Environmental Quality

405-702-7163

President of ECOS

Carolyn Hanson

Deputy Executive Director

ECOS

202-624-3665

Association of State and Interstate Water Pollution Control
Administrators (ASIWPCA)

Linda Eichmiller

Executive Director

ASIWPCA

Washington, DC

202-756-0600

Association of State and Territorial Solid Waste Management Officials
(ASTSWMO)

Dania Rodriguez

Deputy Executive Director

ASTSWMO

202-624-5973

National Association of Clean Air Agencies (NACAA)

Misti Duvall

Staff Associate

444 North Capital St NW, Suite 307

Washington, DC 20001

202-624-7864

  HYPERLINK "mailto:mduvall@4cleanair.org"  mduvall@4cleanair.org 

Eddie Terrill

NACAA Co-Chair, Enforcement & Compliance Committee

405-702-4155

  HYPERLINK "mailto:Eddie.terrill@deq.ok.gov"  Eddie.terrill@deq.ok.gov 

Richard Stedman

NACAA Co-Chair, Enforcement & Compliance Committee

360-586-1044

  HYPERLINK "mailto:rstedman@mbuapcd.org"  rstedman@mbuapcd.org 

	3(d)	Effects of Less Frequent Data Collection

Each respondent will report only one time every four years.

	3(e)	General Guidelines

This information collection is consistent with OMB guidelines contained
in 5 CFR 1320.5(d)(2).

	3(f)	Confidentiality

Any information submitted to the Agency for which a claim of
confidentiality is made will be safeguarded according to the Agency
policies set forth in Title 40, chapter 1, part 2, subpart B -
Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902,
September 1, 1976; amended by 43 FR 40000, September 8, 1978; 43 FR
42251, September 20, 1978; 44 FR 17674, March 23, 1979).

	3(g)	Sensitive Questions

The collection in this ICR does not contain any sensitive questions.

4.	THE RESPONDENTS AND THE INFORMATION REQUESTED

	4(a)	Respondents and SIC Codes

Respondents potentially affected by this action are 10 EPA Regional
Offices, 50 States, 4 Territories, and 40 Local Agencies.  Based on our
experience, we believe the true number of  respondents for this ICR will
primarily be 10 EPA Regional Offices, fifty (50) states and 4 (four)
territories.  There are no SIC codes for the Respondents.

	4(b)	Information Requested

		(i) Data items, including recordkeeping requirements

The State Review Framework requests information on the contribution of
state enforcement activities to federally delegated programs.  There are
no recordkeeping requirements associated with this collection. 

The collection process will compile information on the state’s
enforcement and compliance activities, including inspection coverage,
enforcement timeliness and appropriateness, penalty calculations and
fines collected, and data quality, accuracy and completeness.  

		(ii) Respondent Activities

Respondent will engage in the following activities during the Framework
process:

1. Pre-Review and Offsite Review

Review elements and metrics

Train/brief state staff & managers on review substance and process.

Collect files, policies, data sets, reports, and review and correct the
national data.

2. Onsite Review

Participate in kick-off meeting.

Assist/facilitate EPA review of files and data sets

Participate in discussion of program with EPA

3. Report Drafting

Review and comment on draft report

4. Coordination of Parts 1, 2 & 3

Coordination of review with the state agency

Coordination of the review within EPA

5.	THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION METHODOLOGY,
AND INFORMATION MANAGEMENT

	5(a)	Agency Activities

Agency activities associated with the State Review Framework consist of
the following:

(1) Review elements and metrics

(2) Train/brief state staff & managers on review substance and process

(3) Collect files, policies, data sets, reports, and review and correct
the national data.

(4) Participate in kick-off meeting.

(5) Assist/facilitate EPA review of files and data sets

(6) Participate in discussion of program with EPA

(7) Review and comment on draft report

(8) Coordination of review with the state agency

(9) Coordination of the review within EPA

	5(b)	Collection Methodology and Management 

The Agency will provide respondents with guidelines and training for
conducting the review that will ensure a consistent approach to the
reviews.  Over the course of the review process the Agency will work
with the states and provide assistance as necessary.  All of the state
reports will be submitted electronically.  National data used to assess
state performance already resides in various EPA databases.  These data
are covered by other Information Collection Requests or regulatory
language.  Additional data will come from the review of state inspection
and enforcement files, which is the data that are to be collected based
on this request.

	5(c)	Small Entity Flexibility

Small entities will not be affected as the collection will only be
completed by EPA Regions, States and territories.

	5(d)	Collection Schedule

Each Respondent will complete the four-step protocol for managing the
process one time every four years: (1) pre-review and offsite review,
including a review and correction of the data of the national data; (3)
onsite review; (4) drafting of the report; and (5) composing the final
report and follow-up.  In the initial year, twenty (20) states are
scheduled to complete the review process.  In the second year another
twenty (20) states are scheduled with the remaining ten states
completing the review process in year three.

6.	ESTIMATING THE BURDEN AND COST OF THE COLLECTION

	6(a)	Estimating Respondent Burden and Costs

The estimated total hour burden for response is 612 hours per
respondent.  This burden hour estimate translates to a cost of
$21,852.38 per entity that voluntarily completes the survey resulting in
the total of $1,180,028.52.  There is no recurring respondent burden
associated with this ICR.  No capital or operations and maintenance
costs are incurred by respondents under this ICR.

	The labor costs in the following table are based on the following
average labor rates:

		Legal:		$38.89   (State Government Lawyer)

		Managerial:	$36.98   (State Managers)

		Technical:	$35.82   (Math and Science)

		Clerical:	$15.49   (Office and Administrative Support)

These rates are from the United States Department of Labor’s, Bureau
of Labor Statistics, “May 2008 National Occupational Employment and
Wage Estimates,” http://www.bls.gov/oes/2008/may/naics4_999200.htm

http://www.bls.gov/oes/current/oes150000.htm

http://www.bls.gov/OES/current/oes430000.htm.

Table 1.  Respondents’ Burden and Costs

Information Collection

Activity	Legal

$38.89/

hour

	Man.

$36.98/

hour

	Tech.

$35.82/

hour	Cler.

$15.49/

hour	Cap./

Start-up cost	Oper. 

and 

Maint.

 (O&M cost)

1. Pre-Review and Offsite Review

Review elements and metrics and prepare data discrepancy response	6.5
56.17	96.92	0	$0.0	$0.0

Train/brief state staff & managers on review substance and process.	2
23.42	31.17	0	$0.0	$0.0

Collect files, policies, data sets, reports etc.  	1.67	20.83	46.58
19.83	$0.0	$0.0

2. Onsite Review

Participate in kick-off meeting.	2.83	20.17	9.33	0	$0.0	$0.0

Assist/facilitate EPA review of files and data sets	.67	33.75	57.58	0
$0.0	$0.0

Participate in discussion of program with EPA	2	22.33	23.67	0	$0.0	$0.0

3. Report Drafting

Review and comment on draft report	1.5	45.33	35.33	0	$0.0	$0.0

4. Coordination of 

Parts 1, 2 & 3

Coordination of review with the state agency	0	12	18.33	0	$0.0	$0.0

Coordination of the review within EPA	0	8.23	13.83	0	$0.0	$0.0

TOTAL HOURS/Respondent

	17.17 

($38.89)	242.2

($36.98)	332.8

($35.82)	19.83

($15.49)

LABOR COST/Respondent	$667.75

	$8,956.56	$11,920.90	$307.17

No. of Respondents: 54	Total hours: 612/Respondent x 54 Respondents =
33,048 over 3 years or 11,016 annually	Total Cost: $21,852.38/Respondent
x 54 respondents = $1,180,028.52 over 3 years or  $393,342.84 annually

	6(b)	Estimating Agency Burden

EPA Regions I through X will participate in the State Review Framework
process and the following table details the hour and cost burden per
region. These rates are from the Office of Personnel Management (OPM)
“2010 General Schedule” which excludes locality rates of pay.

	The cost for the Regional table (Table 2) is based on the average
hourly labor rate as follows:

Legal		$45.99   (GS-14, Step 5) 

		Managerial	$38.92   (GS-13, Step 5) 

Technical	$28.88   (GS-12, Step 1) 

Clerical	$15.63   (GS-6,   Step 3)

	The cost for the Headquarters table (Table 3) is based on the average
hourly labor rate as follows:

Legal		$57.13   (GS-14, Step 5)

		Managerial	$48.35   (GS-13, Step 5)

Technical	$35.88   (GS-12, Step 1)

Clerical	$19.41   (GS-6,   Step 3)

	These rates are from the Office of Personnel Management (OPM) “2010
General Schedule” and includes the locality payment for the Washington
D.C. area.



Table 2. Agency Burden and Cost (per Region)

Information Collection

Activity	Legal

$45.99/

hour

	Man.

$38.92/

hour

	Tech.

$28.88

/hour	Cler.

$15.63/

hour	Capital/

Start-up cost	Oper. and Maint. (O&M cost)

1. Pre-Review and Offsite Review

Review elements and metrics and prepare data discrepancy response	0	6.25
32.25	0	0	0

Train/brief state staff & managers on review substance and process.	0	11
20.25	0	0	0

Collect files, policies, data sets, reports etc.  	0	4	19.25	0	0	0

2. Onsite Review

Participate in kick-off meeting.	.75	3	9	0	0	0

Assist/facilitate on-site review of files and data sets	0	29.5	127.5	0	0
0

Participate in discussion of program with state	0	3	12	0	0	0

3. Report Drafting

Review and comment on draft report	0	21.5	81	0	0	0

4. Coordination of Parts 1, 2 & 3

Coordination of review with the state agency	0	2.89	11	0	0	0

Coordination of the review within EPA

	0	2.33	17	0	0	0

Total Agency hours	0.75	73.47	329.25	0	0.0	0.0

Total Agency costs	34.49	$2,859.45	$9,508.74	$0	0.0	0.0

TOTAL REGIONAL AGENCY HOURS:     403.47 (x 10 Regions =  4034.7)

TOTAL REGIONAL AGENCY COST:    $12,402.68 x 10 Regions = $124,026.80)

Table 3. Agency Burden and Cost (Headquarters)

Information Collection

Activity	Legal

$57.13/

hour

	Man.

$48.35/

hour

	Tech.

$35.88

/hour	Cler.

$19.41/

hour	Capital/

Start-up cost	Oper. and Maint. (O&M cost)

1. Pre-Review and Offsite Review

Train/brief state and region staff & managers on review substance and
process.	0	3	3	0	0	0

Collect files, policies, data sets, reports etc.  	0	0	2	5	0	0

2. Onsite Review

Participate in kick-off meeting.	1	1	1	0	0	0

Participate in discussion of the program with the Regions	5	5	10	0	0	0

3. Report Drafting

Review and comment on draft report	5	5	15	0	0	0

4. Coordination of Parts 1, 2 & 3

Coordination of the review within EPA	0	2	2	0	0	0

TOTAL

	11	16	33	5	0	0

TOTAL COST

	$628.43	$773.60	$1184.04	$97.05	0.0	0.0

TOTALS

   Hours: 65    Labor Cost: $2,683.12

	6(c) Bottom Line Burden Hours and Cost Tables

Table 4.  Total Estimated Respondent Burden and Cost Summary (over 3
years)

	No. of Respondents	No. of Activities	Total hours	Total Labor Costs
Total Capital and Start-up costs	Total Annual O&M costs

Respondent	54	9  	33,048	$1,180,028.52	$0.0	$0.0

Table 5. Total Estimated Agency Burden and Cost Summary 

	No.of Activities	Total hours	Total Labor Costs	Total Capital and
Start-up costs	Total Annual O&M costs

Regions	9	4,034.7 (for all ten regions)	$124,026.80 (for all ten
regions)	$0.0	$0.0

Headquarters	6	65	$2,683.12	$0.0	$0.0

	6(d)	Reasons for Changes in Burden

There has been no increase in the hours in the total estimated
respondent burden compared with that identified in the ICR currently
approved by OMB. There has been an increase in the cost in the total
estimated respondent burden based on rates from the Office of Personnel
Management (OPM) “2010 General Schedule.”

  	

	6(e)	Burden Statement

The average annual respondent burden for each state is 612 hours.  This
estimate includes time for (1) reviewing and correcting the national
data and the metrics; (2) training and briefing state staff & managers
on review substance and process; (3) collecting files, policies, data
sets, reports etc.; (4) participating in kick-off meetings; (5)
assisting/facilitating EPA review of files and data sets; (6)
participating in discussion of program with EPA; (7) reviewing and
commenting on draft report; (8) coordinating of review with the state
agency; and (9) coordinating of the review within EPA. There is no
record keeping burden for this collection as the State Review Framework
does not include record keeping requirements.  Burden means the total
time, effort, or financial resources expended by persons to generate,
maintain, retain, or disclose or provide information to or for a Federal
agency.  This includes the time needed to review instructions; develop,
acquire, install, and utilize technology and systems for the purposes of
collecting, validating, and verifying information, processing and
maintaining information, and disclosing and providing information;
adjust the existing ways to comply with any previously applicable
instructions and requirements; train personnel to be able to respond to
a collection of information; search data sources; complete and review
the collection of information; and transmit or otherwise disclose the
information.  

  SEQ CHAPTER \h \r 1 An agency may not conduct or sponsor, and a person
is not required to respond to, a collection of information unless it
displays a valid OMB Control Number.  The OMB Control Numbers for
EPA’s regulations are listed at 40 CFR part 9 and 48 CFR chapter 15.

  SEQ CHAPTER \h \r 1 To comment on the Agency's need for this
information, the accuracy of the provided burden estimates, and any
suggested methods for minimizing respondent burden, including the use of
automated collection techniques, EPA has established a public docket for
this ICR under Docket ID Number EPA-OECA-2010-0291, which is available
for public viewing at the Enforcement and Compliance Docket and
Information Center in the EPA Docket Center (EPA/DC), EPA West, Room
3334, 1301 Constitution Avenue, N.W., Washington, D.C.  The EPA Docket
Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday
through Friday, excluding legal holidays.  The telephone number for the
Reading Room is (202) 566-1744, and the telephone number for the OECA
Docket is (202) 566-1752.  An electronic version of the public docket is
available at http://www.regulations.gov.  Use http://www.regulations.gov
to submit or view public comments, to access the index listing of the
contents of the public docket, and to access those documents in the
public docket that are available electronically.  When in the system,
select “search,” then key in the Docket ID Number identified above. 
You can also send comments to the Office of Information and Regulatory
Affairs, Office of Management and Budget, 725 17th Street, N.W.,
Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include
the EPA Docket ID Number EPA-OECA-2010-0291 in any correspondence.

Part B of the Supporting Statement

	This part is not applicable because no statistical methods were used in
collecting this information.						

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