RESPONSE TO THE “BILL OF PARTICULARS” 53 full professors signed a petition seeking a vote of no confidence in President Selma Botman’s administration

. A few petitioners distributed a “Bill of Particulars” at the Portland faculty meeting on April 11, 2012. Some of these petitioners have publicly stated that the vote of no confidence should eventually lead to the removal of President Botman from office. In the interest of accuracy and truth, this document addresses each point raised by the “Bill of Particulars”. Generally, these points are composed either of misleading statements or statements directed at the wrong party. Many of these statements are related to policies established by the UMS, the BOT or caused by the economic exigencies at the University of Southern Maine and in the State of Maine at large. Because the process of change is complicated, the opposition to change and to specific changes make change slower and more difficult. Given the State of Maine’s financial circumstances and social changes, higher education, including the University of Southern Maine, must and should adjust. What follows is a response to individual points raised by the “Bill of Particulars” distributed by some of the petitioners at the Portland faculty meeting on April 11, 2012. o President Botman has not honored commitments she made to the Faculty Senate and the Board of Trustees in the implementation of the reorganization plan.

FALSE – This statement is vague and value-laden.

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Colleges have not been free to design their own internal organization.

FALSE – The faculty was involved in all aspects of the reorganization. In the case of the College of Arts, Humanities and Social Sciences, the approved plan was turned down by the Provost because AFUM had rejected it. In each College, faculty met to propose and discuss different models which were examined. Final decisions about models were made by the Deans of the Colleges and/or the Provost. o National or duly authorized internal searches for permanent deans of two new colleges were never held as promised. Rather, interim deans were made permanent without consultation with any stakeholders.

MISLEADING – The search for a Dean in the College of Arts & Sciences, now CAHS, resulted in a failure to hire. Lynn Kuzma was appointed to a 2 yr. fixed length term in accordance with the UMS policies. This term was extended for an additional term; a national search will be required at its conclusion. Andy Anderson was appointed to a 2 yr. fixed length term in accordance with the UMS policies. This term was extended for an additional term; a national search will be required at its conclusion.

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Two years after approval, reorganization is not fully implementation and approval by the Senate or Trustees. MISLEADING - The first stage of reorganization concluded with the endorsement of the Design Team’s model by the President, Provost, Faculty Senate, and Board of Trustees. The reconfiguration of the Departments was to follow. At the April 2011 Faculty Senate meeting, the faculty asked the Provost if they could make the reorganizational decisions. The Provost agreed, and thus the final decision was delayed, pending the conclusion of this work by the faculty. This is still in progress. The Provost listened to faculty and engaged a committee of the Faculty Senate to examine programs which graduate fewer than 5 students a year. This committee submitted their report to the Provost on April 10, 2012.

President Botman has filled numerous administrative positions, both academic and non-academic, without search. These include Provost, Deans, Chief Operating Officer, Chief Human Resources Officer. MISLEADING – Human Resources, at both USM and the U-Maine System, has a series of policies which must be followed. Depending on the position, local, regional or national searches must be conducted. All administrative positions are subject to the supervision and guidance of Human Resources, with the UMS either signing off or requiring action by the Board of Trustees for action. System policy provides for one or twoyear fixed length positions without search in compliance with local and U-M System oversight and guidance. Recent national searches have resulted in the hiring of permanent deans for the Lewiston-Auburn College, the College of Management and Human Service as well as a new Provost who takes over in July 2012.

President Botman created the high-level administrative position of Chief Operating Officer without appropriate BOT approval and twice filled it without search. FALSE – The BOT did approve the creation of the Chief Operating Officer position and the appointment of Katherine Greenleaf after a regional search. She assumed the position as an interim to replace Jim Schaffer, who stepped down to serve as interim dean of the new College of Management and Human Service.

Since President Botman’s arrival there has been a net transfer of over $1 million out of Academic Affairs and into other parts of the University. PARTIALLY FALSE / MISLEADING - As CFO Dick Campbell’s March presentation on the budget made clear, the base budget of Academic Affairs has gone from $66,061,274 (or 55.6% of the E&G base budget) in

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fiscal year 2009 to $69,316,386 (or 54 % of the E&G base budget) in fiscal year 2012, an increase of $3,2555,112. Although this change means that the Academic Affairs E&G budget is .8% lower in 2012, this decline results from the delay in the settlement of the union contracts and will change when they are settled. In fiscal year 2009, the Law School had a base budget of $6,763,992 (5.7% of the E&G base budget). This rose to 6.2% of the E&G base budget in fiscal year 2012, an increase of .5% since fiscal year 2009. As Dick Campbell also pointed out in March, all other operations included in the E&G base budget totaled $46,021,010 (38.7%) in fiscal year 2009. In fiscal year 2012, all other operations of the university now total $49,434,155 or 39.1% of the E&G base budget. This represents a 0.3% increase in the E&G base budget across four fiscal years. University budgets are complex, and comparisons across fiscal years are not easy. Budgets outside Academic Affairs include all sorts of operations that are critical for maintaining USM’s academic mission: buildings and grounds expenses, the Business Office and its functions, the Registrar’s Office, Student Recruitment, Marketing, Human Resources. This list is long, and this work is essential for the university to continue to function. Financial aid to students, which is included as part of the Operations budget, increased $837,015 from fiscal year 2009 to fiscal year 2012. Therefore, the assertion that 1 million dollars were transferred out of Academic Affairs shows a minimal grasp of complex university administration.

Since President Botman’s arrival, there has been a net decrease of 10 % (33 persons) in full-time faculty and a net decrease of 9% in total faculty. ○ Some departments have been reduced below the personnel needed for accreditation or sustainability, some by half their number. ○ Course offerings have been restricted in number, in diversity, in time and in location, reducing access. ○ Enrollments have suffered. FALSE -According to official UMS data which is reportedly annually, there were 375 full-time regular faculty in fall 2008; as of fall 2011, there were 372 full-time regular faculty. In fall 2007 there were 386 full-time regular faculty. The largest decline in number of faculty occurred between fall 2007, under Interim President Joe Wood, and fall 2008, President Botman’s first fall at USM. Since coming to USM, President Botman has continued to hire faculty. Programs such as Communications and Media Studies, Sports Management, History & Political Science, Music and Art have received new faculty lines since fall 2008, with 13 full-time faculty hires authorized this academic year. There are a total of 48 hires since President Botman came to USM. While some departments have lost people, other departments have meanwhile gained, which is why faculty ranks have not declined as much as some departments believe.

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The issue of accreditation does not impact every department at USM; however, faculty in Social Work and in Education (Exceptionality, Psy.D. Program) have expressed concern about the staffing and resources for their programs. In addition, if the Mechanical Engineering program were to seek accreditation, one or two additional faculty member would need to be hired. People are concerned that when their colleagues retire, they will not be replaced by tenure-track faculty. The Provost must consider such strategic issues such as rising or falling enrollments in various programs, the special needs of accredited programs, and the maintenance of essential academic areas when making decisions about which programs may receive authorization to hire faculty. Although some of the issues raised in the Bill of Particulars are legitimate, attributing the responsibility for these problems to the President is unwarranted.

While the faculty has shrunk, the number of executive-level administrators has grown. We now have: ○ President ○ Special Assistant to the President ○ Provost ○ Chief Financial Officer ○ Chief Human Resources Officer ○ Chief Operating Officer ○ Director of Institution Research ○ Executive Director of Public Affairs ○ Vice President for University Advancement ○ Chief Enrollment Management Officer ○ Chief Information Officer ○ Chief Student Affairs Officer All but the Provost are non-academic. FALSE -Except for the Chief Operating Officer and Director of Institutional Research, all of these administrative positions existed prior to the arrival of President Botman. It is not accurate to say that these are non-academic appointments since the role of the administration is to support the academic mission of the university. It would perhaps be more accurate to say that the purview of the Provost’s Office is Academic Affairs. A number of these titles have changed over the years. 1. Executive Assistant to the President William Wise held this full-time position during Robert Woodbury’s presidency (1979-1987) and during the first year of Patricia Plante’s presidency (1987-1988). President Patricia Plante named Bob Goettel as Assistant to the President in 1988-1989, although he also held a faculty appointment in Muskie. He also served in that capacity during the Pattenaude years, working as a part-time faculty member in the Muskie School as well. President Pattenaude appointed Judy Ryan as full-time Executive Assistant to the President in 2001, and she served until 2003.

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After her departure, Bob Goettel served as President Pattenaude’s Executive Assistant to the President. When Judy Ryan returned to USM in the fall of 2005, she did so as Vice President for Human Resources and University Planning. The job description included Executive Assistant to the President duties. Tim Stevens was hired in Fall 2008. Because of the recent interest in the pay increases covered in the press, we provide a history of the salary compensation for this position: Judy Ryan’s annual salary for this position (2001-2003) was $96,000. Bob Goettel’s salary in his final year in the President’s Office was $37,163.56 for a 15-hour-per-week appointment or $99,112 on an annualized basis. Judy Ryan was paid a salary of $108,5000 upon her return to USM in the fall of 2005. Tim Stevens was hired in Fall 2008 at a salary of $89,900, which remains his current salary. 2. Chief Financial Officer Although the title has changed, there has always been a Chief Budget Manager on the President’s staff, dating back to at least the 1980-1981 academic year. 3. Chief Human Resources Officer President Robert Woodbury appointed Beth I. Warren as Executive Director of Employee Relations in 1980. She served as a member of the President’s Executive Staff through the early months of President Pattenaude’s presidency. Kathleen Bouchard was appointed Executive Director and served until her retirement. President Pattenaude appointed Judy Ryan as Vice President for Human Resources and Planning in 2005. The head of Human Resources position has been titled Director of Human Resources, Vice President for Human Resources and is currently called the Chief Human Resources Officer. 4. Executive Director of Public Affairs When Bob Caswell came to USM in 1980, his predecessor Roger Snow reported to the President. That reporting relationship changed in 1982 with the appointment of Alyce O’Brien as Executive Director of University Relations. Caswell was a member of the senior staff as of 2000 under President Pattenaude. 5. Vice President for Advancement President Woodbury created the position of Executive Director of University Relations in 1982. President Plante changed it to Vice President for Development and External Affairs in 1987. President Pattenaude then changed it to Vice President for Advancement in 1996 when he appointed John Maestas to the position. Vincent Pellegrino and Beth Shorr also held this position during Pattenaude’s presidency. 6. Chief Enrollment Management Officer President Pattenaude created this position during the 1994-1995 academic year when he appointed Rosa Redonnett Executive Director of Enrollment Management. He then named her Vice President of Enrollment Management in 1997. The position, now vacant, is now Chief Enrollment Management Officer. This person reports to the Chief Operating Officer.

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7. Chief Information Officer President Pattenaude appointed William Wells as Associate Provost for Technology in 1997; he continued to serve as Director of the Law Library and Professor of Law. In 2005, President Pattenaude named William Wells Chief Information Officer, a position he continues to hold. The following chart summarizes the history of each position under President Botman and the past two presidents. President Provost Richard Pattenaude Mark Lapping, Joseph S. Wood Joseph S. Wood (interim) Mark Lapping (interim) none Selma Botman Mark Lapping (interim), Kate Forhan , John Wright (interim) Timothy Stevens

Executive Assistant Bob Goettel, half-time to the President/ Judy Ryan, full-time Special Assistant to the President Chief Financial Samuel Andrews, Officer Dick Campbell Chief Human Beth Warren, Resources Officer Kathleen Bouchard Chief Operating none Officer Director of none Institutional Research Exec. Director of Bob Caswell Public Affairs Vice President for John Maestas, University Vince Pellegrino, Advancement Beth Shorr Chief Enrollment Rosa Redonnett Manager Chief Information William Wells Officer Chief Student Affairs Larry Benedict , Officer Judy Ryan, Craig Hutchinson

Dick Campbell Judy Ryan none none Bob Caswell Beth Shorr Rosa Redonnett William Wells Judy Ryan

Dick Campbell Martha Freeman Kathryn Greenleaf Christi Carson Bob Caswell Beth Shorr, Meg Weston, open open William Wells Craig Hutchinson

To address the highlighted positions in the document “USM Administrative Structure / Revision 09.13.11” distributed by some of the petitioners at the Portland meeting on April 11, 2012, please note that six of the positions fall under the Provost & VP of Academic Affairs, namely Associate Provost (a post held by Judy Tizon under Provost Joe Wood and now held by Dahlia Lynn, who is also the Dean of the Graduate School), Director of International Studies (Kimberly Sinclair, previously Dominica Cipollone), Associate VP for Research (Samantha LangleyTurnbaugh, formerly held by Jack Kartez, Muskie). The Associate VP for Research was originally called “Associate Vice-President for Research,

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Scholarship and Creative Activity when Professor Kartez became the first person to occupy this position in 2007 Director of Center for Technology Enhanced Learning (Barbara Stebbins, previously Ann Clarey, Ann-Marie Johnson), Director of Conferences (Elizabeth Morin). In addition, the Executive Director of Osher Life-Long Learning Institute was highlighted. Kali Lightfoot serves in this capacity. Kali Lightfoot's compensation is included in the Osher Lifelong Learning Institute Maine Senior College Network. The State added $150,000 to the FY 2000 & 2001 state appropriation to the UMS to support this initiative and all of these funds were added to USM's budget. There is an agreement with the Legislature to continue to provide at least that much support for the Network. This year, the base budget for the Maine Senior College Network is $174,447 and Kali's salary is paid from those funds. Of these six positions, one is new: Associate Provost. The Director of Academic Assessment (Susan King) formerly reported to Susan Campbell, but now reports to Christi Carson, Director of Institutional Research & Assessment. It is not a new position. Director of Advancement & Donor Services position has existed since 2002. It is currently held by Vicki Laquerre. Finally, the Office of Public Affairs at one time had an Executive Director (Bob Caswell); and two staff associates at the professional level (Judie O'Malley and Lynn Novak); and an AA (Laurie Mooney). It now have an executive director (Caswell), an assistant director (O'Malley) and one AA (Mooney). As this information clearly shows, singling out the Botman administration for administrative positions that pre-date her arrival to USM shows both shortsightedness and inaccuracy. In fact, only three new positions were created: Chief Operating Officer, Director Institutional Research, and Associate Provost for Undergraduate Education.

President Botman has just hired her fifth Provost in four years. FALSE -There have been three provosts over the last four years: Mark Lapping, Kate Forhan and John Wright. President Botman hired Mark Lapping for her Interim Provost on a oneyear fixed length contract while conducting a national search for a new Provost. Kate Forhan served as Provost from 2009-2010. John Wright has served as Interim Provost for the last two years. The new Provost, hired at the end of a national search, will begin on July 1st.

USM finished FY 2011 with a $2.7 million surplus; we now face a $7 million deficit for FY 2013. ○ Loss of stimulus money accounts for $ 1 million. ○ Enrollment decline accounts for $2.2 million. ○ Compensation increase estimated at $3.5 million (!)

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Where did the rest go ?

MISLEADING/FALSE -The projected deficit for FY 2013 is a little over $5 million, not $7 million, and the stimulus funding was one-time funding – used to pay salaries – that does not exist and was never counted on for the budget of fiscal year 2013. There is a projected decline in student credit hours of 1.9% (4,045 credits out of 208,280 credits) compared to FY 2012’s total of 212,325 credits. The projected loss of tuition revenue due to this projected decline is $825,000. There is a projected decline in student credit hours of 1.9% (4,045 credits out of 208,280 credits) for fiscal year 2013 compared to FY 2012’s total of 212, 325 credits. As Chief Financial Officer Dick Campbell explained at his recent meeting with the faculty, the total revenue decrease projected for FY 2013 is $1,565,000, due to the “streamlining” of the State Appropriation ($540,000), the tuition and fee revenue reduction due to the 3.4% enrollment decline for AY 2011-2012 ($2,090,000), and a decrease in indirect cost recovery ($200,000). Expenses are projected to increase $5,362,000 for FY 2013, due to UMS chargebacks and debt service ($181,000); salary, wage, and fringe benefit increases ($3,527,000), increases in financial aid to students ($1,130,000), and additional funding for deferred maintenance ($524,000). As for the $3+ million in salary and benefits increases, that includes a 1.9% increase in the cost of fringe benefits that starts next year. It also includes funds budgeted for faculty promotions, tenure, and post-tenure review as well as funds budgeted to pay any salary, wage, and fringe benefit increases that result from new contracts with the unions. Subtracting $1,901,000 in one-time UMS mitigation funding for USM from the $5,362,000 in reductions due to increased expenses and the $1,565,000 in reductions due to revenue decreases leaves an overall deficit projection target of $5,026,000 In addition, the financial deficit is not dependent on one-time stimulus money provided by the Obama administration. The financial problem at USM is largely dependent on the lack of funding through state appropriations, the decision of the BOT to freeze tuition and fees and the declining enrollment, partially due to a decline in the number of high school students in Maine and partially due to the poor retention rate at USM. The low student retention rate is an issue brought up frequently by Joe Wood, both as Provost and Interim President. This information contextualizes the changing financial state of USM in recent years.

President Botman’s administration has wasted years of faculty time, energy, and goodwill stubbornly pushing top-down initiatives that ultimately failed: ○ “Model T Rule of 12” ○ “School /Director structure for all colleges” ○ Associate Deans proposal for CMHS

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Insistence on use of known faulty data for Academic Program Review Committee analysis of programs that graduate fewer than 5 majors per year

MISLEADING – One key responsibility of a university administration is to propose new initiatives whose success and failures depend on a variety of factors: consistency with bargaining arrangements, accommodating the varied needs of multiple departments, consolidating scarce resources for more effective operations, etc. President Botman has created the Office of Institutional Research in an attempt to collect reliable data, something that did not exist before her arrival to USM. Gathering reliable data is pivotal for responsible administration. Data generation, retrieval, and analysis is a difficult process that includes working with, at times, incomplete or even partial information.

President Botman has blamed financial problems on enrollment decline, at times claiming as much as 18% decline. There is in fact no source for this alarmist number. In fact, Student Credit Hours (the only statistic with financial implications) have remained nearly steady until this year, when there was a 3.4% decline, reducing revenues by $2.2 million. MISLEADING/FALSE-The 18% enrollment decline cited was taken from a UMS report to the Board of Trustees prepared by Executive Director of Student Affairs Rosa Redonnett. There has been a decline in the number of students and the number of student credit hours. In FY 2008, when President Botman arrived at USM, total USM student credit hours were 215,726. They declined 2% in FY 2009 and 0.3% in FY 2010. They rose 0.8% in FY 2011 before declining again in FY 2012 by 3.4%. They have declined 10,546 or 4.9% since FY 2008. Several factors might contribute to this decline:

Increased competition

MISLEADING – This cannot be attributed to President Botman. In the southern Maine area, competition in the higher education sector has indeed increased, making the Portland area the most competitive part of the state.

Reduced course offerings due to loss of faculty

MISLEADING - While part-time faculty have declined, there are only 3 fewer full-time regular faculty today. Course offerings are decided by the departments and colleges.

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Some decline has occurred as a result of the State of Maine’s financial exigency.

Difficult to navigate the new website

NOT APPLICABLE - President Botman does not control the website. The new website design was delegated to the colleges, schools, and departments. They are responsible for the development and posting of information. Information Technology works with all divisions of the university on presenting information in an orderly fashion, but it is up to the divisions to manage their portions of the website. The website is constantly evolving, with new information, sections, and web-based services appearing regularly.

Difficult and confusing application and registration process

NOT APPLICABLE - The UMS decided to adopt the joint application and registration process. The Common Application membership association was established in 1975 by 15 private colleges that wished to provide a common, standardized first-year application form for use at any member institution. With the administrative support of the National Association of Secondary School Principals (NASSP), the organization grew steadily throughout its first 30 years. 456 schools use the Common Application. The application and registration process is under continuous review to identify ways to improve it. Students and their families receive help from the university in completing their applications.

Confusing new academic structure since reorganization

MISLEADING - The new academic structure has been unfolding slowly as faculty participate in shared governance. Faculty gave input at many meetings. Models were developed at these meetings, and voted on at the meetings by the faculty in attendance. Obviously, this is the nature of change: some aspects of the new academic structure change than others.

Confusing new USM Core

NOT APPLICABLE - The new USM General Education curriculum began under Provost Joe Wood. Professors Jane Kuenz and Michael Hillard led this initiative. By the time President Botman arrived at USM in 2008, the Faculty Senate had voted on the entire General Education proposal, and had begun its implementation of, except for the International requirement, approved by the Faculty Senate in 2011. This proposal was brought forward by Professors Eagan and Rosenthal. Clearly, faculty input and leadership has shaped USM General Education.

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President Botman’s tenure has been characterized by massive turnover – one might say hemorrhaging – of excellent, talented, dedicated professional and academic administrators who found working with her difficult. These have included deans through vice-presidents. MISLEADING – There has been a long history of turnover in administrators at USM, especially in certain schools and colleges (Business, Muskie, and Arts & Sciences, especially). In the recent reorganization at USM, two colleges were eliminated, and hence two Dean’s positions – the Dean of the College of Education and the Dean of the College of Nursing--as well as the Dean of the Muskie School and the Associate Provost of University Outreach, with a net savings calculated in fall 2010 as $756,992. It is part of the professional rhythm of higher education that people move on to new positions in order to take on new challenges, receive promotions, and move to new institutions. In fall 2008 Vice President of Advancement Beth Shorr resigned, shortly after President Botman arrived, to take another position and was replaced by Meg Weston, who resigned this spring to take the position of President of Maine Media Workshops + College in Rockland. Vice President of Human Resources Judy Ryan resigned this spring to take the position of Associate Vice President of Human Resources and Administration, which heads the UM Office of Human Resources, at the University of Maine in Orono. Former Dean of Arts and Sciences Devinder Malhotra resigned in June 2009 when he was hired as the provost of St. Cloud State University in Minnesota. Dean Betty Lou Whitford resigned in July 2010 to become Dean of the College of Education and Human Development at Auburn University in Alabama. Muskie Dean William Foster resigned in 2010 to become President and CEO of Columbia University’s Office of Addiction and Substance Abuse. Due to a failed national search, Interim Dean of Nursing Judy Spross was appointed in July 2009; she returned to the faculty at the end of her appointment. That position was eliminated under reorganization. Dean of the School of Business Jim Schaffer left his position to take the newly created position of Chief Operating Officer in 2010. He left that position in 2011 to take the position of Interim Dean of the new College of Management and Human Service, participated in the national search for the permanent deanship, and then returned to the faculty upon the hiring of Dean Joe McDonnell. President Botman routinely dismisses faculty advisory groups when they give her advice she doesn’t want to hear. o Financial Advisory Committee o o o “Kitchen Cabinet” Diversity Council Professional and Continuing Education Advisory Committee)

Shared governance in the university means multiple levels of responsibility and accountability. Without a doubt, faculty input,

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advisory groups, and collaboration are important. However, responsible governance does not mean doing exactly what the faculty want. It does mean actively seeking faculty advice and making responsible, often difficult, decisions for the benefit of USM students and the community. For example, the President reconstituted the Diversity Council as the President’s Council on Diversity. This change responded to faculty requests for more faculty presence and input on the committee. The President’s Council on Diversity, since its creation in 2010-11, has been chaired by faculty and includes faculty from a variety of fields as well as staff in diversity related positions. The PCD has been a forum for discussion of variety of issues including incidents of attacks on students this past fall and questions about how to approve access for faculty and staff with disabilities. The Council has also sponsored or cosponsored talks and other events on campus that bring the world onto USM’s campus. In short, these are either inaccurate, misleading or not relevant to the President’s responsibilities. None of these things either individually or collectively rise to the level of a vote of no confidence in President Botman. Group of Faculty Opposed to the Referndum April 13, 2012 For more information, contact Eileen Eagan at 780-5058 or eagan@usm.maine.edu

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