System of Records Notice (SORN)

Federal Register / Vol. 76, No. 66 / Wednesday, April 6, 2011 / Notices
and Budget, New Executive Office
Building, Room 10235, Washington, DC
20503; due to potential delays in OMB’s
receipt and processing of mail sent
through the U.S. Postal Service,
respondents are encouraged to submit
comments by fax to: 202–395–7285.
Dated: March 30, 2011.
Elaine Parry,
Director, Office of Management, Technology
and Operations.
[FR Doc. 2011–8134 Filed 4–5–11; 8:45 am]
BILLING CODE 4162–20–P

DEPARTMENT OF HOMELAND
SECURITY
Office of the Secretary
[Docket No. DHS–2011–0017]

Privacy Act of 1974; Department of
Homeland Security Federal Emergency
Management Agency—011 Training
and Exercise Program Records System
of Records
Privacy Office, DHS.
Notice of Privacy Act system of

AGENCY:
ACTION:

records.
In accordance with the
Privacy Act of 1974, the Department of
Homeland Security proposes to
establish a new Department of
Homeland Security system of records
titled, ‘‘Department of Homeland
Security Federal Emergency
Management Agency—011 Training and
Exercise Program Records System of
Records.’’ This system of records will
allow the Department of Homeland
Security/Federal Emergency
Management Agency to collect and
maintain records on its training and
exercise programs. This system of
records will include the personally
identifiable information of current and
former Federal Emergency Management
Agency employees and contractors,
current and former members of the first
responder and emergency management
communities, and others who have
applied or registered to participate in or
who have assisted with Federal
Emergency Management Agency’s
training and exercise programs. The
Department of Homeland Security is
issuing a Notice of Proposed
Rulemaking, to exempt this system of
records from certain provisions of the
Privacy Act, elsewhere in the Federal
Register. In addition, in accordance
with the Privacy Act of 1974 the
Department of Homeland Security is
giving notice that it proposes to
consolidate the Privacy Act system of
records notice titled, Department of

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SUMMARY:

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Homeland Security/Federal Emergency
Management Agency/National
Emergency Training Center—017
Student Application and Registration
Records system of records (October 5,
2004, 69 FR 192) into this system of
records. This newly established system
will be included in the Department of
Homeland Security’s inventory of
record systems.
DATES: Submit comments on or before
May 6, 2011. This new system will be
effective May 6, 2011.
ADDRESSES: You may submit comments,
identified by docket number DHS–
2011–0017 by one of the following
methods:
• Federal e-Rulemaking Portal:
http://www.regulations.gov. Follow the
instructions for submitting comments.
• Fax: 703–483–2999.
• Mail: Mary Ellen Callahan, Chief
Privacy Officer, Privacy Office,
Department of Homeland Security,
Washington, DC 20528.
• Instructions: All submissions
received must include the agency name
and docket number for this rulemaking.
All comments received will be posted
without change to http://
www.regulations.gov, including any
personal information provided.
• Docket: For access to the docket to
read background documents or
comments received go to http://
www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For
general questions please contact:
Thomas R. McQuillan (202–646–3323),
Privacy Officer, Federal Emergency
Management Agency, Department of
Homeland Security, Washington, DC
20478. For privacy issues please
contact: Mary Ellen Callahan (703–235–
0780), Chief Privacy Officer, Privacy
Office, Department of Homeland
Security, Washington, DC 20528.
SUPPLEMENTARY INFORMATION:
I. Background
In accordance with the Privacy Act of
1974, 5 U.S.C. 552a, the Department of
Homeland Security (DHS) Federal
Emergency Management Agency
(FEMA) proposes to establish a new
DHS system of records titled, ‘‘DHS/
FEMA–011 Training and Exercise
Program Records System of Records.’’
In support of its mission, components
within FEMA such as the Protection and
National Preparedness Bureau, the
National Processing Service Centers
(NPSCs), the United States Fire
Administration (USFA), and the FEMA
Emergency Management Institute
(FEMA/EMI) sponsor a wide range of
training and exercise programs for
FEMA’s employees and contractors and

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its partners in the first responder and
emergency management communities.
Through its training and exercise
programs, FEMA brings together
partners from state, local, tribal,
regional, international, and
nongovernmental/volunteer
organizations, as well as the private
sector, including firefighters, emergency
medical services, emergency
management agencies, law enforcement,
and public officials. These programs
provide FEMA’s employees, contractors
and partners with the opportunity to
develop the situational awareness and
skills necessary to quickly prevent,
respond to, or mitigate all hazards
affecting the people of the United States.
This system of records notice is being
published because FEMA collects and
maintains personally identifiable
information (PII) about the individuals
who register or apply for its training and
exercise programs and the organization
employing or sponsoring these
individuals, as well as information used
to grant access to IT systems that
support these programs. FEMA’s
training and exercise programs also
maintain information about the
trainings and exercise events, such as
rosters and reports, which may be
shared among participants. The type
and amount of PII FEMA collects from
individuals to facilitate their
participation may vary among programs.
The purpose of this system is to
facilitate registration for, participation
in, and the completion and
documentation of, training and exercise
programs sponsored by FEMA in
support of its mission.
FEMA collects, uses, and maintains
the records within this system under the
authority of the Robert T. Stafford
Disaster Relief and Emergency
Assistance Act; the Federal Fire
Prevention and Control Act of 1974, as
amended; 44 U.S.C. 3101; 6 U.S.C. 748;
Homeland Security Presidential
Directives, and several Executive
Orders, as described in this notice. This
updated system of records strengthens
privacy protections and provides greater
transparency regarding FEMA’s training
and exercise records by encompassing
the full range of the agency’s training
and exercise programs into a single
system of records. To further safeguard
individuals’ privacy, FEMA limits
access to the information in this system
by verifying the status and ‘‘need to
know’’ of individuals registering for and
participating in the agency’s training
and exercise programs.
The proposed routine uses are
compatible with the purpose of the
original collection as they ensure that
the information within this system is

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shared in association with individuals’
registration and participation in FEMA’s
training and exercise programs, and
otherwise ensure that the sharing of
information in this system is consistent
with that of other DHS systems.
FEMA collects, uses, and maintains
information about the individuals who
register or apply for its training and
exercise programs, including DHS
employees and contractors, other
Federal employees, volunteers and
members of the first responder and
emergency management communities,
to foster the development of mission
critical skills among them through
participation in these training and
exercise programs. FEMA’s training and
exercise programs may share
information with state, local, tribal,
international, nongovernmental/
volunteer organizations, and private
sector organizations. FEMA shares this
information to facilitate the
development of training and exercise
programs, coordinate, facilitate, and
track participation in training and
exercise programs, and for statistical
purposes. FEMA’s sharing of
information with education institutions
for transcript purposes will only take
place upon the request of the student. In
accordance with the Privacy Act of 1974
the Department of Homeland Security is
giving notice that it proposes to
consolidate the Privacy Act system of
records notice titled, Department of
Homeland Security/Federal Emergency
Management Agency/National
Emergency Training Center—017
Student Application and Registration
Records system of records (October 5,
2004, 69 FR 192) into the this system of
records.
Additionally, DHS is issuing a Notice
of Proposed Rulemaking elsewhere in
the Federal Register to exempt this
system of records from certain
provisions of the Privacy Act in order to
preserve the objectivity and fairness of
testing and examination material,
elsewhere in the Federal Register. This
newly established system will be
included in DHS’s inventory of record
systems.
II. Privacy Act
The Privacy Act embodies fair
information practice principles in a
statutory framework governing the
means by which the U.S. Government
collects, maintains, uses, and
disseminates individuals’ records. The
Privacy Act applies to information that
is maintained in a ‘‘system of records.’’
A ‘‘system of records’’ is a group of any
records under the control of an agency
for which information is retrieved by
the name of an individual or by some

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identifying number, symbol, or other
identifying particular assigned to the
individual. In the Privacy Act, an
individual is defined to encompass U.S.
citizens and lawful permanent
residents. As a matter of policy, DHS
extends administrative Privacy Act
protections to all individuals where
systems of records maintain information
on U.S. citizens, lawful permanent
residents, and visitors.
Below is the description of the DHS/
FEMA–011 Training and Exercise
Program Records System of Records.
In accordance with 5 U.S.C. 552a(r),
DHS has provided a report of this
system of records to the Office of
Management and Budget and to
Congress.
SYSTEM OF RECORDS

DHS/FEMA–011
SYSTEM NAME:

DHS/FEMA–011 Training and
Exercise Program Records.
SECURITY CLASSIFICATION:

Sensitive But Unclassified.
SYSTEM LOCATION:

Records are maintained at the FEMA
Headquarters in Washington, DC and
field offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Any individual who has applied for,
participated in, or assisted with a
training or exercise program
recommended, sponsored, or operated
by FEMA including current and former
employees of DHS, any other federal
employee, volunteers and contractors,
and private individuals such as state,
local, tribal, international, and nonprofit/nongovernmental personnel; and
other participants in FEMA training and
exercise programs such as instructors,
developers, observers, and interpreters.
CATEGORIES OF RECORDS IN THE SYSTEM:

• Individual’s name (First, Middle,
Last, Suffix);
• Date of birth;
• Social Security Number;
• Alternate unique number assigned
in lieu of an SSN;
• Sex;
• Race and ethnicity;
• U.S. Citizenship;
• City and country of birth (collected
for non-U.S. citizens);
• Information related to disabilities
requiring special assistance;
• Phone numbers;
• Email addresses;
• Addresses;
• Military Rank/Prefix;
• Unique user ID (for IT system
registration);

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• Individual’s password (for IT
system access; only accessible by the
individual; disclosed as part of the
authentication process);
• Individual’s security questions and
answers (for IT system access);
• Individual’s employer or
organization being represented;
• Individual’s employment status;
• Individual’s position title;
• Individual’s professional
certifications;
• Category of position;
• Years of experience;
• Type of experience;
• Primary responsibility;
• Reason for applying/registering for
training/exercise;
• Reference point of contact name;
• Reference point of contact phone
number;
• Reference point of contact
addresses;
• Relationship of individual to the
reference point of contact;
• Time Zone;
• Organization type/Jurisdiction (e.g.
federal agency, state or local
government, etc.);
• Organization identification number;
• Number of staff in the organization;
• Size of population served by the
organization;
• Nomination forms;
• Registration/Application forms;
• Training/Exercise rosters and signin sheets;
• Training instructor and Exercise
role lists;
• Training/exercise schedules,
including location and venue, type,
target capabilities, and mission;
• Financial information, such as bank
routing and account number;
• Payment records, including
financial, travel and related
expenditures;
• Examination and testing materials;
• Grades and student evaluations;
• Course and instructor critiques; and
• Reports pertaining to and resulting
from training and exercises.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

• Pub. L. 93–288, Robert T. Stafford
Disaster Relief and Emergency
Assistance Act as amended; Pub. L. 93–
498, Federal Fire Prevention and
Control Act of 1974, as amended; Pub.
L. 93–579, 44 U.S.C. 3101–3106; 6
U.S.C. 748; Homeland Security
Presidential Directive 8; Homeland
Security Presidential Directive 5; the
Homeland Security Act of 2002; the
E-Government Act of 2002; the
Reorganization Plan No.3 of 1978, 5
U.S.C. 301; 31 U.S.C. 3716,
Administrative offset; 31 U.S.C. 321,
General authority of the Secretary;

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Federal Register / Vol. 76, No. 66 / Wednesday, April 6, 2011 / Notices
Executive Order 13111; Executive Order
12148; Executive Order 12127;
Executive Order 9397; Title VI of the
Civil Rights Act of 1964; Section 504 of
the Rehabilitation Act of 1973;
Presidential Memorandum, ‘‘Electronic
Government’s Role in Implementing the
President’s Management Agenda,’’ July
10, 2002, 15 U.S.C. 2206, 44 U.S.C.
3101; 50 U.S.C. App. 2253 and 2281;
CFO Bulletin, Financial and Acquisition
Management Division, Number 117,
June 23, 2003. Subject: Invitational
Travel. Executive Order 9397 authorizes
the collection of the social security
number.
PURPOSE(S):

The purpose of this system is to
facilitate registration for, participation
in, and the completion and
documentation of training and exercise
programs sponsored by FEMA in
support of its mission. Records in this
system will be used to: determine
eligibility for, and the effectiveness of,
FEMA training and exercise programs;
facilitate housing for and
reimbursements to students of FEMA
Training Programs/Conferences;
promote a collaborative environment for
participants in FEMA’s training and
exercise programs; and facilitate the
compilation of statistical information
about FEMA’s training and exercise
programs. FEMA uses the Social
Security Number to ensure the accuracy
of academic records, for stipend
reimbursement of funds to registered
students, and to distinguish the identity
of individuals with identical names and
birth dates.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside DHS as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as
follows:
A. To the Department of Justice (DOJ),
including U.S. Attorney Offices, or other
federal agency conducting litigation or
in proceedings before any court,
adjudicative or administrative body,
when it is necessary to the litigation and
one of the following is a party to the
litigation or has an interest in such
litigation:
1. DHS or any component thereof;
2. Any employee of DHS in his/her
official capacity;
3. Any employee of DHS in his/her
individual capacity where DOJ or DHS
has agreed to represent the employee; or

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4. The U.S. or any agency thereof, is
a party to the litigation or has an interest
in such litigation, and DHS determines
that the records are both relevant and
necessary to the litigation and the use of
such records is compatible with the
purpose for which DHS collected the
records.
B. To a congressional office from the
record of an individual in response to
an inquiry from that congressional office
made at the request of the individual to
whom the record pertains.
C. To the National Archives and
Records Administration (NARA) or
other federal government agencies
pursuant to records management
inspections being conducted under the
authority of 44 U.S.C. 2904 and 2906.
D. To an agency, organization, or
individual for the purpose of performing
audit or oversight operations as
authorized by law, but only such
information as is necessary and relevant
to such audit or oversight function.
E. To appropriate agencies, entities,
and persons when:
1. DHS suspects or has confirmed that
the security or confidentiality of
information in the system of records has
been compromised;
2. DHS has determined that as a result
of the suspected or confirmed
compromise there is a risk of harm to
economic or property interests, identity
theft or fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by
DHS or another agency or entity) or
harm to the individual that rely upon
the compromised information; and
3. The disclosure made to such
agencies, entities, and persons is
reasonably necessary to assist in
connection with DHS’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm.
F. To contractors and their agents,
grantees, experts, consultants, and
others performing or working on a
contract, service, grant, cooperative
agreement, or other assignment for DHS,
when necessary to accomplish an
agency function related to this system of
records. Individuals provided
information under this routine use are
subject to the same Privacy Act
requirements and limitations on
disclosure as are applicable to DHS
officers and employees.
G. To an appropriate federal, state,
tribal, local, international, or foreign law
enforcement agency or other appropriate
authority charged with investigating or
prosecuting a violation or enforcing or
implementing a law, rule, regulation, or
order, where a record, either on its face
or in conjunction with other

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information, indicates a violation or
potential violation of law, which
includes criminal, civil, or regulatory
violations and such disclosure is proper
and consistent with the official duties of
the person making the disclosure.
H. To a federal, State, territorial,
tribal, local, international, or foreign
agency or entity for the purpose of
consulting with that agency or entity (a)
to assist in making a determination
regarding access to or amendment of
information, or (b) for the purpose of
verifying the identity of an individual or
the accuracy of information submitted
by an individual who has requested
access to or amendment of information.
I. To a Federal, State, local, tribal,
territorial, foreign, or international
agency, if necessary to obtain
information relevant to a DHS decision
concerning the hiring or retention of an
employee, the issuance of a security
clearance, the reporting of an
investigation of an employee, the letting
of a contract, or the issuance of a
license, grant or other benefit.
J. To a Federal, State, local, tribal,
territorial, foreign, or international
agency, in response to its request, in
connection with the hiring of a
prospective employee or retention of an
employee, the issuance of a security
clearance, the reporting of an
investigation of an employee, the letting
of a contract, the issuance of a license,
grant, or other benefit by the requesting
agency, or for general inquiries by a
state agency or state entity in
connection with monitoring status and
activities of its employees, to the extent
that the information is relevant and
necessary to the requesting agency’s role
and authority on such decisions and
matters.
K. To a physician(s) in order to
provide information from the
application for students who become ill
or are injured during courses and are
unable to provide the information.
L. To members of the NFA and EMI
Boards of Visitors Federal advisory
committees for the purpose of
evaluating NFA’s and EMI’s
programmatic statistics.
M. To sponsoring States, local
officials, or state agencies to update/
evaluate statistics on participation in
FEMA-sponsored educational programs.
N. To the Department of Treasury for
the processing and issuance of stipend
payments to reimburse training/
exercise/conference related expenses.
O. To Federal, State, local and tribal
educational institutions for the
maintenance/updating of student
academic records such as transcripts.
P. To the news media and the public,
with the approval of the Chief Privacy

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Officer in consultation with counsel,
when there exists a legitimate public
interest in the disclosure of the
information or when disclosure is
necessary to preserve confidence in the
integrity of DHS or is necessary to
demonstrate the accountability of DHS’s
officers, employees, or individuals
covered by the system, except to the
extent it is determined that release of
the specific information in the context
of a particular case would constitute an
unwarranted invasion of personal
privacy.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records in this system are stored
electronically or on paper in secure
facilities in a locked drawer behind a
locked door. The records are stored on
magnetic disc, tape, digital media, and
CD–ROM.
RETRIEVABILITY:

Records may be retrieved by an
individual’s name, social security
number, or unique user ID.
SAFEGUARDS:

Records in this system are
safeguarded in accordance with
applicable rules and policies, including
all applicable DHS automated systems
security and access policies. Strict
controls have been imposed to minimize
the risk of compromising the
information that is being stored. Access
to the computer system containing the
records in this system is limited to those
individuals who have a need to know
the information for the performance of
their official duties and who have
appropriate clearances or permissions.

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RETENTION AND DISPOSAL:

FEMA’s training and exercise records
retention is generally covered under
General Records Schedule (GRS) 1A–
29a, 1–29a(2), and 1–29b; NARA
Authority N1–311–08–2 1a, and NARA
Authority N1–311–88–2 2. Under GRS
1, records are maintained for up to five
years after the cutoff date and then
destroyed. Under NARA Authority N1–
311–08–2 1a, records are retired to the
Federal Records Center (FRC) five years
after the cutoff and destroyed after forty
years. Under NARA Authority N1–311–
88–2 2, records are maintained for six
years and three months after the cutoff
and then destroyed.

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SYSTEM MANAGER AND ADDRESS:

RECORD ACCESS PROCEDURES:

Privacy Officer, Federal Emergency
Management Agency, Department of
Homeland Security, Washington, DC
20478.
Individuals seeking notification of
and access to any record contained in
this system of records, or seeking to
contest its content, may submit a
request in writing to the FEMA FOIA
Officer, whose contact information can
be found at http://www.dhs.gov/foia
under ‘‘contacts.’’ If an individual
believes more than one component
maintains Privacy Act records
concerning him or her the individual
may submit the request to the Chief
Privacy Officer and Chief Freedom of
Information Act Officer, Department of
Homeland Security, 245 Murray Drive,
SW., Building 410, STOP–0655,
Washington, DC 20528.
When seeking records about yourself
from this system of records or any other
Departmental system of records your
request must conform with the Privacy
Act regulations set forth in 6 CFR part
5. You must first verify your identity,
meaning that you must provide your full
name, current address and date and
place of birth. You must sign your
request, and your signature must either
be notarized or submitted under 28
U.S.C. 1746, a law that permits
statements to be made under penalty of
perjury as a substitute for notarization.
While no specific form is required, you
may obtain forms for this purpose from
the Chief Privacy Officer and Chief
Freedom of Information Act Officer,
http://www.dhs.gov or 1–866–431–0486.
In addition you should provide the
following:
• An explanation of why you believe
the Department would have information
on you;
• Identify which component(s) of the
Department you believe may have the
information about you;
• Specify when you believe the
records would have been created;
• Provide any other information that
will help the FOIA staff determine
which DHS component agency may
have responsive records; and
• If your request is seeking records
pertaining to another living individual,
you must include a statement from that
individual certifying his/her agreement
for you to access his/her records.
Without this bulleted information the
component(s) may not be able to
conduct an effective search, and your
request may be denied due to lack of
specificity or lack of compliance with
applicable regulations.

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CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
RECORD SOURCE CATEGORIES:

NOTIFICATION PROCEDURE:

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See ‘‘Notification Procedure’’ above.

Records are obtained from all
individuals who have registered for,
applied for, participated in, or assisted
with FEMA’s training or exercise
programs including FEMA employees
and contractors, volunteers, other
Federal employees and other
participants such as instructors, course
developers, observers, and interpreters.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

The Secretary of Homeland Security
has exempted this system from the
following provisions of the Privacy Act,
subject to the limitation set forth in 5
U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G),
(e)(4)(H), (e)(4)(I); and (f) pursuant to 5
U.S.C. 552a(k)(6).
Dated: March 3, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of
Homeland Security.
[FR Doc. 2011–8089 Filed 4–5–11; 8:45 am]
BILLING CODE 9111–17–P

DEPARTMENT OF HOMELAND
SECURITY
Office of the Secretary
Published Privacy Impact
Assessments on the Web
Privacy Office, Department of
Homeland Security (DHS).
ACTION: Notice of Publication of Privacy
Impact Assessments (PIAs).
AGENCY:

The Privacy Office of the DHS
has made available forty PIAs on
various programs and systems in the
Department. The assessments were
approved and published on the Privacy
Office’s Web site between May 3, 2010
and January 7, 2011.
DATES: The Privacy Impact Assessments
are available on the DHS Web site until
June 6, 2011, after which they are
obtained by contacting the DHS Privacy
Office (contact information below).
FOR FURTHER INFORMATION CONTACT:
Mary Ellen Callahan, Chief Privacy
Officer, DHS, Washington, DC 20528, or
e-mail: [email protected].
SUPPLEMENTARY INFORMATION: Between
May 3, 2010 and January 7, 2011, the
Chief Privacy Officer of the DHS
approved and published forty Privacy
Impact Assessments (PIAs) on the DHS
Privacy Office Web site, http://
www.dhs.gov/privacy, under the link for
SUMMARY:

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