Appendix C USDA 1 - e-Authentications SORNS

Federal Register / Vol. 86, No. 167 / Wednesday, September 1, 2021 / Notices
Estimated annual number of
responses: 250,000.
Estimated total annual burden on
respondents: 25,000 hours. (Due to
averaging, the total annual burden hours
may not equal the product of the annual
number of responses multiplied by the
reporting burden per response.)
All responses to this notice will be
summarized and included in the request
for OMB approval. All comments will
also become a matter of public record.
Done in Washington, DC, this 26th day of
August 2021.
Mark Davidson,
Acting Administrator, Animal and Plant
Health Inspection Service.
[FR Doc. 2021–18795 Filed 8–31–21; 8:45 am]
BILLING CODE 3410–34–P

DEPARTMENT OF AGRICULTURE
Food and Nutrition Service
Privacy Act of 1974; System of
Records Revision
Food and Nutrition Service
(FNS), USDA.
ACTION: Notice of a proposed modified
system of records.
AGENCY:

Pursuant to the provisions of
the Privacy Act of 1974, and Office of
Management and Budget (OMB)
Circular No. A–108, notice is given that
a component agency, the Food and
Nutrition Service (FNS) of the U.S.
Department of Agriculture (USDA) is
proposing to modify the system of
records, currently titled USDA/FNS–11,
‘‘Information on Persons Identified as
Responsible for Serious Deficiencies,
Proposed for Disqualification, or
Disqualified to Participate as Principals
or Family Day Care Home Operators in
the Child and Adult Care Food Program
(CACFP),’’ 69 FR 6933, published
February 12, 2004, to include
unaffiliated centers and responsible
individuals of unaffiliated centers
terminated or otherwise disqualified
from participating in the Child and
Adult Care Food Program, and service
institutions and responsible individuals
that have been terminated or otherwise
disqualified from participation in the
Summer Food Service Program (SFSP).
The system of records will continue to
include the records of institutions, day
care home providers, and responsible
individuals who have been terminated
or otherwise disqualified from
participation in the Child and Adult
Care Food Program.
DATES: In accordance with 5 U.S.C.
552a(e)(4) and (11), this notice is
effective upon publication, subject to a

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SUMMARY:

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30-day notice and comment period in
which to comment on the routine uses
described in the routine uses section of
this system of records notice. Please
submit your comments by October 1,
2021.
ADDRESSES: You may submit comments,
USDA/FNS–11, by one of the following
methods:
• Federal eRulemaking Portal: http://
www.regulations.gov provides the
ability to type short comments directly
into the comment field on this web page
or attach a file for lengthier comments.
Follow the online instructions at that
site for submitting comments.
• Ms. Andrea Farmer, Chief,
Community Meals Program Monitoring
Branch, Child Nutrition Programs, Food
and Nutrition Service, Braddock Metro
Center II, 1320 Braddock Place,
Alexandria, VA 22314.
• 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
Stephanie Means via telephone at 312–
353–7270 or via email at [email protected].
SUPPLEMENTARY INFORMATION: FNS
maintains a list of institutions and
individuals who have been disqualified
from participating in CACFP and/or
SFSP. The State agencies access the list
to ensure that no one participating in
either Program in their state has been
disqualified.
State agencies provide the
information about the disqualifications
they impose by submitting the
information to the NDL. FNS reviews
and approves the information. This
information is then accessible to all
State agencies that participate in this
matching program to help determine
CACFP and/or SFSP eligibility.
In accordance with the Privacy Act of
1974, 5 U.S.C. 552a, the Department of
Agriculture’s (‘‘Department’’ or
‘‘USDA’’) Food and Nutrition Service
(FNS) proposes to modify the system of
records titled, USDA/FNS–11,
‘‘Information on Persons Identified as
Responsible for Serious Deficiencies,
Proposed for Disqualification, or
Disqualified to Participate as Principals
or Family Day Care Home Operators in
the Child and Adult Care Food Program
(CACFP).’’ This includes modifying the

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title to ‘‘USDA/FNS–11, National
Disqualified List (NDL)—Information on
Entities Disqualified from Participation
in the Child and Adult Care Food
Program (CACFP) and Summer Food
Service Program (SFSP).’’
The NDL system of records currently
contains a list of institutions,
responsible individuals, and family day
care home providers that have been
disqualified by State agencies from
participating in CACFP. The NDL
system of records is being modified to
include unaffiliated centers and
responsible individuals of unaffiliated
centers terminated or otherwise
disqualified from participating in the
CACFP. The NDL system of records is
also being revised to include service
institutions and responsible individuals
of service institutions that have been
terminated or otherwise disqualified
from participating in the SFSP as
required by Section 322 of the Healthy,
Hunger-Free Kids Act of 2010 (HHFKA),
Public Law 111–296 (requiring the
Secretary to maintain a list of service
institutions and individuals that have
been terminated or disqualified from
SFSP and to make this list available to
State agencies for use in approving or
renewing service institutions’
applications for SFSP participation).
Responsible individual means: A
principal, whether compensated or
uncompensated, who the State agency
or FNS determines to be responsible for
a serious deficiency; any other
individual employed by, or under
contract with, a sponsoring organization
who the State agency or FNS determines
to be responsible a serious deficiency; or
an uncompensated individual who the
State agency or FNS determines to be
responsible for a serious deficiency.
FNS will share information from the
system in accordance with the
requirements of the Privacy Act. A full
list of routine uses is included in the
routine uses section of the document
published with this notice.
In accordance with 5 U.S.C. 552a(r),
USDA has provided a report of this
system of records to the Office of
Management and Budget and to
Congress.
SYSTEM NAME AND NUMBER:

USDA/FNS–11, ‘‘Information on
Persons Identified as Responsible for
Serious Deficiencies, Proposed for
Disqualification, or Disqualified to
Participate as Principals or Family Day
Care Home Operators in the Child and
Adult Care Food Program (CACFP),’’
and also referred to as the National
Disqualified List or NDL.
This notice proposes to modify the
system name to: ‘‘National Disqualified

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List (NDL)—Information on Entities
Disqualified from participation in the
Child and Adult Care Food Program
(CACFP) and Summer Food Service
Program (SFSP).’’
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

This system of records is under the
control of the Deputy Administrator,
Child Nutrition Programs, FNS, USDA,
1320 Braddock Pl., Alexandria, Virginia
22314.
The data on institutions, service
institutions, unaffiliated centers, day
care home providers, and responsible
individuals who have been disqualified
from participation in the CACFP and/or
SFSP will be maintained within the
NDL system of records.
SYSTEM MANAGER(S):

Branch Chief, Community Meals
Program Monitoring Branch, Child
Nutrition Programs, Food and Nutrition
Service, USDA, (703)305–2470, 1320
Braddock Pl., Alexandria, Virginia
22314.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 243(c) of Public Law 106–224,
the Agricultural Risk Protection Act of
2000, which amended section (42 U.S.C.
1766(d)(5)(E)(i) and (ii)) of the Richard
B. Russell National School Lunch Act

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PURPOSE(S) OF THE SYSTEM:

The purpose of modifying the system
of records is to continue to promote
integrity in the CACFP and SFSP
(‘‘Program(s)’’) by providing Programadministering States and CACFP
sponsoring organizations with the
names of institutions, service
institutions, responsible individuals,
unaffiliated centers, and family day care
home providers that have been
terminated or otherwise disqualified
from participating in either Program.
Once disqualified, these institutions,
service institutions, responsible
individuals, unaffiliated centers, and
family day care home providers are
prohibited from participating in either
Program for seven years from the
effective date of the disqualification,
and until any debt under either Program
is paid.
Institutions, service institutions,
responsible individuals, unaffiliated
centers, and family day care home
providers may be removed from the
NDL system of records before seven
years if the Program-administering
States and FNS concur that any Program
violation that caused their placement on
the NDL system of records has been
corrected. However, no institution,

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service institution, responsible
individual, unaffiliated center, or family
day care home provider may be
removed from the NDL system of
records if they owe a debt under either
Program. Program-administering States
and CACFP sponsoring organizations
must verify that Program applicants are
not on the NDL system of records prior
to approval or renewal of participation
in the Program. Similarly, CACFP
sponsoring organizations must check
the NDL system of records to verify that
any new employee that will be paid for
using Program funds or that will be
working in either Program is not on the
NDL before hiring.
Maintaining the NDL system of
records and making it available to
Program-administering States and
CACFP sponsoring organizations
provides them with a tool for promoting
Program integrity by preventing several
situations from occurring. First, it
prevents institutions, service
institutions, or unaffiliated centers
whose Program agreements were
terminated for cause in one State from
reapplying for Program participation in
another State. Second, it prevents
responsible individuals disqualified
from either Program from continuing to
be involved in Program administration
by forming a new corporate entity and
entering the Program under a different
organizational name. Third, it prevents
responsible individuals associated with
a disqualified institution, service
institution, or unaffiliated center from
re-entering the Program as a family day
care home provider, or as a responsible
individual with another institution,
service institution, or sponsored center.
Finally, it prevents family day care
home providers terminated for cause by
one sponsoring organization from reentering the Program under the auspices
of a different sponsoring organization.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Categories of individuals covered by
this system include, but not limited to,
responsible individuals and principals
of centers and day care home providers
that have been terminated or otherwise
disqualified from participation in the
CACFP. The system also contains
information on responsible individuals
and principals of service institutions
that have been terminated or otherwise
disqualified from participation in the
SFSP. All individuals, even if they are
not users of the USDA/FNS–11, who are
mentioned or referenced in any
documents entered into USDA/FNS–11
by a user are also covered. This group
may include, but is not limited to:

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Vendors, agents and other business
personnel.
CATEGORIES OF RECORDS IN THE SYSTEM:

Categories of records in the system
will be modified to include the
following information from unaffiliated
centers and responsible individuals of
unaffiliated centers that have been
terminated or otherwise disqualified
from participation in the CACFP, and
service institutions and responsible
individuals of service institutions that
have been terminated or otherwise
disqualified from participation in the
SFSP:
• Full name, previously used names;
• date of birth;
• state and locality in which the
disqualification occurred;
• addresses of businesses and
individuals;
• disqualification start date;
• reason for disqualification;
• Federal Employer Identification
Number (FEIN) or Dun and Bradstreet
Data Universal Numbering System
(DUNS);
• disqualifying State agency;
• any debt owed;
• supporting documentation such as
notices of proposed termination and
disqualification; and,
• for records of institutions, service
institutions, unaffiliated centers, or
individuals requesting early removal,
corrective action plans to correct
Program violations that led to placement
on the NDL system of records.
RECORD SOURCE CATEGORIES:

Information in this system of records
is provided to FNS by Programadministering State agencies. The FNS
appropriate regional office will approve
the information and can assist the State
agency in entering or correcting the
information. The FNS national office
can also alter information in the system
as needed.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
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 contained in this
system may be disclosed outside USDA
as a routine use pursuant to 5 U.S.C.
552a(b)(3), to the extent that such uses
are compatible with the purposes for
which the information was collected.
Such permitted routine uses include the
following:
(1) To the Department of Justice
when: (a) USDA or any component
thereof; or (b) any employee of USDA in
his or her official capacity, or any

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Federal Register / Vol. 86, No. 167 / Wednesday, September 1, 2021 / Notices
employee of the agency in his or her
individual capacity where the
Department of Justice has agreed to
represent the employee; or (c) the
United States Government, is a party to
litigation or has an interest in such
litigation, and USDA determines that
the records are both relevant and
necessary to the litigation and the use of
such records by the Department of
Justice is deemed by USDA to be for a
purpose that is compatible with the
purpose for which USDA collected the
records.
(2) In an appropriate proceeding
before a court, grand jury, or
administrative or adjudicative body or
official, when the USDA or other
Agency representing the USDA
determines that the records are both
relevant and necessary to the
proceeding; or in an appropriate
proceeding before an administrative or
adjudicative body when the adjudicator
determines the records to be relevant to
the proceeding.
(3) To a congressional office in
response to an inquiry from that
congressional office made at the written
request of the individual about whom
the record pertains.
(4) To the National Archives and
Records Administration or other Federal
government agencies pursuant to
records management activities being
conducted under 44 U.S.C. 2904 and
2906.
(5) 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.
(6) To other Federal agencies or nonFederal entities under approved
computer matching efforts, limited to
only those data elements considered
relevant to determine eligibility under
particular benefit programs
administered by those agencies or
entities or by USDA or any component
thereof, to improve program integrity,
and to collect debts and other monies
owed under those programs.
(7) To another Federal agency or
Federal entity, when information from
this system of records is reasonably
necessary to assist the recipient agency
or entity in: (1) Responding to a
suspected or confirmed breach or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
(8) To appropriate agencies, entities,
and persons when: (1) USDA suspects

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or has confirmed that there has been a
breach of the system of records; (2)
USDA has determined that as a result of
the suspected or confirmed breach there
is a risk of harm to individuals, USDA
(including its information systems,
programs, and operations), the Federal
Government, or national security; and
(3) the disclosure made to such
agencies, entities, and persons is
reasonably necessary to assist in
connection with USDA’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm.
(9) To contractors and their agents,
grantees, experts, consultants, and other
performing or working on a contract,
service, grant, cooperative agreement, or
other assignment for the USDA, when
necessary to accomplish an agency
function related to this system of
records.
(10) When a record on its face, or in
conjunction with other records,
indicates a violation or potential
violation of law, whether civil, criminal
or regulatory in nature, and whether
arising by general statute or particular
program statute, or by regulation, rule,
or order issued pursuant thereto, USDA
may disclose the record to the
appropriate agency, whether Federal,
foreign, State, local, or tribal, or other
public authority responsible for
enforcing, investigating, or prosecuting
such violation or charged with enforcing
or implementing the statute, or rule,
regulation, or order issued pursuant
thereto, if the information disclosed is
relevant to any enforcement, regulatory,
investigative or prosecutive
responsibility of the receiving entity.
(11) USDA/FNS may disclose
information from this system of records
on individuals who have been
disqualified from participation in the
CACFP and/or SFSP to every agency
that administers the CACFP and/or
SFSP directly in the States and to every
sponsoring organization participating in
CACFP. The information will be
available to the State agency directors
and staff members, who make decisions
about application approval or
termination from participation in the
program or, in the case of sponsoring
organizations, make hiring decisions or
submit applications for approval of day
care home providers to the State agency.
(12) To the news media and the
public, with the approval of the Chief
Privacy Officer, the Office of
Communications and in consultation
with counsel, unless it is determined
that release of the specific information
in the context of a particular case would
constitute an unwarranted invasion of
personal privacy.

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(13) USDA will disclose information
about individuals from this system of
records in accordance with the Federal
Funding Accountability and
Transparency Act of 2006 (Pub. L. 109–
282; codified at 31 U.S.C. 6101, et seq.);
section 204 of the E-Government Act of
2002 (Pub. L. 107–347; 44 U.S.C. 3501
note), and the Office of Federal
Procurement Policy Act (41 U.S.C. 403
et seq.), or similar statutes requiring
agencies to make available publicly
information concerning Federal
financial assistance, including grants,
subgrants, loan awards, cooperative
agreements and other financial
assistance; and contracts, subcontracts,
purchase orders, task orders, and
delivery orders.
(14) Disclosures pursuant to 5 U.S.C.
552a(b)(12). Disclosures may be made
from this system to ‘‘consumer reporting
agencies’’ as defined in the Fair Credit
Reporting Act (15 U.S.C. 1681a(f)) or the
Debt Collection Act of 1982 (31 U.S.C.
3711(d)(4)).
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:

State agencies and FNS can view
records in the NDL. eAuthentication
level 2 clearance is required to enter,
change or view records in the system.
Records are maintained electronically.
The NDL also contains three notices for
each disqualification. These paper
notices were mailed to the disqualified
individuals and uploaded in the NDL as
PDFs. Although NDL records are
electronic, State agencies and FNS
Regional Offices keep paper copies of
the uploaded notices.
For FNS and Program-administering
States, records may be retrieved by the
individual’s name and date of birth for
responsible individuals and day care
home providers, in addition to FEIN or
DUNS number for institutions, service
institutions, and unaffiliated centers.
CACFP sponsoring organizations
identify records for retrieval using name
and state.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:

Currently, records remain in the NDL
after the disqualification expires with a
changes status of removed. This process
will change to delete all records three
years after disqualification expires.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:

NDL system of records Username/
Password: NDL user IDs and passwords
are used to limit access to the
application. Access is controlled
through USDA eAuthentication service.
NDL requires a Level 1 or Level 2
access. Level 1 users are automatically

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Federal Register / Vol. 86, No. 167 / Wednesday, September 1, 2021 / Notices

provided restricted access to the
application. Level 2 users have managed
access within the application.
The NDL system accomplishes this
functionality by requiring that a specific
role be assigned to each user.
Sponsoring organizations have eAuthentication level 1 clearance
allowing them to view individuals’
names, other legal names, state,
termination date, disqualified status,
whether a debt is owed, and pending
status. For institutions, they may view
institutions’ names and previous names,
full address, termination date,
disqualified status, whether a debt is
owed, and pending status.
State agency and FNS users have eAuthentication level 2 clearance, which
allows them to view the information
listed above, in addition to date of birth
and individuals’ full addresses.
Currently, all States and four territories
have access to the NDL with eAuthentication level 2 clearance. Once
identified, the system uses the existing
functionality within the FNS General
Support System platform to selectively
control permissions by role. As
mentioned, controls for eAuthentication level 1 users include
restricting information view privileges
by removing dates of birth and
individuals’ full addresses from view. eAuthentication level 2 can view all the
data.
NDL Application software roles: Users
with eAuthentication level 2 credentials
are assigned roles which determine the
level of access they have within NDL.
Server to Server and Client to/from
Server communications encryption:
Secure Socket Layer (SSL) with 128-bit
encryption has been applied to all the
application servers, which are only
available through FNS Intranet
connection. In addition, all
communications between servers will
be encrypted.
Vulnerabilities and anti-virus: Known
vulnerabilities are regularly identified
and resolved. Many tools, such as
Tenable and Splunk are used scan
resources. The sources for these scan
services include vendors and the
National Vulnerability Database.
Industry best practices are followed to
resolution. Users on client machines do
not have local administrative rights,
which maintain low vulnerability. Users
have the ability to intentionally or
accidentally download and install
malicious code. This risk is mitigated
using a multi-layered approach. First,
anti-virus applications are deployed to
all client machines and virus definitions
are automatically updated daily using a
centrally managed update server.
Second, all systems are monitored and

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randomly inspected for unauthorized
software. DISC EDC employs Retina for
daily scans of VMs and configured
environments to identify vulnerabilities
and alert appropriate personnel.
RECORD ACCESS PROCEDURES:

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 Headquarters or
component’s FOIA Officer, whose
contact information can be found at
https://www.dm.usda.gov/foia/poc.htm.
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 FOIA Officer, Department of
Agriculture, 1400 Independence Avenue
SW, Washington, DC 20250.
The request should include a daytime
phone number and email. Provide as
much information as possible about the
subject matter of the records you are
requesting. This will help facilitate the
search process.
When seeking records about yourself
from this NDL system of records, or any
other Departmental system of records,
your request must conform with the
Privacy Act regulations set forth in 7
CFR 1.112 (Procedures for requests
pertaining to individual records in a
record system). You must submit a
written request in accordance with the
instructions set forth in the system of
records.
Provide your full name, date, name of
system of records, and either (1) have
your signature witnessed by a notary; or
(2) include the following statement
immediately above the signature on
your request letter: ‘‘I declare under
penalty of perjury that the foregoing is
true and correct. Executed on [date].’’
Requests that do not contain the
required declaration will be processed
under the Freedom of Information Act
(FOIA), and, if records are found, you
may not receive as much information,
including information about you. If
additional information is required to
fulfill a Privacy Act request, you will be
notified.
When the request is for one of access,
the request should include the full name
of the individual making the request,
the name of the system of records, and
a statement of whether the requester
desires to make a personal inspection of
the records or to be supplied with
copies by mail or email.
In accordance with 7 CFR 1.113, prior
to inspection of the records, the
requester shall present sufficient
identification (e.g., driver’s license,
employee identification card, social

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security card, credit cards) to establish
that the requester is the individual to
whom the records pertain. No
identification shall be required,
however, if the records are required by
5 U.S.C. 552 to be released. If FNS
determines to grant the requested
access, fees may be charged in
accordance with § 1.120 before making
the necessary copies. In place of a
notarization, your signature may be
submitted under 28 U.S.C. 1746, a law
that permits statements to be made
under penalty of perjury as a substitute
for notarization.
CONTESTING RECORD PROCEDURES:

Individuals seeking to contest or
amend records maintained in this
system of records must direct their
request to the address indicated in the
‘‘RECORD ACCESS PROCEDURES’’
paragraph, above and must follow the
procedures set forth in 7 CFR part 1,
subpart G, § 1.116 (Request for
correction or amendment to record). All
requests must state clearly and
concisely what record is being
contested, the reasons for contesting it,
and the proposed amendment to the
record. A determination whether a
record may be amended will be made
within 10 days of its receipt.
NOTIFICATION PROCEDURES:

Individuals may be notified if a record
in this system of records pertains to
them when the individuals request
information utilizing the same
procedures as those identified in the
‘‘RECORD ACCESS PROCEDURES’’
paragraph, above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:

None.
HISTORY:

https://www.federalregister.gov/
documents/2004/02/12/04-3116/
privacy-act-proposed-new-system-ofrecords.
Cynthia Long,
Acting Administrator, Food and Nutrition
Service.
[FR Doc. 2021–18808 Filed 8–31–21; 8:45 am]
BILLING CODE 3410–30–P

DEPARTMENT OF AGRICULTURE
Foreign Agricultural Service
WTO Agricultural Quantity-Based
Safeguard Trigger Levels
Foreign Agricultural Service,
U.S. Department of Agriculture.
ACTION: Notice of product coverage and
trigger levels for safeguard measures
provided for in the World Trade
AGENCY:

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