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SD Filing
Williams-Sonoma (WSM) SDConflict minerals disclosure
Filed: 2 Jun 14, 12:00am
Exhibit 1.02
Conflict Minerals Report of Williams-Sonoma, Inc. in Accordance with Rule 13p-1 under the Securities and Exchange Act of 1934
This is the Conflict Minerals Report of Williams-Sonoma, Inc. for calendar year 2013 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities and Exchange Act of 1934 (the “1934 Act”). This Report contains information regarding all of Williams-Sonoma, Inc.’s merchandising concepts (Williams-Sonoma, Pottery Barn, Pottery Barn Kids, West Elm, PBteen, Rejuvenation, and Mark and Graham). Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise defined herein.
Williams-Sonoma, Inc. and its concepts are retailers of high-quality consumer products for the kitchen and home, including kitchen essentials, dinnerware, cookware, electrics, cutlery, furniture, bedding, bathroom accessories, lighting, decorative accessories, rugs, curtains, gifts, hardware, small leather goods, jewelry, and home décor. Williams-Sonoma, Inc.’s merchandising concepts contract to manufacture some, although not all, of the products they sell.
Due Diligence (Instructions 1.01(c)(1))
Overview: Tin, tungsten, tantalum or gold (“3TGs”) are necessary to the functionality of certain lighting and decorative accessories products that Williams-Sonoma, Inc. contracts to be manufactured (“In-Scope Products”). For calendar year 2013, Williams-Sonoma, Inc. completed due diligence that encompassed:
• | a reasonable country of origin inquiry regarding the 3TGs in the In-Scope Products that was reasonably designed to determine whether any of the 3TGs originated in the Democratic Republic of Congo or an adjoining country (“Covered Country”) or are from recycled or scrap sources; and |
• | measures to exercise due diligence on the source and chain of custody of those 3TGs. |
For Williams-Sonoma, Inc.’s due diligence exercise, the company created a team to oversee the process, which consisted of key personnel in the following departments: the Global Operations Department, the Sustainable Development Department, the Legal Department and the Finance Department.
The due diligence exercise conformed to an internationally recognized due diligence framework developed by the Organization for Economic Cooperation and Development as part of its “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas” (“OECD Guidance”). In accordance with the OECD Guidance,
Williams-Sonoma, Inc.’s due diligence exercise included: 1) adoption of a Conflict Minerals Policy, which was sent to relevant suppliers of Williams-Sonoma, Inc.’s products; 2) review and assessment of risk in the supply chain; and 3) a strategy to identify and respond to risks in the supply chain.1
Work with Suppliers: Williams-Sonoma, Inc. adopted the Electronic Industry Citizenship Coalition and Global e-Sustainability Initiative’s (EICC-GsSI) Conflict Minerals Reporting template. Members of Williams-Sonoma, Inc.’s Legal Department and Sustainable Development Department then identified suppliers of products that Williams-Sonoma, Inc. contracted to have manufactured and for which 3TGs might be necessary for product functionality or production. These suppliers were generally suppliers of lighting products and decorative accessories.
Williams-Sonoma, Inc. contacted each supplier and requested that it complete the EICC-GsSI Reporting Template. A third-party vendor was engaged to streamline this process by allowing suppliers to enter responses via the online EICC-GsSI Reporting Template. The vendor provided support for suppliers in completing the survey and also aggregated the data provided by suppliers so that Williams-Sonoma, Inc. could review and analyze the data.
As a retailer of consumer products, Williams-Sonoma, Inc. is several levels removed from the mining of conflict minerals, does not make direct purchases of raw or unrefined minerals and makes no purchases in the Covered Countries. Therefore, Williams-Sonoma, Inc. requested that each supplier identify whether 3TGs are used in items produced for the company, whether the minerals were recycled or scrap, and if not, all the smelters in the supplier’s supply chain, including the name and country of the smelter, and whether those smelters had been validated as conflict-free in accordance with the Conflict-Free Smelter (CFS) program. Williams-Sonoma, Inc. performed a good-faith review of the responses received from suppliers and performed an assessment of the data and requested additional information from suppliers as appropriate. All suppliers were asked to review the Conflict Minerals Policy and to sign a form acknowledging the policy.
Williams-Sonoma, Inc. was able to determine with reasonable certainty the country of origin for many of the 3TGs used in its products. However, not all suppliers completed the requested EICC-GsSI Reporting Template, notwithstanding repeated urging that they do so by Williams-Sonoma, Inc. Additionally, not all suppliers that completed the template identified smelters for their 3TGs. In some instances, this is because the suppliers could not obtain information regarding smelters from the sources of 3TGs. Where suppliers identified smelters used to process the necessary 3TGs, none were located in the Covered Countries, and many were part of the CFS program.
1 | Paragraph 1.01(c)(1)(iii) of the Rule 13p-1 instructions for Form SD requires disclosure of certain types of steps “since the end of the period covered in [the registrant’s] most recent prior Conflict Minerals Report.” Williams-Sonoma, Inc. understands that this instruction is inapplicable since there is no prior report. |
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Product Description and Related Matters (Instructions 1.01(c)(2))
Description of In-Scope Products: The In-Scope Products are lighting and decorative accessories, including some seasonal merchandise, bath hardware, and tabletop items.
Facilities Used to Process Necessary Conflict Minerals in In-Scope Products:
Due diligence revealed that necessary conflict minerals used in In-scope products were derived from the smelters and countries identified below. This list only includes smelter information provided by those suppliers who completed the EICC-GsSI Reporting Template.
SMELTER | COUNTRY | |
A.L.M.T. CORP. | JAPAN | |
AIDA CHEMICAL INDUSTRIES CO. LTD | JAPAN | |
AIM | CANADA | |
ALLGEMEINE GOLD- UND SILBERSCHEIDEANSTALT A.G. | GERMANY | |
ALMALYK MINING AND METALLURGICAL COMPLEX (AMMC) | UZBEKISTAN | |
AMERICAN IRON AND METAL | CANADA | |
ANGLOGOLD ASHANTI MINERAÇÃO LTDA | BRAZIL | |
ARCELORMITTAL | CANADA | |
ARGOR-HERAEUS SA | SWITZERLAND | |
ASAHI PRETEC CORPORATION | JAPAN | |
ASAKA RIKEN CO LTD | JAPAN | |
ATASAY KUYUMCULUK SANAYI VE TICARET A.S. | TURKEY | |
ATI TUNGSTEN MATERIALS | UNITED STATES | |
AURUBIS AG | GERMANY | |
BANGKO SENTRAL NG PILIPINAS (CENTRAL BANK OF THE PHILIPPINES) | PHILIPPINES | |
BEST METALS | UNKNOWN | |
BOLIDEN AB | SWEDEN | |
UNKNOWN | INDIA | |
CARIDAD | MEXICO | |
CENDRES & MÉTAUX SA | SWITZERLAND | |
CENTRAL BANK OF THE DPR OF KOREA | KOREA, REPUBLIC OF | |
CHAOZHOU XIANGLU TUNGSTEN INDUSTRY CO LTD | CHINA | |
CHIMET SPA | ITALY | |
CHINA MINMETALS NONFERROUS METALS CO LTD | CHINA | |
CHINA TIN GROUP CO., LTD | CHINA | |
CHINA TIN SMELTER CO. LTD | CHINA |
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CHONGYI ZHANGYUAN TUNGSTEN CO LTD | CHINA | |
CHUGAI MINING | JAPAN | |
CNMC (GUANGXI) PGMA CO. LTD. | CHINA | |
CODELCO | CHILE | |
COOKSON | UNITED STATES | |
COOPER SANTA | BRAZIL | |
COOSON SEMPSA | SPAIN | |
CV DUTA PUTRA BANGKA | INDONESIA | |
CV JUSTINDO | INDONESIA | |
CV MAKMUR JAYA | INDONESIA | |
CV NURJANAH | INDONESIA | |
CV PRIMA TIMAH UTAMA | INDONESIA | |
CV SERUMPUN SEBALAI | INDONESIA | |
CV UNITED SMELTING | INDONESIA | |
DAEJIN INDUS CO. LTD | KOREA, REPUBLIC OF | |
DAERYONGENC | KOREA, REPUBLIC OF | |
DAEWOO INTERNATIONAL | KOREA, REPUBLIC OF | |
DAYU WEILIANG TUNGSTEN CO., LTD. | CHINA | |
DO SUNG CORPORATION | KOREA, REPUBLIC OF | |
DONGGUAN STANDARD ELECTRONIC MATERIAL.CO., LTD | CHINA | |
DOWA | JAPAN | |
DUOLUOSHAN | CHINA | |
ECO-SYSTEM RECYCLING CO., LTD. | JAPAN | |
EM VINTO | BOLIVIA | |
EXOTECH INC. | UNITED STATES | |
F&X | CHINA | |
FEINHÜTTE HALSBRÜCKE GMBH | GERMANY | |
FENIX METALS | POLAND | |
FSE NOVOSIBIRSK REFINERY | RUSSIAN FEDERATION | |
FUJIAN JINXIN TUNGSTEN CO., LTD. | CHINA | |
GANNON & SCOTT | UNITED STATES | |
GANZHOU GRAND SEA W & MO GROUP CO LTD | CHINA | |
GEIJU NON-FERROUS METAL PROCESSING CO. LTD. | CHINA | |
GEJIU ZI-LI | CHINA | |
GLOBAL ADVANCED METALS | UNITED STATES | |
GLOBAL TUNGSTEN & POWDERS CORP | UNITED STATES | |
GOLD BELL GROUP | CHINA | |
GOODWAY | UNKNOWN | |
GUANG XI LAN BIN YE LIAN CHANG | ALBANIA | |
H. KRAMER & COMPANY | UNITED STATES | |
H.C. STARCK GMBH | UNITED STATES |
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H.C. STARCK GMBH | GERMANY | |
HEIMERLE + MEULE GMBH | GERMANY | |
HERAEUS LTD HONG KONG | HONG KONG | |
HERAEUS PRECIOUS METALS GMBH & CO. KG | GERMANY | |
HI-TEMP | UNITED STATES | |
HUICHANG JINSHUNDA TIN CO. LTD | CHINA | |
HUNAN CHENZHOU MINING GROUP CO | CHINA | |
HUNAN CHUN-CHANG NONFERROUS SMELTING & CONCENTRATING CO., LTD. | CHINA | |
HWASUNG CJ CO. LTD | KOREA, REPUBLIC OF | |
IBF IND BRASILEIRA DE FERROLIGAS LTDA | BRAZIL | |
INDONESIAN STATE TIN CORPORATION | INDONESIA | |
INDONESIAN TIN INGOT | INDONESIA | |
INNER MONGOLIA QIANKUN GOLD AND SILVER REFINERY SHARE COMPANY LIMITED | CHINA | |
ISHIFUKU METAL INDUSTRY CO., LTD. | JAPAN | |
ISTANBUL GOLD REFINERY | TURKEY | |
JAPAN MINT | JAPAN | |
JAPAN NEW METALS CO LTD | JAPAN | |
JIANGXI COPPER COMPANY LIMITED | CHINA | |
JIANGXI NANSHAN | CHINA | |
JIANGXI RARE EARTH & RARE METALS TUNGSTEN GROUP CORP | CHINA | |
JIANGXI TUNGSTEN INDUSTRY CO LTD | CHINA | |
JIUJIANG JINXIN NONFERROUS METALS CO. LTD. | CHINA | |
JIUJIANG TAMBRE CO. LTD. | CHINA | |
JOHNSON MATTHEY INC | UNITED STATES | |
JOHNSON MATTHEY LIMITED | CANADA | |
JSC EKATERINBURG NON-FERROUS METAL PROCESSING PLANT | RUSSIAN FEDERATION | |
JSC URALECTROMED | RUSSIAN FEDERATION | |
JX NIPPON MINING & METALS CO., LTD | JAPAN | |
KAI UNITA TRADE LIMITED LIABILITY COMPANY | CHINA | |
KAZZINC LTD | KAZAKHSTAN | |
KEMET BLUE POWDER | UNITED STATES | |
KENNAMETAL INC. | UNITED STATES | |
KENNECOTT UTAH COPPER | UNITED STATES | |
KETABANG | INDONESIA | |
KOJIMA CHEMICALS CO. LTD | JAPAN | |
KOKI JAPAN | JAPAN | |
KOREA METAL CO. LTD | KOREA, REPUBLIC OF | |
KUNDUR SMELTER | INDONESIA | |
KUNSHAN JINLI CHEMICAL INDUSTRY REAGENTS CO., LTD. | CHINA |
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KYRGYZALTYN JSC | KYRGYZSTAN | |
L’ AZURDE COMPANY FOR JEWELRY | SAUDI ARABIA | |
LINGBAOJINYUAN TONGHUI | CHINA | |
LIUZHOU CHINA TIN | CHINA | |
LS-NIKKO COPPER INC | KOREA, REPUBLIC OF | |
MALAYSIA SMELTING CORPORATION (MSC) | MALAYSIA | |
MATERION | UNITED STATES | |
MATSUDA SANGYO CO. LTD | JAPAN | |
MCP METAL SPECIALIST INC. | UNITED KINGDOM | |
METALLO CHIMIQUE | BELGIUM | |
METALLO CHIMIQUE | GERMANY | |
METALOR TECHNOLOGIES (HONG KONG) LTD | HONG KONG | |
METALOR TECHNOLOGIES SA | SWITZERLAND | |
METALOR USA REFINING CORPORATION | UNITED STATES | |
MET-MEX PEÑOLES, S.A. | MEXICO | |
MINERAÇÃO TABOCA S.A. | BRAZIL | |
MING LI JIA SMELT METAL FACTORY | CHINA | |
MINSUR | PERU | |
MITSUBISHI MATERIALS CORPORATION | JAPAN | |
MITSUI MINING AND SMELTING CO., LTD. | JAPAN | |
MK ELECTRON | KOREA, REPUBLIC OF | |
MOSCOW SPECIAL ALLOYS PROCESSING PLANT | RUSSIAN FEDERATION | |
NADIR METAL RAFINERI SAN. VE TIC. A.Ş. | TURKEY | |
NAVOI MINING AND METALLURGICAL COMBINAT | UZBEKISTAN | |
NGHE TIN NON-FERROUS METAL | - | |
NIHON KAGAKU SANGYO CO., LTD | JAPAN | |
NIHON MATERIAL CO. LTD | JAPAN | |
NIHON SUPERIOR CO., LTD | JAPAN | |
NINGXIA ORIENT TANTALUM INDUSTRY CO., LTD. | CHINA | |
NIPPON FILLER METALS LTD | JAPAN | |
NOVOSIBIRSK INTEGRATED TIN WORKS | RUSSIAN FEDERATION | |
OHIO PRECIOUS METALS LLC. | UNITED STATES | |
OJSC “THE GULIDOV KRASNOYARSK NON-FERROUS METALS PLANT” (OJSC KRASTVETMET) | RUSSIAN FEDERATION | |
OJSC KOLYMA REFINERY | RUSSIAN FEDERATION | |
OMSA | BOLIVIA | |
PAMP SA | SWITZERLAND | |
PAN PACIFIC COPPER CO. LTD | JAPAN | |
PLANSEE | AUSTRIA | |
PRIOKSKY PLANT OF NON-FERROUS METALS | RUSSIAN FEDERATION | |
PT ALAM LESTARI KENCANA | INDONESIA | |
PT ANEKA TAMBANG (PERSERO) TBK | INDONESIA |
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PT ARTHA CIPTA LANGGENG | INDONESIA | |
PT BABEL INTI PERKASA | INDONESIA | |
PT BABEL SURYA ALAM LESTARI | INDONESIA | |
PT BANGKA KUDAI TIN | INDONESIA | |
PT BANGKA PUTRA KARYA | INDONESIA | |
PT BANGKA TIMAH UTAMA SEJAHTERA | INDONESIA | |
PT BELITUNG INDUSTRI SEJAHTERA | INDONESIA | |
PT BILLITIN MAKMUR LESTARI | INDONESIA | |
PT BUKIT TIMAH | INDONESIA | |
PT DS JAYA ABADI | INDONESIA | |
PT EUNINDO USAHA MANDIRI | INDONESIA | |
PT FANG DI MULTINDO | INDONESIA | |
PT HP METALS INDONESIA | INDONESIA | |
PT KOBA TIN | INDONESIA | |
PT MITRA STANIA PRIMA | INDONESIA | |
PT REFINED BANKA TIN | INDONESIA | |
PT SARIWIGUNA BINASENTOSA | INDONESIA | |
PT STANINDO INTI PERKASA | INDONESIA | |
PT SUMBER JAYA INDAH | INDONESIA | |
PT TAMBANG TIMAH | INDONESIA | |
PT TIMAH | INDONESIA | |
PT TIMAH NUSANTARA | INDONESIA | |
PT TININDO INTER NUSA | INDONESIA | |
PT YINCHENDO MINING INDUSTRY | INDONESIA | |
PURE TECHNOLOGY | RUSSIAN FEDERATION | |
PX PRÉCINOX SA | SWITZERLAND | |
RAND REFINERY (PTY) LTD | SOUTH AFRICA | |
RFH | CHINA | |
ROHM & HASS | CHINA | |
ROYAL CANADIAN MINT | CANADA | |
RUI DA HUNG | TAIWAN | |
SABIN METAL CORP. | UNITED STATES | |
SAMHWA NON-FERROUS METAL. INC CO., LTD | KOREA, REPUBLIC OF | |
SAMWON METALS CORP. | KOREA, REPUBLIC OF | |
SCHONE EDELMETAAL | NETHERLANDS | |
SCOTIA MOCATTA | HONG KONG | |
SEMPSA JOYERIA PLATERIA SA | SPAIN | |
SHANDONG GOLD MINING CO LTD | CHINA | |
SHANDONG ZHAOJIN GOLD & SILVER REFINERY CO. LTD | CHINA | |
SHANGHAI GOLD EXCHANGE | CHINA | |
SHANGHAI YUEQIANG METAL PRODUCTS CO., LTD | CHINA |
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SO ACCURATE REFING GROUP | UNITED STATES | |
SOE SHYOLKOVSKY FACTORY OF SECONDARY PRECIOUS METALS | RUSSIAN FEDERATION | |
SOFT METAIS LTDA | BRAZIL | |
SOJITZ | JAPAN | |
SOLAR APPLIED MATERIALS TECHNOLOGY CORP. | CHINA | |
SOLAR APPLIED MATERIALS TECHNOLOGY CORP. | TAIWAN | |
SOLIKAMSK METAL WORKS | RUSSIAN FEDERATION | |
SOOCHOW UNIVERSITY’S | CHINA | |
STANDARD BANK | HONG KONG | |
SUMISHO | JAPAN | |
SUMITOMO METAL MINING CO. LTD. | AUSTRALIA | |
SUMITOMO METAL MINING CO. LTD. | CHILE | |
SUMITOMO METAL MINING CO. LTD. | PERU | |
SUMITOMO METAL MINING CO. LTD. | JAPAN | |
SUZHOU XINGRUI NOBLE | CHINA | |
TAICANG CITY NANCANG METAL METERIAL CO.,LTD | CHINA | |
TAK LAP ELECTRICAL CO., LTD | CHINA | |
TAKI CHEMICALS | JAPAN | |
TANAKA KIKINZOKU KOGYO K.K. | JAPAN | |
TANTALITE RESOURCES | SOUTH AFRICA | |
TECHNIC INC | UNITED STATES | |
TEJING (VIETNAM) TUNGSTEN CO LTD | VIETNAM | |
TELEX | UNITED STATES | |
THAILAND SMELTING & REFINING CO., LTD. (THAISRCO) | THAILAND | |
THAISARCO | THAILAND | |
THE GREAT WALL GOLD AND SILVER REFINERY OF CHINA | CHINA | |
THE REFINERY OF SHANDONG GOLD MINING CO. LTD | CHINA | |
TIMAH | INDONESIA | |
TOKURIKI HONTEN CO. LTD | JAPAN | |
TOM TES SMETLER | HONG KONG | |
TONG DING METAL COMPANY. LTD. | CHINA | |
TONGLING NONFERROUS METALS GROUP HOLDINGS CO; LTD. | CHINA | |
TORECOM | KOREA, REPUBLIC OF | |
ULBA | KAZAKHSTAN | |
UMICORE BRASIL LTDA | BRAZIL | |
UMICORE SA BUSINESS UNIT PRECIOUS METALS REFINING | BELGIUM | |
UNITED PRECIOUS METAL REFINING, INC. | UNITED STATES | |
UNVERTICAL INTERNATIONAL (SUZHOU) CO., LTD | CHINA | |
VALCAMBI SA | SWITZERLAND | |
WESTERN AUSTRALIAN MINT TRADING AS THE PERTH MINT | AUSTRALIA |
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WESTFALENZINN | GERMANY | |
WHITE SOLDER METALURGIA | BRAZIL | |
WILHELM WESTMETALL, GERMANY | GERMANY | |
WOLFRAM BERGBAU UND HÜTTEN AG | AUSTRIA | |
WOLFRAM COMPANY CJSC | RUSSIAN FEDERATION | |
XIAMEN TUNGSTEN CO LTD | CHINA | |
XIHAI | CHINA | |
XINHAI RENDAN SHAOGUAN TUNGSTEN CO., LTD. | INDONESIA | |
XSTRATA CANADA CORPORATION | CANADA | |
YAMAMOTO PRECIOUS METAL CO., LTD. | JAPAN | |
YANTAI ZHAOJIN KANFORT PRECIOUS METALS INCORPORATED COMPANY | CHINA | |
YASMIN SILVER | INDONESIA | |
YIFENG TIN INDUSTRY (CHENZHOU) CO LTD | CHINA | |
YOKOHAMA METAL CO LTD | JAPAN | |
YTMM | CHINA | |
YUNNAN CHENGFENG | CHINA | |
YUNNAN TIN COMPANY LIMITED | CHINA | |
YUNXI | CHINA | |
ZHAOJIN GOLD & SILVER REFINERY CO., LTD | CHINA | |
ZHEJIANG AODA CEMENTED CARBIDE CO., LTD | CHINA | |
ZHONGSHAN PUBLIC SECURITY BUREAU, GUANGDONG PROVINCE, CHINA | CHINA | |
ZHONGYUAN GOLD SMELTER OF ZHONGJIN GOLD CORPORATION | CHINA | |
ZHUHAI HORYISON SOLDER CO., LTD | CHINA | |
ZHUZHOU CEMENTED CARBIDE GROUP CO LTD | CHINA | |
ZIJIN MINING GROUP CO. LTD | CHINA |
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Information About Country of Origin of Necessary Conflict Minerals Used in In-Scope Products:
Due diligence revealed that necessary conflict minerals used in In-scope products were derived from the smelters in the countries identified below. This list only includes information provided by those suppliers who completed the EICC-GsSI Reporting Template.
ALBANIA |
AUSTRIA |
BELGIUM |
BOLIVIA |
BRAZIL |
CANADA |
CHILE |
CHINA |
GERMANY |
HONG KONG |
INDIA |
INDONESIA |
ITALY |
JAPAN |
KAZAKHSTAN |
KOREA, REPUBLIC OF |
KYRGYZSTAN |
MALAYSIA |
MEXICO |
NETHERLANDS |
PERU |
PHILIPPINES |
POLAND |
RUSSIAN FEDERATION |
SAUDI ARABIA |
SOUTH AFRICA |
SPAIN |
SWEDEN |
SWITZERLAND |
TAIWAN |
THAILAND |
TURKEY |
UNITED KINGDOM |
UNITED STATES |
UZBEKISTAN |
Information About Efforts to Determine Mine or Location of Origin: The description of the company’s due diligence exercise set forth above under the heading “Due Diligence” covers Williams-Sonoma, Inc.’s efforts to determine the mine or location of origin with the greatest possible specificity.
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