[Federal Register Volume 81, Number 244 (Tuesday, December 20, 2016)]
[Notices]
[Pages 92953-92957]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-30614]


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DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Federal Fiscal Year 2017 Annual List of Certifications and 
Assurances for Federal Transit Administration Grants and Cooperative 
Agreements

AGENCY: Federal Transit Administration, DOT.

ACTION: Notice of availability.

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SUMMARY: This notice announces the availability of the Federal 
Transportation Administration's (FTA) Fiscal Year (FY) 2017 Annual List 
of Certifications and Assurances for FTA Grants and Cooperative 
Agreements, which can be found at FTA's Web site, www.transit.dot.gov/certs. This notice provides a condensed list of the pre-award 
Certifications and Assurances that may apply to an Applicant to FTA for 
federal assistance and the Award that may be made in FY 2017. This 
notice also describes both the Applicant and FTA's responsibilities 
with respect to the Certifications and Assurances and highlights the 
differences between the FY 2017 Certifications and Assurances and those 
published for FY 2016. Each Applicant to FTA for federal assistance 
must submit the Certifications and Assurances that apply to it and any 
Award for which it seeks federal assistance during FY 2017. An 
Applicant to FTA typically acts through its authorized representative 
(You). You, as the Applicant's Authorized Representative, must have the 
authority to sign the Applicant's Certifications and Assurances and to 
bind your Applicant's compliance with the Certifications and Assurances 
you select on its behalf. Your Applicant's Certifications and 
Assurances must be affirmed by your Applicant's attorney. This notice 
provides instructions on how and when you should submit your 
Applicant's Certifications and Assurances for FY 2017.

DATES: Effective Date: These FY 2017 Certifications and Assurances are 
effective October 1, 2016, the first day of FY 2017.

FOR FURTHER INFORMATION CONTACT: The appropriate Regional or 
Metropolitan Office listed in this notice. For copies of related 
documents and information, see our Web site at www.transit.dot.gov/certs or contact our Office of Administration at 202-366-4007.

Region 1: Boston

States served: Connecticut, Maine, Massachusetts, New Hampshire, Rhode 
Island and Vermont. Telephone # 617-494-2055.

Region 2: New York

States served: New York and New Jersey. Telephone # 212-668-2170.

Region 3: Philadelphia

States served: Delaware, Maryland, Pennsylvania, Virginia, West 
Virginia, and the District of Columbia. Telephone # 215-656-7100.

Region 4: Atlanta

States served: Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina, and Tennessee, Territories served: 
Commonwealth of Puerto Rico and the U.S. Virgin Islands. Telephone # 
404-865-5600.

Region 5: Chicago

States served: Illinois, Indiana, Michigan, Minnesota, Ohio, and 
Wisconsin. Telephone # 312-353-2789.

Region 6: Dallas/Ft. Worth

States served: Arkansas, Louisiana, New Mexico, Oklahoma, and Texas. 
Telephone # 817-978-0550.

Region 7: Kansas City

States served: Iowa, Kansas, Missouri, and Nebraska. Telephone # 816-
329-3920.

Region 8: Denver

States served: Colorado, Montana, North Dakota, South Dakota, Utah, and 
Wyoming. Telephone # 303 362-2400.

Region 9: San Francisco

States served: Arizona, California, Hawaii, and Nevada, Territories 
served: Guam, American Samoa, and the Northern Mariana Islands. 
Telephone # 415-734-9490.

Region 10: Seattle

States served: Alaska, Idaho, Oregon, and Washington. Telephone # 206-
220-7954.

Chicago Metropolitan Office

Area served: Chicago Metropolitan Area. Telephone # 312-353-2789.

Los Angeles Metropolitan Office

Area served: Los Angeles Metropolitan Area. Telephone # 213-202-3950.

Lower Manhattan Recovery Office

Area served: Lower Manhattan. Telephone # 212-668-2170 212-668-1770.

New York Metropolitan Office

Area served: New York Metropolitan Area.Telephone # 212-668-2170.

[[Page 92954]]

Philadelphia Metropolitan Office

Area served: Philadelphia Metropolitan Area. Telephone # 215-656-7100.

Washington DC Metropolitan Office

Area served: Washington DC Metropolitan Area.Telephone # 202-219-3562/
202-219-3565.

Puerto Rico Office

Area Served: Commonwealth of Puerto Rico. Telephone # 787-771-2537.

SUPPLEMENTARY INFORMATION: 

1. What are FTA's responsibilities?

    The second sentence of 49 U.S.C. 5323(n) states in pertinent part 
that, ``[t]he Secretary [of Transportation] shall publish annually a 
list of all certifications required under this chapter [49 U.S.C. 
chapter 53]. . . .'' The first sentence of 49 U.S.C. 5323(n) states 
that, ``[a] certification required under this chapter [53] and any 
additional certification or assurance required by law or regulation to 
be submitted to the Secretary [who delegated that authority to the 
Federal Transit Administrator] may be consolidated into a single 
document to be submitted annually as part of a grant application under 
this chapter [53].'' Therefore, FTA has assembled those Certifications 
and Assurances into the following twenty-three (23) categories:
    Category 01. Required Certifications and Assurances for Each 
Applicant,
    Category 02. Lobbying,
    Category 03. Procurement and Procurement Systems,
    Category 04. Private Sector Protections,
    Category 05. Rolling Stock Reviews and Bus Testing,
    Category 06. Demand Responsive Service,
    Category 07. Intelligent Transportation Systems,
    Category 08. Interest and Financing Costs and Acquisition of 
Capital Assets by Lease,
    Category 09. Transit Asset Management Plan and Public 
Transportation Agency Safety Plan,
    Category 10. Alcohol and Controlled Substances Testing,
    Category 11. Fixed Guideway Capital Investment Grants Program (New 
Starts, Small Starts, and Core Capacity Improvement),
    Category 12. State of Good Repair Program,
    Category 13. Grants for Buses and Bus Facilities and Low or No 
Emission Vehicle Deployment Grant Programs,
    Category 14. Urbanized Area Formula Grants Programs and Passenger 
Ferry Grant Program,
    Category 15. Enhanced Mobility of Seniors and Individuals with 
Disabilities Programs,
    Category 16. Rural and Appalachian Development Programs,
    Category 17. Tribal Transit Programs (Public Transportation on 
Indian Reservations Programs),
    Category 18. State Safety Oversight Grant Program,
    Category 19. Public Transportation Emergency Relief Program,
    Category 20. Expedited Project Delivery Pilot Program,
    Category 21. Infrastructure Finance Programs,
    Category 22. Paul S. Sarbanes Transit in Parks Program, and
    Category 23. Construction Hiring Preferences.
    Since 1995, FTA has consolidated the pre-award Certifications and 
Assurances required by law or regulation into a single document for 
publication in the Federal Register. To receive federal assistance 
appropriated or made available for the Grant, Cooperative Agreement, 
Loan, Loan Guarantee, Line of Credit, and Major Credit Instrument 
programs FTA/DOT administers, your Applicant must submit the annual 
Certifications and Assurances required for the type of federal 
assistance it seeks.
    These FY 2017 Certifications and Assurances supersede any 
Certifications and Assurances published in an earlier fiscal year. 
After publication in the Federal Register, each Applicant must submit 
applicable FY 2017 Certifications and Assurances before FTA may award 
federal assistance to support that Applicant's request.

2. What is the legal effect of these certifications and assurances?

    a. Pre-Award Representations. These Certifications and Assurances 
are pre-award representations typically required by federal law or 
regulation that your Applicant must submit before FTA may provide 
federal assistance for its Award. In general, these FY 2017 
Certifications and Assurances are effective October 1, 2016, except as 
FTA determines otherwise in writing.
    Upon publication in the Federal Register, FTA may not provide 
federal assistance until you submit your Applicant's FY 2017 
Certifications and Assurances.
    b. Binding Commitment. Your Applicant must comply with any 
Certifications or Assurances you make on its behalf, irrespective of 
whether you remain your Applicant's authorized representative. When you 
submit its Certifications and Assurances to FTA, both you and your 
Applicant are agreeing to comply with those terms.
    c. Length of Commitment. Your Applicant's FY 2017 Certifications 
and Assurances remain in effect until its Award is closed or the end of 
the useful life of its federally assisted assets, whichever is later. 
If your Applicant provides different Certifications and Assurances in a 
later fiscal year, the later Certifications and Assurances will usually 
apply, except as FTA determines otherwise in writing.
    d. Duration. You and your Applicant may use the FY 2017 
Certifications and Assurances at FTA's Web site, www.transit.dot.gov/certs to support applications for federal assistance until FTA issues 
its FY 2018 Certifications and Assurances.
    e. The FY 2017 Certifications and Assurances Are Not a Complete 
List of Federal Requirements. FTA cautions that the FY 2017 
Certifications and Assurances focus mainly on those representations 
that your Applicant is required to submit to FTA before FTA may award 
federal assistance. Consequently, these Certifications and Assurances 
do not include many other federal requirements that will apply to your 
Applicant and its Award. Your Applicant is responsible for compliance 
with all applicable federal requirements.
    f. Federal Requirements. In addition to the information in this 
notice and FTA's FY 2017 Apportionments Notice, which will be published 
separately from this notice, FTA also strongly encourages you and your 
Applicant's staff and prospective and current Third Party Participants 
to review all federal legislation, regulations, safety directives, and 
guidance that apply to them and to your Applicant's proposed Award. The 
FY 2017 Master Agreement identifies many of those requirements and 
applicable guidance, and may be accessed at www.transit.dot.gov.
    g. Penalties for False or Fraudulent Statements. If you provide any 
false or fraudulent statement to the Federal Government on behalf of 
your Applicant or yourself, you may incur both federal civil and 
criminal penalties under the following statutes: (1) The Program Fraud 
Civil Remedies Act of 1986, as amended, 31 U.S.C. 3801 et seq., (2) 
U.S. Department of Transportation (U.S. DOT) regulations, ``Program 
Fraud Civil Remedies,'' 49 CFR part 31, and (3) Section 5323(l)(1) of 
title 49, United States Code, which authorizes federal criminal 
penalties and termination of federal assistance if you provide, on 
behalf of your Applicant or yourself, a false or fraudulent 
certificate, submission, or statement in connection

[[Page 92955]]

with the Federal Transit Program authorized by 49 U.S.C. chapter 53.

3. What are your responsibilities?

    a. Make sure that all involved with your Applicant's Award 
understand the federal requirements that will apply to your Applicant 
and its Award. FTA strongly advises you, as your Applicant's authorized 
representative, to read this notice and the Certifications and 
Assurances on the FTA Web site www.transit.dot.gov before selecting 
Certifications and Assurances on behalf of your Applicant. FTA also 
advises you to read the information accompanying the apportionment 
tables when FTA publishes its FY 2017 Apportionment Notices.
    Your Applicant is responsible for compliance with all federal 
requirements that apply to itself and its Award. Other entities and 
people, including Subrecipients, Third Party Contractors, and Third 
Party Subcontractors (Third Party Participants) can adversely affect 
your Applicant's ability to comply with those federal requirements. 
Accordingly, all Third Party Participants involved in its Award need to 
know and should agree to comply with the federal requirements that 
affect your Applicant's Award and themselves, as Third Party 
Participants.
    b. Subrecipient and Other Third Party Participation. Except when 
FTA has determined otherwise in writing, your Applicant is ultimately 
responsible for compliance with all Certifications and Assurances that 
you select on its behalf, even if the Award and some or all of the 
activities therein will be carried out by Subrecipients or other Third 
Party Participants. Therefore, FTA strongly recommends that you take 
appropriate measures to ensure that Subrecipients and other Third Party 
Participants involved in carrying out your Applicant's Award do not 
take actions that will cause your Applicant to violate the 
representations made in its Certifications and Assurances.
    c. Submit Your Applicant's Certifications and Assurances. You must 
submit all Categories of the FY 2017 Certifications and Assurances that 
apply to your Applicant and the Award(s) it seek in FY 2017. For your 
convenience, FTA recommends that you submit all twenty-three (23) 
Categories of Certifications and Assurances. Those provisions of the 
Certifications and Assurances that do not apply to your Applicant or 
its Award will not be enforced.
    d. Submit Your Applicant's Required Documentation. You must ensure 
that your Applicant has submitted to FTA a correct, current version of 
the following documents: (1) Authorizing Resolution; (2) Opinion of 
Counsel; and (3) Designation of Signature Authority. A new Authorizing 
Resolution may be needed if a previous Authorizing Resolution does not 
cover the work in the new application. A new Opinion of Counsel may be 
needed if your Applicant's legal status has changed. FTA requires that 
the Designation of Signature Authority reflect the current status of 
the appropriate officials with authority to bind your Applicant. Should 
you already have documentation on file reflecting the correct status of 
your Applicant's officials, further action to simply update the 
Designation of Signature Authority is not required. Sample templates 
for the above documents may be accessed at https://www.transit.dot.gov/trams. You must upload any updated documents concurrently with your 
Certifications and Assurances.
    e. Obtain the Affirmation of Your Applicant's Attorney. You must 
obtain an affirmation of your Applicant's Attorney, signed in FY 2017, 
stating that your Applicant has sufficient authority under its state 
and local laws to certify its compliance with the FY 2017 
Certifications and Assurances that you have selected on its behalf; the 
Certifications and Assurances have been legally made and constitute 
legal and binding obligations on your Applicant; and there is no 
legislation or litigation pending or imminent that might adversely 
affect the validity of these Certifications and Assurances, or of the 
performance of your Applicant's FTA assisted Award. Your Applicant's 
Attorney must sign this affirmation during FY 2017. An Affirmation of 
your Applicant's Attorney dated in a previous fiscal year is 
insufficient, unless FTA expressly determines otherwise in writing.
    f. When to Submit.
    (1) If your Applicant is applying for federal assistance under any 
of FTA's competitive capital programs (e.g., New Starts, Small Starts, 
or Core Capacity Improvement) or formula programs, FTA expects to 
receive your Applicant's FY 2017 Certifications and Assurances within 
ninety (90) days from the date FTA opens its new electronic award and 
management system, Transit Award Management System (TrAMS) or soon 
after the submittal of your Applicant's request for federal assistance 
for FY 2017.
    (2) If your Applicant seeks federal assistance from an FTA program 
other than a formula program or a discretionary capital or operating 
program, e.g., for a Public Transportation Innovation (formerly, 
Research, Development, Demonstration, and Deployment) Award, FTA 
expects to receive your Applicant's FY 2017 Certifications and 
Assurances with the submission of its Application for federal 
assistance or an amendment soon thereafter.

4. Where are FTA's FY 2017 certifications and assurances?

    FTA's FY 2017 Certifications and Assurances are available at:
    a. FTA's Web site, www.transit.dot.gov, and
    b. TrAMS, including at https://www.transit.dot.gov/trams.

5. What changes have been made since the FY 2016 certifications and 
assurances were published?

    The most significant changes are:
    a. In the Preface, we added master credit agreement and State 
Infrastructure Bank (SIB) to the list of instruments to which the 
Master Agreement applies.
    b. In Category 1.E, ``Suspension and Debarment Certification,'' we 
have added two new certifications: Category 1.E.2, ``Tax Liability,'' 
and Category 1.E.3, ``Felony Convictions.''
    c. In Category 5.B, ``Bus Testing,'' we note that FTA regulations, 
``Bus Testing,'' 49 CFR part 665 are now consistent with 49 U.S.C. 
5318.
    d. In Category 8.B, ``Acquisition of Capital Assets by Lease,'' we 
have added an exception to our Capital Leases regulations to provide an 
exception for rolling stock and related equipment subject to the 
provisions of section 3019(c) of the FAST Act.
    e. In Category 9.A, ``Transit Asset Management Plan,'' we have 
added references to FTA regulations, ``Transit Asset Management,'' 49 
CFR part 625.
    f. In Category 9.B, ``Public Transportation Safety,'' FTA is 
required to establish a comprehensive Public Transportation Safety 
Program. Three provisions of this Program include the National Public 
Transportation Safety Plan, the Public Transportation Safety 
Certification Training Program, and the Public Transportation Agency 
Safety Plan (See 49 U.S.C. 5329(b) through (d)). FTA believes 
consolidating these provisions into one certification is appropriate 
for the FY 2017 List of Certifications and Assurances.
    g. We added a new Category 9.C, ``State Safety Oversight 
Requirements,'' which references to 49 U.S.C. 5329(e) and FTA 
regulations, ``State Safety Oversight,'' 49 CFR part 674.
    h. In Category 11, ``Fixed Guideway Capital Investment Grants 
Program (New Starts, Small Starts, and Core

[[Page 92956]]

Capacity Improvement),'' we have added a reference to:
    (1) FTA Regulations, ``Transit Asset Management,'' 49 CFR part 625, 
and
    (2) The updated ``Final Interim Policy Guidance, Federal Transit 
Administration Capital Investment Grant Program,'' June 2016.
    i. In Category 12, ``State of Good Repair Program,'' we have added 
a reference to FTA Regulations, ``Transit Asset Management,'' 49 CFR 
part 625.
    j. In Category 13.A, ``Grants for Buses and Bus Facilities 
Program,'' we have:
    (1) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives in effect or when issued, that implement the 
Public Transportation Safety Programs authorized by 49 U.S.C. 5329, and
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    k. In Category 13.B, ``Low or No Emission Vehicle Deployment,'' we 
have:
    (1) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives, in effect or when issued, that implement 
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329, 
and
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    l. In Category 14.A, ``Urbanized Area Formula Grants Program,'' we 
have:
    (1) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives, in effect or when issued, that implement 
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329, 
and
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    m. In Category 14.B, ``Passenger Ferry Grant Program,'' we have:
    (1) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives, in effect or when issued, that implement 
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329, 
and
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    n. In Category 15, ``Enhanced Mobility of Seniors and Individuals 
with Disabilities Programs,'' we have:
    (1) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives, in effect or when issued, that implement 
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329, 
and
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    o. In Category 16.A, ``Formula Grants for Rural Areas Programs,'' 
we have:
    (1) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives, in effect or when issued, that implement 
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329, 
and
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    p. In Category 16.B, ``Appalachian Development Public 
Transportation Program,'' we have:
    (1) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives, in effect or when issued, that implement 
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329, 
and
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    q. In Category 17, ``Tribal Transit Programs (Public Transportation 
on Indian Reservations Programs,'' we have added a reference to FTA 
Regulations, ``Transit Asset Management,'' 49 CFR part 625.
    r. In Category 18, ``State Safety Oversight Grant Program,'' we 
have:
    (1) Explained that, depending on how far the Recipient has 
progressed in developing a State Safety Oversight program fully 
compliant with 49 CFR part 674, the following FTA regulations will 
apply:
    (a) The Recipient agrees that FTA regulations, ``State Safety 
Oversight,'' 49 CFR part 674, will apply when its State Safety 
Oversight program is fully compliant with FTA's requirements, but
    (b) The Recipient agrees that FTA regulations, ``Rail Fixed 
Guideway Systems; State Safety Oversight,'' 49 CFR part 659, will 
continue to apply to those states that have not yet implemented a fully 
compliant Public Transportation Safety Program.
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    s. In Category 20, ``Expedited Project Delivery Pilot Program,'' we 
have added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    t. In Category 21.A, ``Transportation Infrastructure Finance and 
Innovation Act (TIFIA) Program,'' we have:
    (1) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives, in effect or when issued, that implement 
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329, 
and
    (2) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.
    u. In Category 21.B, ``State Infrastructure Banks (SIB) Program, we 
have:
    (1) Noted that the U.S. DOT Build America Bureau will enter into 
SIB Cooperative Agreements with the state,
    (2) Added references to 49 U.S.C. 5329(b) guidance and other final 
regulations and directives, in effect or when issued, that implement 
the Public Transportation Safety Programs authorized by 49 U.S.C. 5329, 
and
    (3) Added a reference to FTA Regulations, ``Transit Asset 
Management,'' 49 CFR part 625.

6. How do you submit the certifications and assurances?

    a. Electronic Submission. Except in rare circumstances and if 
permitted by FTA, you must submit your Applicant's FY 2017 
Certifications and Assurances and your attorney's Affirmation in TrAMS. 
To submit the Certifications and Assurances, you must be registered in 
TrAMS. TrAMS contains fields for individually selecting among the 
twenty-three (23) Categories of Certifications and Assurances that 
apply to your Applicant and also a designated field for selecting all 
twenty-three (23) Categories, of which only the requirements that apply 
to you or your Applicant will be enforced.
    As an authorized representative of the Applicant, you must enter 
your personal identification number (PIN), which is your electronic 
signature, in TrAMS. The Attorney must enter his or her PIN in TrAMS, 
affirming your Applicant's legal authority to make and comply with the 
Certifications and Assurances you have selected on its behalf. You may 
enter your PIN in place of the Attorney's PIN, provided that your 
Applicant has on file and uploads to TrAMS a similar affirmation that 
has been written, dated, and signed by its Attorney in FY 2017.
    b. Paper Submission. Only in very limited circumstances may your 
Applicant submit its FY 2017 Certifications and Assurances solely on 
paper. For example if the Applicant has demonstrated that it is unable 
to submit its Certifications and Assurances electronically in TrAMS or 
is a one-time recipient, and if FTA has agreed in writing to accept 
your Applicant's Certifications and Assurances on paper, then your 
Applicant may indicate the Categories of Certifications and Assurances 
your Applicant is submitting in typewritten hard copy on the Signature 
Pages.
    To do so, you may place a single mark in the designated space to 
signify your Applicant's agreement to comply with all Categories of 
Certifications and Assurances to the extent that they apply

[[Page 92957]]

to it, or select the specific Categories of Certifications and 
Assurances that apply to your Applicant and its Award. You must obtain 
your Attorney's signature, whether on the Signature Page or on a 
separate document that makes the same affirmation as on the Signature 
Page. In such a case, the Regional Office or the Headquarters Program 
Office must attach the paper submission to TrAMS.
    For more information, you may contact the appropriate FTA Regional 
or Metropolitan Office.

    Authority. 49 U.S.C. chapter 53; the Fixing America's Surface 
Transportation (FAST) Act, Pub. L. 114-94, December 4, 2015; and 
other federal laws administered by FTA; U.S. DOT and FTA regulations 
codified or to be codified in Title 49, Code of Federal Regulations; 
and FTA Circulars.

    Issued in Washington, DC.
Matthew Welbes,
Executive Director.
[FR Doc. 2016-30614 Filed 12-19-16; 8:45 am]
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