ACADEMIC GRIEVANCE POLICY (HIGHER DEGREE RESEARCH STUDENTS)

Date approved:

17 August 2007

Date Policy will take effect:

17 August 2007

Date of Next Review:

2010

Approved by:

University Council

Custodian title & e-mail address:

Director, Research Student Centre
research_student_centre@uow.edu.au

Author:

 

Responsible Faculty/

Division & Unit:

Research Services Centre, Research and Innovation Division

Supporting documents, procedures & forms of this policy:

Sample Faculty Academic Grievance Resolution Flowchart (Schedule 1)
Appeal against Decision or Action Affecting Academic Experience (Schedule 2)

References & Legislation:

University of Wollongong Strategic Plan 2008 – 2010
Code of Practice - Supervision

Code of Practice – Research

General Course Rules dealing with HDR Students

HDR Progress Review and Probation Guidelines

HDR First Year Research Proposal Review Guidelines

Academic Grievance Policy (Coursework and Honours Students)

Grievance Resolution Procedures

Student Conduct Rules

Campus Access and Order Rules

HDR Appeal Committee Terms of Reference

Appeals Against a Higher Degree Research Thesis Examination Outcomes Policy

Records Management Policy

Audience:

Public – accessible to anyone

Expiry Date of Policy:

Not applicable

  • Contents

1 Purpose of Policy

  • 1. The University aims to provide a fair, equitable and productive learning environment for all its students. This policy seeks to support the achievement of this goal by providing a transparent and consistent process for resolving Higher Degree Research (HDR) student academic grievances.
  • 2. The policy affirms the UOW Guiding Principles contained in the University Strategic Plan.

2 Definitions

Word/Term

Definition

Academic grievance

a complaint by a HDR student concerning a decision, act or omission of a member of UOW staff or committee which affects the student's academic experience

Conciliation

an impartial third party assists in the process of grievance resolution

Due process

procedural rights under this policy, other policies (including University, Faculty or Unit policies), University rules and codes of practice, and includes the application of the principles of natural justice

In good faith

honestly and with propriety

HDR student

a person:

    1. who has been accepted for admission to or enrolled in any Postgraduate research degree offered at, or in conjunction with, the University of Wollongong [or Wollongong College Australia]; or

    2. whose body of HDR work (e.g. a research thesis) is incomplete or still under examination;

    3. who was enrolled as a HDR student and whose body of HDR work (e.g. a research thesis) was examined as part of their HDR candidature at the University

Natural justice

the right to be given a fair hearing and the opportunity to present one's case, and the right to have a decision made by an unbiased decision-maker

Representative student body

the Wollongong University Students' Association or the Wollongong University Postgraduate Association

Research progress review

a review of an HDR candidate's progress that occurs at various stages through out the HDR candidate's candidature and includes the First year research proposal reviews, Faculty progress reviews and annual progress reviews, as described in the HDR First Year Research Proposal Review Guidelines and HDR Progress Review and Probation Guidelines

3 Application & Scope

  • 1. The Academic Grievance Policy (Higher Degree Research (HDR) Students) applies to HDR candidates enrolled at University of Wollongong and sets out:
    • 1.1. the general approach of the University of Wollongong (UOW) in resolving grievances relating to decisions, acts or omissions of UOW staff or committees (excluding the Thesis Examination Committee (TEC) which covered in the Appeals Against Higher Degree Research Thesis Examination Outcomes Policy which affect the academic experience of HDR students; and
    • 1.2. informal and formal procedures which HDR students should follow in pursuing grievances regarding their academic experience.
  • 2. This policy does NOT cover grievances that arise from outcomes of the HDR thesis examination process. Because of the prescribed nature of the examination process for Higher Degree Research theses a separate policy has been developed. This policy is titled the Appeals Against Higher Degree Research Thesis Examination Outcomes Policy.
  • 3. This policy also does NOT apply to campus access and order, student conduct and discipline or student discrimination, harassment or vilification, which are addressed in other policies, referred to in clause 3.4. Procedures for Student grievances relating to Honours students and coursework components of HDR candidature are addressed in the Academic Grievance Policy (Coursework and Honours Students). Procedures relating to HDR thesis examination outcomes are addressed in the Appeals Against Higher Degree Research Thesis Examination Outcomes Policy.

Complementary Documents and Other Grievance Policies

Review

  • 6. To ensure its efficacy, this policy will be reviewed by the University Research Committee (URC) every two years. Any amendment to this policy must receive the approval of Academic Senate.

4 Policy Principles

  • 1. The following general principles underpin the UOW approach to the resolution of academic grievances:
    • 1.1. UOW is committed to the early and informal resolution of grievances. HDR students should therefore attempt to resolve any grievances in an informal way with the person involved before initiating formal grievance resolution processes.
    • 1.2. Parties involved in a grievance must participate in the grievance resolution process in good faith.
    • 1.3. Grievance resolution processes should be applied fairly, flexibly and expeditiously.
    • 1.4. All parties involved in a grievance should be treated with respect and impartiality.
    • 1.5. The principles of natural justice should be observed. To this end the parties involved in a grievance have a right to present one's case and to have a decision made by an unbiased decision-maker.
    • 1.6. Candidates with a grievance must provide all evidence on which they are basing their case, which may include: correspondence, medical certificates, or other documentary evidence.
    • 1.7. All parties involved in the grievance will be provided with sufficient and relevant documentation of any allegation or complaint brought against them and will be given appropriate opportunities to respond to such allegations or complaints.
    • 1.8. The confidentiality of parties involved in a grievance should be respected at all times, subject to the need to fully investigate the matter and any legal requirements for disclosure. When formal grievance procedures are instigated all parties involved will be expected to be a party to a written confidentiality agreement.
    • 1.9. In making a determination about a grievance, the evidence will be judged on the balance of probabilities.

5 Framework for Resolving HDR Student Academic Grievances

  • 1. This policy addresses academic grievances by HDR candidates including appeals of academic decisions affecting HDR candidature (but does not cover those relating to coursework and thesis examination). Where ever possible, all HDR candidate's academic grievances should follow the five stage process listed in 5.2 below.

The Five Stage Process

  • 2. There are five possible stages in the HDR Candidate academic grievance resolution process:
      • Stage 1: Informal approach to person directly involved - see clause 6 below
      • Stage 2: Formal grievance resolution by Faculty - see clause 7 below
      • Stage 3: Appeals to PVC(R) - see clause 8 below
      • Stage 4: Appeals to HDR Appeals Committee - see clause 9 below
      • Stage 5: Appeals to Council Committee of Appeal (Student Matters) - see clause 10 below
  • 3. At all stages of resolving academic grievance, students may be accompanied and assisted by a support person at any relevant meeting.
  • 4. At any stage in this process the HDR candidate may consult the Dean of Students for confidential advice and guidance. The Dean of Students may clarify the issues with the student and suggest possible directions for resolution of the grievance.
  • 5. The Dean of Students may, with the HDR candidate's consent:
        • a. refer the student to another person, or student representative body, who can provide relevant advice or assistance with the aim of resolving the grievance; and/or
        • b. facilitate negotiation of the grievance between the parties.
  • 6. Grievances or appeals relating to recommendations affecting candidature status must be addressed formally, as follows:

Grievances or Appeals Regarding Recommendations of the Research Proposal Review Committee, or by the Head of Postgraduate Studies or Dean, following HDR Progress review

  • 7. Grievances by HDR students who have been advised, following their HDR Research Proposal Review or HDR Student Progress Review, that a recommendation has been proposed to transfer their candidature from Doctoral to Masters by Research, or that they be placed on a period of probation, or that their candidature be terminated, must be addressed formally, starting from Stage 2 - see clause 7.

Grievances or Appeals by HDR candidates regarding Termination of Candidature

  • 8. Grievances or appeals by candidates whose candidature has been terminated by the Pro Vice Chancellor (Research), after a period of probation, must be made formally, starting from Stage 3 - see clause 8.

6 Stage 1 - Informal Resolution

  • 1. A HDR candidate who has a question or concern about a decision, act or omission that affects their academic experience, should first approach their Supervisor(s) directly to discuss the matter. The HDR candidate may then seek advice informally from other appropriate persons in the Faculty (e.g. Head of Unit or Head of Postgraduate Studies or Dean).
  • 2. HDR candidates are encouraged to seek to resolve any issues or concerns informally under Stage 1 wherever possible before initiating formal grievance resolution procedures under Stage 2. If informal grievances are not resolved within ten (10) working days of notification by the candidate of an issue, the HDR candidate may instigate formal Faculty resolution processes (Stage 2).

7 Stage 2 - Formal Resolution by Faculty

Faculty Procedures

  • 1. Each Faculty must develop written procedures for resolving grievances covered by this policy, which:
        • a. comply with the procedural requirements in section 7.7 – 7.13 below; and
        • b. stipulate processes for receipt and acknowledgement of applications.
  • 2. These procedures must be submitted to the University Research Committee (URC) for approval.
  • 3. The Faculty grievance procedures, and the names and contact details of relevant staff, must be clearly communicated to HDR candidates. (A sample flowchart that could be adapted and used for this purpose is attached as Schedule 1.)

Application of Faculty Procedures

  • 4. A HDR candidate undertaking coursework who has a concern about a mark awarded for an assessment task or a final mark of grade for a subject should refer to the Academic Grievance Policy (Coursework and Honours Students).
  • 5. Where an issue or concern is not resolved informally under Stage 1, an HDR candidate may lodge a written application with the relevant Faculty for the grievance to be formally resolved in accordance with that Faculty's grievance procedures.
  • 6. A HDR candidate who has a grievance concerning a recommendation of a Research Proposal Review Committee or Faculty Head of Postgraduate Studies (HPS) or Dean following a HDR Research Proposal Review or HDR Candidate Progress Review may only lodge a formal grievance application on one or more of the following grounds:
        • a. failure to follow the requirements of the HDR First Year Research Proposal Review, or HDR Candidate Progress Review, in accordance with the Code of Practice - Supervision and HDR Course Rules;
        • b. relevant new or additional information is available that was not available to a person or committee conducting the review.

Procedural Requirements

  • 7. HDR candidates must lodge a formal grievance application, in writing, to a person (or committee) specified by the Faculty as responsible for determining the grievance (e.g. Head of School, Head of Postgraduate Studies, Sub Dean, Associate Dean, Dean).
  • 8. The application must:
        • a. be lodged by the HDR candidate within twenty (20) working days of either:
          • i. the unsuccessful resolution of the grievance at Stage 1; or
          • ii. written notification of the outcome of a formal review;
        • b. include the HDR candidate's name, identification number and contact details; and
          • i. state the nature of the grievance, specific issues to be addressed and the form of resolution sought.
  • 9. If a person specified in clause 7.7 has been involved in the grievance process at an earlier stage, there is a conflict of interest and the matter will be referred directly to the next designated person in the Faculty grievance resolution process.
  • 10. At each step in the Faculty grievance process the person to whom the matter has been referred:
        • a. may exercise his/her discretion to extend the specified time limit for application or referral and must inform the candidate in writing of that decision as soon as practicable, and
        • b. must respond to the student's grievance in writing within ten (10) working days.
  • 11. Should the Faculty fail to respond within ten (10) working days, this is deemed a refusal and candidates are able to move to Stage 3, if they wish to pursue the grievance further.
  • 12. The HDR candidate's grievance and the response of each of the people to whom the grievance has been referred must be clearly documented. (A sample form that can be used by Faculties to document the progress of a grievance is attached as Schedule 2).
  • 13. Faculties must keep a copy of all documentation relating to any grievance in accordance with the UOW Records Management Policy.

HDR Candidate to be Notified

  • 14. The Faculty member with responsibility for handling the grievance must notify the HDR candidate, in writing, of his/her decision regarding the matter and of the HDR candidate's right to appeal to the Pro Vice Chancellor (Research) if they believe that there are grounds for appeal as specified below:
  • 15. A HDR candidate may apply to appeal to the Pro Vice Chancellor (Research) on the grounds that:
        • a. due process has not been adhered to by a Faculty member or committee during Stage 2 of the grievance resolution process;
        • b. relevant new or additional information is available that was not available to a person involved in determination of the grievance at Stage 2.
  • 16. The person in the Faculty responsible for dealing with formal grievances under the Faculty procedures must inform the student in writing of the right to refer the matter to the PVC(R).

8 Stage 3 - Pro Vice Chancellor (Research) (PVC(R))

  • 1. Where a matter remains unresolved after a HDR candidate has followed the grievance resolution process of the relevant Faculty under Stage 2, the HDR candidate may refer the matter, in writing, to the Director of the Research Student Centre (RSC) within twenty (20) working days of receiving a formal decision from the Faculty member responsible for handling the grievance at Stage 2 of the process.
  • 2. Once the Director, RSC has been notified of a grievance, the he/she must write to the Faculty requesting copies of all documentation relevant to the grievance.

Procedures

  • 3. The Director, RSC shall prepare a report for the PVC(R). In preparing the report the Director, RSC shall:
        • a. give the HDR candidate concerned an opportunity to be heard and advise him/her of procedures and time requirements;
        • b. invite any staff member or student, whom he/she considers may assist the review, to attend a meeting;
        • c. provide both the HDR candidate and the person or committee against whose decision the student is appealing with copies of all papers that will be provided to the PVC(R) for consideration;
        • d. permit the student to nominate staff or students to be invited to speak with the Director, RSC in support of his/her case;
        • e. allow the HDR candidate to be accompanied by a person who may lend support but who shall not be permitted to address the Director, RSC;
        • f. keep an adequate record of the evidence;
        • g. with the consent of the HDR candidate concerned, allow any member of the University to have access to that record;
        • h. outline their findings and advise the candidate and any other relevant parties of the decision in relation to the student's request for reconsideration.

Possible Outcomes

  • 4. After examining the relevant documentation and receiving the report of the Director, RSC, and speaking to relevant parties if considered necessary, the PVC(R) may:
        • a. refuse to take the matter further if there are insufficient grounds for the grievance; or
        • b. decide whether there has been a failure by the Faculty to observe due process and take appropriate action in accordance with section 8.5 below; or
        • c. make any other decision as deemed appropriate under the circumstances.

Decision Regarding Due Process

  • 5. Where the PVC(R) decides that due process has not been followed by the Faculty, he/she may:
        • a. conciliate the matter;
        • b. refer the matter, in writing, back to the Faculty for reconsideration of the matter in accordance with due process; or
        • c. refer the matter to the Higher Degree Research (HDR) Appeals Committee.
  • 6. Where the PVC(R) makes a decision under section 7.2.1(c) above, he/she must notify the relevant Dean and the person in the Faculty responsible for dealing with the grievance, in writing, of that decision as soon as practicable.

HDR Candidate to be Notified

  • 7. The PVC(R) must notify the HDR candidate, in writing, of his/her decision regarding the matter and of the HDR candidate's right to appeal to the HDR Appeals Committee if they believe that there are grounds for appeal as specified below.

9 Stage 4 - Appeal to Academic Review Committee

Lodging an Appeal

  • 2. If HDR candidates disagree with the outcome and have grounds to appeal (as outlined in 9.3(i) and (ii) below), then they may appeal the decision to the HDR Appeals Committee, following procedures as set out in Stage 4 of this document.
  • 3. A HDR candidate may appeal to the HDR Appeal Committee on the grounds that due process has not been adhered to by:
        • a. the Director, RSC or the PVC(R), during Stage 3 of the grievance resolution process; or
        • b. the PVC(R) in terminating or transferring candidature of a higher research degree student on probation under section 10.36 and 10.37 of the HDR Course Rules.
  • 4. Under certain circumstances (as outlined in the HDR Course Rules) after the end of a probationary period the PVC(R) has the power to:
        • a. recommend a transfer of candidature from a PHD to a Masters by Research; or
        • b. terminate the candidature.
  • 5. In this circumstance the HDR candidate may apply to appeal to the HDR Appeals Committee on the following grounds only:
        • a. due process has not been adhered to by the PVC(R), during Stage 3 of the grievance resolution process; and/or
        • b. relevant new or additional information is available that was not available previously.
  • 6. HDR candidate who appeals under this section must have exhausted all appropriate grievance resolution processes available to them under Stages 1, 2 and 3.
  • 7. An application to appeal must:
        • a. be lodged, in writing, with the Director of the Research Student Centre within twenty (20) working days of receiving written notification of a final decision at Stage 3;
        • b. state fully the reasons for the appeal; and
        • c. include any relevant documentary evidence to support the appeal.
  • 8. Where the HDR Appeal Committee is not satisfied that the appeal is based on the ground of lack of due process, they will uphold the original recommendation. The HDR candidate must be notified, in writing, of such a decision as soon as practicable. Unless they are relevant to particular points made in the case put forward by the HDR candidate, the examiners' reports will not normally be placed before the HDR Appeals Committee.

HDR Appeals Committee Procedures

  • 9. In its review of a case the Committee shall:
        • a. give the HDR candidate concerned an opportunity to be heard and advise him/her of Committee procedures and time requirements;
        • b. invite any staff member or student, whom it considers may assist the review, to attend the meeting and advise such persons of Committee procedures and time requirements;
        • c. provide both the HDR candidate and the person or committee against whose decision the student is appealing with copies of all papers circulated to the Committee;
        • d. permit the HDR candidate to nominate staff or students to be invited to appear in support of his/her case;
        • e. allow the HDR candidate to be accompanied by a person who may lend support but who shall not be permitted to address the Committee;
        • f. hold all its proceedings in camera and keep an adequate record of the evidence and its decision;
        • g. with the consent of the HDR candidate concerned, allow any member of the University to have access to that record;
        • h. outline their findings and advise the HDR candidate, the PVC(R) and any other relevant parties of the Committee's decision in relation to the student's request for reconsideration.

Outcome of Appeal

  • 10. Where the Committee decides that due process has not been adhered to it may refer the matter back to the person or committee against whose decision the student has appealed for reconsideration of the matter in accordance with due process.
  • 11. Where the matter is referred back to a person or committee under 9.10, that person or committee must report back to the Chair of the HDR Appeal Committee within ten (10) working days.
  • 12. The Committee must notify the HDR candidate, the Dean of the Faculty, the Dean of Students, (where relevant) and the Pro Vice-Chancellor (Research) of the outcome of the appeal within ten (10) working days of the meeting, or as soon as practicable thereafter. Where the appeal was unsuccessful, the HDR candidate must also be informed of their right to apply to the Vice-Principal (Administration) to appeal to the Council Committee of Appeal.

10 Stage 5 - Council Committee of Appeal (Student Matters)

Lodging and Referral of Appeal

  • 1. A HDR candidate who claims lack of due process in the proceedings of persons or committees noted in Stage 4 above may lodge an appeal, in writing, to the Vice-Principal (Administration) within twenty (20) working days of notification of the Committee's decision.
  • 2. If the Vice-Principal (Administration) is satisfied that the appeal is based on grounds of lack of due process, he/she shall refer it to the Council Committee of Appeal (Student Matters).

Council Committee of Appeal (Student Matters)

External Appeals

  • 4. A student who is dissatisfied with the outcome or conduct of an appeal within the University may appeal to an external agency. Students have the right to make a complaint to the NSW Ombudsman when there is evidence of maladministration or misconduct by the University of Wollongong.

11 Roles & Responsibilities

  • 1. All persons involved in investigations of academic grievance have a responsibility to conduct themselves in accordance with this Policy and its procedures.
  • 2. The University has a responsibility to:
        • a. ensure that this Policy and its procedures are accessible and communicated to all staff and
          students
        • b. ensure that this Policy and its procedures are implemented and applied consistently across all faculties and academic units
        • c. promote best practice in resolving academic grievance, and
        • d. ensure that the process for resolving academic grievances allows for:
          • i. timeliness of response;
          • ii. fairness of consideration
          • iii. respect for privacy; and
          • iv. keeping all parties informed of their rights and responsibilities in relation to academic
            grievances.
  • 3. Students have a responsibility to conduct themselves in accordance with the Code of Practice - Students, Code of Practice – Supervision and the Code of Practice - Research and follow the requirements of this Policy and other policies.
  • 4. Faculties have a responsibility to develop written procedures for resolving grievances covered by this Policy which:
        • a. comply with the procedural requirements in clauses 7.7 to 7.13 and
        • b. stipulate processes for receipt and acknowledgement of applications

12 Schedules

Schedule 1 - Sample Faculty Academic Grievance Resolution Flowchart

Who to Approach with a Problem or Concern Concerning Your Academic Experience

  • 1. HDR candidates who have a question or concern about a decision, act or omission of a member of staff of a Faculty that affects their academic experience should follow the steps set out below. HDR Candidates should take careful note of the deadlines for following up their grievance at each step.

Stage 1 – Informal discussion with person(s) directly involved

  • 2. The HDR candidate should first approach the person(s) directly involved as soon as possible to discuss any question or concern. For example, the HDR candidate might approach their:
      • marker for an explanation of a mark awarded for an assessment task (Coursework students only);
      • Subject Coordinator to discuss a mark awarded by an external marker, or a final mark or grade;
      • Supervisor(s)(s) where there is an issue or concern about supervision;
      • Head of Postgraduate Studies where they are unhappy about facilities, funding arrangements, leave requests, etc
  • 3. The HDR candidate might then seek advice informally from other appropriate persons in the Faculty (e.g. Head of Unit).

Note 1: Grievances by HDR students who have been advised, following their HDR Research Proposal Review or HDR Student Progress Review, that a recommendation has been proposed to transfer their candidature from PhD or Doctoral to Masters by Research, or that they be placed on a period of probation, or that their candidature be terminated, must be addressed formally, starting from Stage 2 – refer section 7.

Note 2: Grievances or appeals relating to recommendations affecting candidature status must be addressed formally, starting from Stage 3 – refer section 8.

(if unresolved)

Stage 2 – Formal grievance resolution by Faculty

  • 4. Where an issue or concern is not resolved informally by directly approaching appropriate Faculty staff under Stage 1, the HDR candidate may take the following steps to have the matter formally resolved by the Faculty.
  • 5. The HDR candidate may refer the matter in writing to the person designated in the Faculty as being responsible for handling grievances. The application must:
        • a. include the HDR candidate’s name, supervisor(s), identification number and contact details;
        • b. set out the nature of the grievance, any specific issues involved and the form of resolution that the HDR candidate is seeking;
        • c. be lodged with the relevant staff member within 20 working days of the unsuccessful resolution of the grievance at Stage 1.
  • 6. If a person specified in one of these steps is involved in the grievance, the matter will be referred directly to the next specified person identified within the Faculty Grievance procedures.

(if unresolved)

Stage 3 – Referral to Pro Vice-Chancellor (Research)

  • 7. If the matter is not resolved by the Faculty under Stage 2, the HDR candidate may refer the matter, in writing to the Director, RSC for consideration by the PVC(R) within 20 working days of receiving a final response from the Faculty. The PVC(R) may:
        • a. refuse to take the matter further if there are insufficient grounds for the grievance; or
        • b. decide whether there has been a failure by the Faculty to observe due process and take appropriate action; or
        • c. make any other decision as deemed appropriate under the circumstances.
  • 8. “Due process” means the HDR candidate’s procedural rights under this or other policies, their right to be given a fair hearing and their right to have their case decided by someone who is not biased.
  • 9. Where the PVC(R) decides that the Faculty has not followed due process, he/she may:
        • a. conciliate the matter;
        • b. refer the matter, in writing, back to the Faculty for reconsideration of the matter in accordance with due process; or
        • c. refer the matter to the Higher Degree Research (HDR) Appeals Committee.

(if unresolved)

Stage 4 – Appeal to HDR Appeal Committee

  • 10. After you have exhausted all of the processes outlined in Stages 1 to 3, HDR candidates may appeal to the HDR Appeal Committee if they believe that there has been a failure to follow due process in Stage 3.
  • 11. HDR candidates must lodge your appeal in writing with the Committee (through the Director of the Research Student Centre) within 10 working days of receiving written notification of the decision of the PVC(R).
  • 12. Where the HDR Appeal Committee hears the matter and decides that the PVC(R) has not followed due process, it will generally refer the matter back to the PVC(R) for reconsideration. Except in exceptional circumstances, the Committee will not normally reconsider the matter itself.

(if unresolved)

Stage 5 – Appeal to Council Committee of Appeal (Student Matters)

  • 13. Where you believe that there has been lack of due process in the proceedings of the HDR Appeal Committee, you can apply, in writing, to the Vice-Principal (Administration) to refer the matter to the Council Committee of Appeal (Student Matters). The application must be lodged within 10 working days of being notified of the decision of the Higher Degree Research (HDR) Appeals Committee.

Schedule 2 – Sample Documentation of Grievance Appeal Process

13 Version Control and Change History

Version Control

Date Effective

Approved By

Amendment

1

17 August 2007

University Council

New Policy

2

6 May 2009

Vice Principal (Administration)

Migrated to UOW Policy Template as per
Policy Directory Refresh

Last reviewed: 13 August, 2009

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