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CDL Conventions for Cataloging Electronic Resources

Originally created by the SOPAG Electronic Resources Cataloging Task Force in 1999

Revised March 2003 by Becky Culbertson

Revised November 2008 by SCDPP WG

Revised September 2009 by Renee Chin

Revised March 2019 by SCP

Approved with minor revision July 2019 by SCP-AC

Approved August 2019 by JSC

The Shared Cataloging Program (SCP) is responsible for creating the “official” CDL records that are distributed to the campuses. The SCP adheres to national standards for cataloging CDL resources, with additional fields and suggested wording to aid in consistent presentation and clustering in the UC Union Catalog. Name and series access points should conform to the forms found in the LCNAF or, if not available, establish according to RDA and LC PCC Policy Statements. Content designation should conform to the MARC 21 Format for Bibliographic Data, as implemented by OCLC. LC classification, LCSH, and MeSH are required where appropriate. For copy and/or batch cataloging, it is not required to upgrade the descriptive information to conform to RDA and records may not comply with full level cataloging standards. This does not apply to one-by-one cataloging or original records. Use authorized access points and accurate tagging while accepting description and choice of access points found on existing records. Accurate content designation and cataloging consistency are especially important to facilitate migration to successor systems.

Campuses should, however, make local changes as needed to accommodate their local system specifications and uploading into the UC Union Catalog.

Contents

  1. Electronic serials
  2. Electronic monographs
  3. Electronic Integrating Resources

1. Electronic serials

As of April 1, 2019, SCP catalogers should use the separate record approach for cataloging electronic serials. Serial records should be cataloged according to RDA whenever possible, the CONSER Cataloging Manual, Module 31 (Remote Access Computer Files), PCC Provider-Neutral cataloging guidelines, and the CONSER Standard Record cataloging guidelines. Latest entry MARC records [i.e. 008/34 “1”] are not used.

The table below outlines the elements that should be present in the SCP record. For information about which elements to include in the OCLC master record, refer to the CONSER cataloging guidelines.

For batch or minimal level cataloging, each package is different; catalogers may not look at or include all fields listed, especially when cataloging groups of vendor records. As a result, the 1XX/7XX entries may not always have the correct forms, 050 and/or 6XXs may not always present. However, these may be upgraded later due to OCLC daily updates and/or error report via CDL Helpline.

Electronic Serials

MARC tag Separate record Notes
Fixed fields Code the fixed fields per national standards.
001 and 035 (Unique and permanent numeric or alpha-numeric record ID numbers for record output) OCLC numbers are automatically generated in the 001 and 035 fields upon export.

 

Example:

001  46763253

035  (OCoLC)46763253

 

006 (Additional material characteristics) Add if lacking.  Required only to code the first byte (e.g., 006  m). It is possible to have multiple 006 fields.  For example, a digital atlas serial is coded in the 008 field as cartographic material with a 006 field for computer file and a 006 field for serial.
007 $a $b (Physical description) Add if lacking. Note that only $a and $b are required (e.g., 007  c $b r).
022 (ISSN) Accept as is but if it is a print ISSN, move it to $y. If an ISSN needs to be added as a result of SFX idiosyncrasies, record the ISSN in 022 $y. Never add a qualifier to an ISSN. Often it is necessary to verify format information in the ISSN Portal.  A frequent combination is an e-ISSN in subfield $a and a print ISSN in subfield $y.
040 (Cataloging source) Add $e pn if lacking.
041 (Language code) Accept as is, or add if applicable.
050 (LC call number) If lacking, add a LC classification number (050 14 $a for CONSER records and 050 _4 $a for non-CONSER records). For newspapers, use classification number “AN”. LC classification not required for Caldocs.

Classification numbers are optional for Minimal level cataloging

086 (Caldocs call number) Add if available (Caldocs only) suffixed by “Online” (e.g., 086 __ L960.T42 $2 cadocs Online; or 086 __L960.T42 Online).
130 (Uniform title main entry) Accept as is. Remove “(Online)” if present.
210 (Abbreviated title) Supply only if abbreviated title for online format is available. Delete if it applies to the print version.
222 (Key title) Supply only if key title for online format is available. Delete if it applies to the print version.
245 $a (Title proper) The title proper should be the one that appears on the preferred source. If using Description based on print version record, it should be the same as the 245 on the print record.
245 $b (Remainder of title) Accept as is.
245 $n & $p (Number & name of part/section) Accept as is.
245 $h (General material designation) Remove $h [electronic resource] if present.
246 (variant title, title added entries) Use 246 for variants of the electronic title.
260/264 (Place of publication, publisher, and date) Accept as is. If 264 $a and $b are impossible to determine, use [Place of publication not identified] : $b [publisher not identified]

Supply a probable place of publication if possible rather than give “[Place of publication not identified].”

300 $a (extent of publication) Use “1 online resource” in $a Subunits (if known) are required for ceased serials, e.g., 300 $a 1 online resource (5 volumes).
310/321 (Frequency) Accept as is.
336 (Content type) Add if lacking.
337 (Media type) Add if lacking.
338 (Carrier type) Add if lacking.
362 (Numbering) Accept as is.
440/490/830/890 (Series) Follow PCC guidelines for series and verify all series. Delete if an aggregator name has been treated as a series title.

Delete (Online) qualifier as appropriate. [e.g., 830 _0 Developer’s notebook series (Online)]

500/550 (Provider notes) Delete online package/provider names.
506 (Access restriction note) Delete. Unless used for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects.
515 (Numbering peculiarities) Record as needed.
516 (Type of computer file or data) Delete.  Retain only if unusual format (e.g., need special Chinese software to read).  Delete any “Text (electronic journal)” notes.
530 (Additional physical form) Prefer 776 $i. However, do not delete if present. Examples of 530 notes: Also issued online. Also issued in print. Also issued on microfilm and online.
533 (Reproduction note) Delete. Unless used for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects.
538 (System details note) Delete Unless used for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects.
546 (Language note) Accept as is, or add if applicable.  If recorded, also add 041 $a.
583 (Action note) Delete. Unless used for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects.
588 (DBO/Title source note) Accept as is, unless redescribing. If information is derived from the print version record, use: 588  Description based on print version record. The wording of notes is left to the cataloger’s judgment.

Catalogers are strongly encouraged to accept the wording found in copy cataloging if it is clear and succinct. Do not strive for consistency.

588 (Latest issue consulted note) Record the latest issue consulted if lacking.

Example:

588  Latest issue consulted: Vol. 5, no. 1 (Jan.

1995) (OCLC FirstSearch,

viewed January 10, 1998)

599 (SCP note to earmark CDL records for distribution to the UC campuses) See: http://www.cdlib.org/services/ collections/scp/updates/599.html
650 (LCSH) With the exception of some newspapers and general subject journals, assign at least one LCSH.
650 (MeSH) If easily ascertainable, assign at least one MeSH heading for biomedical electronic titles.
655 (Genre/form heading) If there are multiple 655 fields with Electronic journals, delete the 655 _7 Electronic journals. $2 local.  If in doubt, just leave them in the record.

Retain all other 655 headings.

7XX (Added entries) Add 7XX if applicable. Delete 7XX fields for providers.
773 (Host Item Entry) Do not use. Remove if found on copy.
776 (Additional Physical Form Linking Entry) Add if applicable, even if only to provide $t. Add $a (main entry heading) if appropriate. Use $i in lieu of 530 note to describe the physical format being linked per the CONSER standard record cataloging guidelines. Examples:

776 08 $i Print version: $t European heart journal $x 0195-668X $w (DLC)sn 79009215 $w (OCoLC) 5585193

776 08 $i

Microform version: $t American journal of international law $x 0002-9300 $w (DLC)sf 84019125 $w (OCoLC)6661469

76X-78X (Linking fields) Record as needed (fields other than 776).
793 (Local added entry) Add at least one 793 field for every 856 field in a record (NOTE: An 856 for a title in DOAJ may have more than one corresponding 793 field).

Examples:

793 0_ Project Muse online journals. $g a

793 0_ Open access resource; selected by the UC Libraries.

$p DOAJ. $g i

For a list of authorized title entries (793 $a, $p), consult the CDL eresources tracking page. For detailed instructions on how to set up 793 $a, refer to Guidelines for setting up 793 $a for electronic resources or how to code the 793 $g, refer to Using 793 $g to Code Status of Access to E-Serial Content, and its Supplement.
856 $3 (Coverage info) The coverage/holdings information in the 856 $3 should reflect the numerical designations of the title being cataloged (i.e., coverage in the 856 $3 should generally parallel the 588 DBO. Record the coverage information using the NISO level 3 (modified level 4 detailed) holdings standard. In modified level 4 detailed holdings, the whole volume and year is recorded when coverage begins with issue 1 of that volume [e.g., v.1:no.1(2005:Jan.) is recorded as v.1(2005)] or ends with the last issue of the ending coverage [e.g., v.12:no.12(2005:Dec.) is a complete volume, therefore, record as v.12(2005)]. “Detailed holdings” [i.e., volume:issue number(year:month)] are recorded when the beginning volume does not begin with issue 1 or when the ending volume is incomplete.

Example:

856 40 $3 v.76:no.4(2003:Aug.)-

$z Blackwell-Synergy. Restricted to UC campuses

$u http://uclibs.org/PID/5885

Use $3 “Selected article text when SFX target indicates “Selected full text available from …”.   Do not record gaps in coverage.
856 $z (Public note) Record the publisher package name, followed by the restriction and/or navigation notes in the 856

$z. Use a period to separate the publisher package name and other notes, but do not add a period before the $u.

Example:

856 40 …$z BMJ

via HighWire. Current 12 months restricted to UC campuses; all other issues available to all

As package names are subject to change without notice, always consult the CDL eresources tracking page to verify package names.
856 $u (Electronic access

& location)

Do not use URLs found in the OCLC master record.  Contact CDL to create an interim screen if needed. Add a persistent URL in $u. Some types of persistent URLs utilized by SCP:

PIDs

BibPURLs

GPO PURLs

Digital Archive Links (DALs) Archival Resource Keys (ARKs)

See: SCP cataloging and linking guidelines (https://cdlib.org/services/collections/scp/guidelines/)

Do not add links for related websites (856 42).

 

As URL syntaxes are subject to change without notice, always consult the CDL eresources tracking page to verify the type of URL to be used and how to construct URLs for each package.

 

856 $x (Nonpublic note) Use to indicate open access.

Example:

856 40 …$x UC open access

920 (Location codes) Include a 920 field for each participating campus.  The 920s are used for identifying how to split the weekly SCP MARC files.

Example:

920  UCB

920  UCD

920  UCI

920  UCLA

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2. Electronic Monographs

SCP catalogers should use the separate record approach for cataloging electronic monographs. Monographic records should be cataloged according to RDA, PCC Provider-Neutral cataloging policy, and BIBCO Standard Record cataloging guidelines. Create an original record for the electronic version if one does not exist, or choose the separate record that fits your version, and edit it according to the table below. If you are adding a second access point, add it to the local record and distribute the SCP record as an update.

As of August 1, 2009, SCP catalogers have also been upgrading the descriptive information in the OCLC master records for emonographs to make them provider-neutral compliant.

The table below outlines the elements that should be present in the SCP record. For information about which elements to include in the OCLC master record, refer to the BIBCO cataloging guidelines.

For batch cataloging, each package is different; catalogers may not look at or include all fields listed. As a result, the 1XX/7XX entries may not always have the correct forms, 050 and/or 6XXs may not always present. However, these may be upgraded later due to OCLC daily updates and/or error report via CDL Helpline.

Electronic Monographs

MARC tag Separate record Notes
Fixed fields Accept as is
001 and 035 (Unique and permanent numeric or alpha-numeric record ID numbers for record output) OCLC numbers are automatically generated in the 001 and 035 fields upon export. Example:

001  46763253

035  (OCoLC)46763253

006 (Additional material characteristics) Add if lacking. Required only to code the first byte (e.g., 006  m).
007 $a $b (Physical description) Add if lacking. Note that only $a and $b are required (e.g., 007  c $b r).
020 (ISBN) Accept as is. Input e-ISBNs in $a and print-ISBNs in $z.
040 (Cataloging Source) Add $e pn if lacking.
041 (Language code) Accept as is, or add if applicable.
050 (LC call number) Accept as is.
086 (Caldocs call number) Accept as is. Add if available (Caldocs only)
100/110/111/130 (main entries) Accept as is
245 $a (Title proper) The title proper should be the one that appears on the website for the version being described.  Or, if using Description based on print version record, it should be the same as the 245 on the print record. Prefer source of title proper in this order:

 

DBO print

PDF title page

HTML title page

245 $b (Remainder of title) Accept as is.
245 $n & $p (Number & name of part/section) Accept as is.
245 $h (General material designation) Remove $h [electronic resource] if present.
246 (variant title, title added entries) Leave existing 246s but change them as common sense dictates.

Example: Added title entry for spine title on print version transferred to DBO print record. (print record) 246 18 Handbook of chemistry

change to: (PN record) 246 1_ Handbook of chemistry

246 1_ $i Available from some providers with title:

$a

246 1_ all other variant titles

246 31 parallel titles  

260/264 (Place of publication, publisher, and date) In most cases, the place, publisher, and date of publication given will be that of the print. If 264 $a and $b are impossible to determine, use [Place of publication not

Identified] : $b [publisher not identified].

Supply a probable place of publication if possible rather than give “[Place of publication not identified].”

300 $a (extent of publication) Use “1 online resource” in $a (add subunits and duration, if applicable, in parentheses).

Single volume example:

300  1 online resource (xi, 584 pages)

Multiple volumes example:

300  1 online resource (5 volumes)

$b example:

300  1 online resource (28 page) : $ b illustrations,  maps

Do not use $c.
336 (Content type) Add if lacking.
337 (Media type) Add if lacking.
338 (Carrier type) Add if lacking.
440/490/830/890 (Series) Follow PCC guidelines for series and verify all series. Delete if an aggregator name has been treated as a series title.

Delete (Online) qualifier as appropriate. [e.g., 830 _0 Developer’s notebook series (Online)]

500/550 (Provider notes) Delete aggregator-specific notes if present. (e.g., 500   Issued as part of Safari Books Online).
504 (Bibliography, Etc. Note) Accept as is, or add if applicable.
506 (Access restriction note) Delete. Unless used for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects.
516 (Type of computer file or data) Delete if present.
530 (Additional physical form) Prefer 776 $i Print version:  Otherwise, use if applicable: 530      Also issued in print.
533 (Reproduction note) Delete. Unless used for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects.
538 (System details note) Use 538 only for uncommon system requirements. If in doubt, consult your supervisor.   Delete all common mode of access notes (e.g., 538    Mode of access: World Wide Web, PDF, etc.).
546 (Language note) Accept as is, or add if applicable.  If recorded, also add 041 $a.
583 (Action note) Delete. Unless used for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects.
588 (DBO/Title source note) Accept as is, unless redescribing. If information is derived from the print version record, use: 588 0 Print version record. If editing is necessary, record an explicit indication of the provider in the title source. [e.g., 588 Title from copyright page (Safari, viewed April 14, 2008).] The wording of notes is left to the cataloger’s judgment. Catalogers are strongly encouraged to accept the wording found in copy cataloging if it is clear and succinct.
599 (SCP note to earmark CDL records for distribution to the UC campuses) See: http://www.cdlib.org/services/collections/scp/updates/599.html
650 (LCSH) Assign at least one LCSH (exception: Knovel titles).
650 (MeSH) If easily ascertainable, assign at least one MeSH heading for biomedical electronic titles.
655 (genre/form heading) Delete 655 headings that refer to the physical carrier (e.g., 655 _7 Electronic books) and have $2 local. Retain all other 655 headings.
710 (Added entry— corporate name) Do not add 710 for digitizers or providers. Delete if present.

Example:

710 2_ Safari Books Online (Firm)

 

For Caldocs only: Add corporate name entries for private companies that share responsibility with the government agency for the publication.

Examples:

710 2_ California Energy Commission. $b Assessments Division

710 2_ JP DiNapoli Companies, Inc.

730/740 (Added entry— uncontrolled related title) Use: 246 1_ $i Available from some providers with title: $a _  or 246 1_ other titles Change 730/740s as appropriate if derived from print. See 246.
773 (Host Item Entry) Do not use. Remove if found on copy.
776 (Additional Physical Form Linking Entry) Add 776 $i for the print version if applicable, even if only to provide $t.
76X-78X (Linking fields) Record if applicable (fields other than 776).
793 (Local added entry) Add at least one 793 field for every 856 field in a record.

Examples:

793 0_ IEEE Xplore online conference proceedings.

793 0_ Open access resource; selected by the UC Libraries. $p Caldocs online monographs.

For a list of authorized title entries (793 $a, $p), consult the CDL eresources tracking page. For detailed instructions on how to set up 793 $a, refer to Guidelines for setting up 793 $a for electronic resources
856 $3 (Materials specified) For multivolume monographic sets, use for designating specific volumes.

Example:

856 40 $3 v.1. $z ACM Digital Library …

856 40 $3 v.2. $z ACM Digital Library …

856 $z (Public note) Record the publisher package name, followed by the restriction and/or navigation notes in the 856 $z.

Dot not use $z for Caldocs. Use a period to separate the publisher package name and other notes.

Example:

856 40 $z Knovel. Restricted to UCB, UCI, UCLA, UCM, and UCSD

As package names are subject to change without notice, always consult the CDL eresources tracking page to verify package names.
856 $u (Electronic access & location) Do not use URLs found in the OCLC master record.  Contact CDL to create an interim screen if needed. Add a universal URL or persistent URL (BibPURL for Caldocs) in $u. Some types of persistent URLs utilized by SCP for emonographs:

PIDs

BibPURLs

DOIs

GPO PURLs

IEEE xplore durable links

Archival Resource Keys (ARKs)

See: SCP cataloging and linking guidelines (https://www.cdlib.org/services/collections/scp/guidelines/)

Do not add links for related websites (856 42).

 

As URL syntaxes are subject to change without notice, always consult the CDL eresources tracking page to verify the type of URL to be used and how to construct URLs for each package.

Order multiple 856 fields alphabetically by package name in 856 $z.

856 $x (Nonpublic note) Use to indicate open access.

Example:

856 40 …$x UC open access

920 (location codes, used for identifying how to split the weekly SCP MARC files) Include a 920 field for each participating campus. The 920s are used for identifying how to split the weekly SCP MARC files.

Example:

920   UCB

920   UCD

920   UCI

920   UCLA

3. Electronic Integrating Resources

For CDL licensed databases, SCP catalogers should catalog them as integrating resources using the online record. Integrating resources should be cataloged according to RDA and PCC Provider-Neutral cataloging guidelines. Description of integrating resources should reflect the current iteration of the resource.

The table below outlines the elements that should be present in the SCP record. For information about which elements to include in the OCLC master record, refer to the PCC Provider-Neutral cataloging guidelines.

Pay close attention to the URLs for databases as they tend to be subscription specific and sometimes campus-specific. If campus-specific authenticated URLs are required for access, contact Jayne Dickson at the CDL to create an interim screen.

Electronic Integrating Resources

MARC tag Integrating resources record Notes
Fixed fields Use Continuing Resources workform and code BLvL: i and Entry Convention S/L: 2

Code the fixed fields per national standards.

001 and 035 (Unique and permanent numeric or alpha-numeric record ID numbers for record output) OCLC numbers are automatically generated in the 001 and 035 fields upon export. Example:

001  46763253

035  (OCoLC)46763253

006 (Additional material characteristics) Add if lacking.  Required only to code the first byte (e.g., 006  m)
007 $a $b (Physical description) Add if lacking.  Note that only $a and $b are required (e.g., 007  c $b r)
040 (Cataloging Source) Add $e rda following $b eng.  Add $e pn following $e rda if also provider-neutral. All IRs should be based on the latest iteration so descriptions may require upgrading to RDA.
041 (Language code) Accept as is, or add if applicable.
050 (LC call number) If lacking, add a LC classification number. (050 14 $a for CONSER records and 050 _4 $a for non-CONSER records). LC classification not required for Caldocs.
086 (call number) Add if available (Caldocs only) suffixed by “Online” (e.g., 086 __ L960.T42 $2 cadocs Online; or 086 _L960.T42 Online).
130/240 (Uniform titles) Accept as is.
245 $a (Title proper) The title proper should be the one that currently appears on the website being described.
245 $b (Remainder of title) Accept as is.
245 $n & $p (Number & name of part/section) Accept as is.
245 $h (General material designation) Remove $h [electronic resource] if present.
246 (variant title, title added entries) Leave existing 246s.  If appropriate, add 246 for variant titles.
247 (Former title) Former titles are recorded in the 247 field.  Input the current title in 245.
264 (Place of publication, publisher, and date) The earliest date of the integrating resource, regardless of the changes in title, will be retained in the most current 264 $c.
300 $a (extent of publication) Use “1 online resource” in $a

 

310/321 (Frequency) Record frequency if known.   Examples:

310      Frequently updated

310      Updated six times a year

336 (Content type) Add if lacking.
337 (Media type) Add if lacking.
338 (Carrier type) Add if lacking.
362 (Numbering) Record if applicable.  (e.g., 362 1_ Began in 1999).
440/490/830/890

(Series)

Follow PCC guidelines.
500/550 (Provider notes) Record if applicable (e.g., 550      Made available through: ABC-Clio).  Do not note providers as the digitizer.
506 (Access restriction note) Accept as is. Do not use, unless restrictions apply to all versions of the IR. An example is a “classified” government document for which access is always restricted. If specific access restrictions are considered useful, give in 856 $z.
516 (Type of computer file or data) Do not use.  Retain only if unusual format (e.g., need special Chinese software to read).
520 (Contents/summary note) Record if applicable
530 (Additional physical form) Prefer 776 $i.
546 (Language note) Accept as is, or add if applicable.  If recorded, also add 041 $a.
588 (DBO/Title source note) Accept as is, unless redescribing.  [e.g., 588  Title from quick search screen (viewed September. 21, 2018)] The wording of notes is left to the cataloger’s judgment. Catalogers are strongly encouraged to accept the wording found in copy cataloging if it is clear and succinct. Do not strive for consistency.
599 (SCP note to earmark CDL records for distribution to the UC campuses) See: http://www.cdlib.org/services/collections/scp/updates/599.html
650 (LCSH) Assign at least one LCSH.
650 (MeSH) Assign at least one MeSH heading for biomedical databases.
655 (Genre/form heading) Accept as is.
730 (Analytical entry) Record if applicable.  (e.g., use for tracing titles of databases within databases: 730 02 CRC Press. $p ENGnetBASE).
740 (Added entry— uncontrolled related title) Record if applicable. Example:  740 02 ENGnetBASE.
773 (Host Item Entry) Do not use. Remove if found on copy.
776 (Additional Physical Form Linking Entry) Record if applicable for related manifestations in different formats and for format changes.

 

Example:

776 08 $i Print version: $t Current protocols in bioinformatics $z 0471250937 $w (DLC)  2008215311 $w (OCoLC)213330914

76X-78X (Linking fields) Record if applicable (fields other than 776).
793 (Local added entry) Add a 793 field for every 856 field in a record.

Examples:

793 0_ CDL licensed databases.

793 0_ CDL open access databases.

793 0_ CDL licensed databases. $p UC image service collections.

For a list of authorized title entries (793 $a, $p), consult the CDL eresources tracking page. For detailed instructions on how to set up 793 $a, refer to Guidelines for setting up 793 $a for electronic resources
856 $3 (Coverage info) Record if applicable.
856 $z Record the restriction note in the 856 $z if applicable.  If open access, do not record 856 $z. Do not record packages names unless there are multiple providers.

Example:

856 40 $z Restricted to UC campuses

856 $u (Electronic access & location) Do not use URLs found in the OCLC master record.  Add a persistent URL in $u.    If campus-specific authenticated URLs are required for access, contact CDL to create an interim screen. Do not add links for related websites (856 42).
856 $x (Nonpublic note)

 

 

Use to indicate open access.

Example:

856 40 …$x UC open access

920 (location codes) Include a 920 field for each participating campus.  The 920s are used for identifying how to split the weekly SCP MARC files.

Example:

920   UCB

920   UCD

920   UCI

920   UCLA

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