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Leadership Certification Assessment Framework
Philippine Civil Service Commission
September 2014
PLACE PHOTO HERE,
OTHERWISE DELETE BOX
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Responses / Changes / Revisions Proposed
Stage Comments Responses / Changes /
Revisions Proposed
Date
Approved
Framework Process Maps for each
stage added
Changes in pagination in
Table of Contents will be
effected once
everything is finalized
and revision sheet
removed .
Nomination
Use terms familiar to
readers, like
“incumbent”, “acting
division chiefs”,
“supervising specialists”.
The salary grades eligible
to apply
Eligibility section added
to components to define
range of nominees
qualified to apply
SG18 added to eligibility
for LGU applicants
10-3-14
The evidence, such as
job descriptions, may not
be valid.
Who fills up the profile
If LHRU is not capable?
The job description alone
will not be used as a sole
qualifier for nomination;
Other documents and
an customized
application form with
guidelines will be
desiged to assist HR in
evaluating eligibility
without having to require
them to undergo
assessor’s training.
The guide may also be
used by the incumbent’s
immediate supervisor to
determine eligibility.
10-3-14
Removal of LHRU’s
screening role in the
nomination stage;
nominees will just gather
all documents necessary
and forward them to RD
for approval of
application
Changes applied. LHRU
role changed from 1st
layer screen (paper
screen) of nominees to
serving as document
resource and pooling of
assessment cohort.
Modification of
assessment layer graphic
to reflect changes in the
first layer of assessment;
Changes in terms:
Diagnostic, Midterm and
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Final Assessment
Career conversation-is it
realistic? What other
methods?
Ex. Noreen’s method of
screening
Note: conversation’s still
take place because of
the orientation day when
they discuss this as part of
reviewing the Leadership
Framework
Yes.conversations are
realistic.
The term career
conversation will be
changed so as not to
confuse with other
developmental
interventions.
The conversation is
triggered upon the
incumbent’s application;
It need not be a drawn-
out, highly-technical
conversation.
It is a very simple
conversation that starts
with the IS / HR asking
why the incumbent is
applying, and then
giving reasons for
approval/denial and
identifying next steps.
This is indicated in the
application form.
10-3-14
Project Scoping
and Presentation
Competency
Mapping /
Profiling
Who checks this?
CSI or ERPO?
Someone to
shadow Ralph
during the pilot’s
orientation day.
CSI or LSP role.
CSI will be trained to
check on the way the
templates / instruments
were accomplished.
Added to R & A
component
10-3-14
Clarification on the tools
to be used for training
and RPL tracks as well as
Group Projects
Portfolio building for
training and RPL tracks
defined
Scoping
Document
How do you
structure groups/
individual projects?
for public
workshops?
All applications are
treated as individual
applications.
Group projects are
optional; if geography
10-3-14
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How do we
operationalize this?
permits.
Added to scoping
document descriptions
No more
assessment by the
project sponsor –
just provide
evidence that
presentation took
place.
Project sponsor will
assess project based on
feasibility not validity
against the Leadership
framework.
Added to PS role
10-3-14
Stage Comments Responses / Changes /
Revisions Proposed Date
Portfolio Assessment
Stage
Portfolio Person to advice
participants on
portfolio
development?
Should there be an
assessor from the
start? Or do we
train someone
from CSI to advice
on the templates
to avoid
contamination of
assessors?
What’s the
evidence that 90
days is the best
way?
CSI will designate a
project coordinator. The
project coordinator can
either be from CSI
directly or from an LSP.
90 day period is
deemed a
“reasonable” period of
time to complete the
project .
Given limitations set by
rules on validity of
evidence, maximum
period should be no
more than a year.
10-3-14
Remove the stage
gate requirement
of “average grade
of 3” in portfolio
assessment stage.
Changes made:
requirement clause
removed
Behavioral Interview and
Assessment
Assessors should
confer with each
other before
issuing final ratings-
calibrate the two
assessments.
Use CSC’s VOIP
facilities to do this.
Assessors will send each
of their own calibrated
scores to ERPO after
they confer with one
another.
10-3-14
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Given the
changes to the
portfolio
assessment stage,
adjust assessment
weights
Percentage weights of
assessment layers
adjusted to 60/40 for
portfolio / BEI
assessment
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Table of Contents
Document Revision / Changes Tracking Sheet 2
Leadership Certification Process Graphic 47
Introduction
Rationale 58
Objectives
Nomination Stage
Nomination Stage 9
Eligibility
Self-Nomination
Immediate Supervisor’sSelf-Assessment
Sponsored Nomination 10
Supervisor Endorsement
Succession Triggered
Roles and Accountability
Training Track
RPL -Track
Fees
Documentation and Reporting 11
Process Turnaround Times
Schedules
Layers of Assessment Graphic 13
Project Scoping and Presentation Stage 14
Project Scoping Stage
Competency Mapping / Profiling
Scoping Document / Project Charter
Portfolio Building 15
Training Track
RPL Track
Project Presentation
Roles and Accountability 16
Documentation and Reporting
Process TAT
Timelines / Scheduling
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Portfolio Assessment Stage 18
Portfolio
Portfolio Assessment
Rating System and Scale
Rating System and Scale 19
Validity of Evidence
Roles and Accountability
Documentation and Reporting
Turnaround Times
Timelines and Scheduling
Behavioral Interview and Assessment Stage 21
Behavioral Interview and Assessment Stage
Behavioral Interview Guide
The Behavioral Interview
Computer-Based Examination 22
Interview Assessment
Rating Scales and Ratings
Calibration
Roles and Accountability 23
Documentation and Reporting
Process Turn-Around Times
Timelines and Schedules
Certification Stage 25
Final Ratings
Table of Contents
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Rationale:
Demonstrated past behavior is one of the best predictor of future
behavior. Demonstrated success or performance in a role is also
the best indicator of future success and/or performance in the
role. These principles serve as the foundation of the assessment
framework for the Philippine Civil Service Commission’s Leadership
Certification Program.
The new framework leverages behavioral event interviewing,
portfolio and project-based assessments, theoretical examinations
and self-evaluation to determine suitability and eligibility for
leadership roles.
The advantages of the assessment framework are:
The performance behaviors take place during actual work
situations rather than in a simulated, controlled
environment. Learning is not only experiential but realistic
and relevant.
Successful projects / portfolios bring results which provide
an immediate direct benefit to the organization.
Operational downtime for the individual undergoing
certification is reduced. The individual remains productive
as the need to be taken out of the workplace is minimized.
Objectives:
The purpose of this document is to provide both the process
owners and all other stakeholders with complete and
comprehensive knowledge about the assessment framework used
in certifying future leaders across all other government institutions.
Specifically, this document will provide the reader with knowledge
about:
The different stages and processes involved in assessing
an individual for a Level 2 (Intermediate) leadership
position;
Guidelines and procedures for each stage of the
assessment process.
INTRODUCTION
Key Points:
Demonstrated success or
performance in a role is the best
indicator of future success
and/or performance in the role.
Advantages of the new
framework:
o Learning is not only
experiential but realistic
and relevant.
o Successful assessment
projects / portfolios have
a direct and immediate
impact in the workplace.
o Reduced operational
downtime translates to
higher productivity.
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COMPONENTS:
Nomination Stage
Eligibility
Self-Nomination
Immediate Supervisor’s
Assessment
Self-Evaluation
DESCRIPTIONS:
Nomination is the first stage in the leadership certification process. In
this stage individuals who exhibit the potential to become leaders
are identified.
Minimum salary grade for application is set at Acting Division Chief ,
Supervising Specialist or at least salary grade level 18 (SG18 for
LGU’s) . Incumbents at this level may either self-nominate or be
sponsored for assessment and certification
Nominees from the private sector wishing to join government as
middle managers should have occupied at least a supervisory
position in a large corporation, or held a senior position at a small
and medium sized enterprise.
The process is initiated by a person aspiring for a leadership position.
Aspiring self-nominees apply for certification with their local human
resources unit.
- A person may self-nominate if they believe that by virtue
of past training and/or experience they have already
acquired the necessary leadership competencies.
They may also self-nominate even if at the time of
nomination they do not yet possess the required
leadership competencies but have become eligible by
virtue of their past performance and tenure.
In this case, a career conversation is triggered between
the aspiring nominee and the immediate supervisor. With
the assistance of local human resources unit a career
development plan is created. On completion of the
development plan, nominee becomes eligible for self-
nomination or nomination by their immediate supervisor
in the next certification cycle.
The nominee’s immediate supervisor receives the application and
conducts an assessment of the nominee using the assessment
questionnaire. Upon completion of the assessment, documents are
forwarded to the Regional Director or project sponsor for approval.
Nomination Stage
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COMPONENTS:
SelfAssessment
Sponsored Nomination
Immediate Supervisor
Endorsement
Succession Triggered
Roles and Accountability
DESCRIPTIONS:
Nominees are also required to complete a self-assessment
questionnaire. The questionnaire is designed to diagnose the
nominee’s level of proficiency for each competency against their
immediate supervisor’s assessment.
The process of sponsored nomination is triggered by organizational
processes and/or individuals other than the Incumbents. Consent
and willingness of the Incumbent to undertake certification will be
needed.
An immediate supervisor can initiate the nomination process by
observing the following guidelines:
- Immediate supervisors / managers perceiving leadership
potential (based on the competency framework) in one
or more of their own direct report may endorse these
individuals to undergo the process of assessment and
certification.
- Immediate supervisor’s nomination must be
accompanied by a supervisor’s assessment of the
Incumbent using the framework of competencies.
Supervisor will also identify/recommend which track the
Incumbent should take.
- To ensure the creation of a healthy pool of successors for
leadership positions, individuals may be selected to
undergo assessment and certification.
Local Human Resources Units (LHRU) found in various government
offices are responsible for pooling, enrollment and registration of all
Incumbents for leadership certification.
Civil Service Institute serves as central registration and document
control for the nomination process. CSI will also be tasked to
coordinate among service providers for the conduct of training and
assessment as the need arises. All Incumbents endorsed by local
human resources units must be enrolled with the CSI
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COMPONENTS:
Training Track
RPL (Recognition of
Previous Learning)
Track
Fees
Documentation and
Reporting
Process
Turnaround Times
Schedules
DESCRIPTIONS:
Incumbent nominees (self and sponsored) who have successfully
passed their local human resources evaluation are placed on this
track
The training track is the main path for leadership certification.
Incumbents on this track are expected to possess the leadership
competencies after going through the project and portfolio building
exercises of the framework.
The RPL track is an option made available to Incumbents perceived
to already possess the competencies needed for leadership
certification.
Incumbents in the RPL track, skip over the project scoping stage of
the certification program. These Incumbents go directly to the
portfolio building and assessment stage and move forward in the
certification process from there.
All nominees are required to pay a fee to cover registration,
enrollment and assessment.
The following documents will be used in the nomination stage:
CSI Application / Enrollment Form
- Available through LHRU or directly with CSI, or LSP.
Self-Assessment Questionnaire
- Available and issued by LHRU and/or CSI.
- Completed by nominees undergoing self-nomination and
submitted to LHRU as part of enrollment documents.
Immediate Supervisor’s Assessment
- Completed by immediate supervisor to assess direct report’s
for enrollment into the program.
- Submitted to RD as reference documents to guide RD in
approving / disapproving application.
Process Owner Suggested
Turnaround Times
Application Review HR working days
Enrollment / Registration CSI working day
Application is bi-annual (TBA)
Certification is quarterly (TBA)
Training Track (TBA)
RPL Track (TBA)
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Project Scoping and Presentation Stage
DESCRIPTIONS:
The project scoping stage is where action learning begins. This stage
of the process is specifically designed to enable candidates to:
1. Exercise strategic and critical thinking.
2. Demonstrate their ability in project planning (i.e. identifying
resources, stakeholders, setting timelines, etc.,)
3. Develop their ability to engage and communicate for buy-in
with their stakeholders.
Certification candidates are required to identify and map out which
competencies they will be exhibiting during project implementation.
They will be using the Civil Service Commission’s Leadership
Competency Framework as a guide in mapping their
competencies.
Each candidate going through the training track will be asked to
identify specific Behavioral Indicators they will be targeting for each
competency. They will be using an individual task register.
In group projects, the competency mapping / profiling instrument
will be used as a project WBS*. However, members of the group will
also need to accomplish their individual task registers.
The key result expected from each candidate at this stage is the
creation of a project charter or a document defining the project
and its scope.
It is at this stage where the advantage of the new framework
becomes evident as projects undertaken by these candidates are
aimed at addressing present problems, harnessing opportunities or
delivering improvements or innovations in the actual workplace.
A project scoping document should contain the following:
- Reasons for undertaking the project
- Objectives and constraints of the project
- Directions concerning the solution
- Identities of the main stakeholders
- In-scope and out-of-scope items
- High level risk management plan
- Communication plan
- Target project benefits
*work breakdown structure
COMPONENTS:
Project Scoping Stage
Competency Mapping /
Profiling
Scoping Document
Portfolio Building
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COMPONENTS:
Portfolio Building
Training Track
Recognition of Prior
Learning Track (RPL)
Project Presentation
DESCRIPTIONS:
In the process of undertaking their project, it is expected that
situations and circumstances may change. Such conditions will
trigger the re-framing of the scope, subject to the approval of the
project sponsor.
The process of portfolio building is where the candidates gather a
purposeful collection of evidence to prove the existence / presence
of required competencies or the acquisition of competency in the
course of undertaking their projects.
Candidates going through the training track are expected to
“acquire” these competencies as they execute specific tasks in their
projects. Each candidate must ensure that the tasks they have listed
in their individual task registers are mapped / aligned to the
competencies they are targeting. Portfolio building for these
candidates means gathering evidence to prove that these tasks
were executed properly and the competency behavior was
displayed during execution.
Portfolio building for candidates in the RPL track is different.
Candidates in this track are expected to have already acquired the
targeted competencies / behaviors through previous experience.
They need to cite instances from their work history in which the
targeted competencies / behaviors were displayed.
Once identified, these competencies are indicated in the
competency mapping / profiling instrument. The CSI / LSP project
coordinator checks this document for accuracy and completeness.
Candidates then proceed to build their portfolio by gathering
supporting evidence.
Candidates are required to present their project to the following
audiences:
1. Project sponsor or Immediate Supervisor
2. Assessor
3. Project Stakeholders
The presentations will follow the order described above. However, in
the interests of efficiency, the Project Sponsor and the Assessor can
be present during one presentation.
Only after the approval of both the Project Sponsor and the Assessor
will a presentation with the stakeholders be scheduled.
This stage is necessary to ensure that the project is administratively
feasible, to secure and reinforce stakeholder engagement and
finally to ensure accuracy and alignment with the leadership
competencies being targeted by the project.
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DESCRIPTIONS:
CSI / LSP Project Coordinator
- Ensures the availability of certified assessors for project
presentation meetings.
- Checks completeness and accuracy of scoping document
Certification Candidate
- Accurately accomplish the competency profile and
mapping.
- Creates the project scoping document and project charter.
- Creates and delivers project presentation
Certified Assessor (ERPO)
- Attends project presentation to review project details and
assess if project tasks are aligned with competencies being
targeted.
Project Sponsor / Immediate Supervisor / RD
- Provides fiscal and administrative approval and oversight for
projects undertaken by their direct report.
Competency Mapping Tool
Individual Task Register
Project Scoping Template
TBA
TBA
COMPONENTS:
Roles and Accountability
Documentation and
Reporting
Turnaround Time
Timelines / Scheduling
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COMPONENTS:
Portfolio
Portfolio Assessment
Rating System
and Scale
DESCRIPTIONS:
A portfolio is defined as a purposefully gathered collection of samples
of annotated and validated pieces of evidence. Evidence can come
in the form of written documents, written or recorded oral testimonials,
photographs, videos, etc.
A candidate’s portfolio will contain the following:
1. Introduction
- This is a one-page document containing between 300-500
words. Essentially, a brief on who the candidate is, why they
joined and a list of the major leadership lessons learned as
they went through the program
2. Competency Map and Evidence
- Carrying over from their project scoping competency map,
the candidate now provides specific evidence for each
competency targeted.
The purpose of the portfolio assessment stage is to determine whether
the competencies mapped out and targeted in the project scope
were actually practiced while implementing the project.
The candidate should be able to demonstrate evidence within the
boundaries of their workplace context. Evidence can be collected
either on and/or off the job.
A candidate’s portfolio is assessed on two dimensions. Success of the
project is not considered a factor affecting ratings. The following are
key considerations:
1. Alignment of project activities / tasks to the competencies
mapped out in the scoping stage. Tasks and activities that have
no bearing on the targeted competencies will not be given a
rating.
2. Validity of evidence provided to prove the presence of
competencies in each of the tasks. Rating will be as follows:
1= Invalid. Evidence does not prove presence of competency.
2=Insufficient. Further probing required in determining presence
of competency. Additional evidence required.
3=Sufficient. Evidence proves candidate has displayed targeted
competency in the task selected.
4=Outstanding. Evidence proves candidate has demonstrated
competency exceeding the level required.
Portfolio Assessment Stage
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COMPONENTS:
Rating System
and Scale
Validity of Evidence
Roles and Accountability
Documentation and
Reporting
Turnaround Times
Timelines and
Scheduling
DESCRIPTIONS:
The following factors will be considered in determining the validity of
evidence:
1. Currency / Recency
- Was the product/evidence relatively recent? The rules for
determining currency will be specified.(e.g. candidate
performed in the past 12-18 months);
2. Authenticity
- Was the evidence produced by the candidate? or if part of
a team contribution, what aspects carried out were specific
to the candidate (e.g. established through testimonial
statements, etc.)
3. Sufficiency
- is there enough evidence to demonstrate to the assessor
competence against the entire Unit of Competency,
including the critical aspects of evidence described in the
Evidence Guide (e.g. evidence of consistency of
performance.
CSI
- Designates project coordinator in the interim to ensure that
portfolios are accomplished properly.
Candidate
- Collects and compiles evidence to build portfolio
- Submits portfolio on agreed submission date.
ERPO/Assessor
- Performs assessment using Portfolio Assessment Instrument
- Creates a post assessment report.
Assessor’s Portfolio Assessment Tool and Report
Candidate Scorecard
TBD
TBD
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Behavioral Interview and Assessment Stage
COMPONENTS:
Behavioral Interview and
Assessment Stage
Behavioral Interview
Guide
The Behavioral Interview
DESCRIPTIONS:
The behavioral interview and assessment stage is the final assessment
layer leading to certification. In this stage, the candidate undergoes a
behavioral interview with a certified / accredited interviewer.
Data gathered during the interview is relayed to a certified assessor for
evaluation.
This stage has three objectives:
1. The validation of all findings and ratings in the previous assessment
layers
2. Examine evidence presented for alignment with target
competencies and decide presence and extent of competency.
3. Distill a development plan that will allow the candidate to improve
on existing level of competency.
Interviewers will be using a behavioral interviewing guide. The
interviewing guide contains sample questions for each competency.
Each question will be mapped to the Units(s) of Competency with
insufficient evidence during the portfolio assessment.
The behavioral interview may be structured, semi-structured and /or
unstructured. If using structured and/or semi-structured interview
techniques, each question to be asked in the interview session should be
listed and presented within the interview.
The type of questions that could be asked may include open ended;
diagnostic; information seeking; challenge; action; prioritization,
prediction; hypothetical; extension; and/or generalization questions.
The interviewer will:
1. Provide the candidate with the range of questions prior to the
interview period;
2. Provide the candidate with written copies of the questions during
the interview; Allow prompting; Place restrictions on the number of
attempts;
3. Allow access to materials etc throughout the interview period;
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COMPONENTS:
Computer-Based
Examination
Interview Assessment
Rating Scales and
Ratings
Calibration
DESCRIPTIONS:
As part of the assessments for the final stage leading to
certification, all candidates will undergo a computer-based exam
on the competency framework.
The exam shall be held on a date and at a venue to be
announced by ERPO and coordinated with the LHRU.
There will be a total of three (3) distinct assessors for this stage.
- The first assessor’s role is to evaluate the portfolio assessment
report and draft the behavioral interview questions to be
used and conduct the behavioral interview.
- The second and third assessor’s roles are to review and
evaluate the actual responses during behavioral interview.
If present during the actual interview itself, assessor will be allowed
to ask clarificatory questions; however, the interview will be
conducted by the assigned interviewer.
In cases where the assessor and interviewer cannot both be
present during the behavioral interview, the interview may either
be taped or done through the use of applicable / preferred video-
conferencing technologies.
4 Very Good Advance
Evidence and example
exceeds level of
competency
3 Suitable Certify Provides well developed
relevant experience
2 Marginal Defer/Reject Some evidence provided
but not well developed
1 Unsuitable Reject Failed to provide positive
evidence
The assessors will schedule a post assessment calibration to ensure
the accuracy and correctness of their ratings. These sessions are
meant for each assessor to give and receive feedback on each
other’s ratings but not to influence each other to give the same
kind of rating.
The calibration session may be done in a personal meeting, VOIP
conference, etc.
Assessors will still be submitting two separate scores to ERPO for
consolidation into a unified final score.
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COMPONENTS:
Roles and Accountability
Documentation and
Reporting
Process Turn-Around
Times
Timelines and Schedules
DESCRIPTIONS:
LHRU
- assigns an interviewer to conduct the BEI
- Arranges schedules and logistics for the conduct of BEI
ERPO
- Schedules and announces written examination
- Coordinates with LHRU for the conduct of written
examination
- assigns two assessor to review and evaluate the BEI
- candidate scorecard
Candidate
- Completes all requirements from previous stage.
- Takes written Exam
- Attends BEI
Assessor
- Designs behavioral interview.
- Conducts assessment of BEI
- Generates report and fills out Candidate Scorecard
Behavioral Interview Sheet
Interview Video
Assessor’s Interview Evaluation Report
TBD
TBD
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Certification
DESCRIPTIONS:
In order to be certified, each applicant must get an average score
of 3.0 for each competency cluster for assessment layers 2 and 3.
Assessment Layer #1 Purely Diagnostic (No Bearing on Final Grade)
Cluster
1
Cluster
2
Cluster
3
Cluster
4
Cluster
5
Self
Assessment
Supervisor
Evaluation
RPL Track Assessment Layer #2 70% of Final Grade
%
Cluster
1
Cluster
2
Cluster
3
Cluster
4
Cluster
5
Portfolio
Assessment 100
Training Track Assessment Layer #2 70% of Final Grade
%
Cluster
1
Cluster
2
Cluster
3
Cluster
4
Cluster
5
Portfolio
Assessment 100
Assessment Layer #3 30% of Final Grade
%
Cluster
1
Cluster
2
Cluster
3
Cluster
4
Cluster
5
Written
Examination 33.33
Behavioral
Assessment 66.66
Candidates who fail to meet the final average grade requirement
of 3.0 for certification shall be deferred to the next certification
cycle. In this scenario, the candidate shall only work for
certification on the specific competency clusters where they were
not able to get the grade of 3.0
COMPONENTS:
Final Ratings
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