Understanding the principles and practices of assessmentiCan Qualifications Limited End-Point Assessment Teaching & Education Revision

    This subtopic explores the fundamental concepts, principles, and legal requirements underpinning effective assessment in learning and development. It equip

    Topic Synopsis

    This subtopic explores the fundamental concepts, principles, and legal requirements underpinning effective assessment in learning and development. It equips practitioners with the knowledge to plan, implement, and quality assure assessment activities, ensuring they are fair, valid, and reliable while actively involving learners and stakeholders.

    Key Concepts & Core Principles

    Exam Tips & Revision Strategies

    Common Misconceptions & Mistakes to Avoid

    Examiner Marking Points

    Understanding the principles and practices of assessment

    ICAN QUALIFICATIONS LIMITED
    vocational

    This subtopic provides a comprehensive foundation in the principles, practices, and legal frameworks underpinning effective assessment in education and training. Learners explore diverse assessment methods, planning strategies, learner involvement, decision-making processes, quality assurance, and information management, ensuring they can apply these concepts in real vocational settings to deliver fair, valid, and reliable assessments.

    34
    Learning Outcomes
    39
    Assessment Guidance
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    Key Skills
    30
    Key Terms
    59
    Assessment Criteria

    Assessment criteria

    iCQ Level 3 Award in Understanding the Principles and Practices of Assessment (RQF)
    iCQ Level 3 Certificate in Learning and Development (RQF)
    iCQ Level 3 Award in Assessing Competence in the Work Environment (RQF)
    iCQ Level 3 Award in Assessing Vocationally Related Achievement (RQF)
    iCQ Level 4 Diploma in Learning and Development (RQF)
    iCQ Level 4 Certificate in Education and Training (RQF)
    iCQ Level 3 Certificate in Assessing Vocational Achievement (RQF)
    iCQ Level 3 Award in Education and Training (RQF)

    Topic Overview

    The iCQ Level 3 Certificate in Learning and Development (RQF) is a foundational qualification for those entering the teaching and training sector in the UK. It covers the core principles of adult learning, including how to plan, deliver, and assess inclusive sessions that meet the needs of diverse learners. This qualification is essential for aspiring teachers, trainers, and assessors working in further education, workplace training, or community education settings.

    The certificate is structured around key units such as 'Understanding Roles, Responsibilities and Relationships in Education and Training', 'Planning to Meet the Needs of Learners in Education and Training', and 'Delivering Education and Training'. These units equip learners with practical skills like writing SMART aims, using varied teaching methods, and adapting resources for different learning styles. The qualification also emphasises the importance of reflective practice and continuous professional development.

    This qualification sits within the broader UK teaching framework, often serving as a stepping stone to the Level 4 Certificate in Education and Training or the Level 5 Diploma. It is recognised by employers and professional bodies, making it a valuable asset for anyone seeking a career in teaching, training, or assessment. By completing this certificate, students demonstrate their ability to create safe, inclusive, and effective learning environments.

    Key Concepts

    Core ideas you must understand for this topic

    • The teaching, learning, and assessment cycle: a continuous process of identifying needs, planning, delivering, assessing, and evaluating to improve learner outcomes.
    • Inclusive practice: adapting teaching methods, resources, and assessments to accommodate diverse learner needs, including those with disabilities, different cultural backgrounds, or varying learning preferences.
    • Differentiation: tailoring content, process, product, and learning environment to meet individual learner needs, such as using varied activities or providing extension tasks.
    • Assessment methods: using formative (e.g., quizzes, observations) and summative (e.g., exams, final projects) assessments to measure progress and inform future planning.
    • Legislative requirements: understanding key laws like the Equality Act 2010, Health and Safety at Work Act 1974, and data protection regulations (GDPR) that impact teaching practice.

    Learning Objectives

    What you need to know and understand

    • Understand the principles and requirements of assessment, Understand different types of assessment method, Understand how to plan assessment, Understand how to involve learners and others in assessment, Understand how to make assessment decisions, Understand quality assurance of the assessment process, Understand how to manage information relating to assessment, Understand the legal and good practice requirements in relation to assessment
    • Explain the key principles of assessment including validity, reliability, fairness, and sufficiency.
    • Compare different assessment methods and select appropriate ones for specific learner needs.
    • Design an assessment plan that incorporates initial, formative, and summative assessments.
    • Evaluate strategies for involving learners and others in the assessment process.
    • Apply consistent assessment decisions based on defined criteria.
    • Outline the quality assurance processes to ensure assessment standards are maintained.
    • Analyze how to manage assessment records in compliance with data protection and awarding body requirements.
    • Discuss legal and ethical considerations, including equality, diversity, and confidentiality, in assessment practice.
    • Explain the key principles and requirements of assessment as defined by regulatory bodies
    • Compare different types of assessment methods suitable for competence-based qualifications
    • Design an assessment plan that aligns with vocational standards and learner needs
    • Describe strategies for involving learners and stakeholders in the assessment process
    • Apply criteria to make valid and reliable assessment decisions
    • Evaluate the role of quality assurance in maintaining assessment standards
    • Demonstrate procedures for managing assessment records and information confidentially
    • Analyse legal and good practice requirements relevant to assessment in the work environment
    • Understand the principles and requirements of assessment, Understand different types of assessment method, Understand how to plan assessment, Understand how to involve learners and others in assessment, Understand how to make assessment decisions, Understand quality assurance of the assessment process, Understand how to manage information relating to assessment, Understand the legal and good practice requirements in relation to assessment
    • Understand the principles and requirements of assessment, Understand different types of assessment method, Understand how to plan assessment, Understand how to involve learners and others in assessment, Understand how to make assessment decisions, Understand quality assurance of the assessment process, Understand how to manage information relating to assessment, Understand the legal and good practice requirements in relation to assessment
    • Evaluate the key principles underpinning effective assessment practice.
    • Compare and contrast different assessment methods for diverse learning contexts.
    • Design a comprehensive assessment plan that aligns with awarding body requirements.
    • Facilitate learner and others' involvement in the assessment process through constructive feedback and self-assessment.
    • Make consistent assessment decisions based on clear criteria and standardized procedures.
    • Analyze quality assurance mechanisms and legal obligations, ensuring compliance with data protection and equality legislation.
    • Evaluate the application of VACSR principles in vocational assessment.
    • Analyse the strengths and limitations of different assessment methods relative to specific learning outcomes.
    • Design an inclusive assessment plan that incorporates initial assessment and holistic approaches.
    • Explain the roles of learners, peers, and other professionals in the assessment process.
    • Justify assessment decisions based on evidence against agreed criteria.
    • Examine quality assurance procedures to ensure consistency and standardisation.
    • Apply data protection principles when storing and sharing assessment records.
    • Discuss the impact of legislation and organisational policies on assessment practice.
    • Understand the principles and requirements of assessment, Understand different types of assessment method, Understand how to plan assessment, Understand how to involve learners and others in assessment, Understand how to make assessment decisions, Understand quality assurance of the assessment process, Understand how to manage information relating to assessment, Understand the legal and good practice requirements in relation to assessment

    Assessment Criteria

    Key criteria assessors look for in your portfolio

    • Award credit for demonstrating clear understanding of assessment principles, including validity, reliability, fairness, and sufficiency, with practical examples.
    • Award credit for accurately distinguishing between assessment types (e.g., formative, summative, initial, diagnostic) and methods (e.g., observation, simulation, portfolio) and justifying their selection based on learning outcomes.
    • Award credit for producing a detailed assessment plan that specifies learning objectives, assessment criteria, methods, timings, and involvement of others, while addressing individual learner needs.
    • Award credit for explaining effective strategies to involve learners and other stakeholders (e.g., witnesses, employers) in the assessment process, such as self- and peer-assessment, and collaborative target setting.
    • Award credit for describing how to make reliable and consistent assessment decisions using agreed criteria, evidence triangulation, and participation in standardisation activities.
    • Award credit for outlining the role and importance of quality assurance mechanisms, including internal and external verification, moderation, and appeals procedures.
    • Award credit for detailing procedures for managing assessment information responsibly, ensuring confidentiality, secure storage, accurate record-keeping, and compliance with data protection regulations.
    • Award credit for identifying key legal and good practice requirements, including equality and diversity legislation, health and safety responsibilities, and the impact of relevant regulatory bodies (e.g., Ofqual).
    • Award credit for demonstrating a clear understanding of the principles of assessment and how they ensure quality.
    • Credit given for correctly matching assessment methods to specific learning outcomes and learner contexts.
    • Evidence of planning assessment with clear milestones, methods, and involvement of stakeholders.
    • Credit for identifying appropriate quality assurance activities such as standardization and sampling.
    • Marks awarded for recognizing the importance of accurate record-keeping and data security.
    • Credit for articulating the implications of relevant legislation (e.g., Equality Act, GDPR) on assessment.
    • Award credit for demonstrating understanding of VACSR (valid, authentic, current, sufficient, reliable) when discussing assessment decisions
    • Credit for explaining how to select and adapt assessment methods to individual learner needs and contexts
    • Credit for producing a detailed assessment plan that includes timelines, methods, and involvement of others
    • Credit for describing effective ways to involve learners in negotiating and agreeing assessment plans
    • Credit for making assessment decisions that are clearly justified by referenced evidence and criteria
    • Credit for explaining internal and external quality assurance roles and how they maintain assessment rigour
    • Credit for outlining compliant record-keeping practices in line with data protection legislation
    • Award credit for demonstrating understanding of key assessment principles: validity, reliability, fairness, sufficiency, authenticity, and currency.
    • Award credit for comparing strengths and limitations of different assessment methods (e.g., observation, questioning, professional discussion, portfolio) in relation to specific vocational contexts.
    • Award credit for explaining how to plan a holistic assessment considering learner needs, standards/criteria, and resource constraints.
    • Award credit for describing strategies to involve learners and others (e.g., peers, employers) in the assessment process through feedback, self-assessment, and collaborative target-setting.
    • Award credit for outlining the decision-making process, including judging evidence against criteria, resolving ambiguity, and ensuring consistency.
    • Award credit for summarizing quality assurance activities (standardization, internal/external verification) and their role in maintaining assessment standards.
    • Award credit for illustrating how to manage assessment records securely and in compliance with data protection legislation (e.g., GDPR).
    • Award credit for identifying relevant legal and good practice requirements, such as equality and diversity, health and safety, and confidentiality, and explaining their application to assessment.
    • Award credit for demonstrating a clear understanding of the key principles of assessment (e.g., validity, authenticity, currency, sufficiency, and reliability) and explaining how they underpin practice.
    • Expect the candidate to evaluate a range of assessment methods (e.g., observation, questioning, projects, RPL) and justify choices based on learner needs, context, and assessment criteria.
    • Look for evidence in the assessment plan that holistically considers timing, resources, opportunities for learner involvement, and specific individual requirements (including any additional support or reasonable adjustments).
    • Credit responses that illustrate how to negotiate and agree assessment plans with learners and others, ensuring shared understanding of goals, standards, and timescales.
    • Assessors should see robust decision-making processes that triangulate evidence, apply assessment criteria consistently, and demonstrate how they ensure judgements are impartial and unbiased.
    • Expect evidence of active participation in quality assurance activities, such as standardisation meetings, internal verification, and acting on feedback to improve own assessment practice.
    • Check that the candidate can describe compliant systems for recording, storing, and sharing assessment information confidentially, including adherence to data protection legislation.
    • Require explicit references to legal and good practice requirements (e.g., equality, health and safety, safeguarding) and how these are embedded into assessment operations.
    • Award credit for demonstrating knowledge of assessment principles: validity, reliability, authenticity, sufficiency, and fairness.
    • Credit given for accurate matching of assessment methods to learning outcomes and learner needs.
    • Evidence of detailed assessment planning including timing, resources, and contingency.
    • Marks for incorporating learner self-assessment and peer feedback strategies.
    • Credit for demonstrating consistent judgment against marking criteria and providing constructive feedback.
    • Recognition of understanding internal and external quality assurance processes, including standardization and moderation.
    • Award credit for clear demonstration of understanding VACSR and how it informs assessment practice.
    • Award credit for comparing and contrasting at least three assessment methods suitable for vocational contexts.
    • Award credit for producing a detailed assessment plan that includes timescales, methods, and reasonable adjustments.
    • Award credit for providing evidence of effective communication strategies to engage learners in their own assessment.
    • Award credit for explaining a decision-making process that ensures decisions are fair, safe, and equitable.
    • Award credit for identifying appropriate quality assurance roles and activities, such as internal verification.
    • Award credit for outlining secure data management processes aligned with GDPR.
    • Award credit for referencing key legislation, such as the Equality Act and Health and Safety at Work Act.
    • Award credit for clearly referencing current regulatory requirements (e.g., GDPR, equality legislation) when describing assessment principles.
    • Look for evidence that assessment methods are justified against specific learning outcomes, considering validity, reliability, and practicality.
    • Credit should be given for demonstrating how to conduct initial and diagnostic assessments to inform individual learning plans.
    • Expect clear strategies for involving learners and other stakeholders (e.g., peers, employers) in the assessment process, with examples.
    • Award marks for explaining holistic decision-making, including how evidence is judged against criteria and how borderline cases are handled.
    • Evidence of understanding quality assurance activities (standardisation, internal verification) and their role in maintaining assessment integrity.
    • Credit for outlining systematic approaches to recording and safely storing assessment data in compliance with data protection laws.
    • Look for application of good practice, such as promoting equality, diversity, and inclusive assessment, beyond mere theory.

    Assessment Guidance

    Guidance for achieving higher grades

    • 💡Always link theoretical knowledge to real-life practice by reflecting on your own assessment experiences or using case studies to illustrate points.
    • 💡Use precise terminology from the assessor and quality assurance standards (e.g., 'validity', 'authenticity') to demonstrate depth of understanding.
    • 💡When documenting assessment plans or decisions, ensure they are clear, structured, and show a clear audit trail from assessment criteria to evidence and feedback.
    • 💡Familiarise yourself with current legislation (e.g., GDPR, Equality Act) and be prepared to explain how they influence assessment practice.
    • 💡Actively engage in standardisation and moderation activities to develop a consistent approach; your portfolio should evidence this participation where possible.
    • 💡Review your own assessment records against quality assurance checklists before submission to ensure completeness and compliance.
    • 💡Always link assessment methods to the specific assessment criteria and learning outcomes.
    • 💡When discussing quality assurance, mention both internal and external processes.
    • 💡Use real-world examples from your own practice to demonstrate application of principles.
    • 💡Be precise about legal references: name specific legislation and how it applies.
    • 💡Always anchor your answers to the VACSR principles to demonstrate depth in decision-making
    • 💡Use specific examples from your own vocational area to illustrate application of assessment methods
    • 💡When discussing quality assurance, explicitly reference internal and external verification processes and standardisation
    • 💡Clearly differentiate between initial, formative, and summative assessment in your responses
    • 💡Quote relevant legislation such as GDPR and the Equality Act 2010 when addressing legal requirements
    • 💡Always anchor your responses to the specific vocational context and, where possible, use real examples from your assessment practice to illustrate principles.
    • 💡Explicitly reference key terms (validity, reliability, authenticity, etc.) and show how they interconnect in the whole assessment cycle.
    • 💡When discussing planning, cover initial assessment, individual needs, SMART targets, and how you adapt methods to evidence requirements.
    • 💡For quality assurance, explain both internal and external processes and your own role in supporting them, demonstrating reflective practice.
    • 💡Always link theoretical principles to real-world examples from your own assessment practice; generic answers lack the depth expected at Level 4.
    • 💡When discussing assessment methods, be specific: name the method, describe how you would apply it, and justify its appropriateness for a given skill/knowledge domain.
    • 💡Demonstrate reflective practice by citing actual improvements you made after quality assurance feedback or a challenge to your assessment decisions.
    • 💡Reference relevant regulatory bodies (e.g., Ofqual, awarding organisation) and their requirements to show contextual awareness and professionalism.
    • 💡For legal and good practice, go beyond listing acts—explain precisely how you implement provisions such as making reasonable adjustments for a learner with dyslexia.
    • 💡Structure your evidence clearly; use headings from the unit criteria and ensure each piece of evidence is cross-referenced to show comprehensive coverage.
    • 💡Always explicitly link your answers to the relevant sections of the Level 4 Certificate in Education and Training qualification specification.
    • 💡Provide concrete examples from your own teaching practice to evidence understanding, such as a sample assessment plan or feedback form.
    • 💡When discussing quality assurance, reference the roles of internal and external quality assurers and the importance of standardization meetings.
    • 💡Ensure you address legal requirements by naming specific legislation like the Equality Act 2010 and GDPR.
    • 💡Always link assessment theory to real examples from your own vocational area.
    • 💡Use the VACSR framework explicitly when evaluating evidence quality.
    • 💡When planning, demonstrate how you would adapt methods for individual learner needs.
    • 💡In assessment decisions, show how you would use benchmark answers or exemplars.
    • 💡For legal requirements, mention specific legislation and how it applies to your practice.
    • 💡Always link your answers back to the assessment cycle: plan, assess, decide, and quality assure – this demonstrates systematic thinking.
    • 💡Use real or realistic examples from your own teaching context to illustrate how you would apply each principle, as assessors value application over theory.
    • 💡When discussing legal requirements, name relevant legislation (e.g., Equality Act, GDPR) and briefly explain its implication for assessment practice.
    • 💡For questions on involving learners, structure your response around ‘before, during, and after’ the assessment to show comprehensive engagement.
    • 💡In decision-making scenarios, explicitly show how you weigh evidence, involve others, and guard against bias – this distinguishes pass-level answers.
    • 💡When answering questions about roles and responsibilities, always link your points to specific legislation or professional standards, such as the Equality Act 2010 or the Teaching Standards. This shows depth of understanding.
    • 💡Use real or plausible examples from your own practice or observations to illustrate points about planning or assessment. Examiners value practical application over theoretical repetition.
    • 💡For questions on inclusive practice, mention specific strategies like using visual aids, providing handouts in advance, or offering alternative assessment formats. Avoid vague statements like 'treat everyone the same'.

    Common Mistakes

    Common errors to avoid in your coursework

    • Confusing the purpose and application of formative and summative assessment, or failing to link them coherently.
    • Selecting assessment methods that do not directly measure the identified learning outcomes, leading to insufficient evidence.
    • Overlooking the need to adapt assessments for learners with specific requirements or disabilities, thus failing to comply with equality duties.
    • Treating assessment decisions as purely subjective rather than evidence-based, neglecting the importance of standardised criteria and moderation.
    • Underestimating the significance of quality assurance processes, seeing them as bureaucratic rather than integral to fair assessment.
    • Failing to maintain clear, organised, and confidential assessment records, which can lead to data breaches or disputes.
    • Ignoring the roles and responsibilities of others in the assessment process, such as employers or peers, reducing the validity of holistic assessment.
    • Assuming that legal and good practice requirements are optional rather than mandatory, resulting in potential malpractice.
    • Confusing formative and summative assessment purposes.
    • Failing to involve learners in the assessment process, such as through self-assessment.
    • Overlooking the need for standardization activities to ensure consistent decision-making.
    • Assuming that one assessment method fits all, without considering learner needs and context.
    • Confusing formative and summative assessment purposes in work-based contexts
    • Overlooking the need to verify authenticity of learner evidence, especially in digital submissions
    • Failing to involve learners in the planning stage, leading to disengagement or misunderstanding of requirements
    • Using a limited range of assessment methods without considering their suitability for different competences
    • Neglecting to maintain clear, up-to-date assessment records or breaching confidentiality rules
    • Confusing formative and summative assessment purposes, or failing to recognize when each should be used.
    • Overlooking the importance of involving learners in planning and giving feedback, treating them as passive recipients.
    • Assuming that assessment decisions are purely subjective; neglecting the need for evidence-based judgments aligned to published criteria.
    • Not considering the full range of quality assurance processes, or thinking standardization only applies during external verification visits.
    • Failing to link legal requirements like data protection and equality to specific assessment practices, treating them as abstract concepts.
    • Confusing formative and summative assessment purposes, leading to inappropriate use of methods or feedback at the wrong stage.
    • Neglecting to ensure the authenticity of learner work by not observing practice or failing to use plagiarism detection appropriately.
    • Planning assessment without considering learner input or individual circumstances, resulting in unrealistic or inaccessible arrangements.
    • Making assessment decisions based on a single piece of evidence rather than a range that demonstrates sufficiency and consistency.
    • Overlooking the critical role of quality assurance; some candidates treat internal verification as a box-ticking exercise rather than an improvement process.
    • Poor record-keeping practices, including missing signatures, incomplete tracking sheets, and insecure storage of assessment data, which can lead to audit failures.
    • Confusing reliability with validity in assessment.
    • Overlooking the need to involve others, such as employers or mentors, in the assessment process.
    • Failing to keep accurate records, leading to audit failures.
    • Not differentiating between formative and summative assessment purposes.
    • Assuming one assessment method suits all learners without differentiation.
    • Confusing formative and summative assessment purposes.
    • Ignoring validity by assessing topics not covered in the learning outcomes.
    • Failing to consider how to authenticate evidence for sufficiency claims.
    • Overlooking the need for reasonable adjustments and special considerations.
    • Assuming assessment decisions are made in isolation without standardisation meetings.
    • Storing assessment records insecurely or sharing data without consent.
    • Confusing assessment criteria with learning outcomes, leading to misaligned methods and invalid decisions.
    • Over-reliance on a single assessment method without considering learner needs or the nature of the evidence required.
    • Failing to document the involvement of learners in their own assessment planning, missing opportunities for personalisation.
    • Making assessment decisions based on subjective impressions rather than mapping evidence directly to specified criteria.
    • Neglecting the importance of internal moderation and standardisation, assuming solo marking is always sufficient.
    • Poor record-keeping that does not meet legal retention periods or leaves assessment trails incomplete.
    • Underestimating the impact of health and safety or safeguarding requirements when planning practical assessments.
    • Misconception: 'Teaching is just about delivering content.' Correction: Effective teaching involves planning, assessing, and reflecting, not just presenting information. The teaching cycle shows that delivery is only one part of a broader process.
    • Misconception: 'Differentiation means giving everyone different work.' Correction: Differentiation can be achieved through varied support, grouping, or outcomes, not necessarily different tasks. For example, using scaffolded worksheets or flexible grouping can address diverse needs.
    • Misconception: 'Assessment is only for grading.' Correction: Assessment is also for learning (formative) to guide teaching and help learners improve. Regular feedback and self-assessment are key to development.

    Frequently Asked Questions

    Common questions students ask about this topic

    Before You Start

    Prior knowledge that will help with this topic

    • Basic understanding of the UK education system, including different types of educational settings (e.g., further education, adult education, workplace training).
    • Familiarity with key terms like 'learning styles', 'differentiation', and 'assessment for learning' from introductory teaching courses or personal study.
    • Some experience in a teaching or training environment (e.g., as a teaching assistant, trainer, or volunteer) is helpful but not mandatory.

    Key Terminology

    Essential terms to know

    • Understand the principles and requirements of assessment, Understand different types of assessment method, Understand how to plan assessment, Understand how to involve learners and others in assessment, Understand how to make assessment decisions, Understand quality assurance of the assessment process, Understand how to manage information relating to assessment, Understand the legal and good practice requirements in relation to assessment
    • Assessment planning and design
    • Validity and reliability
    • Involving learners in assessment
    • Assessment decision-making
    • Quality assurance of assessment
    • Legal and ethical requirements
    • Principles of assessment
    • Assessment methods and types
    • Involving learners and others
    • Quality assurance processes
    • Legal and ethical requirements
    • Information management and confidentiality
    • Understand the principles and requirements of assessment, Understand different types of assessment method, Understand how to plan assessment, Understand how to involve learners and others in assessment, Understand how to make assessment decisions, Understand quality assurance of the assessment process, Understand how to manage information relating to assessment, Understand the legal and good practice requirements in relation to assessment
    • Understand the principles and requirements of assessment, Understand different types of assessment method, Understand how to plan assessment, Understand how to involve learners and others in assessment, Understand how to make assessment decisions, Understand quality assurance of the assessment process, Understand how to manage information relating to assessment, Understand the legal and good practice requirements in relation to assessment
    • Core principles of assessment
    • Assessment method selection
    • Assessment planning and design
    • Learner and peer involvement
    • Assessment decision-making and feedback
    • Quality assurance and compliance
    • Principles of assessment
    • Types of assessment methods
    • Planning holistic assessment
    • Involving learners and others
    • Making assessment decisions
    • Quality assurance and feedback
    • Managing assessment information
    • Legal and ethical requirements
    • Understand the principles and requirements of assessment, Understand different types of assessment method, Understand how to plan assessment, Understand how to involve learners and others in assessment, Understand how to make assessment decisions, Understand quality assurance of the assessment process, Understand how to manage information relating to assessment, Understand the legal and good practice requirements in relation to assessment

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