Prosecution Insights
Last updated: April 18, 2026
Application No. 18/618,903

DIAGNOSTICS A FIRMWARE FRAMEWORK

Final Rejection §102
Filed
Mar 27, 2024
Examiner
CHEN, XUXING
Art Unit
2176
Tech Center
2100 — Computer Architecture & Software
Assignee
DELL PRODUCTS, L.P.
OA Round
2 (Final)
86%
Grant Probability
Favorable
3-4
OA Rounds
2y 9m
To Grant
98%
With Interview

Examiner Intelligence

Grants 86% — above average
86%
Career Allow Rate
541 granted / 630 resolved
+30.9% vs TC avg
Moderate +12% lift
Without
With
+11.8%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
20 currently pending
Career history
650
Total Applications
across all art units

Statute-Specific Performance

§101
10.0%
-30.0% vs TC avg
§103
44.4%
+4.4% vs TC avg
§102
25.7%
-14.3% vs TC avg
§112
11.6%
-28.4% vs TC avg
Black line = Tech Center average estimate • Based on career data from 630 resolved cases

Office Action

§102
DETAILED ACTION Notice of Pre-AIA or AIA Status The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . Claims 1-20 are pending. Claim Rejections - 35 USC § 102 The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action: A person shall be entitled to a patent unless – (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claim(s) 1-20 is/are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Hamlin et al. (hereinafter Hamlin) (US 20240168864 A1). The applied reference has a common assignee with the instant application. Based upon the earlier effectively filed date of the reference, it constitutes prior art under 35 U.S.C. 102(a)(2). This rejection under 35 U.S.C. 102(a)(2) might be overcome by: (1) a showing under 37 CFR 1.130(a) that the subject matter disclosed in the reference was obtained directly or indirectly from the inventor or a joint inventor of this application and is thus not prior art in accordance with 35 U.S.C. 102(b)(2)(A); (2) a showing under 37 CFR 1.130(b) of a prior public disclosure under 35 U.S.C. 102(b)(2)(B) if the same invention is not being claimed; or (3) a statement pursuant to 35 U.S.C. 102(b)(2)(C) establishing that, not later than the effective filing date of the claimed invention, the subject matter disclosed in the reference and the claimed invention were either owned by the same person or subject to an obligation of assignment to the same person or subject to a joint research agreement. As to claim 1, Hamlin teaches an Information Handling System (IHS) [FIG.3: 300], comprising: a controller [Embedded controller 209], wherein the controller comprises firmware that, upon execution by a processor core, causes the processor core to instantiate an orchestrator [0015: “where the memory is configured to receive a plurality of sets of firmware instructions, where each set of firmware instructions, upon execution by a respective device among the plurality of devices, enables the respective device to provide a corresponding firmware service without any involvement by any host OS, and where at least one of the plurality of devices operates as an orchestrator”]; and a plurality of devices coupled to the controller [FIG. 3: devices connected to EC via interconnect], wherein each device comprises firmware that [FIG. 5], upon execution by a corresponding respective processor core [0070: “each device in platform 300 may include its own microcontroller(s) or core(s) (e.g., ARM core(s)) and corresponding firmware.”], causes the corresponding respective processor core to instantiate a node as part of a firmware framework [FIG. 6: firmware services in each device], and wherein the orchestrator is configured to trigger a diagnostics operation specific to a device by a selected node to be performed independently of any Operating System (OS) of the HIS [0015: “upon execution by a respective device among the plurality of devices, enables the respective device to provide a corresponding firmware service without any involvement by any host OS, and where at least one of the plurality of devices operates as an orchestrator configured to: determine whether to launch a diagnostics tool based, at least in part, upon context or telemetry information; and in response to the determination, launch the diagnostics tool.”]. As to claim 2, Hamlin teaches wherein the controller comprises an Embedded Controller (EC) or Baseband Management Controller (BMC) [0007]. As to claim 3, Hamlin teaches wherein the plurality of devices comprises at least one of: a sensor, a sensor hub, a Central Processing Unit (CPU), a Graphical Processing Unit (GPU), an audio Digital Signal Processor (aDSP), a Neural Processing Unit (NPU), a Tensor Processing Unit (TSU), a Neural Network Processor (NNP), an Intelligence Processing Unit (IPU), an Image Signal Processor (ISP), [[or]] a Video Processing Unit (VPU), a camera controller, an audio controller, a memory, a Universal Serial Bus (USB) device, a Peripheral Component Interconnect express (PCIe) device, or a Trusted Platform Module (TPM) [FIG. 3]. As to claim 4, Hamlin teaches wherein at least one of the plurality of devices is coupled to the controller via at least one of: a Systems-on-Chip (SoC) interconnect, a Peripheral Component Interconnect Express (PCIe) bus, or a Universal Serial Bus (USB) port [FIG. 3] [0075: “CPU clusters 301A-N are coupled to memory controller 302 via main bus or interconnect 303. Memory controller 302 is responsible for managing memory accesses for all of devices connected to interconnect 303, which may include any communication bus suitable for inter-device communications within an SoC (e.g., Advanced Microcontroller Bus Architecture or “AMBA,” QuickPath Interconnect or “QPI,” HyperTransport or “HT,” etc.). All devices coupled to interconnect 303 can communicate with each other and with a host OS executed by CPU clusters 301A-N through interconnect 303.”]. As to claim 5, Hamlin teaches wherein the SoC interconnect comprises at least one of: an Advanced Microcontroller Bus Architecture (AMBA) bus, a QuickPath Interconnect (QPI) bus, or a HyperTransport (HT) bus [0075: “CPU clusters 301A-N are coupled to memory controller 302 via main bus or interconnect 303. Memory controller 302 is responsible for managing memory accesses for all of devices connected to interconnect 303, which may include any communication bus suitable for inter-device communications within an SoC (e.g., Advanced Microcontroller Bus Architecture or “AMBA,” QuickPath Interconnect or “QPI,” HyperTransport or “HT,” etc.). All devices coupled to interconnect 303 can communicate with each other and with a host OS executed by CPU clusters 301A-N through interconnect 303.”]. As to claim 6, Hamlin teaches wherein the diagnostics operation is selected based at least in part upon context information, and wherein the diagnostics operation comprises a Built-In Self-Test (BIST) specific to the device corresponding to the selected node [0012: “The orchestrator may be configured to identify the selected device, at least in part, based upon context or telemetry data. The orchestrator may be configured to select at least one of: (a) another AI model, or (b) another selected device configured to execute the AI model or the other AI model based, at least in part, upon a change in the context or telemetry data.”] [0008: “The diagnostics process may include at least one of: (a) a performance optimization or improvement process; (b) a failure prevention process; or (c) a failure remediation process. To determine whether to trigger the diagnostics process, the AI model may be configured to predict a slowdown or failure event…The determination may be based, at least in part, upon context or telemetry information collected by a subset of one or more of the plurality of devices.”]. As to claim 7, Hamlin teaches wherein the orchestrator is configured to trigger the diagnostics operation based, at least in part, upon a boot error or fault [0008: “To trigger the diagnostics process, the program instructions, upon execution, may cause the IHS execute or deploy at least one of: a host Operating System (OS)-based application, firmware-based service, or another AI model. The determination may be based, at least in part, upon context or telemetry information collected by a subset of one or more of the plurality of devices. “] [0086: “telemetry data may include, but is not limited to, measurements, metrics, logs, or other information related to: current or average utilization of devices 301-314 or other IHS components, CPU/core loads, instant or average power consumption of devices 301-314 or other IHS components, instant or average memory usage by devices 301-314 or other IHS components, characteristics of a network or radio system (e.g., WiFi vs. 5G, bandwidth, latency, errors, etc.), keyboard, mice, trackpad, or trackball usage data, transaction times, latencies, response codes, errors, data collected from sensors 210, etc.”]. As to claim 8, Hamlin teaches wherein the orchestrator is configured to trigger the diagnostics operation based, at least in part, upon a message from the selected node indicating an error or fault associated with the selected node [0008: “To trigger the diagnostics process, the program instructions, upon execution, may cause the IHS execute or deploy at least one of: a host Operating System (OS)-based application, firmware-based service, or another AI model. The determination may be based, at least in part, upon context or telemetry information collected by a subset of one or more of the plurality of devices. “] [0086: “telemetry data may include, but is not limited to, measurements, metrics, logs, or other information related to: current or average utilization of devices 301-314 or other IHS components, CPU/core loads, instant or average power consumption of devices 301-314 or other IHS components, instant or average memory usage by devices 301-314 or other IHS components, characteristics of a network or radio system (e.g., WiFi vs. 5G, bandwidth, latency, errors, etc.), keyboard, mice, trackpad, or trackball usage data, transaction times, latencies, response codes, errors, data collected from sensors 210, etc.”]. As to claim 9, Hamlin teaches wherein the orchestrator is configured to trigger the diagnostics operation based, at least in part, upon a message from another node indicating an error or fault associated with the selected node [0148: “In some implementations, firmware service(s) 601A may be executed by sensor hub and low-power AI device 307 and/or EC/BMC 209, which may be responsible for managing the enforcement of polic(ies) 602 and collecting context/telemetry data from firmware service(s) 602A-N of devices 501A-N. Firmware service(s) 601A may route context/telemetry data received into one or more workload characterization model(s) selected to be run onto high-performance AI device 308 (e.g., GPU 304, VPU 311, etc.) to perform inferences regarding the usage, workloads, or types of workloads being handled by IHS 200. In addition, firmware service(s) 601A may configure firmware service(s) 602B-N to modify selected settings and/or to notify host OS 400 (e.g., via HID command structures, etc.) of the modifications.”]. As to claim 10, Hamlin teaches wherein the diagnostics operation is performed by the selected node upon the selected node [0015: “upon execution by a respective device among the plurality of devices, enables the respective device to provide a corresponding firmware service without any involvement by any host OS, and where at least one of the plurality of devices operates as an orchestrator configured to: determine whether to launch a diagnostics tool based, at least in part, upon context or telemetry information; and in response to the determination, launch the diagnostics tool.”]. As to claim 11, Hamlin teaches wherein the diagnostics operation is performed by the selected node upon another node [0148: “In some implementations, firmware service(s) 601A may be executed by sensor hub and low-power AI device 307 and/or EC/BMC 209, which may be responsible for managing the enforcement of polic(ies) 602 and collecting context/telemetry data from firmware service(s) 602A-N of devices 501A-N. Firmware service(s) 601A may route context/telemetry data received into one or more workload characterization model(s) selected to be run onto high-performance AI device 308 (e.g., GPU 304, VPU 311, etc.) to perform inferences regarding the usage, workloads, or types of workloads being handled by IHS 200. In addition, firmware service(s) 601A may configure firmware service(s) 602B-N to modify selected settings and/or to notify host OS 400 (e.g., via HID command structures, etc.) of the modifications.”]. As to claim 12, Hamlin teaches wherein the selected node is a parent node with respect to the other node, and wherein the other node is a child node with respect to the selected node [0148: “In some implementations, firmware service(s) 601A may be executed by sensor hub and low-power AI device 307 and/or EC/BMC 209, which may be responsible for managing the enforcement of polic(ies) 602 and collecting context/telemetry data from firmware service(s) 602A-N of devices 501A-N. Firmware service(s) 601A may route context/telemetry data received into one or more workload characterization model(s) selected to be run onto high-performance AI device 308 (e.g., GPU 304, VPU 311, etc.) to perform inferences regarding the usage, workloads, or types of workloads being handled by IHS 200. In addition, firmware service(s) 601A may configure firmware service(s) 602B-N to modify selected settings and/or to notify host OS 400 (e.g., via HID command structures, etc.) of the modifications.”]. As to claim 13, Hamlin teaches wherein the selected node comprises a sensor hub, and wherein the other node comprises a sensor coupled to the sensor hub [[0148: “In some implementations, firmware service(s) 601A may be executed by sensor hub and low-power AI device 307 and/or EC/BMC 209, which may be responsible for managing the enforcement of polic(ies) 602 and collecting context/telemetry data from firmware service(s) 602A-N of devices 501A-N. Firmware service(s) 601A may route context/telemetry data received into one or more workload characterization model(s) selected to be run onto high-performance AI device 308 (e.g., GPU 304, VPU 311, etc.) to perform inferences regarding the usage, workloads, or types of workloads being handled by IHS 200. In addition, firmware service(s) 601A may configure firmware service(s) 602B-N to modify selected settings and/or to notify host OS 400 (e.g., via HID command structures, etc.) of the modifications.”]. As to claim 14, Hamlin teaches wherein the orchestrator is further configured to identify at least one of: the selected node, or the diagnostics operation based, at least in part, upon a policy [0013: “the orchestrator may be further configured to receive a policy from an Information Technology Decision Maker (ITDM) or Original Equipment Manufacturer (OEM). The policy may identify at least one of: the context or telemetry data, a subset of one or more of the plurality of devices configured to collect the context or telemetry data, the selected device, the AI model, or the diagnostics process.”]. As to claim 15, Hamlin teaches wherein the policy comprises a rule dependent upon context information indicative of at least one of: a location of the IHS, a type of fault or error reported to the orchestrator, or the selected node's capabilities and interfaces [0082: “For instance, examples of context data accessible by orchestrator 501A (FIG. 6) may include, but are not limited to: a type of audio environment indicative of the types of sounds being produced near a user of IHS 200 (e.g., indoors, outdoors, home, office, restaurant, car, airport, airplane, etc.), gyroscope data (e.g., an indication of an angular velocity, for example, in mV/deg/s), accelerometer data (e.g., an indication of a linear acceleration, for example, in mV/g), a Global Positioning System (GPS) or wireless network location data, Red-Green-Blue (RGB) image or camera data, infrared (IR) image or camera data, eye-gaze direction data, audio data, IHS posture data, a time-of-day/week/month/year, calendar event data, a role of the user (e.g., as an employee in an enterprise, as a participant of a collaboration session, etc.), a language of the user, data related to software applications in execution by IHS 200 (e.g., number of windows open, number of minimized windows, identity or type of applications 412-414 in execution, number of applications 412-414 in execution, etc.), financial/economic data, news, weather, traffic, social media activity, purchasing data, shipping or delivery data, etc.”]. As to claim 16, Hamlin teaches wherein a device corresponding to the selected node is physically disposed outside of a chassis of the HIS [0055: “chipset 202 may further provide an interface for communications with hardware sensors 210. Sensors 210 may be disposed on or within the chassis of IHS 200, or otherwise coupled to IHS 200…”]. As to claim 17, Hamlin teaches a method, comprising: producing, via a controller independent of any Information Handling System (IHS) host processor, an orchestrator of a firmware framework [0015: “where the memory is configured to receive a plurality of sets of firmware instructions, where each set of firmware instructions, upon execution by a respective device among the plurality of devices, enables the respective device to provide a corresponding firmware service without any involvement by any host OS, and where at least one of the plurality of devices operates as an orchestrator”]; and producing, via a plurality of devices coupled to the controller [FIG. 3: devices connected to EC via interconnect], a plurality of nodes, wherein the orchestrator is configured to trigger a Built-In Self-Test (BIST) specific to a device corresponding to a selected node independently of any Operating System (OS) of the IHS: wherein the BIST is selected based at least in part upon context information [0015: “upon execution by a respective device among the plurality of devices, enables the respective device to provide a corresponding firmware service without any involvement by any host OS, and where at least one of the plurality of devices operates as an orchestrator configured to: determine whether to launch a diagnostics tool based, at least in part, upon context or telemetry information; and in response to the determination, launch the diagnostics tool.”] [0012: “The orchestrator may be configured to identify the selected device, at least in part, based upon context or telemetry data. The orchestrator may be configured to select at least one of: (a) another AI model, or (b) another selected device configured to execute the AI model or the other AI model based, at least in part, upon a change in the context or telemetry data.”] [0008: “The diagnostics process may include at least one of: (a) a performance optimization or improvement process; (b) a failure prevention process; or (c) a failure remediation process. To determine whether to trigger the diagnostics process, the AI model may be configured to predict a slowdown or failure event…The determination may be based, at least in part, upon context or telemetry information collected by a subset of one or more of the plurality of devices.”]. As to claim 18, Hamlin teaches wherein the orchestrator is configured to identify the selected node based, at least in part, upon a policy [0013: “the orchestrator may be further configured to receive a policy from an Information Technology Decision Maker (ITDM) or Original Equipment Manufacturer (OEM). The policy may identify at least one of: the context or telemetry data, a subset of one or more of the plurality of devices configured to collect the context or telemetry data, the selected device, the AI model, or the diagnostics process.”], and wherein the policy identifies the selected node in response to context information indicating at least one of: a location of the IHS, a type of fault or error reported, whether the IHS is bootable, or whether the selected node is internal or external to an IHS chassis [0082: “For instance, examples of context data accessible by orchestrator 501A (FIG. 6) may include, but are not limited to: a type of audio environment indicative of the types of sounds being produced near a user of IHS 200 (e.g., indoors, outdoors, home, office, restaurant, car, airport, airplane, etc.), gyroscope data (e.g., an indication of an angular velocity, for example, in mV/deg/s), accelerometer data (e.g., an indication of a linear acceleration, for example, in mV/g), a Global Positioning System (GPS) or wireless network location data, Red-Green-Blue (RGB) image or camera data, infrared (IR) image or camera data, eye-gaze direction data, audio data, IHS posture data, a time-of-day/week/month/year, calendar event data, a role of the user (e.g., as an employee in an enterprise, as a participant of a collaboration session, etc.), a language of the user, data related to software applications in execution by IHS 200 (e.g., number of windows open, number of minimized windows, identity or type of applications 412-414 in execution, number of applications 412-414 in execution, etc.), financial/economic data, news, weather, traffic, social media activity, purchasing data, shipping or delivery data, etc.”]. As to claim 19, Hamlin teaches an Embedded Controller (EC) integrated into or coupled to a heterogeneous computing platform of an Information Handling System (IHS) [FIG. 3: devices connected to EC via interconnect], the EC comprising: a processor core distinct from any host processor of the heterogeneous computing platform [0070: “each device in platform 300 may include its own microcontroller(s) or core(s) (e.g., ARM core(s)) and corresponding firmware.”]; and a memory coupled to the processor core, the memory configured with firmware instructions stored thereon that, upon execution by the processor core, cause the EC to: produce an orchestrator as part of a firmware framework [0015: “where the memory is configured to receive a plurality of sets of firmware instructions, where each set of firmware instructions, upon execution by a respective device among the plurality of devices, enables the respective device to provide a corresponding firmware service without any involvement by any host OS, and where at least one of the plurality of devices operates as an orchestrator”]; and trigger a Built-In Self-Test (BIST) selected based at least in part upon context information, wherein the BIST is specific to a device corresponding respective to a selected node, and wherein the BIST is triggered prior to the boot of any Operating System (OS) of the IHS, in accordance with a policy [0015: “upon execution by a respective device among the plurality of devices, enables the respective device to provide a corresponding firmware service without any involvement by any host OS, and where at least one of the plurality of devices operates as an orchestrator configured to: determine whether to launch a diagnostics tool based, at least in part, upon context or telemetry information; and in response to the determination, launch the diagnostics tool.”] [0012: “The orchestrator may be configured to identify the selected device, at least in part, based upon context or telemetry data. The orchestrator may be configured to select at least one of: (a) another AI model, or (b) another selected device configured to execute the AI model or the other AI model based, at least in part, upon a change in the context or telemetry data.”] [0008: “The diagnostics process may include at least one of: (a) a performance optimization or improvement process; (b) a failure prevention process; or (c) a failure remediation process. To determine whether to trigger the diagnostics process, the AI model may be configured to predict a slowdown or failure event…The determination may be based, at least in part, upon context or telemetry information collected by a subset of one or more of the plurality of devices.”]. As to claim 20, Hamlin teaches wherein the orchestrator is configured to identify the BIST based, at least in part, upon the policy [0013: “the orchestrator may be further configured to receive a policy from an Information Technology Decision Maker (ITDM) or Original Equipment Manufacturer (OEM). The policy may identify at least one of: the context or telemetry data, a subset of one or more of the plurality of devices configured to collect the context or telemetry data, the selected device, the AI model, or the diagnostics process.”], and wherein the policy identifies the BIST among a plurality of BISTs in response to context information indicating at least one of: a location of the IHS, a type of fault or error reported, whether the IHS is bootable, or whether the selected node is internal or external to an IHS chassis [0082: “For instance, examples of context data accessible by orchestrator 501A (FIG. 6) may include, but are not limited to: a type of audio environment indicative of the types of sounds being produced near a user of IHS 200 (e.g., indoors, outdoors, home, office, restaurant, car, airport, airplane, etc.), gyroscope data (e.g., an indication of an angular velocity, for example, in mV/deg/s), accelerometer data (e.g., an indication of a linear acceleration, for example, in mV/g), a Global Positioning System (GPS) or wireless network location data, Red-Green-Blue (RGB) image or camera data, infrared (IR) image or camera data, eye-gaze direction data, audio data, IHS posture data, a time-of-day/week/month/year, calendar event data, a role of the user (e.g., as an employee in an enterprise, as a participant of a collaboration session, etc.), a language of the user, data related to software applications in execution by IHS 200 (e.g., number of windows open, number of minimized windows, identity or type of applications 412-414 in execution, number of applications 412-414 in execution, etc.), financial/economic data, news, weather, traffic, social media activity, purchasing data, shipping or delivery data, etc.”]. Response to Arguments Applicant’s arguments with respect to claim(s) 1-20 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument. Conclusion Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a). A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action. Any inquiry concerning this communication or earlier communications from the examiner should be directed to XUXING CHEN whose telephone number is (571)270-3486. The examiner can normally be reached M-F 9-5:30PM. Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Jaweed Abbaszadeh can be reached at 571-270-1640. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /XUXING CHEN/ Primary Examiner, Art Unit 2176
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Prosecution Timeline

Mar 27, 2024
Application Filed
Sep 24, 2025
Non-Final Rejection — §102
Dec 18, 2025
Response Filed
Mar 24, 2026
Final Rejection — §102
Apr 07, 2026
Response after Non-Final Action

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Prosecution Projections

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Expected OA Rounds
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Grant Probability
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2y 9m
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