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Journal of Advanced Research in Mechanical Engineering (Vol.1-2010/Iss.1) Sarkar / Review on Cycle Modifications of Transcritical CO2 Refrigeration / pp.

22-29

Review on Cycle Modifications of Transcritical CO2 Refrigeration and Heat Pump Systems
Jahar Sarkar* * Department of Mechanical Engineering, Institute of Technology, Banaras Hindu University, Varanasi, UP-221005, India
tel/fax: +91 9919787557 e-mail: js_iitkgp@yahoo.co.in Submitted: 11/01/2010 Accepted: 05/02/2010 Appeared: 16/02/2010 HyperSciences.Publisher

AbstractThe synthetic refrigerants are being phased out worldwide to combat with the twin menace of ozone layer depletion and global warming and the natural working fluid carbon dioxide has been emerged as a promising refrigerant due to its zero ODP, negligible GWP and favorable heat transfer properties. Due to the transcritical nature of CO2 refrigeration cycle, the expansion loss is significantly higher compared to that of conventional system. Hence, the various cycle modifications can be incorporated to improve the system performance. In the present study, various important cycle modifications, such as uses of multi-staging, internal heat exchanger, expansion turbine, ejector and vortex tube, on the transcritical CO2 cycle performance and optimization have been investigated and reviewed extensively. A detailed comparisons based on the performance as well as the optimum system high side pressure are done as well. Studies show that the highest improvement of the transcritical CO2 vapor compression cycle can be achieved by replacing the expansion device with a work recovery expansion machine or by using multi-staging. The optimum high side pressure in case of using turbine or multi-staging is also lower compared to that of other modifications. However, these are costly improvement compared to others. Hence, the recent research concentrates mostly on ejector expansion cycle due to significant COP improvement, no moving part in ejector and low cost.

Keywords: Transcritical CO2 cycle, Multi-staging, Turbine, Ejector, Vortex tube, Optimum high side pressure, COP improvement

NOMENCLATURE pd,opt tev, tco optimum discharge pressure evaporator and gas cooler exit temperatures 1. INTRODUCTION Due to harmful effects of the synthetic refrigerants on the environment, CO2 has been revived as a potential refrigerant. Due to the low critical temperature of CO2, the gas cooler is operated above the critical pressure and the evaporator is operated below that; hence the cycle is called transcritical cycle. Along with eco-friendliness, CO2 systems have various advantages over conventional systems such as, compatibility with normal lubricants and common machine construction materials, non-flammability and non-toxicity, greatly reduced compression ratio, easy availability, high volumetric refrigerant capacity, and excellent heat transfer properties. Several unique application possibilities along with various advantages motivated the huge research work and industrial innovation recently in this area (Kim et al., 2004). However, the major disadvantage of CO2 cycle is lower COP due to huge expansion loss compared to conventional

refrigerants (Sarkar et al., 2005) and hence the cycle needs modifications. There are several reasons for modifying the basic single-stage transcritical cycle, including improvement of COP, capacity enhancement for a given system and component size, adaptation of the heat rejection temperature profile to given requirements and keeping the pressure ratio and discharge temperature of the compressor within limit. In principle, a large number of possible modifications are possible, including staging of compression and expansion, splitting of flows, use of internal heat exchange, and workgenerating expansion instead of throttling. Lorentzen (1994) outlined several modified cycles including two-stage internal subcooling and expander options. Within last 15 years, huge researches have been carried out on several cycle modifications such as use of internal heat exchanger, expansion turbine, multi-staging, two-phase ejector, vortex tube and parallel compression economization. Groll & Kim (2007) recently reviewed various CO2 cycle modifications and compared only the COP improvement not optimum discharge pressure. In the present study, the research progress of several modified CO2 cycles and optimization are reviewed extensively. A detailed comparisons based on the

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Journal of Advanced Research in Mechanical Engineering (Vol.1-2010/Iss.1) Sarkar / Review on Cycle Modifications of Transcritical CO2 Refrigeration / pp. 22-29

performance as well as the optimum system high side pressure are done as well. 2. TRANSCRITICAL CO2 CYCLE AND OPTIMUM DISCHARGE PRESSURE In the transcritical refrigeration cycle (Fig. 1), the vapor from evaporator is compressed to supercritical (gas cooler) pressure (1-2), rejected heat at gliding temperature (2-3) and expanded (2-3) from supercritical pressure to subcritical (evaporator) pressure to give cooling (4-1). For the conventional cycle, condensing temperature is chosen based on coolant temperature in the condenser and corresponding saturated pressure is taken as the condensing pressure. But for supercritical heat rejection no saturation point exists, so the gas cooler pressure is independent of the refrigerant temperature at gas cooler exit (point 3 in Fig. 1). The gas cooler pressure has marked influence on the specific enthalpy due to the s-shape of the isotherm in supercritical region. COP of the transcritical carbon dioxide system is significantly influenced by the gas cooler pressure, and interestingly non-monotonically. In these systems, for fixed gas cooler exit temperature (dependent on external fluid inlet temperature and gas cooler design), as the pressure increases the COP increases initially and then the added capacity no longer compensates for the additional work of compression and hence COP decreases. Hence, there exists an optimum pressure where the system yields the best COP and the knowledge of the optimum operating conditions corresponding to maximum COP is a very important factor in the design of a transcritical carbon dioxide cycle.

decrease in evaporator temperature. Lots of theoretical studies have been done on discharge pressure optimization and various correlations have been proposed. However, the Sarkar et al. (2004) correlation has been seemed to the best over other proposed correlations based on the experimental study (Cabello et al., 2008). This correlation has been developed by performing regression analysis on data obtained from cycle simulation and given by,
2 pd ,opt = 4.9 + 2.256tco 0.17tev + 0.002tco

(1)

Fig. 2. Layout of transcritical CO2 system with internal heat exchanger

100 90 80
Pressure (bar)

Isotherm 3 2

COPc =

70 60 50 40 30 20

q w

q
specific enthalpy (kJ/kg)

Fig. 1. Pressure-enthalpy diagram of transcritical CO2 cycle The optimum discharge pressure and corresponding performance are dependent on evaporator temperature, gas cooler exit temperature, degree of superheat and compressor design. However, the studies showed that the effects of first two parameters are more pronounce on optimum discharge pressure than that of others. The optimum discharge pressure increases with increase in gas cooler exit temperature and

Fig. 3. T-s diagram of transcritical CO2 system with internal heat exchanger 3. CYCLE MODIFICATIONS 3.1 Internal heat exchange cycle Due to the conflict between the increase in cooling or heating capacity and compressor work with use of internal heat exchanger in the system, the influence of the internal heat

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Journal of Advanced Research in Mechanical Engineering (Vol.1-2010/Iss.1) Sarkar / Review on Cycle Modifications of Transcritical CO2 Refrigeration / pp. 22-29

exchange on the system overall efficiency depends on the working fluids and operating conditions. The layout and temperature-entropy diagram of a transcritical CO2 cycle with internal heat exchanger are shown in Figs. 2 and 3, respectively. The saturated vapor at state 6 is superheated to state 1 in the internal heat exchanger and then compressed in the compressor to state 2. The supercritical carbon dioxide at state 2 is cooled in the gas cooler to state 3 by rejecting heat to the external fluid (useful heating effect). Unlike in a condenser, in the gas cooler the heat rejection takes place with a gliding temperature. Carbon dioxide at high pressure is further cooled from 3 to 4 in the internal heat exchanger. Following the heat exchanger, the carbon dioxide is expanded through an expansion device to state 5, which is the inlet to the evaporator. The state of the refrigerant changes from 5 to 6 as it evaporates by extracting heat from the external fluid (useful cooling effect). The effect of internal heat exchange on CO2 transcritical cycle is found to be marginal. In case of high temperature lift application, where internal heat exchange may produce compressor discharge temperature high enough to damage the lubricant, the internal heat exchanger may employ a parallel-flow configuration. Boewe et al. (2001) showed that the enhancement on cycle efficiency can be a substantial 25%, because of the relatively high irreversibility at the expansion device in the standard transcritical cycle. The internal heat exchanger brings lower and higher side pressures close together at optimal condition, creating opportunities for using less precise and simpler control system and strategies (Kim et al., 2004). Simulation results (Sarkar et al., 2004; Bhattacharyya et al., 2005) show that effect of internal heat exchanger on system performance and optimum discharge pressure is negligible at low and moderate refrigerant temperature at the gas cooler exit; however it becomes more significant at high refrigerant temperature at the gas cooler exit. At an evaporator temperature of 0 oC and compressor isentropic efficiency of 70%, COP increases by 1% and optimum discharge pressure decreases by 2% for a cooler exit temperature of 30 oC, whereas the COP increases by 15% and optimum discharge pressure decreases by 13% for a cooler exit temperature of 60 o C due to the use of a perfect internal heat exchanger (Sarkar et al., 2004). Influence of internal heat exchanger effectiveness slightly increases at lower evaporator temperature. These results show that the use of internal heat exchanger may be profitable at higher refrigerant temperature at the gas cooler exit. The optimum discharge pressures, which give maximum heating capacity and COP, decrease with an increase of the internal heat exchanger length. COP of the transcritical CO2 cycle with internal heat exchanger is slightly improved up to a certain discharge pressure (Kim et al., 2005). Through cycle analysis, Chen & Gu (2005) developed optimum discharge pressure correlation in terms of evaporator and gas cooler exit temperatures, evaporator exit quality and internal heat exchanger effectiveness. The internal heat exchanger can increase the cooling capacity and COP up to 11.9% and 9.1%, respectively (Cho et al., 2007). Another study (Aprea & Maiorino, 2008) showed that the COP may improve by 10% by using internal heat exchanger in residential application. Through the experimental study on CO2 residential air-conditioning system with internal heat

exchanger, Tao et al. (2010) showed that the internal heat exchanger can reduce the throttling loss and gas cooler performance directly influence this.

Fig. 4. Layout and p-h diagram of transcritical CO2 system with expansion turbine 3.2 Expansion with work recovery Another option to reduce the expansion losses is the use of a work producing device (expander), which has potential for COP improvement. Enthalpy decreases in expansion process (process 3-4 in Fig. 4) and hence the net work requirement reduces and cooling effect increases, which will improve the COP of the cycle. Work recovery turbine with isentropic efficiency of 60%, may reduce contribution to total irreversibility by about 35% and cause an average increase of COP by 25% (Robinson & Groll, 1998). An evaporation temperature of 0 oC and the refrigerant temperature at gas cooler exit of 40 oC, internal heat exchanger effectiveness of 60% and compressor isentropic efficiency of 70 %, the system COP improves by about 18% when an expander of 80% isentropic efficiency is used. However the optimum compressor discharge pressure decreases by only 2.5% (Sarkar, 2006). Hence the use of work producing device has marginal effect on the optimum discharge pressure, whereas it has significant effect on system performance. Due to the high pressure difference, the effect of expander efficiency on the system COP is very significant for a CO2 system whereas it is negligible for the R22 system (Kim et al., 2004). Through second law analysis, Yang et al. (2005) showed that the COP and exergy efficiency of the expander cycle are on average 33% and 30% higher than those of the throttling valve cycle, respectively. Nickl et al. (2005) proposed the integration of three-stage expander in CO2 refrigeration system with two-stage compression with inter-cooling and reported at least 40% COP improvement. Baek et al. (2005a) constructed and tested a piston-cylinder type work output expansion device in transcritical CO2 system and reported 10% system performance improvement. A test result of swing expander in water-to-water CO2 heat pump test rig (Haiqing

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Journal of Advanced Research in Mechanical Engineering (Vol.1-2010/Iss.1) Sarkar / Review on Cycle Modifications of Transcritical CO2 Refrigeration / pp. 22-29

et al., 2006) reported the isentropic efficiencies of 28-44%. Recently, Zhang et al. (2007) developed a double acting free piston expander for CO2 system and reported 62% isentropic efficiency through experimental validation.

Fig. 5. Layout and p-h diagram of two-stage CO2 system with flash gas bypass 3.3 Multistage cycle Performance of the CO2 transcritical cycle can be improved by using multistage compression with inter-cooling. Voorhees first introduced dual-effect CO2 compressor. By using subcooling, the COP could be improved while the capacity increased and the necessary high pressure reduced (Lorentzen, 1994). The subsequent theoretical and experimental investigations on the multistage transcritical CO2 cycles for refrigeration/heat pump and air conditioning showed the significant performance improvement over the basic single stage cycle. Several types of configurations such as flash gas removal, flash gas inter-cooling, compression inter-cooling for a multistage transcritical CO2 cycle can be adopted to improve the system performance depending on the requirement. Baek et al. (2005b) optimized the optimum pressure ratio of the transcritical carbon dioxide cycle with two-stage compression and intercooling and showed that COP curve is different from Bell curve. Experimental study with two-stage compression with inter-cooling (Cavallini et al., 2005) confirmed that an optimum upper cycle pressure giving the maximum energy efficiency occurs for transcritical operation and up to 25% increase in the coefficient of performance was found for typical air conditioning applications. Simulation result (Sarkar, 2006) shows that for evaporation temperature of 40 oC, refrigerant temperature at gas cooler outlet of 40 oC and isentropic efficiencies of 70% for both compressors, the cooling COP (evaporative cooling output divided by work of both compressors) improves by about 12% and the optimum compressor discharge pressure reduces by 30% compared to single stage for a degree of inter-cooling of 30 oC. Agrawal et al. (2007) showed that staging not only enhances the performance, it improves the

design as well as significantly brings down the optimum gas cooler pressure. It is observed that the flash gas bypass system yields the best performance among the three twostage systems analyzed. Results also show that the deviation of optimum interstage pressure from the classical estimate, given by the geometric mean of the gas cooler and evaporator pressure increases as temperature lift increases. Fig. 5 shows the two-stage CO2 cycle with flash gas bypass (two-stage expansions through expansion valves and two-stage compressions are used with flash chamber). Another study (Agrawal and Bhattacharyya, 2007) showed that flash gas inter-cooling is not economical for CO2 system. Two-stage compression with intercooling is also good option (Ozgur, 2008). For the transcritical CO2 cycle with expander, the COP can be improve by 9% by using two-stage compression (Yang et al., 2007). Another study (Cecchinato et al., 2009) showed that the most elaborate cycles (Double-Throttling, Double-Compression in both versions Open Flash Tank and Split Cycle) present the greatest improvement, especially for the heaviest operating conditions (the lowest evaporating temperature and the highest external temperature); for 30/ +35 oC (evaporation temperature/ external temperature) both cycles behave similarly and give rise to 70% increase in energy efficiency against the basic cycle. Through theoretical analysis, Cho et al. (2009) showed that the two-stage CO2 cycle with vapor injection yielded an 18.3% improvement of the cooling COP at the low pressure side mass fraction of 70%. The optimum discharge pressure for flash gas bypass system is given by (Agrawal et al., 2007),

pd ,opt = 25.11 0.087tev + (0.973 + 0.019tco )tco

(2)

Fig. 6. Schematic diagram of ejector-expansion transcritical refrigeration cycle 3.4 Ejector-expansion cycle In transcritical CO2 cycle, regenerating expansion energy and increasing refrigerant pressure by means of an ejector is an effective way to improving the COP. In addition, the ejector simplifies the process of controlling the gas cooling pressure in the CO2 cycle. The gas cooling pressure of the CO2 cycle

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Journal of Advanced Research in Mechanical Engineering (Vol.1-2010/Iss.1) Sarkar / Review on Cycle Modifications of Transcritical CO2 Refrigeration / pp. 22-29

could be controlled by changing the throat area of ejector nozzle. In ejector expansion refrigeration cycle (Fig. 6), the primary flow from the gas cooler (state 3) and the secondary flow from the evaporator (state 8) are going through primary and secondary nozzles, respectively, constant pressure/area mixing chamber (p-h diagram of CO2 cycle with constant pressure mixing ejector is shown Fig. 7) and diffuser (10-5) of the ejector and then separated in forms of vapour (state 1) and liquid (state 6) so that this ratio should matched with the inlet ratio of primary and secondary flows. Then the liquid circulates through expansion valve (6-7) and evaporator (78), whereas the vapour circulated through compressor (1-2) and gas cooler (2-3). Three ejector parameters, entrainment ratio, pressure lift ratio and geometric area ratio significantly influence the system performance with an optimum ratio.

Elbel and Hrnjak (2008) tested a transcritical R744 ejector system prototype and showed that cooling capacity and COP simultaneously improve by up to 8% and 7%, respectively compared to conventional valve expansion system, and ejector is able to recover up to 14.5% of the throttling losses. Experiments confirmed that the high-side pressure control integrated into the ejector could be used to maximize the system performance. Yari and Sirousazar (2008) theoretically studied an ejector-expansion transcritical CO2 refrigeration cycle using an internal heat exchanger and two-stage compression with intercooler and showed that compared with the conventional transcritical CO2 cycle and ejectorexpansion transcritical CO2 cycle, the COP and second law efficiency of the new cycle were increased by about 55.5 and 26%, respectively. Optimum intermediate pressure of new cycle is approximately equal to geometric mean of evaporator and gas cooler pressures (Yari, 2009a, 2009b).

Fig. 7. p-h diagram of ejector-expansion refrigeration cycle Liu et al. (2002) first performed a thermodynamic analysis of the transcritical CO2 vapor compression/ejection hybrid refrigeration cycle. Use of ejector in transcritical CO2 cycle not only improve the COP, also simplifies the process of controlling the gas cooler pressure in the CO2 cycle by changing the throat area of the ejector nozzle. Experiment showed that the COP of the car airconditioner using the ejector cycle increases by 20% over the conventional cycle (Kim et al., 2004). Li and Groll (2005) modified the ejectorexpansion cycle by allowing part of the vapor in the separator feed back to the evaporator and through theoretical analysis, they showed the COP improvement to be more than 16%. Through comparative study, Deng et al. (2007) showed that the ejector improves the maximum COP by up to 18.6% compared with the internal heat exchanger system and by 22.0% compared with the conventional system with greatly reducing the throttling losses. Another theoretical study (Sarkar, 2008) showed that the use of ejector not only improves the energetic and exergetic performances, also reduces the optimum high side system pressure significantly and optimum correlation is given by,
2 pd ,opt = 22.7 + 0: 21tev + 1.06tco 0.0094tevtco + 0.0213tco (3)

Fig. 8. Schematic diagram of vortex tube-expansion CO2 refrigeration cycle 3.5 Vortex tube expansion cycle In vortex tube expansion transcritical CO2 system (Figs. 8 and 9), saturated liquid from the gas cooler goes through the vortex tube nozzle. In the vortex tube, the liquid is expanding from the condenser pressure to the evaporation pressure and divided into three fractions: Saturated liquid (state 4), which is collected in a ring inside the vortex tube, saturated vapor (state C) and superheated gas (state H), which are created because of the Ranque-Hilsch effect. The saturated liquid and gas are mixed again (state 6) and going through the evaporator to give useful cooling effect. The superheated gas is cooled in the heat exchanger to state 5 and mixed with the gas coming from the evaporator (state 7) before entering the compressor (state 1). Through a thermodynamic analysis, Li et al. (2000) showed that the maximum increase in COP using a vortex tube or expansion work output device, assuming ideal expansion process, was about 37% compared to the one using an isenthalpic expansion process at evaporation temperature of 5 oC and gas cooler exit temperature of 40 oC. The increase in COP reduced to about 20% when the efficiency for the expansion work output

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Journal of Advanced Research in Mechanical Engineering (Vol.1-2010/Iss.1) Sarkar / Review on Cycle Modifications of Transcritical CO2 Refrigeration / pp. 22-29

device was 0.5. In order to achieve the same improvement in COP using a vortex tube expansion device, the efficiency of the vortex tube (ratio of enthalpy drop of cold mass to the isentropic enthalpy drop of total mass) had to be above 0.38. The use of vortex tube is more effective for higher temperature lift in terms of higher COP improvement and lower optimum discharge pressure over the basic cycle (Sarkar, 2009). The expansion loss also decreases significantly by use of vortex tube. The optimum discharge pressure is given by (Sarkar, 2009),
2 pd ,opt = 10.77 0.238tev + 1.6tco + 0.0164tco

(4)

expansion of transcritical fluid from states 3 to 4 through primary expansion valve, the liquid (state 5) and vapour (7) are separated in economizer. The liquid is again expanded through another expansion valve and it extracts heat to give useful cooling effect in the evaporator (from states 6 to 1). In the compressor, refrigerant vapour is compressed to supercritical discharge pressure in two separate non-mixing streams; one coming from an economiser and the other coming from the main evaporator. Then both the supercritical fluids mix (state 9) and enter to the gas cooler for heat rejection to the external fluid (sates 9 to 3). By parallel compression, quality of refrigerant decreases in evaporator and both refrigeration effect and compressor work increase, but increase in compressor work is less than increase in refrigeration effect, hence COP increases. Through the theoritical analysis and experimentation for air conditioning application with addition of superheat for the primary compression path, Bell (2004) shows that the economized carbon dioxide system outperforms a similar hydrocarbon system in terms of efficiency and capacity under some conditions and most efficient for lower gas cooler exit temperature for fixed discharge pressure. Employing parallel compression economization is not only improves the optimum cooling COP but also bring down the optimum discharge pressure (Sarkar and Agrawal, 2008), given by,

pd ,opt = 36.877 0.00004tev + 0.38234tco + 0.027667tco 2 (5)

40

COP improvement (%)

Fig. 9. p-h diagram of ejector-expansion refrigeration cycle

35 30 25 20 15 10 5 0

IHX

Turbine Two-stage PCE

Ejector

Vortex

Fig. 11. Comparison in term of COP improvement 2.7 Comparison of cycle modifications Comparison based on cooling COP improvement and optimum discharge pressure for various cycle modifications are shown in Figs. 8 and 9 for the typical air-conditioning applications (tev = 5oC and tco = 40oC). Results show that the maximum COP improvement and the optimum discharge pressure reduction can be achieved by using turbine and minimum for internal heat exchanger. However the use of turbine will be more cost effective. Within other options, two-stage and parallel compression economization will be more expensive compared to the ejector and vortex tube expansions. However, uses of multi-staging and parallel

Fig. 10. Layout and p-h diagram of refrigeration cycle with parallel compression economization 3.6 Parallel compression economization The performance of transcritical CO2 refrigeration cycle can be also improved by several percentages through the successful use of parallel compression economization. In parallel compression refrigerating system (Fig. 10), after the

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Journal of Advanced Research in Mechanical Engineering (Vol.1-2010/Iss.1) Sarkar / Review on Cycle Modifications of Transcritical CO2 Refrigeration / pp. 22-29

compression economization are more cost effective compared to use of ejector.


Reduction of optimum discharge pressure (%)

7 6 5 4 3 2 1 0
IHX Turbine Two-stage PCE Ejector Vortex

Fig. 12. Comparison in term of optimum discharge pressure reduction 4. CONCLUSION Extensive reviews of various transcritical CO2 cycle modifications such as uses of internal heat exchanger, work recovery expansion machine, multi-staging, ejector, vortex tube and parallel compression economization, followed by detailed comparisons are done in this study. Studies show that the highest improvement of the transcritical CO2 vapor compression cycle can be achieved by replacing the expansion device with a work recovery expansion machine or by using multi-staging. The optimum high side pressure in case of using turbine or multi-staging is also lower compared to that of other modifications. However, these are costly improvement compared to others. The recent research concentrates mostly on ejector expansion cycle due to significant COP improvement, moderate reduction of optimum discharge pressure, no moving part in ejector and low cost of ejector.

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AUTHORS PROFILE Dr. J. Sarkar received his B.E. (Mechanical Engineering) in 1999 from Bengal Engineering and Science University, India, M.Tech. (Mechanical Engineering) in 2001 and Ph.D. in Mechanical Engineering in 2006 from Indian Institute of Technology, Kharagpur, India. Dr. Sarkar joined as a faculty member in 2005 in the Department of Mechanical Engineering, Institute of Technology, Banaras Hindu University, Varanasi, India. He has supervised about 5 postgraduate theses. He has published about 30 papers in peer reviewed international journals and about 20 papers in national and international conferences. He has also reviewed about 8 international journal papers. Biography included in Whos Who in the World 2010.

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