Interpretation as Action: The Risk of Inquiry
Jon Awbrey and Susan Awbrey
"We hope you will find these thoughts
of ours both interesting and useful."
These are words spoken to express an intention,
a bearing in the mind of a person toward
an object which is yet to be achieved. The
readiest moment of human life involves the
interplay of signs, ideas, and objects-more
explicitly, the interrelation of signifying
expressions, states and dispositions of the
mind or person, and objects or objectives
either actual or potential. Our work designing
instruments to enhance the play of inquiry
has attuned us to the themes of interpretation
and intentionality which every inquiry seems
to involve. We hear what sounds like familiar
strains reaching us from the hermeneutic
quarter. The purpose of this essay is to
trace to their sources a few of these potentially
common themes, to draw out one line of their
historical development, and to gather what
consequences they inspire for educational
practice and continued inquiry.
Introduction
In order to study the nature of signification
and communication, the theory of signs must
involve itself with questions of interpretation
and intention. The theory of inquiry studies
the common pattern of all determination,
all proceeding toward the settlement of unsettled
situations. There is a key relationship between
signs and inquiry. We will follow this relationship
through three points of reference. Aristotle's
Peri Hermeneias or On Interpretation introduces
the relationship of signs, impressions in
the mind, and objects. C. S. Peirce fully
explores the triadic relation of signs, interpretants,
and objects in its bearing upon his threestage
process of inquiry. John Dewey elaborates
these ideas in his view of the lived experience
as the "existential matrix" of
inquiry. Three major questions will be explored:
How does the sign relation that underlies
the nature of signification and communication
compare within these works?
We discuss the role of the interpreter in
the activity of interpretation. Aristotle
assumes that objects and impressions in the
mind are constant across all interpreters.
Confronting this assumption with the needs
of hermeneutic and educational practice,
we argue that a comparative and developmental
understanding of interpreters is required.
This in turn demands the more complete theory
of signs envisioned by Peirce and Dewey,
which continues to be developed in the semiotic
and pragmatic traditions.
What is inquiry and how is it related to
the theory of signs?
We examine the structure of inquiry as articulated
by Peirce and Dewey. In this model, inquiry
begins with a surprising phenomenon or problematic
situation. Whether felt as pleasant wonderment
or painful bewilderment, we feel driven to
some activity that will return us to our
prior equilibrium. This may issue in a search
for explanation that reduces the surprise
or for a plan of action that resolves the
problem. The ensuing activities share a common
form, the differentiation of a pattern. In
our consternation, we recognize a variety
of features, some of which can be varied
as part of our capacity for free choice.
The problem or surprise is present because
of its difference from something. As a surprise,
what happens is different from what we habitually
expect. As a problem, what happens is different
from what we hopefully intend. To change
the systematic expectation against which
background a surprising phenomenon originally
figured, we must discover some freedom to
change what generated that expectation, and
so to modify our personal model of the world.
What do these ideas suggest for the practice
of education?
A variety of implications will be explored.
In this view, the teacher acts as a catalyst
of inquiry, serving as a mediator to quicken
the actualization of something already present
in the potential of the student. Emphasis
is placed on developing tools that extend
the learner's capacity for inquiry. The authors'
goal is to design computer software that
will enhance the capacity for exploring complex,
qualitative information and will support
inquiry by serving as a bridge between teaching
and research. By engaging in their own explorations
and making assumptions explicit, learners
will be invited to "think reflectively"
about their interpretations.
The Theory of Signs and the Role of the Interpreter
We accept the tenet of pragmatism that all
thought takes place in signs. Our interest
in the enterprise of "training thought"
(Dewey 1991) demands that we examine the
role of the interpreter in all the activities
that make use of or take place in signs.
Aristotle On Interpretation
Our first point of reference is Aristotle's
introduction of the sign relation in his
treatise On Interpretation.
Words spoken are symbols or signs (symbola)
of affections or impressions (pathemata)
of the soul (psyche); written words are the
signs of words spoken. As writing, so also
is speech not the same for all races of men.
But the mental affections themselves, of
which these words are primarily signs (semeia),
are the same for the whole of mankind, as
are also the objects (pragmata) of which
those affections are representations or likenesses,
images, copies (homoiomata). (Aristotle,
De Interp. i. 16a4).
This early text recognizes the three roles
within the sign relation: signs, ideas, and
objects. It also characterizes the relationships
between these three roles. For Aristotle,
the relation between signs (words) and ideas
(affections and impressions) is that of a
symbol to what it symbolizes. In origin,
a symbol was a split coin used as a token
of recognition. In concrete terms, the symbol
is a particular kind of sign. As a fragment,
it refers both to its other half and to the
whole that they originally formed. The relation
between ideas and objects is that of an impression
to what it is a likeness of. Although Aristotle
leaves it implicit, we can see that there
is a relationship between signs and objects
that is a compound of the first two relations.
It is the indirect relation, a fragment of
a likeness. There is irony here, that the
sign relation is rooted in a type of iconoclasm.
Figure 1 illustrates the sign relation as
described by Aristotle. The arrows are drawn
to indicate the direction of increasing symbolization,
proceeding around the faces of the sign relation
in an opposite sense from the process of
adducing meaning which it is the job of interpretation
to reconstruct. The interpreter, as agent
and embodiment of all the various sign processes,
does not have a particular role in the sign
relation but is, in a sense, identified with
the whole of it.
Figure 1. The Sign Relation in Aristotle

Aristotle's description contains two claims
of constancy, that ideas and objects are
the same for all interpreters. This view
does not allow for the plurality and mutability
of interpreters, two features that we must
be concerned with in hermeneutics and education.
John Dewey expresses this point well:
Thinking is specific, in that different things
suggest their own appropriate meanings, tell
their own unique stories, and in that they
do this in very different ways with different
persons. (Dewey 1991, 39).
However, this account of Aristotle's may
be considered in part a reasonable approximation
and in part a suggestive metaphor, suitable
as a first approach to a complex subject.
Some other features of this text will figure
in our later discussions. Pragmata, the Greek
word used for "objects," has shades
of meaning ranging from physical objects
to purposeful objectives to problematic objections.
Derivatives of it can refer to troubles and
treatises, all very much the business of
inquiry. These objects became the "going
concerns" of pragmatism. However, the
attempt of pragmatists to convey these varied
meanings in practice was often misconstrued
as a reduction of intentions to physical
operations. One last point of interest, the
text suggests that Aristotle appreciated
the tension between cultural and natural
signs by employing words with both connotations
(symbola vs. semeia).
The Sign Relation According to Peirce
In moving from Aristotle's account of the
sign relation to Peirce's, it helps to identify
some links between them. Words spoken or
written are classed together as Signs. Ideas,
affections and impressions, correspond to
what Peirce calls Interpretants. For all
practical purposes, interpretants are just
another class of signs. They may even be
just another role the same class of signs
can play. If any distinction is intended
between them, it is only that interpretants
are more intimately involved in the mind
or person of the Interpreter.
Peirce gave the following definition of a
sign in his 1902 Application to the Carnegie
Institution:
Logic is formal semiotic. A sign is something,
A, which brings something, B, its interpretant
sign, determined or created by it, into the
same sort of correspondence (or a lower implied
sort) with something, C, its object, as that
in which itself stands to C. This definition
no more involves any reference to human thought
than does the definition of a line as the
place within which a particle lies during
a lapse of time. (Peirce, NE 4, 54).
There are two important features to note
in this portrayal of the role of signs in
logic. First, Peirce's goal is to differentiate
the formal and the material aspects of thought
and inquiry. This attempt is motivated by
his interest in a certain question: "What
is the relation of matter and form in the
actuality of the mind (entelechy) and is
their synthesis a third something or not?
This helps us understand how Peirce can be
concerned with developing a formal characterization
of signs and sign processes without being
just another "formalist." His interest
is partly due to the influence of Aristotle,
whose dictum that "soul is form"
is given in the following text:
So the soul (psyche) must be substance (ousia)
in the sense of being the form (eidos) of
a natural body (soma), which potentially
(dynamei) has life. And substance in this
sense is actuality (entelecheia). (Aristotle,
De Anima II. i. 412a20).
Second, Peirce's claim that his definition
of a sign involves no reference to human
thought means no necessary reference. The
adjective "nonpsychological" that
he often attaches to this conception of signs
and logic is not intended to be exclusive
of human thought but to expand the scope
of the concepts beyond it (Peirce, NE 4,
21). The prefix "non" is better
read as an acronym for "not of necessity,"
and is commonly used in mathematical discourse
in just this way. It extends the use of a
concept into wider domains than the paradigm
cases upon which our original intuitions
were formed.
A definition of signs and their processes
which is not limited by prior restriction
to human psychology can be used to investigate
human thought as a species of natural process.
There is considerable power in this naturalistic
viewpoint. It allows us to put human thought
in a context of other sign processes, to
ask what might be the specific differences
that distinguish it, and to consider its
evolution through different orders of complexity.
Two other features of the sign relation,
as portrayed by Peirce, are especially crucial.
First, the designations sign, interpretant,
and object are pragmatic roles and not attributes
of real essence or permanent nature. Second,
a sign relation in the generic case can be
irreducibly triadic, and as such cannot be
wholly understood from any compound of its
dyadic fractions.
Pragmatic Roles vs. Exclusive Attributes
The assignments of entities to the roles
of sign, interpretant, and object do not
mark any distinctions of essence or substantial
differences among these entities. The same
entity may function in any role. For example,
Queen Elizabeth may be a symbol of her realm
to her subjects; but as a person, she is
an interpreter of the English language. Of
course, some things may be found more suitable
than others for a given role, but this is
a pragmatic factor and discovered after the
fact. These attributions are exactly that,
roles attributed to an entity from a certain
point of view, and correctly attributed only
in relation to its moment by moment functioning
in a currently relevant sign process.
Sign Relations are Irreducibly Triadic
What does it mean that a sign relation is
irreducibly triadic? In simplest terms it
means that there are facts about a sign relation
which cannot be pieced together from separate
investigations of the pairwise relations.
Thus, studies which limit themselves to syntax
(relations internal to the sign domain) or
semantics (relations between signs and objects)
or semiotics (relations between signs and
interpretants), all necessary to the topic,
are not sufficient to capture the full dimensionality
of the subject. Pragmatics is the name we
use for the full theory of signs, one that
provides for the consideration of plurality
and progress in the analysis of interpreters.
Why is it important that a sign relation
is irreducibly triadic? In our general effort
to understand complex phenomena using the
simpler things we already understand as guides,
the irreducibly triadic nature of signs brings
both good news and bad news. The bad news
we have already seen. There is no hope of
fully understanding the sign relation in
terms of anything simpler. The good news
is this. If we do become accustomed to things
as complex as the sign relation, then many
other interesting phenomena can be clarified
by using it. Indeed, it is our impression
that at least some of the tensions in the
issue of intentionality can be resolved by
relating them to similar tensions in the
sign relation.
Signs and Inquiry, Information and Doubt
When we call attention to the fact that signs
and expressions are human artifacts, it forces
us to recognize that signs are objects in
their own right, with all the contingency
and facticity that this entails. It is only
natural that in pointing out the status of
a sign as sign, we are reminded of its fallibility,
the chance that it can fail to mean anything
either present or forthcoming, the risk that
it may lead or mislead by degrees in its
aim. The sign may be broken in numerous ways,
failing to connect by not denoting or not
connoting, losing its relation to objects
in the world or ideas in the mind. All the
ways that it can succeed are ways that it
can fail to signify.
What is frequently appreciated in many so-called
symbols is exactly their vagueness, their
openness, their fruitful ineffectiveness
in expressing a "final" meaning,
so that with symbols and by symbols one indicates
what is always beyond one's reach. (Eco 1986,
153).
The fallibility of signs is shared with the
human activities of interpretation and inquiry,
and bears a relation to the situated character
of all dynamic processes of determination.
If doubt and indeterminateness were wholly
within the mind-whatever that may signify
- purely mental processes ought to get rid
of them. But experimental procedure signifies
that actual alteration of an external situation
is necessary to effect the conversion. A
situation undergoes, through operations directed
by thought, transition from problematic to
settled, from internal discontinuity to coherency
and organization. (Dewey 1988, 185).
Signs are enabled to have significance only
within a proper setting. A whole system of
signs is required to constitute what we variously
call a medium, a channel, a formal or natural
language. In such a context, information
becomes a property that we attribute to signs.
A sign given in this kind of situation has
the ability to reduce the uncertainty that
an interpreter has with regard to an object
domain. It is in virtue of this ability that
a sign is said to possess and convey information.
This power of reducing uncertainty, of mediating
between the less and the more determinate
situation, is just the virtue that inquiry
seeks to have. Our established systems of
signs are the typical results of wellcompleted
inquiries, while inquiries in the present
tense have no guarantee of yielding such
stable and reusable products.
The Pattern and Stages of Inquiry
Up until now we proceeded synthetically,
attempting to reconstruct the nature of inquiry
from the shape and flow of its chief constituents,
signs in action. We now move inquiry into
the foreground, examining the functions and
stages which support it. In doing this, it
is natural to reverse the order of presentation
and to work from our current perspective
on signs toward the functional and historical
precursors which round out our view of inquiry.
To illustrate the place of the sign relation
in inquiry we begin with Dewey's elegant
and simple example of reflective thinking
in everyday life:
A man is walking on a warm day. The sky was
clear the last time he observed it; but presently
he notes, while occupied primarily with other
things, that the air is cooler. It occurs
to him that it is probably going to rain;
looking up, he sees a dark cloud between
him and the sun, and he then quickens his
steps. What, if anything, in such a situation
can be called thought? Neither the act of
walking nor the noting of the cold is a thought.
Walking is one direction of activity; looking
and noting are other modes of activity. The
likelihood that it will rain is, however,
something suggested. The pedestrian feels
the cold; he thinks of clouds and a coming
shower. (Dewey 1991, 6-7).
In this narrative we can identify the characters
of the sign relation as follows: coolness
is a Sign of the Object rain, and the Interpretant
is the thought of the rain's likelihood.
In his 1910 description of reflective thinking
Dewey distinguishes two phases, "a state
of perplexity, hesitation, doubt" and
"an act of search or investigation"
(Dewey 1991,
9), comprehensive stages which are further
refined in his later model of inquiry. In
this example, reflection is the act of the
interpreter which establishes a fund of connections
between the sensory shock of coolness and
the objective danger of rain, by way of his
impression that rain is likely. But reflection
is more than irresponsible speculation. In
reflection the interpreter acts to charge
or defuse the thought of rain (the probability
of rain in thought) by seeking other signs
which this thought implies and evaluating
the thought according to the results of this
search.
Figure 2 illustrates Dewey's "Rain"
example, tracing the structure and function
of the sign relation as it informs the activity
of inquiry, including both the movements
of surprise explanation and intentional action.
The dyadic faces of the sign relation are
labeled with just a few of the loosest terms
that apply, indicating the "significance"
of signs for eventual occurrences and the
"correspondence" of ideas with
external orientations. Nothing essential
is meant by these dyadic role distinctions,
since it is only in special or degenerate
cases that their shadowy projections can
maintain enough information to determine
the original sign relation.
Figure 2. Signs and Inquiry in Dewey

If we follow this example far enough to consider
the import of thought for action, we realize
that the subsequent conduct of the interpreter,
progressing up through the natural conclusion
of the episode-the quickening steps, seeking
shelter in time to escape the rain-all of
these acts form a series of further interpretants,
contingent on the active causes of the individual,
for the originally recognized signs of rain
and for the first impressions of the actual
case. Just as critical reflection develops
the associated and alternative signs which
gather about an idea, pragmatic interpretation
explores the consequential and contrasting
actions which give effective and testable
meaning to a person's belief in it.
Dewey's Definition of Inquiry
By 1938 Dewey had developed a definition
of inquiry which summarized his mature views:
Inquiry is the controlled or directed transformation
of an indeterminate situation into one that
is so determinate in its constituent distinctions
and relations as to convert the elements
of the original situation into a unified
whole. (Dewey 1986, 108).
In view of the apparently inextricable relationship
our previous discussions have detected between
interpretation and inquiry, it would seem
natural that a definition of inquiry should
have some bearing on interpretation. Given
Dewey's definition of inquiry, this forces
the question: Can both interpretation and
inquiry be seen as special types of determination?
Prior to our discussion of the sign relation,
an affirmative answer to this question might
have seemed surprising, because these two
things seem so different. Interpretation
and inquiry are not usually identified with
each other in everyday thought. Interpretation
gives meanings to signs. Inquiry seeks to
end perplexity. Interpretation of everyday
speech is not reflected upon as problematic,
whereas inquiry is the very model of problem-solving
activity.
But now the idea that interpretation is every
bit as risky as inquiry should be familiar.
There is no infallible reflex which gives
meanings to signs, expressions, and texts.
Conversely, inquiry, "thinking"
in its best sense, "is a term denoting
the various ways in which things acquire
significance" (Dewey 1991, 38). So,
there is no longer an obstacle to viewing
these two processes as forms of determination.
Architecture of Inquiry
Peirce and Dewey gave similar accounts of
the architecture of inquiry, its typical
pattern and generic stages. Both Peirce and
Dewey agree that inquiry is "a response
by human beings to some break or interruption
in their previously untroubled behavior."
In Dewey's later thought, the stages of inquiry
involve: (1) "the problem implicit in
such an interruption is located, formulated,
and developed"; (2) "hypotheses
(or suggestions) for solving the problem
are introduced and are examined, with a view
to determining by reasoning just what is
implied by them"; (3) "a hypothesis
is tested by appropriate experiments which
either verify or disconfirm such logical
consequences of the hypothesis"; and
(4) "a judgment as to whether a proposed
hypothesis does (or does not) resolve the
problem that initiated the inquiry."
(All quotes in this paragraph are from Nagel,
in Dewey 1986, xv-xvi).
Peirce's most elegant and detailed account
of inquiry is given in the context of his
1908 article "A Neglected Argument for
the Reality of God" (CP 6.468-476).
According to Peirce, inquiry begins with
"some surprising phenomenon, some experience
which either disappoints an expectation,
or breaks in upon some habit of expectation
of the inquisiturus."
The first functional stage of inquiry is
abduction, which involves "pondering
these phenomena in all their aspects,"
allowing a conjecture to arise "that
furnishes a possible Explanation," regarding
the conjecture with "favor" and
holding it to be "Plausible." Abduction
is the "whole series of mental performances
between the notice of the wonderful phenomenon
and the acceptance of the hypothesis."
It is:
the dark laboring, the bursting out of the
startling conjecture, the remarking of its
smooth fitting to the anomaly, as it is turned
back and forth like a key in a lock, and
the final estimation of its Plausibility,
… Its characteristic formula of reasoning
I term Retroduction [abduction], i. e. reasoning
from consequent to antecedent. (Peirce, CP
6.469).
Peirce's second stage of inquiry, deduction,
is the testing of the hypothesis.
This testing, to be logically valid, must
honestly start, not as Retroduction starts,
with scrutiny of the phenomena, but with
examination of the hypothesis, and a muster
of all sorts of conditional experiential
consequences which would follow from its
truth.
(Peirce, CP 6.470).
Finally, in the third stage, induction, the
inquirer ascertains "how far those consequents
accord with Experience, and of judging accordingly
whether the hypothesis is sensibly correct."
(Peirce, CP 6.472).
Peirce divides the stages of inquiry at different
points than Dewey, relating them to three
modes of inference that he calls abductive,
deductive, and inductive reasoning.
(Abduction suffers a flight of fanciful names
from hypothesis, through presumption and
suggestion, to retroduction.) These forms
of inference were drawn from Aristotle's
three figures of syllogism and passed through
a series of metamorphoses in Peirce's refractory.
Though they follow one another in the typical
progress of inquiry, these elements of inference
may also be combined in other ways, for example,
to yield mixed forms of reasoning such as
analogy (Peirce 1982, 180).
Implications for Educational Practice
According to John Dewey, it is because of
the human quest for perfect certainty that
philosophy has inherited three problematic
viewpoints:
the first, that certainty, security, can
be found only in the fixed and unchanging;
the second, that knowledge is the only road
to that which is intrinsically stable and
certain; the third, that practical activity
is an inferior sort of thing, necessary simply
because of man's animal nature and the necessity
for winning subsistence from the environment.
(Dewey, 1988, 41).
These predispositions of philosophy toward
antecedent, fixed universals have led to
what Peirce and Dewey call a spectator theory
of knowledge which "excludes any element
of practical activity that enters into the
construction of the object known" (Dewey
1988, xi). Still it is not the uncertainty
itself for which Dewey believes we lack tolerance
but the risk that it entails. In contrast
with invariants the results of action, even
action painstakingly planned and conceived,
can never be certain. Its outcomes are only
probable. What then can inquiry offer that
the spectator theory of knowledge cannot?
Instead of the pursuit of invariant objects
as the foundation of certainty, inquiry affords
a feeling of control based on discovering
the "relations among changes in place
of definition of objects immutable beyond
the possibility of alteration" (Dewey
1988,
82). No longer are we passive receptacles
of facts but actively involved explorers,
constantly interpreting our experiences.
Teacher as Catalyst
In this view the teacher acts as a catalyst
of student inquiry, serving as a mediator
or sign to quicken the actualization of something
already present in the potential of the student.
The student's impulse is the 'moving spring'
of inquiry, but impulse does not direct intelligent
inquiry. It is purpose that shapes reflective
inquiry - "A purpose differs from an
original impulse and desire through its translation
into a plan and method of action based upon
foresight of the consequences of acting under
given observed conditions in a certain way"
(Dewey 1963, 69). Such purposes are formed
through observation, experience (both first
hand and as information obtained from those
who have wider experience), and judgment
which puts observation and experience together
to determine what is "signified"
(Dewey 1963, 69). To nurture this process
teachers can create environments where blind
action (impulse) is not an end in itself
but where experiences build the habits of
reflective inquiry. Reflective thinking,
"active, persistent, and careful consideration
of any belief or supposed form of knowledge
in the light of the grounds that support
it, and the further conclusions to which
it tends" (Dewey 1991, 6) is indeed
the process of inquiry.
Suspending Conclusions and Questioning Assumptions
The inquiry process demands that we suspend
our conclusions and tolerate the lack of
mental ease created by uncertainty until
alternatives have been examined. We must
overcome the tendency to jump at the first
suggestion that presents itself. Habermas
has said that it is not entirely our judgments
but also our prejudices that determine our
being since they are "the conditions
whereby we experience something-whereby what
we encounter says something to us" (Bernstein
1971, 97). Reflective thinking is then also
critical thinking, "calling into question
the assumptions underlying our customary,
habitual ways of thinking and acting and
then being ready to think and act differently
on the basis of this critical questioning"
(Brookfield 1991, 1).
This reflective operation as we've seen can
be triggered by a surprise or a perplexity
that we seek to bring to a more settled state.
Today, there is no shortage of such events.
"As people try to make sense of these
externally imposed changes, they are frequently
at teachable moments as far as the process
of becoming critical thinkers is concerned"
(Brookfield 1991, 10). Teachers who desire
to develop the habits of inquiry in their
students might do well to consider the characteristics
of critical teachers described by Freire
which include competence in communicating
the possibility of alternative interpretations,
the courage to challenge assumptions, willingness
to risk being fully engaged in the educational
exchange, humility, and the political clarity
to recognize distorting perspectives (Brookfield
1991, 82). However, it must also be noted
that teachers, as human beings, have values
and prejudices of their own. Recognition
of these assumptions and beliefs to ourselves
and to our students is an important part
of teaching reflective thinking. It involves
the willingness to examine our biases in
the light of student perspectives.
Building Tools for Inquiry
However, such attitudes are not enough. Emphasis
is further placed on developing tools that
extend the learner's capacity for inquiry
and reflective thinking. "The important
thing in the history of modern knowing is
the reinforcement of these active doings
by means of instruments … devised for the
purposes of disclosing relations not otherwise
apparent" (Dewey 1988, 70). Thinking
reflectively about our own practice, the
education of children and adults and the
development and use of computer technology,
has led the authors to a belief in the value
of guided inquiry as educational method and
to the use of the computer as a tool for
active learning.
Because of its capacities for interaction,
modeling and feedback, the computer has the
potential to open new educational horizons.
The authors' goal is to develop computer
software that will enhance the ability of
learners to experience and explore their
own worlds-to form more settled interpretations
of the relationships observed, and to examine
and reinterpret the assumptions forming their
world models. Because the complexity of qualitative
information often makes the process of observation
overwhelming, such new tools are needed to
explore the depths of qualitative information,
to recognize its patterns, and to interpret
its significance. The second goal of this
software is to reduce the gap between teaching
and research by empowering learners to work
more directly on information gathered for
research. Finally, the third goal is to model
the flow of each learner's inquiry and to
highlight the individual student's implicit
assumptions. By engaging in personal explorations
and making assumptions explicit, individual
learners will be invited to "think reflectively"
about their distinctive and shared interpretations.
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