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Open, Closed, or Both: Expanding the Flexibility of Question Formats in Survey Research by Paul S. Voakes 200Q Ernie Pyle Hall Indiana University School of Journalism Bloomington, IN 47405 (812) 855-1708 (e-mail) [log in to unmask] submitted to The Communication Theory and Methodology Division of the Association for Education in Journalism and Mass Communication April 1, 1995 Open, Closed, or Both: Expanding the Flexibility of Question Formats in Survey Research One of the early, fundamental challenges in designing a survey instrument is deciding whether to use open-ended (free-response) or closed-ended (fixed-choice) questions. The advantages and disadvantages of each format have been debated at length. Rossi, Wright and Anderson (1983), for example, note that open-ended questions provoke answers in the respondents' own words, uninfluenced by any specific alternatives suggested by the interviewer. Singleton, Straits, Straits and McAllister (1988) would add that open-ended questions are especially valuable at the beginning of a questionnaire, to induce respondents to "warm up" to the interview by speaking freely on a topic without being channeled into any specific line of thinking. There are major disadvantages as well to open-ended questions. De Vaus (1990) points out that this format demands more effort from respondents, who may be unwilling to reveal their thoughts in their own words -- especially if they feel their responses may be perceived as socially undesirable. This format's greatest drawback, which Rossi, Wright and Anderson (1983) emphasize, is in the reliability of its measurement. No matter how well trained the coders are, the process of translating respondents' spontaneous musings to numerical summaries invariably results in some degree of error. With closed-ended questions, the reliability of the measurement is generally much higher: The respondent has numerically "coded" her response at the time she gives it. De Vaus adds that closed-ended questions are not only less demanding (which is important in settings such as a lengthy telephone interview) but they do not arbitrarily discriminate between the glib and verbally reticent respondent. More importantly, the closed-ended format enables the questions to follow the structure of the theoretical model that is driving the study. But closed-ended formats too have their drawbacks. If there is an unintended nuance in the wording of a question, that nuance may threaten the validity of the item. And because of its lack of spontaneity, it may force respondents to choose among alternatives that do not correspond to their true feelings, or it may suggest responses that they never would have considered otherwise (Rossi, Wright & Anderson, 1983). Several contemporary researchers still cite Kahn and Cannell (1957) and their criteria for using open-ended questions. They recommend this format when the research seeks a basis upon which opinions are founded; when a spontaneous, uninfluenced response is sought; and when respondents are unlikely to have given previous thought to the matter in question. But in virtually all of the methodological discussion, the assumption seems to be that the researcher should choose one format or the other, depending on the needs of the particular project. The purpose of this paper is to question that assumption and to explore, by use of a case study, the possibility of combining open-ended and closed- ended questions in the same survey instrument, using the same methods of quantitative analysis, in pursuit of answers to the same research question. A Case in Point: Journalistic Ethics The case study begins with a survey of 118 journalists regarding their decision- making process as they consider an ethical dilemma. A theoretical framework was constructed through the adaptation of a more comprehensive model of influences on media content, by Shoemaker and Reese (1991). The overall theoretical goal for the present model is to learn the relative importance of each determinant in influencing a particular journalistic behavior and thus influencing the content of the media. The present model proposes seven social determinants of ethical decision-making: Individual -- the personal background and style of moral reasoning that each journalist brings to her work; Small Group -- the influence of peers and informal social constraints; Organization -- company policies and other formal or structural constraints; Competition -- reaction to (or anticipation of) the work of competing media; Occupation -- the influence of training, norms, professional codes of ethics and other notions of professionalism; Extramedia -- consideration of news subjects, news sources and audiences; Legal -- the influence of law, in both formal and informal constructions. Shoemaker and Reese suggest that there exists a "hierarchy of influences" on media content, and one of the key research questions here is whether such a hierarchy exists in influencing ethical decision-making (which in itself can be viewed as a subset of antecedents of media content). This conception of influences on ethical decision-making would seem to challenge the more traditional assumption among media ethicists (see for example Lambeth, 1986, and Klaidman & Beauchamp, 1986) that ethics is done through a process of moral reasoning that uses, either inductively or deductively, moral principles. The implication is that the process is internal and highly individual. Even much of the empirical work in this area suggests the notion of individual, autonomous moral agency (see for example Meyer, 1987; Wright, 1989; Shamir, Reed & Connell, 1990; Singletary, Caudill, Caudill & White, 1990; White & Pearce, 1991; White & Singletary, 1993). The principal research instrument was a telephone survey of 118 probability- sampled journalists in southern Wisconsin, designed to address the fundamental research questions: Under what conditions and influences is a certain decision made in an ethical situation, and is there a hierarchy of these influences? The telephone interview schedule began with the presentation of three hypothetical scenarios. In the first, a news reporter and photographer sneak into a nursing home (on which they are doing an investigative piece, and from which they had been formally denied access) by posing as janitors. The second scenario concerns whether to publish (or broadcast) the name of a teen-age suspect in a highly-publicized murder in the community. In the third situation, a mayoral candidate is the target of allegations, lodged by disgruntled former employees, of improprieties. A news outlet decides to report the allegations without verifying them or presenting the candidate's side of the story. The first question after the telling of each scenario is whether the journalist's behavior is acceptable to the respondent, on a numerical rating scale of one to ten, where one is utterly unacceptable and ten is perfectly acceptable. This rating of acceptability, especially when it is combined across all three scenarios, becomes the key dependent variable in the study. Of greater concern in this study than the perceptions of rightness or wrongness, however, are the primary independent variables that comprise the hierarchy of influences upon that rating of acceptability. The relative strength of each variable concept was measured in two ways: in an open-ended and a closed-ended format of questioning. First, after rating each story for its journalistic acceptability, the respondent was asked to discuss, in an open-ended format, what factors or considerations led to the assessment of acceptability. (Later, the first three idea elements mentioned by each respondent were categorized according to the social determinant each represented.) After thus reacting to each scenario in her own words, the respondent then reacted to closed-ended items, each intended to represent one of the seven social determinants. Respondents were asked to rate the salience of each statement on a scale of one to ten, where one meant that the statement was irrelevant to her thinking about the scenario, and ten meant that the statement was highly important to her thinking. The set of closed-ended items was read three times, once after each scenario. The central hypothesis of the study was this: Among the seven independent variable concepts, the Individual influence will enjoy the strongest predictive value across all three scenarios. This reflects the general findings from the literature that personal, intrinsic values, largely unfiltered by social influences, have great predictive power. The hypothesis was tested with a comparison of the means of the relevant items, and with multiple regression to determine the relative power of influence enjoyed by each of the key independent variables. As tables 1 through 4 demonstrate, the hypothesis lies in disgrance. The overall salience of Individual items was lower than the mean for all determinants, and the relationship between the items and the dependent variable remained nonsignificant throughout the regression analysis. Individual moral autonomy seems not to prevail in ethical decision- making; the data support the notion of a far more dynamic and complex pattern of social influences. But the results of each statistical analysis are stated here twice: once each time for open-ended responses and closed-ended responses. Inferring from the discussion of the literature above on open-ended methods, it seemed possible that through a free- response format, social influences might be identified that were not included among the closed-ended indicators. These conditions seem to argue for the use of open-ended questions, especially considering the context of journalism ethics. Most of the existing empirical work tells us whether journalists accept certain behavior but does not attempt to tell us why or how. Even if the previous surveys presented journalists with a list of possible reasons for their ethical decisions, the bias of social desirability (DeMaio, 1984) might nudge the respondent toward the most virtuous-sounding of the choices. Respondents naturally want to make a good impression on the researchers and the Table 1 Means of the Open-Ended Measures of Social Determinants Nursing Home Juvenile's Name Candidate Overall Individual .32 (.52) .36 (.59) .13** (.34) .81** Small Group .03** (.18) .00** (.00) .02** (.13) .05** Organizational .44 (.61) .59** (.52) .11** (.76) 1.10 Occupational .95** (.75) .25 (.47) 1.47** (.76) 2.66** Extramedia .36 (.55) .30 (.60) .23* (.25) .89 Legal .11** (.34) .38 (.62) .11** (.48) .60** Column mean .37 .31 .34 1.02 n = 118 Notes: 1) Values expressed are the means (and standard deviations) of the number of mentions coded into each variable category for each scenario. 2) Asterisks denote significant difference, either higher or lower, from the mean of mentions for that particular column, as determined by a two-tailed t-test (* p<.05, ** p<.01). research audience by choosing the most ethically sensitive response. However, the need to test a specifically-structured theoretical model equally strongly suggests the use of a corresponding structure of closed-ended questions. The approach therefore has been to employ both methods. It is hoped here that the indirect wording of the closed-ended indicators and the scattered ordering of the items has reduced the possibility of desirability bias or pattern bias. Table 2 Means of the Closed-ended Measures of Social Determinants Nursing Home Juvenile's Name Candidate Overall Individual 6.97 (2.43) 6.63* (2.59) 6.96 (2.38) 6.87 (2.17) Personal Values 7.01 (2.87) 6.69 (2.80) 6.91 (2.68) 6.88 (2.44) Own Logic 6.92 (2.68) 6.56* (2.69) 6.95 (2.49) 6.82 (2.31) Small Group 7.00 (2.24) 7.38 (2.10) 7.47** (1.95) 7.27 (1.81) Observe others 6.01** (2.75) 6.47* (2.77) 6.47 (2.59) 6.31* (2.35) Talk to others 7.99** (2.70) 8.31** (2.40) 8.47** (1.93) 8.26** (2.04) Organizational 8.10** (2.77) 9.15** (1.68) 7.63** (2.56) 8.32** (1.92) Competition 6.11** (2.67) 5.53** (2.65) 6.17** (2.71) 5.97** (2.35) Occupational 7.27 (2.11) 7.46 (2.07) 7.41** (1.80) 7.37* (1.69) 'Professionalism' 7.86** (2.59) 7.73* (2.26) 8.07** (1.95) 7.90** (1.88) Code of Ethics 6.64 (2.61) 7.19 (2.68) 6.77 (2.38) 6.87 (2.14) Extramedia 5.09** (2.47) 5.90** (2.40) 5.58** (2.27) 5.53** (1.95) Audience 5.44** (2.87) 5.43** (2.71) 5.98** (2.67) 5.61** (2.32) Subjects 4.70** (3.21) 6.34* (2.76) 5.17** (2.62) 5.42** (2.21) Legal 7.83** (2.69) 8.16** (1.67) 7.21 (2.23) 7.73** (1.72) The Law Itself 8.28** (2.44) 9.26** (1.35) 7.68** (2.53) 8.40** (1.65) Threat of Suit 7.38 (2.69) 7.07 (2.76) 6.73 (2.93) 7.07 (2.42) Column mean 6.91 7.17 6.92 7.01 n = 118 Notes: 1) Values expressed are the means (and standard deviations) of the responses (on a scale from 1 to 10) to closed-ended items. 2) The indented phrases represent the individual items that comprise the boldfaced, composite variables immediately above them.. 3) Asterisks denote significant difference, either higher or lower, from the mean of the responses for that column, as determined by a two-tailed t-test (* p<.05, ** p<.01). Table 3 Predicting Acceptability of Journalists' Actions in Ethical Situations Multiple Regression OPEN-ENDED RESPONSES Simple r Step 1 Step 2 Step 3 Incr. R2 Demographics .04 Gender (male) .00 .04 .04 .07 Age -.16 -.15 -.04 -.04 Education .12 .13 .13 .09 Other Key Characteristics .03 Ever threatened with a Lawsuit .11 .19 .19* Yrs. in Journalism -.13 -.16 -.19 Social Determinants .13* Individual .06 .02 Small Group .16 .24* Occupational .08 .09 Organizational -.18* -.13 Extramedia .23* .24* Legal -.08 -.05 Equation F-ratio 2.39 (.01) n = 118, ^p<.10, *p<.05, **p<.01 Notes: 1) Dependent variable is the acceptability of journalists' actions, summed across all three scenarios. 2) "Other Key Characteristics" are objective variables whose strong bivariate associations had suggested possible predictive power in a regression equation. 3) "Equation F-ratio" refers to the ANOVA test as to whether the blocks of variables entered in the equation explained a significant amount of the variance in the dependent variable. Table 4 Predicting Acceptability of Journalists' Actions in Ethical Situations Multiple Regression CLOSED-ENDED RESPONSES Simple r Step 1 Step 2 Step 3 Incr. R2 Demographics .04 Gender (male) .00 .04 .04 -.02 Age -.16 -.15 -.04 -.11 Education .12 .13 .13 .04 Other Key Characteristics .03 Ever Threatened with a Lawsuit .11 .19 .11 Yrs./ Journalism -.13 -.16 -.12 Social Determinants .15** Individual -.04 .00 Small Group -.07 .21^ Competition .05 .20^ Organizational -.21* -.06 Occupational -.23* -.18 Extramedia -.21* -.22^ Legal -.26** -.26* Equation F-ratio 2.40 (.009) n = 118, ^p<.10, *p<.05, **p<.01 Notes: 1) Dependent variable is the acceptability of journalists' actions, summed across all three scenarios. 2) "Other Key Characteristics" are objective variables whose strong bivariate associations had suggested possible predictive power in a regression equation. 3) In Step 3, the coefficients of Small Group, Competition and Extramedia achieved alpha levels of significance, respectively, of .065, .062, and .053. 4) "Equation F-ratio" refers to the ANOVA test as to whether the blocks of variables entered in the equation explained a significant amount of the variance in the dependent variable. Some Unsettling Discrepancies The rationale of multi-method triangulation is that dissimilar methods will suffer different methodological weaknesses, and thus exhibit different patterns of error. If two methods independently produce the same general findings, our confidence in the findings increases. Those hopes were tested statistically in this study, but with results that are not encouraging for direct triangulation. Table 5 shows simple correlations between open-ended response categories and closed-ended response categories, across all three scenarios. The underlined values are the correlations between measures of the same concept -- the measures that we might expect to be highly correlated. Obviously, they are not. The correlations are nonsignificant, and with two of the concepts, Occupational and Extramedia, they seem to drift toward a negative relationship. There are two possible interpretations of the non-correspondence: One of the two methods has utterly failed to capture the meaning of the social determinants, and therefore it should be rejected as inaccurate and invalid. Or, the two methods are simply capturing different dimensions of the same concepts and should both be reported. The discrepancy is not unique to this project. To revisit the literature more specifically, Schuman and Presser (1979) systematically explored the discrepancy in results by designing part of a survey instrument with parallel open and closed questions. Half the respondents were randomly assigned to an open-ended question, and half to a closed-ended version of the same question (asking what benefits of a job the respondent would most prefer). The two versions produced different results: For example, nearly 20 Table 5 Relationships Between Open- and Closed-Ended Measures Of the Same Independent Variable Concepts Open-Ended Measures Indiv. Sm Grp. Org. Occup. Extram. Legal Closed-Ended Individual .10 -.06 -.00 -.09 -.01 -.03 Small Group .00 .03 .11 .02 -.08 -.16 Organizational -.09 -.01 -.01 .15 -.24* .02 Competitive -.03 -.04 -.01 .05 .10 .04 Occupational .12 -.04 -.01 -.06 -.12 .01 Extramedia -.11 -.07 .12 .04 -.04 -.06 Legal -.05 .16 .24* -.02 -.17 -.01 n = 118, *p<.05, **p<.01 Notes: 1) Values shown are Pearson correlation coefficients. 2) Underlined coefficients indicate theoretically similar concepts. 3) Values shown summarize results across all three scenarios. percent of the closed-ended respondents cited advancement as the most important job value, whereas only 2 percent preferred those opportunities in the open-ended responses. Inexplicably, however, the authors, like many others on this subject (see Kahn & Cannell, 1957; Rossi et al., 1983; De Vaus, 1990; and Singleton et al., 1988) conclude that properly constructed closed-ended items can provide more valid information than open-ended responses can, and they recommend the use of open-ended questions only in certain exploratory or qualitative situations. But is it really just a matter of superior validity in one method and inferior validity in another? The validity of each method can be tested, one against the other, more directly than in Schuman's and Presser's experiment. One strategy is to ask which Table 6 Comparing the Predictive Power of Open- and Closed-ended Measures of the Same Independent Variable Concepts Multiple Regression Order of Entering Blocks Incr. R2 Closed-ended .17** Open-ended .08 Open-ended .13* Closed-ended .13* n = 118, *p<.05, **p<.01 Notes: 1) Dependent variable is the acceptability of journalists' actions, summed across all three scenarios. 2) Each block consisted of the aggregate scores, across all three scenarios, of the six (open-ended) or seven (closed-ended) independent variables being measured. set of measures, open-ended or closed-ended, seems to have greater power to predict the dependent variable (in our case, the acceptability of the journalist's actions in each scenario). If one method was failing to capture the meaning of the concepts, its results would be scattered and it would probably fail to explain much of the variance of the dependent variable. Thus a multiple regression was computed from this study's data that pitted the block of closed-ended variables against the block of open-ended variables. The results are shown in Table 6. When the closed-ended block of variables was entered first in the regression equation, its incremental R-square (the standard measure for the degree of explanation of total variance) was substantially greater than that of the open-ended variables. However, when the order of entry was reversed, the incremental R-squares were almost identical -- and both significant. The test seems to be saying that both open- and closed-ended responses, while at times unrelated to each other, both contribute significantly to explanations for why the respondents answered as they did on the matter of acceptability. Could it be that each method is tapping a different set of (equally valid) considerations? This survey instrument included only two closed-ended items to represent each social determinant No matter how accurately the two represented that concept, there are certainly many other facets (dimensions) of the same concept that have meaning for the respondent but simply are not tapped in the closed-ended instrument. For example, the items measuring Occupational influence covered a general conception of professionalism, and a reference to a professional code of ethics. In the open-ended responses, a large number of respondents cited specific norms of "professional" journalistic behavior -- not necessarily thinking about the origins of those norms or about professionalism per se. It is entirely possible that codes of conduct could be one dimension of the Occupational influence, training could be another dimension, and the situation-specific norms of journalism -- the "do's and don't's" -- could be another dimension. The open- and closed-ended measures together did tap all three, but no single item or method managed to tap the three at once. To cite a more intriguing example, the actual directions of the Extramedia influence, in open- and closed-ended formats, are different (see tables 3 and 4). In the open-ended responses, journalists who cited Extramedia factors on their own tended to support the ethically and legally risky decisions that were made in the scenarios. In the closed-ended format, with an equally strong degree of influence, those who assigned importance to Extramedia factors tended to disapprove of the hypothetical actions. How can we explain this apparent contradiction? As with the other social determinants, Extramedia was represented in the survey by two closed-ended indicators. "I wonder what the (subject or source) will think when they see the story" represents the perception of the personal influence of news sources or news subjects. The other indicator, "I wonder what our readers (viewers) will think when they see this story" represents the more general anticipation of audience reaction. It is hardly surprising that statements of concern over the reactions of sources, subjects or audience would induce a reluctance to proceed with the risky story. The open-ended responses were not tapping the same dimension of the concept. There were references to audience and subjects, to be sure, but a substantial number of responses mentioned a different, unanticipated aspect of audience influence: the broader impact of a story on the general community. Whether the "public benefit" (like other aspects of audience influence) is ever measured by news organizations is a matter of some doubt. The suggestion here is that its presence does nonetheless play a part -- at least as documented by several open-ended responses -- in the journalist's decision. The other unanticipated piece of reasoning in the open-ended responses concerned another dimension of source influence -- a notion we might summarize as "just deserts." The feeling among several respondents is that the source or subject involved deserves whatever consequences might arise from the ethically risky story; therefore the decision to proceed is justifiable. Differences in Cognition? There is also very likely a difference in the cognitive processing and response strategies in the two different methodsof questioning. There has been considerable work in the field of social cognition on questions rather close to this one. Social psychologists, working primarily in the domain of personality or candidate evaluation, have discovered many cases in which people's open-ended thoughts are uncorrelated with responses to closed-ended questions about the same subject (Zaller, 1992). Studies have distinguished two processes of evaluative judgment: memory-based and "on-line" (Hastie & Park, 1986). Memory-based judgment relies on the retrieval of facts, reasoning and attitudes from long-term memory; "on-line" processing involves the frequent and immediate updating and adjustment of evaluations as new pieces of information are acquired. Thus an on-line evaluation is not the same independent judgment that a memory-based judgment is, because it has been colored by recent cues as to the evaluation. Lodge, McGraw and Stroh (1989) found that on-line processing is a stronger determinant than memory-based judgment of citizens' evaluations of political candidates. They concluded, however, that the human mind does not rely exclusively on either mode of decision-making. Independent, long-term recall memory still seems to have an influence on one's evaluative decision. But on-line processing seems to have a stronger relationship to the decision, they found, under many conditions. The research on cognition has obvious implications for the present methodological discussion. The closed-ended response is a response to suggestion. It relies on recognition memory and would seem to use the mode of "on-line" processing, as respondents are given cues that immediately update their evaluation of the forces at work. Even if a social determinant -- Small Group influence, for example -- never entered the mind of the respondent during open-ended questioning, it was always presented as a closed-ended option, and almost always the respondent gave those items some level of numerical score. The item may remind the respondent of an influence that is honestly important, and the score reflects that importance. Alternatively, it could simply invoke social desirability, wherein the respondent feels she ought to have mentioned that influence (personal values or the law, for example) in her open-ended response and now has an opportunity to declare that determinant's importance. The open-ended response, on the other hand, sought at the beginning of the interview schedule, is spontaneous and unprompted. It relies on recall memory. It may capture the most "honest" thoughts off the top of the respondent's head, often in the form of schematics or heuristic solutions that are applied to everyday problems. But this format is also vulnerable to the respondent's inability to summarize comprehensively her view of the situation quickly over the telephone. She could simply forget to mention a consideration that is extremely important to her. The most instructive example of this difference from the present study is in the measurement of the Legal influence on an ethical decision. In Table 2 we see a significantly high mean response for the closed-ended Legal items, and in Table 4 the Legal influence held its significant Beta coefficient throughout the regression of closed- ended variables. And the association was negative. When asked to assess the salience of Legal considerations as closed-ended items, the journalists were usually quick to accord them high salience, and that appreciation led in turn to a disapproval of the ethically risky actions of the journalists in the hypothetical scenarios. But the recognition memory on display in the closed-ended format seems not to tell the whole story: When left to their own recall memory, the respondents did not often think to mention Legal considerations. The open-ended format seems to put Legal influence near the bottom of the hierarchy. According to Table 1, a Legal "mention" was made on the average of only once every five respondents. In terms of its influence on the dependent variable, the Legal variable in the open-ended format never approaches significance in one direction or the other. The discrepancy suggests that perhaps the influence of the law is often mediated by the other social influences. For example, the open-ended response "You just don't use the name of a juvenile suspect" was coded as an Occupational consideration -- a behavioral norm common to most journalists. It could be, however, that the pronouncement was also a reflection of some legal result that preceded the understanding of that norm, such as a lawsuit or contempt-of-court citation against a colleague, and is now incorporated into that journalist's conception of professionalism. While a detailed discussion of the ethical and legal implications of the findings is beyond the purview of this particular paper, it is worth noting that journalists do hold a fairly high degree of respect for the legal rules of journalism, but only when reminded of those rules. Left to their own devices, they more likely fall under the influence of any of the other determinants in the model. Computational Differences Not only can conceptualization and cognition explain differences between the two methods' results, but the statistical organization of the results also suggests different results as well. The closed-ended items were given scores between one and ten, and computed on the same scale. With open-ended responses, the first three idea elements (see Gamson & Modigliani, 1987) expressed were coded, and these "mentions" were given equal weight as they were counted. Thus a Small Group influence could be important to a respondent, but the first three mentions of her response may have been bundled in a monologue about occupational norms and company policy. While she may have given the Small Group items the exact same score as she gave Occupational and Organizational items in the closed-ended segment, her open-ended response necessarily gives Small Group a score of zero, simply because it was not among her first three mentions. Indeed, Small Group may not have been even among the first ten mentions if extended questioning were conducted, but the determinant of Small Groups may still be important to her. Conclusion Thus it seems unwise to jettison either method of measurement. Just as Lodge, McGraw and Stroh made room for both cognitive processes in their conceptual model of political evaluations, we can utilize both methods of question formats to shed light on the present research questions. The open-ended responses were spontaneous, without a theoretical superstructure imposed on the respondents. The closed-ended items represented a structure that does seem to carry a great deal of theoretical validity. In most of the reporting of the results of this study, therefore, the closed-ended and open-ended findings appear together, with their similarities or contrasts open for discussion. One of the basic tasks of empirical work in the behavioral sciences, it seems, is to measure the indicators of variable concepts. It is highly unlikely, however, that any one set of indicators can capture and represent every dimension that is imbedded in the meaning of a concept. Therefore it is unlikely that open-ended and closed-ended strategies to address the same research question will yield highly correlated results every time. 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