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State: Anthropological Aspects

John Borneman, Princeton University, Princeton, NJ, USA


Ó 2015 Elsevier Ltd. All rights reserved.

Abstract

Modern statehood is a mode of political organization of ‘society’ in which the state is the primary agent charged with building
its representation. The nation has become the preferred form for this representation, law, the principal means used to
anticipate the conduct of its subjects (citizens) and develop normative frameworks (policies) to direct change, and
democracy, the dominant form of self-representation. The scope of the state now goes beyond traditional activities such as
war and the production of laws that regulate the exercise of power over territoriality and commerce to extend to the
generation of forms of subjectivity in people.

Modern statehood is a mode of political organization of tension with the actual forms of group organization and their
‘society’ in which the state is the primary agent charged with heterogeneous, agonistic compositions. Modern law is the
building the representation of society aware of itself and in principal means by which the state attempts to create this
harmony with itself. Nation-states have become the preferred harmony, an ideal state in which there is a coincidence between
mode by which all of the earth’s polities organize people and behavior and rules and where the state can anticipate the
territory into formally comparable and sovereign governing conduct of its subjects (citizens) and develop normative
units. The scope of the state now goes beyond traditional frameworks (policies) to direct change (Nader, 1990).
activities such as war and the production of laws that regulate States are only one of many rule-making institutions with
the exercise of power over territoriality and commerce; it also administrative capacities. International and supranational
generates new forms of subjectivity in people. Anthropologists bodies also increasingly make law. And while states largely
initially observed this expansion of the state by studying the retain for themselves the power of legitimate enforcement,
elimination, transformation, or preservation of indigenous corporations, religions, nongovernmental organizations
peoples, tribes, peasants, clans, and kinship systems through (NGOs), and other non-state actors are equally organized and
the creation of encompassing, though also exclusionary, rely on other sources of power to circumvent or control state
national forms of belonging. One major state activity that law. In most parts of the contemporary world, however, states
anthropologists have identified has been the deployment of remain the institution with the most effective ideological and
ethnographic modes of defining and categorizing human institutional apparatus, also recognized by other states, to
populations and of systematizing knowledge about them, claim to represent the entire people within a particular terri-
especially in colonial states. Hence, the science of anthropology torial jurisdiction.
has followed closely and defined its objects in terms of state Statehood became the central principle asserted in inter-
projects, alternately supportive and oppositional: itemizing national law in 1648, with the signing of the Treaty of West-
culture traits and social organizations of discrete peoples, phalia ending the 30 years of war in North–Central Europe.
tracing efforts at internal and external colonization, mapping Driven by industrial capitalism as a superior mode of
the settling and resettling of territory, and tracking diasporic production and accumulation, the state expanded its functions
populations and global trade routes. beyond the conduct of war, the administration of justice, and
The ‘state’ refers to a form of polity that links people and the regulation of commerce, to massive projects in the colo-
territory in ‘societies’ and thereby demarcates itself from other nization of populations in the Americas, Asia, Africa, and the
states. Although archaeologists date states back to ancient Egypt mid-East (Dirks, 1993; Stoler, 1995). Western European states,
and Mesopotamia (about 2500 BC), this article deals only with in particular, formulated projects of external and internal
the anthropological aspects of the modern state. It examines colonization, and they began to usurp religious authority’s
the implications of linking people to territory on subject control over the definitions of transcendence, the bodies of
formation; the administration of populations and their their subjects, and the institutionalization of their life courses.
cultures; and on the practices of religiosity, kinship, and Initially employed as a political program in the French
commerce, as well as on anthropology itself. Revolution and subsequently written into the United Nations
Charter, the nation form grew out of transformed empires and
tribes during the process of European state formation (Tilly,
The Concept of Modern Statehood 1990). It also dissolved a feudal model of society by means
of cultivation of behaviors based in part on class emulation
Modern statehood is a mode of political organization of society and conflict (Elias, 1982). At the same time, in a process of
in which the state is the primary agent charged with building reciprocal copying, states in the Americas also emulated
the representation of society aware of itself and in harmony the nation form. This transformation of diverse peoples
with itself. Today, the nation is the preferred form this repre- into unified nations appropriated local discourses of
sentation assumes. It is always an idealization and always in consanguinity and affinity and, in turn, was propped onto

International Encyclopedia of the Social & Behavioral Sciences, 2nd edition, Volume 23 http://dx.doi.org/10.1016/B978-0-08-097086-8.12150-6 347
348 State: Anthropological Aspects

and often reconstructed local kinship. Unification of nations resident internal ‘minorities,’ nonresident external others),
was rarely accomplished without intermittent purges or other which are then used frequently to justify war against external or
kinds of homogenizing processes. From the late fifteenth internal enemies. Fourth, the dependence of modern political
century to the early seventeenth century, all Western representation on territorial attachment reinforces identifica-
European states engaged, with often-disastrous economic tions with territory and the desire for statehood. These identi-
consequences, in variant forms of ethnoreligious ‘cleansing,’ fications exacerbate territorial conflicts and often lead to wars
leading to population resettlement and the formation of victim between potential antagonists who tend to receive interna-
groups. tional recognition only when their disagreements are articu-
In the twentieth century, national consolidations and the lated in terms of border violations.
creation of new types of victim groups reached new heights, Despite the ubiquity of the nation-state, different historical
especially with the advent of fascist and racist ideologies orig- experiences of populations have produced a variety of ways of
inating in Europe and also employed elsewhere (Lefort, 1986). classifying states, some corresponding to intent of the ruler,
The peace treaties concluding World War I introduced into others to the relation of ruler to ruled, and still others to their
Eastern and Southern Europe the two conditions of West cultural form. The twentieth-century conflict between ‘socialist
European nation-states – homogeneity of population and states’ and ‘liberal democracies’ uniformized neither the state
rootedness in the soil. In Eastern Europe, the implementation form nor the experience of citizenship, as local cultures had
of these principles was largely elided during the Cold War, with enduring influences on actual political forms and relations.
the establishment of socialist states based on universal broth- Other factors, such as relations with colonial powers or
erhood and allied with the Soviet Union – a bloc that dissolved unfriendly neighbors, independence or separatist movements,
following the so-called velvet revolutions of 1989. Western or dependent economic relations also strongly influenced
European states emerged weakened from World War II and national cohesion and state functioning, leading to increasing
were unable to resist independence movements in their colo- awareness that what some analysts label ‘failed states.’ In
nized states, primarily in Africa and Asia. These postcolonial accounting for this variety of state forms and the historical
states in turn nearly universally adopted the nation form to conditions of their production, anthropologists have focused on
integrate diverse groups within territorial boundaries already the organization of public authority and forms of domestic
drawn, arbitrarily, by European states. Nation-states have since control. The historian Foucault (1977, 1978) and the political
become the mode by which all of the earth’s polities are scientist Anderson (1983) have inspired much recent
organized into formally comparable and sovereign governing scholarship.
units. Appropriation of the nation form effectively broadened The powers unleashed by science since the Enlightenment
the scope of the state to include the planned change of culture, have generated what Foucault calls ‘rituals of truth,’ including
variously defined, and the generation of forms of subjectivity in disciplinary technologies that refigure space and the arts of
populations (Borneman, 1992). governance charged with producing society and ‘culture’ as
objects of knowledge and identification. Moreover, the deploy-
ment of new procedures of power in the nineteenth century
Subject Formation through Linking Territory transformed state authority from a sovereign’s ability to ‘take life
to People or let live’ (to order or require someone’s death) to an invest-
ment in administering life by means of disciplining the body
The 1933 Montevideo Convention defined the criteria for and regulating populations. States, Foucault argues, institu-
statehood as having (1) a permanent population, (2) a defined tionalize particular cultural forms through projects of reform,
territory, (3) government, and (4) the capacity to enter into education, development, incarceration, war, welfare, and family
relations with other states (Article 1, League of Nations Treaty planning, along with the use of scientific techniques such as
Series No. 881) – with only the first two criteria consistently surveys, census, questionnaires, actuarial tables, economic fore-
upheld. Between 1945 and 2011, the number of states recog- casting, spatial mapping, case studies, and bureaucratic inter-
nized by international law as sovereign members of the United views. Anderson focuses on the historical conditions in which
Nations increased from 51 to 193, with two nonmember states the ‘imagined community’ of the nation comes into being and
(the Holy See and Switzerland) and a few countries with achieves global currency, particularly in its relation to states
sovereignty disputes. Defining statehood this way has following the collapse of empires. One of these conditions, print
numerous effects on subject formation. First, it produces capitalism, enables advances in techniques of memory and
pressures to unify ethnically mixed and territorially dispersed collective narration through the proliferation of historicist myths
populations by centralizing legal and education systems and and standardized accounts of experiences of national belonging
standardizing the life course. States uniformize by means of across space and irrespective of local temporalities.
both bureaucratic technologies (the use of, e.g., interviews, Because modern governing necessitates delineating a pop-
surveys, and maps) and psychological appeals to the ‘shared’ ulation and a territory, rulers invariably deploy ethnographic
symbolic universes they create (through the standardization of assumptions about how to define a people. As well, through
grammars and linguistic use, and the shaping of experience in laws and policies, states produce and circulate information
ritual events and everyday routines). Second, it creates pop- about belonging (through families, schools, and the media);
ulations with mixed loyalties, settlers, or migrants who live in positively and negatively sanction prescriptive and proscriptive
a place among peoples separate from the place and peoples behaviors (about sexuality, gender, age, race, ethnicity, and
with whom they primarily identify. Third, it generates cate- work); and build libraries, monuments, and museums to
gories of automatic exclusion (e.g., resident stateless peoples, display particular interpretations of the nation. In sum, modern
State: Anthropological Aspects 349

states are distinctive in that they produce both laws and people; Anthropology has in the meantime become a global disci-
they not only administer and regulate already existing cultural pline of alterity, no longer restricted to questions of origin or to
patterns but also produce new domains of objects and forms of particular kinds of peoples or places. Also, the relation of
subjectivity. indigenous people to states has changed considerably, with
some states now even guaranteeing the ‘preservation of indige-
nous cultures’ and prioritizing ‘native’ rights over those of more
The Discipline of Anthropology and the State recent settlers. Moreover, the United Nations along with some
NGOs and a global tourist industry positively sanction states
Early anthropological work on the state, especially among that protect and support what are called ‘first peoples’ –
archaeologists, was inspired above all by Friedrich Engels’s a movement that has reversed the trend toward extinction and
study of the origin of the state and its relation to private strengthened the importance of claiming cultural authenticity
property, Lewis Henry Morgan’s evolutionary scheme, and Sir or temporal priority of settlement.
Henry Maine’s theory of the progressive movement from In any case, the notion of ‘kin-based’ or ‘acephalic’ polities as
status to contract in the development of state law (Service, a pre-evolutionary stage to a ‘state-based’ polity, or of the
1975). Fieldwork-based anthropologists, inspired by replacement of status by contract, has become a moot for
Bronislaw Malinowski and Franz Boas, did not initially ethnographic research as the entire planet is organized
theorize the state or the nation, although their research was territorially by states mutually regulated through legal
most frequently among indigenous peoples, tribes, peasants, contracts and unevenly integrated by global market exchanges
and clans who were either in conflictual relations with (Moore, 1978). Anthropologists, instead, now investigate the
states or involved in a process elimination, accommodation, simultaneity of the organization of kinship and the state, of
transformation, or preservation in response to state various stages of developmental narratives, and of status and
challenges to their territory and resources. contract. The interaction of people with states may be an
The discipline of anthropology has closely followed and unavoidable condition of modern life, but it is by no means
defined its objects in dialogue with state projects, alternately unambiguous in outcomes or in the trajectory of change.
supportive and oppositional: itemizing culture traits and This interaction took three meta-narrative forms in the
social organizations of ‘discrete’ peoples; devising evolu- second half of the twentieth century: people living within the
tionary schemes; tracing efforts at internal and external colo- bipolar Cold War structure of socialist or communist states
nization; mapping the settling and resettling of territory and (planned economies, single-party rule, so-called Second
the transformation of property; and tracking diasporic pop- World of totalitarian states) vs liberal states (free market
ulations, cultural diffusion, and global trade routes (Moore, economies, multiparty democracies, so-called First World)
1986). One major state activity that anthropologists have and a contested zone of people living in postcolonial states
identified has been the deployment of ethnographic modes (mixed economies with diverse political forms liberated from
of defining and categorizing human populations and of empires, so-called Third World). Until the late 1970s,
systematizing knowledge about them, especially in colonial anthropologists had difficulty obtaining access to people
states (Cohen, 1996; Ferguson, 1990; Pemberton, 1994; within the totalitarian states, and in other parts of the world
Scott, 1998). they devoted considerable research to reconstructing the
By and large, however, anthropological questions have precolonial state.
revolved around the production of the cultural or social orga- In the mid-1970s, a global trend toward democratization of
nization or forms of exchange among people considered authoritarian states began in Southern Europe; was advanced in
marginal or obstacles to state projects (Sahlins, 1981). Latin America and parts of Asia in the 1980s; and spread to sub-
Throughout the first part of the twentieth century, a preference Saharan Africa, Eastern Europe, and the Soviet Union in the late
for fieldwork in villages or small-scale commu- 1980s and 1990s, making the relation of these peoples to
nities not fully integrated into states or supranational transforming states a subject of anthropological research
exchanges also made states less of a focus to the subjects of (Coronil, 1997; Verdery, 1996). In 2011, the same process of
anthropological research. Further, long-term observational challenge and destabilization of authoritarian regimes began
fieldwork among ordinary people often requires a kind of among Arab-speaking populations in the Middle East. In
intimate access that precludes relations with rulers or those in effect, the space of the Second World has disappeared and the
the inner circles of power. Anthropologists in this period, spaces of the Third and First Worlds are mixed, existing within
therefore, assumed an essential sociocultural opposition of the each other, though in radically uneven proportions.
people to the state (Clastres, 1987). This claim seemed Beginning in the 1980s, the liberal democracies engaged in
credible, if not ethically imperative, when, as in the early market reforms – dubbed ‘neoliberalism’ – that deregulated the
twentieth century, the objects of study were so-called finance sectors as well as many kinds of trade relations and
primitives and indigenous peoples, victimized and threatened corporate activity, and opened internal economic and cultural
with extinction, frequently through state-supported genocide, relations to global markets (Greenhouse, 2010). The ideology
or, alternatively, when the state was primarily a puppet of that markets and the private sector are more efficient than
a colonial power. Nonetheless, the opposition is misleading, states and the public sector received a large bonus by the
as groups victimized by the state nonetheless must, and collapse of the socialist states of East–Central Europe and the
increasingly do, appeal to states for protections and remedies. disintegration of the Soviet Union. The end of the Cold War
Also, the state often provides the most powerful modality for divide into East and West blocs accelerated these global
representation of group interests. exchanges across territories and on a larger scale than
350 State: Anthropological Aspects

previously possible, suggesting not only a need for states to global nature of ‘news’ and accelerated information flows
regulate them but also demonstrating the limits of national across state borders, local struggles about representation
law and the inadequacies of existing regulatory agencies to do quickly enter international or supranational arenas,
so. In response to these newly extended and often global subjecting the state to pressure from authorities external to it
markets, the national subject, known as ‘citizen,’ was and explicitly drawing attention to the ways in which it
increasingly reduced to the identity of a consumer, which has exercises sovereignty. Such global flows also challenge state
changed the imagination of the individual’s relation to the sovereignty by bringing to the world’s attention local and
social (Dunn, 2004). subregional actors and events that might be in opposition to
Of note at the beginning of the twenty-first century is the dominant groups within a state.
distinctive tensions created by the global integration of The study of conflicts in democratizing states includes
financial markets, the loss of state sovereignty over national research on social and legal citizenship and on the relation of
economies, the proliferation of ethnic affirmation within state policy to demands for representation and accountability.
states, and the denationalization (privatization and Along these lines, four basic contemporary conflicts about
outsourcing) of much military conflict. State accommodation representation and states are observable: involving excluded
to globalization often compromises national sovereignty, people who want more social, economic, cultural, or legal
although this varies greatly depending on the state’s size, inclusion into states in which they reside; diasporic people who
wealth, location in the international system, and its domestic want representation in both the place in which they reside and
legitimacy. States are under increasing global pressures to the place from which they are displaced; numerical minorities
refrain from protecting local cultural forms, which, even if (usually represented as a culture or a ‘nation’) who do not have
unable to maintain some autonomy in the face of their own state but want one; and citizens or social movements
globalization, are nonetheless not uniformized by global that demand more and various kinds of accountability from
markets, a fact apparent both in the local variations in their rulers.
‘society’s’ relation to the state, specifically to democratic form,
and to the continued patterned diversity of cultures, expressed
in everyday routines and rituals. At the same time, however, Legitimacy and the Modern State
one of the effects of these tensions is a dramatic rise in
inequality within groups and the pauperization of large parts Although the conception and functions of the modern state
of populations in all parts of the world. keep changing, a state’s legitimacy is always based both on
The vast majority of states now call themselves democracies some notion of the ‘consent’ of its own citizens to rule and on
and, therefore, operate in a specific mode of ruling and employ the recognition of other states. This was not the case when rule
specific devices of power and strategies of self-representation. As was justified without recourse to ‘the people,’ in other words,
a mode of ruling, this entails the introduction of regularized rule based on coercion alone, on principles of heredity or
elections; the creation of ruling majorities and minorities; the wealth, the ability to wage war and collect taxes, or the
institutionalization of an opposition; and the strengthening of administration of justice. To obtain this consent and recog-
principles of accountability that circumscribe the exercise of nition, the state must usually go beyond Max Weber’s famous
power, usually embodied in principles of ‘the rule of law’ dictum that its power rests on a monopoly on the legitimate
(Borneman, 1997). As a device of power, however, some of use of violence.
these same democratic modes of ruling, such as majority rule, In many parts of the world, the state no longer even
lend themselves to degeneration into forms of despotism. A pretends, in fact, to hold this monopoly on violence. In the last
state is often as dependent on the externalization of negative 30 years, most states have tended to outsource and privatize
others as on facilitating an internal dynamics of citizen many security functions. Where the state has privatized or even
formation. Practices of such externalization range from state- dissolved its former functions, the most vulnerable citizens
tolerated social discrimination to legal exclusion of refugees to tend to suffer the most from the lack of any protections.
war against neighbors. As a strategy of self-representation, Indeed, today weak or ‘failed’ states are just as likely to lead
each democracy requires not only internal assent but to violent conflict as were strong imperial states in the
international recognition too, which it obtains only to the last several centuries. In many places, the state’s own abuse
extent it is able to claim governance by ‘rule of the people’ of this supposed monopoly – through genocide, strategic
and conformity to international norms and conventions. terrorism, the suppression of dissent, cynical uses of war –
When states violate such norms and conventions, which they has traumatic effects on its citizens, leading to repeated and
frequently do, they risk censure, sanctions, or other forms of delayed suffering of past events. Increasingly, then, the
international pressure. Such pressure often strengthens the anthropology of the state focuses on privatization,
hand of local groups against the state. security, outsourcing, violence, vulnerability, and trauma
Anthropologists engaged in research requiring listening to (Masco, 2006).
others are often asked to advocate in the international arena Irrespective of whether they initiate or are victims of
for the people studied and thus engage with all three registers violence, states instrumentalize traumatic events, not only by
of democracy. Their research often takes positions on local building monuments to fallen heroes or soldiers but also
political struggles. As experts on culture, anthropologists are through the construction of nationalist historiographies and
frequently asked to use legal disputes knowledge obtained in support for a heritage industry that especially honors the idea
fieldwork that is critical of state modes of rule or strategies of national sacrifice and organizes the process of mourning for
self-representation (Good, 2007). Given the increasingly losses after large-scale violence (Borneman, 2011). So long as
State: Anthropological Aspects 351

the state continues to draw legitimacy from principles of life course rites de passage (Gauchet, 1997; Herzfeld, 1992). Such
territorial sovereignty and peoplehood, it will be motivated practices are forms of group worship and they crystallize in
to generate, exacerbate, and institutionalize differences patterns of national belonging when citizen and state
with neighbors or neighboring states. Anthropologists are narratives are brought into harmony. The struggle between the
most focused on the effects of these conflicts and wars great world religions and the state to occupy and shape the
on the organization of populations and communities symbolic forms of everyday life has not quieted, however.
(Tambiah, 1992). Secular narratives organizing life and death have proven
Also, the collapse of the Cold War’s bipolar state system has incapable of replacing the power of myth and religious
resulted in the relatively unrestricted proliferation of arms, much authority in accounting for the inexplicable or creating
of it driven by state-supported arms industries, and in a market experiences of transcendence. Nonetheless, there has been
for new and affordable technologies of death outside the control a dispersion of the power over the control of religious
of states. Where the sources and agents of violence outside state expression, with religions also constantly subject to internal
control are increasing – a wide-ranging phenomena found, for reform movements and no longer holding monopolies over
example, in Colombia due to drug trafficking, in Sri Lanka local populations, and the state is one of many benefactors
and much of Africa due to civil war, and in the United States from this process.
or Mexico due to poverty and class conflict – people employ In the last quarter of the twentieth century in most places
private police forces and militias. States are also located of what is known as the First World, entertainment –
ambiguously to many occasions of collective violence, such as especially involving sport and music – has emerged as
genocide, at times instigating, at other times complicitous with the field dominating both the management of experiences
local groups, and at others offering remedies (Ghassem- of transcendence and of people’s affective attachments
Fachandi, 2012). and identifications. State rituals – especially electoral
Alternatively, many states now lend their militaries for campaigns, legislative debates, memorialization and mourning
‘peace-keeping’ efforts in other countries organized by the ceremonies, and political speeches – have, therefore,
United Nations, and still others, such as states within the increasingly incorporated models and techniques of authority
European Union, are relinquishing military sovereignty to drawn from entertainment. This leads to a fusion of actors
continental or transcontinental military alliances. There is (‘personalities’) in the two fields and an incorporation of magic
also a growing body of legal doctrine – and an International and infusion of ‘charisma’ in the rationalized arena of state
Criminal Court established in 1999 in the Hague – that activity.
attempts to hold states accountable to their own norms and With the end of the Cold War, First World states increasingly
to international covenants and agreements on issues such as structured their relations to new and Third World states by
human rights, environmental and maritime law, and promoting NGOs. Acting in a negative symbiosis with the state,
commercial law. The state’s sovereignty and legitimacy, such NGOs also incorporate magic into their missionary projects
then, is not granted as natural but conferred by its citizens of rational reform and economic and political development. In
and by the recognition of other states and new international much of the world, they have become strong competitors to
regimes. organized religion and to the state in providing care (welfare), in
Anthropologists now supplement the long history of linking development projects, and promoting both local and global
the state to realization of the Idea of the people (Hegel), repre- accountability in the exercise of power. Often, however, they
sentation of the social (Durkheim), technical and bureaucratic serve primarily as instruments for the transfer of wealth or power
rationality (Weber), or exploitation and class dominance between supranational elites.
(Marx), with an acknowledgment that most states still resort to Notwithstanding liberal mistrust of the modern state, reaf-
magical practices and cultivate religiosity in order to legitimate firmed by the horrors of totalitarian experiments, the nation-
rule (Taussig, 1997). State policies and edicts administered state form still provides the possibility for local control of
through ‘law’ often work through processes similar to magic: people’s own destinies in a manner impossible for
belief in the power of the utterance of the speaker, the prenational communities. Stateless people are indeed the
performativity of speech, the linguistic rearticulation of group most defenseless actors in the contemporary world. Hence,
suffering and instrumentalization of memory, nationalistic despite the wars, violent revolutions, and massive repressions
narrativization of macro-political events, and ad hoc of the nation-state, as the sociologist Lepsius (1988) argues,
rationalization of failures and successes. Even in the domain this form of polity has offered particular advantages to West
of criminal law in what are considered the most rational of European societies, including the institutionalization of
states – Germany or Sweden, for example – most crimes are peaceful conflict-solving through the rule of law, guarantees
never solved and most criminals go free. Yet, criminal law of individual freedom, the organization of interests through
there still ‘works’ – that is, contributes to the legitimation of parliamentary democracies, and the integration of national
the state – largely through belief in the principles of justice economic development in the world economy. In each of
that judicial inquiries, prosecutions, and trials efficaciously these measures, authoritarian and totalitarian states elsewhere
represent. have been at a permanent disadvantage, incapable of
Likewise with respect to religion, states most successful in recognizing the subjects they seek to control for whom they
establishing a secular authority over local or world religions are are and unable to organize power, except through coercion.
those that recognize the significance of religiosity and incorpo- Such states destroy sociality and build false representations of
rate religious traditions and symbolic forms into the secular the people, thereby creating a basis for the illusion of society
rituals of political parties, elections, bureaucratic routines, and against state.
352 State: Anthropological Aspects

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