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Attribution and Citation

This chapter discusses the importance of properly attributing and citing the work of others in academic writing. It addresses the differences between acknowledgment, attribution, and citation, with citation and referencing giving readers the information needed to find the original source. The chapter emphasizes giving credit wherever due and avoiding plagiarism. It describes the main functions of citation as verification of claims, acknowledging others' work, and documenting the historical progress of a field. Finally, it discusses potential issues like spurious, biased, and inappropriate self-citations.

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0% found this document useful (0 votes)
117 views14 pages

Attribution and Citation

This chapter discusses the importance of properly attributing and citing the work of others in academic writing. It addresses the differences between acknowledgment, attribution, and citation, with citation and referencing giving readers the information needed to find the original source. The chapter emphasizes giving credit wherever due and avoiding plagiarism. It describes the main functions of citation as verification of claims, acknowledging others' work, and documenting the historical progress of a field. Finally, it discusses potential issues like spurious, biased, and inappropriate self-citations.

Uploaded by

Keerti Sh
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Chapter 3

Attributions and Citations: Giving Credit


Wherever Due

In this chapter, we highlight the importance of expanding attributions and acknowl-


edgments to roles and responsibilities beyond primary authors of journal articles or
principal investigators of grant proposal documents. This would be applicable espe-
cially to scientific research projects that involved diverse skill sets and expertise.
Academic writing, by definition, must follow certain rules and conventions.
Among the most important of these are the rules and conventions about citing, ref-
erencing, attributing, and acknowledging the works of others. That means giving
proper credit wherever due. Citing is the practice of quoting from, referring to other
authors’ works and ideas in the text of our work in such a way that the context is clear
to the reader. Referencing is the listing of the full publication details of a published
work that is cited so as to give background information to the readers.
Acknowledgment in research publications indicates contributions to scientific
work. However, acknowledgment, attributions, and citations differ in the manner of
their application. Acknowledgment is arguably more personal, singular, and simply
an expression of appreciations and contribution. In this chapter, we address these
issues in detail apart from the legal challenges when attributions and citations are
not adequately done.

3.1 Citations: Functions and Attributes

Citations (references) credit others for their work, while allowing the readers to trace
the source publication if needed. Any portion of someone else’s work or ideas in
papers, patents, or presentations must be used in any new document only by clearly
citing the source. This applies to all forms of written sources in the form of texts,
images, sounds, etc. and failure to do may be considered plagiarism which will be
described in detail in subsequent chapters of this book. One should avoid distress
and embarrassment by learning exactly what to cite. Depending on the exact type
© Springer Nature Singapore Pte Ltd. 2019 23
D. Deb et al., Engineering Research Methodology, Intelligent Systems
Reference Library 153, https://doi.org/10.1007/978-981-13-2947-0_3
24 3 Attributions and Citations: Giving Credit Wherever Due

of material, the researcher may need to give due credit to the creator of the original
source.
The growth of knowledge in any field of study, especially in technological fields,
is primarily incremental and a researcher invariably and naturally builds upon prior
information. There are well-established means of preventing and spreading knowl-
edge through publication of patents, papers (conference paper and the peer-reviewed
journal paper), or articles, and also through textbooks and classrooms. While it is
true that a research needs to leverage the prior art in the area of research interest so
as to make further development, at the same time it is important to ensure that credit
for that existing knowledge is suitably acknowledged.
When a bibliography of previously published patents or papers is placed in the
new works of a researcher, a connection is established between the new and previous
work. As per relevance to context, the researcher provides due credit through the
use of a citation. Citations help the readers to verify the quality and importance of
the new work and justification of the findings. It is a way to tell readers that certain
material in the researcher’s present work has come from another source and as an
ethical responsibility, appropriate credit has been given to the original author or
writer. Materials that can be cited include journal papers, conference proceeding,
books, theses, newspaper articles, websites, or other online resources and personal
communication. Preferably, citations should be given at the end of a sentence or the
end of a paragraph as can be seen even in this particular paragraph. Citation must
contain enough details so that readers can easily find the referenced material [1].1
A researcher needs to cite each source twice: (i) in-text citation, in the text of the
article exactly where the source is quoted or paraphrased, and (ii) a second time in
the references, typically at the end of the chapter or a book or at the end of a research
article. Most citation styles have the same or similar elements, but differ on the order
of elements and layout. Unless otherwise specifically required by a particular journal
or a book, one may choose any style of one’s choice as long as one is consistent.
The citation elements differ and so what is to be recorded can differ from one source
to another. It is also important to mention the date the source was published and
sometimes also the particular date it was accessed by the researcher if it is related to
web content.
LaTeX, a document preparation system often used by engineering researchers to
automatically format documents that comply with standard formatting needs, is very
effective to track and update citations. LaTeX has a steep learning curve and will
be repeatedly used in this book to address different issues pertaining to technical
writing which is intimately linked with research for engineers.
There are three main functions of citation:

(i) Verification function: Authors have a scope for finding intentional or uninten-
tional distortion of research or misleading statements. Citation offers the readers

1 Forinstance, the fact that citations should supply enough details for readers to find the referenced
material is not an original proposition of the author of this book. Therefore, a suitable source such
as the reference in [1] has been cited with all available publication details.
3.1 Citations: Functions and Attributes 25

a chance to ascertain if the original source is justified or not, and if that assertion
is properly described in the present work [2].
(ii) Acknowledgment function: Researchers primarily receive credit for their work
through citations. Citations play crucial role in promotion of individual
researchers and their continued employment. Many reputed organizations and
institutes provide research funding based on the reputations of the researchers.
Citations help all researchers to enhance their reputation and provide detailed
background of the research work.
(iii) Documentation function: Citations are also used to document scientific concepts
and historical progress of any particular technology over the years [3].
Citations are the currency that authors would wish to accumulate and the techni-
cal community gives them credit for these contributions. When other authors make
citations, they honor those who initiated the ideas. Authors demonstrate their com-
prehension skills by identifying, estimating, and incorporating other’s research work
and then create and express their own ideas precisely while acknowledging ownership
of ideas through citation [4].
Authors should cite sources to indicate significance of the work to the reader. Rel-
evant citations help authors develop an easily understandable argument and prevent
the need to navigate through work irrelevant to the reader’s interest areas. Failure to
cite appropriately infringes on the rights of the researcher who did the original work.
There are certain cases when references do not fulfill the actual goal of citations
and acknowledgments, and thus do not benefit the reader.
1. Spurious citations: In certain cases, when citation is not required or an appro-
priate one is not found, if the author nevertheless goes ahead with including one
anyways, it would be considered as a spurious citation. These sorts of citations
do not add any value to the reader in terms of properly understanding the paper.
Such actions result in loss of time of the reader or reviewer in looking for the
cited paper that is otherwise not relevant. Just as due credit should be given to
a paper through citation, inappropriate credit must be avoided so that the credi-
bility of a research work or of the journal or conference proceedings where that
paper is published is not lost through this sort of carelessness [1].
2. Biased citations: When authors cite the work of their friends or colleagues despite
there being no significant connection between the two works, or when they do
not cite work of genuine significance because they do not wish to give credit in
the form of citation to certain individuals, then such actions can be classified as
biased citations. Neglect of citations to prior work whose conclusions or data
contradict the current work is also biased.
3. Self-citations: There is nothing wrong in citing one’s prior work if the citation
is really relevant. Self-citation of prior papers is natural because the latest paper
is often a part of a larger research project which is ongoing. Sometimes, it is
also advantageous for the reader because citations of all the related works of the
same author are given in one paper and this may reduce the effort of the reader in
trying to find the full versions of those papers. However, it is helpful and ethical
only if all the papers are really relevant to the present work [5].
26 3 Attributions and Citations: Giving Credit Wherever Due

However, there can also be negative impact on the journal as well as individual
researchers due to inappropriate and irrelevant self-citations. Self-citations in
such cases may be either spurious or biased or even both. Editors of journals
who ignore such types of citations and allow by negligence or otherwise, to be
included in published materials end up directly or indirectly altering the impact
factor of those publications [6].
4. Coercive citations: Despite shortcomings, impact factors remain a primary
method of quantification of research, as described later in detail in Chap. 10.
One side effect is that it creates an incentive for editors to indulge in coercion
to add citations to the editor’s journal. Even if not explicitly stated, the implied
message is that the author could either add citations or risk rejection [7]. Such
demands consequently diminish the reputation of the journal.

From the above discussions, it is clear that the author(s) must maintain a balance
between too few and too many citations. At the same time, author(s) must give credit
whenever due even if it is their own work.

3.2 Impact of Title and Keywords on Citations

The citation rate of any research paper depends on various factors including signifi-
cance and availability of the journal, publication types, research area, and importance
of the published research work. Other factors like length of the title, type of the title,
and selected keywords also impact the citation count [8].
Title is the most important attribute of any research paper. It is the main indication
of the research area or subject and is used by researcher as a source of information
during literature survey. Title plays important role in marketing and makes research
papers traceable. A good title is informative, represents a paper effectively to readers,
and gains their attention. Some titles are informative but do not capture attention of
readers, some titles are attractive but not informative or related to the readers’ research
area [9]. The download count and citation of a research paper might be influenced
by title. There are three different aspects which provide a particular behavior to the
title: (i) types of the title, (ii) length of the title, and (iii) presence of specific markers
[10].
Stremersch et al. [11] analyzed title characteristics of the papers published during
1990–2002 in the area of research and studied relationship between title character-
istics and citation, which concluded that title length positively affects the number of
citations. In another study, Sagi and Yechiam [12] found that highly amusing titles
have fewer citations and pleasant titles have no significant relation with citations. In
yet another study, Jacques and Sebire [8] analyzed different papers’ titles and their
citations hit for 25 most-cited and 25 least-cited research and review papers of a
particular genre of journals, and found a strong association between title lengths and
citation rates, with highly cited articles having more than twice as many words in the
title compared with lower cited papers. Jamali and Nikzad [13] analyzed several open
3.2 Impact of Title and Keywords on Citations 27

access papers and found that articles with question-type titles are downloaded more
but poorly cited compared to the descriptive or declarative titles. Declarative titles
are downloaded and cited less than descriptive titles but difference is not much [13].
As per analysis of Habibzadeh and Yadollahie [14], longer titles are strongly associ-
ated with higher citation rates. Longer titles mainly include the study methodology
and/or results in more detail, and so attracts more attention and citations [14].
In general, titles containing a question mark, colon, and reference to a specific
geographical region are associated with lower citation rates, also result-describing
titles usually get citations than method-describing titles. Additionally, review articles
and original articles usually receive more citations than short communication articles.
At least two keywords in the title can increase the chance of finding and reading the
article as well as get more citations.
Keywords represent essential information as well as main content of the article,
which are relevant to the area of research. Search engines, journal, digital libraries,
and indexing services use keywords for categorization of the research topic and to
direct the work to the relevant audience. Keywords are important to ensure that readers
are aware about research articles and their content [15]. If maximum number of
allowable keywords are used, then the chance of the article being found increases and
so does the probability of citation count of the article. Usage of new keywords should
be minimal as such keywords may not be well known to the research community and
so may lead to low visibility of the article.

3.3 Knowledge Flow Through Citation

Knowledge flows through verbal communications, books, documents, video, audio,


and images, which plays a powerful role in research community in promoting the
formulation of new knowledge. In engineering research, knowledge flow is primarily
in the form of books, thesis, articles, patents, and reports. Citing a source is important
for transmission of knowledge from previous work to an innovation [16]. Produc-
tion of knowledge can be related to the citation network. Knowledge flow happens
between co-authors during research collaboration, among other researchers through
their paper citation network, and also between institutions, departments, research
fields or topics, and elements of research [17]. Figure 3.1 shows the relationship
between citations, knowledge flow, and elements such as researchers, papers, jour-
nal publications or conferences, and institutions. If paper A is cited by paper B, then
knowledge flows through citation networks across institutions.
The complex interdisciplinary nature of research encourages scholars to cooperate
with each other to grab more advantages through collaboration, thereby improving
quality of the research. Sooryamoorthy [18] examined the citation impact of the South
African publications among different collaboration types, discipline and sectors, and
observed that co-authored publications had more citations than single author paper
and there was a positive co-relation between number of authors and the number of
citations [18]. Figure 3.2 shows a relationship between co-authorship and different
28 3 Attributions and Citations: Giving Credit Wherever Due

Fig. 3.1 Citation-based knowledge flow [17]

types of citations. Three articles (X, Y, and Z) and five references (X1, X2, X3, Y1,
and Y2) of article X and Y, respectively, are considered. A, B, and C are authors
of article X, and D, E, F, G, and also A are authors of article Y. Article Z has two
authors H and E. References X1, X2, X3, Y1, and Y2 have authors (A, P), (H, R),
(D), (Q, B, F), and (R), respectively.
Based on co-authorship citation network, references X1 and Y1 are considered
self-citation, reference X3 is a level-1 co-author citation because author of article Y is
direct collaborator of author A, reference X2 is a level-1 co-author network because
author A is collaborator of E who collaborated with H. We conclude that papers
which frequently cite collaborators will also often cite collaborators of collaborators.
Collaborations certainly impact citation counts.

3.3.1 Citing Datasets

The nature of engineering research has evolved rapidly and now relies heavily on
data to justify claims and provide experimental evidences [20] and so data citations
must fetch proper credit to the creator of the dataset as citations of other objects
like research articles. Data citations should have provisions to give credit and legal
3.3 Knowledge Flow Through Citation 29

Fig. 3.2 Co-authorship network [19]

attribution to all contributors, enable identification and access, while recognizing


that a specific style may not apply to all data [21].
Ascertaining the ownership of data can be a complicated issue especially with
large datasets, and issues of funding can also make it a difficult matter. A researcher
should obtain necessary permission for using data from a particular source. Citations
related to datasets should include enough information so that a reader could find
the same dataset again in the future, even if the link provided no longer works. It is
proper to include a mixture of general and specific information to enable a reader to
be certain that the search result is the same dataset that was sought.
30 3 Attributions and Citations: Giving Credit Wherever Due

Examples:
1. Historical Data, Sotavento (Wind Farm), Corunna, Spain (July 2016): [Accessed:
4 Oct, 2016] Retrieved from http://www.sotaventogalicia.com/en/real-time-data/
historical
2. Deb, D (2016). [Personnel survey]. Unpublished raw data.

3.3.2 Styles for Citations

Citation styles differ primarily in the order, and syntax of information about refer-
ences, depending on difference in priorities attributed to concision, readability, dates,
authors, and publications. Some of the most common styles for citation (as well as
other aspects of technical writing) used by engineers are as follows:
1. ASCE style (American Society of Civil Engineers)2
(a) Reference list: This part is to be placed in the bibliography or references
at the end of the article or report. A template with example for the same is
given below:

Template for books:


Author Surname, Author Initial. (Year Published). Title. Publisher, City,
Pages Used.

Example:
Wearstler, K., and Bogart, J. (2004). Modern glamour. Regan Books, NY.

Template for websites:


Author Credentials / Company Name (Year Published). ‘Title’. http://Website
URL (Oct. 10, 2013).

Example:
Blade cleaning services (2015): http://www.bladecleaning.com/problematica
(29 Oct, 2016).

Template for journal publications:


Author Surname, Author Initial. (Year Published). ‘Title’. Publication Title,
Volume number(Issue number), Pages Used.

Example:
Johnston, L. (2014). “How an Inconvenient Truth Expanded The Climate
Change Dialogue abd Reignited An Ethical Purpose in The United States”.
1–160.

2 http://library.canterbury.ac.nz/services/ref/asce.shtml.
3.3 Knowledge Flow Through Citation 31

(b) In-text citation for journals or books: The following part is to be placed right
after the reference to the source of the citation assignment:

Template
(Author Surname/Website URL Year Published)

Examples:
i. Citation is a very important part of technical writing. (Deb 2016)
ii. Engineers create devices to monitor mountains so that nearby inhab-
itants can be warned of impending eruptions. (Teachengineering.org
2014)

2. IEEE style (Institute of Electrical and Electronics Engineers)3 IEEE style is


standard for all IEEE journals and magazines, and is frequently used for papers
and articles in the fields of electrical engineering and computer science. The
IEEE style requires endnotes and that references be cited numerically in the
text.
Those submitting to an IEEE publication should see guidelines for the specific
journal or magazine and may also refer to the complete IEEE editorial style
manual. Some examples of IEEE styles of citations for different types of sources
are enumerated below:
Chapter in an edited book
[1] A. Rezi and M. Allam, “Techniques in array processing by means of transformations,”
in Control and Dynamic Systems, Vol. 69, Multidimensional Systems, C. T. Leondes,
Ed. San Diego: Academic Press, 1995, pp. 133–180.

3. ASME style (The Association of Mechanical Engineers)4

3.4 Acknowledgments and Attributions

Acknowledgment section is a place to provide a brief appreciation of the contribution


of someone or an organization or funding body to the present work. If no particular
guideline is available for the intended publication, then it can be introduced at the
end of the text or as a footnote. Acknowledgment is a common practice to recognize
persons or agencies for being responsible in some form or other for completion of
a publishable research outcome. Acknowledgment displays a relationship among
people, agencies, institutions, and research. In some case, certain individuals may
help in the research work but may not deserve to be included as authors. As a sign
of gratitude, such contributions should be acknowledged. Classification of acknowl-
edgment into six different categories like moral, financial, editorial, institutional or
technical, and conceptual support.

3 http://www.ieee.org/documents/style_manual.pdf.
4 https://www.asme.org/shop/proceedings/conference-publications/references.
32 3 Attributions and Citations: Giving Credit Wherever Due

Acknowledgments and attributions are also very important in the publications of


journal or conference papers. Giving proper credit wherever it is due is very impor-
tant and even if the contribution is minor, it should not be neglected. A researcher
should always recognize the proprietary interest of others. Whenever possible, author
shall give name of persons who may be responsible, even if nominally, for designs,
inventions, writings, or other accomplishments. Given the importance of work pub-
lished, authorship is also important. The reward triangle theory shows a relationship
between citations, acknowledgment, and authorship.
In engineering research, acknowledgments are meant for participating techni-
cians, students, funding agency, grant number, institution, or anyone who provide
scientific inputs, shared unpublished results, provided equipment, or participated in
discussions.

3.4.1 What Should Be Acknowledged?

Every author should know that what should/should not be acknowledged. Author
should acknowledge quotation, ideas, facts, paraphrasing, funding organization, oral
discussion or support, laboratory, and computer work.
(i) Quotation: In technical writing such as in the field of engineering, quotes are
used very rarely. Quotations are of two types:
(a) Direct quotations are used when author use actual words or sentences in the
same order as the original one. Author should use quotation marks for the
words or sentences with proper acknowledgment.
(b) Indirect quotation summarizes or paraphrases the actual quote. In such cases,
it is important to acknowledge with proper name and date.
(ii) Authors should acknowledge people who give appropriate contribution in their
research work. Non-research work contributions are not generally acknowl-
edged in a scientific paper but it may be in a thesis. Persons must be acknowl-
edged by authors, who gave a scientific or technical guidance, take part in
some discussions, or shared information to author. Authors should acknowl-
edge assistants, students, or technicians, who helped experimentally and theo-
retically during the research work.
(iii) If the researcher received grant from a funding agency and if those funds were
used in the work reported in the publication, then such support should always
be acknowledged by providing full details of the funding program and grant
number in the acknowledgment section.
The authors should also gratefully acknowledge use of the services and facilities
of any center or organization with which they are not formally affiliated to [22].
An example of acknowledgment of grant received is as follows:
3.4 Acknowledgments and Attributions 33

Acknowledgments:
This research work was funded in part by the Extra Mural Research Fund-
ing 2014–17 (Individual Centric) of the Department of Science and Tech-
nology (DST), Govt. of India.

If there are any concerns that the provision of the information provided in
acknowledgment may compromise the anonymity dependent on the peer review
policy of a particular journal or conference proceedings, the author(s) may
withhold the acknowledgment information until the submission of the final
accepted manuscript. Many technical journals explicitly discourage authors to
thank the reviewers in their article submissions. This could be construed as
favoritism or an attempt to encourage reviewers to accept their manuscript for
reasons other than scientific merit.
(iv) Acknowledging that results have been presented elsewhere: If the results were
presented as an abstract in a journal, then there should be a suitable citation.
If the results were presented as part of scientific meeting, symposium, or other
gathering, then some relevant information should be provided. At the very least,
the name of the gathering and year should be cited. Other helpful items include
the location of the gathering (city and state or country) and the full date of the
occasion.
By acknowledging all help received in one’s research work, the author(s) demon-
strate integrity as a researcher, which in turn encourages continued collaboration from
those who helped out in different ways. One may also appropriately bolster one’s
colleagues’ careers, as being credited in an acknowledgment section is emerging as
one of many ways a researcher’s professional impact is evaluated.
Acknowledgment is no longer simply a means of expressing gratitude. Funding
agencies these days often require that their grant be acknowledged and explicitly state
the exact information to be provided if the research work leads to a publication. The
grantee is responsible for assuring that an acknowledgment of support is made in any
publication (including websites) of any direct or indirect outcomes from the funded
project. The format of required information is often explicitly stated in the terms and
conditions of grants provided. Acknowledgments are also appropriate in technical
presentations. Failure to acknowledge funding may result in the discontinuation of
current funding and/or ineligibility to receive future funding for a certain number of
years or indefinitely.
Unless the information can be considered “common knowledge,”5 proper attri-
bution of an idea, algorithm, computational methodology, or experimental design is
required even if a journal operates with double-blind review.6

5 Definedby the Oxford Dictionaries as “something known by most people.”


6 Bothreviewer and author identities are concealed from the reviewers, and vice versa, during the
review process.
34 3 Attributions and Citations: Giving Credit Wherever Due

3.4.2 Acknowledgments in Books/Dissertations

A page of acknowledgments is usually included at the beginning of a thesis/


dissertation immediately following the table of contents. These acknowledgments
are longer than the one or two sentence statements in journal papers or articles in
conference proceedings. These detailed acknowledgments enable the researcher to
thank all those who have contributed in completion of the research work. Careful
thought needs to be given concerning those whose inputs are to be acknowledged
and in what order. Generally, one should express appreciation in a concise manner
and avoid emotive language. The following are often acknowledged in these types of
acknowledgments: main supervisor, second supervisor, peers in the lab, other aca-
demic staff in the department, technical or support staff in the department, colleagues
from other departments, other institutions, or organizations, former students, family,
and friends.

Sample Acknowledgement in Thesis:


I wish to express my sincere appreciation to my supervisor Prof. Gang Tao
for the useful comments, remarks and encouragement throughout this the-
sis work. Furthermore, I wish to express my thanks to Prof. Jacob Hammer
for introducing me to the topic and for the support along the way. Also, I
like to thank my peers in the Adaptive Control Lab such as Yu Liu and Shan-
shan Li, who have shared their precious time during many lively technical
discussions. I would like to thank my family members who have supported
me throughout this journey in many different ways.

3.4.3 Dedication or Acknowledgments?

Dedication is almost never used in a journal paper, an article in a conference pro-


ceedings, or a patent, and it is used exclusively in larger documents like books,
thesis, or dissertations. While acknowledgments are reserved for those who helped
out with the book in some way or another (editing, moral support, etc), a dedication
is to whomever the author would like it to be dedicated to, whether it is the author’s
mother, the best friend, the pet dog, or Almighty God. And yes, it is possible to ded-
icate something to someone while also mentioning them in the acknowledgments.
For example, one may dedicate a book to one’s spouse, but acknowledge them for
being the moral support and putting up with when one got very stressed.
The acknowledgments in technical books can be sometimes as brief as the ones in
journal articles. The acknowledgment section of a technical report may be a paragraph
that is longer than a journal paper but shorter than dissertations. Generally, the length
of the acknowledgment may have some correlation with the length of the document.
3.4 Acknowledgments and Attributions 35

Summary
Citation is a specific form of attribution, but attribution itself can be done in many dif-
ferent ways. For engineers, citation is very useful to their careers due to the prevailing
publish or perish environment. Proper citation and reference:
• Gives credit and respect to the original author(s).
• Allows readers to find the original source(s).
• Strengthens the credibility of your report. If a researcher does not cite the sources,
it is plagiarism.
Plagiarism is using another person’s ideas without giving credit or citation and
is an intellectual theft. Plagiarism comes in varying degrees, and there are serious
consequences for a researcher if caught plagiarizing. All academic and industrial
research organizations have integrity and misconduct policies. Even past one’s time at
a research organization, evidence of plagiarism can affect the integrity and credibility
and can also retrospectively make an earned degree null and void.

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