Early Resolution and Advocacy Strategies in the Immigration Appeal Division By Peter Wong QC, Caron and Partners LLP This paper is written for the Canadian Bar Association National Citizenship and Law Conference to be held in Halifax on May 15th, 2010 for the panel discussion on the topic of IAD early resolution (ADR) and advocacy strategies for ADR. The subject of ADR and ADR advocacy strategy is broad as it covers a number of different types of ADR processes that have evolved out of the Rules of the IAD and various projects and initiatives that the IAD has implemented over the past few years. Actual practice of these types of ADR processes has evolved very quickly as counsel who practice frequently in the IAD have seized upon these processes and developed excellent advocacy practices to help Appellants to achieve their goal of a successful resolution of their appeal more quickly, or alternatively to identify those cases which ought to be abandoned. In this paper I will cover a general overview of different types of ADR processes, and discuss different types of strategies that have been applied for different types of IAD cases, including marriage, medical inadmissibility, financial sponsorship, and criminality appeals. Finally I would like to conclude the paper with some of my own thoughts concerning best strategies for advocates, and ideas to improve these constantly evolving area of law. Firstly, I believe that ADR is a very positive approach to dispute resolution in the IAD for a number of reasons: 1. The resolution of an appeal matter at the earliest possible time reduces the stress, anxiety and unhappiness of appellants and immigration applicants. This is particularly the case where backlogs have grown significantly due to a shortage of appointments of IAD members, and general increase in the number of appeals. 2. The ADR process propels the disclosure of relevant documents by appellants, which also assists counsel in identifying issues at an early stage in the appeal process. 3. Appellants are given an opportunity to discuss the issues of the appeal in a less formal setting, and even if the case is not resolved counsel has the opportunity to learn about the character of their clients and how they will perform under oath in a full hearing. 4. The Minister’s position is often identified in an ADR through their questioning and reasons given for final decision to advance the matter to a full hearing. 5. The Dispute Resolution Officer can provide both the Minister and appellant’s counsel with a different perspective of the case that can help shape the resolution to the case. 6. Ministers Representative and Appellants Counsel can gain a better insight into each other’s views concerning the particular case and overall thinking in terms of similar types of cases (ie. When will Minister’s counsel generally consent to a stay of deportation in a criminality case). Full exchanges of each other’s thinking are less likely in the adversarial proceeding of a full hearing. 1 The only downsides that I can think of to an ADR are: 1. As a wasted opportunity to resolve the matter at an early stage if counsel and their clients come unprepared. Clients who are taken by surprise as to the issues and questions that are asked of them, quickly become disillusioned with their counsel and engage new ones. 2. Appellants can become disheartened and abandon a hearing well before they should if their expectations of an early resolution are too high. 3. It can devolve into a fishing expedition for Minister’s counsel, with little if any prospect for real resolution, just a gathering of ammunition for a future hearing. Legal Basis for ADR The IAD Rules make provision for the Alternative Dispute Resolution Process. Rule 20 of the IAD Rules state as follows: Participation in the alternative dispute resolution process 20. (1) The Division may require the parties to participate in an alternative dispute resolution process in order to encourage the parties to resolve an appeal without a hearing. Dispute resolution officer (2) The Division must assign a member of the Division or any other person to act as a dispute resolution officer for an appeal that uses the alternative dispute resolution process. A member who acts as a dispute resolution officer for an appeal must not hear that appeal. Obligations of parties and counsel (3) The parties and their counsel must (a) participate in the alternative dispute resolution process in good faith; (b) follow the directions given by the Division with respect to the process, including the manner of participation; (c) disclose to each other and the Division any document to be relied on in the process, and any document that the Division requires to be prepared or disclosed; and (d) be prepared as a party, or have authority as counsel, to resolve the appeal. Confidentiality (4) Any information, statement or document that any person gives in an alternative dispute resolution process is confidential. It must not be disclosed later in the appeal or made public unless (a) it was obtained in a way that was not part of the alternative dispute resolution process; (b) it relates to an offence under the Act, or a breach of these Rules; or (c) the person who gave the information, statement or document agrees to its disclosure. Agreement (5) An agreement to resolve an appeal that is reached through the alternative dispute resolution process must be in writing, signed by the parties or their counsel and approved by the Division. An agreement to resolve an appeal is not confidential under subrule (4). Several elements of Rule 20 are worthy of commentary as it sets out the basis for the practice that has evolved. Firstly, I note that the IAD has the power to compel parties to participate, in that the rule 2 states clearly: “The Division may require the parties to participate in an alternative dispute resolution process in order to encourage the parties to resolve an appeal without a hearing. “ Generally the IAD screens cases after production of the Minister’s Record either on its own initiative or at the request of counsel and if it deems appropriate provides both parties with an ADR notice confirming that it is an appropriate case for the ADR process to be engaged. Although it appears mandatory for participation in the process either party can easily opt out of the process by providing a letter to the IAD stating that they wish to do so. In the case of the Minister’s Representative opting out, it is highly unlikely that compelling the Minister to attend would have any beneficial effect on the case, and may in fact engage the negative factors that I have referred to above, so in my view, opting out should be respected by the opposing party. Secondly, the formal process of ADR involves a Dispute Resolution Officer. (“DRO”) Currently in the Western Region this person is a tribunal officer, who is not a board member of the IAD . It cannot be the person who ultimately hears the case, as that would breach the confidentiality of the ADR and also fetters the process as Appellants may feel constrained from speaking freely if they know that their words can prejudice the ultimate decision maker in a later proceeding. The current role of the DRO is the following: 1. To explain the nature of the ADR to the Appellant, including the procedures, its confidential nature, the possible outcomes and answer any questions that the Appellant or other participants may have. 2. To caucus with any of the parties involved to provide their views of ADR. 3. To help clarify or raise questions that are supplemental to the Minister’s Representatives questions. 4. To share their own views of the evidence with the Ministers Representative and to hear the Ministers Representatives views in an effort to determine whether there is a basis on which to settle the case without the need to go to a full hearing. Thirdly the obligations of the parties and counsel are set out in Rule 20(3) which requires participation in good faith. The good faith requirement is essential to the process as both Ministers Counsel and Appellants Counsel can subvert the effectiveness of an ADR by coming to the ADR with rigid views of the likely outcome and simply elicit information that would reinforce this view. For example, if Ministers Counsel has decided that the credibility of the Appellant is at serious issue before the ADR, then simply using the ADR as a forum to aggressively cross-examine the Appellant, for the sole purpose of gaining ammunition for the later hearing, would not, in my view be participation in good faith. On the other hand, if during the course of non-adversarial questioning, it appears that the Appellant lacks credibility, that would always be a ground that the Ministers Representative could cite as a reason why the matter should proceed to a full hearing. Needless to say Appellants counsel would not be approaching the ADR in good faith if they were coaching specific answers that were misleading or disingenuous, solely with a view to “winning”. Fourthly, the requirement to disclose all documents prior to the ADR, is helpful in avoiding surprises in the process until the eve of a hearing itself. The normal practice before an ADR is to 3 allow documents to be disclosed 10 days prior to the ADR, which is a shorter timeframe then the 20 days provided by Rule 30(3). Although ADRs allow for confidentiality and return of the documents if the ADR is unresolved, I find it difficult to imagine a document in an ADR which would not be useful as a disclosure in a full proceeding. It is simply more practical to prepare the full disclosure of documents that would be used at the full hearing prior to the ADR, and if the ADR does not resolve the case, then confirm that those documents would be the same disclosure that would be used at the full hearing of the matter. Early Resolution of Cases by Paper Hearings Paper hearings are a process by which the IAD requests that parties provide written submissions on a particular point, often jurisdictional or legal in nature, which would be dispositive of the hearing. Authority for this type of proceeding can be found in Rule 25 of the IAD Rules: Proceeding in writing 25. (1) Instead of holding a hearing, the Division may require the parties to proceed in writing if this would not be unfair to any party and there is no need for the oral testimony of a witness. Exception (2) Subsection (1) does not apply to an appeal against a decision made outside Canada on the residency obligation. Examples of types of cases streamed in paper hearings include: 1. Removal order cases where pursuant to section s.64 of IRPA there is no jurisdiction to hold an appeal due to grounds of security, violating human or international rights, serious criminality or organized criminality. Serious criminality is further defined as a crime that was punished in Canada by a term of imprisonment of at least two years. A typical example of a case that would be streamed into a paper hearing is a term of imprisonment may have been two years or more but the Appellant who is fighting to retain permanent residence files an appeal. There are situations where it is unclear where there is a right of appeal, where the sentence imposed for a criminal conviction may be a combination of sentences of multiple charges rather than a single conviction that extends beyond two years. Therefore a paper hearing would be appropriate to determine whether the IAD had jurisdiction in the face of a permanent resident who had been convicted and sentenced to 2 or more years of imprisonment. 2. A second type of case commonly used for paper hearings where there is a sponsorship appeal filed, and the subject applicant does not fall within the membership in the family class or is not a dependent. For example, if a Sponsor files an IAD appeal pursuant to s.63(1) of IRPA for sponsorship of parents pursuant to the Family Class, a paper hearing could be requested if there is a strong indication from the record that the persons who are being appealed for are not the biological or legally adoptive parents of the Appellant. The Minister may have requested DNA evidence or received DNA evidence and with that as part 4 of the record, the Appellant may be requested to respond to the argument of why the IAD should engage its legal or equitable jurisdiction, if the applicant is not really a member of the family class at all. Paper hearings could be convened where the Appellant tries to engage the jurisdiction of the IAD in the deletion of a dependent of the person who is a member of the Family Class (ie the son or daughter of the parents), as the IAD has no jurisdiction to deal with a deletion, a paper hearing could more efficiently dispose of the matter without the need to convene a full hearing of the matter. 3. A third type of case where paper hearings may be used, where there is a specific issue of law, either Canadian or foreign, which may be determinative of jurisdiction. These are commonly issues of legal marriage or legal adoption, where given a set of facts that are disclosed on the Record of the visa office it may be clear that the Appellant or the Applicant is not legally married, or legally adopted as the case may be. Therefore a single issue of law or mixed fact and law could be raised on a preliminary basis which if cannot be successfully established by the Appellant could end the appeal without a further determination of any of the other facts or of humanitarian or compassionate factors. The IAD may not engage its equitable powers to relief from the negative decision of the visa officer if the parties are not legally married in accordance with the laws governing the jurisdiction of the marriage, and have not established a legal common law relationship. The advantage of paper hearings are significant in helping the IAD control the number of cases that really need to be disposed of at a full hearing. It is a waste of hearing time, and energy for all involved if a preliminary issue of jurisdiction trumps the entire case, and if there is no chance of overcoming the jurisdictional issue for the Appellant it would be much better for all parties concerned if the IAD would deal with the issue at the earliest possible time so that the Appellant could either attempt other solutions to their problem or simply get on with their lives. The advantage for both parties counsel is that a paper hearing helps them to focus their efforts on where it should be initially, which is to determine whether they are in the correct forum, with a case which will be heard fully on both legal and equitable grounds. For counsel unfamiliar with IAD practice a paper hearing notice which identifies the preliminary issue to be disposed of can save a lot of effort in preparing the case where there is no case. Early Informal Resolution There is no formal process for an early informal resolution before a full ADR is screened and scheduled. However, there is an opportunity for either parties counsel to work with the opposing party to identify a case which may be resolved by communication between the parties. Examples of this type of EIR process include medical inadmissibility cases, sponsorship cases that are based upon the inability of the sponsor to meet the Low Income Cutoff (also known as Minimum Necessary Income), simple criminal inadmissibility cases that have a single issue to resolve are all cases which may be resolved by communication between counsel. 5 If Appellants counsel identifies a case that might be resolved by bringing the resolvable issues to the attention of Minister’s Counsel, then a good approach would be to prepare the disclosure necessary to help resolve the case and then send over a letter identifying the issue. If these are disclosures that would be used in the proceedings in any event, and the identification of the issue would not prejudice a later hearing of the matter before the IAD in a full hearing, then copying the Registrar of the IAD in on the submission and disclosure is a reasonable practice, although there is no obligation to do so in such a EIR. For example, in the case of medical inadmissibility, Appellant’s counsel may wish to establish that the cost of the health care is not particularly onerous, or the likelihood of deterioration of the care is not significant, or there is significant efforts made by the family to deal with the cost of the health care privately without access to the public system. Whatever the argument that is being put forward, medical evidence, including experts reports, financial information, statutory declarations of support, and costing of treatment can be gathered at a very early stage and presented as disclosure with a detailed submission concerning why the case should be allowed in advance of any hearing. This approach has been used to great benefit of Appellant by counsel in the Western region of the IAD, including former Member of the Board Andrew Wlodyka who now practices as counsel for the Appellant at the IAD. As there are no formal rules of evidence or procedure in EIR, one is only limited by IAD rules as they relate to evidence and the bounds of reasonableness and ethical practice, in the disclosure of documentary evidence, expert evidence and counsels submissions that may even include a summary of the evidence that would be presented at a full hearing. Minister’s counsel can choose to accept that information as being credible or reject the submission and bring the matter to a formal ADR (an oxymoron for sure) or a full hearing. Counsel’s success in using these procedures depends in large measure on their reputation for fair conduct and critical examination of the evidence before putting it forward for EIR. Counsel who get a reputation for just putting together whatever information they can get their hands on, without examining the veracity of the evidence may find far less success in EIR than counsel who develop reputations for being fair-minded, critical of their own case, and balanced in their outlook. In EIR initiated by the IAD, one can expect that a letter would be sent by the Registrar or Tribunal Officer requesting submissions and documentation on a specific issue or set of issues screened by the Tribunal Officer as preliminary, or as dispositive of the Appeal. A timeframe of 3 weeks is generally accorded, although there is likely no difficulty in requesting additional time, particularly if expert evidence is necessary. The submissions and evidence is then sent both to the Minister’s Counsel and the IAD on a concurrent basis, and the Minister’s Counsel then has 14 days to respond, with a final reply from Appellant’s counsel in 5 days, if they choose to have the last word. IAD initiated EIR is often used in sponsor’s income appeals, and other relatively simple cases that can be resolved on documentary evidence without need to resort to full hearings. Such a process is clearly more time and cost effective. Although it does not necessarily cut down on the amount of work that counsel needs to perform to have a case resolved, it just front end loads it. 6 Alternative Dispute Resolution ADR as a more formal process is generally initiated either by the IAD through a letter by the Tribunal Officer indicating that the case has been screened and is deemed appropriate for the Alternative Dispute Resolution process. Then a second letter is issued, or counsel can phone, and a date is set for a basic 1 ½ hour hearing. ADR can also be initiated by either party by submitting a letter to the Registrar requesting an ADR and providing reasons for the request. If appellant’s counsel is initiating the ADR then there should be submissions in respect of the specific issues raised by the visa officer in the refusal, and accompanying documents that would assist in establishing the case to be made in the ADR. All documents to be used in the ADR should be provided to the opposing party and to the Registrar of the IAD 10 days before the meeting of the parties. The IAD provides specific guidance in respect of issues to address for different types of IAD cases that are commonly before the Board. For example, in respect of spousal sponsorship appeals, the Board on its website irb-cisr.gc.ca provides specific information in respect of what issues to address and what documents to provide in that type of a case: “At a hearing or an ADR Conference, you should try to show: How you met your spouse or partner and how your relationship developed; How long you have known your spouse or partner; The circumstances of your marriage or common-law/conjugal relationship, including the knowledge and involvement of your families; What you did after you got married or started your conjugal relationship, including what contact you have had with your spouse or partner; What you know about each other; What you plan for your future together; and Any other information that may help your appeal You should come prepared to deal with all of the reasons the CIC officer gave for refusing your spouse’s or partner’s application. Some of the important documents that would be useful to bring to a hearing or an ADR Conference would be evidence such as letters, telephone bills, photographs, videocassettes, airline tickets, passports, receipts for gifts or money sent by either spouse or partner, etc. If the written information or documents that you want to use were not already provided to the Immigration Appeal 7 Division or Minister’s counsel, then you must provide it no later than 10 days before that ADR Conference.” (irb-cisr.gc.ca/eng/tribunal/iadsai/adrmar/Pages/guide_mariage_add.aspx) At the ADR the basic process is for the Dispute Resolution Officer to outline the basic format the meeting will take. This will include an explanation of the role of each of the parties, the confidential nature of the proceeding (that the statements cannot be used in the later proceedings), the ability of the parties to caucus, who the decision maker will be (Minister’s counsel), the potential outcome of the proceedings, the informality of the proceedings. After these explanations, the Minister’s counsel will generally take the role of questioning the Appellant concerning the issues that they feel are relevant to resolving the case at this stage in the proceedings. Counsel for the Appellant generally takes a less pro-active role in existing ADR meetings in the Western Region, as the practice is for Minister’s Counsel generally to take a free reign as both questioner and decision maker. Although it is important for Appellant’s counsel to be ready for the proceeding, as with any other aspect of advocacy, it is critical for the Appellant to be ready to engage in an open, honest, wide ranging discussion with Minister’s counsel. Getting ready for an ADR takes just as much preparation for the Appellant as a full hearing as the Appellant needs to prepare the following: 1. A good recollection of the basic chronology of the case 2. 3. 4. 5. A clear understanding of the issues or factors that resulted in the refusal A clear explanation for the contradictions that are apparent on the face of the record Good witness habits including answering questions clearly, concisely, and to the point Making sure the Appellant is familiar with the documentary evidence, the immigration application and the CAIPS notes of the interview 6. Preparing the Appellant to explain any deviations from the Record to what actually happened (ie being ready to explain contradictions from what the Appellant will say from the Record that are not apparent to the Minister – this is very important, as the Minister is often taken by surprise by new contradictions which can have a significant negative impact on the outcome of an ADR. On the other hand it can be a powerful tool to bolster credibility if the Appellant is willing to talk openly about matters that are not apparent on the face of the record. The implication being that the Appellant is willing to share freely and provide evidence that is both favourable and unfavourable to their case. In my view the single most important factor in determining the outcome of an ADR is the credibility of the Appellant. If the Minister’s Counsel gets the sense that the Appellant is ready to discuss their case freely and to provide credible explanations for most of the issues that were the reasons for the refusal than a positive outcome is likely at the conclusion of the ADR. In order to get an Appellant ready for what can be a very intimidating process of examination counsel will need to spend a considerable time to prepare the matters listed above. 8 One of the most important roles that counsel for the Appellant can play is to determine when an ADR should not be utilized for attempting to resolve the case. In my view the following situations should be examined carefully before agreeing to participate in an ADR: 1. Where the Appellant is not ready to answer questions concerning the case. For example, in a case where the primary issue in a marriage appeal is the knowledge of the parties and lack of evidence of communication, it may be wiser to defer the case for a full hearing to allow time for the parties to spend more time together, and for more documentary evidence of communication to be gathered. 2. Where the Applicant has many contradictions and issues raised in their interview, which could likely only be dealt with by the testimony of the Applicant. 3. Where the issues are complex in an appeal and would not likely be resolved even if the Appellant was entirely credible. 4. Where there are numerous issues of a serious nature. In all of the above situations, bringing the Appellant to an ADR, may simply result in a loss of confidence by the Appellant which could severely impact the outcome of a future hearing. Better to save the case for a full hearing, and spend more time preparing the witnesses for the case. Another important duty of counsel is to prepare the documentary evidence in such a way as to tell the story of the case in a simple and meaningful way. The following are ways that this could be achieved: 1. Of course, the rules of the IAD should be followed in that the documents should be translated into one of the official languages of English or French, and the translator should swear the proper statutory declaration. 2. The documents should be numbered consecutively. 3. Different types of documents should be organized according to sections, so that phone bills are one tab, letters are another, etc. 4. Photographs should be organized chronologically, and although not all of them need to be labelled, there should be enough captions on the photos so that someone flipping through the photos should be able to get the general sense of what they are depicting. 5. Photographs should be edited to remove duplications, or photos that have no significance within the context of the issues, as should poor photography. Photos of a naked couple in bed, are often frowned upon as being proof of nothing other than the shamelessness of the parties involved. Fraudulent photos of people photoshopped into the picture should also be viewed critically. 6. Letters, cards and other communications should be reviewed to determine whether the parties are making sense within the context of the story of the case. Often, fraudulent cases can be exposed by the content of the communication. 7. Eliminating duplication of documents that show up in the Record as well as the disclosure, if not properly culled. 9 Good disclosure can make an excellent start to an ADR, leaving the Minister’s Counsel predisposed to trusting that the case is a reasonable one to resolve. Counsel’s role at an ADR currently in the Western region is fairly passive, with the majority of the time spent taking notes and wondering whether the Appellant will become unravelled during questioning. In my view, that role should be expanded, and there are many situations where counsel should speak in order to improve the potential outcome. For example, if questioning of the Appellant is becoming quagmired in misunderstanding, counsel could interject with a relevant question of their own to bring the process back on track. If there are translation problems that are resulting in information become garbled or worse yet, creating the impression of contradictions where there are none, then counsel should intervene. While this intervention may be frowned upon at a hearing, the ADR process without the formality of giving testimony under oath, lends itself to counsel becoming more proactive. Of course, if the interference becomes perceived as obfuscating the truth rather than bringing it out then counsel’s active involvement will lose its beneficial effect. So it is best to interject only when necessary. Counsel should also be proactive in providing their own opinion of the evidence that is on the face of the record, or if the Appellant has given testimony. That is not to say that counsel should give the evidence, but to interpret it. For example, if the letters or emails corroborate the timeline, or the information provided by the Appellant that has been given spontaneously to other unrelated lines of questioning, it is helpful to the ADR process and the Minister’s Counsel’s resolution to the case, to draw attention to the fact that these different types of evidence fit coherently with other types of evidence. CAIPS notes, application forms, Appellant’s statements can all be pulled together into a coherent whole that makes the case easy to understand as genuine or compelling in some way. Asking for a caucus between yourself and either the Dispute Resolution Officer and/or Minister’s counsel is another role of Appellant’s counsel. That caucus could be requested at a critical juncture where you may feel that the ADR is completely off track to what you feel are the relevant issues. You would have a difficult time to convince Minister’s counsel of your point of view, but if the DRO sides with you during the caucus, then there may be an opportunity to make use of the ADR to resolve the case. If the caucus does not resolve the case, than one can take comfort in the fact that it probably wasn’t going to be resolved in any event, and you were simply saving your client from further annihilation. Reminding Minister’s counsel of the non-adversarial nature of an ADR is another important role of counsel. This is a delicate process because if Minister’s counsel feels that they are not getting at the truth, as the decision maker in the case, they simply will not consent. However, from time to time all counsel will become caught up in the heat of the questioning of a witness, and it is a valid point to make that the ADR being non-adversarial, will not benefit anyone or resolve the case if it simply devolves into a vicious cross-examination. Counsel’s role with their client is critical to the successful outcome of the ADR. The Appellant must trust that you have properly briefed them, that they are confident they will be able to handle the stress of the questioning, and that you are on their side and taking care of their interests. In short, they have to feel that “you have their back”. Counsel can help the Appellant during the proceeding by being 10 human, alert to any distress that they may be in, lightening the mood with a joke, or helping to find a document when they are struggling. In this way, counsel’s supportive nature will help the Appellant get through this extraordinarily stressful process. A light hearted remark made at the right time, can be extremely helpful, but as with all comedy, a word of caution: timing is everything. The best way to prepare a client for an ADR is to talk them through a mock ADR, where you play the role of Minister’s counsel, and ask them questions that are likely to be asked by them about the case. In this way you can determine their strengths and weaknesses and give them advice as to what they should take extra time to prepare for. Counsel should be prepared in an unsuccessful ADR to be critical concerning the Appellant’s performance. This includes whether they were making mistakes, being misleading, being unhelpful, and a whole host of ways of destroying their own credibility. Counsel should then provide that feedback to the Appellant with a view that the hearing would not result in the same problems arising. Thus ADR can be viewed as a dry run for the full hearing. Counsel should prepare the Appellant for a soft landing on an unsuccessful ADR as high expectations can result in extreme disillusionment by the Appellant. A final thought concerning the relationship between Appellant’s counsel and Minister’s counsel. If you practice in the IAD often enough you will spend a lot of time with each other in close quarters. You may or may not wish to become close or socialize with each other. Friendships do develop between counsels on both sides of the fence, but that is a personal choice. What is professionally required is mutual respect between the parties. This respect can only be given if it is received. It can only be given if the conduct of counsel is ethical and with a greater respect for the IAD and its efforts to resolve cases with the truth than just trying to win cases. Reputations concerning integrity take years to develop and can be destroyed in a single case. Your reputation precedes you, and in a close case, can be the difference in a successful resolution of an ADR. If you have good professional relationships with Minister’s counsel, they may even ask you what you think about the case in an ADR, and if you are asked and give an honest opinion within the ethical confines of your duty to your client, it could result in the case being resolved. A counsel who is not trusted or respected will never be asked. 11
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