º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³$SDOHR EHHQFDUULHGRXWYLJRURXVO\E\DUHODWLYHO\VPDOOJURXSRI PDJQHWLFVWXG\RIWKH&UHWDFHRXVURFNVIURPWKHVRXWK .RUHDQSDOHRPDJQHWLVWVIRUWKHODVW\HDUV7KHSDOHR HDVWHUQSDUWRI.RUHDQ3HQLQVXOD´VKRXOGEHWKHILUVWV\V PDJQHWLFSDSHUHQWLWOHG³7KHVWXG\RIUHPDQHQWPDJQHW WHPDWLF DQG FRPSUHKHQVLYH SDOHRPDJQHWLF VWXG\ FRQ LVP IRU EDVDOWV LQ <HRQFKHRQ DQG 3RKDQJ GLVWULFWV LQ GXFWHGLQ.RUHDDOWKRXJKWKHPHDVXUHPHQWVRIFKDUDFWHU .RUHD´E\.LP LVFRQVLGHUHGDVWKHILUVWVFLHQWLILF LVWLFGLUHFWLRQVZHUHPDGHLQ-DSDQ,QDQRWKHUPDV UHVXOWVFRQGXFWHGE\D.RUHDQVFKRODULQ.RUHD7KHSDSHU WHU VWKHVLVRI³3DOHRPDJQHWLFVWXG\RIEDVDOWVLQ-HRQJRJ UHSRUWHGDUHYHUVHGPDJQHWLFGLUHFWLRQRIWKH6HRNJRO DUHDDQGDORQJWKH+DQWDQULYHUYDOOH\´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ryÝ ¥ 5 Ýí ÙÝ ¥ 5 Ý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Í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