What lies beneath? Spectrality as a focal phenomenon and a focal theory for strengthening engagement with philanthropic foundations
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Received: 17 April 2020 Revised: 15 March 2021 Accepted: 18 March 2021 DOI: 10.1111/ijmr.12257 SPECIAL ISSUE What lies beneath? Spectrality as a focal phenomenon and a focal theory for strengthening engagement with philanthropic foundations Tobias Jung Kevin Orr School of Management, University of St Andrews, St Andrews, Fife KY16 9AJ, UK Abstract Foundations are frequently referred to as a donor’s dead hand, as a way to exert Correspondence Tobias Jung, Centre for the Study of Phi- social, political, economic and cultural influence from beyond the grave. Build- lanthropy & Public Good, School of Man- ing on this, our paper argues for a greater focus on and consideration of the sig- agement, University of St Andrews, St nificance of the spectral in philanthropy research and practice, particularly in Andrews, Fife KY16 9AJ, UK. Email: tj3@st-andrews.ac.uk relation to foundations. We argue that spectrality offers a focal phenomenon in philanthropy and a focal theory for moving foundation inquiry forward. Based on our systematic review of the social sciences literature on the spectral, we identify and offer four thematic clusters to frame insights about foundations in relation to relationality and decentring, narratives and representations, ethics and pol- itics, continuity and change. Connecting foundation scholarship with existing debates about the spectral and vice versa, our work offers a basis for reflection and future research on the part of those immersed in the foundation world, and contributes to emergent scholarship about the spectral in organization and man- agement studies. INTRODUCTION and critically explores spectrality as a strategic platform from which stronger theorizing on philanthropic founda- Philanthropic foundations are an ancient institutional tions as a distinct institutional form can proceed. expression. Written records revealing rudiments of the While literature reviews are widely recognized as essen- contemporary foundation form go back to at least tial in generating important and insightful contributions 3000BCE (Borgolte, 2015). Despite such ancient lineage, (Hoon & Baluch, 2019), their use for theory development is foundations and their ‘cloistered world’ (Whitaker, 1974) not without its challenges (Cropanzano, 2009). Clarifying remain remarkably unknown, unstudied and uncrystal- the choices, attributes and consequences for theory devel- lized (Jung, 2020; McIlnay, 1998). The need for bet- opment of different literature review approaches, Breslin ter understanding of foundations is well established; it and Gatrell (2020) propose a continuum that ranges from includes questions about foundations’ external and inter- ‘literature prospecting’ to ‘literature mining’ as a way to nal drivers, deeds and dispositions, roles and responsibili- strengthen understanding on theorizing through literature ties, their influences and impacts (Anheier & Leat, 2006; reviews. At one end, ‘prospecting’ focuses on venturing Dowie, 2002; Johnson, 2018; Jung et al., 2018; Toepler, beyond well-trodden paths and knowledge silos to iden- 2018). Here, combining ‘literature prospecting’ and ‘litera- tify and explore ‘novel perspectives’ (Breslin & Gatrell, ture mining’ (Breslin & Gatrell, 2020), our paper proposes 2020, p. 1). The invitation is to set out new narratives and This is an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited. © 2021 The Authors. International Journal of Management Reviews published by British Academy of Management and John Wiley & Sons Ltd Int J Manag Rev. 2021;1–18. wileyonlinelibrary.com/journal/ijmr 1
2 JUNG and ORR conceptualizations, and to blend and merge literatures issue’s aim of articulating new research perspectives on across domains (Breslin & Gatrell, 2020, p. 7). Allowing for philanthropy’s institutional expressions. a ‘movement of the mind’, for ‘the breakdown and build-up of beliefs and the transformation of assumptions’ (Davis, 1971, p. 342), prospecting provides us with opportunities CONCEPTUALIZING SPECTRALITY to revisit, reflect and re-engage with perspectives on and understanding of foundations as an institutional expres- Spectrality covers an entire family of spectres, various sion of philanthropy. An essential part of prospecting is to terms belonging to the genus ‘haunting’ (Wolfreys, 2016). ascertain that efforts are not random, but calculated (Bres- Other members of that family include apparition, ghost, lin & Gatrell, 2020, p. 1). In this paper, we show how engag- liminality, phantoms and the uncanny. An overview of ing with spectrality is not just a fleeting fancy, but that key spectral terms and illustrative examples of their use spectrality presents a ‘focal phenomenon’, an observable is provided in Table 1. Resonating with Calvino’s (1997, p. phenomenon in need of closer examination within philan- 19) statement that ‘the more enlightened our houses are, thropy per se and in relation to foundations in particular the more their walls ooze ghosts’, Davies (2007, p. 101) (Jaakkola, 2020). At the other end, ‘mining’ takes a more observes that such spectres ‘flitted through some of the conventional approach to reviewing the literature. Focus- most profound developments in intellectual thought over ing on a bounded and established domain of study, the the last 500 years, and so to discover how they were con- emphasis is on organizing and categorizing the literature, ceived in the past is to understand how society itself has problematizing it and identifying conceptual gaps (Breslin changed’. Trying to conceive, define or conceptualize spec- & Gatrell, 2020, p. 7). While ‘prospecting’ articulates the trality, however, presents a major problem: it is anything reasons for engaging with spectrality in foundation stud- but straightforward (Wolfreys, 2016). ies, ‘mining’ provides the basis for exploring spectrality A key fissure in social science scholarship on spectral- as a ‘focal theory’. In other words, we offer spectrality as ity revolves around a normative consideration of whether a theoretical lens able to address known shortcomings in and how we should engage with spectres: are they some- the literature in more detail (Jaakkola, 2020) and to orien- thing ‘actual’, a metaphor or a concept (del Pilar Blanco & tate foundation inquiry towards interesting questions. Our Peeren, 2013)? Complicating matters further, spectrality’s approach enables us to draw together bodies of work on very association with, and contamination by, ‘the supernat- spectrality from diverse disciplines to develop a basis for ural’ has potentially been toxic for the ambitions of serious future theorizing on foundations. scholarship (del Pilar Blanco & Peeren, 2013). This is illus- The structure of our paper follows the move from trated in the Enlightenment’s ambition to expunge spec- ‘prospecting’ to ‘mining’, from outlining the idea of spec- tres (Davies, 2007), or in Adorno’s (1969) argument that trality and making the case for approaching foundations spectres and the occult are symptomatic of a regression through the lens of spectrality to an examination and syn- in consciousness, that they present a metaphysic of and thesis of social sciences literature on spectrality. In the next for fools. Notwithstanding attempts at exorcizing, demys- section, we highlight ways of approaching and understand- tifying or explaining away belief in the spectral, the last ing spectrality. We then illustrate how foundations are few years have been described as witnessing a ‘spectral rooted in spectrality, and how foundations present them- turn’, a turn towards spectrality but also a spectraliza- selves as sites par excellence for scholarly inquiry which tion of this turn, the uprooting and decentring of the utilizes the spectrality lens for theory development and approach itself, thereby opening it up for wider interpre- practical understanding. After explaining our methods for tation and inquiry (del Pilar Blanco & Peeren, 2013). Here, identifying, reviewing and synthesizing the sampled lit- two of the most prominent pieces of work contributing to erature, we present four thematic clusters on spectrality. and catalysing spectrality scholarship have been Freud’s These are relationality and decentring, narratives and rep- (1919/1955) ‘The uncanny’ and Derrida’s (1994) Specters of resentations, ethics and politics, continuity and change. Marx. We consider the implications of these four themes for Freud (1919/1955), building on and developing the work approaching and understanding foundations. Finally, we of German psychiatrist Ernst Jentsch (1997), examines the conclude by drawing out the implications of the review, notion of ‘unheimlich’, at root the opposite of ‘heimlich’. including how it can help shape future management and The latter refers to that which is homely, familiar, native, organization research in the field of foundations and phi- but also that which is hidden from public view, secretive lanthropy. Our work provides a basis for developing more and clandestine. Its meaning develops ambivalently until nuanced appreciations and understandings of the com- it coincides with its opposite ‘unheimlich’, the uncanny plexities of foundations, and contributes to this special (Freud, 1919/1955, p. 226). To unpack it, Freud argues that
What lies beneath? 3 TA B L E 1 Illustrating the plethora of spectral terminology Spectral term Key definition (OED/Chambers) Examples of use Apparition The action of appearing or becoming visible; The supernatural appearance of Ladwig (2013) invisible beings, etc. Dead Deprived of life Belsey (2019) Ghost Soul or spirit Morton (2015); Pors (2016) Ghoul An evil spirit supposed. . . to rob graves and prey on human corpses Maxwell-Stuart (2006) Gothic Uncivilised; Romantic; Tales of mystery Botting (2014) Haunting Of imaginary or spiritual beings, ghosts, etc.; To visit frequently and del Pilar Blanco and Peeren habitually with manifestations of their influence and presence, usually of a (2013); Gordon (2008) molesting kind; To be haunted: to be subject to the visits and molestation of disembodied spirits Liminality A transitional or indeterminate state between culturally defined stages of a Boyd and Thursh (2011); person’s life; spec. such a state occupied during a ritual or rite of passage, Söderlund and Borg (2018) characterized by a sense of solidarity between participants; Threshold of consciousness Memory Senses relating to the action or process of commemorating, recollecting, or Auchter (2014) remembering; The power or process of retaining and reproducing mental or sensory impressions Phantom A thing (usually with human form) that appears to the sight or other sense, Abraham (1975/1994) but has no material substance; An apparition, a spectre, a ghost Spectre An apparition, phantom, or ghost, esp. one of a terrifying nature or aspect; Derrida (1994); Newman (2001) An object or source of dread or terror, imagined as an apparition Spectral Having the character of a spectre or phantom; Ghostly, unsubstantial, unreal Peeren (2014) Spirit A supernatural, incorporeal, rational being or personality, usually regarded Hopps (2013) as imperceptible at ordinary times to the human senses, but capable of becoming visible at pleasure, and frequently conceived as troublesome, terrifying, or hostile to mankind Uncanny Mischievous, malicious; Unreliable, not to be trusted; Partaking of a Freud (1919/1955) supernatural character; Mysterious, weird, uncomfortably strange or unfamiliar two avenues can be pursued. The first is to explore the the spectral is a starting point for Derrida, an opportunity. historic meanings and expressions of the uncanny; the Spectres act as disjointing figures, unsettling the stability of second is to identify, collect and synthesize the proper- the present, and offering potential for emancipation (Der- ties of people, items, sensations, experiences and contexts rida, 1994). that present or are perceived as constituting the uncanny The perspective of spectres as harbingers of justice and (Freud, 1919/1955, p. 221). freedom is challenged by Žižek (1994), who argues that Derrida (1994), revisiting and reflecting on Marx’s and spectres are in themselves a retreat, a rejection of free- Engel’s Communist Manifesto, illustrates how the image dom. In his view, loyalty to spectres of the sort called for of the spectre is used therein to describe and diagnose by Derrida is misplaced, dangerous. While the appearance Europe’s present, Europe’s past, Europe’s potential future. of spectres points to a breach of ideological control mech- Riffing on Hamlet, Derrida’s exhortation is for scholars to anisms, they then serve to close this very opening. For converse with spectres. Acknowledging that ‘traditional’ Derrida, ghosts are an opportunity; for Žižek, they are an scholars neither believe in nor deal with spectres or any- opportunity lost, or worse, a malign distraction: attend- thing related to spectrality, Derrida (1994) argues that it is ing to the ghost involves the surrender of freedom and the precisely scholars who are in a position to observe, describe maintenance of subjection. The ‘uncanny spectral supple- and obtain the appropriate distance to engage with spec- ment’ maintains rather than disrupts our sense of what is tres. Engaging with spectres enables a politics of memory, real; it distracts us from the constructed and ideological an opportunity to rethink our situated relations with oth- bases of that reality (Žižek, 1994). ers and with time and place: it is at the shadowy bound- Gordon (2008), using the notion of ‘haunting’, bridges ary of spectrality, between and across the perimeters of life the works of Freud, Derrida and Žižek. Focusing on the and death, that learning occurs. Thereby, engaging with subaltern, the excluded, the dispossessed and exiled, she
4 JUNG and ORR examines the interstices of exploitation, force and mean- significant ways. It is to such spectral facets in and of phi- ing. She argues that spectral aspects are neither an expres- lanthropy and foundations that we now turn. sion of individual psychosis nor of premodern superstition. Instead, they change our experiences of being in time, our distinction between past, present and future. They demand PROSPECTING: SPECTRALITY AS A our attention and, as sociopolitical psychological states, FOCAL PHENOMENON IN call and allow for things to be done. Engaging with spec- PHILANTHROPY AND FOUNDATIONS trality presents turmoil and trouble, exposes the cracks and the rigging, shows up things that have been or are Philanthropy as an inherently spectral expected to be invisible, demands that alternatives need to arena be sought (Gordon, 2008, p. xvi). Engaging with spectral- ity is thereby neither merely a theoretical exercise nor just Even a cursory glance at philanthropy illustrates its inher- material for the literary arts; spectrality represents a link- ently spectral nature. Donations and deaths, gifts and their ing across time, a connecting of individuals, institutions ghosts go hand in hand. The role of testations, bequests and and social structures, a reconciling and negotiating of and memoria in philanthropy illustrates the former; issues of between individuals and collectives. philanthropic legacies, donors’ dead hands and founders’ Looking across these scholarly contributions, the chal- syndrome the latter. A vision of temporal transcendence, lenges of and tensions inherent in trying to conceptualize an ambition to traverse time, runs throughout them. Phi- spectrality are apparent. Neither present nor absent, spec- lanthropists hope to leave ‘footprints in the sands of time’ trality criss-crosses binary loci and foci: it embodies and (Ostrower, 1995); philanthropy is envisaged as offering for- disembodies visibility and invisibility, past and present, the giveness, redemption and mercy in the present as well as here and there (Wolfreys, 2016). As such, spectrality eludes in the afterlife (Cunningham, 2016) and, both historically conventional attempts at conceptualization; it demands a and contemporaneously, philanthropy is used as a way to different approach to thinking (Wolfreys, 2016). Casting it appease the dead and harness their influence for the well- as ‘absent presence’ (Derrida, 1994; Smith, 2007, p. 147), being and fortunes of the living (Kiger, 2000; Marouda, spectrality allows us to engage with alternative mecha- 2017). nisms for approaching an issue (Auchter, 2014). It offers Alongside, commentators have repeatedly used and the ability to read and unpack ‘the temporal and spatial appealed to the spectral to highlight and critique the ills, sediments of history and tradition’ to explore and theorize failures and shortcomings of philanthropy. Examples of important social, ethical and political questions (del Pilar this include the armies of ghosts who—through their paid Blanco & Peeren, 2013, p. 2). In relation to institutions such and unpaid, voluntary and forced contributions—have as philanthropic foundations, we argue that attention to enabled the accumulation of wealth underpinning philan- the spectral facilitates an examination of their meanings thropy. This is poignantly demonstrated by the ‘ghosts’ through exploring the internal and external histories, prac- accompanying the colonial exploitations of the English tices, contexts and discourses out of which they are formed philanthropist Lord Leverhulme in the Congo (Marchal, (Wolfreys, 2016, p. 638). Spectrality’s identification of such 2017), or the spectral status given to the UK’s early chil- ‘sediments’, and the accompanying opportunity to exam- dren’s charity, London’s Foundling Hospital, throughout ine these, resonates with and complements the perspective Victorian novels (Zunshine, 2005). that philanthropy and its institutional expressions, founda- Indeed, spectrality cuts across philanthropy’s societal, tions, should be perceived as strata. Beneath a thin topsoil geographical, temporal and disciplinary settings. It cov- composed of contemporary expressions and exercises, one ers individual (Ostrower, 1995) as well as organizational finds layers and layers of people, practices and perspectives expressions of philanthropy (Kiger, 2000); it is evident in that stretch back into philanthropy’s and foundations’ dis- Asian (Marouda, 2017), European (Huschner & Rexroth, tant past, yet which continue to exert an influence in the 2008) and American (Goff, 1921) traditions of philanthropy. present (Cunningham, 2016). These represent the ‘absent It runs through philanthropic practices in the Axial Age presences’ in foundations. It is this idea of ‘absent pres- just as much as in medieval or modern times (Borgolte, ences’ that forms the basis for our exploration of spectral- 2017; Çizakça, 2000), and it features in disciplinary dis- ity as a theoretical concept that, informed by the emergent courses on philanthropy from history (Lusiardi, 2000) to interest in organizations as spectral spaces (De Cock et al., law (Sisson, 1988) and philosophy (Lechterman, 2016). 2013; Orr, 2014; Pors, 2016), points scholars and practition- Within this deep-rooted context, the institutional expres- ers towards appreciating the significance of that which has sion of philanthropy, philanthropic foundations, present departed—from the organization or the world—but whose themselves as particularly suitable for being explored presence still affects or whose legacy continues to linger in through a spectral lens.
What lies beneath? 5 Foundations as inherently spectral tions of memoria, transcendence and founders’ continued institutional forms ‘presence’ amongst the living (Borgolte, 2012). While this is a relatively recent perspective, traditionally the most Spectrality concerns itself with excess and transgression, prominent discourse on foundations has centred around with tales of light and darkness, desire and power, posi- legal considerations of the foundation form (Anheier, 2001; tives and negatives (Botting, 1996). In these respects, it res- Prele, 2014; Ylvisaker, 1987). onates with foundations’ own paradoxical nature (Fleish- man, 2007), the ways in which foundations are cast and criticized (Roelofs, 2003; Whitaker, 1974). Beneath such Spectrality and foundation law superficial similarities lie distinctively spectral considera- tions and customs that characterize the foundation form The study of foundations is dominated by an emphasis on socially, historically, legally, and practically. foundations’ legal characteristics, particularly their inde- pendent legal personality (Borgolte, 2012). Three broad theories about the legal origins of foundations are advo- Spectrality and foundations’ social and cated in the literature: the Roman fideicommissum, the historical origins Salic law of Salmannus and the Islamic waqf. The first, fideicommissum, was a legal device used to allow a tes- The landmark text of ancient Egyptian religious literature, tator to entrust property to one person for the benefit of The Book of the Dead, provides one of the earliest references another. The second, Salmannus, goes back to the 5th- to the contemporary foundation form (Kiger, 2000). Foun- century Germanic Lex Salica and represents an arrange- dations were established for the memory of the dead while ment that allowed the transfer and use of property for simultaneously acknowledging, crediting and honouring defined purposes during or after the lifetime of its con- the deceased’s continued charitable work and generosity— veyor. The third, waqf, originated in the first three cen- beyond the grave—through the foundation form (Borgolte, turies of Islam and, broadly speaking, provided a privately 2014, p. 559). While these have been expressed in various owned property endowed for charitable purposes in per- ways, from Paganism’s cult of the dead to foundations’ rev- petuity with any associated revenue generated used for enues as a tool for salvation of the deceased in Late Chris- these purposes (Çizakça, 2000; Gaudiosi, 1988; Rounds & tianity, foundations represent a worldview that acknowl- Rounds III, 2012). Across all three, an emphasis on tes- edges mutual dependencies between the living and the tation, the wishes of the dead, and how these could or dead, where the dead continue to be seen as active partici- should be honoured, can be identified. This pattern cumu- pants in the present (Borgolte, 2014). lates in contemporary laws on charitable bequests and the A key element in the relationship between the dead and unequalled opportunities these provide for individuals to the living and its bridging through the foundation form is achieve legal immortality for their soul, their name and/or the threat of constituting an ‘unreciprocated gift’. Then, their charitable plans (Madoff, 2010). This, in turn, has as now, gifts formed part of an exchange system; they given rise to one of the most vivid expressions of spectrality involved reciprocity (Maus, 1990). Foundations therefore in foundation discourse: manus mortis, the ‘dead hand’ of initiate(d) a continuous circle of gift exchange between the donors. living and the dead (Borgolte, 2014). Not only did founda- The notion of donors’ dead hands, that is the influence tions allow a reaching out from the grave, but the associ- a donor can or should exert from beyond the grave, has ated acts of memory and remembrance were also seen as a agitated legal scholars for millennia. From debates about way to reach back into the grave: just as the dead hoped limiting foundations’ lifecycles in early Islamic debates on to be remembered by the living, the living hoped to be the waqf form (Meier, 2009), to various states’ attempts at remembered and prayed for by the dead. Mutual mem- limiting the dead hand through mortmain statutes (Fries, ory and remembrance acted as a tool of social cohesion 2005; Madoff, 2010), the issue gained particular promi- and continuity (Brown, 2015): you were only ‘dead’ if you nence from the late 19th century onwards (Goff, 1921; Hob- were forgotten (Presuhn, 2001). As such, there has been a house, 1880). Portraying deceased donors as a deadweight growing argument, particularly amongst German histori- that prevents rather than enables progress (Meier, 2009), ans, that foundation discourse needs to be recast towards the challenges of respecting the intentions of past donors a broader socio-cultural understanding that acknowledges and how these conflict with intergenerational sovereignty and incorporates an iterative exchange and interdepen- continue to agitate legal (Atkinson, 2007; Brody, 2007; Sis- dency between prior and subsequent founders and their son, 1988) and philosophical debates (Lechterman, 2016) to beneficiaries. This recasting implicates associated ques- this day.
6 JUNG and ORR Spectrality and foundation practice ments, patterns and relationships, reviews provide an essential basis for shifting theory and/or practice (Hoon At the interface of socio-historic and legal aspects of foun- & Baluch, 2019). While Breslin and Gatrell’s (2020) dations’ spectrality sit some practical issues. Most promi- prospecting–mining continuum assists with clarifying the nent amongst these is ‘founder syndrome’, the various rationale of literature reviews, theorizing from reviews, explicit and implicit powers, privileges and perspectives even within such boundaries, remains challenging. Across associated with or attributed to the founder (Block, 2004). the potpourri of potential ‘theorizing tools’, theorizing While the term is used inconsistently across the literature, is often understood as addressing a conflict or tension it is the perception of ‘an unwavering dedication to the between literature and phenomena (Shepherd & Suddaby, original vision for the organisation’ (Schmidt, 2013, np) 2017). With review-centric theorizing unable to iteratively that is most relevant in the context of this paper. As foun- move ‘between the gaps observed in the phenomenal world dations tend to be envisaged to exist in perpetuity, trying and those observed in the extant literature’ (Shepherd & to justify, interpret or critique the actions of foundations— Suddaby, 2017, p. 65), we follow Hoon and Baluch (2019) as well as the use of their resources in reference to what in pursuing a ‘dialectical interrogation’ of social science the person by whom or in whose memory they were set work on spectrality for the foundation field. This approach up would have (dis)approved of—is a recurring theme in involves ‘imaginatively engaging in back and forth inquiry’ philanthropy practice. Two prominent examples include between the phenomenal world of a given field and exist- criticisms levelled at the trustees of the Diana, Princess of ing theory (Hoon & Baluch, 2019, p. 7). Emphasizing the Wales Memorial Fund in the UK for being perceived as potential for consolidating and disrupting understanding, squandering ‘her precious legacy’ (Brennan, 2007, np) or we approach the review with the aim to both explore sim- supporting allegedly inappropriate causes (Pukas & Som- ilarities and anomalies (Hoon & Baluch, 2019, p. 20). erset, 2011), and the challenges and questions of adhering One methodological consideration for review-centric to and fulfilling a donor’s intent, exemplified in the Robert- work is whether the area(s) under consideration consti- son Family’s lawsuit against Princeton University (White, tute(s) a nascent or a mature field of activity. The former 2014). It is further illustrated in the wider context of cy-pres. points towards an exploratory mapping, the latter towards This is the doctrine in charitable law which addresses the a more systematic review (Hoon & Baluch, 2019). Spectral- recasting of a foundation’s purpose in instances where it ity straddles both. In areas such as anthropology (Formoso, becomes impossible, impractical or illegal to carry out the 1996) or literary studies (Hopps, 2013), spectrality has seen original one towards a purpose that resembles the original longstanding exploration; in others, such as organization one as closely as possible. This, in turn, links back to afore- studies (Orr, 2014; Pors et al., 2016), it is a relatively recent mentioned questions of removing ‘dead hand control’ of consideration. To mine the area, to explore what themes foundations (Atkinson, 2007). run through and across spectrality literatures, and what Taken together, the array of links between foundations opportunities for strengthening understanding on and for and spectrality show that spectrality clearly constitutes foundations spectrality provides, we therefore combined a a ‘focal phenomenon’ in philanthropy. As an observable systematic review with a snowballing technique. part of philanthropy past and present, spectrality warrants Amongst the different types of literature reviews and closer examination. While there has been a growing inter- associated methodologies, a systematic approach focuses est in questions of memory and memoria in foundations on systematically searching for, appraising and synthesiz- amongst some historians (see Borgolte, 2012), conceptual ing key issues (Grant & Booth, 2009). To start, we focused engagement with spectrality as a lens in its own right for on specifying the boundaries of the review. In the context understanding foundations remains limited. Having estab- of literature searches, particularly in the areas of biblio- lished the relevance of spectrality as a strategic platform metrics and scientometrics, Google Scholar (GS), Web of from which theorizing on foundations can proceed, the Science (WoS) and Scopus are considered as leading the next section of the paper will ‘mine’ the literature on spec- field with their coverage (Martín-Martín et al., 2018). While trality in order to synthesize insights and identify specific GS has been shown to provide substantial extra coverage contributions that the spectrality literature can make to aid over WoS and Scopus (Martín-Martín et al., 2018), there are understanding of foundations. ongoing debates about the data quality of GS (Mongeon & Paul-Hus, 2016). Thus, and with WoS and Scopus consid- ered as offering complementary interdisciplinary coverage METHOD (Burnham, 2006; Mongeon & Paul-Hus, 2016), we opted for using WoS and Scopus. Reviews play an important role in theorizing. Provid- Following a preliminary conceptual review and dis- ing opportunities for discovering new perspectives, argu- cussion amongst the authors, it was decided to use
What lies beneath? 7 ‘spectrality’ as the search term. Firstly, as illustrated in line with norms of qualitative research and thematic anal- Table 1, spectrality incorporates relevant ideas such as ‘the ysis processes (see Nowell et al., 2017; Saldaña, 2016), we ghost’, ‘haunting’, ‘the uncanny’ (Peeren, 2014). Secondly, arrived at four overarching themes, namely relationality albeit archaic, spectrality moves beyond other ideas: being and decentring, narratives and representation, ethics and a word freighted with rich scholarly traditions, spectrality politics, continuity and change. These four themes and evokes an important etymological link to vision and visi- their underpinnings are provided in our coding graphic, bility, ‘to that which is both looked at (as fascinating spec- Figure 1. We examine these themes in the next section. tacle) and looking (in the sense of examining)’ (del Pilar Blanco & Peeren, 2013, p. 2). This makes spectrality a more suitable structure for illuminating and investigating phe- MINING: EXPLORING SPECTRALITY AS nomena (del Pilar Blanco & Peeren, 2013, p. 2; Meagher, A FOCAL THEORY FOR THEORIZING ON 2011). FOUNDATIONS Searching WoS (topic or title) and Scopus (title, abstract, keyword) for ‘spectrality’ resulted in 280 and 298 records, Examining our literature sample, it is clear that notions respectively. The initial set of 578 combined references was of spectrality and spectres have become critical tropes exported into bibliographic management software End- across multiple disciplines (Maddern, 2008). Examples note and checked for duplicates. The revised list included include the arts (Bal, 2010), anthropology (Boyd & Thursh, 365 references. The titles and abstracts of the 365 refer- 2011), communication and media studies (Brummans, ences were reviewed separately by the authors. Following 2007), cultural studies (del Pilar Blanco & Peeren, 2013; a comparison and critical discussion amongst the authors Peeren, 2012), education (Papastephanou, 2011), geography about each reference’s relevance for and contribution to (McCormack, 2010), history (Ackroyd, 2010; Belsey, 2019; ‘the notion of spectrality’ (see Wolfreys, 2016, p. 638), a final Finucane, 1996), international relations (Auchter, 2014), list of 51 references was drawn up. Of these, 49 could be literary studies (Hopps, 2013; Lücke, 2007), management retrieved. These, in turn, were read in full and reviewed and organization studies (Haveman, 1993; Orr, 2014; Pors, separately again by each of the authors. Following Green- 2016; Pors et al., 2016), philosophy (Cassirer, 1946), politics halgh et al. (2005), we then combined this protocol-driven (Gantet & d’Almeida, 2007; Graff-McRae, 2017) and soci- approach with a ‘snowballing’ technique. This enabled us ology (Gordon, 2008). Across these, spectrality has been to track citations backwards and forwards, and to draw in used to explore agency, artefacts, real and literary urban material that might have escaped the first round. Thereby, and non-urban spaces, the influence of history and colo- an additional 52 papers and 27 books were added, resulting nial pasts on present political practices, as well as questions in a total of 128 sources. of historical and contemporary, national and transnational Applying a thematic analysis approach to this mate- (in)justice (Baloy, 2016; Beville, 2013; Cameron, 2008; Har- rial (Attride-Stirling, 2001; Braun & Clarke, 2006; Guest ris, 2014; Maddern, 2008; McCormack, 2010; Papailias, et al., 2012), each of the authors carefully read the con- 2019). Here, one way of approaching the spectral is in terms tent of every contribution, and each began to provision- of what it stands for. This, however, provides a very limited ally identify and map what they considered as promi- reading thereof. Instead, it seems useful to move beyond nent and recurring issues and themes around spectral- this and to also consider what the spectral does and the ity. These were then discussed to identify and develop way in which it is produced (Stojanovic, 2015). This more basic (the most basic themes from textual data), organizing encompassing engagement with spectrality underpins the (mid-level themes that cluster similar issues) and global four themes identified in our sample. As outlined in Fig- (super-ordinate) themes (see Attride-Stirling, 2001, p. 389). ure 1, the first theme, relationality and decentring, draws For example, Brummans’ (2007) work ‘Death by docu- attention to questions of boundaries, inclusion and exclu- ment: Tracing the agency of text’ focuses on his father’s sion, periphery and margins that spectrality raises. The euthanasia declaration. Throughout the text, numerous second, narratives and representations, encompasses ideas basic themes are presented, from legal documents to can- that focus on the significance of storytelling and other por- cer and lethal injections. These, in turn, collate around a trayals across different settings and their relationship to number of broader, organizing themes such as relation- spectrality, such as nostalgia, myths, signs and symbols. ships, agency (of a legal document), imprisonment (by Here, interest is on the different textual forms and arte- words of what is now departed) and fields of action. Tak- facts. Ethics and politics, our third theme, turns to agency, ing these organizing themes, comparing them to organiz- voice, power and control exerted by, through or exposed via ing themes in other sources, clustering prominent issues spectrality. Finally, continuity and change addresses tem- together and looking for convergence and divergence of poral aspects of spectrality; it emphasizes questions of tra- ideas, that is pursuing an iterative dialogical process in ditions, redemption, loss and inheritance.
8 JUNG and ORR FIGURE 1 Four global themes on spectrality and their organizing underpinnings [Colour figure can be viewed at wileyonlinelibrary.com] Relationality and decentring (Ball, 2014), thereby opening up alternative conceptualiza- tions of understanding (Knox et al., 2015). In this way, they Spectrality has an inherently relational character, it carry a critical and radical potential. enables an exploration and reading of complex relation- As an anthropological endeavour, spectrality moves ships across time and space. This theme explores these beyond the obvious and immediate duality of presence relations. It raises questions about voices and boundaries, and absence inherent in the concept (Ball, 2014). Engag- about inclusions and exclusions, about shadows in the ing with spectrality explores and interrogates complex rela- peripheries and margins, about dialogues with and def- tionships. It allows scholars and practitioners to examine erence to the spectral. Spectres fulfil a centrifugal role: the multiple fragments and layers of accumulated mean- they provide a movement away from the centre, point- ings across individual and collective, spatial and temporal ing towards the need to hear from voices other than the contexts, all of which require interpretation (Armstrong, usual suspects (Beville, 2013; Stojanovic, 2015). This allows 2010). In this respect, decentring is closely linked to the us to move from a centred approach (concentrating on process of defamiliarization (Vidler, 1992), including the institutions and their elites) to a decentred approach to disruption to the linear orderings of time. Unlike tradi- understanding and theorizing activities and actions across tional approaches, spectrality can be seen as highlight- networks. Spectres can offer the opportunity for dialogue ing ephemeral, unreal and unmappable aspects (Beville, between that which is present and that which lies beneath 2013); it enables a move towards the ineffable plurality
What lies beneath? 9 of the contexts within which we find ourselves (Beville, exploring and employing spectrality allows for the ques- 2013). tioning of norms and the articulation of personal, intergen- erational and historical conflicts (Sacido-Romero, 2016). Permitting ‘ghost stories’, or accounts of the marginalized, Narratives and representations to enter and re-enter wider discourse allows for compli- cation and ambiguity; it disrupts the neat packaging of Stories, storytelling and spectrality have a longstanding the past by vested interests keen on owning the associated relationship. Across factual and fictional, oral and liter- conflict(s) and accompanying terms of transition (Graff- ary traditions, the spectral has been used and developed McRae, 2017). for the telling of memoirs, histories, romance, short stories Here, spectres represent localized accumulations of and folklore, its presence and portrayal shifting in line with emotions, such as anger or desire, on the part of the under- and across the genres (Belsey, 2019; Hopps, 2013). Moving privileged, ignored or maltreated by their social superi- from the wider theme of relationality and decentring, the ors (Klonowska, 2017). Examples range from the way in focus of our second theme is on catching the different nar- which spectres can challenge amnesia (Rice & Kardux, ratives and storying expressions of the spectral. One might 2012) to their potential deconstruction of dominant mem- question: is the story about a spectre, with spectres, by ory narratives and portrayals (Graff-McRae, 2017). While, spectres (Cameron, 2008; Ketchum, 2018; Pérez-Carbonell, through reproducing and re-inscribing power relations, 2016), or what are the different distinctions of spectrality the use of the spectral can deny rather than bring justice that attention is drawn to? The focus is on identifying the (Arias, 2012; Sacido-Romero, 2016), spectres can emerge as spectral, its features, its impacts: is it fiction, fact or fab- political interventions ‘to imaginatively correct the wrong- ricated? Is it part of or outwith time, something which doings of the past by presenting justice as it might have was once alive and is no longer, something mortal that has been dreamt of’ by those oppressed (Klonowska, 2017, p. undergone death and might potentially be resurrected, or 178); it can point to ‘a justice and emancipation yet to come’, is it something that exists outside the realm of the dead, as a way to summon the oppressed and to mobilize the dis- something that has never experienced death per se (Beatty, enfranchised in opposition to the political present (Will- 2013)? Does the spectral imply a moral order or not, is it man, 2010). As a revisionist process, spectrality can exer- good or bad, is it singular or comes in a set, is it attentive cise past pain(s); it can act as a basis for healing and self- or does it need to be summoned, is it help, hinderance or reconciliation (Turcotte, 2008). haunting, does it speak or is it silent (Beatty, 2013)? As part Within this context then, a distinction between nega- of such questioning or linked attempts by practitioners to tive and positive articulations of spectrality can be drawn harness spectres for either organizational service or their (Joseph, 2001). Negative spectrality denotes ideologies preferred organizational narratives, it is also emphasized determined by the system of wider social practices; posi- that any (un)planned spectres we create can get out of con- tive versions involve the deliberation and purposeful con- trol and step outside the role we envisaged them to play juring of spectres by social actors to enable new ways of (Brummans, 2007). acting (Joseph, 2001). This cluster also draws attention to Alongside raising questions about mapping, categoriz- different expressions of agency, such as that of legal doc- ing and theologizing spectrality, this cluster points to the uments, how such agency emerges and how it can project settings within which spectrality is cast, created and uti- forward, creating fields of action and creating an individ- lized. Examples range from different forms and patterns of ual and collective imprisoning and enslaving (Brummans, using and engaging with spectrality (Belsey, 2019; Hopps, 2007). 2013), to the origins and myths surrounding spectrality (Clarke, 2012; Finucane, 1996), settings of spectrality and spectrality of settings (Ackroyd, 2010; Gordon, 2008), the Continuity and change ways in which spectrality is portrayed in different media (Balfour, 2015; Marsh, 2014) and the way in which spectral- Our last theme moves from the diverse expressions and ity is employed and engaged with across all of these con- roles of the spectral towards its more contextual, temporal texts (Gantet & d’Almeida, 2007; Lücke, 2007). and spatial facets. It emphasizes that the spectral is a simul- taneous ‘conjuration and unsettling of presence, place, the present, and the past’ (Wylie, 2007, p. 172). On the one Ethics and politics hand, spectrality provides a sense of continuity. Memo- ries, memorials and monuments are the bases for individ- Our third cluster moves towards spectrality’s implicit and ual and collective, people’s and place’s, presents, presences explicit issues of ethics and politics. Within this theme, and practices. Being foundational, such continuity can be
10 JUNG and ORR of a positive nature. Testifying to spectrality can be an act DISCUSSION: SPECTRALITY AS A FOCAL of faithfulness to place, self and memory (Wylie, 2007). THEORY FOR FOUNDATION RESEARCH Simultaneously, if left unexplored and unreflected upon, it can have a darker, oppressive side. For example, repre- Keen to link itself to the latest trends and develop- senting ancestral inheritances, demanding faithfulness to ments, organization research often suffers from a ‘collec- traditions, postulating ancient commands, continuity can tive drift of history’: attention and resources are concen- act as a historic chain, as a straitjacket (Harris, 2014). Spec- trated within narrow parameters (De Cock et al., 2013, p. tres of the past can return to haunt the present, through 1). Anything outwith these is discarded, often forgotten, so reinforcing past echoes of exclusion, alterity and exploita- that ‘a sizeable “trash heap” of history’, of ideas, schools of tion (Baloy, 2016). thought and modes of thinking, has accumulated (De Cock This idea of ‘the return’ is closely linked to the notion et al., 2013, p. 1). The opportunity provided by engaging of ‘spectropolitics’, the way in which spectres circulate with spectrality in organization research is to go beyond the spaces, buildings and objects of an area, the way in merely recovering that past towards exploring what the which spectres make visible the stories and experiences philosopher and critical theorist Walter Benjamin referred of the past (Maddern, 2008). Within this context, spec- to as ‘constellations’ (De Cock et al., 2013). trality also provides a chance for change (Bagchi, 2018). Resonating with Levi Strauss’ notion of ‘bricolage’, Ben- Engaging with spectrality offers an emancipatory possi- jamin’s constellations highlight that historical fragments bility of becoming unstuck, of scholars taking responsi- need to be taken and ‘mounted’ in ways that facilitate bility for opening up and pursuing new and fresh lines interrogation, re-imagination and re-examination for nec- of research (Harris, 2014). Spectres invoke feelings of essary and novel explorations of those fragments’ respec- uncertainty, thereby enabling a questioning of assump- tive relationships to emerge (Pensky, 2004). Here, spec- tions and orthodoxies (Pérez-Carbonell, 2016). Particu- trality allows for recapturing the past and awakening the larly, if we want to transcend spectrality’s anachronistic accompanying inherent dynamics across the spatial, tem- nature, that is avoiding the danger of being ‘burdened poral, individual and collective spheres (De Cock et al., with the responsibility of the possibility of any actual 2013, p. 1) of foundations. To this end, and across the var- recurrence of the errors, illusions, and actual calamities’ ious areas to which narrative methodologies in social and (Meagher, 2011, p. 178) from the past, questioning the con- organizational research already draw attention and tend to ditions of spectrality ‘must be identified and transgressed’ contribute—particularly, sensemaking, identity, commu- so as to re-imagine a different tomorrow (Baloy, 2016, nication, change, learning, power and politics (Rhodes & p. 2009). Brown, 2005)—our four thematic clusters around spectral- Looking within and across the four thematic clusters, a ity provide a set of lenses that address the need to under- number of significant theory-building questions arise for stand rather than to control, to acknowledge ambiguity management and organization studies in general, and for rather than require certainty, when engaging with orga- philanthropic foundations as a special institutional expres- nizations (Rhodes & Brown, 2005). Table 2 starts to set sion in particular. To this end, it is important to bear in out the issues, connections and questions for management mind that spectrality should be seen as a way of ‘read- scholarship in general, and for foundation research in par- ing’ rather than ‘determining’ (Wolfreys, 2016). Thereby, ticular, that arise from our review. These are presented as the four themes need to be considered as interrelated and a starting point for developing complementary research complementary: each provides specific emphases and focal agendas for foundation research and management and points but also relates to and informs the others. This is organization studies more widely. illustrated through the circular arrow at the centre of Fig- Our first theme, relationality and decentring, helps to ure 1. For example, exploring relationality and decentring move foundation theorizing beyond the centred approach also contributes to understanding of narratives and repre- that has dominated foundation research to date. This sentations. The latter, in turn, can be further interrogated approach has been driven by the illusionary nature of ‘the through unpacking questions of ethics and politics, as well foundation’ as an institutional form in itself. For example, as through examining issues of continuity and change. despite prominent and widespread discourse on and ref- Combined, these can circle back to communicate with and erence to foundations in UK academia, policy and prac- inform issues of inclusion and exclusion presented by rela- tice, no such thing as the legal structure of ‘a foundation’ tionality and decentring. As such, the themes themselves exists in the UK (Jung, 2018). Similarly, in the USA, where also need to be seen as representing ‘absent presences’. foundations are a creation of tax law, exclusion rather than What then are the significant theory-building questions inclusion criteria are used to decide whether an organi- that spectrality presents? zation qualifies as a foundation or not (Internal Revenue
What lies beneath? 11 TA B L E 2 Issues, connections and questions for foundation research arising from the four themes Issues, connections and questions for Issues, connections and questions for Theme management and organization studies foundation research Relationality and How can the spectral reorientate our treatment of How can the spectral reorientate our approach to and decentring organizations as a network of relations extending understanding of foundations? across time and spaces? What are the complex relationships of which How can the spectral contribute to scholarship on foundations are composed? relationality and reflexivity? How is plurality cast and played out in the What specific issues and tensions are involved in foundation field? everyday relational work? How do foundations embrace their wider relations, How can we further develop research which past, present and future? explores the shadows and boundaries of How are foundations bounded and to be bounded? organizational life? How do foundations develop capacities to interpret multiple meaning and experiences? Narratives and What are the features of spectral narratives in Who and what are the spectres that linger in representations organizational contexts? foundations and in the foundation world? What effects and affects do such stories and What impacts do spectres have on the choices and narratives have in, on and for organizations? strategies of foundations? What implications do these narratives and How are founders represented and what narratives representations have on learning, strategizing and surround them? knowledge-creation for organizations? What directions do these narratives encourage and which do they inhibit? How do they impact on the renewal of foundations in a changing world? Ethics and politics How does the spectral shed light on the norms and What does spectrality reveal about the norms and values of organizations? values of foundations? What is at stake in taking the spectral seriously in What are foundations’ shadowy sides? What are organization studies? foundations’ bright sides? How do the two interact What do spectres tell us about the politics of and relate to each other? organizations and how those politics are managed? What are foundations’ responsibilities? How and How do everyday actors experience the spectral by whom are they set and influenced? and what ethical dilemmas are entailed in such Whose lost pasts, presents and futures can be encounters? identified? How does the spectral help scholars understand Who is marginalized and whose voices and traditions, inheritances, legacies and their ethical circumstances are left out or unattended? bases? Can foundations atone for their founders’ past, How can attention to the spectral help atone for present or future behaviours? past wrongdoings? Continuity and What are the implications of how the spectral How does the spectral challenge and/or change our change disrupts linear understandings of time, and understanding of foundations’ traditions and organizational histories? inheritances, as well as of philanthropy’s origins How does the spectral emphasis that change is more broadly? never completed or settled re-cast the study of What contemporary dilemmas of continuity and organizational change? change does attention to a foundation’s spectres How does an interest in the spectral contribute to highlight? scholarship on affect, liminality and memory, as What tensions arise from negotiating spectral well as on haunting and uncanny moments in legacies while orientating to change? What organization studies? problems and resources are encountered? How does the absent presence of remembered What opportunities for reform, reconciliation and organizational actors mediate continuity and change does spectrality offer to foundations, change? particularly to permanently endowed ones? Service, 2020). In both countries, even foundations’ Keen to be ‘scientific’, pursuing a centred approach to umbrella bodies and associations acknowledge that ‘the foundation research follows in the footsteps of the natural term foundation has no precise meaning’ (Association of sciences: the foundation field is mapped, similarities and Charitable Foundations, 2020; Council on Foundations, differences are drawn out, clusters are identified and these 2020). are then used to develop categories or types. This can be
12 JUNG and ORR relatively broad and crude, as illustrated in umbrella terms world, and how they influence and direct foundations’ such as ‘community foundation’ or ‘family foundation’, perceptions, policies and practices. Exploring and engag- where little definitional agreement exists, or more specific, ing with foundations’ spectres mirrors the use of ‘phan- as illustrated in attempts at identifying and developing toms’ and spectrality in psychology: working ‘like a ven- foundation taxonomies or typologies based on specific dis- triloquist’, they bring the idea and importance of under- tinguishing institutional criteria (Anheier, 2018; European lying histories, particularly ‘secret’ histories, to the fore- Foundation Centre, 2019; Jung et al., 2018). While these front of our understanding (Abraham & Torok, 1994, p. approaches help in mapping the field and in strength- 173). For example, examining the history of the Carls- ening comparative understanding of foundations as an berg Foundation, one quickly comes across the tensions organizational form, they are geared towards demarcating and subsequent competition between father and son, ‘two foundations within the institutional landscape and from crazy people. . . making themselves objects of derision even each other. To this end, an emphasis is placed on foun- to the workers’ (Hansen, cited in Brown, 2017, p. 202), dations’ organizational characteristics. Doing so offers lit- the establishment of their separate businesses (Carlsberg tle insight about accompanying, underlying and associ- vs. New Carlsberg) as well as foundations (Carlsberg vs. ated questions. Here, spectrality provides the opportunity New Carlsberg Foundation), plus their subsequent bring- to explore and draw in the broader relationships of which ing together under the Carlsberg Foundation name. Sim- foundations are composed, and which foundations them- ilarly, the Robertson Trust, owner of Scottish spirits com- selves create, across past, present and future. With par- pany Edrington, originates from its founders being worried ticular opportunities presenting themselves in relation to about American hostile takeover threats and maintaining (re)examining questions of foundations’ identity and situ- a legacy (Maclean, 2001). A key aim articulated in the Trust atedness within wider social, political and economic con- Deed, the document establishing the foundation, was to texts (Anheier & Daly, 2007; Lagemann, 1989; Leat, 2016), it protect the family businesses from such hostile takeovers also helps to understand the nature of different foundation and ensure that these businesses will ‘continue as active expressions, such as industrial foundations. businesses in the control of British subjects’ (Maclean, Industrial foundations, foundations that own or con- 2001, p. 12), thereby anchoring it in Britain in perpetuity. trol businesses, cover many household names. Exam- Alongside, having a foundation obtain and distribute fund- ples include engineering and technology firm Bosch, ing from the ownership and operation of a spirits busi- watchmaker Rolex, as well as the British newspaper The ness points to wider questions about (in)appropriate and Guardian. Exploring these organizations through a cen- (un)acceptable sources of income and their use, as well as tred approach highlights their organizational characteris- various other spectres that might be lingering in founda- tics. It offers insights on contextual factors, such as their tions’ backgrounds. These are picked up in the third theme, geographic location, their organizational aspects, their size ethics and politics. or their strategic considerations, like thematic approaches As an analytical lens, the spectral approach enables us and beneficiaries. Interrogating their spectral facets moves to ask what is missing and ‘not there’ (Brøgger, 2014). beyond these. It points towards some of the underlying Thus, examining the hidden histories of foundations not causes that have brought about these foundations’ indi- only provides us with a better understanding of that phil- vidual characteristics in the first place, including: secur- anthropic vehicle, but immediately challenges the dom- ing organizational independence or ascertaining orga- inant discourse—and associated criticisms—of founda- nizational survival after the owners’ demise (Edrington tions. Just as philanthropy tends to be considered and ide- Group—Robertson Trust; Rolex—Hans Wildorfs Foun- alized normatively as ‘the love of humanity’, so are founda- dation); ascertaining long-term social or public benefits tions cast as the institutional expressions thereof. As such, put forward by the founder (Carl Zeiss and SCHOTT— the last couple of years have seen growing criticisms of Carl Zeiss Foundation; The Guardian Media Group—The the foundation form, particularly that foundations might Scott Trust); maintaining privacy and providing tax man- not be living up to that philanthropic ideal, to the notion agement opportunities, particularly addressing estate tax of ‘doing good’ or to democratic ideals (Callahan, 2017; (Ford—Ford Foundation; IKEA—Stichting INGKA Foun- McGoey, 2015; Reich et al., 2016). Philanthropy, however, dation). As part of interrogating that past, not only does might better be perceived as the use of private resources one come across the influence of the donors’ own spectre, for public purposes rather than for public good (Phillips & but a number of other spectres can also come to light, lead- Jung, 2016). If so, an engagement with foundations’ spec- ing to our second theme of narratives and representations. tral facets raises questions as to whether such criticisms Engaging with the theme of narratives and representa- of the foundation form are misplaced. Maybe, they sim- tions in foundation research points to questions of who ply arise from a misunderstanding of what foundations and what are the spectres that linger in the foundation are historically, or from a set of uncritical assumptions
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