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Abstract

A preamble in general “provides an introductory statement or preliminary explanation of the instrument, often as to its history and the parties’ intentions, namely, the purpose of and the motives for concluding the treaty and the values underlying the instrument.” It is an important source for the interpretation of the treaty and, in particular, helps in identifying its object and purpose. It thus precedes and introduces the operational part of the agreement without containing operational provisions itself.

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Notes

  1. 1.

    Villiger, M. E. (2009). Commentary on the 1969 Vienna Convention on the Law of Treaties. Leiden/Boston: Martinus Nijhoff Publishers, p. 43, N. 1.

  2. 2.

    Aust, A. (2007). Modern treaty law and practice. Cambridge: Cambridge University Press, p. 426.

  3. 3.

    Neuwirth, R. J. (2006). “United in divergency”: a commentary on the UNESCO Convention on the Protection and Promotion of the Diversity of Cultural Expressions. Zeitschrift für ausländisches öffentliches Recht und Völkerrecht, 66, 819–862, p. 832.

  4. 4.

    For a link to the draft texts prepared by these organizations, see Annex of this Commentary.

  5. 5.

    Aust, A. (2007). Modern treaty law and practice. Cambridge: Cambridge University Press, p. 425.

  6. 6.

    UNESCO Doc. CLT-2002/WS/9 of 2002. It might be interesting to note that the UDCD is also mentioned as a reference in the Preambles of the INCP and the SAGIT Draft.

  7. 7.

    UNESCO Doc. CLT/CPD/2003-608/01 of 20 February 2004, p. 2.

  8. 8.

    UNESCO Doc. CLT/CPD/2003-608/01 of 20 February 2004, p. 3.

  9. 9.

    UNESCO Doc. CLT/CPD/2004/602/6 of 14 May 2004, p. 3.

  10. 10.

    UNESCO Doc. CLT/CPD/2004/602/6 of 14 May 2004, p. 3.

  11. 11.

    UNESCO Doc. CLT/CPD/2004/602/6 of 14 May 2004, pp. 3 et seq.

  12. 12.

    UNESCO Doc. CLT/CPD/2004/602/6 of 14 May 2004, p. 3.

  13. 13.

    UNESCO Doc. CLT/CPD/2004/602/6 of 14 May 2004, p. 12.

  14. 14.

    UNESCO Doc. CLT/CPD/2004/602/6 of 14 May 2004, p. 3.

  15. 15.

    UNESCO Doc. CLT/CPD/2004/603/5 of 23 June 2004, p. 2.

  16. 16.

    UNESCO Doc. CLT/CPD/2004/603/5 of 23 June 2004, p. 3.

  17. 17.

    UNESCO Doc. CLT/CPD/2004/603/5 of 23 June 2004, p. 3.

  18. 18.

    UNESCO Doc. CLT/CPD/2004/603/5 of 23 June 2004, p. 3.

  19. 19.

    UNESCO Doc. CLT/CPD/2004/603/5 of 23 June 2004, p. 3.

  20. 20.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004.

  21. 21.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004, pp. 1 et seq.

  22. 22.

    UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, p. 2.

  23. 23.

    UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, p. 2.

  24. 24.

    UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, ANNEX III, p. 4.

  25. 25.

    UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, ANNEX III, p. 4.

  26. 26.

    UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, ANNEX III, p. 5.

  27. 27.

    The submitted comments and proposed amendments are contained in the partly published UNESCO Doc. CLT/CPD/2004/CONF.607/1 of December 2004.

  28. 28.

    UNESCO Doc. CLT/CPD/2004/CONF.607/2 of December 2004.

  29. 29.

    UNESCO Doc. CLT/CPD/2004/CONF.607/2 of December 2004, p. 3.

  30. 30.

    UNESCO Doc. CLT/CPD/2004/CONF.607/2 of December 2004, p. 4.

  31. 31.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004.

  32. 32.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 16.

  33. 33.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 12.

  34. 34.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 17.

  35. 35.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, pp. 18 et seq.

  36. 36.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, p. 8.

  37. 37.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, p. 11.

  38. 38.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, Appendix 1, pp. 15 et seq.

  39. 39.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, Appendix 2; later published separately as UNESCO Doc. CLT/CPD/2005/CONF.203/6—Add. of 29 April 2005.

  40. 40.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6—Add. of 29 April 2005, p. 2.

  41. 41.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6—Add. of 29 April 2005, pp. 5 et seq.

  42. 42.

    UNESCO (2005). Oral report of the Rapporteur, Mr Artur Wilczynski at the closing of the third session of the Intergovernmental Meeting of Experts on the Draft Convention on the Protection of the Diversity of Cultural Contents and Artistic Expressions. http://www.unesco.org/culture/culturaldiversity/docs_pre_2007/oral_report_wilczynski_en_03062005.pdf, p. 4.

  43. 43.

    UNESCO Doc. 33 C/23 of 4 August 2005, p. 13.

  44. 44.

    UNESCO Doc. CLT/CPD/2004/602/6 of 14 May 2004, p. 3.

  45. 45.

    Aust, A. (2007). Modern treaty law and practice. Cambridge: Cambridge University Press, p. 84.

  46. 46.

    Freud, S. (1994). Das Unbehagen in der Kultur. In S. Freud, Das Unbehagen in der Kultur und andere kulturtheoretische Schriften (pp. 29–108). Frankfurt am Main: S. Fischer, p. 55.

  47. 47.

    UNESCO (1980). Many Voices, one world. Towards a new, more just and more efficient world information and communication order. Report by the International Commission for the Study of Communication Problems. Paris: UNESCO, p. 55.

  48. 48.

    See recitals 2, 5 and 7 of the Preamble and Article I para. 1 lit. a UNESCO Constitution of 16 November 1945.

  49. 49.

    Recital 6 of the Preamble of the Convention Concerning the Protection of the World Cultural and Natural Heritage (1972) uses the term “mankind”.

  50. 50.

    Cp. Article 2 paras 1 and 3 of the Convention. Furthermore, see recital 5 of the Preamble.

  51. 51.

    Also see below, Sect. 3.4 of this comment.

  52. 52.

    See also, comment on Article 2 (para. 3) by Toshiyuki Kono.

  53. 53.

    See the respective sections of this comment below.

  54. 54.

    See the 1972 WHC.

  55. 55.

    CPUH of 2001.

  56. 56.

    CSICH of 2003.

  57. 57.

    See the comment on Article 4 (para. 1) by Nina Obuljen.

  58. 58.

    See also above, Sect. 3.2 of this comment.

  59. 59.

    See Article 4 of the 1970 UNESCO Convention on the Means of Prohibiting and Preventing the Illicit Import, Export and Transfer of Ownership of Cultural Property.

  60. 60.

    Article 1 lit. b of the 2003 CSICH.

  61. 61.

    For example, see Preamble recital 1 CPUH.

  62. 62.

    See the notion of a “world heritage”, which is the very subject of the UNESCO 1972 WHC and the mention of a “heritage of all nations in the world” as reflected in recital 3 of the Preamble of the Convention.

  63. 63.

    See comment on Article 2 (para. 1) by Toshiyuki Kono.

  64. 64.

    See above. Also see comment on Article 2 (para.1) by Toshiyuki Kono.

  65. 65.

    See Article 1 para. 1 UNESCO Constitution of 16 November 1945: “The purpose of the Organization is to contribute to peace and security by promoting collaboration among the nations through education, science and culture in order to further universal respect for justice, for the rule of law and for the human rights and fundamental freedoms which are affirmed for the peoples of the world, without distinction of race, sex, language or religion, by the Charter of the United Nations.”

  66. 66.

    See the wording of recital 8.

  67. 67.

    See recitals 5 and 6 of the Preamble of the UNESCO Constitution of 16 November 1945 which read: “That the wide diffusion of culture, and the education of humanity for justice and liberty and peace are indispensable to the dignity of man and constitute a sacred duty which all the nations must fulfil in a spirit of mutual assistance and concern; That a peace based exclusively upon the political and economic arrangements of governments would not be a peace which could secure the unanimous, lasting and sincere support of the peoples of the world, and that the peace must therefore be founded, if it is not to fail, upon the intellectual and moral solidarity of mankind.”

  68. 68.

    Recital 4 of the Preamble of the UNESCO Constitution of 16 November 1945.

  69. 69.

    For details on this aspect of Article 55 UNC, see Goodrich, L. M. et al. (1969). Charter of the United Nations. Commentary and documents. New York/London: Columbia University Press, pp. 371–372; Wolfrum, R. (2002). Article 55 (a) and (b). In B. Simma (Ed.), The Charter of the United Nations. A commentary. (pp. 897–917). Oxford: Oxford University Press, pp. 898–899, N. 2; Cot, J.-P. et al. (2005). La Charte des Nations Unies. Commentaire article par article. Paris: Economica, pp. 1456–1457, N. 10.

  70. 70.

    For further details, see the comment on Article 2 by Toshiyuki Kono.

  71. 71.

    See Articles 4 to 6 of the UDCD. UNESCO Doc. CLT-2002/WS/9 of 2002, p. 13.

  72. 72.

    See the above Sect. 2 of this comment, especially subitem 2.2.

  73. 73.

    For further details, see the comment on Article 2 by Toshiyuki Kono.

  74. 74.

    Eide, A., & Alfredsson, G. (1992). Introduction. In A. Eide et al. (Eds), The Universal Declaration of Human Rights: a commentary (pp. 5–16). London/New York/Toronto: Scandinavian University Press, p. 7.

    Furthermore see, inter alia, Weissbrodt, D. et al. (2009). International human rights: law, policy, and process. Newark: LexisNexis, especially pp. 33 et seq.; Kälin, W., & Künzli, J. (2009). The law of international human rights protection. Oxford: Oxford University Press, especially pp. 13 et seq.; Weissbrodt, D., & de la Vega, C. (2007). International human rights law. An introduction. Philadelphia: University of Pennsylvania Press, pp. 24 et seq.

    On the impact and influence of the UDHR on human rights protection on the national level, see for example: Clayton, R., & Tomlinson, H. (2009). The law of human rights. Volume I. Oxford: Oxford University Press, pp. 73 et seq.

  75. 75.

    As to the question of universality of the human rights and fundamental freedoms codified by the UHDR and other international instruments on the protection of human rights, see, for example, Addo, M. K. (Ed.) (2006). International law of human rights. Aldershot/Burlington: Ashgate Publishing/Dartmouth Publishing.

  76. 76.

    For an overview over the respective international instruments potentially in question, see Ghandhi, S. (Ed.) (2010). Blackstone’s international human rights documents. Oxford: Oxford University Press.

  77. 77.

    For further details, see the comment on Article 1 by Michael Hahn and the comment on Article 2 by Toshiyuki Kono.

  78. 78.

    See comments on Articles 13 to 16 by David Throsby; Edna dos Santos-Duisenberg; Jens Kåre Rasmussen/Laura Gómez Bustos; Xavier Troussard/Valérie Panis-Cendrowicz/Julien Guerrier.

  79. 79.

    World Commission on Culture and Development (1995). Our creative diversity. Paris: UNESCO.

  80. 80.

    UNESCO Doc. CLT-98/Conf.210/5 of 31 August 1998, p. 7.

  81. 81.

    GA Res. 55/2 of 8 September 2000, p. 4.

  82. 82.

    See Overarching Objective 2 of UNESCO’s Medium-Term Strategy 2008–2013, UNESCO Doc 34 C/4, pp. 19 et seq.

  83. 83.

    See Article 3 of the UDCD, UNESCO Doc. CLT-2002/WS/9 of 2002, p. 13.

  84. 84.

    See Luhmann, N. (1997). Die Gesellschaft der Gesellschaft. Frankfurt am Main: Suhrkamp; also see Reckwitz, A. (2008). Die Transformation der Kulturtheorien. Zur Entwicklung eines Theorieprogramms. Göttingen: Velbrück.

  85. 85.

    See recital 5 of the Preamble of the UDCD (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 12). This definition is in line with the conclusions of the World Conference on Cultural Policies (UNESCO Doc. CLT/MD/1 of November 1982), of the World Commission on Culture and Development (World Commission on Culture and Development (1995). Our creative diversity. Paris: UNESCO), and of the Intergovernmental Conference on Cultural Policies for Development (UNESCO Doc. CLT-98/Conf.210/5 of 31 August 1998).

  86. 86.

    Recital 6 of the Preamble of the UDCD states: “Noting that culture is at the heart of contemporary debates about identity, social cohesion, and the development of a knowledge-based economy […]” (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 12). Furthermore, Article 1 UDCD states: “Cultural diversity: the common heritage of humanity—Culture takes diverse forms across time and space. This diversity is embodied in the uniqueness and plurality of the identities of the groups and societies making up humankind. […]” (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 13).

  87. 87.

    See, for instance, WIPO (2002). Traditional knowledge—Operational terms and definitions. WIPO Doc. WIPO/GRTKF/IC/3/9 of 20 May 2002.

  88. 88.

    WIPO (2011). The protection of traditional cultural expressions: draft articles. WIPO Doc. WIPO/GRTKF/IC/19/4 of 17 May 2011.

  89. 89.

    WIPO (2011). The protection of traditional knowledge: draft articles. WIPO Doc. WIPO/GRTKF/IC/19/5 of 20 May 2011.

  90. 90.

    Article 6 of the UDCD states as follows: “Towards access for all to cultural diversity—While ensuring the free flow of ideas by word and image care should be exercised that all cultures can express themselves and make themselves known. Freedom of expression, media pluralism, multilingualism, equal access to art and to scientific and technological knowledge, including in digital form, and the possibility for all cultures to have access to the means of expression and dissemination are the guarantees of cultural diversity.” (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 13. Emphasis added.)

  91. 91.

    As to the issue of multilingualism, see recital 14 of the Preamble and Article 6 para. 2 lit. b of the Convention; as to the question of equal access to art and to scientific and technological knowledge, including in digital form, see recital 12 of the Preamble and Article 2 para. 7 of the Convention; and finally, as to the possibility for all cultures to have access to the means of expression and dissemination, see recital 12 of the Preamble and Article 2 lit. 7 of the Convention.

  92. 92.

    Inter alia, see Luhmann, N. (1997). Die Gesellschaft der Gesellschaft. Frankfurt am Main: Suhrkamp, p. 588.

  93. 93.

    Also see Graber, C. B. (2008). Substantive rights and obligations under the UNESCO Convention on Cultural Diversity. In H. Schneider, & P. van den Bossche (Eds), Protection of cultural diversity from a European and international perspective (pp. 141–161). Antwerpen/Oxford/Portland: Intersentia, p. 142.

  94. 94.

    Weissbrodt, D., & de la Vega, C. (2007). International human rights law. An introduction. Philadelphia: University of Pennsylvania Press, p. 102.

  95. 95.

    GA Res. 217 (A) III of 10 December 1948.

    Article 18 UDHR states: “Everyone has the right to freedom of thought, conscience and religion; […]”. Article 19 UDHR reads: “Everyone has the right to freedom of opinion and expression; this right includes the freedom to hold opinions without interference and to seek, receive and impart information and ideas through any media and regardless of frontiers.”

    For general information and further details, inter alia, see: Robertson, A., & Merrills, J. (1996). Human rights in the world. Manchester: Manchester University Press, pp. 25 et seq.

  96. 96.

    Article 5 UDCD reads as follows: “Cultural rights as an enabling environment for cultural diversity—Cultural rights are an integral part of human rights, which are universal, indivisible and interdependent. The flourishing of creative diversity requires the full implementation of cultural rights as defined in Article 27 of the Universal Declaration of Human Rights and in Articles 13 and 15 ICESC. All persons have therefore the right to express themselves and to create and disseminate their work in the language of their choice, and particularly in their mother tongue; all persons are entitled to quality education and training that fully respect their cultural identity; and all persons have the right to participate in the cultural life of their choice and conduct their own cultural practices, subject to respect for human rights and fundamental freedoms.” (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 13.)

  97. 97.

    For example, see Weissbrodt, D., & de la Vega, C. (2007). International human rights law. An introduction. Philadelphia: University of Pennsylvania Press, p.104.

  98. 98.

    For further details, see the above Sect. 2 of this comment. Also see the Preamble of the UDCD (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 12) and Overarching Objective 4 of UNESCO’s Midterm Strategy for 2008–2013 (UNESCO Doc. 34 C/4 (CLD-8.8) of 2008, pp. 25 et seq.).

  99. 99.

    As to the special attention the Convention pays to the issue of traditional cultural expressions and the specific role of indigenous peoples, see below, Sect. 3.16 of this comment, the comment on Article 2 (para. 4) by Toshiyuki Kono, and the comment on Article 7 (para. 2 lit. a) by Sven Mißling/Bernd M. Scherer.

  100. 100.

    Adopted by the 31st Session of the General Conference of UNESCO on 2 November 2001 (UNESCO Doc. CLT-2002/WS/9 of 2002, pp. 15–16).

  101. 101.

    Objective 5 of the Action Plan (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 15).

  102. 102.

    Objective 6 of the Action Plan (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 15).

  103. 103.

    Objective 10 of the Action Plan (UNESCO Doc. CLT-2002/WS/9 of 2002, p. 15).

  104. 104.

    UNESCO Doc. 19C/Resolutions of 26 November 1976, Annex I, pp. 29 et seq. Para. 4 lit. f of the Recommendation reads: “4. It is recommended that Member States, if they have not already done so, adopt legislation or regulations in conformity with their national constitutional procedures, or otherwise modify existing practices in order to: […] f. guarantee the recognition of the equality of cultures, including the cultures of national minorities and of foreign minorities if they exist, as forming part of the common heritage of all mankind, and ensure that they are promoted at all levels without discrimination; ensure that national minorities and foreign minorities have full opportunities for gaining access, to and participating in the cultural life of the countries in which they find themselves in order to enrich it with their specific contributions, while safeguarding their right to preserve their cultural identity”.

  105. 105.

    The recital reads: “Recognizing that communities, in particular indigenous communities, groups and, in some cases, individuals, play an important role in the production, safeguarding, maintenance and re-creation of the intangible cultural heritage, thus helping to enrich cultural diversity and human creativity”.

  106. 106.

    Article 8 lit. j CBD.

  107. 107.

    GA Res. 61/295 of 13 September 2007.

  108. 108.

    Inter alia, see WIPO (2003). Consolidated analysis of the legal protection of traditional cultural expressions/expressions of folklore. Geneva: WIPO, pp. 25 et seq.

  109. 109.

    WIPO (2001). Intellectual property needs and expectations of traditional knowledge. Geneva: WIPO; WIPO (2003). Consolidated analysis of the legal protection of traditional cultural expressions/expressions of folklore. Geneva: WIPO.

  110. 110.

    Furthermore, regarding the aspect of interculturality and cultural exchange, inter alia, see the comment on Article 1 (lit. d) by Michael Hahn, and the comment on Article 2 (para. 7) by Toshiyuki Kono.

  111. 111.

    See above, Sect. 3.2 of this comment.

  112. 112.

    See Article 1 of the 1972 WHC. For further details, see Francioni, F. (2008). The Preamble. In F. Francioni, & F. Lenzerini (Eds), The 1972 World Heritage Convention. A commentary (pp. 11–22). Oxford: Oxford University Press.

  113. 113.

    See above, Sect. 3.17 of this comment.

  114. 114.

    See the comment on Article 2 by Toshiyuki Kono, the comment on Article 6 by Ivan Bernier, and the comment on Article 14 by Edna dos Santos-Duisenberg.

  115. 115.

    See UNESCO Doc. CLT/CPD/2004/CONF.201/5 of July 2004.

  116. 116.

    See Francioni, F. (2008). The Preamble. In F. Francioni, & F. Lenzerini (Eds), The 1972 World Heritage Convention. A commentary (pp. 11–22). Oxford: Oxford University Press, p. 17.

  117. 117.

    UNESCO Doc. CLT/CPD/2004/CONF.201/5 of July 2004.

  118. 118.

    See Article 1 para. 3 UNESCO Constitution of 16 November 1945.

  119. 119.

    Adoption of the UDCD by the 31st session of the General Conference of UNESCO on 2 November 2001; for further details see the above Sect. 2 of this comment, especially subitem 2.2.

  120. 120.

    See GA Res 57/249 of 20 February 2003, and UNESCO Doc. 32 C/52 of 18 July 2003, referring to UNESCO Doc. 166 EX/Decisions of 14 May 2003, Decision 3.4.3.

  121. 121.

    UNESCO Doc. CLT/CPD/2004/CONF.201/5 of July 2004.

  122. 122.

    For further details, see the above Sect. 2 of this comment, especially subitem 2.2.

  123. 123.

    Adopted by the 31st session of the General Conference of UNESCO at Paris on 2 November 2001.

  124. 124.

    Matsuura, K. (2002). The cultural wealth of the world is its diversity in dialogue. In UNESCO (Ed.) Universal Declaration on Cultural Diversity. A vision. A conceptual platform. A pool of ideas for implementation. A new paradigm (p. 3). Paris: UNESCO. http://unesdoc.unesco.org/images/0012/001271/127162e.pdf.

  125. 125.

    Matsuura, K. (2002). The cultural wealth of the world is its diversity in dialogue. In UNESCO (Ed.) Universal Declaration on Cultural Diversity. A vision. A conceptual platform. A pool of ideas for implementation. A new paradigm (p. 3). Paris: UNESCO. http://unesdoc.unesco.org/images/0012/001271/127162e.pdf.

  126. 126.

    Matsuura, K. (2002). The cultural wealth of the world is its diversity in dialogue. In UNESCO (Ed.) Universal Declaration on Cultural Diversity. A vision. A conceptual platform. A pool of ideas for implementation. A new paradigm (p. 3). Paris: UNESCO. http://unesdoc.unesco.org/images/0012/001271/127162e.pdf.

  127. 127.

    See the above Sect. 2 of this comment, especially subitem 2.2.

  128. 128.

    Also see Sect. 3. 21 of this comment.

  129. 129.

    See Article 1 para. 1 UNESCO Constitution of 16 November 1945.

  130. 130.

    Agreed at Florence on 17 June 1950, with Annexes A to E and Protocol annexed 1950, as well as Protocol agreed at Nairobi on 26 November 1976.

  131. 131.

    For further details on UNESCO’s activities and strategy, see http://www.unesco.org/new/en/culture/themes/. Also see UNESCO Doc. 34 C/4 (CLD-8.8) of 2008.

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Correspondence to Peter-Tobias Stoll .

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Stoll, PT., Mißling, S., Jürging, J. (2012). Preamble. In: von Schorlemer, S., Stoll, PT. (eds) The UNESCO Convention on the Protection and Promotion of the Diversity of Cultural Expressions. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-642-25995-1_2

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