This paper investigates the structure of unique beta-expansions over three-letter alphabets using S-adic words, extending known thresholds for binary alphabets to more complex ternary cases.
Contribution
It introduces a new generalization of the Komornik-Loreti constant for three-letter alphabets using Thue-Morse and Sturmian words.
Findings
01
Determined the value of the generalized Komornik-Loreti constant for ternary alphabets.
02
Connected S-adic words with thresholds for unique expansions.
03
Extended binary alphabet results to ternary cases.
Abstract
The set of unique β-expansions over the alphabet {0,1} is trivial for β below the golden ratio and uncountable above the Komornik-Loreti constant. Generalisations of these thresholds for three-letter alphabets were studied by Komornik, Lai and Pedicini (2011, 2017). We use S-adic words including the Thue-Morse word (which defines the Komornik-Loreti constant) and Sturmian words (which characterise generalised golden ratios) to determine the value of a certain generalisation of the Komornik-Loreti constant to three-letter alphabets.
\pi_{\beta}(u_{k}u_{k+1}\cdots)<\tfrac{m}{\beta},\ \pi_{\beta}(u_{k+1}u_{k+2}\cdots)>\tfrac{m}{\beta-1}-1\ \mbox{for all $k\geq 1$ such that $u_{k}=1$},
\pi_{\beta}(u_{k}u_{k+1}\cdots)<\tfrac{m}{\beta},\ \pi_{\beta}(u_{k+1}u_{k+2}\cdots)>\tfrac{m}{\beta-1}-1\ \mbox{for all $k\geq 1$ such that $u_{k}=1$},
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Full text
Thue–Morse–Sturmian words and critical bases for ternary alphabets
Wolfgang Steiner
IRIF, CNRS UMR 8243, Université Paris Diderot – Paris 7, Case 7014, 75205 Paris Cedex 13, FRANCE
The set of unique β-expansions over the alphabet {0,1} is trivial for β below the golden ratio and uncountable above the Komornik–Loreti constant.
Generalisations of these thresholds for three-letter alphabets were studied by Komornik, Lai and Pedicini (2011, 2017).
We use S-adic words including the Thue–Morse word (which defines the Komornik–Loreti constant) and Sturmian words (which characterise generalised golden ratios) to determine the value of a certain generalisation of the Komornik–Loreti constant to three-letter alphabets.
This work was supported by the Agence Nationale de la Recherche through the project CODYS (ANR-18-CE40-0007).
1. Introduction and main results
For a base β>1 and a sequence of digits u1u2⋯∈A∞, with A⊂R, let
[TABLE]
We say that u1u2⋯ is a β-expansion of this number.
This paper deals with unique β-expansions over A, that is with
[TABLE]
We know from [DK93] that Uβ({0,1}) is trivial if and only if β≤21+5, where trivial means that Uβ({0,1})={0,1}, a being the infinite repetition of a.
Therefore,
[TABLE]
is called generalised golden ratio of A.
By [GS01], the set Uβ({0,1}) is uncountable if and only if β is larger than the Komornik–Loreti constant βKL≈1.787; we call
[TABLE]
generalised Komornik–Loreti constant of A.
(We can replace uncountable throughout the paper by has the cardinality of the continuum.)
The precise structure of Uβ({0,1}) was described in [KKL17].
For integers M≥2, G({0,1,…,M}) was determined by [Bak14], and Uβ({0,1,…,M}) was described in [KLLdV17, ABBK19].
For x,y∈R, x=0, we have (xu1+y1)(xu2+y2)⋯∈Uβ(xA+y) if and only if u1u2⋯∈Uβ(A), thus G(xA+y)=G(A) and K(xA+y)=K(A).
Hence, the only two-letter alphabet to consider is {0,1}, and we can restrict to {0,1,m}, m∈(1,2], for three-letter alphabets; another possibility is m≥2 as in [KLP11].
We write
[TABLE]
It was established in [KLP11, Lai11, BS17] that the generalised golden ratio G(m) is given by mechanical words, i.e., Sturmian words and their periodic counterparts; in particular, we can restrict to sequences u∈{0,1}∞.
Calculating K(m) seems to be much harder since this restriction is not possible.
Therefore, we study
[TABLE]
following [KP17], where this quantity was determined for certain intervals.
We give a complete characterisation in Theorem 1 below.
To this end, we use the substitutions (or morphisms)
[TABLE]
which act on finite and infinite words by σ(u1u2⋯)=σ(u1)σ(u2)⋯.
The monoid generated by a set of substitutions S (with the usual product of substitutions) is denoted by S∗.
An infinite word u is a limit word of a sequence of substitutions (σn)n≥1 (or an S-adic word if σn∈S for all n≥1) if there is a sequence of words (u(n))n≥1 with u(1)=u, u(n)=σn(u(n+1)) for all n≥1.
The sequence (σn)n≥1 is primitive if for each k≥1 there is an n≥k such that both words σkσk+1⋯σn(0) and σkσk+1⋯σn(1) contain both letters [math] and 1.
For S={L,M,R}, this means that there is no k≥1 such that σn=L for all n≥k or σn=R for all n≥k.
Let SS be the set of limit words of primitive sequences of substitutions in S∞.
Then S{L,R} consists of Sturmian words, and S{M} consists of the Thue-Morse word0u=0110100110010110⋯, which defines the Komornik–Loreti constant by πβKL(u)=1, and its reflection by 0↔1.
We call the elements of S{L,M,R}, which to our knowledge have not been studied yet, Thue–Morse–Sturmian words.
For details on S-adic and other words, we refer to [Lot02, BD14].
For u∈{0,1}∞ and m∈(1,2], define fu(m) (if u contains at least two ones) and gu(m) as the unique positive solutions of
[TABLE]
respectively, where O(u1u2⋯)={ukuk+1⋯:k≥1} denotes the shift orbit and infinite words are ordered by the lexicographic order.
For the existence and monotonicity properties of fu(m) and gu(m), see Lemma 2 below.
We define μu by
[TABLE]
i.e., fu(μu)=gu(μu)=β with βπβ(supO(u))=(β−1)(1+πβ(infO(u))).
cf. [BS17, Proposition 3.18], where substitutions τh=LhR are used and f,g,μ,S are defined slightly differently.
Our main theorem looks similar, but we need {L,M,R} instead of {L,R}, and the roles of f and g are exchanged.
Theorem 1**.**
The function L(m), 1<m≤2, is given by
[TABLE]
The Hausdorff dimension of πβ(Uβ(m)) is positive for all β>L(m).
The graphs of G(m) and L(m) are drawn in Figure 1.
For example, σ=M gives
[TABLE]
Taking σ=M2, we have σ(0)=0110, σ(1)=1001, and
[TABLE]
Subintervals of the first three intervals were also given by [KP17].
with G(m)=L(m) if and only if m∈{μσ(10),μσ(01)}, σ∈{L,R}∗M, or m=μu, u∈S{L,R}.
Besides those m, the value of K(m) is known only for m=2 from [dVK09, AF09, KP17], with K(2)≈2.536<23+5=L(2).
The functions G(m), K(m) and L(m) are continuous for m>1 by [KLP11, KP17]; at least for the generalised golden ratio, this also holds for larger alphabets by [BS17].
2. Proof of the main theorem
We first establish relations between fu(m), gu(m) and u∈Uβ(m).
For convenience, we write inf(u) for infO(u) and sup(u) for supO(u) in the following.
Lemma 1**.**
Let m∈(1,2], β∈(1,1+m].
For u∈{0,1}∞, we have u∈Uβ(m) if and only if 0u∈Uβ(m).
For u∈1{0,1}∞∖{10}, u∈Uβ(m) implies that β≥max(fu(m),gu(m)), and β>max(fu(m),gu(m)) implies that u∈Uβ(m).
Proof.
For β∈(1,1+m], u=u1u2⋯∈{0,1,m}∞, x∈[0,β−1m], we have πβ(u)=x if and only if uk=d(Tk−1(x)) for all k≥1, with the branching β-transformation
with strict equalities if the supremum and infimum are attained.
In particular, we have u∈Uβ(m) if and only if 0u∈Uβ(m).
If u starts with 1, then inf1(u)=inf(u), and the first lines of Lemma 2 below conclude the proof of the lemma.
∎
Lemma 2**.**
Let m∈(1,2], u,u′∈{0,1}∞.
Then gu(m) is well defined.
If u contains at least two ones, then fu(m) and μu are well defined, and we have
[TABLE]
Proof.
Let sup(u)=v and set hv(x,m)=xπx(v)−m.
Then hv(x,m) is strictly decreasing in x and m (for x>1).
If u contains at least two ones, then this also holds for v, thus limx→1hv(x,m)≥2−m and limx→∞hv(x,m)=1−m.
Therefore, there is, for each m∈(1,2], a unique xm,v≥1 such that hv(xm,v,m)=0, i.e., fu(m)=xm,v.
If m<m′, then we have xm,v>xm′,v.
If v<v′ and x≥2, then we have hv(x,m)<hv′(x,m), thus xm,v<xm,v′ if xm,v≥2.
Let now inf(u)=v and set hv(x,m)=x−1m−πx(v)−1.
Since x−1m=πx(m), hv(x,m) is strictly decreasing in x (for x>1) and strictly increasing in m.
Again, there is, for each m∈(1,2], a unique xm,v>1 such that hv(xm,v,m)=0, i.e., gu(m)=xm,v.
We have hv(x,m)<0 if x>xm,v, xm,v<xm′,v if m<m′, and hv(x,m)>hv′(x,m) if v<v′, x≥2, thus xm,v>xm,v′ if xm,v′≥2.
Since fu(m) is strictly decreasing, gu(m) is strictly increasing, limm→1fu(m)=∞, fu(2)≤2 and gu(2)≥2, we have fu(m)=gu(m) for a unique m∈(1,2].
Let β=fu(μu)=gu(μu), i.e., βπβ(sup(u))=(β−1)(1+πβ(inf(u))).
We have sup(u)≥1inf(u).
If equality holds, then β=2.
Otherwise, sup(u) starts with 1v1⋯vk−11 and inf(u) starts with v1⋯vk−10 for some v1⋯vk−1, k≥1.
Then
[TABLE]
thus β≥2.
By the monotonicity properties that are proved above, this implies that max(fu(m),gu(m))≥2 for all m∈(1,2].
∎
Therefore, it is crucial to determine inf(u) and sup(u).
We set
[TABLE]
similarly to inf1(u1u2⋯)=inf{uk+1uk+2⋯:k≥1,uk=1}.
Lemma 3**.**
For all u∈{0,1}∞, we have
[TABLE]
If inf(u)=inf1(u), then inf(M(u))=0M(inf(u)).
If sup(u)=sup0(u), then
[TABLE]
For each σ∈{L,M,R}∗, there is a suffix w of σ(1) such that inf1(σ(u))=inf(σ(u))=wσ(inf(u)) for all u∈{0,1}∞ with inf(u)=inf1(u).
For each σ∈{L,M,R}∗M∪{L,M,R}∗R, there is a suffix w of σ(0) such that sup0(σ(u))=sup(σ(u))=wσ(sup(u)) for all u∈{0,1}∞ with sup(u)=sup0(u).
For each σ∈{L,M,R}∗L, there is a prefix w of σ(0) such that wsup0(σ(u))=wsup(σ(u))=σ(sup(u)) for all u∈{0,1}∞ with sup(u)=sup0(u).
Proof.
The first statements follow from the facts that L,M,R are order-preserving on infinite words and that inf(u)=inf1(u), sup(u)=sup0(u) mean that 1inf(u), 0sup(u) are in the closure of O(u).
We claim that, for each σ∈{L,M,R}∗, there is a suffix 1w of σ(1) such that inf1(σ(u))=inf(σ(u))=wσ(inf(u)) for all u∈{0,1}∞ with inf(u)=inf1(u).
If 1w is a suffix of σ(1), then 1L(w), 10M(w) and 1R(w) are suffixes of Lσ(1), Mσ(1) and Rσ(1) respectively.
Therefore, this claim holds for Lσ, Mσ and Rσ when it holds for σ.
Since it holds for σ=id, it holds for all σ∈{L,M,R}∗.
Next we claim that, for each σ∈{L,M,R}∗{M,R}, there is a suffix 01w of σ(0) such that sup0(σ(u))=sup(σ(u))=1wσ(sup(u)) for all u∈{0,1}∞ with sup(u)=sup0(u).
This holds for σ∈{M,R}.
If 01w is a suffix of σ(0), then 01L(w), 01M(1w) and 01R(1w) are suffixes of Lσ(0), Mσ(0) and Rσ(0) respectively.
Therefore, this claim holds for all σ∈{L,M,R}∗{M,R}.
Finally we claim that, for each σ∈{L,M,R}∗L, there is a prefix w0 of σ(0) such that w0sup0(σ(u))=w0sup(σ(u))=σ(sup(u)) for all u∈{0,1}∞ with sup(u)=sup0(u).
This holds for σ=L .
If w0 is a prefix of σ(0), then L(w0)0, M(w)0 and R(w)0 are prefixes of Lσ(0), Mσ(0) and Rσ(0) respectively.
Therefore, this claim holds for all σ∈{L,M,R}∗L.
∎
Now we can prove that Theorem 1 gives an upper bound for L(m), cf. Figure 3.
Proposition 1**.**
Let m∈(1,2].
We have
[TABLE]
If β is above this bound, then the Hausdorff dimension of πβ(Uβ(m)) is positive.
Proof.
Let σ∈{L,M,R}∗.
For all h≥1, v∈1{0(01)h,0(01)h+1}∞, we have
Therefore, we have for each β>max(fσM(0)(m),gσM(10)(m)) some h≥1 such that σ({0(01)h,0(01)h+1}∞)⊆Uβ(m).
If m≥μσM(10), then fσM(0)(m)=fσM(10)(m)≤gσM(10)(m), thus Uβ(m)∩{0,1}∞ is uncountable (and has the cardinality of the continuum) for all β>gσM(10)(m), i.e., L(m)≤gσM(10)(m).
By symmetry, sequences in σ({1(10)h,1(10)h+1}∞) give that L(m)≤fσM(01)(m) for m≤μσM(01).
Similarly, sequences in 1{01h,01h+1}∞ give that L(m)≤g01(m) for m≥μ01.
Let now u be a limit word of a primitive sequence (σn)n≥1∈{L,M,R}∞, and set σn′=σ1σ2⋯σn.
Then inf(σn′(10))≤inf(u)≤inf(σn′(101)) for all n≥1, thus inf(σn′(10))→inf(u) and (by symmety) sup(σn′(01))→sup(u) as n→∞.
Therefore, for each β>max(fu(m),gu(m)) there is n≥1 such that σn′(v)∈Uβ(m) for all v∈{0,1}∞∖{0,1}, hence L(m)≤gu(m) for m≥μu and L(m)≤fu(m) for m≤μu.
If {v,w}∞⊆Uβ(m), then by [Hut81] we have dimH(πβ(Uβ(m)))≥r, with r>0 such that β−∣v∣r+β−∣w∣r=1, where ∣v∣ and ∣w∣ denote the lengths of v and w.
∎
For the lower bound, we use Lemma 5 below, which tells us that, if the orbit of a sequence satisfies inequalities that hold for all non-trivial images of σ∈{L,M,R}∗, then it is eventually in the image of σ.
In particular, with σ=Mn, n≥0, this yields that Uβ({0,1}) is countable for all β less than the Komornik–Loreti constant; cf. [GS01].
First we show that the conditions of Lemma 3 are satisfied for a suffix.
Lemma 4**.**
Let u∈{0,1}∞ with u=0k1 and u=1k0 for all k≥0.
There is a suffix v of u such that inf(v)=inf1(v)=inf1(u) and sup(v)=sup0(v)=sup0(u).
Proof.
If inf(u)=inf1(u) and sup(u)=sup0(u), then we can take v=u.
Otherwise, assume that inf(u)=inf1(u), the case sup(u)=sup0(u) being symmetric.
Then we have inf(u)=u=0k01u′ for some k≥0, u′∈{0,1}∞∖{1},
[TABLE]
If inf1(01u′)=inf(01u′), then u′=1n01u′′ with n≥0, u′′>u′, which implies that sup0(u)=sup0(1u′)=sup(1u′).
Hence, we can take v=01u′ or v=1u′.
∎
Lemma 5**.**
Let u∈{0,1}∞, σ∈{L,M,R}∗, with inf(u)≥inf(σ(10)), sup(u)≤sup(σ(01)).
Then u ends with σ(v) for some v∈{0,1}∞ or with σ′(0), σ′∈{L,M,R}∗M, σ∈σ′{L,M,R}∗.
Proof.
The statement is trivially true when σ is the identity.
Suppose that it holds for some σ∈{L,M,R}∗, let φ∈{L,M,R} and u∈{0,1}∞ with inf(u)≥inf(φσ(10)), sup(u)≤sup(φσ(01)).
If φ=L, then sup(u)≤10, thus every 1 in u is followed by a [math], hence u=L(v) or u=1L(v) for some v∈{0,1}∞.
Similary, if φ=R, then inf(u)≥01, hence u=R(v) or u=0R(v) for some v∈{0,1}∞.
If φ=M, then inf(u)≥001 and sup(u)≤110.
Hence, for all k≥1, 0(01)k as well as 1(10)k is always followed in u by 01 or 10.
Since u contains 001 or 110 if u∈/{M(0),M(1)}, we obtain that u ends with M(v) for some v∈{0,1}∞.
We can assume that v∈{0,1} or inf1(v)=inf(v) and sup0(v)=sup(v), by Lemma 4.
If v=0, then we cannot have inf(v)<inf(σ(10)) because this would imply that inf(φ(v))<inf(φσ(10)) by Lemma 3.
Similarly, we obtain that sup(v)≤sup(σ(10)) if v=1.
If v=0, φ∈{L,R}, then inf(φ(0))≥inf(φσ(10)) implies that inf(σ(10))=0, thus v=σ(0).
Similarly, if v=1 and φ∈{L,R}, then sup(φ(1))≤sup(φσ(01)) implies that sup(σ(01))=1, thus v=σ(1).
If v∈{0,1}, φ=M, then u ends with M(0) since M(1)=1M(0).
Therefore, u ends with φσ(v) or with σ′(0), σ′∈{L,M,R}∗M, φσ∈σ′{L,M,R}∗.
∎
We obtain the following lower bound for L(m), cf. Figure 3.
Proposition 2**.**
Let m∈(1,2].
We have L(m)≥g01(m) and
[TABLE]
Proof.
For all v∈1{0,1}∞∖{1}, we have inf(v)≤01.
Then v∈Uβ(m) implies that β≥g01(m) by Lemma 1, hence L(m)≥g01(m).
Suppose that Uβ(m)∩{0,1}∞ is uncountable for β<gσ(10)(m), m≤μσ(010), σ∈{L,M,R}∗M, thus β<gσ(010)(m)≤fσ(010)(m).
Then Uβ(m) contains an aperiodic sequence v∈1{0,1}∞, with fv(m)<fσ(010)(m) and gv(m)<gσ(10)(m) by Lemma 1, thus inf(v)>inf(σ(10)) and sup(v)<sup(σ(010)) by Lemma 2.
By Lemma 5, v ends with σ(v′) for some (aperiodic) v′∈{0,1}∞, contradicting that sup(v)<sup(σ(010)).
Symetrically, we get that L(m)≥fσ(01)(m) for m≥μσ(101).
If u is a limit word of a primitive sequence (σn)n≥1∈{L,M,R}∞, then we have μσn′(010)→μu for σn′=σ1σ2⋯σn as n→∞, thus β<gu(m), m≤μu implies that β<min(gσn′(010)(m),fσn′(010)(m)) for some n≥1, and we obtain as in the previous paragraph that Uβ(m)∩{0,1}∞ is at most countable.
Therefore, we have L(m)≥gu(m) and, similarly, L(m)≥fu(m) for m≥μu.
∎
Propositions 1 and 2 prove the formula for L(m) in Theorem 1.
It remains to show that this covers all m∈(1,2].
For the characterisation of G(m), in [BS17, Proposition 3.3] the partition
[TABLE]
for intervals of sequences in {0,1}∞ is used, which is a consequence of the partition
[TABLE]
We have to refine these partitions.
For σ=(σn)n≥1∈{L,M,R}∞, set
[TABLE]
[TABLE]
Note that, for a primitive sequence σ, inf(u) as well as sup(u) does not depend on the limit word u.
We order sequences in {L,M,R}∞ lexicographically.
Lemma 6**.**
In {0,1}∞, we have
[TABLE]
If σ<σ′, then v<v′ for all v∈Iσ, v′∈Iσ′, and for all v∈Jσ, v′∈Jσ′.
Proof.
We clearly have Iσ⊂(0,01) for all σ∈{L,M,R}∞.
For all σ∈{L,M,R}∗, Lemma 3 gives that inf(σ(10))=inf(σL(10)), inf(σL(101))=inf(σM(10)), and we have M(1)=R(10), R(101)=101, thus
[TABLE]
(in this order).
Inductively, we obtain that the sets Iσ are ordered by the lexicographical order on {L,M,R}∞.
Moreover, the union of sets Iσ with σ ending in ML or MR covers (inf(10),inf(101))=(0,01), except for points lying in the intersection of nested intervals ⋂n≥1(inf(σ1⋯σn(10)),inf(σ1⋯σn(101))) for some σ=(σn)n≥1∈{L,M,R}∞.
Since σ1⋯σn(0) is close to σ1⋯σn(01) for large n, these intervals tend to some v∈{0,1}∞.
If σ is primitive, then Iσ={v}.
If σn+1σn+2⋯ is L or R, then we have v=inf(σ1⋯σn(10)) or v=inf(σ1⋯σn(101)), which are not in the intersection.
The proof for (10,1)=⋃σ∈{L,M,R}∞Jσ is similar, with
[TABLE]
Hence, the Jσ are also ordered by the lexicographical order on {L,M,R}∞.
∎
(Note that fu(m) is close to fu′(m) if sup(u) is close to sup(u′), gu(m) is close to gu′(m) if inf(u) is close to inf(u′).)
If σ<σ′, then we have β>β′ if β∈Iσ′(m), 2≤β′∈Iσ′′(m), and β<β′ if 2≤β∈Jσ′(m), β′∈Jσ′′(m), by Lemmas 2 and 6.
Since max(fu(m),gu(m))≥2 for all u∈{0,1}∞ and inf(σM(10))≤inf(σM(0)), sup(σM(01))≥sup(σM(1)) for all σ∈{L,M,R}∗, we have Iσ′(m)⊂[2,∞) or Jσ′(m)⊂[2,∞) for all σ∈{L,M,R}∞.
Therefore, we have Iσ′(m)∩Jσ′(m)=∅ for some σ∈{L,M,R}∞.
If σ is primitive, this means that m=μu.
If σnσn+1⋯=ML, then we have gσ1⋯σn(10)(m)∈[fσ1⋯σn(0)(m),fσ1⋯σn(010)(m)], which means that m∈[μσ1⋯σn(10),μσ1⋯σn(010)], see Figure 3.
Similarly, if σnσn+1⋯=MR, then we have that m∈[μσ1⋯σn(101),μσ1⋯σn(01)].
∎
This is a direct consequence of Propositions 1, 2 and 3.
∎
3. Final remarks and open questions
By [KLP11, BS17, Kwo18], there are simple formulas for μσ(10), μσ(0) and μσ(01), σ∈{L,R}∗M, and for μu, u∈SL,R.
This is because, for u∈{σ(10),σ(01)}, σ∈{L,R}∗M, or u∈SL,R, we have inf(u)=0v, sup(u)=1v for some v, thus (β−1)(1+πβ(0v))=(β−1)2=βπβ(1v), where β>1 is defined by πβ(20v)=1, which gives that μu=(β−1)2.
For u=σ(0), we have inf(u)=0w1, sup(u)=1w0, with σ(0)=0w1, and
[TABLE]
where β>1 is defined by πβ(20w0)=1 and ∣σ(0)∣ is the length of σ(0), hence μσ(0)=(β−1)2β∣σ(0)∣/(β∣σ(0)∣−1).
Are there similar formulas for σ∈{L,M,R}∗M?
In [BS17, Kwo18], it was proved that the Hausdorff dimension of {μu:u∈SL,R} is [math], using that the number of balanced words grows polynomially.
What is the complexity of SL,M,R?
As mentioned in the Introduction, we know the generalised Komornik–Loreti constant K(m) only for m=2 and when G(m)=1+m=K(m)=L(m).
This is due to the fact that it is usually difficult to study maps with two holes; see Figure 2.
(For m=2, we can use the symmetry of the map T, and for L(m)=1+m, we can restrict to sequences in {0,1}∞. )
New ideas are needed for the general case.
Finally, Sturmian holes are key ingredients in [Sid14], where supercritical holes for the doubling map are studied.
Do our Thue–Morse–Sturmian sequences also play a role in this context?
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