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Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman
Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman
Big Data, Little Data, No Data
Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman
Big Data, Little Data, No Data
Scholarship in the Networked World
Christine L. Borgman
The MIT Press
Cambridge, Massachusetts
London, England
Ā© 2015 Christine L. Borgman
All rights reserved. No part of this book may be reproduced in any form by
any electronic or mechanical means (including photocopying, recording, or
information storage and retrieval) without permission in writing from the
publisher.
MIT Press books may be purchased at special quantity discounts for business or
sales promotional use. For information, please email special_sales@mitpress.mit.
edu.
This book was set in Stone Sans and Stone Serif by the MIT Press. Printed and
bound in the United States of America.
Library of Congress Cataloging-in-Publication Data
Borgman, Christine L., 1951–
Big data, little data, no data : scholarship in the networked world / Christine L.
Borgman.
pages cm
Includes bibliographical references and index.
ISBN 978-0-262-02856-1 (hardcover : alk. paper)
1. Communication in learning and scholarship—Technological innovations.
2. Research—Methodology. 3. Research—Data processing. 4. Information
technology. 5. Information storage and retrieval systems. 6. Cyberinfrastructure.
I. Title.
AZ195.B66 2015
004—dc23
2014017233.
ISBN: 978–0-262–02856–1
10 9 8 7 6 5 4 3 2 1
For Betty Champoux Borgman, 1926–2012,
and Ann O’Brien, 1951–2014
Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman
Contents
Detailed Contents ix
Preface xvii
Acknowledgments xxi
Part I: Data and Scholarship 1
1 Provocations 3
2 What are Data? 17
3 Data Scholarship 31
4 Data Diversity 55
Part II: Case Studies in Data Scholarship 81
5 Data Scholarship in the Sciences 83
6 Data Scholarship in the Social Sciences 125
7 Data Scholarship in the Humanities 161
Part III: Data Policy and Practice 203
8 Releasing, Sharing, and Reusing Data 205
9 Credit, Attribution, and Discovery 241
10 What to Keep and Why 271
References 289
Index 361
Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman
Detailed Table of Contents
Preface xvii
Acknowledgments xxi
Part I: Data and Scholarship 1
1 Provocations 3
Introduction 3
Big Data, Little Data 4
Bigness 5
Openness 7
The Long Tail 8
No Data 10
Data Are Not Available 11
Data Are Not Released 11
Data Are Not Usable 13
Provocations 13
Conclusion 15
2 What Are Data? 17
Introduction 17
Definitions and Terminology 18
Definitions by Example 19
Operational Definitions 20
Categorical Definitions 21
Degrees of Processing 21
Origin and Preservation Value 23
Collections 25
Conceptual Distinctions 26
x Detailed Table of Contents
Sciences and Social Sciences 26
Humanities 27
Conclusion 28
3 Data Scholarship 31
Introduction 31
Knowledge Infrastructures 32
The Social and the Technical 35
Communities and Collaboration 36
Knowledge and Representation 37
Theory, Practice, and Policy 38
Open Scholarship 39
Open Access to Research Findings 39
Open Access to Data 42
Open Technologies 45
Converging Communication 47
Data Metaphors 47
Units of Data 50
Documents of Record 51
Conclusion 52
4 Data Diversity 55
Introduction 55
Disciplines and Data 56
Size Matters 58
Project Goals 58
Data Collection 60
Data Analysis 61
When Are Data? 62
Distance Matters 64
Sources and Resources 64
Metadata 65
Definitions and Discovery 66
Communities and Standards 68
Provenance 70
External Influences 71
Economics and Values 71
Property Rights 75
Ethics 77
Conclusion 79
Detailed Table of Contents xi
Part II: Case Studies in Data Scholarship 81
5 Data Scholarship in the Sciences 83
Introduction 83
Research Methods and Data Practices 83
Science Cases 84
Astronomy 85
Size Matters 86
Big Science, Little Science 86
Big Data, Long Tail 87
When Are Data? 90
Sources and Resources 91
Telescopes 91
Electromagnetic Spectrum 92
Celestial Objects 93
Astronomy Data Products 93
Knowledge Infrastructures 94
Metadata 94
Coordinate Systems 95
Celestial Objects 96
Data Archiving 97
Publications 98
Provenance 99
External Influences 100
Economics and Value 100
Property Rights 100
Ethics 101
Conducting Research in Astronomy 102
The COMPLETE Survey 102
Research Questions 103
Collecting Data 103
Analyzing Data 104
Publishing Findings 104
Curating, Sharing, and Reusing Data 105
Sensor-Networked Science and Technology 106
Size Matters 106
When Are Data? 108
Sources and Resources 109
Embedded Sensor Networks 109
Physical Samples 111
Software, Code, Scripts, and Models 111
Background Data 111
xii Detailed Table of Contents
Knowledge Infrastructures 112
Metadata 112
Provenance 113
External Influences 113
Economics and Value 113
Property Rights 114
Ethics 115
Conducting Research with Embedded Sensor Networks 116
Research Questions 117
Collecting Data 117
Analyzing Data 119
Publishing Findings 119
Curating, Sharing, and Reusing Data 120
Conclusion 121
6 Data Scholarship in the Social Sciences 125
Introduction 125
Research Methods and Data Practices 126
Social Sciences Cases 127
Internet Surveys and Social Media Studies 128
Size Matters 128
When Are Data? 129
Sources and Resources 129
Knowledge Infrastructures 131
Metadata 132
Provenance 133
External Influences 135
Economics and Value 135
Property Rights 136
Ethics 136
Conducting Internet Surveys and Social Media Research 137
Research Questions 138
Collecting Data 139
Analyzing Data 140
Publishing Findings 141
Curating, Sharing, and Reusing Data 142
Sociotechnical Studies 143
Size Matters 144
When Are Data? 144
Sources and Resources 145
Field Observations and Ethnography 145
Interviews 146
Detailed Table of Contents xiii
Records and Documents 146
Building and Evaluating Technologies 147
Knowledge Infrastructures 147
Metadata 148
Provenance 148
External Influences 149
Economics and Value 149
Property Rights 149
Ethics 150
Conducting Sociotechnical Research in CENS 150
Research Questions 151
Collecting Data 152
Analyzing Data 154
Publishing Findings 155
Curating, Sharing, and Reusing Data 156
Conclusion 157
7 Data Scholarship in the Humanities 161
Introduction 161
Research Methods and Data Practices 162
Humanities Cases 164
Classical Art and Archaeology 164
Size Matters 165
When Are Data? 166
Sources and Resources 166
Physical versus Digital Objects 167
Digital versus Digitized 167
Surrogates versus Full Content 167
Static Images versus Searchable Representations 168
Searchable Strings versus Enhanced Content 169
Knowledge Infrastructures 170
Metadata 171
Provenance 172
Collections 173
External Factors 176
Economics and Value 176
Property Rights 178
Ethics 178
Conducting Research in Classical Art and Archaeology 179
Research Questions 180
Collecting Data 181
Analyzing Data 182
xiv Detailed Table of Contents
Publishing Findings 184
Curating, Sharing, and Reusing Data 184
Buddhist Studies 186
Size Matters 187
When Are Data? 187
Sources and Resources 188
Primary versus Secondary Sources 188
Static Images versus Enhanced Content 189
Knowledge Infrastructures 189
Metadata 190
Provenance 191
Collections 191
External Factors 192
Economics and Value 192
Property Rights 193
Ethics 193
Conducting Research in Buddhist Studies 194
Research Questions 195
Collecting Data 196
Analyzing Data 196
Publishing Findings 197
Curating, Sharing, and Reusing Data 199
Conclusion 200
Part III: Data Policy and Practice 203
8 Sharing, Releasing, and Reusing Data 205
Introduction 205
Supply and Demand for Research Data 207
The Supply of Research Data 208
To Reproduce Research 209
Defining Reproducibility 209
Determining What to Reproduce 209
Detecting Fraud 210
Resolving Disputes 211
To Make Public Assets Available to the Public 211
To Leverage Investments in Research 212
To Advance Research and Innovation 212
The Demand for Research Data 213
Scholarly Motivations 214
Publications and Data 215
Detailed Table of Contents xv
Communicating Research 215
Publishing Research 216
Data as Assets and Liabilities 217
Releasing Data 218
Representation and Mobility 219
Provenance 220
Acquiring Data to Reuse 222
Background and Foreground Uses 222
Interpretation and Trust 223
Knowledge Infrastructures 224
Repositories, Collections, and Archives 225
Private Practice 227
Human Infrastructure 228
Intractable Problems 229
Disciplinary Knowledge Infrastructures 229
Sciences 230
Astronomy 230
Sensor Networked Science and Technology 231
Genomics 233
Social Sciences 235
Internet Research 235
Sociotechnical Research 235
Humanities 236
Classical Art and Archaeology 236
Buddhist Studies 237
Conclusion 237
9 Credit, Attribution, and Discovery of Data 241
Introduction 241
Principles and Problems 243
Theory and Practice 245
Substance and Style: How to Cite 245
Theories of Citation Behavior: What, When, and Why to Cite Objects 248
Meaning of Links 248
Selecting References 249
Theorizing and Modeling Citation Behavior 250
Citing Data 251
Clear or Contested: Who Is Credited and Attributed? 252
Naming the Cited Author 252
Negotiating Authorship Credit 253
Responsibility 255
Credit for Data 256
xvi Detailed Table of Contents
Name or Number: Questions of Identity 258
Identifying People and Organizations 258
Identity and Discovery 260
Identifying Objects 261
Theory Meets Technology: Citations as Actions 264
Risks and Rewards: Citations as Currency 266
Conclusion 268
10 What to Keep and Why 271
Introduction 271
Provocations Revisited 273
Rights, Responsibilities, Roles, and Risks 273
Data Sharing 275
Publications and Data 278
Data Access 281
Stakeholders and Skills 283
Knowledge Infrastructures Past, Present, and Future 285
Conclusion 287
References 289
Index 361
Preface
Big data begets big attention these days, but little data are equally essential
to scholarly inquiry. As the absolute volume of data increases, the ability to
inspect individual observations decreases. The observer must step ever fur-
ther away from the phenomena of interest. New tools and new perspectives
are required. However, big data is not necessarily better data. The farther
the observer is from the point of origin, the more difficult it can be to deter-
mine what those observations mean—how they were collected; how they
were handled, reduced, and transformed; and with what assumptions and
what purposes in mind. Scholars often prefer smaller amounts of data that
they can inspect closely. When data are undiscovered or undiscoverable,
scholars may have no data.
Research data are much more—and less—than commodities to be
exploited. Data management plans, data release requirements, and other
well-intentioned policies of funding agencies, journals, and research institu-
tions rarely accommodate the diversity of data or practices across domains.
Few policies attempt to define data other than by listing examples of what
they might be. Even fewer policies reflect the competing incentives and
motivations of the many stakeholders involved in scholarship. Data can
be many things to many people, all at the same time. They can be assets
to be controlled, accumulated, bartered, combined, mined, and perhaps to
be released. They can be liabilities to be managed, protected, or destroyed.
They can be sensitive or confidential, carrying high risks if released. Their
value may be immediately apparent or not realized until a time much later.
Some are worth the investment to curate indefinitely, but many have only
transient value. Within hours or months, advances in technology and
research fronts have erased the value in some kinds of observations.
A starting point to understand the roles of data in scholarship is
to acknowledge that data rarely are things at all. They are not natural
objects with an essence of their own. Rather, data are representations of
xviii Preface
observations, objects, or other entities used as evidence of phenomena
for the purposes of research or scholarship. Those representations vary by
scholar, circumstance, and over time. Across the sciences, social sciences,
and the humanities, scholars create, use, analyze, and interpret data, often
without agreeing on what those data are. Conceptualizing something as
data is itself a scholarly act. Scholarship is about evidence, interpretation,
and argument. Data are a means to an end, which is usually the journal
article, book, conference paper, or other product worthy of scholarly recog-
nition. Rarely is research done with data reuse in mind.
Galileo sketched in his notebook. Nineteenth-century astronomers took
images on glass plates. Today’s astronomers use digital devices to capture
photons. Images of the night sky taken with consumer-grade cameras can
be reconciled to those taken by space missions because astronomers have
agreed on representations for data description and mapping. Astronomy
has invested heavily in standards, tools, and archives so that observations
collected over the course of several centuries can be aggregated. However,
the knowledge infrastructure of astronomy is far from complete and far
from fully automated. Information professionals play key roles in organiz-
ing and coordinating access to data, astronomical and otherwise.
Relationships between publications and data are manifold, which is
why research data is fruitfully examined within the framework of schol-
arly communication. The making of data may be deliberate and long term,
accumulating a trove of resources whose value increases over time. It may
be ad hoc and serendipitous, grabbing whatever indicators of phenomena
are available at the time of occurrence. No matter how well defined the
research protocol, whether for astronomy, sociology, or ethnography, the
collection of data may be stochastic, with findings in each stage influenc-
ing choices of data for the next. Part of becoming a scholar in any field is
learning how to evaluate data, make decisions about reliability and validity,
and adapt to conditions of the laboratory, field site, or archive. Publica-
tions that report findings set them in the context of the domain, grounding
them in the expertise of the audience. Information necessary to understand
the argument, methods, and conclusions are presented. Details necessary
to replicate the study are often omitted because the audience is assumed
to be familiar with the methods of the field. Replication and reproduc-
ibility, although a common argument for releasing data, are relevant only
in selected fields and difficult to accomplish even in those. Determining
which scholarly products are worth preserving is the harder problem.
Policies for data management, release, and sharing obscure the complex
roles of data in scholarship and largely ignore the diversity of practices
Preface xix
within and between domains. Concepts of data vary widely across the sci-
ences, social sciences, and humanities, and within each area. In most fields,
data management is learned rather than taught, leading to ad hoc solu-
tions. Researchers often have great difficulty reusing their own data. Mak-
ing those data useful to unknown others, for unanticipated purposes, is
even harder. Data sharing is the norm in only a few fields because it is very
hard to do, incentives are minimal, and extensive investments in knowl-
edge infrastructures are required.
This book is intended for the broad audience of stakeholders in research
data, including scholars, researchers, university leaders, funding agen-
cies, publishers, libraries, data archives, and policy makers. The first sec-
tion frames data and scholarship in four chapters, provoking a discussion
about concepts of data, scholarship, knowledge infrastructures, and the
diversity of research practices. The second section consists of three chapters
exploring data scholarship in the sciences, social sciences, and humanities.
These case studies are parallel in structure, providing comparisons across
domains. The concluding section spans data policy and practice in three
chapters, exploring why data scholarship presents so many difficult prob-
lems. These include releasing, sharing, and reusing data; credit, attribution,
and discovery; and what to keep and why.
Scholarship and data have long and deeply intertwined histories. Nei-
ther are new concepts. What is new are efforts to extract data from schol-
arly processes and to exploit them for other purposes. Costs, benefits, risks,
and rewards associated with the use of research data are being redistributed
among competing stakeholders. The goal of this book is to provoke a much
fuller, and more fully informed, discussion among those parties. At stake is
the future of scholarship.
Christine L. Borgman
Los Angeles, California
May 2014
Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman
Acknowledgments
It takes a village to write a sole-authored book, especially one that spans
as many topics and disciplines as does this one. My writing draws upon
the work of a large and widely distributed village of colleagues—an ā€œinvis-
ible collegeā€ in the language of scholarly communication. Scholars care
passionately about their data and have given generously of their time in
countless discussions, participation in seminars and workshops, and read-
ing many drafts of chapters.
The genesis of this book project goes back too many years to list all who
have influenced my thinking, thus these acknowledgments can thank, at
best, those who have touched the words in this volume in some way. Many
more are identified in the extensive bibliography. No doubt I have failed to
mention more than a few of you with whom I have had memorable conver-
sations about the topics therein.
My research on scholarly data practices dates to the latter 1990s, building
on prior work on digital libraries, information-seeking behavior, human-
computer interaction, information retrieval, bibliometrics, and scholarly
communication. The data practices research has been conducted with a
fabulous array of partners whose generative contributions to my think-
ing incorporate too much tacit knowledge to be made explicit here. Our
joint work is cited throughout. Many of the faculty collaborators, students,
and postdoctoral fellows participated in multiple projects; thus, they are
combined into one alphabetical list. Research projects on scholarly data
practices include the Alexandria Digital Earth Prototype Project (ADEPT);
Center for Embedded Networked Sensing (CENS); Cyberlearning Task
Force; Monitoring, Modeling, and Memory; Data Conservancy; Knowledge
Infrastructures; and Long-Tail Research.
Faculty collaborators on these projects include Daniel Atkins, Geoffrey
Bowker, Sayeed Choudhury, Paul Davis, Tim DiLauro, George Djorgovski,
Paul Edwards, Noel Enyedy, Deborah Estrin, Thomas Finholt, Ian Foster,
xxii Acknowledgments
James Frew, Jonathan Furner, Anne Gilliland, Michael Goodchild, Alyssa
Goodman, Mark Hansen, Thomas Harmon, Bryan Heidorn, William
Howe, Steven Jackson, Carl Kesselman, Carl Lagoze, Gregory Leazer, Mary
Marlino, Richard Mayer, Carole Palmer, Roy Pea, Gregory Pottie, Allen
Renear, David Ribes, William Sandoval, Terence Smith, Susan Leigh Star,
Alex Szalay, Charles Taylor, and Sharon Traweek. Students, postdoctoral fel-
lows, and research staff collaborators on these projects include Rebekah
Cummings, Peter Darch, David Fearon, Rich Gazan, Milena Golshan, Eric
Graham, David Gwynn, Greg Janee, Elaine Levia, Rachel Mandell, Matthew
Mayernik, Stasa Milojevic, Alberto Pepe, Elizabeth Rolando, Ashley Sands,
Katie Shilton, Jillian Wallis, and Laura Wynholds.
Most of this book was developed and written during my 2012–2013 sab-
batical year at the University of Oxford. My Oxford colleagues were foun-
tains of knowledge and new ideas, gamely responding to my queries of
ā€œwhat are your data?ā€ Balliol College generously hosted me as the Oliver
Smithies Visiting Fellow and Lecturer, and I concurrently held visiting
scholar posts at the Oxford Internet Institute and the Oxford eResearch
Centre. Conversations at high table and low led to insights that pervade
my thinking about all things data—Buddhism, cosmology, Dante, genom-
ics, chirality, nanotechnology, education, economics, classics, philosophy,
mathematics, medicine, languages and literature, computation, and much
more. The Oxford college system gathers people together around a table
who otherwise might never meet, much less engage in boundary-spanning
inquiry. I am forever grateful to my hosts, Sir Drummond Bone, Master
of Balliol, and Nicola Trott, Senior Tutor; William Dutton of the Oxford
Internet Institute; David de Roure, Oxford eResearch Centre; and Sarah
Thomas, Bodley’s Librarian. My inspiring constant companions at Oxford
included Kofi Agawu, Martin Burton, George and Carmella Edwards,
Panagis Filippakopoulos, Marina Jirotka, Will Jones, Elena Lombardi, Eric
Meyer, Concepcion Naval, Peter and Shirley Northover, Ralph Schroeder,
Anne Trefethen, and Stefano Zacchetti.
Others at Oxford who enlightened my thinking, perhaps more than
they know, include William Barford, Grant Blank, Dame Lynne Brindley,
Roger Cashmore, Sir Iain Chalmers, Carol Clark, Douglas Dupree, Timothy
Endicott, David Erdos, Bertrand Faucheux, James Forder, Brian Foster, John-
Paul Ghobrial, Sir Anthony Graham, Leslie Green, Daniel Grimley, Keith
Hannabus, Christopher Hinchcliffe, Wolfram Horstmann, Sunghee Kim,
Donna Kurtz, Will Lanier, Chris Lintott, Paul Luff, Bryan Magee, Helen
Margetts, Philip Marshall, Ashley Nord, Dominic O’Brien, Dermot O’Hare,
Richard Ovenden, Denis Noble, Seamus Perry, Andrew Pontzen, Rachel
Acknowledgments xxiii
Quarrell, David Robey, Anna Sander, Brooke Simmons, Rob Simpson, Jin-
Chong Tan, Linnet Taylor, Rosalind Thomas, Nick Trefethen, David Vines,
Lisa Walker, David Wallace, Jamie Warner, Frederick Wilmot-Smith, and
Timothy Wilson.
Very special acknowledgments are due to my colleagues who contrib-
uted substantially to the case studies in chapters 5, 6, and 7. The astronomy
case in chapter 5 relies heavily on the contributions of Alyssa Goodman
of the Harvard-Smithsonian Center for Astrophysics and her collabora-
tors, including Alberto Accomazzi, Merce Crosas, Chris Erdmann, Michael
Kurtz, Gus Muench, and Alberto Pepe. It also draws on the research of the
Knowledge Infrastructures research team at UCLA. The case benefited from
multiple readings of drafts by professor Goodman and reviews by other
astronomers or historians of astronomy, including Alberto Accomazzi,
Chris Lintott, Michael Kurtz, Patrick McCray, and Brooke Simmons. Astron-
omers George Djorgovski, Phil Marshall, Andrew Pontzen, and Alex Sza-
lay also helped clarify scientific issues. The sensor-networked science and
technology case in chapter 5 draws on prior published work about CENS.
Drafts were reviewed by collaborators and by CENS science and technol-
ogy researchers, including David Caron, Eric Graham, Thomas Harmon,
Matthew Mayernik, and Jillian Wallis. The first social sciences case in chap-
ter 6, on Internet research, is based on interviews with Oxford Internet
Institute researchers Grant Blank, Corinna di Gennaro, William Dutton,
Eric Meyer, and Ralph Schroeder, all of whom kindly reviewed drafts of the
chapter. The second case, on sociotechnical studies, is based on prior pub-
lished work with collaborators, as cited, and was reviewed by collaborators
Matthew Mayernik and Jillian Wallis. The humanities case studies in chap-
ter 7 were developed for this book. The CLAROS case is based on interviews
and materials from Donna Kurtz of the University of Oxford, with further
contributions from David Robey and David Shotton. The analysis of the
Pisa Griffin draws on interviews and materials from Peter Northover, also of
Oxford, and additional sources from Anna Contadini of SOAS, London. The
closing case, on Buddhist scholarship, owes everything to the patient tuto-
rial of Stefano Zacchetti, Yehan Numata Professor of Buddhist Studies at
Oxford, who brought me into his sanctum of enlightenment. Humanities
scholars were generous in reviewing chapter 7, including Anna Contadini,
Johanna Drucker, Donna Kurtz, Peter Northover, Todd Presner, Joyce Ray,
and David Robey.
Many others shared their deep expertise on specialized topics. On bio-
medical matters, these included Jonathan Bard, Martin Burton, Iain
Chalmers, Panagis Filippakopoulos, and Arthur Thomas. Dr. Filippakopoulos
xxiv Acknowledgments
read drafts of several chapters. On Internet technologies and citation mecha-
nisms, these included Geoffrey Bilder, Blaise Cronin, David de Roure, Peter
Fox, Carole Goble, Peter Ingwersen, John Klensin, Carl Lagoze, Salvatore
Mele, Ed Pentz, Herbert van de Sompel, and Yorick Wilks. Chapter 9 was
improved by the comments of Blaise Cronin, Kathleen Fitzpatrick, and John
Klensin. Paul Edwards and Marilyn Raphael were my consultants on climate
modeling. Sections on intellectual property and open access benefited from
discussions with David Erdos, Leslie Green, Peter Hirtle, Peter Murray-Rust,
Pamela Samuelson, Victoria Stodden, and John Wilbanks. Christopher Kelty
helped to clarify my understanding of common-pool resources, building on
other discussions of economics with Paul David, James Forder, and David
Vines. Ideas about knowledge infrastructures were shaped by long-running
discussions with my collaborators Geoffrey Bowker, Paul Edwards, Thomas
Finholt, Steven Jackson, Cory Knobel, and David Ribes. Similarly, ideas about
data policy were shaped by membership on the Board on Research Data and
Information, on CODATA, on the Electronic Privacy Information Center,
and by the insights of Francine Berman, Clifford Lynch, Paul Uhlir, and Marc
Rotenberg. On issues of libraries and archives, I consulted Lynne Brindley,
Johanna Drucker, Anne Gilliland, Margaret Hedstrom, Ann O’Brien, Susan
Parker, Gary Strong, and Sarah Thomas. Jonathan Furner clarified philo-
sophical concepts, building upon what I learned from many Oxford con-
versations. Will Jones introduced me to the ethical complexities of research
on refugees. Abdelmonem Afifi, Mark Hansen, and Xiao-li Meng improved
my understanding of the statistical risks in data analysis. Clifford Lynch,
Lynne Markus, Matthew Mayernik, Ann O’Brien, Katie Shilton, and Jillian
Wallis read and commented upon large portions of the manuscript, as did
several helpful anonymous reviewers commissioned by Margy Avery of the
MIT Press.
I would be remiss not to acknowledge the invisible work of those who
rarely receive credit in the form of authorship. These include the funding
agencies and program officers who made this work possible. At the National
Science Foundation, Daniel Atkins, Stephen Griffin, and Mimi McClure
have especially nurtured research on data, scholarship, and infrastructure.
Tony Hey and his team at Microsoft Research collaborated, consulted,
and gave monetary gifts at critical junctures. Thanks to Lee Dirks, Susan
Dumais, Catherine Marshall, Catherine van Ingen, Alex Wade, and Curtis
Wong of MSR. Josh Greenberg at the Sloan Foundation has given us funds,
freedom, and guidance in studying knowledge infrastructures. Also invis-
ible are the many people who invited me to give talks from the book-in-
progress and those who attended. I am grateful for those rich opportunities
Acknowledgments xxv
for discussion. Rebekah Cummings, Elaine Levia, and Camille Mathieu
curated the massive bibliography, which will be made public as a Zotero
group (Borgman Big Data, Little Data, No Data) when this book is pub-
lished, in the spirit of open access.
Last, but by no means least, credit is due to my husband, George Mood,
who has copyedited this manuscript and everything else I have published
since 1977. He usually edits his name out of acknowledgments sections,
however. Let the invisible work be made visible this time.
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without specific mention of the antecedent attempt to settle this part of
America, made by the unsuccessful colonist Sir Edmund Plowden.
This person was a member of a Saxon family of Shropshire,
England, whose antiquity is sufficiently intimated by the meaning of its
surname, ā€œKill-Dane,ā€ā€”being the second son of Francis Plowden, Esq.,
of Plowden, Salop, and grandson of the celebrated lawyer and author of
the Commentaries, Serjeant Edmund Plowden, a Catholic, who declined
the Lord-Chancellorship of England, offered him by Queen Elizabeth,
lest he should be forced to countenance her Majesty’s persecutions of
his Church.[737] In 1632, this gentleman, who like his ancestors and
other relatives was a Catholic,[738] and at that time resided in Ireland,
[739] in company with ā€œSir John Lawrence, Kt. and Bart., Sir Boyer
Worsley, Kt., John Trusler, Roger Pack, William Inwood, Thomas
Ryebread, Charles Barret, and George Noble, adventurers,ā€ petitioned
King Charles I. for a patent, under his Majesty’s seal of Ireland, for
ā€œManitie, or Long Isle,ā€ and ā€œthirty miles square of the coast next
adjoining, to be erected into a County Palatine called Syon, to be held
ofā€ his ā€œMajesty’s Crown of Ireland, without appeal or subjection to the
Governor or Company of Virginia, and reserving the fifth of all royal
mines, and with the like title, dignity, and privileges to Sir Edmund
Plowden there as was granted to Sir George Calvert, Kt., in New
Foundland byā€ his ā€œMajesty’s royal father, and with the usual grants and
privileges to other colonies,ā€ etc. And a modified form of this prayer
was subsequently presented to the monarch, in which the island
spoken of is called ā€œIsle Plowden,ā€ and the county palatine ā€œNew
Albion,ā€ and the latter is enlarged to include ā€œforty leagues square of
the adjoining continent,ā€ the supplicants ā€œpromising therein to settle
five hundred inhabitants for the planting and civilizing thereof.ā€ The
favor sought was immediately conceded, and the King’s warrant,
authorizing the issue of a patent to the petitioners, and appointing Sir
Edmund Plowden ā€œfirst Governor of the Premises,ā€ was given at
Oatlands, July 24, the same year;[740] in accordance with which, a
charter was granted to Plowden and his associates above mentioned,
by writ of Privy Seal, witnessed by the Deputy-General of Ireland, at
Dublin, June 21, 1634.[741] In this document the boundaries of New
Albion are so defined as to include all of New Jersey, Maryland,
Delaware, and Pennsylvania embraced in a square, the eastern side of
which, forty leagues in length, extended (along the coast) from Sandy
Hook to Cape May, together with Long Island, and all other ā€œisles and
islands in the sea within ten leagues of the shores of the said region.ā€
The province is expressly erected into a county palatine, under the
jurisdiction of Sir Edmund Plowden as earl, depending upon his
Majesty’s ā€œroyal person and imperial crown, as King of Ireland;ā€ and the
same extraordinary privileges are conferred upon the patentee as had
been bestowed two years before upon Lord Baltimore, to whose charter
for Maryland that for New Albion bears very close resemblance.
Two of the petitioners, Worsley and Barret, afterward dying, ā€œthe
whole estate and interestā€ in the grant became vested in the seven
survivors, and of these, Ryebread, Pack, Inwood, and Trusler, in
consideration of gifts of five hundred acres of land in the province,
abandoned their claims, Dec. 20, 1634, in favor of ā€œFrancis, Lord
Plowden, son and heir of Sir Edmund, Earl Palatine,ā€ and George and
Thomas Plowden, two other of his sons, their heirs and assigns, forever.
The same year, apparently,[742] Plowden granted to Sir Thomas Danby
a lease of ten thousand acres of land, one hundred of which were ā€œon
the northeast end or cape of Long Island,ā€ and the rest in the vicinity of
Watsessett, presumed to be near the present Salem, New Jersey, with
ā€œfull liberty and jurisdiction of a court baron and court leet,ā€ and other
privileges for a ā€œTown and Manor of Danby Fort,ā€ conditioned on the
settlement of one hundred ā€œresident planters in the province,ā€ not
suffering ā€œany to live therein not believing or professing the three
Christian creeds commonly called the Apostolical, Athanasian, and
Nicene.ā€
The plans of the Earl Palatine were
simultaneously advanced by the independent
voyages of Captain Thomas Yong, of a
Yorkshire family, and his nephew and
lieutenant, Robert Evelin, of Wotton, Surrey,
undertaken in virtue of a special commission
from the King, dated Sept. 23, 1633, to discover parts of America not
ā€œactually in the possession of any Christian Prince.ā€[743] These persons
sailed from Falmouth, Friday, May 16, 1634, and arriving between
Capes Charles and Henry the 3d of July, left Virginia on the 20th to
explore the Delaware for a ā€œMediterranean Sea,ā€ said by the Indians ā€œto
be four days’ journey beyond the mountains,ā€ from which they hoped to
find an outlet to the Pacific Ocean, affording a short passage to China
and the East Indies. On the 25th they entered Delaware Bay and
proceeded leisurely up the river (which Yong named ā€œCharles,ā€ in honor
of his sovereign), conversing and trading with the savages, as far as the
present Trenton Falls, which they reached the 29th of August, and
where they were obliged to stop, on account of the rocks and the
shallowness of the water. On the 1st of September they were overtaken
here by some ā€œHollanders of Hudson’s River,ā€ whom Yong entertained
for a few days, but finally required to depart under the escort of Evelin,
who afterward explored the coast from Cape May to Manhattan, and on
his return made a second ineffectual attempt to pass beyond the rocks
in the Delaware.[744] Both Yong and Evelin ā€œresided several yearsā€ on
this river, and undertook to build a fort there at ā€œEriwomeck,ā€ in the
present State of New Jersey. Tidings of their actions were frequently
reported to Sir Edmund Plowden, and in 1641 was printed a Direction
for Adventurers and Description of New Albion,[745] in a letter
addressed to Lady Plowden, written by Evelin. Books concerning the
province were likewise published, it is said,[746] in 1637 and 1642.
About the close of 1641, the Earl Palatine at length visited America
in person, and, according to the testimony of Lord Baltimore,[747] ā€œin
1642 sailed up Delaware River,ā€ one of his men, named by Plantagenet
ā€œMaster Miles,ā€ either then or about that time ā€œswearing the officersā€ of
an English settlement of seventy persons, at ā€œWatcessitā€ (doubtless the
New Haven colonists at Varkens Kil, now Salem Creek, New
Jersey[748]), to ā€œobedienceā€ to him ā€œas governor.ā€ Plowden’s residence
was chiefly in Virginia, where, it is recorded, he bought a half-interest in
a barque in 1643;[749] and it is probable that he had communication
with Governor Leonard Calvert, of Maryland, since a maid-servant
belonging to him accompanied Margaret Brent, the intimate friend of
the latter, on a visit to the Isle of Kent, in Chesapeake Bay.[750] The
longest notice of him during his sojourn on our continent occurs in a
report of Johan Printz, Governor of New Sweden, to the Swedish West
India Company, dated at Christina (now Wilmington, Delaware), June
20, 1644,[751] the importance of which induces the writer to translate
the whole of it. Says Printz,—
ā€œIn my former communications concerning the English knight, I have
mentioned how last year, in Virginia, he desired to sail with his people,
sixteen in number, in a barque, from Heckemak to Kikathans;[752] and when
they came to the Bay of Virginia, the captain (who had previously conspired
with the knight’s people to kill him) directed his course not to Kikethan, but
to Cape Henry, passing which, they came to an isle in the high sea called
Smith’s Island, when they took counsel in what way they should put him to
death, and thought it best not to slay him with their hands, but to set him,
without food, clothes, or arms, on the above-named island, which was
inhabited by no man or other animal save wolves and bears; and this they
did. Nevertheless, two young noble retainers, who had been brought up by
the knight, and who knew nothing of that plot, when they beheld this evil
fortune of their lord, leaped from the barque into the ocean, swam ashore,
and remained with their master. The fourth day following, an English sloop
sailed by Smith’s Island, coming so close that the young men were able to
hail her, when the knight was taken aboard (half dead, and as black as the
ground), and conveyed to Hackemak, where he recovered. The knight’s
people, however, arrived with the barque May 6, 1643, at our Fort Elfsborg,
and asked after ships to Old England. Hereupon I demanded their pass, and
inquired from whence they came; and as soon as I perceived that they were
not on a proper errand, I took them with me (though with their consent) to
Christina, to bargain about flour and other provisions, and questioned them
until a maid-servant (who had been the knight’s washerwoman) confessed
the truth and betrayed them. I at once caused an inventory to be taken of
their goods, in their presence, and held the people prisoners, until the very
English sloop which had rescued the knight arrived with a letter from him
concerning the matter, addressed not alone to me, but to all the governors
and commandants of the whole coast of Florida. Thereupon I surrendered to
him the people, barque, and goods (in precise accordance with the
inventory), and he paid me 425 riksdaler for my expenses. The chief of these
traitors the knight has had executed. He himself is still in Virginia, and (as he
constantly professes) expects vessels and people from Ireland and England.
To all ships and barques that come from thence he grants free commission to
trade here in the river with the savages; but I have not yet permitted any of
them to pass, nor shall I do so until I receive order and command to that
effect from my most gracious queen, her Royal Majesty of Sweden.ā€
Printz’s opposition to Plowden’s encroachment within his territory
was never relaxed, and was entirely successful. In the course of his
residence in America, the Earl Palatine of New Albion visited New
Amsterdam, ā€œboth in the time of Director Kieft and in that of General
Stuyvesant,ā€ and, according to the Vertoogh van Nieu Nederland,[753]
ā€œclaimed that the land on the west side of the North River to Virginia
was his by gift of King James [Charles] of England, but said he did not
wish to have any strife with the Dutch, though he was very much
piqued at the Swedish governor, John Printz, at the South River, on
account of some affront given him, too long to relate; adding that when
an opportunity should offer, he would go there and take possession of
the river.ā€ Before re-crossing the ocean, he went to Boston, his arrival
being recorded in the Journal of Governor John Winthrop, under date of
June 4, 1648, having ā€œbeen in Virginia about seven years. He came
first,ā€ says the Governor, ā€œwith a patent of a County Palatine for
Delaware Bay, but wanting a pilot for that place, went to Virginia, and
there having lost the estate he brought over, and all his people
scattered from him, he came hither to return to England for supply,
intending to return and plant Delaware, if he could get sufficient
strength to dispossess the Swedes.ā€
Immediately on reaching Europe, Plowden set about this task, and,
to obtain the greater credit for his title as ā€œEarl Palatine of New Albion,ā€
both in and out of that province, as well as recognition of the legality
and completeness of his charter, submitted a copy of the latter to
Edward Bysshe, ā€œGarter Principal King of Arms of Englishmen,ā€ who
received favorable written opinions on the subject from several
serjeants and doctors of laws, which, with the letters patent, were
recorded by him Jan. 23, 1648/9, ā€œin the office of arms, there to remain
in perpetual memory.ā€[754] At the same time (December, 1648) there
was published another advertisement of Plowden’s enterprise, entitled
A Description of the Province of New Albion,[755] by ā€œBeauchamp
Plantagenet, of Belvil, in New Albion, Esquire,ā€ purporting to contain ā€œa
full abstract and collectionā€ of what had already been written on the
theme, with additional information acquired by the Earl Palatine during
his residence in America.
The work is dedicated ā€œTo the Right Honourable and mighty Lord
Edmund, by Divine Providence Lord Proprietor, Earl Palatine, Governour,
and Captain-Generall of the Province of New Albion, and to the Right
Honourable the Lord Vicount
Monson of Castlemain, the Lord
Sherard, Baron of Letrim, and to all
other the Vicounts, Barons,
Baronets, Knights, Gentlemen,
Merchants, Adventurers, and
Planters of the hopefull Company
of New Albion, in all 44 undertakers
and subscribers, bound by
Indenture to bring and settle 3,000
able trained men in our said
severall Plantations in the said
Province,ā€ā€”the author, himself ā€œone
of the Company,ā€ professing to
ā€œhave had the honour to be
admitted asā€ the ā€œfamiliarā€ of
Plowden, and to ā€œhave marched,
lodged, and cabbinedā€ with him,
both ā€œamong the Indians and in
Holland.ā€[756] It opens with a short
treatise ā€œof Counts or Earls created,
and County Palatines,ā€ followed by
an adulatory account of the family
of the Proprietor, and a defence of
his title to his province, comprising some original statements with
regard to the Dutch[757] and Swedes. Specific mention is made of
several tribes of Indians dwelling in New Albion, and of numerous
ā€œchoice seats for English,ā€ some of which have been approximately
identified.[758] ā€œFor the Politique and Civill Government, and Justice,ā€
says the writer, ā€œVirginia and New England is our president: first, the
Lord head Governour, a Deputy Governour, Secretary of Estate, or
Sealkeeper, and twelve of the Councell of State or upper House; and
these, or five of them, is also a Chancery Court. Next, out of Counties
and Towns, at a free election and day prefixed, thirty Burgesses, or
Commons. Once yearly these meet, as at a Parliament or Grand
Assembly, and make Laws.... and without full consent of Lord, upper
and lower House, nothing is done.ā€ ā€œFor Religion,ā€ observes the author,
ā€œI conceive the Holland way now practised best to content all parties:
first, by Act of Parliament or Grand Assembly, to settle and establish all
the Fundamentals necessary to salvation.... But no persecution to any
dissenting, and to all such, as to the Walloons, free Chapels; and to
punish all as seditious, and for contempt, as bitterly rail and condemn
others of the contrary: for this argument or perswasion of Religion,
Ceremonies, or Church-Discipline, should be acted in mildnesse, love,
and charity, and gentle language, not to disturb the peace or quiet of
the Inhabitants, but therein to obey the Civill Magistrate,ā€ā€”the latter
remarkable programme of universal tolerance in matters of faith being
probably designed to protect Catholic colonists in the same manner as
the famous ā€œAct concerning Religionā€ passed by the Maryland Assembly
the following year. The book closes with some practical advice to
ā€œAdventurers,ā€ and promises all such ā€œof Ā£500 to bring fifty men shall
have 5,000 acres, and a manor with Royalties, at 5s. rent; and
whosoever is willing so to transport himself or servant at £10 a man
shall for each man have 100 acres freely granted forever.ā€
The only evidence we possess that any result flowed from this fresh
attempt to promote emigration to New Albion is derived from
documents in the Public Record Office at London,[759] stating that
March 21, 1649-50, a ā€œPetition of the Earl of New Albion relating to the
plantation thereā€ was ā€œreferred to the consideration of the Committee
of Council;ā€ that April 3, 1650, it was ā€œreferred to the Committee for
Plantations, or any three of them, to confer with the Earl of Albion
concerning the giving good security to Council, that the men, arms, and
ammunition, which he hath now shipped in order to his voyage to New
Albion, shall go thither, and shall not be employed either there or
elsewhere to the disservice of the public;ā€ and that June 11, 1650, ā€œa
passā€ was ā€œgranted for Mr. Batt and Mr. Danby, themselves and seven
score persons, men, women, and children, to go to New Albion.ā€ We
have no other proof of the sailing of these people, nor any knowledge
of their arrival in America.
In 1651, there was offered for sale in London, A mapp of Virginia,
compiled by ā€œDomina Virginia Farrer,ā€[760] designating the territory on
the Delaware as ā€œNova Albion,ā€ as well as ā€œSweeds’ Plantation,ā€ with a
note: ā€œThis River the Lord Ployden hath a Patten of, and calls it New
Albion; but the Sweeds are planted in it, and have a great trade of
Furrs.ā€ On the Jersey side of the stream are indicated the sites of
ā€œRichnek Woods,ā€ ā€œRaritans,ā€ ā€œMont Ployden,ā€ ā€œEriwoms,ā€ and ā€œAxion,ā€
and on the sea-coast ā€œEgg Bay,ā€ all of which are mentioned in
Plantagenet’s New Albion.
At that time Plowden was still in England,[761] and we do not know
that he ever returned to his province. In his will, dated July 29, 1655,
he styles himself ā€œSir Edmund Plowden, of Wansted, in the County of
Southton [Southampton], Knight, Lord, Earle Palatine, Governor and
Captain-Generall of the Province of New Albion in America,ā€ and thinks
ā€œit fit thatā€ his ā€œEnglish lands and estates be settled and united toā€ his
ā€œHonour, County Palatine, and Province of New Albion, for the
maintenance of the same.ā€ In consequence of the ā€œsinister and undue
practisesā€ of his eldest son, Francis Plowden, by whom, he says, ā€œhe
had been damnified and hindered these eighteene yeares,ā€ ā€œhis mother,
a mutable woman, being by him perverted,ā€ he bequeaths all his titles
and property in England and America, including his ā€œPeerage of
Ireland,ā€ to his second son, Thomas Plowden, specially mentioning ā€œthe
province and County Palatine of New Albion,ā€ whereof, he says, ā€œI am
seized as of free principality, and held of the Crowne of Ireland, of
which I am a Peere, which Honor and title and province as Arundell,
and many other Earledomes and Baronies, is assignable and saleable
with the province and County Palatine as a locall Earledome.ā€ He
provides for the occupation and cultivation of New Albion as follows: ā€œI
doe order and will that my sonne Thomas Plowden, and after his
decease his eldest heire male, and if he be under age, then his
guardian, with all speed after my decease, doe imploy, by consent of Sir
William Mason, of Greys Inne, Knt., otherwise William Mason, Esquire,
whom I make a Trustee for this my Plantation, all the cleare rents and
profits of my Lands, underwoods, tythes, debts, stocks, and moneys,
for full ten yeares (excepted what is beqeathed aforesaid), for the
planting, fortifying, peopling, and stocking of my province of New
Albion; and to summon and enforce, according to Covenants in
Indentures and subscriptions, all my undertakers to transplant thither
and there to settle their number of men with such as my estate yearly
can transplant,—namely, Lord Monson, fifty; Lord Sherrard, a hundred;
Sr
Thomas Danby, a hundred; Captain Batts, his heire, a hundred; Mr.
Eltonhead, a Master in Chancery, fifty; his eldest brother Eltonhead,
fifty; Mr. Bowles, late Clerke of the Crowne, forty; Captain Claybourne,
in Virginia, fifty; Viscount Muskery, fifty; and many others in England,
Virginia, and New England, subscribed as by direction in my manuscript
bookes since I resided six yeares there, and of policie a government
there, and of the best seates, profits, mines, rich trade of furrs, and
wares, and fruites, wine, worme silke and grasse silke, fish, and beasts
there, rice, and floatable grounds for rice, flax, maples, hempe, barly,
and corne, two crops yearely; to build Churches and Schooles there,
and to indeavour to convert the Indians there to Christianity, and to
settle there my family, kindred, and posterity.ā€
To each of eleven parishes in England, where he owned land, he left
forty pounds; and directs that he be buried in the chapel of the
Plowdens at Ledbury, in Salop, under a stone monument, with ā€œbrasse
platesā€ of his ā€œeighteene children had affixed at thirty or fourty
powndes charges, together withā€ his ā€œperfect pedigree as is drawne atā€
his ā€œhouse.ā€ He ā€œdied,ā€ says ā€œAlbion,ā€ ā€œat Wanstead, county of
Southampton, in 1659,ā€ his will being admitted to probate in the
Prerogative Court of Canterbury, July 27 of that year.[762] Thomas
Plowden survived his father forty years, but what benefit he derived
from the inheritance of New Albion does not appear. His own will is
dated May 16, 1698, and was admitted to probate in the Prerogative
Court of Canterbury the 10th of the following September. In it he
describes himself as ā€œThomas Plowden, of Lasham, in the county of
Southton, Gent;ā€ and after leaving all his children and grandchildren
ā€œten shillings a piece of lawfull English money,ā€ proceeds: ā€œI do give and
bequeath unto my son Francis Plowden the Letters Pattent and Title,
with all advantages and profitts thereunto belonging, And as it was
granted by our late Sovereign Lord King Charles the first over England,
under the great Seal of England, unto my ffather, Sir Edmund Plowden,
of Wansted, in the County of Southton, now deceased, The province
and County palatine of New Albion, in America, or in North Virginia and
America, which pattent is now in the custody of my son-in-law, Andrew
Wall, of Ludshott, in the said County of Southton, who has these
severall years wrongfully detained it, to my great Loss and hinderance.
And all the rest and residue of my goods, chattles, and personall Estate,
after my debts and Legacies be paid and funerall discharged, I give and
devise unto my wife, Thomazine Plowden, of Lasham.ā€[763]
That Plowden’s claim to the territory of New Albion was not
forgotten in America, appears from the following allusions to it. In a
conversation recorded by the Swedish engineer, Peter Lindstrƶm,[764]
as occurring in New Sweden, June 18, 1654, between the Swedes and
ā€œLawrence Lloyd, the English Commandant of Virginia,ā€ concerning the
rights of their respective nations to jurisdiction over the Delaware, the
latter laid particular stress upon the fact that ā€œSir Edward Ployde and
Earl of Great Albion had a special grant of that river from King James.ā€
On the other hand, on occasion of the embassy of Augustine Herman
and Resolved Waldron on behalf of the Director-General of New
Netherland to the Governor of Maryland, in October, 1659, Plowden’s
title was spoken of by them as ā€œsubretively and fraudulently obtainedā€
and ā€œinvalid;ā€ while Secretary Philip Calvert affirmed that ā€œPloyten had
had no commission, and lay in jail in England on account of his debts,
relating that he had solicited a patent for Novum Albium from the King,
but it was refused him, and he thereupon applied to the Viceroy of
Ireland, from whom he had obtained a patent, but that it was of no
value,ā€[765]—allegations, it is understood, of interested parties, which
therefore possess less weight as testimony against the rights of
Plowden. At the same time the title of the Earl Palatine to his American
province was recognized in the last edition of Peter Heylin’s
Cosmographie, which was revised by the author, and published in
London in 1669,[766] and in Philips’s enlarged edition of John Speed’s
Theatre of the Empire of Great Britain and Prospect of the Most Famous
Parts of the World, printed in London in 1676.[767]
From this period the history of New Albion is more obscure. There is
proof, however, of the residence in Maryland, in May, 1684, of certain
Thomas and George Plowden, affirmed, on grounds of family tradition,
by persons who claim to be descended from one of them, to be sons of
a son of the original patentee, who had brought his wife and children to
America to take possession of his estates, but had been murdered by
the Indians. That the ancestral jurisdiction over the province was never
entirely lost sight of, is shown by the circumstance that the title peculiar
to it was constantly retained by later generations of this race.[768] Just
before the American Revolution, Charles Varlo, Esq., of England,
purchased the third part of the Charter of New Albion, and in 1784
visited this country with his family, ā€œinvested with proper power as
Governor to the Province, ... not doubting,ā€ as he says, ā€œthe enjoyment
of his property.ā€ He made an extended tour through Long Island, New
Jersey, Pennsylvania, Delaware, and Maryland, and distributed among
the inhabitants a pamphlet,[769] comprising a translation in English of
the Latin charter enrolled at Dublin, copies of the lease to Danby, and
the release of Ryebread and others, before referred to, an address of
the ā€œEarl Palatine of Albionā€ to the public, and conditions for letting or
selling land in New Albion. He likewise issued ā€œa proclamation, in form
of a handbill, addressed to the people of New Albion, in the name of
the Earl of Albion,ā€[770] and published in the papers of the day (July,
1785) ā€œA Caution to the Good People of the Province of New Albion,
alias corruptly called, at present, The Jerseys,ā€ not to buy or contract
with any person for any land in said province.[771] He formed the
acquaintance of Edmund (called by him Edward) Plowden,
representative of St. Mary’s County in the Legislature of Maryland, a
member of the family already mentioned, and endeavored to interest
that gentleman in his schemes. Finding his land settled under the grant
to the Duke of York, he also sought counsel of William Rawle, a
distinguished lawyer of Philadelphia, and ā€œtook every step possible,ā€ he
affirms, ā€œto recover the estate by law in chancery, but in vain, because
judge and jury were landowners therein, consequently parties
concerned. Therefore, after much trouble and expense,ā€ he ā€œreturned to
Europe.ā€[772] Varlo’s last act was to indite two letters to the Prince of
Wales, reciting his grievances and appealing for redress, but conceived
in such a tone as would seem to have precluded a response.[773] Thus
ended this curious episode in the history of English colonization in
America.[774]
Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman
T
CHAPTER XII.
THE FOUNDING OF PENNSYLVANIA.
BY FREDERICK D. STONE,
Librarian of the Historical Society of Pennsylvania.
HE founding of Pennsylvania was one of the immediate results
of Penn’s connection with West Jersey; but the causes which
led to the settlement of both colonies can be clearly traced to
the rise of the religious denomination of which he was a
distinguished member. This occurred in one of the most exciting
periods of English history. The Long Parliament was in session.
Events were directly leading to the execution of the King. All vestiges
of the Church of Rome had been well-nigh swept away in a country
in which that Church had once held undisputed sway, and its
successor was faring but little better with the armies of the
Commonwealth. The conflict between Presbyterians and Churchmen,
—in the efforts of the former to change the Established Church, and
of the latter to maintain their position,—was scarcely more bitter in
spirit than the temper with which the Independents denounced all
connection between Church and State. Other dissenting
congregations at the same time availed themselves of a season of
unprecedented religious liberty to express their views, and religious
discussions became the daily talk of the people.
It was under these circumstances that the ministry of George Fox
began. Born in the year 1624, a native of Leicestershire, he was from
GEORGE FOX.
[This follows Holmes’s engraving of the
portrait of Fox, by Honthorst, in 1654,
when Fox was in his thirtieth year. This
Dutch painter, if Gerard Honthorst, was
born in Utrecht in 1592, was at one time
in England, and died in 1660; if his
brother William, he died in 1683, aged
73. The original canvas was recently
offered for sale in England. A view of
Swarthmore Hall, where Fox lived, is in
Gay’s Popular History of the United
States, ii. 173.—Ed.]
his youth noted for ā€œa gravity and stayedness of mind and spirit not
usual in children.ā€ As he approached manhood, he became troubled
about the condition of his soul, and passed through an experience
similar to that which tried his contemporary, John Bunyan, when he
imagined that he had sinned against the Holy Ghost. His friends had
advised him to marry or to join the army; but his immediate recourse
was rather to spiritual counsel. He naturally sought this from the
clergymen of the Established Church, in which he had been bred; but
they failed to satisfy his mind.
The first whom he consulted
repeated to his servants what
George had said, until the young
man was distressed to find that
his troubles were the subjects of
jests with the milk-maids.
Another told him to sing psalms
and smoke a pipe. A third flew
into a violent passion because,
as the talk turned upon the birth
of Christ, Fox inadvertently
placed his foot upon the flower-
bed. A fourth bled and physicked
him. Such consolations,
presented while he was
earnestly seeking to comprehend
the greatest question of life,
disgusted him. He then turned
for comfort to the Dissenters;
but they, as he tells us, were
unable to fathom his condition.
From this time he avoided
professors and teachers of all
kinds. He read the Scriptures
diligently, and strove, by the use
of the faculties which God had
given him, to understand their true meaning. He was not a man of
learning, and was obliged to settle all questions as they arose by
such reasonings as he could bring to bear upon them. The anguish
which he experienced was terrible, and at times he was tempted to
despair; but his strong mind held him to the truth, and his
wonderfully clear perception of right and wrong led him step by step
towards the goal of his desires. By degrees the ideas which had been
taught him in childhood were put aside. It became evident to him
that it was not necessary for a man to be bred at Oxford or
Cambridge to become a minister of Christ; and he felt as never
before the meaning of the words, ā€œGod dwelleth not in temples
made with hands.ā€ To one of his understanding such convictions
seemed as revelations from Heaven. That all men are capable of
receiving the same Light to guide them, and that all who would
follow this Light would be guided to the same end, became his
belief; and to preach this faith constituted his mission. He also felt
that they who were guided by this Inner Light should be known by
the simplicity of their speech and manners; that as the temples of
the Lord were the hearts of his people, the ceremonies of the
prevailing modes of worship were empty forms; that tithes for the
support of a ministry, and taxes for the promotion of war and like
measures, should not be paid by persons who could not approve of
the purposes for which they were collected; and that the taking of
an oath, even to add weight to testimony, was contrary to the
teachings of the Scriptures.
These, in brief, were the views of the people called Quakers. That
a movement so purely spiritual in its aims should have exercised a
political influence seems remarkable. But the principles upon which
the movement was founded claimed for the mind a perfect freedom;
they counted as nought the privileges of rank, and demanded an
entire separation of Church and State.
The first followers of George Fox were from the neighborhood of
his own home; but his views soon spread among the yeomanry of
the adjoining counties. His theology may have been crude, his
grammar faulty, and his appearance ludicrous; yet there was a
personal magnetism about the man which drew to him disciples from
all classes.
Nothing could check the energy with which he labored, or silence
the voice which is yet spoken of as that of a prophet. In his
enthusiasm the people seemed to him like ā€œfallow ground,ā€ and the
priests but ā€œlumps of clay,ā€ unable to furnish the seed for a harvest.
Jeered at and beaten by cruel mobs, reviled as a fanatic and
denounced as an impostor, he travelled from place to place,
sometimes to be driven forth to sleep under haystacks, and at other
times to be imprisoned as a disturber of the peace. But through all
trials his faith remained unshaken, and he denounced what he
believed to be the falsehoods of the times, until, as he says, the
priests fled when they heard that ā€œthe man in leathern breeches is
come.ā€
In 1654, but ten years after George Fox had begun to preach, his
followers were to be found in most parts of England, Ireland, and
Scotland. Notwithstanding the persecutions with which an avowal of
Quakerism was met, they adhered to their convictions with a
steadfastness equal to that of their leader. Imprisonment, starvation,
and the lash, as the penalties of their religion, had no fears for them.
Their estates were wasted for tithes and taxes which they felt it
wrong to pay. Their meetings were dispersed by armed men, and all
laws that could be so construed were interpreted against them. All
such persecution, however, was of no avail. ā€œThey were a people
who could not be won with either gifts, honors, offices, or place.ā€
Nor is it surprising that their desire to share equally such sufferings
in the cause of truth should have touched the heart of one educated
in the severe school of the Commonwealth. When Fox lay in
Lanceston jail, one of his people called upon Cromwell and asked to
be imprisoned in his stead. ā€œWhich of you,ā€ said Cromwell, turning to
his Council, ā€œwould do so much for me if I were in the same
condition?ā€
Satisfied in their hearts with the strength which their faith gave
them, the Quakers could not rest until they had carried the glad
tidings to others. In 1655, Fox tells us, ā€œmany went beyond the sea,
where truth also sprung up, and in 1656 it broke forth in America
and many other places.ā€
It has ever been one of the cardinal principles of the followers of
Fox to obey the laws under which they live, when doing so does not
interfere with their consciences. When this last is the case, their
convictions impel them to treat the oppressive measures as nullities,
not even so far recognizing the existence of such statutes as to cover
their violation of them with a shadow of secrecy. It was against what
Fox considered ecclesiastical tyranny that the weight of his ministry
was directed. Those who lived under church government he believed
to be in as utter spiritual darkness as it is the custom of Christendom
to regard the other three-fourths of mankind; and it was with a
feeling akin to that which will to-day prompt a missionary to carry
the Bible to the wildest tribes of Africa, that the Quakers of 1656
came to the Puritan commonwealths of America.
The record of the first landing of the Quakers in this country
belongs to another chapter,[775] and the historians of New England
must tell the sad story, which began in 1656, of the intrusive daring
for conviction’s sake which characterized the conduct of these
humble preachers. In June, 1657, six of a party of eight Quakers
who had been sent back to England the year previous, re-embarked
for America. They were accompanied by five others, and on October
1 five of them landed at New Amsterdam. The rest remained on the
vessel, and on the 3d instant arrived at Rhode Island. It was chiefly
through the labors of this little band that the doctrines of the
Quakers were spread through the British colonies of North America.
It was in 1661 that the first Yearly Meeting of Friends in America
was established in Rhode Island, and in 1672 the government of the
colony was in their hands. The Dutch of New Amsterdam did not
hold as broad views of religious liberty as were entertained by their
kinsfolk in Holland; but while the Quakers were severely dealt with in
that city, on Long Island they were allowed to live in comparative
peace. In Maryland the treatment of the Friends, severe at times,
grew more and more tolerant, and when Fox visited them in 1672 he
found many to welcome him; and probably the first letter from a
Meeting in England to one in America was directed to that of
Maryland. In Virginia the Episcopalians were less liberal than their
neighbors in other provinces. The intolerance with which Dissenters
were met drove many beyond her borders, and thus it was that
some Friends gathered in the Carolinas.
The outbreak of the Fifth Monarchy men in 1660, immediately
after the restoration of Charles II., dispelled any hopes which the
Quakers might have gathered from that monarch’s proclamation at
Breda, since they were suspected of being connected with that party.
It is at this time that we find the first evidence that Fox and his
followers wished to obtain a spot in America which they could call
their own; and the desire was obviously the result of the troubles
which they encountered, both in England and America. Before this
was accomplished, however, the Quakers experienced many trials. In
1661 Parliament passed an Act for their punishment, denouncing
them as a mischievous and dangerous people.
In 1672 Charles II. issued his second declaration regarding liberty
of conscience, and comparative quiet was for a few years enjoyed by
his Dissenting subjects. In 1673 Parliament censured the declaration
of the King as an undue use of the prerogative. The sufferings of the
Quakers were then renewed. It is unnecessary to repeat in detail the
penalties inflicted under the various Acts of Parliament. Fox was
repeatedly imprisoned, and many of his followers died in
confinement from ill usage. In 1675 West Jersey was offered for
sale. The advantages its possession would afford were at once
appreciated by the men of broad views who had obtained control of
the Quaker affairs. Fox favored the scheme. Some of his followers
felt that to emigrate was to fly from persecution and to desert a
cause; but Fox, with more wisdom, had as early as 1660 proposed
the purchase of a tract of land in America. Between 1656 and 1675
he and his devoted followers were from time to time braving all kinds
of danger in the propagation of their faith throughout the English
colonies in America. Their wanderings often brought them into
contact with the Indians, and this almost always led to the friendliest
of relations.[776]
[There are papers on the portraits of
Penn in Scribner’s Monthly, xii. 1, by F.
M. Etting, and in the Mag. of Amer.
Hist., October, 1882. Cf. also Penn. Mag.
of Hist. vol. vi. pp. 174, 252. The above
cut represents him at twenty-two. It
follows a large private steel plate,
engraved by S. A. Schoff, of Boston,
with the aid of a crayon reduction by
William Penn possessed more influence with the ruling class of
England than did any other of the followers of Fox. His joining the
Friends in 1668 is a memorable event in the history of their Society.
The son of Admiral Sir William Penn, the conqueror of Jamaica, and
of his wife Margaret, daughter of John Jasper, of Amsterdam, he was
born in London Oct. 14, 1644, the year in which Fox began to preach
to his neighbors in Leicestershire. The Admiral was active in bringing
about the restoration of the Stuarts, and this, together with his naval
services, gave him an influence at Court which would have enabled
him to advance the interests of his son.
But while a student at
Oxford, the young Penn chanced
to hear the preaching of Thomas
Loe, a Quaker, and so impressed
was he by it that he ceased to
attend the religious services of
his College. For this he was
expelled from the University. His
father, after a brief impulse of
anger which this disgrace
caused, sent him to Paris, and in
that gay capital the impressions
made by the Quaker preacher
were nearly effaced. From Paris
he went to Saumur and became
a pupil of Moses Amyrault, a
learned professor of the French
Reformed Church. At the
conclusion of his studies he
travelled in France and Italy, and
in 1664 returned to England,—a
fashionable gentleman, with an
ā€œaffected manner of speech and
gait.ā€ The dreadful scenes which
occurred the next year in
William Hunt, and represents an original
likeness painted in oils in 1666 by an
unknown artist, possibly Sir Peter Lely.
It was one of two preserved at Stoke
Poges for a long time, and this one was
given in 1833 by Penn’s grandson,
Granville Penn, to the Historical Society
of Pennsylvania. (Catalogue of Paintings,
etc., belonging to the Historical Society,
1872, no. 50.) There are other
engravings of it in the Pennsylvania
Magazine of History, i. 361; in Janney’s
Life of Penn; in Stoughton’s William
Penn; and in Watson’s Annals of
Philadelphia. A portrait by Francis Place,
representing Penn at fifty-two, is
engraved from the National Museum
copy of the original in Gay’s Popular
History of the United States, ii. 487. It
was discovered in England in 1874, and
its story is told in Mr. Etting’s paper.
There is another engraving of it in Egle’s
Pennsylvania. Maria Webb’s Penns and
Peningtons (1867) gives an account of a
recently discovered crayon likeness. (Cf.
Catalogue of Paintings, etc., belonging
to the Historical Society, 1872, p. 27.) A
steel engraving was issued in Germany
some years since, purporting to be from
a portrait by Kneller,—which is quite
possible,—and this engraving is
reproduced a little larger than the
German one in the Mag. of Amer. Hist.,
October, 1882. The likeness best known
is probably the one introduced by West
in his well-known picture of the making
of the Treaty. In this, West, who never
saw Penn, seemingly followed one of
the medallions or busts made by
Sylvanus Bevan, a contemporary of
Penn, who had a natural skill in cutting
likenesses in ivory. One of these
medallions is given in Smith and
London during the Plague again
turned his thoughts from worldly
affairs. To overcome this
seriousness his father sent him
to Ireland. While there, an
insurrection broke out among
the soldiers at Carrickfergus
Castle, and he served as a
volunteer under Lord Arran in its
suppression. The Viceroy of
Ireland was willing to reward
this service by giving him a
military command, but Admiral
Penn refused his consent. It was
at this time that the
accompanying portrait was
painted. While in Ireland, Penn
again came under the influence
of the preaching of Loe, and in
his heart became a Quaker. He
was shortly afterwards arrested
with others at a Quaker meeting.
His conduct alienated his father
from him, but a reconciliation
followed when the Admiral
learned how sincere the young
Quaker was in his views.
Penn wrote industriously in
the cause, and endeavored by
personal solicitation at Court to
obtain for the Quakers more
liberal treatment. Imprisoned in
the Tower for heresy, he passed
his time in writing No Cross, No
Crown. Released through his
Watson’s American Historical and
Literary Curiosities, i. pl. xv., and in the
Mag. of Amer. Hist., October, 1882.
Bevan’s bust was also the original of the
head of the statue, with a broad-brim
hat, which has stood in the grounds of
the Pennsylvania Hospital since John
Penn, son of the Proprietary, bought it
from the estate of Lord Le Despenser at
High Wycombe, and gave it to the
hospital. The same head was again used
as the model of the wooden bust which
was in the Loganian Library, but was
destroyed by fire in 1831. Proud’s
History of Pennsylvania (1797) gives an
engraving of it; and the likeness in
Clarkson’s Life of Penn is also credited to
one of Bevan’s busts. Inman’s picture,
which appears in Janney’s Penn and in
Armor’s Governors of Pennsylvania, is to
be traced to the same source, as also is
the engraving in the EncyclopƦdia
Londiniensis.
Penn is buried in the graveyard at
Jordan’s, twenty miles or so from
London; and the story of an
unsuccessful effort by the State of
Pennsylvania to secure his remains,
encased in a leaden casket, is told in
The Remains of William Penn, by
George L. Harrison, privately printed,
Philadelphia, 1882, where is a view of
the grave and an account of the
neighborhood. There is a picture of the
grave in the Pennsylvania Historical
Society. Cf. Catalogue of Paintings, etc.,
belonging to the Historical Society
(1872), no. 151; and Mrs. S. C. Halls
article in National Magazine, viii. 109;
and Mag. of Amer. Hist., October, 1882,
p. 661.—Ed.]
father’s influence with the Duke
of York, he was soon again
arrested under the Conventicle
Act for having spoken at a
Quaker meeting, and his trial for
this offence is a celebrated one
in the annals of English law.
In September, 1670, his
father died, leaving him an
ample fortune, besides large
claims on the Government. But
the temptations of wealth had
no influence on Penn. He
continued to defend the faith he
had embraced, and in the latter
part of the year was again in
Newgate. There he wrote The
Great Case of Liberty of
Conscience debated. Had his
services to humanity been no
greater than those rendered by
the pen, they would have
secured for him a lasting
remembrance; but the
experience he gained in
defending the principles of the
Friends was fitting him for higher
responsibilities. His mind, which
was naturally bright, had been
improved by study. In such
rough schools of statesmanship
as the Old Bailey, Newgate, and
the Tower, he imbibed broad and
liberal views of what was
necessary for the welfare of
mankind, which in the end prompted him to attempt a practical
interpretation of the philosophy of More and Harrington. His interest
in West Jersey[777] led him to make extensive investments in the
enterprise; but notwithstanding the zeal and energy with which it
was pushed, the result was far from satisfactory. The disputes
between Fenwick and the creditors of Byllynge, and the transfer by
the former of a large portion of his interest to Eldridge and Warner in
security for a debt, left a cloud upon the title of land purchased
there, and naturally deterred people from emigrating. False reports
detrimental to the colony were also circulated in England, while the
claim of Byllynge, that his parting with an interest in the soil did not
affect his right to govern, and the continued assumption of authority
by Andros over East Jersey and the ports on the Delaware, added to
the feeling of dissatisfaction. This is clearly shown in a pamphlet
published in 1681, the preface of which says it was put forth ā€œto
contradict the Disingenuous and False Reports of some men who
have made it their business to speak unjustly of New Jersey and our
Proceedings therein: As though the Methods of Settlement were
confused and Uncertain, no man Knowing his own Land, and several
such idle Lying Stories.ā€[778]
It was in this condition of affairs that Penn conceived the idea of
obtaining a grant of land in America in settlement of a debt of
Ā£16,000 due the estate of his father from the Crown. We have no
evidence showing when this thought first took form in his mind, but
his words and actions prove that it was not prompted in order to
better his worldly condition. Certain it is that the eyes of the Friends
had long been turned to what is now Pennsylvania as a spot upon
which they might find a refuge from persecution. In 1660, when
George Fox first thought of a Quaker settlement in America, he
wrote on this subject to Josiah Coale, who was then with the
Susquehanna Indians north of Maryland. The reply from Maryland is
dated ā€œeleventh month, 1660,ā€ and reads,—
ā€œDear George,—As concerning Friends buying a piece of Land of the
Susquehanna Indians, I have spoken of it to them, and told them what
thou said concerning it; but their answer was that there is no land that is
habitable or fit for situation beyond Baltimore’s liberty till they come to or
near the Susquehanna’s fort.ā€
In 1681 Penn, in writing about his province, said: ā€œThis I can say,
that I had an opening of joy as to these parts in the year 1661 at
Oxford twenty years since.ā€ The interest which centred in West
Jersey caused the scheme to slumber, until revived by Penn in 1680.
The petition to the King was presented about the 1st of June,
1680. It asked for a tract of land ā€œlying North of Maryland, on the
East bounded with Delaware River, on the West limited as Maryland
is, and Northward to extend as far as plantable, which is altogether
Indian.ā€ This, ā€œhis Majty
being graciously disposed to gratify,ā€ was
referred to the Lords of Trade and Plantations, and if it should meet
with their approval, they were to consider ā€œsuch restrictions,
limitations, and other Clauses as were fitting to be inserted in the
Grant.ā€
The proceedings which followed prevented the issue of the
charter for some time. ā€œA caution was used,ā€ says Chalmers, ā€œin
proportion to the inattention with which former patents had been
given, almost to every petitioner. Twenty years had now taught
circumspection, and the recent refractoriness of Massachusetts had
impressed the ministers with a proper sense of danger, at least of
inconvenience.ā€ The agents of the Duke of York and of Lord
Baltimore were consulted about the proposed boundaries, and the
opinions of Chief-Justice North and the Attorney-General were taken
on the same subjects, as well as on the powers that were to be
conferred. The charter as granted gave to Penn and his successors
all the territory between the fortieth and forty-second degrees of
latitude, extending through five degrees of longitude west from the
Delaware River, with the exception of that part which would fall
within a circle drawn twelve miles around New Castle, the northern
segment of which was to form the boundary between Penn’s
province and the Duke of York’s colonies of Delaware. It was
supposed that such a circle would be intersected on the west by the
fortieth degree of latitude, the proposed boundary between
Pennsylvania and Maryland. This erroneous opinion was the cause of
a prolonged litigation. The allegiance of the Proprietary and of the
inhabitants was reserved to the Crown. The right to govern was
vested in Penn. He could appoint officers, and with the consent of
the people make such laws as were necessary; but to insure their
unison with those of England they were to be submitted to the
Crown within five years for approval. He could raise troops for the
defence of his province, and collect taxes and duties; but the latter
were to be in addition to those ordered by Parliament. He could
pardon all crimes except treason and wilful murder, and grant
reprieves in such cases until the pleasure of the King should be
known. The Bishop of London had the power to appoint a chaplain
on the petition of twenty of the inhabitants, and an agent was to
reside near the Court to explain any misdemeanor that might be
committed.
The charter was signed March 4, 1681, and on the next day Penn
wrote to Robert Turner,—
ā€œAfter many waitings, watchings, solicitings, and disputes in Council,
this day my country was confirmed to me under the Great Seal of England,
with large powers and privileges, by the name of Pennsilvania, a name the
King would have given in honor of my father. I chose New Wales, being as
this a pretty hilly country, ... for I feared lest it should be looked as a
vanity in me and not as a respect in the King, as it truly was, to my father,
whom he often mentions with praise. Thou mayst communicate my graunt
to friends, and expect shortly my proposals; ā€˜tis a clear and just thing; and
my God, that has given it me through many difficulties, will, I believe,
bless and make it the seed of a nation. I shall have a tender care to the
government, that it will be well laid at first.ā€
On the 2d of April a royal proclamation, addressed to those who
were already settled within the province, informed them of the
granting of the patent, and its character. Six days afterwards Penn
prepared a letter to be read to the settlers by his representative,
couched in language of friendship and affection. He told them frankly
that government was a business he had never undertaken, but that
it was his wish to do it uprightly. You are ā€œat the mercy of no
governor,ā€ he said, ā€œwho comes to make his fortune great; you shall
be governed by laws of your own making, and live a free and, if you
will, a sober and industrious people.ā€ On the same day he gave to his
kinsman, William Markham, whom he had selected to be his deputy-
governor, and who was to precede him to Pennsylvania, instructions
regarding the first business to be transacted. Two days afterwards he
furnished him with his commission and more explicit directions, and
Markham shortly afterwards sailed for America, and probably landed
in Boston, where his commission is recorded. By the 15th of June he
had reached New York, and Brockholls on the 21st issued an order
addressed to the civil officers within the limits of Pennsylvania,
yielding to Markham his authority as the representative of the Duke
of York. Markham carried letters from the King and from Penn to
Lord Baltimore. The former recommended ā€œthe infant colony and its
leader to his friendly aid.ā€ He also required the patentee of Maryland
ā€œto make a true division of the two provinces according to the
boundaries and degrees expressed in their patents.ā€ The letter of
Penn authorized Markham to settle the boundaries. Markham met
Lord Baltimore in August, 1681, and while at his house was taken so
ill that nothing was decided upon.
Soon after the confirmation of his charter, Penn issued a
pamphlet, in which the essential parts of that instrument were given,
together with an account of the country and the views he
entertained for its government. The conditions on which he proposed
to dispose of land were, a share of five thousand acres free from any
Indian incumbrance for £100, and one shilling English quit-rent for
one hundred acres, the quit-rent not to begin until after 1684. Those
who hired were to pay one penny per acre for lots not exceeding two
hundred acres. Fifty acres per head were allowed to the masters of
servants, and the same quantity was given to every servant when his
time should expire. A plan for building cities was also suggested, in
which all should receive lots in proportion to their investments.
The unselfishness and purity of Penn’s motives, and the religious
feelings with which he was inspired, are evident from his letters. On
the 12th of April, 1681, he wrote to three of his friends,—
ā€œHaving published a paper with relation to my province in America (at
least what I thought advisable to publish), I here inclose one that you may
know and inform others of it. I have been these thirteen years the servant
of truth and Friends, and for my testimony sake lost much, not only the
greatness and preferments of this world, but £16,000 of my estate, that
had I not been what I am I had long ago obtained. But I murmur not; the
Lord is good to me, and the interest his truth has given me with his people
may more than repair it; for many are drawn forth to be concerned with
me: and perhaps this way of satisfaction has more the hand of God in it
than a downright payment.... For the matter of liberty and privilege, I
propose that which is extraordinary, and to leave myself and successors no
power of doing mischief,—that the will of one man may not hinder the
good of an whole country. But to publish those things now and here, as
matters stand, would not be wise, and I was advised to reserve that until I
came there.ā€
To another he wrote,—
ā€œAnd because I have been somewhat exercised at times about the
nature and end of government among men, it is reasonable to expect that
I should endeavor to establish a just and righteous one in this province,
that others may take example by it,—truly this my heart desires. For the
nations want a precedent.... I do, therefore, desire the Lord’s wisdom to
guide me, and those that may be concerned with me, that we may do the
thing that is truly wise and just.ā€
And again,—
ā€œFor my country, I eyed the Lord in obtaining it, and more was I drawn
inward to look to him, and to owe it to his hand and power than to any
other way. I have so obtained it, and desire to keep it that I may not be
unworthy of his love, but do that which may answer his kind Providence
and serve his truth and people, that an example may be set up to the
nations. There may be room there, though not here, for such an holy
experiment.ā€
The scheme grew apace, and, as Penn says, ā€œmany were drawn
forth to be concerned with him.ā€ His prominence as a Quaker
attracted the attention of Quakers in all quarters. He had travelled in
their service in Wales, and from thence some of the first settlers
came. Two visits to Holland and Germany had made him known to
the Mennonites and like religious bodies there. His pamphlet was
reprinted at Amsterdam, and the seed sown soon brought forth
abundantly. By July 11, 1681, matters had so far progressed that it
was necessary to form a definite agreement between Penn and the
purchasers, and a paper known as ā€œCertain Conditions or
Concessionsā€ was executed.
By this time also (July, 1681) troubles with Lord Baltimore were
anticipated in England, and some of the adventurers were deterred
from purchasing. Penn at once began negotiations for the
acquirement of the Duke of York’s interests on the Delaware.
Meanwhile, in the face of all these rumors, Penn refused to part with
any of his rights, except on the terms and in the spirit which he had
announced. Six thousand pounds were offered for a monopoly of the
Indian trade, but he declined it; ā€œI would not,ā€ are his words, ā€œso
defile what came to me clean.ā€
William Crispin, John Bezar, and Nathaniel Allen were
commissioned by Penn (Sept. 30, 1681) to assist Markham. They
were to select a site for a town, and superintend its laying out.
William Haige was subsequently added to the number. By them he
sent to the Indians a letter of an affectionate character, and another
to be read to the Swedes by their ministers.
The first commissioners probably sailed on the ā€œJohn Sarah,ā€
which cleared for Pennsylvania in October. She is supposed to have
been the first vessel to arrive there after Penn received his grant.
On August 24, 1682, Penn acquired from the Duke of York the
town of New Castle and the country twelve miles around it, and the
same day the Duke conveyed to him the territory lying south of New
Castle, reserving for himself one half the rents. The first of these
gifts professed to have been made on account of the Duke’s respect
for the memory of Sir William Penn. A deed was also obtained from
the Duke (August 20) for any right he might have to Pennsylvania as
a part of New Netherland.
Having completed his business in England, Penn prepared to sail
for America. On the 4th of August, from his home at Worminghurst,
he addressed to his wife and children a letter of singular beauty,
manliness, and affection. It is evident from it that he appreciated the
dangers before him, as well as the responsibilities which he had
assumed. To his wife, who was the daughter of Sir William Springett,
he wrote: ā€œRemember thy mother’s example when thy father’s
public-spiritedness had worsted his estate, which is my case.ā€ To his
children, fearing he would see them no more, he said: ā€œAnd as for
you who are likely to be concerned in the government of
Pennsylvania and my parts of East Jersey, especially the first, I do
charge you before the Lord God and His holy angels, that you be
lowly, diligent, and tender, fearing God, loving the people, and hating
covetousness.ā€ To both, in closing, he wrote: ā€œSo farewell to my
thrice-dearly beloved wife and children. Yours as God pleaseth, in
that which no waters can quench, no time forget, nor distance wear
away.ā€
On the 30th of August he wrote to all faithful friends in England,
and the next day there ā€œsailed out of the Downs three ships bound
for Pennsylvania, on board of which was Mr. Pen, with a great many
Quakers who go to settle there.ā€ Such was the announcement in the
London Gazette of September 4, of the departure of those who were
to found one of the most prosperous of the British colonies in
America.
With the exception of a narrow strip of land along the Delaware,
on which were scattered a few Swedish hamlets, the tract covered
by the royal grant to Penn was a wilderness. It contained, exclusive
of Indians, about five hundred souls. The settlements extended from
the southern limits of the province for a few miles above the mouth
of the Schuylkill, and then there was nothing until Crewcorne was
reached, opposite the Falls of Delaware. None of these settlements
rose to the dignity of a village, unless it was Upland, at which place
the Court was held. The territory acquired from the Duke of York
contained about the same number of persons as did Pennsylvania.
Many, however, who lived in either section were Swedes or Finns. A
few Dutch had settled among them, and some Quaker families had
crossed from New Jersey and taken up land.
Penn found the Swedes ā€œa strong, industrious people,ā€ who knew
little beside the rudiments of agriculture, and cared not to cultivate
beyond their needs.[779] The fertile country in which they dwelt
yielded adequate supply with moderate labor, and to the English
settlers it appeared to be a paradise. The reports which Penn’s
people sent home encouraged others to come, and although their
accounts were highly colored, none of the new-comers seem to have
been disappointed. The first descriptions we have of the country
after it became Pennsylvania are in the letters of Markham. To his
wife he wrote, Dec. 7, 1681,—
ā€œIt is a very fine Country, if it were not so overgrown with Woods, and
very Healthy. Here people live to be above one hundred years of Age.
Provisions of all sorts are indifferent plentiful, Venison especially; I have
seen four Bucks bought for less than 5s. The Indians kill them only for
their Skins, and if the Christians will not buy the Flesh they let it hang and
rot on a Tree. In the Winter there is mighty plenty of Wild Fowl of all sorts.
Partridges I am cloyed with; we catch them by hundreds at a time. In the
fall of the leaf, or after Harvest, here are abundance of wild Turkeys,
which are mighty easie to be Shot; Duck, Mallard, Geese, and Swans in
abundance, wild; Fish are in great plenty. In short, if a Country Life be
liked by any, it might be here.ā€
Markham, after his arrival, had taken such steps as were
necessary to establish the authority of Penn. On the 3d of August
nine of the residents, selected by him, took the oath to act as his
council. A court was held at Upland September 13, the last court
held there under the authority of the Duke of York having adjourned
until that time. By Penn’s instructions, all was to be done ā€œaccording
to the good laws of England. But the new court during the first year
of its existence failed to comply with these laws in a very essential
particular,—persons were put upon trial without the intervention of a
grand jury. No provision was made under the Duke’s laws for the
safeguard of the citizen, and the new justices acted for a time in
accordance with former usage. A petit jury, so rare under the former
court, now participated in every trial where facts were in dispute. In
criminal cases the old practice was adhered to, of making the
prosecutor plaintiff.ā€[780]
During 1681 at least two vessels arrived with settlers. Of the
commissioners who were sent out in October to assist Markham,
Crispin died at Barbadoes. April 23, 1682, Thomas Holme, bearing a
commission of surveyor-general, sailed from England, and arrived
about June. Already the site for Philadelphia had been selected, as
James Claypoole, who was in England, wrote, July 14, that he ā€œhad
one hundred acres where our capital city is to be, upon the river
near Schuylkill.ā€ July 15, 1682, Markham purchased from the Indians
a tract of land on the Delaware below the Falls.
The first Welsh emigrants arrived on the 13th of August, 1682.
They were Quakers from Merionethshire who had felt the hand of
persecution. They had bought from Penn in England five thousand
acres of unsurveyed land, and had been promised by him the
reservation of a large tract exclusively for Welsh settlers, to the end
that they might preserve the customs of their native land, decide all
debates ā€œin a Gospel order,ā€ and not entangle themselves ā€œwith laws
in an unknown tongue.ā€ At Philadelphia they found a crowd of people
endeavoring to have their farms surveyed, for although the site of
the city was chosen, the town lots were not laid out. In a few days
the Welshmen had the first part surveyed of what became known as
the Welsh Barony. It lay on the west side of the Schuylkill, north of
Philadelphia. The warrant for surveying the entire tract, which
contained forty thousand acres, was not issued until 1684. Special
privileges appear to have been accorded to these settlers. Township
officers were not chosen for their districts until 1690, and their
Friends’ Meetings exercised authority in civil affairs. From these facts
it is possible that the intention was to protect the Welsh in the rights
of local self-government by erecting the tract into a manor. By a
clause in the royal charter, Penn could erect ā€œmanors, to have and to
hold a court baron, with all things whatsoever to a court baron do
belong.ā€ To a company known as the ā€œFree Society of Tradersā€ he
had (March 20, 1682) granted these extraordinary privileges,
empowering them to hold courts of sessions and jail deliveries, to
constitute a court-leet, and to appoint certain civil officers for their
territory. This was known as the Manor of Frank. To Nicholas More,
the president of the Company, the Manor of Moreland was granted,
with like privileges; but neither More nor the Company seem to have
exercised their rights as rulers. Whatever special rights the
Welshmen had, were reserved until 1690, when regular township
officers were appointed. Goshen, Uwchlan, Tredyffren, Whiteland,
Newtown, Haverford, Radnor, and Merion,—the names these ancient
Britons gave to their townships—show what parts of the present
counties of Delaware, Chester, and Montgomery the Welsh tract
covered. Some of these people settled in Philadelphia and Bucks
County. They were chiefly Quakers, although Baptists were found
among them.
The ship which bore Penn to America was the ā€œWelcome.ā€ The
small-pox made its appearance among the passengers when they
had been out a short time, and nearly one-third of them died. Two
vessels which left England after Penn had sailed, arrived before him;
but at last, after a trying voyage of nearly two months, the
ā€œWelcomeā€ came within the Capes of Delaware. Penn dated his
arrival from the 24th of October, 1682, but it was not until the 27th
that the vessel lay opposite New Castle. The next day he exhibited
his deeds from the Duke of York, and took formal possession of the
town and surrounding country. He received a pledge of submission
from the inhabitants, issued commissions to six justices of the peace,
and empowered Markham to receive in his name possession of the
country below, which was done on November 7. The 29th of October
(O. S.) found him within the bounds of Pennsylvania, at the Swedish
village of Upland, the name of which, tradition says, he then
changed to Chester. From this point notices were sent out for the
holding of a court at New Castle on the 2d of November. At this
meeting the inhabitants of the counties of Delaware were told that
their rights and privileges should be the same as those of the citizens
of Pennsylvania, and that an assembly would be held as soon as
convenient.
LETITIA COTTAGE.
A city residence for Penn was begun by his commissioners before
he arrived. Parts of it were prepared in England. A portion of it still
stands on the west side of Letitia Street, south of Market. The
above cut is a fac-simile of the view given in Watson’s Annals of
Philadelphia (1845), p. 158. Cf. Gay’s Popular History of the United
States, ii. 492.
The attention which Penn gave to the constitution of his province
was a duty which had for him a particular interest. His thoughts had
necessarily dwelt much on the subject, and his experience had made
him acquainted with the principles of law and the abuses of
government. The drafts of this paper which have been preserved
show how deeply it was considered. Henry Sidney, Sir William Jones,
and Counsellor Bamfield were consulted, and portions of it were
framed in accordance with the wishes of the Quakers. In the
Introduction to this remarkable paper, the ingenuousness of its
author is clearly discernible. Recognizing the necessity of
government, and tracing it to a divine origin, Penn continues,—
ā€œFor particular frames and models, it will become me to say little, and
comparatively I will say nothing. My reasons are, first, that the age is too
nice and difficult for it, there being nothing the wits of men are more busy
and divided upon.... Men side with their passions against their reason, and
their sinister interests have so strong a bias upon their minds, that they
lean to them against the good of the things they know.
ā€œI do not find a model in the world that time, place, and some singular
emergencies have not necessarily altered, nor is it easy to frame a civil
government that shall serve all places alike. I know what is said by the
several admirers of monarchy, aristocracy, and democracy, which are the
rule of one, a few, and many, and are the three common ideas of
government when men discourse on that subject. But I choose to solve
the controversy with this small distinction, and it belongs to all three,—any
government is free to the people under it (whatever be the frame) where
the laws rule and the people are a party to those laws; and more than this
is tyranny, oligarchy, or confusion.... Liberty without obedience is
confusion, and obedience without liberty is slavery.ā€
SEAL AND AND SIGNATURES TO THE FRAME OF
GOVERNMENT.
[This is reduced from the fac-simile in Smith and Watson’s
American Historical and Literary Curiosities, pl. lvii.; and another
reduction will be found in Mag. of Amer. Hist., October, 1882; cf.
Lossing’s Fieldbook of the Revolution, ii. 256.—Ed.]
The good men of a nation, he argues, should make and keep its
government, and laws should bind those who make laws necessary.
As wisdom and virtue are qualities that descend not with worldly
inheritances, care should be taken for the virtuous education of
youth.
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Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman

  • 1. Explore the full ebook collection and download it now at textbookfull.com Big data little data no data scholarship in the networked world First Mit Press Paperback Edition Borgman https://textbookfull.com/product/big-data-little-data-no- data-scholarship-in-the-networked-world-first-mit-press- paperback-edition-borgman/ OR CLICK HERE DOWLOAD EBOOK Browse and Get More Ebook Downloads Instantly at https://textbookfull.com Click here to visit textbookfull.com and download textbook now
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  • 6. Big Data, Little Data, No Data
  • 8. Big Data, Little Data, No Data Scholarship in the Networked World Christine L. Borgman The MIT Press Cambridge, Massachusetts London, England
  • 9. Ā© 2015 Christine L. Borgman All rights reserved. No part of this book may be reproduced in any form by any electronic or mechanical means (including photocopying, recording, or information storage and retrieval) without permission in writing from the publisher. MIT Press books may be purchased at special quantity discounts for business or sales promotional use. For information, please email special_sales@mitpress.mit. edu. This book was set in Stone Sans and Stone Serif by the MIT Press. Printed and bound in the United States of America. Library of Congress Cataloging-in-Publication Data Borgman, Christine L., 1951– Big data, little data, no data : scholarship in the networked world / Christine L. Borgman. pages cm Includes bibliographical references and index. ISBN 978-0-262-02856-1 (hardcover : alk. paper) 1. Communication in learning and scholarship—Technological innovations. 2. Research—Methodology. 3. Research—Data processing. 4. Information technology. 5. Information storage and retrieval systems. 6. Cyberinfrastructure. I. Title. AZ195.B66 2015 004—dc23 2014017233. ISBN: 978–0-262–02856–1 10 9 8 7 6 5 4 3 2 1
  • 10. For Betty Champoux Borgman, 1926–2012, and Ann O’Brien, 1951–2014
  • 12. Contents Detailed Contents ix Preface xvii Acknowledgments xxi Part I: Data and Scholarship 1 1 Provocations 3 2 What are Data? 17 3 Data Scholarship 31 4 Data Diversity 55 Part II: Case Studies in Data Scholarship 81 5 Data Scholarship in the Sciences 83 6 Data Scholarship in the Social Sciences 125 7 Data Scholarship in the Humanities 161 Part III: Data Policy and Practice 203 8 Releasing, Sharing, and Reusing Data 205 9 Credit, Attribution, and Discovery 241 10 What to Keep and Why 271 References 289 Index 361
  • 14. Detailed Table of Contents Preface xvii Acknowledgments xxi Part I: Data and Scholarship 1 1 Provocations 3 Introduction 3 Big Data, Little Data 4 Bigness 5 Openness 7 The Long Tail 8 No Data 10 Data Are Not Available 11 Data Are Not Released 11 Data Are Not Usable 13 Provocations 13 Conclusion 15 2 What Are Data? 17 Introduction 17 Definitions and Terminology 18 Definitions by Example 19 Operational Definitions 20 Categorical Definitions 21 Degrees of Processing 21 Origin and Preservation Value 23 Collections 25 Conceptual Distinctions 26
  • 15. x Detailed Table of Contents Sciences and Social Sciences 26 Humanities 27 Conclusion 28 3 Data Scholarship 31 Introduction 31 Knowledge Infrastructures 32 The Social and the Technical 35 Communities and Collaboration 36 Knowledge and Representation 37 Theory, Practice, and Policy 38 Open Scholarship 39 Open Access to Research Findings 39 Open Access to Data 42 Open Technologies 45 Converging Communication 47 Data Metaphors 47 Units of Data 50 Documents of Record 51 Conclusion 52 4 Data Diversity 55 Introduction 55 Disciplines and Data 56 Size Matters 58 Project Goals 58 Data Collection 60 Data Analysis 61 When Are Data? 62 Distance Matters 64 Sources and Resources 64 Metadata 65 Definitions and Discovery 66 Communities and Standards 68 Provenance 70 External Influences 71 Economics and Values 71 Property Rights 75 Ethics 77 Conclusion 79
  • 16. Detailed Table of Contents xi Part II: Case Studies in Data Scholarship 81 5 Data Scholarship in the Sciences 83 Introduction 83 Research Methods and Data Practices 83 Science Cases 84 Astronomy 85 Size Matters 86 Big Science, Little Science 86 Big Data, Long Tail 87 When Are Data? 90 Sources and Resources 91 Telescopes 91 Electromagnetic Spectrum 92 Celestial Objects 93 Astronomy Data Products 93 Knowledge Infrastructures 94 Metadata 94 Coordinate Systems 95 Celestial Objects 96 Data Archiving 97 Publications 98 Provenance 99 External Influences 100 Economics and Value 100 Property Rights 100 Ethics 101 Conducting Research in Astronomy 102 The COMPLETE Survey 102 Research Questions 103 Collecting Data 103 Analyzing Data 104 Publishing Findings 104 Curating, Sharing, and Reusing Data 105 Sensor-Networked Science and Technology 106 Size Matters 106 When Are Data? 108 Sources and Resources 109 Embedded Sensor Networks 109 Physical Samples 111 Software, Code, Scripts, and Models 111 Background Data 111
  • 17. xii Detailed Table of Contents Knowledge Infrastructures 112 Metadata 112 Provenance 113 External Influences 113 Economics and Value 113 Property Rights 114 Ethics 115 Conducting Research with Embedded Sensor Networks 116 Research Questions 117 Collecting Data 117 Analyzing Data 119 Publishing Findings 119 Curating, Sharing, and Reusing Data 120 Conclusion 121 6 Data Scholarship in the Social Sciences 125 Introduction 125 Research Methods and Data Practices 126 Social Sciences Cases 127 Internet Surveys and Social Media Studies 128 Size Matters 128 When Are Data? 129 Sources and Resources 129 Knowledge Infrastructures 131 Metadata 132 Provenance 133 External Influences 135 Economics and Value 135 Property Rights 136 Ethics 136 Conducting Internet Surveys and Social Media Research 137 Research Questions 138 Collecting Data 139 Analyzing Data 140 Publishing Findings 141 Curating, Sharing, and Reusing Data 142 Sociotechnical Studies 143 Size Matters 144 When Are Data? 144 Sources and Resources 145 Field Observations and Ethnography 145 Interviews 146
  • 18. Detailed Table of Contents xiii Records and Documents 146 Building and Evaluating Technologies 147 Knowledge Infrastructures 147 Metadata 148 Provenance 148 External Influences 149 Economics and Value 149 Property Rights 149 Ethics 150 Conducting Sociotechnical Research in CENS 150 Research Questions 151 Collecting Data 152 Analyzing Data 154 Publishing Findings 155 Curating, Sharing, and Reusing Data 156 Conclusion 157 7 Data Scholarship in the Humanities 161 Introduction 161 Research Methods and Data Practices 162 Humanities Cases 164 Classical Art and Archaeology 164 Size Matters 165 When Are Data? 166 Sources and Resources 166 Physical versus Digital Objects 167 Digital versus Digitized 167 Surrogates versus Full Content 167 Static Images versus Searchable Representations 168 Searchable Strings versus Enhanced Content 169 Knowledge Infrastructures 170 Metadata 171 Provenance 172 Collections 173 External Factors 176 Economics and Value 176 Property Rights 178 Ethics 178 Conducting Research in Classical Art and Archaeology 179 Research Questions 180 Collecting Data 181 Analyzing Data 182
  • 19. xiv Detailed Table of Contents Publishing Findings 184 Curating, Sharing, and Reusing Data 184 Buddhist Studies 186 Size Matters 187 When Are Data? 187 Sources and Resources 188 Primary versus Secondary Sources 188 Static Images versus Enhanced Content 189 Knowledge Infrastructures 189 Metadata 190 Provenance 191 Collections 191 External Factors 192 Economics and Value 192 Property Rights 193 Ethics 193 Conducting Research in Buddhist Studies 194 Research Questions 195 Collecting Data 196 Analyzing Data 196 Publishing Findings 197 Curating, Sharing, and Reusing Data 199 Conclusion 200 Part III: Data Policy and Practice 203 8 Sharing, Releasing, and Reusing Data 205 Introduction 205 Supply and Demand for Research Data 207 The Supply of Research Data 208 To Reproduce Research 209 Defining Reproducibility 209 Determining What to Reproduce 209 Detecting Fraud 210 Resolving Disputes 211 To Make Public Assets Available to the Public 211 To Leverage Investments in Research 212 To Advance Research and Innovation 212 The Demand for Research Data 213 Scholarly Motivations 214 Publications and Data 215
  • 20. Detailed Table of Contents xv Communicating Research 215 Publishing Research 216 Data as Assets and Liabilities 217 Releasing Data 218 Representation and Mobility 219 Provenance 220 Acquiring Data to Reuse 222 Background and Foreground Uses 222 Interpretation and Trust 223 Knowledge Infrastructures 224 Repositories, Collections, and Archives 225 Private Practice 227 Human Infrastructure 228 Intractable Problems 229 Disciplinary Knowledge Infrastructures 229 Sciences 230 Astronomy 230 Sensor Networked Science and Technology 231 Genomics 233 Social Sciences 235 Internet Research 235 Sociotechnical Research 235 Humanities 236 Classical Art and Archaeology 236 Buddhist Studies 237 Conclusion 237 9 Credit, Attribution, and Discovery of Data 241 Introduction 241 Principles and Problems 243 Theory and Practice 245 Substance and Style: How to Cite 245 Theories of Citation Behavior: What, When, and Why to Cite Objects 248 Meaning of Links 248 Selecting References 249 Theorizing and Modeling Citation Behavior 250 Citing Data 251 Clear or Contested: Who Is Credited and Attributed? 252 Naming the Cited Author 252 Negotiating Authorship Credit 253 Responsibility 255 Credit for Data 256
  • 21. xvi Detailed Table of Contents Name or Number: Questions of Identity 258 Identifying People and Organizations 258 Identity and Discovery 260 Identifying Objects 261 Theory Meets Technology: Citations as Actions 264 Risks and Rewards: Citations as Currency 266 Conclusion 268 10 What to Keep and Why 271 Introduction 271 Provocations Revisited 273 Rights, Responsibilities, Roles, and Risks 273 Data Sharing 275 Publications and Data 278 Data Access 281 Stakeholders and Skills 283 Knowledge Infrastructures Past, Present, and Future 285 Conclusion 287 References 289 Index 361
  • 22. Preface Big data begets big attention these days, but little data are equally essential to scholarly inquiry. As the absolute volume of data increases, the ability to inspect individual observations decreases. The observer must step ever fur- ther away from the phenomena of interest. New tools and new perspectives are required. However, big data is not necessarily better data. The farther the observer is from the point of origin, the more difficult it can be to deter- mine what those observations mean—how they were collected; how they were handled, reduced, and transformed; and with what assumptions and what purposes in mind. Scholars often prefer smaller amounts of data that they can inspect closely. When data are undiscovered or undiscoverable, scholars may have no data. Research data are much more—and less—than commodities to be exploited. Data management plans, data release requirements, and other well-intentioned policies of funding agencies, journals, and research institu- tions rarely accommodate the diversity of data or practices across domains. Few policies attempt to define data other than by listing examples of what they might be. Even fewer policies reflect the competing incentives and motivations of the many stakeholders involved in scholarship. Data can be many things to many people, all at the same time. They can be assets to be controlled, accumulated, bartered, combined, mined, and perhaps to be released. They can be liabilities to be managed, protected, or destroyed. They can be sensitive or confidential, carrying high risks if released. Their value may be immediately apparent or not realized until a time much later. Some are worth the investment to curate indefinitely, but many have only transient value. Within hours or months, advances in technology and research fronts have erased the value in some kinds of observations. A starting point to understand the roles of data in scholarship is to acknowledge that data rarely are things at all. They are not natural objects with an essence of their own. Rather, data are representations of
  • 23. xviii Preface observations, objects, or other entities used as evidence of phenomena for the purposes of research or scholarship. Those representations vary by scholar, circumstance, and over time. Across the sciences, social sciences, and the humanities, scholars create, use, analyze, and interpret data, often without agreeing on what those data are. Conceptualizing something as data is itself a scholarly act. Scholarship is about evidence, interpretation, and argument. Data are a means to an end, which is usually the journal article, book, conference paper, or other product worthy of scholarly recog- nition. Rarely is research done with data reuse in mind. Galileo sketched in his notebook. Nineteenth-century astronomers took images on glass plates. Today’s astronomers use digital devices to capture photons. Images of the night sky taken with consumer-grade cameras can be reconciled to those taken by space missions because astronomers have agreed on representations for data description and mapping. Astronomy has invested heavily in standards, tools, and archives so that observations collected over the course of several centuries can be aggregated. However, the knowledge infrastructure of astronomy is far from complete and far from fully automated. Information professionals play key roles in organiz- ing and coordinating access to data, astronomical and otherwise. Relationships between publications and data are manifold, which is why research data is fruitfully examined within the framework of schol- arly communication. The making of data may be deliberate and long term, accumulating a trove of resources whose value increases over time. It may be ad hoc and serendipitous, grabbing whatever indicators of phenomena are available at the time of occurrence. No matter how well defined the research protocol, whether for astronomy, sociology, or ethnography, the collection of data may be stochastic, with findings in each stage influenc- ing choices of data for the next. Part of becoming a scholar in any field is learning how to evaluate data, make decisions about reliability and validity, and adapt to conditions of the laboratory, field site, or archive. Publica- tions that report findings set them in the context of the domain, grounding them in the expertise of the audience. Information necessary to understand the argument, methods, and conclusions are presented. Details necessary to replicate the study are often omitted because the audience is assumed to be familiar with the methods of the field. Replication and reproduc- ibility, although a common argument for releasing data, are relevant only in selected fields and difficult to accomplish even in those. Determining which scholarly products are worth preserving is the harder problem. Policies for data management, release, and sharing obscure the complex roles of data in scholarship and largely ignore the diversity of practices
  • 24. Preface xix within and between domains. Concepts of data vary widely across the sci- ences, social sciences, and humanities, and within each area. In most fields, data management is learned rather than taught, leading to ad hoc solu- tions. Researchers often have great difficulty reusing their own data. Mak- ing those data useful to unknown others, for unanticipated purposes, is even harder. Data sharing is the norm in only a few fields because it is very hard to do, incentives are minimal, and extensive investments in knowl- edge infrastructures are required. This book is intended for the broad audience of stakeholders in research data, including scholars, researchers, university leaders, funding agen- cies, publishers, libraries, data archives, and policy makers. The first sec- tion frames data and scholarship in four chapters, provoking a discussion about concepts of data, scholarship, knowledge infrastructures, and the diversity of research practices. The second section consists of three chapters exploring data scholarship in the sciences, social sciences, and humanities. These case studies are parallel in structure, providing comparisons across domains. The concluding section spans data policy and practice in three chapters, exploring why data scholarship presents so many difficult prob- lems. These include releasing, sharing, and reusing data; credit, attribution, and discovery; and what to keep and why. Scholarship and data have long and deeply intertwined histories. Nei- ther are new concepts. What is new are efforts to extract data from schol- arly processes and to exploit them for other purposes. Costs, benefits, risks, and rewards associated with the use of research data are being redistributed among competing stakeholders. The goal of this book is to provoke a much fuller, and more fully informed, discussion among those parties. At stake is the future of scholarship. Christine L. Borgman Los Angeles, California May 2014
  • 26. Acknowledgments It takes a village to write a sole-authored book, especially one that spans as many topics and disciplines as does this one. My writing draws upon the work of a large and widely distributed village of colleagues—an ā€œinvis- ible collegeā€ in the language of scholarly communication. Scholars care passionately about their data and have given generously of their time in countless discussions, participation in seminars and workshops, and read- ing many drafts of chapters. The genesis of this book project goes back too many years to list all who have influenced my thinking, thus these acknowledgments can thank, at best, those who have touched the words in this volume in some way. Many more are identified in the extensive bibliography. No doubt I have failed to mention more than a few of you with whom I have had memorable conver- sations about the topics therein. My research on scholarly data practices dates to the latter 1990s, building on prior work on digital libraries, information-seeking behavior, human- computer interaction, information retrieval, bibliometrics, and scholarly communication. The data practices research has been conducted with a fabulous array of partners whose generative contributions to my think- ing incorporate too much tacit knowledge to be made explicit here. Our joint work is cited throughout. Many of the faculty collaborators, students, and postdoctoral fellows participated in multiple projects; thus, they are combined into one alphabetical list. Research projects on scholarly data practices include the Alexandria Digital Earth Prototype Project (ADEPT); Center for Embedded Networked Sensing (CENS); Cyberlearning Task Force; Monitoring, Modeling, and Memory; Data Conservancy; Knowledge Infrastructures; and Long-Tail Research. Faculty collaborators on these projects include Daniel Atkins, Geoffrey Bowker, Sayeed Choudhury, Paul Davis, Tim DiLauro, George Djorgovski, Paul Edwards, Noel Enyedy, Deborah Estrin, Thomas Finholt, Ian Foster,
  • 27. xxii Acknowledgments James Frew, Jonathan Furner, Anne Gilliland, Michael Goodchild, Alyssa Goodman, Mark Hansen, Thomas Harmon, Bryan Heidorn, William Howe, Steven Jackson, Carl Kesselman, Carl Lagoze, Gregory Leazer, Mary Marlino, Richard Mayer, Carole Palmer, Roy Pea, Gregory Pottie, Allen Renear, David Ribes, William Sandoval, Terence Smith, Susan Leigh Star, Alex Szalay, Charles Taylor, and Sharon Traweek. Students, postdoctoral fel- lows, and research staff collaborators on these projects include Rebekah Cummings, Peter Darch, David Fearon, Rich Gazan, Milena Golshan, Eric Graham, David Gwynn, Greg Janee, Elaine Levia, Rachel Mandell, Matthew Mayernik, Stasa Milojevic, Alberto Pepe, Elizabeth Rolando, Ashley Sands, Katie Shilton, Jillian Wallis, and Laura Wynholds. Most of this book was developed and written during my 2012–2013 sab- batical year at the University of Oxford. My Oxford colleagues were foun- tains of knowledge and new ideas, gamely responding to my queries of ā€œwhat are your data?ā€ Balliol College generously hosted me as the Oliver Smithies Visiting Fellow and Lecturer, and I concurrently held visiting scholar posts at the Oxford Internet Institute and the Oxford eResearch Centre. Conversations at high table and low led to insights that pervade my thinking about all things data—Buddhism, cosmology, Dante, genom- ics, chirality, nanotechnology, education, economics, classics, philosophy, mathematics, medicine, languages and literature, computation, and much more. The Oxford college system gathers people together around a table who otherwise might never meet, much less engage in boundary-spanning inquiry. I am forever grateful to my hosts, Sir Drummond Bone, Master of Balliol, and Nicola Trott, Senior Tutor; William Dutton of the Oxford Internet Institute; David de Roure, Oxford eResearch Centre; and Sarah Thomas, Bodley’s Librarian. My inspiring constant companions at Oxford included Kofi Agawu, Martin Burton, George and Carmella Edwards, Panagis Filippakopoulos, Marina Jirotka, Will Jones, Elena Lombardi, Eric Meyer, Concepcion Naval, Peter and Shirley Northover, Ralph Schroeder, Anne Trefethen, and Stefano Zacchetti. Others at Oxford who enlightened my thinking, perhaps more than they know, include William Barford, Grant Blank, Dame Lynne Brindley, Roger Cashmore, Sir Iain Chalmers, Carol Clark, Douglas Dupree, Timothy Endicott, David Erdos, Bertrand Faucheux, James Forder, Brian Foster, John- Paul Ghobrial, Sir Anthony Graham, Leslie Green, Daniel Grimley, Keith Hannabus, Christopher Hinchcliffe, Wolfram Horstmann, Sunghee Kim, Donna Kurtz, Will Lanier, Chris Lintott, Paul Luff, Bryan Magee, Helen Margetts, Philip Marshall, Ashley Nord, Dominic O’Brien, Dermot O’Hare, Richard Ovenden, Denis Noble, Seamus Perry, Andrew Pontzen, Rachel
  • 28. Acknowledgments xxiii Quarrell, David Robey, Anna Sander, Brooke Simmons, Rob Simpson, Jin- Chong Tan, Linnet Taylor, Rosalind Thomas, Nick Trefethen, David Vines, Lisa Walker, David Wallace, Jamie Warner, Frederick Wilmot-Smith, and Timothy Wilson. Very special acknowledgments are due to my colleagues who contrib- uted substantially to the case studies in chapters 5, 6, and 7. The astronomy case in chapter 5 relies heavily on the contributions of Alyssa Goodman of the Harvard-Smithsonian Center for Astrophysics and her collabora- tors, including Alberto Accomazzi, Merce Crosas, Chris Erdmann, Michael Kurtz, Gus Muench, and Alberto Pepe. It also draws on the research of the Knowledge Infrastructures research team at UCLA. The case benefited from multiple readings of drafts by professor Goodman and reviews by other astronomers or historians of astronomy, including Alberto Accomazzi, Chris Lintott, Michael Kurtz, Patrick McCray, and Brooke Simmons. Astron- omers George Djorgovski, Phil Marshall, Andrew Pontzen, and Alex Sza- lay also helped clarify scientific issues. The sensor-networked science and technology case in chapter 5 draws on prior published work about CENS. Drafts were reviewed by collaborators and by CENS science and technol- ogy researchers, including David Caron, Eric Graham, Thomas Harmon, Matthew Mayernik, and Jillian Wallis. The first social sciences case in chap- ter 6, on Internet research, is based on interviews with Oxford Internet Institute researchers Grant Blank, Corinna di Gennaro, William Dutton, Eric Meyer, and Ralph Schroeder, all of whom kindly reviewed drafts of the chapter. The second case, on sociotechnical studies, is based on prior pub- lished work with collaborators, as cited, and was reviewed by collaborators Matthew Mayernik and Jillian Wallis. The humanities case studies in chap- ter 7 were developed for this book. The CLAROS case is based on interviews and materials from Donna Kurtz of the University of Oxford, with further contributions from David Robey and David Shotton. The analysis of the Pisa Griffin draws on interviews and materials from Peter Northover, also of Oxford, and additional sources from Anna Contadini of SOAS, London. The closing case, on Buddhist scholarship, owes everything to the patient tuto- rial of Stefano Zacchetti, Yehan Numata Professor of Buddhist Studies at Oxford, who brought me into his sanctum of enlightenment. Humanities scholars were generous in reviewing chapter 7, including Anna Contadini, Johanna Drucker, Donna Kurtz, Peter Northover, Todd Presner, Joyce Ray, and David Robey. Many others shared their deep expertise on specialized topics. On bio- medical matters, these included Jonathan Bard, Martin Burton, Iain Chalmers, Panagis Filippakopoulos, and Arthur Thomas. Dr. Filippakopoulos
  • 29. xxiv Acknowledgments read drafts of several chapters. On Internet technologies and citation mecha- nisms, these included Geoffrey Bilder, Blaise Cronin, David de Roure, Peter Fox, Carole Goble, Peter Ingwersen, John Klensin, Carl Lagoze, Salvatore Mele, Ed Pentz, Herbert van de Sompel, and Yorick Wilks. Chapter 9 was improved by the comments of Blaise Cronin, Kathleen Fitzpatrick, and John Klensin. Paul Edwards and Marilyn Raphael were my consultants on climate modeling. Sections on intellectual property and open access benefited from discussions with David Erdos, Leslie Green, Peter Hirtle, Peter Murray-Rust, Pamela Samuelson, Victoria Stodden, and John Wilbanks. Christopher Kelty helped to clarify my understanding of common-pool resources, building on other discussions of economics with Paul David, James Forder, and David Vines. Ideas about knowledge infrastructures were shaped by long-running discussions with my collaborators Geoffrey Bowker, Paul Edwards, Thomas Finholt, Steven Jackson, Cory Knobel, and David Ribes. Similarly, ideas about data policy were shaped by membership on the Board on Research Data and Information, on CODATA, on the Electronic Privacy Information Center, and by the insights of Francine Berman, Clifford Lynch, Paul Uhlir, and Marc Rotenberg. On issues of libraries and archives, I consulted Lynne Brindley, Johanna Drucker, Anne Gilliland, Margaret Hedstrom, Ann O’Brien, Susan Parker, Gary Strong, and Sarah Thomas. Jonathan Furner clarified philo- sophical concepts, building upon what I learned from many Oxford con- versations. Will Jones introduced me to the ethical complexities of research on refugees. Abdelmonem Afifi, Mark Hansen, and Xiao-li Meng improved my understanding of the statistical risks in data analysis. Clifford Lynch, Lynne Markus, Matthew Mayernik, Ann O’Brien, Katie Shilton, and Jillian Wallis read and commented upon large portions of the manuscript, as did several helpful anonymous reviewers commissioned by Margy Avery of the MIT Press. I would be remiss not to acknowledge the invisible work of those who rarely receive credit in the form of authorship. These include the funding agencies and program officers who made this work possible. At the National Science Foundation, Daniel Atkins, Stephen Griffin, and Mimi McClure have especially nurtured research on data, scholarship, and infrastructure. Tony Hey and his team at Microsoft Research collaborated, consulted, and gave monetary gifts at critical junctures. Thanks to Lee Dirks, Susan Dumais, Catherine Marshall, Catherine van Ingen, Alex Wade, and Curtis Wong of MSR. Josh Greenberg at the Sloan Foundation has given us funds, freedom, and guidance in studying knowledge infrastructures. Also invis- ible are the many people who invited me to give talks from the book-in- progress and those who attended. I am grateful for those rich opportunities
  • 30. Acknowledgments xxv for discussion. Rebekah Cummings, Elaine Levia, and Camille Mathieu curated the massive bibliography, which will be made public as a Zotero group (Borgman Big Data, Little Data, No Data) when this book is pub- lished, in the spirit of open access. Last, but by no means least, credit is due to my husband, George Mood, who has copyedited this manuscript and everything else I have published since 1977. He usually edits his name out of acknowledgments sections, however. Let the invisible work be made visible this time.
  • 32. I Data and Scholarship
  • 34. Another Random Document on Scribd Without Any Related Topics
  • 35. without specific mention of the antecedent attempt to settle this part of America, made by the unsuccessful colonist Sir Edmund Plowden. This person was a member of a Saxon family of Shropshire, England, whose antiquity is sufficiently intimated by the meaning of its surname, ā€œKill-Dane,ā€ā€”being the second son of Francis Plowden, Esq., of Plowden, Salop, and grandson of the celebrated lawyer and author of the Commentaries, Serjeant Edmund Plowden, a Catholic, who declined the Lord-Chancellorship of England, offered him by Queen Elizabeth, lest he should be forced to countenance her Majesty’s persecutions of his Church.[737] In 1632, this gentleman, who like his ancestors and other relatives was a Catholic,[738] and at that time resided in Ireland, [739] in company with ā€œSir John Lawrence, Kt. and Bart., Sir Boyer Worsley, Kt., John Trusler, Roger Pack, William Inwood, Thomas Ryebread, Charles Barret, and George Noble, adventurers,ā€ petitioned King Charles I. for a patent, under his Majesty’s seal of Ireland, for ā€œManitie, or Long Isle,ā€ and ā€œthirty miles square of the coast next adjoining, to be erected into a County Palatine called Syon, to be held ofā€ his ā€œMajesty’s Crown of Ireland, without appeal or subjection to the Governor or Company of Virginia, and reserving the fifth of all royal mines, and with the like title, dignity, and privileges to Sir Edmund Plowden there as was granted to Sir George Calvert, Kt., in New Foundland byā€ his ā€œMajesty’s royal father, and with the usual grants and privileges to other colonies,ā€ etc. And a modified form of this prayer was subsequently presented to the monarch, in which the island spoken of is called ā€œIsle Plowden,ā€ and the county palatine ā€œNew Albion,ā€ and the latter is enlarged to include ā€œforty leagues square of the adjoining continent,ā€ the supplicants ā€œpromising therein to settle five hundred inhabitants for the planting and civilizing thereof.ā€ The favor sought was immediately conceded, and the King’s warrant, authorizing the issue of a patent to the petitioners, and appointing Sir Edmund Plowden ā€œfirst Governor of the Premises,ā€ was given at Oatlands, July 24, the same year;[740] in accordance with which, a charter was granted to Plowden and his associates above mentioned, by writ of Privy Seal, witnessed by the Deputy-General of Ireland, at Dublin, June 21, 1634.[741] In this document the boundaries of New Albion are so defined as to include all of New Jersey, Maryland,
  • 36. Delaware, and Pennsylvania embraced in a square, the eastern side of which, forty leagues in length, extended (along the coast) from Sandy Hook to Cape May, together with Long Island, and all other ā€œisles and islands in the sea within ten leagues of the shores of the said region.ā€ The province is expressly erected into a county palatine, under the jurisdiction of Sir Edmund Plowden as earl, depending upon his Majesty’s ā€œroyal person and imperial crown, as King of Ireland;ā€ and the same extraordinary privileges are conferred upon the patentee as had been bestowed two years before upon Lord Baltimore, to whose charter for Maryland that for New Albion bears very close resemblance. Two of the petitioners, Worsley and Barret, afterward dying, ā€œthe whole estate and interestā€ in the grant became vested in the seven survivors, and of these, Ryebread, Pack, Inwood, and Trusler, in consideration of gifts of five hundred acres of land in the province, abandoned their claims, Dec. 20, 1634, in favor of ā€œFrancis, Lord Plowden, son and heir of Sir Edmund, Earl Palatine,ā€ and George and Thomas Plowden, two other of his sons, their heirs and assigns, forever. The same year, apparently,[742] Plowden granted to Sir Thomas Danby a lease of ten thousand acres of land, one hundred of which were ā€œon the northeast end or cape of Long Island,ā€ and the rest in the vicinity of Watsessett, presumed to be near the present Salem, New Jersey, with ā€œfull liberty and jurisdiction of a court baron and court leet,ā€ and other privileges for a ā€œTown and Manor of Danby Fort,ā€ conditioned on the settlement of one hundred ā€œresident planters in the province,ā€ not suffering ā€œany to live therein not believing or professing the three Christian creeds commonly called the Apostolical, Athanasian, and Nicene.ā€ The plans of the Earl Palatine were simultaneously advanced by the independent voyages of Captain Thomas Yong, of a Yorkshire family, and his nephew and lieutenant, Robert Evelin, of Wotton, Surrey, undertaken in virtue of a special commission from the King, dated Sept. 23, 1633, to discover parts of America not ā€œactually in the possession of any Christian Prince.ā€[743] These persons sailed from Falmouth, Friday, May 16, 1634, and arriving between
  • 37. Capes Charles and Henry the 3d of July, left Virginia on the 20th to explore the Delaware for a ā€œMediterranean Sea,ā€ said by the Indians ā€œto be four days’ journey beyond the mountains,ā€ from which they hoped to find an outlet to the Pacific Ocean, affording a short passage to China and the East Indies. On the 25th they entered Delaware Bay and proceeded leisurely up the river (which Yong named ā€œCharles,ā€ in honor of his sovereign), conversing and trading with the savages, as far as the present Trenton Falls, which they reached the 29th of August, and where they were obliged to stop, on account of the rocks and the shallowness of the water. On the 1st of September they were overtaken here by some ā€œHollanders of Hudson’s River,ā€ whom Yong entertained for a few days, but finally required to depart under the escort of Evelin, who afterward explored the coast from Cape May to Manhattan, and on his return made a second ineffectual attempt to pass beyond the rocks in the Delaware.[744] Both Yong and Evelin ā€œresided several yearsā€ on this river, and undertook to build a fort there at ā€œEriwomeck,ā€ in the present State of New Jersey. Tidings of their actions were frequently reported to Sir Edmund Plowden, and in 1641 was printed a Direction for Adventurers and Description of New Albion,[745] in a letter addressed to Lady Plowden, written by Evelin. Books concerning the province were likewise published, it is said,[746] in 1637 and 1642. About the close of 1641, the Earl Palatine at length visited America in person, and, according to the testimony of Lord Baltimore,[747] ā€œin 1642 sailed up Delaware River,ā€ one of his men, named by Plantagenet ā€œMaster Miles,ā€ either then or about that time ā€œswearing the officersā€ of an English settlement of seventy persons, at ā€œWatcessitā€ (doubtless the New Haven colonists at Varkens Kil, now Salem Creek, New Jersey[748]), to ā€œobedienceā€ to him ā€œas governor.ā€ Plowden’s residence was chiefly in Virginia, where, it is recorded, he bought a half-interest in a barque in 1643;[749] and it is probable that he had communication with Governor Leonard Calvert, of Maryland, since a maid-servant belonging to him accompanied Margaret Brent, the intimate friend of the latter, on a visit to the Isle of Kent, in Chesapeake Bay.[750] The longest notice of him during his sojourn on our continent occurs in a report of Johan Printz, Governor of New Sweden, to the Swedish West
  • 38. India Company, dated at Christina (now Wilmington, Delaware), June 20, 1644,[751] the importance of which induces the writer to translate the whole of it. Says Printz,— ā€œIn my former communications concerning the English knight, I have mentioned how last year, in Virginia, he desired to sail with his people, sixteen in number, in a barque, from Heckemak to Kikathans;[752] and when they came to the Bay of Virginia, the captain (who had previously conspired with the knight’s people to kill him) directed his course not to Kikethan, but to Cape Henry, passing which, they came to an isle in the high sea called Smith’s Island, when they took counsel in what way they should put him to death, and thought it best not to slay him with their hands, but to set him, without food, clothes, or arms, on the above-named island, which was inhabited by no man or other animal save wolves and bears; and this they did. Nevertheless, two young noble retainers, who had been brought up by the knight, and who knew nothing of that plot, when they beheld this evil fortune of their lord, leaped from the barque into the ocean, swam ashore, and remained with their master. The fourth day following, an English sloop sailed by Smith’s Island, coming so close that the young men were able to hail her, when the knight was taken aboard (half dead, and as black as the ground), and conveyed to Hackemak, where he recovered. The knight’s people, however, arrived with the barque May 6, 1643, at our Fort Elfsborg, and asked after ships to Old England. Hereupon I demanded their pass, and inquired from whence they came; and as soon as I perceived that they were not on a proper errand, I took them with me (though with their consent) to Christina, to bargain about flour and other provisions, and questioned them until a maid-servant (who had been the knight’s washerwoman) confessed the truth and betrayed them. I at once caused an inventory to be taken of their goods, in their presence, and held the people prisoners, until the very English sloop which had rescued the knight arrived with a letter from him concerning the matter, addressed not alone to me, but to all the governors and commandants of the whole coast of Florida. Thereupon I surrendered to him the people, barque, and goods (in precise accordance with the inventory), and he paid me 425 riksdaler for my expenses. The chief of these traitors the knight has had executed. He himself is still in Virginia, and (as he constantly professes) expects vessels and people from Ireland and England. To all ships and barques that come from thence he grants free commission to trade here in the river with the savages; but I have not yet permitted any of them to pass, nor shall I do so until I receive order and command to that effect from my most gracious queen, her Royal Majesty of Sweden.ā€ Printz’s opposition to Plowden’s encroachment within his territory was never relaxed, and was entirely successful. In the course of his
  • 39. residence in America, the Earl Palatine of New Albion visited New Amsterdam, ā€œboth in the time of Director Kieft and in that of General Stuyvesant,ā€ and, according to the Vertoogh van Nieu Nederland,[753] ā€œclaimed that the land on the west side of the North River to Virginia was his by gift of King James [Charles] of England, but said he did not wish to have any strife with the Dutch, though he was very much piqued at the Swedish governor, John Printz, at the South River, on account of some affront given him, too long to relate; adding that when an opportunity should offer, he would go there and take possession of the river.ā€ Before re-crossing the ocean, he went to Boston, his arrival being recorded in the Journal of Governor John Winthrop, under date of June 4, 1648, having ā€œbeen in Virginia about seven years. He came first,ā€ says the Governor, ā€œwith a patent of a County Palatine for Delaware Bay, but wanting a pilot for that place, went to Virginia, and there having lost the estate he brought over, and all his people scattered from him, he came hither to return to England for supply, intending to return and plant Delaware, if he could get sufficient strength to dispossess the Swedes.ā€ Immediately on reaching Europe, Plowden set about this task, and, to obtain the greater credit for his title as ā€œEarl Palatine of New Albion,ā€ both in and out of that province, as well as recognition of the legality and completeness of his charter, submitted a copy of the latter to Edward Bysshe, ā€œGarter Principal King of Arms of Englishmen,ā€ who received favorable written opinions on the subject from several serjeants and doctors of laws, which, with the letters patent, were recorded by him Jan. 23, 1648/9, ā€œin the office of arms, there to remain in perpetual memory.ā€[754] At the same time (December, 1648) there was published another advertisement of Plowden’s enterprise, entitled A Description of the Province of New Albion,[755] by ā€œBeauchamp Plantagenet, of Belvil, in New Albion, Esquire,ā€ purporting to contain ā€œa full abstract and collectionā€ of what had already been written on the theme, with additional information acquired by the Earl Palatine during his residence in America. The work is dedicated ā€œTo the Right Honourable and mighty Lord Edmund, by Divine Providence Lord Proprietor, Earl Palatine, Governour, and Captain-Generall of the Province of New Albion, and to the Right
  • 40. Honourable the Lord Vicount Monson of Castlemain, the Lord Sherard, Baron of Letrim, and to all other the Vicounts, Barons, Baronets, Knights, Gentlemen, Merchants, Adventurers, and Planters of the hopefull Company of New Albion, in all 44 undertakers and subscribers, bound by Indenture to bring and settle 3,000 able trained men in our said severall Plantations in the said Province,ā€ā€”the author, himself ā€œone of the Company,ā€ professing to ā€œhave had the honour to be admitted asā€ the ā€œfamiliarā€ of Plowden, and to ā€œhave marched, lodged, and cabbinedā€ with him, both ā€œamong the Indians and in Holland.ā€[756] It opens with a short treatise ā€œof Counts or Earls created, and County Palatines,ā€ followed by an adulatory account of the family of the Proprietor, and a defence of his title to his province, comprising some original statements with regard to the Dutch[757] and Swedes. Specific mention is made of several tribes of Indians dwelling in New Albion, and of numerous ā€œchoice seats for English,ā€ some of which have been approximately identified.[758] ā€œFor the Politique and Civill Government, and Justice,ā€ says the writer, ā€œVirginia and New England is our president: first, the Lord head Governour, a Deputy Governour, Secretary of Estate, or Sealkeeper, and twelve of the Councell of State or upper House; and these, or five of them, is also a Chancery Court. Next, out of Counties and Towns, at a free election and day prefixed, thirty Burgesses, or Commons. Once yearly these meet, as at a Parliament or Grand Assembly, and make Laws.... and without full consent of Lord, upper
  • 41. and lower House, nothing is done.ā€ ā€œFor Religion,ā€ observes the author, ā€œI conceive the Holland way now practised best to content all parties: first, by Act of Parliament or Grand Assembly, to settle and establish all the Fundamentals necessary to salvation.... But no persecution to any dissenting, and to all such, as to the Walloons, free Chapels; and to punish all as seditious, and for contempt, as bitterly rail and condemn others of the contrary: for this argument or perswasion of Religion, Ceremonies, or Church-Discipline, should be acted in mildnesse, love, and charity, and gentle language, not to disturb the peace or quiet of the Inhabitants, but therein to obey the Civill Magistrate,ā€ā€”the latter remarkable programme of universal tolerance in matters of faith being probably designed to protect Catholic colonists in the same manner as the famous ā€œAct concerning Religionā€ passed by the Maryland Assembly the following year. The book closes with some practical advice to ā€œAdventurers,ā€ and promises all such ā€œof Ā£500 to bring fifty men shall have 5,000 acres, and a manor with Royalties, at 5s. rent; and whosoever is willing so to transport himself or servant at Ā£10 a man shall for each man have 100 acres freely granted forever.ā€ The only evidence we possess that any result flowed from this fresh attempt to promote emigration to New Albion is derived from documents in the Public Record Office at London,[759] stating that March 21, 1649-50, a ā€œPetition of the Earl of New Albion relating to the plantation thereā€ was ā€œreferred to the consideration of the Committee of Council;ā€ that April 3, 1650, it was ā€œreferred to the Committee for Plantations, or any three of them, to confer with the Earl of Albion concerning the giving good security to Council, that the men, arms, and ammunition, which he hath now shipped in order to his voyage to New Albion, shall go thither, and shall not be employed either there or elsewhere to the disservice of the public;ā€ and that June 11, 1650, ā€œa passā€ was ā€œgranted for Mr. Batt and Mr. Danby, themselves and seven score persons, men, women, and children, to go to New Albion.ā€ We have no other proof of the sailing of these people, nor any knowledge of their arrival in America. In 1651, there was offered for sale in London, A mapp of Virginia, compiled by ā€œDomina Virginia Farrer,ā€[760] designating the territory on the Delaware as ā€œNova Albion,ā€ as well as ā€œSweeds’ Plantation,ā€ with a
  • 42. note: ā€œThis River the Lord Ployden hath a Patten of, and calls it New Albion; but the Sweeds are planted in it, and have a great trade of Furrs.ā€ On the Jersey side of the stream are indicated the sites of ā€œRichnek Woods,ā€ ā€œRaritans,ā€ ā€œMont Ployden,ā€ ā€œEriwoms,ā€ and ā€œAxion,ā€ and on the sea-coast ā€œEgg Bay,ā€ all of which are mentioned in Plantagenet’s New Albion. At that time Plowden was still in England,[761] and we do not know that he ever returned to his province. In his will, dated July 29, 1655, he styles himself ā€œSir Edmund Plowden, of Wansted, in the County of Southton [Southampton], Knight, Lord, Earle Palatine, Governor and Captain-Generall of the Province of New Albion in America,ā€ and thinks ā€œit fit thatā€ his ā€œEnglish lands and estates be settled and united toā€ his ā€œHonour, County Palatine, and Province of New Albion, for the maintenance of the same.ā€ In consequence of the ā€œsinister and undue practisesā€ of his eldest son, Francis Plowden, by whom, he says, ā€œhe had been damnified and hindered these eighteene yeares,ā€ ā€œhis mother, a mutable woman, being by him perverted,ā€ he bequeaths all his titles and property in England and America, including his ā€œPeerage of Ireland,ā€ to his second son, Thomas Plowden, specially mentioning ā€œthe province and County Palatine of New Albion,ā€ whereof, he says, ā€œI am seized as of free principality, and held of the Crowne of Ireland, of which I am a Peere, which Honor and title and province as Arundell, and many other Earledomes and Baronies, is assignable and saleable with the province and County Palatine as a locall Earledome.ā€ He provides for the occupation and cultivation of New Albion as follows: ā€œI doe order and will that my sonne Thomas Plowden, and after his decease his eldest heire male, and if he be under age, then his guardian, with all speed after my decease, doe imploy, by consent of Sir William Mason, of Greys Inne, Knt., otherwise William Mason, Esquire, whom I make a Trustee for this my Plantation, all the cleare rents and profits of my Lands, underwoods, tythes, debts, stocks, and moneys, for full ten yeares (excepted what is beqeathed aforesaid), for the planting, fortifying, peopling, and stocking of my province of New Albion; and to summon and enforce, according to Covenants in Indentures and subscriptions, all my undertakers to transplant thither and there to settle their number of men with such as my estate yearly can transplant,—namely, Lord Monson, fifty; Lord Sherrard, a hundred;
  • 43. Sr Thomas Danby, a hundred; Captain Batts, his heire, a hundred; Mr. Eltonhead, a Master in Chancery, fifty; his eldest brother Eltonhead, fifty; Mr. Bowles, late Clerke of the Crowne, forty; Captain Claybourne, in Virginia, fifty; Viscount Muskery, fifty; and many others in England, Virginia, and New England, subscribed as by direction in my manuscript bookes since I resided six yeares there, and of policie a government there, and of the best seates, profits, mines, rich trade of furrs, and wares, and fruites, wine, worme silke and grasse silke, fish, and beasts there, rice, and floatable grounds for rice, flax, maples, hempe, barly, and corne, two crops yearely; to build Churches and Schooles there, and to indeavour to convert the Indians there to Christianity, and to settle there my family, kindred, and posterity.ā€ To each of eleven parishes in England, where he owned land, he left forty pounds; and directs that he be buried in the chapel of the Plowdens at Ledbury, in Salop, under a stone monument, with ā€œbrasse platesā€ of his ā€œeighteene children had affixed at thirty or fourty powndes charges, together withā€ his ā€œperfect pedigree as is drawne atā€ his ā€œhouse.ā€ He ā€œdied,ā€ says ā€œAlbion,ā€ ā€œat Wanstead, county of Southampton, in 1659,ā€ his will being admitted to probate in the Prerogative Court of Canterbury, July 27 of that year.[762] Thomas Plowden survived his father forty years, but what benefit he derived
  • 44. from the inheritance of New Albion does not appear. His own will is dated May 16, 1698, and was admitted to probate in the Prerogative Court of Canterbury the 10th of the following September. In it he describes himself as ā€œThomas Plowden, of Lasham, in the county of Southton, Gent;ā€ and after leaving all his children and grandchildren ā€œten shillings a piece of lawfull English money,ā€ proceeds: ā€œI do give and bequeath unto my son Francis Plowden the Letters Pattent and Title, with all advantages and profitts thereunto belonging, And as it was granted by our late Sovereign Lord King Charles the first over England, under the great Seal of England, unto my ffather, Sir Edmund Plowden, of Wansted, in the County of Southton, now deceased, The province and County palatine of New Albion, in America, or in North Virginia and America, which pattent is now in the custody of my son-in-law, Andrew Wall, of Ludshott, in the said County of Southton, who has these severall years wrongfully detained it, to my great Loss and hinderance. And all the rest and residue of my goods, chattles, and personall Estate, after my debts and Legacies be paid and funerall discharged, I give and devise unto my wife, Thomazine Plowden, of Lasham.ā€[763] That Plowden’s claim to the territory of New Albion was not forgotten in America, appears from the following allusions to it. In a conversation recorded by the Swedish engineer, Peter Lindstrƶm,[764] as occurring in New Sweden, June 18, 1654, between the Swedes and ā€œLawrence Lloyd, the English Commandant of Virginia,ā€ concerning the rights of their respective nations to jurisdiction over the Delaware, the latter laid particular stress upon the fact that ā€œSir Edward Ployde and Earl of Great Albion had a special grant of that river from King James.ā€ On the other hand, on occasion of the embassy of Augustine Herman and Resolved Waldron on behalf of the Director-General of New Netherland to the Governor of Maryland, in October, 1659, Plowden’s title was spoken of by them as ā€œsubretively and fraudulently obtainedā€ and ā€œinvalid;ā€ while Secretary Philip Calvert affirmed that ā€œPloyten had had no commission, and lay in jail in England on account of his debts, relating that he had solicited a patent for Novum Albium from the King, but it was refused him, and he thereupon applied to the Viceroy of Ireland, from whom he had obtained a patent, but that it was of no value,ā€[765]—allegations, it is understood, of interested parties, which
  • 45. therefore possess less weight as testimony against the rights of Plowden. At the same time the title of the Earl Palatine to his American province was recognized in the last edition of Peter Heylin’s Cosmographie, which was revised by the author, and published in London in 1669,[766] and in Philips’s enlarged edition of John Speed’s Theatre of the Empire of Great Britain and Prospect of the Most Famous Parts of the World, printed in London in 1676.[767] From this period the history of New Albion is more obscure. There is proof, however, of the residence in Maryland, in May, 1684, of certain Thomas and George Plowden, affirmed, on grounds of family tradition, by persons who claim to be descended from one of them, to be sons of a son of the original patentee, who had brought his wife and children to America to take possession of his estates, but had been murdered by the Indians. That the ancestral jurisdiction over the province was never entirely lost sight of, is shown by the circumstance that the title peculiar to it was constantly retained by later generations of this race.[768] Just before the American Revolution, Charles Varlo, Esq., of England, purchased the third part of the Charter of New Albion, and in 1784 visited this country with his family, ā€œinvested with proper power as Governor to the Province, ... not doubting,ā€ as he says, ā€œthe enjoyment of his property.ā€ He made an extended tour through Long Island, New Jersey, Pennsylvania, Delaware, and Maryland, and distributed among the inhabitants a pamphlet,[769] comprising a translation in English of the Latin charter enrolled at Dublin, copies of the lease to Danby, and the release of Ryebread and others, before referred to, an address of the ā€œEarl Palatine of Albionā€ to the public, and conditions for letting or selling land in New Albion. He likewise issued ā€œa proclamation, in form of a handbill, addressed to the people of New Albion, in the name of the Earl of Albion,ā€[770] and published in the papers of the day (July, 1785) ā€œA Caution to the Good People of the Province of New Albion, alias corruptly called, at present, The Jerseys,ā€ not to buy or contract with any person for any land in said province.[771] He formed the acquaintance of Edmund (called by him Edward) Plowden, representative of St. Mary’s County in the Legislature of Maryland, a member of the family already mentioned, and endeavored to interest that gentleman in his schemes. Finding his land settled under the grant
  • 46. to the Duke of York, he also sought counsel of William Rawle, a distinguished lawyer of Philadelphia, and ā€œtook every step possible,ā€ he affirms, ā€œto recover the estate by law in chancery, but in vain, because judge and jury were landowners therein, consequently parties concerned. Therefore, after much trouble and expense,ā€ he ā€œreturned to Europe.ā€[772] Varlo’s last act was to indite two letters to the Prince of Wales, reciting his grievances and appealing for redress, but conceived in such a tone as would seem to have precluded a response.[773] Thus ended this curious episode in the history of English colonization in America.[774]
  • 48. T CHAPTER XII. THE FOUNDING OF PENNSYLVANIA. BY FREDERICK D. STONE, Librarian of the Historical Society of Pennsylvania. HE founding of Pennsylvania was one of the immediate results of Penn’s connection with West Jersey; but the causes which led to the settlement of both colonies can be clearly traced to the rise of the religious denomination of which he was a distinguished member. This occurred in one of the most exciting periods of English history. The Long Parliament was in session. Events were directly leading to the execution of the King. All vestiges of the Church of Rome had been well-nigh swept away in a country in which that Church had once held undisputed sway, and its successor was faring but little better with the armies of the Commonwealth. The conflict between Presbyterians and Churchmen, —in the efforts of the former to change the Established Church, and of the latter to maintain their position,—was scarcely more bitter in spirit than the temper with which the Independents denounced all connection between Church and State. Other dissenting congregations at the same time availed themselves of a season of unprecedented religious liberty to express their views, and religious discussions became the daily talk of the people. It was under these circumstances that the ministry of George Fox began. Born in the year 1624, a native of Leicestershire, he was from
  • 49. GEORGE FOX. [This follows Holmes’s engraving of the portrait of Fox, by Honthorst, in 1654, when Fox was in his thirtieth year. This Dutch painter, if Gerard Honthorst, was born in Utrecht in 1592, was at one time in England, and died in 1660; if his brother William, he died in 1683, aged 73. The original canvas was recently offered for sale in England. A view of Swarthmore Hall, where Fox lived, is in Gay’s Popular History of the United States, ii. 173.—Ed.] his youth noted for ā€œa gravity and stayedness of mind and spirit not usual in children.ā€ As he approached manhood, he became troubled about the condition of his soul, and passed through an experience similar to that which tried his contemporary, John Bunyan, when he imagined that he had sinned against the Holy Ghost. His friends had advised him to marry or to join the army; but his immediate recourse was rather to spiritual counsel. He naturally sought this from the clergymen of the Established Church, in which he had been bred; but they failed to satisfy his mind. The first whom he consulted repeated to his servants what George had said, until the young man was distressed to find that his troubles were the subjects of jests with the milk-maids. Another told him to sing psalms and smoke a pipe. A third flew into a violent passion because, as the talk turned upon the birth of Christ, Fox inadvertently placed his foot upon the flower- bed. A fourth bled and physicked him. Such consolations, presented while he was earnestly seeking to comprehend the greatest question of life, disgusted him. He then turned for comfort to the Dissenters; but they, as he tells us, were unable to fathom his condition. From this time he avoided professors and teachers of all kinds. He read the Scriptures diligently, and strove, by the use of the faculties which God had
  • 50. given him, to understand their true meaning. He was not a man of learning, and was obliged to settle all questions as they arose by such reasonings as he could bring to bear upon them. The anguish which he experienced was terrible, and at times he was tempted to despair; but his strong mind held him to the truth, and his wonderfully clear perception of right and wrong led him step by step towards the goal of his desires. By degrees the ideas which had been taught him in childhood were put aside. It became evident to him that it was not necessary for a man to be bred at Oxford or Cambridge to become a minister of Christ; and he felt as never before the meaning of the words, ā€œGod dwelleth not in temples made with hands.ā€ To one of his understanding such convictions seemed as revelations from Heaven. That all men are capable of receiving the same Light to guide them, and that all who would follow this Light would be guided to the same end, became his belief; and to preach this faith constituted his mission. He also felt that they who were guided by this Inner Light should be known by the simplicity of their speech and manners; that as the temples of the Lord were the hearts of his people, the ceremonies of the prevailing modes of worship were empty forms; that tithes for the support of a ministry, and taxes for the promotion of war and like measures, should not be paid by persons who could not approve of the purposes for which they were collected; and that the taking of an oath, even to add weight to testimony, was contrary to the teachings of the Scriptures. These, in brief, were the views of the people called Quakers. That a movement so purely spiritual in its aims should have exercised a political influence seems remarkable. But the principles upon which the movement was founded claimed for the mind a perfect freedom; they counted as nought the privileges of rank, and demanded an entire separation of Church and State. The first followers of George Fox were from the neighborhood of his own home; but his views soon spread among the yeomanry of the adjoining counties. His theology may have been crude, his grammar faulty, and his appearance ludicrous; yet there was a
  • 51. personal magnetism about the man which drew to him disciples from all classes. Nothing could check the energy with which he labored, or silence the voice which is yet spoken of as that of a prophet. In his enthusiasm the people seemed to him like ā€œfallow ground,ā€ and the priests but ā€œlumps of clay,ā€ unable to furnish the seed for a harvest. Jeered at and beaten by cruel mobs, reviled as a fanatic and denounced as an impostor, he travelled from place to place, sometimes to be driven forth to sleep under haystacks, and at other times to be imprisoned as a disturber of the peace. But through all trials his faith remained unshaken, and he denounced what he believed to be the falsehoods of the times, until, as he says, the priests fled when they heard that ā€œthe man in leathern breeches is come.ā€ In 1654, but ten years after George Fox had begun to preach, his followers were to be found in most parts of England, Ireland, and Scotland. Notwithstanding the persecutions with which an avowal of Quakerism was met, they adhered to their convictions with a steadfastness equal to that of their leader. Imprisonment, starvation, and the lash, as the penalties of their religion, had no fears for them. Their estates were wasted for tithes and taxes which they felt it wrong to pay. Their meetings were dispersed by armed men, and all laws that could be so construed were interpreted against them. All such persecution, however, was of no avail. ā€œThey were a people who could not be won with either gifts, honors, offices, or place.ā€ Nor is it surprising that their desire to share equally such sufferings in the cause of truth should have touched the heart of one educated in the severe school of the Commonwealth. When Fox lay in Lanceston jail, one of his people called upon Cromwell and asked to be imprisoned in his stead. ā€œWhich of you,ā€ said Cromwell, turning to his Council, ā€œwould do so much for me if I were in the same condition?ā€ Satisfied in their hearts with the strength which their faith gave them, the Quakers could not rest until they had carried the glad tidings to others. In 1655, Fox tells us, ā€œmany went beyond the sea,
  • 52. where truth also sprung up, and in 1656 it broke forth in America and many other places.ā€ It has ever been one of the cardinal principles of the followers of Fox to obey the laws under which they live, when doing so does not interfere with their consciences. When this last is the case, their convictions impel them to treat the oppressive measures as nullities, not even so far recognizing the existence of such statutes as to cover their violation of them with a shadow of secrecy. It was against what Fox considered ecclesiastical tyranny that the weight of his ministry was directed. Those who lived under church government he believed to be in as utter spiritual darkness as it is the custom of Christendom to regard the other three-fourths of mankind; and it was with a feeling akin to that which will to-day prompt a missionary to carry the Bible to the wildest tribes of Africa, that the Quakers of 1656 came to the Puritan commonwealths of America. The record of the first landing of the Quakers in this country belongs to another chapter,[775] and the historians of New England must tell the sad story, which began in 1656, of the intrusive daring for conviction’s sake which characterized the conduct of these humble preachers. In June, 1657, six of a party of eight Quakers who had been sent back to England the year previous, re-embarked for America. They were accompanied by five others, and on October 1 five of them landed at New Amsterdam. The rest remained on the vessel, and on the 3d instant arrived at Rhode Island. It was chiefly through the labors of this little band that the doctrines of the Quakers were spread through the British colonies of North America. It was in 1661 that the first Yearly Meeting of Friends in America was established in Rhode Island, and in 1672 the government of the colony was in their hands. The Dutch of New Amsterdam did not hold as broad views of religious liberty as were entertained by their kinsfolk in Holland; but while the Quakers were severely dealt with in that city, on Long Island they were allowed to live in comparative peace. In Maryland the treatment of the Friends, severe at times, grew more and more tolerant, and when Fox visited them in 1672 he found many to welcome him; and probably the first letter from a
  • 53. Meeting in England to one in America was directed to that of Maryland. In Virginia the Episcopalians were less liberal than their neighbors in other provinces. The intolerance with which Dissenters were met drove many beyond her borders, and thus it was that some Friends gathered in the Carolinas. The outbreak of the Fifth Monarchy men in 1660, immediately after the restoration of Charles II., dispelled any hopes which the Quakers might have gathered from that monarch’s proclamation at Breda, since they were suspected of being connected with that party. It is at this time that we find the first evidence that Fox and his followers wished to obtain a spot in America which they could call their own; and the desire was obviously the result of the troubles which they encountered, both in England and America. Before this was accomplished, however, the Quakers experienced many trials. In 1661 Parliament passed an Act for their punishment, denouncing them as a mischievous and dangerous people. In 1672 Charles II. issued his second declaration regarding liberty of conscience, and comparative quiet was for a few years enjoyed by his Dissenting subjects. In 1673 Parliament censured the declaration of the King as an undue use of the prerogative. The sufferings of the Quakers were then renewed. It is unnecessary to repeat in detail the penalties inflicted under the various Acts of Parliament. Fox was repeatedly imprisoned, and many of his followers died in confinement from ill usage. In 1675 West Jersey was offered for sale. The advantages its possession would afford were at once appreciated by the men of broad views who had obtained control of the Quaker affairs. Fox favored the scheme. Some of his followers felt that to emigrate was to fly from persecution and to desert a cause; but Fox, with more wisdom, had as early as 1660 proposed the purchase of a tract of land in America. Between 1656 and 1675 he and his devoted followers were from time to time braving all kinds of danger in the propagation of their faith throughout the English colonies in America. Their wanderings often brought them into contact with the Indians, and this almost always led to the friendliest of relations.[776]
  • 54. [There are papers on the portraits of Penn in Scribner’s Monthly, xii. 1, by F. M. Etting, and in the Mag. of Amer. Hist., October, 1882. Cf. also Penn. Mag. of Hist. vol. vi. pp. 174, 252. The above cut represents him at twenty-two. It follows a large private steel plate, engraved by S. A. Schoff, of Boston, with the aid of a crayon reduction by William Penn possessed more influence with the ruling class of England than did any other of the followers of Fox. His joining the Friends in 1668 is a memorable event in the history of their Society. The son of Admiral Sir William Penn, the conqueror of Jamaica, and of his wife Margaret, daughter of John Jasper, of Amsterdam, he was born in London Oct. 14, 1644, the year in which Fox began to preach to his neighbors in Leicestershire. The Admiral was active in bringing about the restoration of the Stuarts, and this, together with his naval services, gave him an influence at Court which would have enabled him to advance the interests of his son. But while a student at Oxford, the young Penn chanced to hear the preaching of Thomas Loe, a Quaker, and so impressed was he by it that he ceased to attend the religious services of his College. For this he was expelled from the University. His father, after a brief impulse of anger which this disgrace caused, sent him to Paris, and in that gay capital the impressions made by the Quaker preacher were nearly effaced. From Paris he went to Saumur and became a pupil of Moses Amyrault, a learned professor of the French Reformed Church. At the conclusion of his studies he travelled in France and Italy, and in 1664 returned to England,—a fashionable gentleman, with an ā€œaffected manner of speech and gait.ā€ The dreadful scenes which occurred the next year in
  • 55. William Hunt, and represents an original likeness painted in oils in 1666 by an unknown artist, possibly Sir Peter Lely. It was one of two preserved at Stoke Poges for a long time, and this one was given in 1833 by Penn’s grandson, Granville Penn, to the Historical Society of Pennsylvania. (Catalogue of Paintings, etc., belonging to the Historical Society, 1872, no. 50.) There are other engravings of it in the Pennsylvania Magazine of History, i. 361; in Janney’s Life of Penn; in Stoughton’s William Penn; and in Watson’s Annals of Philadelphia. A portrait by Francis Place, representing Penn at fifty-two, is engraved from the National Museum copy of the original in Gay’s Popular History of the United States, ii. 487. It was discovered in England in 1874, and its story is told in Mr. Etting’s paper. There is another engraving of it in Egle’s Pennsylvania. Maria Webb’s Penns and Peningtons (1867) gives an account of a recently discovered crayon likeness. (Cf. Catalogue of Paintings, etc., belonging to the Historical Society, 1872, p. 27.) A steel engraving was issued in Germany some years since, purporting to be from a portrait by Kneller,—which is quite possible,—and this engraving is reproduced a little larger than the German one in the Mag. of Amer. Hist., October, 1882. The likeness best known is probably the one introduced by West in his well-known picture of the making of the Treaty. In this, West, who never saw Penn, seemingly followed one of the medallions or busts made by Sylvanus Bevan, a contemporary of Penn, who had a natural skill in cutting likenesses in ivory. One of these medallions is given in Smith and London during the Plague again turned his thoughts from worldly affairs. To overcome this seriousness his father sent him to Ireland. While there, an insurrection broke out among the soldiers at Carrickfergus Castle, and he served as a volunteer under Lord Arran in its suppression. The Viceroy of Ireland was willing to reward this service by giving him a military command, but Admiral Penn refused his consent. It was at this time that the accompanying portrait was painted. While in Ireland, Penn again came under the influence of the preaching of Loe, and in his heart became a Quaker. He was shortly afterwards arrested with others at a Quaker meeting. His conduct alienated his father from him, but a reconciliation followed when the Admiral learned how sincere the young Quaker was in his views. Penn wrote industriously in the cause, and endeavored by personal solicitation at Court to obtain for the Quakers more liberal treatment. Imprisoned in the Tower for heresy, he passed his time in writing No Cross, No Crown. Released through his
  • 56. Watson’s American Historical and Literary Curiosities, i. pl. xv., and in the Mag. of Amer. Hist., October, 1882. Bevan’s bust was also the original of the head of the statue, with a broad-brim hat, which has stood in the grounds of the Pennsylvania Hospital since John Penn, son of the Proprietary, bought it from the estate of Lord Le Despenser at High Wycombe, and gave it to the hospital. The same head was again used as the model of the wooden bust which was in the Loganian Library, but was destroyed by fire in 1831. Proud’s History of Pennsylvania (1797) gives an engraving of it; and the likeness in Clarkson’s Life of Penn is also credited to one of Bevan’s busts. Inman’s picture, which appears in Janney’s Penn and in Armor’s Governors of Pennsylvania, is to be traced to the same source, as also is the engraving in the EncyclopƦdia Londiniensis. Penn is buried in the graveyard at Jordan’s, twenty miles or so from London; and the story of an unsuccessful effort by the State of Pennsylvania to secure his remains, encased in a leaden casket, is told in The Remains of William Penn, by George L. Harrison, privately printed, Philadelphia, 1882, where is a view of the grave and an account of the neighborhood. There is a picture of the grave in the Pennsylvania Historical Society. Cf. Catalogue of Paintings, etc., belonging to the Historical Society (1872), no. 151; and Mrs. S. C. Halls article in National Magazine, viii. 109; and Mag. of Amer. Hist., October, 1882, p. 661.—Ed.] father’s influence with the Duke of York, he was soon again arrested under the Conventicle Act for having spoken at a Quaker meeting, and his trial for this offence is a celebrated one in the annals of English law. In September, 1670, his father died, leaving him an ample fortune, besides large claims on the Government. But the temptations of wealth had no influence on Penn. He continued to defend the faith he had embraced, and in the latter part of the year was again in Newgate. There he wrote The Great Case of Liberty of Conscience debated. Had his services to humanity been no greater than those rendered by the pen, they would have secured for him a lasting remembrance; but the experience he gained in defending the principles of the Friends was fitting him for higher responsibilities. His mind, which was naturally bright, had been improved by study. In such rough schools of statesmanship as the Old Bailey, Newgate, and the Tower, he imbibed broad and liberal views of what was necessary for the welfare of
  • 57. mankind, which in the end prompted him to attempt a practical interpretation of the philosophy of More and Harrington. His interest in West Jersey[777] led him to make extensive investments in the enterprise; but notwithstanding the zeal and energy with which it was pushed, the result was far from satisfactory. The disputes between Fenwick and the creditors of Byllynge, and the transfer by the former of a large portion of his interest to Eldridge and Warner in security for a debt, left a cloud upon the title of land purchased there, and naturally deterred people from emigrating. False reports detrimental to the colony were also circulated in England, while the claim of Byllynge, that his parting with an interest in the soil did not affect his right to govern, and the continued assumption of authority by Andros over East Jersey and the ports on the Delaware, added to the feeling of dissatisfaction. This is clearly shown in a pamphlet published in 1681, the preface of which says it was put forth ā€œto contradict the Disingenuous and False Reports of some men who have made it their business to speak unjustly of New Jersey and our Proceedings therein: As though the Methods of Settlement were confused and Uncertain, no man Knowing his own Land, and several such idle Lying Stories.ā€[778] It was in this condition of affairs that Penn conceived the idea of obtaining a grant of land in America in settlement of a debt of Ā£16,000 due the estate of his father from the Crown. We have no evidence showing when this thought first took form in his mind, but his words and actions prove that it was not prompted in order to better his worldly condition. Certain it is that the eyes of the Friends had long been turned to what is now Pennsylvania as a spot upon which they might find a refuge from persecution. In 1660, when George Fox first thought of a Quaker settlement in America, he wrote on this subject to Josiah Coale, who was then with the Susquehanna Indians north of Maryland. The reply from Maryland is dated ā€œeleventh month, 1660,ā€ and reads,— ā€œDear George,—As concerning Friends buying a piece of Land of the Susquehanna Indians, I have spoken of it to them, and told them what thou said concerning it; but their answer was that there is no land that is
  • 58. habitable or fit for situation beyond Baltimore’s liberty till they come to or near the Susquehanna’s fort.ā€ In 1681 Penn, in writing about his province, said: ā€œThis I can say, that I had an opening of joy as to these parts in the year 1661 at Oxford twenty years since.ā€ The interest which centred in West Jersey caused the scheme to slumber, until revived by Penn in 1680. The petition to the King was presented about the 1st of June, 1680. It asked for a tract of land ā€œlying North of Maryland, on the East bounded with Delaware River, on the West limited as Maryland is, and Northward to extend as far as plantable, which is altogether Indian.ā€ This, ā€œhis Majty being graciously disposed to gratify,ā€ was referred to the Lords of Trade and Plantations, and if it should meet with their approval, they were to consider ā€œsuch restrictions, limitations, and other Clauses as were fitting to be inserted in the Grant.ā€ The proceedings which followed prevented the issue of the charter for some time. ā€œA caution was used,ā€ says Chalmers, ā€œin proportion to the inattention with which former patents had been given, almost to every petitioner. Twenty years had now taught circumspection, and the recent refractoriness of Massachusetts had impressed the ministers with a proper sense of danger, at least of inconvenience.ā€ The agents of the Duke of York and of Lord Baltimore were consulted about the proposed boundaries, and the opinions of Chief-Justice North and the Attorney-General were taken on the same subjects, as well as on the powers that were to be conferred. The charter as granted gave to Penn and his successors all the territory between the fortieth and forty-second degrees of latitude, extending through five degrees of longitude west from the Delaware River, with the exception of that part which would fall within a circle drawn twelve miles around New Castle, the northern segment of which was to form the boundary between Penn’s province and the Duke of York’s colonies of Delaware. It was supposed that such a circle would be intersected on the west by the fortieth degree of latitude, the proposed boundary between Pennsylvania and Maryland. This erroneous opinion was the cause of
  • 59. a prolonged litigation. The allegiance of the Proprietary and of the inhabitants was reserved to the Crown. The right to govern was vested in Penn. He could appoint officers, and with the consent of the people make such laws as were necessary; but to insure their unison with those of England they were to be submitted to the Crown within five years for approval. He could raise troops for the defence of his province, and collect taxes and duties; but the latter were to be in addition to those ordered by Parliament. He could pardon all crimes except treason and wilful murder, and grant reprieves in such cases until the pleasure of the King should be known. The Bishop of London had the power to appoint a chaplain on the petition of twenty of the inhabitants, and an agent was to reside near the Court to explain any misdemeanor that might be committed. The charter was signed March 4, 1681, and on the next day Penn wrote to Robert Turner,— ā€œAfter many waitings, watchings, solicitings, and disputes in Council, this day my country was confirmed to me under the Great Seal of England, with large powers and privileges, by the name of Pennsilvania, a name the King would have given in honor of my father. I chose New Wales, being as this a pretty hilly country, ... for I feared lest it should be looked as a vanity in me and not as a respect in the King, as it truly was, to my father, whom he often mentions with praise. Thou mayst communicate my graunt to friends, and expect shortly my proposals; ā€˜tis a clear and just thing; and my God, that has given it me through many difficulties, will, I believe, bless and make it the seed of a nation. I shall have a tender care to the government, that it will be well laid at first.ā€ On the 2d of April a royal proclamation, addressed to those who were already settled within the province, informed them of the granting of the patent, and its character. Six days afterwards Penn prepared a letter to be read to the settlers by his representative, couched in language of friendship and affection. He told them frankly that government was a business he had never undertaken, but that it was his wish to do it uprightly. You are ā€œat the mercy of no governor,ā€ he said, ā€œwho comes to make his fortune great; you shall be governed by laws of your own making, and live a free and, if you
  • 60. will, a sober and industrious people.ā€ On the same day he gave to his kinsman, William Markham, whom he had selected to be his deputy- governor, and who was to precede him to Pennsylvania, instructions regarding the first business to be transacted. Two days afterwards he furnished him with his commission and more explicit directions, and Markham shortly afterwards sailed for America, and probably landed in Boston, where his commission is recorded. By the 15th of June he had reached New York, and Brockholls on the 21st issued an order addressed to the civil officers within the limits of Pennsylvania, yielding to Markham his authority as the representative of the Duke of York. Markham carried letters from the King and from Penn to Lord Baltimore. The former recommended ā€œthe infant colony and its leader to his friendly aid.ā€ He also required the patentee of Maryland ā€œto make a true division of the two provinces according to the boundaries and degrees expressed in their patents.ā€ The letter of Penn authorized Markham to settle the boundaries. Markham met Lord Baltimore in August, 1681, and while at his house was taken so ill that nothing was decided upon. Soon after the confirmation of his charter, Penn issued a pamphlet, in which the essential parts of that instrument were given, together with an account of the country and the views he entertained for its government. The conditions on which he proposed to dispose of land were, a share of five thousand acres free from any Indian incumbrance for Ā£100, and one shilling English quit-rent for one hundred acres, the quit-rent not to begin until after 1684. Those who hired were to pay one penny per acre for lots not exceeding two hundred acres. Fifty acres per head were allowed to the masters of servants, and the same quantity was given to every servant when his time should expire. A plan for building cities was also suggested, in which all should receive lots in proportion to their investments. The unselfishness and purity of Penn’s motives, and the religious feelings with which he was inspired, are evident from his letters. On the 12th of April, 1681, he wrote to three of his friends,— ā€œHaving published a paper with relation to my province in America (at least what I thought advisable to publish), I here inclose one that you may
  • 61. know and inform others of it. I have been these thirteen years the servant of truth and Friends, and for my testimony sake lost much, not only the greatness and preferments of this world, but Ā£16,000 of my estate, that had I not been what I am I had long ago obtained. But I murmur not; the Lord is good to me, and the interest his truth has given me with his people may more than repair it; for many are drawn forth to be concerned with me: and perhaps this way of satisfaction has more the hand of God in it than a downright payment.... For the matter of liberty and privilege, I propose that which is extraordinary, and to leave myself and successors no power of doing mischief,—that the will of one man may not hinder the good of an whole country. But to publish those things now and here, as matters stand, would not be wise, and I was advised to reserve that until I came there.ā€ To another he wrote,— ā€œAnd because I have been somewhat exercised at times about the nature and end of government among men, it is reasonable to expect that I should endeavor to establish a just and righteous one in this province, that others may take example by it,—truly this my heart desires. For the nations want a precedent.... I do, therefore, desire the Lord’s wisdom to guide me, and those that may be concerned with me, that we may do the thing that is truly wise and just.ā€ And again,— ā€œFor my country, I eyed the Lord in obtaining it, and more was I drawn inward to look to him, and to owe it to his hand and power than to any other way. I have so obtained it, and desire to keep it that I may not be unworthy of his love, but do that which may answer his kind Providence and serve his truth and people, that an example may be set up to the nations. There may be room there, though not here, for such an holy experiment.ā€ The scheme grew apace, and, as Penn says, ā€œmany were drawn forth to be concerned with him.ā€ His prominence as a Quaker attracted the attention of Quakers in all quarters. He had travelled in their service in Wales, and from thence some of the first settlers came. Two visits to Holland and Germany had made him known to the Mennonites and like religious bodies there. His pamphlet was reprinted at Amsterdam, and the seed sown soon brought forth
  • 62. abundantly. By July 11, 1681, matters had so far progressed that it was necessary to form a definite agreement between Penn and the purchasers, and a paper known as ā€œCertain Conditions or Concessionsā€ was executed. By this time also (July, 1681) troubles with Lord Baltimore were anticipated in England, and some of the adventurers were deterred from purchasing. Penn at once began negotiations for the acquirement of the Duke of York’s interests on the Delaware. Meanwhile, in the face of all these rumors, Penn refused to part with any of his rights, except on the terms and in the spirit which he had announced. Six thousand pounds were offered for a monopoly of the Indian trade, but he declined it; ā€œI would not,ā€ are his words, ā€œso defile what came to me clean.ā€ William Crispin, John Bezar, and Nathaniel Allen were commissioned by Penn (Sept. 30, 1681) to assist Markham. They were to select a site for a town, and superintend its laying out. William Haige was subsequently added to the number. By them he sent to the Indians a letter of an affectionate character, and another to be read to the Swedes by their ministers. The first commissioners probably sailed on the ā€œJohn Sarah,ā€ which cleared for Pennsylvania in October. She is supposed to have been the first vessel to arrive there after Penn received his grant. On August 24, 1682, Penn acquired from the Duke of York the town of New Castle and the country twelve miles around it, and the same day the Duke conveyed to him the territory lying south of New Castle, reserving for himself one half the rents. The first of these gifts professed to have been made on account of the Duke’s respect for the memory of Sir William Penn. A deed was also obtained from the Duke (August 20) for any right he might have to Pennsylvania as a part of New Netherland. Having completed his business in England, Penn prepared to sail for America. On the 4th of August, from his home at Worminghurst, he addressed to his wife and children a letter of singular beauty, manliness, and affection. It is evident from it that he appreciated the dangers before him, as well as the responsibilities which he had
  • 63. assumed. To his wife, who was the daughter of Sir William Springett, he wrote: ā€œRemember thy mother’s example when thy father’s public-spiritedness had worsted his estate, which is my case.ā€ To his children, fearing he would see them no more, he said: ā€œAnd as for you who are likely to be concerned in the government of Pennsylvania and my parts of East Jersey, especially the first, I do charge you before the Lord God and His holy angels, that you be lowly, diligent, and tender, fearing God, loving the people, and hating covetousness.ā€ To both, in closing, he wrote: ā€œSo farewell to my thrice-dearly beloved wife and children. Yours as God pleaseth, in that which no waters can quench, no time forget, nor distance wear away.ā€ On the 30th of August he wrote to all faithful friends in England, and the next day there ā€œsailed out of the Downs three ships bound for Pennsylvania, on board of which was Mr. Pen, with a great many Quakers who go to settle there.ā€ Such was the announcement in the London Gazette of September 4, of the departure of those who were to found one of the most prosperous of the British colonies in America. With the exception of a narrow strip of land along the Delaware, on which were scattered a few Swedish hamlets, the tract covered by the royal grant to Penn was a wilderness. It contained, exclusive of Indians, about five hundred souls. The settlements extended from the southern limits of the province for a few miles above the mouth of the Schuylkill, and then there was nothing until Crewcorne was reached, opposite the Falls of Delaware. None of these settlements rose to the dignity of a village, unless it was Upland, at which place the Court was held. The territory acquired from the Duke of York contained about the same number of persons as did Pennsylvania. Many, however, who lived in either section were Swedes or Finns. A few Dutch had settled among them, and some Quaker families had crossed from New Jersey and taken up land. Penn found the Swedes ā€œa strong, industrious people,ā€ who knew little beside the rudiments of agriculture, and cared not to cultivate beyond their needs.[779] The fertile country in which they dwelt
  • 64. yielded adequate supply with moderate labor, and to the English settlers it appeared to be a paradise. The reports which Penn’s people sent home encouraged others to come, and although their accounts were highly colored, none of the new-comers seem to have been disappointed. The first descriptions we have of the country after it became Pennsylvania are in the letters of Markham. To his wife he wrote, Dec. 7, 1681,— ā€œIt is a very fine Country, if it were not so overgrown with Woods, and very Healthy. Here people live to be above one hundred years of Age. Provisions of all sorts are indifferent plentiful, Venison especially; I have seen four Bucks bought for less than 5s. The Indians kill them only for their Skins, and if the Christians will not buy the Flesh they let it hang and rot on a Tree. In the Winter there is mighty plenty of Wild Fowl of all sorts. Partridges I am cloyed with; we catch them by hundreds at a time. In the fall of the leaf, or after Harvest, here are abundance of wild Turkeys, which are mighty easie to be Shot; Duck, Mallard, Geese, and Swans in abundance, wild; Fish are in great plenty. In short, if a Country Life be liked by any, it might be here.ā€ Markham, after his arrival, had taken such steps as were necessary to establish the authority of Penn. On the 3d of August nine of the residents, selected by him, took the oath to act as his council. A court was held at Upland September 13, the last court held there under the authority of the Duke of York having adjourned until that time. By Penn’s instructions, all was to be done ā€œaccording to the good laws of England. But the new court during the first year of its existence failed to comply with these laws in a very essential particular,—persons were put upon trial without the intervention of a grand jury. No provision was made under the Duke’s laws for the safeguard of the citizen, and the new justices acted for a time in accordance with former usage. A petit jury, so rare under the former court, now participated in every trial where facts were in dispute. In criminal cases the old practice was adhered to, of making the prosecutor plaintiff.ā€[780] During 1681 at least two vessels arrived with settlers. Of the commissioners who were sent out in October to assist Markham, Crispin died at Barbadoes. April 23, 1682, Thomas Holme, bearing a
  • 65. commission of surveyor-general, sailed from England, and arrived about June. Already the site for Philadelphia had been selected, as James Claypoole, who was in England, wrote, July 14, that he ā€œhad one hundred acres where our capital city is to be, upon the river near Schuylkill.ā€ July 15, 1682, Markham purchased from the Indians a tract of land on the Delaware below the Falls. The first Welsh emigrants arrived on the 13th of August, 1682. They were Quakers from Merionethshire who had felt the hand of persecution. They had bought from Penn in England five thousand acres of unsurveyed land, and had been promised by him the reservation of a large tract exclusively for Welsh settlers, to the end that they might preserve the customs of their native land, decide all debates ā€œin a Gospel order,ā€ and not entangle themselves ā€œwith laws in an unknown tongue.ā€ At Philadelphia they found a crowd of people endeavoring to have their farms surveyed, for although the site of the city was chosen, the town lots were not laid out. In a few days the Welshmen had the first part surveyed of what became known as the Welsh Barony. It lay on the west side of the Schuylkill, north of Philadelphia. The warrant for surveying the entire tract, which contained forty thousand acres, was not issued until 1684. Special privileges appear to have been accorded to these settlers. Township officers were not chosen for their districts until 1690, and their Friends’ Meetings exercised authority in civil affairs. From these facts it is possible that the intention was to protect the Welsh in the rights of local self-government by erecting the tract into a manor. By a clause in the royal charter, Penn could erect ā€œmanors, to have and to hold a court baron, with all things whatsoever to a court baron do belong.ā€ To a company known as the ā€œFree Society of Tradersā€ he had (March 20, 1682) granted these extraordinary privileges, empowering them to hold courts of sessions and jail deliveries, to constitute a court-leet, and to appoint certain civil officers for their territory. This was known as the Manor of Frank. To Nicholas More, the president of the Company, the Manor of Moreland was granted, with like privileges; but neither More nor the Company seem to have exercised their rights as rulers. Whatever special rights the
  • 66. Welshmen had, were reserved until 1690, when regular township officers were appointed. Goshen, Uwchlan, Tredyffren, Whiteland, Newtown, Haverford, Radnor, and Merion,—the names these ancient Britons gave to their townships—show what parts of the present counties of Delaware, Chester, and Montgomery the Welsh tract covered. Some of these people settled in Philadelphia and Bucks County. They were chiefly Quakers, although Baptists were found among them. The ship which bore Penn to America was the ā€œWelcome.ā€ The small-pox made its appearance among the passengers when they had been out a short time, and nearly one-third of them died. Two vessels which left England after Penn had sailed, arrived before him; but at last, after a trying voyage of nearly two months, the ā€œWelcomeā€ came within the Capes of Delaware. Penn dated his arrival from the 24th of October, 1682, but it was not until the 27th that the vessel lay opposite New Castle. The next day he exhibited his deeds from the Duke of York, and took formal possession of the town and surrounding country. He received a pledge of submission from the inhabitants, issued commissions to six justices of the peace, and empowered Markham to receive in his name possession of the country below, which was done on November 7. The 29th of October (O. S.) found him within the bounds of Pennsylvania, at the Swedish village of Upland, the name of which, tradition says, he then changed to Chester. From this point notices were sent out for the holding of a court at New Castle on the 2d of November. At this meeting the inhabitants of the counties of Delaware were told that their rights and privileges should be the same as those of the citizens of Pennsylvania, and that an assembly would be held as soon as convenient.
  • 67. LETITIA COTTAGE. A city residence for Penn was begun by his commissioners before he arrived. Parts of it were prepared in England. A portion of it still stands on the west side of Letitia Street, south of Market. The above cut is a fac-simile of the view given in Watson’s Annals of Philadelphia (1845), p. 158. Cf. Gay’s Popular History of the United States, ii. 492. The attention which Penn gave to the constitution of his province was a duty which had for him a particular interest. His thoughts had necessarily dwelt much on the subject, and his experience had made him acquainted with the principles of law and the abuses of government. The drafts of this paper which have been preserved show how deeply it was considered. Henry Sidney, Sir William Jones, and Counsellor Bamfield were consulted, and portions of it were framed in accordance with the wishes of the Quakers. In the Introduction to this remarkable paper, the ingenuousness of its author is clearly discernible. Recognizing the necessity of government, and tracing it to a divine origin, Penn continues,— ā€œFor particular frames and models, it will become me to say little, and comparatively I will say nothing. My reasons are, first, that the age is too nice and difficult for it, there being nothing the wits of men are more busy and divided upon.... Men side with their passions against their reason, and
  • 68. their sinister interests have so strong a bias upon their minds, that they lean to them against the good of the things they know. ā€œI do not find a model in the world that time, place, and some singular emergencies have not necessarily altered, nor is it easy to frame a civil government that shall serve all places alike. I know what is said by the several admirers of monarchy, aristocracy, and democracy, which are the rule of one, a few, and many, and are the three common ideas of government when men discourse on that subject. But I choose to solve the controversy with this small distinction, and it belongs to all three,—any government is free to the people under it (whatever be the frame) where the laws rule and the people are a party to those laws; and more than this is tyranny, oligarchy, or confusion.... Liberty without obedience is confusion, and obedience without liberty is slavery.ā€ SEAL AND AND SIGNATURES TO THE FRAME OF GOVERNMENT. [This is reduced from the fac-simile in Smith and Watson’s American Historical and Literary Curiosities, pl. lvii.; and another reduction will be found in Mag. of Amer. Hist., October, 1882; cf. Lossing’s Fieldbook of the Revolution, ii. 256.—Ed.] The good men of a nation, he argues, should make and keep its government, and laws should bind those who make laws necessary. As wisdom and virtue are qualities that descend not with worldly inheritances, care should be taken for the virtuous education of youth.
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