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Chapter 6 - Instructor’s Resource Guide to
Project Management: A Managerial Approach, Eighth Edition
Page 1 of 23
Chapter Overview
Overview – This chapter introduces the process of project planning, which involves
identifying the specific goals of the project and breaking them down into achievable
tasks. The concepts of Work Breakdown Structure (WBS) and Linear Responsibility
Chart (LRC) are also introduced.
1) Initial Project Coordination and the Project Charter – The project launch meeting is
an excellent way to begin the planning process. At this meeting the team is gathered
for the first time to allow them to develop a general idea about the requirements of the
project. The intent is not to present fully developed plans and schedules but rather to
present the project in general, so that the team members can develop detailed plans
and schedules for themselves and present them at subsequent meetings. After the
planning process is complete it is useful to have a postplanning review chaired by an
experienced project manager not involved with this project previously.
a). Outside Clients – When the project involves an outside client, the planning
process must include the complete definition of the deliverables that will be
provided. This can be accomplished efficiently by involving the design and
marketing teams early in the planning process. The intent is to prevent later
surprises. E.g: The previously ignored manufacturing group announces that they
can’t build the design that has taken 10 months so far to be developed.
b). Project Charter Elements – Project plans and their development vary from
organization to organization, but they should all have the following elements:
i) Purpose – A short summary of objectives and project scope.
ii) Objectives – A more detailed statement of the general goals of the project.
This statement should include profit and competitive aims from the Business
Case as well as technical goals based on the Statement of Work (SOW).
iii) Overview – A description of both the managerial and the technical approaches
to the work.
iv) Schedules – This section outlines the various schedules and lists all milestone
events and/or phase-gates.
v) Resources – This element contains the budgets by task as well as the cost
control and monitoring plans.
vi) Personnel – This element contains a time phased plan for the people (or at
least the skills) required for the project.
vii)Risk Management Plans – This covers potential problems as well as potential
lucky breaks that could affect the project.
viii) Evaluation Methods – This section describes the methods used to monitor,
evaluate, and collect the history of the project.

Page 2 of 23
c). Project Planning in Action – Plans can be constructed by listing the sequence of
activities necessary to complete the project. The nine segments of the project are:
i) Concept evaluation
ii) Requirements identification
iii) Design
iv) Implementation
v) Test
vi) Integration
vii)Validation
viii) Customer test and evaluation
ix) Operations and maintenance
2) Starting the Project Plan
a) The WBS – The work breakdown structure (WBS) is a tool used to capture the
decomposition of activities and the assignment of personnel. The WBS is not one
thing. It can take a wide variety of forms that, in turn, serve a wide variety of
purposes. The text suggests the following steps for WBS development:
i) Break the tasks down into sufficient detail so that they can be individually
planned, budgeted, scheduled, monitored, and controlled. The tasks at the
bottom of the structure are typically called work packages.
ii) Identify the relevant supporting information needed for each work package
and the people who will work them.
iii) The work packages must be reviewed with the people involved to ensure their
accuracy and adequacy in describing the tasks to be accomplished.
iv) The WBS can be used to capture the direct costs estimated or budgeted for
each task.
v) The summary of the schedule information associated with each work package
can be summarized into a project master schedule.
Both the planned schedule and budget for each work package can be used as the
baseline to measure performance as the project is executed.
3) Human Resources: The RACI Matrix and Agile Projects
Identifying and securing the right employees for project work is one of the most
important PM tasks. One way to identify the HR needs is to create an Organizational
Breakdown Structure (OBS). It shows the organizational units that are responsible for
the various work elements of the project. By creating RACI matrixes and utilizing
agile project methods, better management of human resources can be attained.

Page 3 of 23
a) The Responsibility (RACI) Matrix – An approach to identify the human resources
needed for the project is to use the RACI (Responsible, Accountable, Consult, Inform)
matrix. The matrix shows critical interfaces between units that may require special
managerial coordination. With it, the PM can keep track of who must approve what,
who must be notified, and other such relationships. The RACI matrix displays the
WBS items in the left-most column of a table. The individuals, groups, or units
involved in the project are displayed in the top row. The project manager then uses
the matrix to identify who is Responsible, who is Accountable, who should be
Consulted, and who should be Informed.
b) Agile Project Planning and Management – Traditional methods are insufficient, if
an organization finds it difficult to define the project adequately in the shortest
possible time. In situations like these agile project management (APM) may be
effective. APM requires close and continual contact between the project team and the
clients. Project requirements are a result of client/developer interaction, and the
requirements change as the interaction leads to a better understanding on both sides of
the project requirements, priorities, and limitations.
4) Interface Coordination Through Integration Management – Interface coordination is
the task of coordinating work across multiple groups. Multidisciplinary teams (MTs)
are often used to facilitate the coordination of technical issues. Techniques are
available to assist this process by mapping the interdependencies between team
members.
a) Managing Projects by Phases and Phase-Gates – One way to facilitate
interdisciplinary cooperation is to break the project into phases and require the team
to have specific deliverables at each phase. Then an oversight process can evaluate
the deliverables and decide whether the project is ready to pass onto the next phase.
This technique is applied in addition to the normal cost and schedule control
techniques associated with projects.
5) Project Risk Management – This is the PMBOK knowledge area number 8. It defines
risk management as the systematic process for identifying, analyzing, and responding
to project risk. Seven processes exist:
a). Risk Management Planning
b). Risk Identification
c). Qualitative Risk Analysis
d). Quantitative Risk Analysis
i) Failure Mode and Effect Analysis
ii) Decision Tree Analysis
iii) Monte Carlo Simulation
iv) Dealing with Project Disasters
e). Risk Response Planning

Page 4 of 23
f). Risk Monitoring and Control
g). The Risk Management Register
Teaching Tips
Like many subjects in project management, this topic will benefit from a good example.
One way to provide it is to do an in-class planning exercise. To prepare this exercise the
instructor needs to select a project. Everyone in the class should be familiar with this
project. If a specialized technical topic is chosen (e.g. refueling a nuclear power plant),
then all the class members may not be able to fully participate due to their lack of
knowledge in the subject. I have had success with picking smaller, more accessible topics
that are familiar to a wide range of students. Specifically, I have used “Planning a
company picnic” for the exercise. While it may not sound very interesting on the surface,
the picnic has some surprising complications that the students will discover during the
planning process.
To begin the exercise the instructor give the class some background information about
their pretend company and a very brief description of the project. The description is
deliberately brief to simulate the typically meager direction that management supplies in
these circumstances. The students work in pairs to brainstorm the outline of the project
plan trying to answer key questions like:
What is the purpose of the project?
Who are its customers?
What constraints are imposed by the company?
The process of answering these questions forces students to ask a lot of questions which
the instructor, as the “sponsor” should answer. This gives the instructor a lot of
opportunities to emphasize the idea that the early project formation process is one
dominated by questions intended to reveal the sponsor’s and customer’s true
requirements.
As the authors of the text correctly point out, there are many formats available for project
plan deliverables. If the instructor does not have a preferred format to use for this
exercise, Martin and Tate describe a method, one that I have found useful, called the
Project Management Memory Jogger™. This tiny book can be an excellent supplement
to the text by presenting a number of specific formats for planning deliverables.
Material Review Questions
Question 1:
APM is distinguished by close and continuing contact between clients (users) and staff
working on the project, and an iterative and adaptive planning process. This approach is
best suited for situations in which the scope of the project cannot be sufficiently
determined in advance. The scope is progressively determined as the project progresses.
Question 2:
Refer to Section 6.1 in the text. The eight key elements of any project charter are:

Page 5 of 23
1) Purpose: The purpose contains a brief summary of the project’s scope and its
objectives.
2) Objectives: The objectives should reflect how the project would satisfy
requirements in the dimensions of performance, time, cost, and customer
satisfaction. Objectives should also be set with respect to business impact and
future growth potential.
3) Overview: This section will describe the managerial and technical approaches
used to complete the project.
4) Schedules: The master schedule will be derived from the individual schedules for
resources. Milestones will be used to indicate significant events in the project’s
lifecycle.
5) Resources: The project’s budget will document both capital expenses and
operating expenses by task. The procedures for cost monitoring and control will
also be described.
6) Personnel: This section covers the types and quantities of human resources
needed to complete the project. It should document unique requirements related to
issues such as security clearances, skill sets, EOE, and local content issues related
to hiring and ownership practices.
7) Risk Management Plans: This section describes how uncertainty will be managed
in the project. Its intent is to identify opportunities and threats. Contingency plans
are developed to respond to important risk events should they arise during the
project’s lifecycle
8) Evaluation Methods: This section describes the monitoring and control
procedures used to run the project and to assess its success.
Question 3:
Refer to Sections 6.3 and 6.2 in the text. The general steps for managing each work
package in a specific project are:
1) Decompose the work packages into the smallest work elements necessary to plan,
budget, schedule, and control the work. When sequencing project activities,
logical relationships and direct costs are often driven by the activities inside the
work package.
2) Create a work statement that includes inputs, specification references, contractual
stipulations, and expected performance results. It may prove useful to construct
the Linear Responsibility Chart (LRC) to document which resource is responsible
for each activity in the work package.
3) List contact information for vendors and subcontractors.
4) For work that is new, difficult, or important, establish detailed end-item
specifications.
5) Establish cost centers to assign budget responsibilities and to track performance
against plans. Assign the appropriate types and quantities of resources to each
work center.
6) Establish the activity durations and logical relationships. Develop a preliminary
project schedule.
7) Review the WBS, activity lists, budget, and schedules with the resources that will
perform the work.

Page 6 of 23
Question 4:
The “even planning process” is a hierarchical approach to decompose deliverables during
the processes of scope definition and activity definition. (See PMBOK® Guide Third
Edition sections 5.3 and 6.1.). The goal is that each level of the hierarchy has elements at
about the same level of detail. One purpose is to prevent overplanning the familiar, while
under planning the unfamiliar parts of the project.
Question 5:
The RACI matrix shows the tasks to be performed, the groups doing the work, and who
should be responsible, accountable, informed, and consulted. With the RACI matrix the
PM can keep up with who must approve what, who must be notified, and other such
relationships.
Question 6:
Refer to Section 6.1 in the text. The project’s launch meeting should accomplish the
following goals:
1) The technical scope for the project is established.
2) Participants accept responsibility for specific areas of performance.
3) Tentative, high-level schedules, and budgets are established.
4) A risk management group is created for the project.
Question 7:
Refer to Section 6.1 in the project. Involving functional areas in proposal development
may help an organization to avoid promising deliverables and/or performance that cannot
be delivered to the customer. This involvement is important in winning support for the
project from the people who are likely to loan the resources. In many cases, those
resources would like to provide input about what will be done, how it will be done, how
it will be priced, and when it will be accomplished.
Question 8:
Refer to Section 6.4 in the text. To design and use the WBS, the basic steps are:
1) Decompose the action plan in sufficient detail so that each activity can be
individually planned, budgeted, scheduled, monitored, and controlled.
2) For each WBS work package, create a LRC.
3) Review the work packages with the responsible resources prior to aggregating the
activities for the project.
4) Convert the WBS into a Cost Breakdown Structure (CBS) that includes budget
data for direct costs, indirect costs, contingency reserves, and profit.
5) Create the master schedule.
6) Capture actual costs and schedule performance and track against the baselines for
budget and schedule.

Page 7 of 23
Question 9:
Refer to Section 6.5 in the text. Interface management seeks to facilitate the process of
coordinating dynamic relationships between the various elements to assist the project in
meeting objectives for performance, time, and cost.
Question 10:
Refer to the Introduction in the text. The Project Plan is the complete set of documents
and data used to describe the project objectives, method, schedule and budget. The
Project Charter is the subset of the overall plan that concentrates on the schedule and
required resources. The Work Breakdown Structure (WBS) is the subset of the plan that
displays a decomposition of the work to be executed by the project.
Question 11:
Milestones are natural sub-project ending points where payments may occur, evaluations
may be made, or progress may be reassessed. Phase-gates are preplanned points during
the project where progress is assessed and the project cannot resume until re-
authorization has been approved.
Question 12:
A risk matrix is constructed by placing the impact of threats on one axis and the
probability of those threats occurring on the other axis (see Figure 6-12). Threats in the
upper-right quadrant are more “critical” than those in the other quadrants.
Question 13:
A decision tree is useful to a project manager when sequential events happen over time.
In these cases, the PM can look at the probabilities that a certain sequence of events will
occur and their potential impact on the project.
Question 14:
FMEA tables can be more valuable than a risk matrix because they consider the inability
to detect the risk in addition to the probability and impact. Because of this they provide
more value.
Question 15:
The cause-effect diagram should be broken down into as many subfactors as possible.
With more subfactors, a better understanding of the factors that affect a particular threat
or opportunity can be achieved.
Question 16:
The risk responses for threats (avoid, transfer, mitigate, and accept) are generally
designed to minimize or eliminate the risk from the threats. Risk responses for
opportunities (exploit, share, enhance, and accept) are generally designed to maximize
the opportunity if it occurs.

Page 8 of 23
Class Discussion Questions
Question 17:
The amount of planning should be proportionate to the degree of newness, importance,
and difficulty associated with realizing the required solution for an unique need.E.g:
Constructing a standard 1,800 square-foot residential home should require less planning
than that required to build the same house from scratch in less than four hours. (The San
Diego Builders Association did this feat as a promotional project. The four-hour
execution of the project required almost nine months to plan.) Instead of using
percentages, the basic concept is that plans should be as brief and simple provided that
they adequately direct the team to what needs to be done each day to support the project.
Question 18:
In the military, there is a saying that, “No plan survives its first encounter with the
enemy.” Therefore, even the best of plans should be adjusted to the reality of the project
as it unfolds. This juggling of activities and resources across groups is a real-time activity
that is usually done without a lot of detailed information or analysis. The coordination is
made more difficult by the inevitable problems in communication that occur in even the
best-run projects.
Question 19:
The areas of risk need to be relevant to the project. Unfortunately, we can think of many
things that are “risky” in our lives, but they aren’t necessarily relevant to a particular
project. The PMBOK®
Guide Third Edition describes typical categories to consider risk
in as:
• Technical
• External
• Organizational
• Project Management
Question 20:
The WBS is probably one of the most useful project planning tools. It identifies the work
required to provide the project’s deliverables. It provides a framework for identifying
direct costs and resource requirements. Rolling up individual budgets through the
structure of the WBS can capture the total budget. The project schedule can be displayed
as a Gantt chart where each line is mapped directly to the WBS. Actual data can be
captured in project management software using the WBS table to enter actual cost and
schedule performance data.
Question 21:
Subdividing activities for a WBS involves a layer by layer breakdown of activities. PMs
should first divide the project into the main-level set of activities and then break each of
those levels down even further. This should continue until each activity is broken down
into its smallest activity. It is important to get as much input as possible from
stakeholders because getting the WBS built as well as possible can result in significant

Page 9 of 23
dividends as the project progresses due to numerous other deliverables that evolve from
it.
Question 22:
Usually, the plan frames the project in a manner that helps the team prepare for the
challenges that lay ahead. It is not so important that the team create the perfect project
plan. However, it is important that the plan raises the level of understanding about what
must be done to achieve a successful implementation that solves real needs. The plan
should also provide a reference point that the team can use to make course adjustments as
work progresses. Ultimately the plan must provide sufficient guidance so that every
member of the team knows what they should be doing each day to contribute to the
success of the project.
Something to think about: Have you ever taken a vacation without first deciding on a
destination?
Question 23:
Refer to Section 6.1 in the text.
Pros: Involving functional areas in proposal development may help an organization to
avoid promising deliverables and/or performance that cannot be delivered to the
customer. This involvement is important in winning support for the project from the
people who are likely to loan the resources. In many cases, those resources would like to
provide input about what will be done, how it will be done, how it will be priced, and
when it will be accomplished.
Cons: It is conceivable that some otherwise qualified managers and technical specialists
will not possess strong relationship management skills and/or a willingness to participate
in interdisciplinary approaches to solving problems. Such people could sabotage
negotiations in subtle ways by objecting to parameters or by using blocking techniques
that create fear, uncertainty or doubt about a project’s success. It is also difficult to
identify credibly the proper economic trade-off between early involvement and delayed
participation of functional specialists.
Question 24:
In general, this would be an unethical thing to do. The PM should demonstrate a little
more maturity by confronting the problem head-on rather than trying to cover it up with
tricks. An important consideration is Fred’s contribution to the project. If he is notified
because, in spite of his difficult attitude, he has something to contribute, then the PM is
not only unethical, he is stupid to bypass him. If he is difficult and does not add value (a
dynamite combination!), then the PM should bypass him and have the courage to look
Fred in the eye and tell him why he was ignored for that particular task. A manager,
whom I respect, once told me when I was faced with a difficult team member, “You have
got to talk to him. Maybe nobody ever told him that he was a jerk.”
Question 25:
The simplest way to plan for an unknown risk is to add a buffer. This can be both for the
schedule and the budget. This buffer should be visible to all concerned; not hidden as
padding in individual activities. Eli Goldratt recommends establishing a project time
buffer that is adjusted as the project unfolds (this is discussed at length in Chapter 9). The

Page 10 of 23
team knows that the buffer has gotten smaller if they are running behind, and larger if
they are ahead. Similarly it is a common practice on large defense projects to establish a
“Management Reserve.” This is a portion of the total project budget that is deliberately
held in reserve against unknown scope variation. Another technique is the designation of
selected experts to handle the problems as they arise. This can be coupled with a well-
defined escalation process, in which the designated people at appropriate levels in the
organization are notified based on the nature and severity of the problem.
Question 26:
Milestones and phase-gates may occur at the same time in some instances because phase-
gates can be considered milestones. In other cases they can occur at different times
because milestones can be used to see if the project is “on track” while phase-gates can
be utilized to determine if the project should continue to the next phase.
Question 27:
Agile project management was developed because of an increasing number of projects, in
which the scope of the project was not sufficiently determined in advance and thus, the
scope is progressively determined as the project progresses. I do believe that this
approach will continue to be increasingly utilized in future projects due to the continuing
number of projects where project scope cannot be accurately determined up-front.
Question 28:
Risk matrices and FEMA tables are extremely useful in analyzing the impacts of threats.
Each one helps in identifying the threats that cause the most concern. In addition, they
can be used to analyze the portfolio of projects in relation to their risk structure.
Question 29:
Decision and probability trees are similar. If we are only interested in probabilities, we
call the tree a probability tree. But if there are some actions we are considering anywhere
along the tree—before the first probability event, say, or between events—and we want
to evaluate which action(s) would be the best, then it is called a decision tree.
Each can be used by PMs to help determine the likelihood of certain events from
occurring. The decision tree is generally more valuable because it has a broader value.
can be used to analyze the portfolio of projects in relation to their risk structure.
Question 30:
A cause-effect chart could be used for two risks concurrently. The end “problem” would
be the result of both occurring concurrently.
Question 31:
Risk responses to threats and opportunities are more important for a particular PM
depending on their level of risk tolerance. For those who are risk-averse, they might be
inclined to think the risk responses for threats are more important and vice versa for those
PMs who are risk-seeking.

Page 11 of 23
Beagle 2 Mars Probe a Planning Failure
Question 32:
The tasks and changes in the tasks facing the project team with a fast approaching launch
window were extremely difficult. The PM should have recommended cancelling the
project and substituting it with something else.
Question 33:
The recommendations are all extremely important, certainly relevant to all projects, and
makes common sense. The problem, however, was more difficult than these
commonsense recommendations imply. If an expensive rocket launch is being readied for
a particular date and the date can’t be changed, would you really want to cancel the
probe? If so, why send up an empty rocket? Something needs to be added to the
recommendations concerning a backup probe, or a de-scoped probe, in case of trouble.
Clearly there wasn’t sufficient time, so something about a long lead time might be added
when the due date cannot be delayed.
Child Support Software a Victim of Scope Creep
Question 34:
Commonly, with the design of software systems, the customer wants changes as the
software is being written, which requires extensive rework and checking for ramifications
of each change throughout the system. This takes a lot of time and extra labor.
Apparently, this happened here as the customer kept requesting scope changes which the
customer considered to be minor but the vendor considered them to be major changes.
Unfortunately, the vendor didn’t inform the customer about the difficulty of making
changes during the project, or provide a process for handling such requested changes.
Question 35:
It appears that the software has been completed but now operates slower than that was
promised, possibly due to the scope changes. The customer and vendor need to talk about
the possibility of making additional changes that would help the customer in the most
efficient way, which may include disabling some of the options and scope changes
requested previously.
Shanghai Unlucky with Passengers
Question 36:
Luck had nothing to do with it. The problem was that the train was accessible only from a
difficult location for the customers in the business center. The system that was
implemented did not meet the original need.
Question 37:
We assume that there was an external reason for getting this exceptional train operational
in a short time period and service for businesspeople was a minor consideration. It could

Page 12 of 23
be that the original cost and time estimates were significantly wrong, so they were only
able to get it as close as they did to the city center.
China is now extending the train to the downtown business center, but it will take much
longer to complete.
Risk Analysis vs. Budget/Schedule Requirements in Australia
Question 38:
Meeting schedule and budget goals are certainly important, but other metrics are
important as well when it comes to project success. Although many people do think
primarily of schedule and budget goals, scope and quality goals can be just as important.
Specific to this example, had they considered quality issues, they would have created a
better system. After learning about all nine of the project management knowledge areas
as specified by the Project Management Institute, students will learn that each one is
equally important in managing projects.
Question 39:
An appropriate risk analysis approach would have been to use a quantitative method such
as simulation. Had this been done properly, the officials would have seen what would
happen with a significant increase in traffic beyond what was projected. This could have
shown them what might happen and then forced them to develop a system to comfortably
handle the increased traffic and/or to create a higher quality system.
Using Agile to Integrate Two Gas Pipeline Systems
Question 40:
The client was not on this team because it was an internal project.
Question 41:
Aspects of agile used:
1) Frequent, stand-up meetings with subteams
2) Weekly meetings with the entire team
3) Iterative and adaptive planning throughout the project
Aspects of agile not used:
1) A test case
2) Sprints
Question 42:
Agile management is not beneficial for most standard projects because agile projects
cannot accurately predict cost and time estimates for the duration of the project. Since,
most projects request funding in advance, agile processes would not be able to provide
those estimates.
An Acquisition Failure Questions Recommended Practice
Question 43:

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bestowed the succession on Conrad’s predecessor merely as his
sister’s son, and not as king of the Germans. But Conrad II being
bent, as Wipoc observes, on the aggrandisement and not the
diminution of the empire, forthwith took up arms against Rudolf and
occupied the city of Bâle, which at that time belonged to Burgundy.
By this he incurred the violent enmity of Duke Ernst of Swabia,
who was the “natural” heir of Rudolf, and of Gisela by her first
marriage, and thus stepson to Conrad II; and as many German
nobles secretly sided with the duke, while at the same time a
Slavonic prince, Boleslaw by name, rebelled against the empire, and
while the affairs of Italy seemed imperatively to demand the king’s
presence, the latter postponed the acquisition of the rest of
Burgundy to a more favourable opportunity. He first marched to
Saxony to reduce Boleslaw to submission; but the Slavonic prince
died before his arrival, and a civil war broke out between his sons
which exhausted the forces of both.
CONRAD IN ITALY AND GERMANY (1026-1039 A.D.)
Putting off, therefore, the subjugation of the
rebellious Slavs, Conrad immediately set
everything in readiness for his expedition into
Italy. He first convoked a diet at Augsburg, had his son Henry

elected successor to his throne, and yielding to his wife’s
persuasions was reconciled to his stepson, Duke Ernst of Swabia.
This took place in 1026, and in the same year the German army
made its appearance in Italy. Pavia was first invested, and repeated
attempts were made to take it by storm; but the brave citizens
victoriously repulsed every assault, and Conrad was reduced to great
straits. This so enraged him that, goaded to fury, he savagely
devastated the surrounding country. The German king gained little
by these cruelties, and as in spite of his victory he suffered great
loss at the taking of Ravenna, he might have been compelled to
retreat ingloriously from Italy if his political astuteness had not come
to his aid. He succeeded in bringing the king of Burgundy, on whose
assistance the Lombards relied, over to his own side. Rudolf came to
Italy in person to be present at Conrad’s coronation as emperor, and
the courage of the inhabitants of the invaded country sank so low
that even Pavia surrendered, and Conrad was acknowledged king of
Lombardy. He then received the imperial crown at the hands of Pope
John XIX, on the 26th of March, 1027; and after making some
provisions for the pacification of Lombardy he hastened back to
Germany, where in the meanwhile his presence had become
extremely necessary.
In spite of the show of reconciliation, Duke Ernst of Swabia was
meditating open rebellion. Conrad was well informed of the plans of
the conspirators, though the secret had been carefully guarded; and
therefore, after crossing the Alps, he proceeded with all haste to
Ratisbon to make preparations for subduing the threatened revolt.
Conrad’s plans on this occasion strikingly display his practical ability
and clear-sightedness. During his absence in Italy the ducal office
had become vacant in Bavaria by the death of Henry, and the king
endeavoured to procure it for his own family. In view of the
encroachments of the great nobles, who amassed vast wealth at the
expense of the empire, this would have profited him little unless he
could increase the ducal revenue at the same time. Consequently,
having succeeded in getting his ten-year-old son Henry appointed
duke of Bavaria, Conrad instituted a strict inquiry into the condition

[1030-1032 a.d.]
of the property of the empire in that province, and restored to the
crown much that had been usurped by bishops and counts. By this
measure the king really struck at the root of the evil. Decrees could
do little to cement the unity of the empire; what it needed was to be
provided with a material basis. And of this, the most necessary
element in the condition to which the empire had come was the
creation of a revenue which should make the head of the state
independent of the accidents of private fortune for the maintenance
of his authority.
The kings commonly made the mistake of trying to gain the
adherence or friendship of the great nobles by presents made at the
expense of the property of the empire; and therefore Conrad II
acted not only wisely but honourably when, amidst the greatest
dangers, he adopted the opposite course; for it was nobler to perish
than to reduce the office of head of the state to a shadow, by
purchasing the favour of the great nobles. The salutary effect of his
firmness was quickly manifest; for after he had gained his object in
Bavaria the king took vigorous measures to put an end to the
agitation in Swabia. For this purpose he promptly convened a diet at
Ulm to sit in judgment upon Duke Ernst in Alamannia. The duke
collected an army and marched against the king, but the firm
attitude of the latter had already made a great impression upon the
nobles. Two counts deserted the duke, others of the conspirators
followed, and within a short time Ernst’s forces were so diminished
that he was obliged to submit to the king’s mercy. Conrad had his
stepson conveyed in custody to the fortress of Giebichenstein near
Halle, and then reduced the whole of Swabia to allegiance to the
head of the empire. These proceedings added greatly to his
reputation, open and secret foes now courted the king’s favour, and
by the fifth year of his reign Conrad II had materially increased the
authority of the empire.
He now determined to take in hand the
expedition against the Slavs, which had been
postponed on account of the urgency of Italian
affairs; but it proved abortive, and he was forced to return into

Saxony with great loss. A quarrel with the Hungarians arose at the
same time, and Duke Ernst renewed his attempt at rebellion. Conrad
had recalled him from Giebichenstein and offered to reinstate him in
his duchy under certain conditions; but the negotiations came to
nothing, Ernst escaped from his stepfather’s court and with his
faithful adherent, Count von Kyburg, essayed the fortune of war.
Both were outlawed, and soon afterwards slain in a fight in the Black
Forest.[147]
Conrad’s safety was consequently assured in that quarter, and he
immediately invaded Hungary with an army. Here again he soon
found it preferable to restore peace by the methods of political
sagacity rather than by force of arms, and negotiations were
therefore adroitly set on foot and brought to a successful issue.
Stephen, king of Hungary, sued for peace and it was concluded on
terms honourable to Germany. During the duke of Swabia’s second
revolt the Slavs, against whom Conrad’s arms had proved so
unfortunate, had invaded and ravaged Saxony and Thuringia.
Little could be done to oppose them, on account of the war with
the Hungarians, but as soon as that was ended the German king
resolved to exact satisfaction. Once more, however, he was desirous
of courting success by policy rather than by arms. Mieczyslaw, the
son of Duke Boleslaw, was involved in a war (as has already been
stated) with his brother Otto. Now, in Conrad’s unlucky campaign
against Mieczyslaw, Otto, who inclined to the side of the Germans,
had been driven out of the country. With him Conrad again entered
into negotiations, and in consequence Otto (who was also favoured
by the Russians) appeared once more in the district between the
Elbe and the Oder, occupied by Slavonic tribes, who even then were
styled Poles. Conrad sent an army from Saxony to support his
protégé, and the civil war began afresh among the Poles. Mieczyslaw
was thus brought to a more yielding temper, and, although Otto was
slain soon after, he endeavoured to establish a permanent peace
with the king of Germany. A peace was actually brought about, the

A German Warrior
[1032-1036 a.d.]
Polish prince submitting to tribute and to
give part of the country between the Elbe
and the Oder to the Germans.
During the war and
the negotiations with
Mieczyslaw (in the year
1032) King Rudolf of Burgundy died.
Conrad II had long laid claim to the
succession, and as a certain count of
Champagne, Eudes by name, opposed his
pretensions, he was obliged to turn his
arms westwards after concluding peace
with the Poles. The count of Champagne
had already occupied Neuenburg
(Neuchâtel) and Murten (Morat); but by the
winter of 1032 he had been forced into a
somewhat disadvantageous position in
Switzerland, and when, in the year 1033,
Conrad II invaded Champagne itself to compel his rival to evacuate
Burgundy, the latter submitted at discretion and promised the king
of the Germans that he would leave the country, confirming his
promise with a solemn oath. Conrad was obliged to hurry back to
Germany, as another Slavonic tribe on the Elbe, the Liutizi this time,
was disquieting Germany, and Othelric, duke of Bohemia, was
threatening rebellion. Othelric was deposed, and Conrad was on the
point of attacking the Liutizi when tidings came that Eudes of
Champagne had broken his word and was again endeavouring to
acquire the sovereignty of Burgundy. In the spring of 1034 the
German king marched for the second time through Bavaria and
Swabia to Burgundy, while another army invaded it at his command,
crossing over the St. Bernard from Lombardy. From this time forward
Eudes could offer but a futile resistance. Conrad was acknowledged
king by the whole of Burgundy, and the country was solemnly
incorporated with the German Empire. Switzerland was thereby also
brought into complete union with the mother-country, and the full

[1035-1039 a.d.]
extent of German nationality restored. Thereupon Conrad brought
the Liutizi once more into subjection to the empire, but in this war
such cruelties were perpetrated that he entailed upon himself the
curses of the unhappy Slavs and the reprobation of history.
Nevertheless his outward position was brilliant. Not only had he
considerably extended the borders of the empire, but he had exalted
the royal office to power and dignity. Tranquillity prevailed in the
interior of Germany; in Italy, on the contrary, a commotion arose
more serious than the disorders common in that country. There, as
in Germany, the sway of the great nobles was oppressive, but in
Italy disaffection was rife among the vassals, and they determined to
resist the arrogant pretensions of their lords, sword in hand. The
storm broke out first in Milan, and between that city and Lodi a great
battle was fought which practically left matters as they had been.
The emperor allowed himself to be drawn into the quarrel, and
undertook a second military expedition to Italy in the year 1036.
In Italy the emperor promulgated a famous edict on the subject of
estates in fee (Edictum de beneficiis), by which he directed that a
vassal should not be deprived of such an estate except for certain
offences, and then only by the sentence of the law pronounced by a
court of his peers.
The appeal to the king or his deputy had a place in these legal
proceedings—another clear proof of the purpose of Conrad’s policy,
which aimed at weakening the power of the great nobles.
On the other hand there are many evidences
to show how greatly the royal authority had
increased. For one thing, Conrad deposed Duke
Adalbert of Carinthia from his high office in 1035, because he had
not borne himself worthily in the Lombard disturbances; and Italy
itself witnessed a deed wholly without precedent, for Archbishop
Heribert of Milan, a powerful prince and highly respected dignitary of
the church, who occupied almost the first place after the pope, was
arrested for disloyalty by the German king.

[1039-1043 a.d.]
Heribert saved himself from imprisonment by flight, and Conrad,
whom he then openly defied, could hardly take any effective action
against him; nevertheless the occurrence produced a profound
impression. After two years’ absence from home the king returned to
Germany, where he occupied himself principally with the affairs of
Burgundy, and ultimately delegated the government of that country
to his son Henry. In the year 1038 he proceeded to North Germany
and there endeavoured to consolidate the empire by paving the way
for settled legal order. In the year 1039 he fell sick at Utrecht, and
died at that place on the 3rd of July in the same year.
THE ACCESSION OF HENRY III (1039 A.D.)
Among the merits of Conrad II, a high place
must be given to the care he bestowed upon
the education of his son and successor. Henry
III was adorned with all the qualities which constitute the basis of
true greatness; for not only did his admirable intellectual
endowments render him capable of acquiring skill as a statesman
and a commander, but his firmness and courage provided him with
means of applying what he learned to practical affairs. With acute
intelligence and energy he combined a high degree of moral
earnestness, manifested in honourable endeavours after
improvement; and as the natural bias of his mind inclined him
strongly to benevolence and justice, nothing but a wise education
was needed to make Henry one of the noblest of his race.[148]
Fortunately the development of his character was well cared for.
His mother, Gisela, a woman of strong intellect and great nobility of
soul, highly educated for her time, had a beneficent influence on him
in childhood, and when the boy had thriven and grown strong under
her care he was transferred altogether to the charge of the learned
bishop Bruno of Augsburg, who initiated his pupil, by years of
systematic teaching, into all the knowledge of the age. Then
followed instruction in political affairs from Bishop Eigelbert of
Freisingen, by which Henry profited so greatly that from his

nineteenth year onwards his father was able to employ him in such
matters. At the same time, he was thoroughly trained in all knightly
accomplishments, and early sent into the field.
The twenty-two-year-old king saw clearly the path he had to
follow. Even in his father’s lifetime he had realised where the
strength and the weakness of the empire lay; where he should
continue to act in his father’s spirit, and where he must strike out on
a totally different path. Henry III, like his predecessor, desired the
aggrandisement of his own house; like him he endeavoured to make
the royal dignity hereditary in his family, but he scorned to stoop to
unworthy means. Being convinced that his endeavours were
conducive to the interests of the nation rather than subversive of
them, he felt his conscience clear and thought himself justified in
carrying out his designs by honourable methods. He was thus
constrained to avoid much in which Conrad II would have indulged
himself, and the first token of this difference was Henry’s firm
resolve to raise the standard of public morals by steadfastly refusing
to accept gifts in return for ecclesiastical preferment.
HENRY’S EFFORTS FOR PEACE
Even during the lifetime of Conrad II, Bretislaw, duke of Bohemia,
a son of Othelric, had invaded Poland and perpetrated hideous
ravages in the country. The German king—either appealed to by the
inhabitants in their distress, or apprehensive for his own sake of the
spread of the power of Bohemia—despatched two armies in the year
1039 to attack Bretislaw in Bohemia itself, an enterprise which ended
in disaster to the Germans. In order to restore his impaired credit,
Henry was obliged to undertake a fresh expedition against the
Bohemian duke in the following year. This he conducted with great
energy, himself leading one of the two armies he had equipped. This
time victory waited upon the German arms, Prague was invested and
Bretislaw compelled to submit. The latter vowed allegiance and
fealty to the head of the German Empire, undertook to pay tribute,
and gave hostages as a guarantee of his good faith. For all that

[1043-1046 a.d.]
Henry was not yet free to devote his energies to the domestic affairs
of the empire, for disturbances began to be rife in Burgundy and
fresh dangers loomed in the Hungarian quarter. Peter, king of
Hungary, had been driven out of his country, and appealed for
assistance to Henry at Ratisbon; Ovo, the new king, pursued him
with an army and the enemies plundered freely in Bavaria.
In consequence Henry marched to Hungary with an army in
August, 1042, to demand satisfaction for the outrage. He advanced
victoriously through the country, took several fortified towns, and
received the oath of allegiance or fealty from the inhabitants; but he
could not induce them to take back their banished king. He therefore
installed another sovereign and returned at once to Germany. In the
winter immediately following (1042) he hurried to Burgundy, where
he tranquillised the country by his firm and clement administration of
justice. Thus he quickly reduced the refractory nobles to obedience;
but on the other hand fresh troubles arose in Hungary, where the
people drove out the new sovereign whom Henry had installed as
soon as the latter had withdrawn from the country. Ovo made
repeated incursions into Bavaria and laid waste the country on both
sides of the Danube. The German king, who was consequently
constrained to undertake a second campaign against the
Hungarians, soon put an end to the evil, and compelled the enemy
not only to make reparation but to give ampler security for his good
behaviour in future.
Then at length Henry resolved to devote all
his attention to internal politics. One of the
greatest evils of the times was the abuse of the
right of self-help, which gave birth to a rude system of government
by force under which the nation was lapsing into savagery. The
weaker suffered under the heaviest oppressions, and the wise king
was therefore deeply concerned to remedy first of all this aspect of
public affairs. To pave the way for the establishment of a system of
law he convened a diet of the empire at Constance, when he
returned from his second Hungarian campaign. This took place in
the year 1043, and many temporal lords, as well as bishops,

appeared at it. Henry III was always present at its deliberations; he
fired all who were there by his own enthusiasm for peace and
justice, and brought them to a unanimous decision that thenceforth
legal order should be maintained in Germany. The king issued a
decree to this effect with the sanction of the diet, and thus
established a peace hitherto unknown in the country. To ensure a
result so happy Henry had set a noble example by magnanimously
pardoning all his enemies.
From Constance, Henry proceeded to Goslar, where in the winter
of 1043 he was visited by embassies from several nations desirous of
testifying their respect for the head of the German Empire. So great
was the esteem in which he was held that a Russian embassy
solemnly offered the young king, who was already a widower, the
hand of the czar’s daughter. Henry, however, haughtily rejected any
such alliance, and the Russians departed sorrowfully from his court.
In the same year the king married Agnes, daughter of the count of
Poitiers, and at this ceremony one of the admirable traits of his
character was clearly shown. Great distress prevailed in the land in
consequence of the failure of the crops and an outbreak of cattle-
plague; and instead of admitting jugglers and musicians to his
nuptial festivities and bestowing rich presents upon them, he
distributed the money among the poor, to alleviate their distress.
Other events soon occurred to augment the troubles of the time, for
the Hungarians a third time broke their oath of allegiance, while
symptoms of rebellion declared themselves in Lorraine, Duke
Gottfried trying to seize for his own the portion of the country which
his father, with the king’s consent, had assigned to Gozelo, his
second son. Under these circumstances Henry had only a small force
to employ against the Hungarians, but once more his daring and
courage compensated for the paucity of material resources.
Ovo offered battle at the head of an immense army. The German
king had not yet collected all his troops, many of them having been
delayed by the way. Nevertheless Henry boldly crossed the Raab
under the eyes of the Hungarians, made a furious onslaught on the
enemy’s lines with his handful of troops, and won a victory as

[1046-1047 a.d.]
complete as it was brilliant. As a result of this success Peter was
reinstated as king and received the crown of Hungary as a fief of the
German Empire. After these great achievements Henry swiftly turned
his arms against the rebel duke Gottfried of Lorraine. The struggle
did not long hang in the balance; Gottfried soon realised the king’s
superior power, submitted, and was punished with incarceration in
the fortress of Giebichenstein. Thus by a solemn act of justice the
emperor of the Germans ratified the political principle that the dukes
were responsible officers of the state. To confirm by practice the
royal prerogative of nominating such officers, the dukedom of
Swabia was conferred on Count Otto of the Rhenish palatinate in the
year 1045; and in 1046 Frederick, brother of the duke of Bavaria,
was installed in Upper Lorraine, in place of Gozelo. In the same spirit
Henry guarded against usurpations on the part of other great
nobles. Thus, in the year 1046, he punished Margrave Dietrich of
Vlärdingen in Holland, for having taken wrongful possession of what
was not his own.
THE PAPACY SUBORDINATED TO HENRY
The affairs of Italy next attracted the
attention of the German king. There the utmost
disorder had crept, not only into political affairs,
but also into those of the church. Ecclesiastical preferment was
openly bought and sold, church dignitaries strove among themselves
for power by intrigues of every sort, while, to crown all, three popes
were quarrelling for the authority of supreme pontiff. Scenes of this
kind confirmed Henry in his determination to inaugurate a
reformation of the church. He therefore made preparations to
proceed to Italy forthwith, but before starting he released Duke
Gottfried from his captivity at Giebichenstein, and magnanimously
reinstated him in his high office. He then crossed the Alps with a
vast army in the autumn of 1046. On his arrival in Italy he found a
council of bishops who had assembled at his command at Sutri to
decide first of all the scandalous dispute between pope and rival

popes. The king of Germany refused to tolerate any one of the
antagonists, but required that they should all three be deposed. By
the mingled energy and wisdom of his conduct he succeeded in
carrying his point, and a German prelate, Bishop Suidger of
Bamberg, was appointed head of the church at his wish. Suidger
assumed the title of Clement II, and Henry received the imperial
crown from his hand in St. Peter’s church at Rome, in the year 1047.
One important step had now been taken towards the
accomplishment of the king’s great designs, and having seen the
new pope firmly established in his office, Henry III returned that
same year to Germany.
There the beneficial results of the Diet of Constance were
gratifyingly evident, for such order prevailed throughout the country
“as no man ever experienced before.” Margrave Dietrich of
Vlärdingen had indeed attempted to avail himself of the king’s
absence to renew his arrogant pretensions, and Duke Gottfried of
Lorraine still nourished thoughts of sedition; the two had even
formed a secret confederacy against the emperor, together with
Count Baldwin of Flanders. But they had but short-lived successes;
Henry III promptly deposed the rebellious duke from his office, and
deprived him of all authority. Dietrich lost not only his dominions, but
his life into the bargain, and the whole of his territory was brought
under the emperor’s sway. The credit of the imperial authority was
completely restored.

German Warrior of the
Eleventh Century
[1047-1048 a.d.]
Meanwhile the king displayed the most
commendable vigour in the conduct of
domestic politics. During the disturbances in
Lorraine and Holland, which he left to his
great officers to quell, he had been making
progress through all parts of Germany and
had despatched important affairs of state at
various places. Everywhere the king’s keen
glance watched over the course of justice,
and the interior of Germany attained a
notable degree of prosperity and
contentment. This we can perceive from the
fact that the cities were rising by degrees to
the position of an independent element in
the state. In the wars against Gottfried of
Lorraine and Dietrich of Vlärdingen, the
citizens, admonished by the bishops, often
took up arms themselves in defence of their
cities, which is evidence not only of the
advance which those communities had
made both in wealth and population, but
also of the political importance they had
acquired. It is worthy of note, also, that
even then the cities were on the side of imperial authority against
rebellious counts and dukes.
Henry III was now strong enough to carry
through the long-contemplated reformation of
the church. In the press of business which had
occupied him he had never lost sight of ecclesiastical affairs; on the
contrary, he had steadily made preparations with a view to his
purpose in this respect, displaying a vigour which commands
admiration. The pope had previously claimed the right to nominate
the emperor; the third Henry, on the contrary, exercised a decisive
influence over the election of the pope, and it became almost
customary that this office should be conferred by the king of

Germany. The elevation of Clement II to the papacy had taken place
by Henry’s desire; Clement died nine months after, and the king of
Germany nominated the bishop of Brixen as his successor. This
pope, who took the name of Damasus II, died a few weeks after his
arrival at Rome; and Henry again filled the vacancy in the apostolic
see, this time elevating a relative of his own, Bishop Bruno of Toul,
to the position of head of the church. The manner in which the
chroniclers speak of these important proceedings is remarkable.
With them there is no longer any question of the right of the king of
Germany to nominate the pope; they mention it as a matter that
calls for no explanation. “Poppo, bishop of Brixen,” says Hermann,f
“was chosen pope by the emperor and sent to Rome, where he was
received with great honour.” The same thing is said of the
nomination of the bishop of Toul. Lambert of Aschaffenburg,g who
confirms this testimony, adds that on the death of the pope the
Romans always sent an embassy to the king of Germany to request
him to nominate a new supreme pontiff. Such a state of things was
wholly without precedent, and by means of it Henry exalted, more
highly than any of his predecessors, the power of the empire.
In the completion of the reformation of the church in the year
1050, one of the emperor’s chief aims was fulfilled. The effect of the
measure on the country was most salutary, morals were purified and
a higher standard of seriousness and industry prevailed. The system
of law and order was consolidated by the subjugation of the great
nobles. But it was not only the dukes and counts whom Henry kept
within bounds; he inflicted sharp chastisement on members of the
lesser nobility also, by confiscating their property or by other
methods, if they committed any act of wanton injustice. By this
means he imposed a strong restraint upon the abuse of self-help,
and the towns throve and increased so rapidly that they presently
began to take direct part in the affairs of the empire.
For several years Henry’s relations with foreign countries were
friendly; but this peace was disturbed from 1051 onwards by the
joint attempt of the Poles and Hungarians to shake off German

[1052-1055 a.d.]
dominion. The Hungarians invaded the empire, and in the year 1051
the emperor took the field against them in person. He advanced into
Hungary itself with a great force; and though obliged to withdraw by
inclement weather, his retreat was marked by valiant feats of arms
on the part of the German army. In the following year, 1052, a
second expedition was undertaken against Hungary. Henry III
invested Pressburg, but at the intercession of Pope Leo IX he raised
the siege and returned to Germany. But a genuine peace could not
be brought about merely by the mediation of the pontiff; the enmity
continued.
The Peace of Tribur was finally ratified, and
Henry had once more time to devote his
energies to the internal affairs of the empire.
Down to the year 1055 he worked hard at consolidating the legal
system and developing the resources of the nation. Fresh disorders
in Italy called him thither. Matters beyond the Alps had been in dire
confusion for many years, for Pope Leo IX became involved in a war
with the Normans in 1053 and was actually taken prisoner by them.
In addition, Gottfried, the deposed duke of Lorraine, who had been
reconciled to the emperor in 1050 by the good offices of Leo IX and
had then accompanied the pope to Italy, had there married the
widow of Marquis Bonifazio of Tuscany and taken possession of her
former husband’s dominions. Henry III feared that Gottfried would
stir up rebellion in Italy, and this circumstance seemed also to render
the emperor’s presence in that country imperative. He had therefore
long meditated another expedition across the Alps, but disaffections
that arose in Germany itself and various isolated attempts on the
part of some refractory nobles decided him not to quit the country.
In the year 1054 Pope Leo died and the Romans again sent an
embassy to request the emperor to nominate a new pope. This he at
first modestly declined to do; but, yielding nevertheless to their
reiterated entreaties, he designated Bishop Gebhard of Eichstädt, his
kinsman and friend, as the successor of Leo IX. Gebhard was
unanimously accepted in this capacity, and assumed the papal
dignity under the title of Victor II, amidst the acclaims of the people.

German Noble of the
Eleventh Century in Court
Dress
Thus Henry III for the fourth time disposed of the papal office, and
for the fourth time conferred it on a German. At the nomination of
Victor II Hildebrand himself, the influential counsellor of Leo IX, was
with the embassy which besought the emperor to designate the next
pope, which proves how little intention Hildebrand had of opposing
the will of Henry III. Like the emperor he earnestly desired reform,
and showed by this step that he had no fear of undue
encroachments on the part of the latter upon the privileges of the
church. Thus even the strongest natures in a manner attest their
reverence for the great emperor’s character.
After the appointment of Pope Victor II,
the king of Germany felt himself bound to
afford him the protection of his imperial
authority, and in the year 1055 he started
for Italy, almost at the same time as the
pope. In May of that year he appeared on
the plains of Roncaglia; and there the
princes and feudal vassals of Italy likewise
appeared, to offer the homage of sincere
reverence to the king of Germany, together
with their oaths of allegiance. Pope Victor II
convened a synod at Florence, where, in
the emperor’s presence, the laws against
simony and other edicts of a reformatory
tendency were either re-enacted or
amplified. An inquiry was then held into the
conduct of Gottfried, sometime duke of
Lorraine, which ended in the acquittal of
the defendant—not, so the old chronicler
expressly states, because his innocence was
proved, but because his judges feared that
if driven to desperation he would make
himself the leader of the Normans in lower
Italy. His wife Beatrice was carried off to
Germany by Henry III, who defended his

[1035-1056 a.d.]
arbitrary action in this respect by saying that Beatrice had disposed
of her hand without his consent, and had moreover bestowed it
upon an enemy of her country. Towards the end of the year 1055
the emperor recrossed the Alps. Several nobles were already
cherishing schemes of revolt, for a conspiracy had been formed
against him under the leadership of Bishop Gebhard of Ratisbon;
and Gottfried, assisted by Count Baldwin, once more made his
appearance in Lorraine. The schemes of the malcontents were again
frustrated by Henry’s firmness; Gebhard was brought to trial and
committed to prison, and both Gottfried and Baldwin were defeated
in the open field.
On this occasion the emperor met the king of France at Jovi to
settle various affairs of state, and here again the vigour and heroic
temper of Henry III were strikingly displayed. For the French king
asserted that the German Empire had unlawfully taken possession of
Lorraine, whereupon Henry offered to prove the falsity of the
assertion by single combat. The king of France was only too well
aware of the German emperor’s superiority, and fled secretly by
night across the border.h
THE TRUCE OF GOD
The times were rude, manners were no less
so. Ceaseless wars, the feuds of the nobles,
acts of violence of every kind, combined with
hunger and pestilence to bring unspeakable misery upon the
nations. According to the opinions of the time, the papacy should
have been a strong helper in the midst of these calamities, but
Rome was the seat of the worst disorders of all and most of the
popes neither deserved nor commanded respect. At length the
miseries of the age aroused—first in the monastery of Cluny in
Burgundian France—an austere and devout religious spirit which at
first found expression, according to the fashion of the times, in
penitential exercises and monkish discipline, but presently ripened
into vast projects of reform.

[1045-1056 a.d.]
Hence came, in particular, the recommendation of the “truce of
God” (Treuga Dei), and hence it spread over Burgundy and France.
This was an attempt to insure certain days of peace and quiet in that
iron age; it ordained that no feud should be fought out between
Wednesday evening and early Monday morning, and the church
sanctioned this institution. So strong was the influence of the
example set by Cluny (Clugny) that in a little while all the numerous
monasteries in France and Burgundy joined the “congregation of
Cluny,” and a sombre earnestness took possession of the best men
of the time.
So it was with Henry III. In the midst of the corruptions of the age
he saw no salvation except through the most drastic measures, and
felt that he, as the emperor, had a special call to be the deliverer of
the people. He himself set a good example; he appointed none but
earnest and worthy men to bishoprics, and that without taking
money or presents from them; by act and admonition he laboured
incessantly for peace and conciliation. He looked upon his imperial
rank as a sacred office, instituted for the improvement of
Christendom, and never set the crown upon his head without
previous confession and penance, which last he even had inflicted
upon himself with scourges. But the more he humbled himself the
more urgent did he feel was the call to raise up the church by the
mighty hand of the first of earthly sovereigns.
SORROWS OF HENRY’S LAST YEARS
The day of Sutri was the culminating point of
the emperor’s life; from that time forward until
he died he was engaged in an incessant
struggle with adverse circumstances. The Hungarians, after
overthrowing King Peter and putting out his eyes, had shaken off the
yoke of the empire, and Henry’s frequent expeditions against the
rebels led to no good result. Furthermore, before these events
occurred, that same Gozelo of Lorraine to whom Conrad II had been
so deeply indebted and upon whom he had bestowed the whole of

Lorraine, had died, and Henry III conferred Upper Lorraine alone as
a fief upon his son Gottfried the Bearded. Gottfried rebelled, and, as
we have seen, won the hand of Beatrice of Tuscany, the widow of
Bonifazio; and thus by marriage this enemy of the emperor had
become the most powerful prince in Italy.
Momentous changes were also taking place in lower Italy. The
Normans had there founded a dominion which began to menace the
borders of the states of the church. Leo IX, like his predecessor a
German by birth, went to war with them, and took the field in
person after the custom of German bishops. He had been defeated
and taken prisoner at the battle of Civitate, not far from Monte
Gargano. But the Normans, as crafty as they were devout, treated
the successor of St. Peter with profound veneration, and Leo made
his peace with them, outwardly at least, and repealed the sentence
of excommunication pronounced upon them. After Leo’s death,
Hildebrand, who directed the policy of the papal see, realised the
value of the friendship thus gained; and seeing that the Normans
were anxious to establish a legitimate claim to their conquests in
lower Italy and Sicily, he induced them to accept their lands in fee
from St. Peter, after which they became loyal vassals of the pope.
This circumstance, together with the rise of Gottfried’s power,
obliged the emperor to undertake a fresh expedition to Rome. In the
matter of the Normans, Henry could achieve nothing, for affairs in
Germany had obliged him to return thither with all speed.
Disaffection was rife among the nobles throughout the empire, for
Henry, like his father, had endeavoured to secure the dukedoms for
his own family, or to confer them on men of no consequence who
should be dependent upon himself. The Saxons, whose ancient pride
could ill brook the rule of a Franconian, bore him the bitterest ill-will
of all, and, of the Saxons, the ducal house of Billing most keenly
resented the wrongs which, like many other great Saxon families, it
believed it had suffered at the hands of the emperor and his friends.
The expenses of the court, which the emperor usually held at Goslar
to keep the Saxons in check, also weighed heavily upon the
province. The nobility were in a ferment throughout the empire; the

[1056-1066 a.d.]
emperor held them down with iron hand, but his position was in
truth even such as one of his faithful councillors and friends saw in a
dream: “The emperor stood before his throne, sword in hand, and
cried with a terrible countenance that he would yet smite down all
his enemies.” But he was snatched from the empire in the flower of
his age, when its need of a strong ruler was sorest. The pope was
on a visit to him, and his nobles were gathered about him in his
palace at Bodfeld in the Harz, where he had gone for a few days to
enjoy the pleasures of the chase. There he was met by the news of
a defeat inflicted on Saxon levies by the Wend tribes at Prizlava, in
the angle between the upper Havel and the Elbe. The evil tidings
were soon followed by the death of the great monarch, and his
empire was left to a child six years old, helpless in the face of the
evil days to come.
HENRY IV (1056-1106 A.D.)
The first two emperors of the house of
Franconia had drawn in the reins of government
so tightly that the German princes seemed to
have fallen once more upon the times of Charles and Otto the Great.
But the old intractability which prevented complete union was still
active in the German races, and this instinct was now reinforced by
the private interest of the great nobles who found the authority of
the empire irksome when too vigorously wielded, and whose
sovereign privileges had been greatly reduced under Conrad II and
Henry III. The moment was therefore propitious to all who hated a
strong and united empire, for a child king now succeeded the
strongest and sternest ruler the empire had ever known. The
empress Agnes was to undertake the regency for the youthful
monarch, Henry IV, as Theophano had done for Otto III. She did so
with Bishop Henry of Augsburg for her adviser. But envy, selfishness,
and perfidy were already at work undermining the power of the
crown. Under the first Franconian monarchs times and manners had
been rude and hard, but now all restraint was flung aside and every

consideration of right and fealty seemed to have departed from the
empire.
Troubles presently began to ferment; here and there in Saxony a
rumour ran of attempts on the young king’s life. Agnes was soon
forced to make large concessions in order to gain friends, who
proved untrustworthy after all. A Saxon noble, Otto, of the family of
Nordheim, a race akin to the Billings, whose hereditary seat lay close
to the modern town of Göttingen, received from the empress the
duchy of Bavaria, which Henry III had acquired for his own house.
Rudolf von Rheinfelden, a Burgundian noble, worked his way into
the empress’ good graces, and received the duchy of Swabia
together with the hand of the daughter of the empress. The duchy
of Carinthia was given to Berthold, a Zähringian. If only the empress
could have purchased fidelity by these concessions! But not one of
these men was trustworthy; and the moving spirit of all the plots
which aimed at wresting the sovereign power from the empress and
bestowing it on the nobles of the empire, was Archbishop Hanno of
Cologne, a man of low origin, but ambitious, harsh, crafty, and
cunning, although outwardly wearing the semblance of the sanctity
of the cloister. It was natural that the power of the empire should
decline abroad—in Italy, in Hungary, and over the Wends; and the
fact was laid to the charge of the empress, together with the
accusation that she was bringing up her son too effeminately. In
brief a criminal project was maturing in Hanno’s heart as in the
hearts of the princes, his allies. The empress was then at
Kaiserwerth on the Rhine with her twelve-year-old son, when Hanno
appeared at her court, and after a festive banquet invited the young
king to take an excursion on the Rhine in his beautiful boat. The boy
embarked unsuspectingly with Hanno, together with some of the
conspirators: the bishop’s serfs plied their oars and the boat was
quickly under way. The lamentations of the young king’s mother
pursued him from her balcony; the people followed on the banks,
cursing the robbers; and the boy himself, alarmed and fearing the
worst, jumped into the river, from which he was rescued with
difficulty. But the plot had succeeded and Hanno, who now had the

young king in his own hands, succeeded, by the help of the nobles,
in assuming the reins of power at the head of the bishops.
Matters were not thereby mended in the empire. The empress
soon retired from the world and ended her days in Italy, occupied in
works of piety. Under Hanno’s administration any man who pleased
laid hands on the royal demesnes; and a few years later the young
king was an eye-witness of mortal combat in the cathedral at Goslar,
where brawling ecclesiastics fought for temporal honours in the very
sanctuary.
Such an education sowed the seeds of mistrust, bitterness, and
hatred in the heart of the young ruler, and as soon as he was able
he threw himself into the arms of a different guide, Archbishop
Adalbert of Bremen. The latter, no less ambitious than Hanno, and
even prouder, sought to exalt his famous metropolitan see, whence
missions still went forth across the North Sea and the Baltic, to the
position of the patriarchate of the north. Formerly the friend of
Henry III, he now sought to win the friendship of the youthful Henry
IV. When Henry attained the age of sixteen he declared him of age,
according to German law, by girding him with the sword, but for
some years he continued to direct his unripe youth. In his
endeavours Adalbert frequently incurred the displeasure of the
Saxon nobles. Their intentions, as a matter of fact, were evil, and it
was against them that he fostered the young king’s suspicions.
Meanwhile the latter began to grow up to independent manhood. Of
the authority, property, and prerogatives of his predecessors, he
found but little left; all his efforts were directed to their recovery,
and in pursuit of this end he manifested the iron will of his
forefathers. Their hot blood flowed also in his veins, inciting him to
occasional arbitrary acts, and above all to excesses which were
magnified by the slanderous tongues of his enemies. He first sought
to subdue Saxony. The means he employed for the purpose were
such as the Normans had adopted in lower Italy; he erected
strongholds in commanding situations in the land. From these
centres, however, many acts of violence were perpetrated in the

[1066-1075 a.d.]
surrounding country, and he thus aroused the wrath, not only of
individual nobles, but of the whole Saxon race.
But Henry did more than this to compass the fall of the enemies
who had ruled for so long. About this time a man arose to accuse
Otto of Nordenheim, duke of Bavaria, of having conspired against
the king’s life, and offered to prove the charge by ordeal. Henry
deposed the duke, laid him under the ban of the empire, together
with Magnus of Saxony, of the house of Billing, and presently threw
the latter into the dungeon of the Harzburg. He seemed bent upon
completely abolishing the duchy of Saxony; but Bavaria he gave to a
member of the ancient Swabian dynasty, Welf by name. Meanwhile
Adalbert had died, after having seen all his plans go to wreck; for
the Wends east of the Elbe, among whom he had hoped to establish
his suffragan bishoprics by the help of Godschalk, one of their own
chiefs, had rebelled, and extirpated Christianity for the time and for
long afterwards, within their borders.
Henry IV had begun his reign with vigour.
This circumstance only hastened the formation
of conspiracies against him among the nobles
throughout the empire. In Saxony, the whole nation was in a
ferment—clergy, nobles, and commons. All complained of intolerable
oppression, exercised from Henry’s strongholds. At the head of the
league now formed stood Otto of Nordheim. In South Germany,
Rudolf of Swabia was in accord with him; Welf and Hanno were
equally aware of the plot. The pope, too, influenced by Hildebrand,
now cardinal subdeacon, also began to take an interest in German
affairs; he zealously opposed his ecclesiastical authority to the evil
desires of King Henry, who wished for a divorce from Bertha, his
noble wife; and he also sought to intervene as mediator at the
request of the Saxons.
Meanwhile the whole empire was on the verge of rebellion. In the
year 1073 the Saxons rose as one man, and marched in a body sixty
thousand strong to Harzburg near Goslar, a castle on a lofty height,
commanding a wide view of the surrounding country, which the king

had made into a stately royal residence. Henry, after useless
negotiations, barely escaped by flight. When he tried to gather the
princes of the empire around him, none appeared; nay, the idea of
deserting him altogether and electing another emperor was openly
mooted. At this crisis the towns alone proved true to Henry from the
outset; and whilst these negotiations were pending, he lay sick to
death in the loyal city of Worms. But he had scarcely recovered
before he met and defeated the foreign foe in Hungary; and then
with restless activity he turned to affairs at home. He still had some
friends; the archbishop of Mainz, the dukes of Lorraine and
Bohemia, and Welf of Bavaria came over on his side; and finally
even Rudolf, who shortly before had laid the most treasonable plots
against him, thought it advisable to make a fresh display of
devotion. Concord between the South German princes and Saxons
was at an end, and Henry skilfully made use of their dissensions.
In the wantonness of victory the Saxons had destroyed the
Harzburg; they had even burned a church and desecrated graves;
the archbishop of Mainz excommunicated them for the sacrilege;
and in the summer of 1075 Henry IV marched against them, with
such a splendid array as few emperors before him had led, in spite
of their proffers of atonement and submission. Henry could have
brought the matter to a peaceful issue, much to his own advantage
and that of his people. But his soul thirsted for vengeance; he
surprised the Saxons and their Thuringian allies at Hohenburg in the
meadows on the Unstrut, not far from Langensalza. His army ranged
in the same order as that of Otto the Great at the battle of the Lech,
gained a sanguinary victory (1075). But German had fought against
German, and on the evening of the battle loud lamentations broke
forth in the royal army for the fallen, many of whom had been slain
by the hands of their own kin. Nevertheless Henry was now master
of Saxony and lord of all Germany; he seemed to have established
his throne firmly once more. So he would have done, in all
likelihood, had he not imprudently involved himself in a much more
serious quarrel.

[1075 a.d.]
QUARREL BETWEEN HENRY IV AND GREGORY VII
We know how, amidst the indescribable
barbarism, misery, and violence of the eleventh
century, a reformation of morals, though in a
gloomy monastic form, had proceeded from the convent of Cluny;
and how the emperor Henry III himself had endeavoured to promote
it. Through Hildebrand this reformation was transferred to Rome, to
the court of the popes, who for nearly two centuries had been
oblivious of the vocation ascribed to them by the faith of the age. As
long as Henry III was alive, the Romans on whom the election still
depended had, by Hildebrand’s advice, allowed the emperor to
designate the popes. During the minority of Henry IV, the election
was for the first time committed to the college of cardinals; and in
1075 Hildebrand was elected pope under the title of Gregory VII.
This great and gifted man immediately proceeded to carry his own
ideas into practice. He would have the church thenceforth free from
all temporal authority, that of the emperor included. He therefore
issued an edict, which had already been suggested in earlier
counsels but never carried out, prescribing the celibacy of the clergy.
Unhampered by wife, child, and earthly cares, the clergy were in
future to feel themselves merely members of a powerful
ecclesiastical community, receiving orders from Rome, from the
successor of St. Peter, the vicegerent of God and Christ upon earth.
This edict, deeply as it touched the life of the nation, might seem to
affect the emperor but slightly; yet a second struck at the roots of
his power. Henceforth neither the emperor nor any temporal
sovereign was to appoint bishops; in the phraseology of the time the
investiture—i.e., the conferring of the ring and crosier, the symbols
of episcopal office—was no longer to be in the hands of laymen. The
cathedral chapter, that is to say the college of clergy attached to
each cathedral, was to make the election, the pope to confirm it; no
gift nor purchase was to be made on elevation to the sacred office,
otherwise the candidate was guilty of simony, as the offence was
styled, by a reference to Acts, viii, 18.

This edict was a heavy blow to the German monarchs, for since
the reign of Henry II they had sought and found support among the
bishops against the increasing power of the nobles. The estates of
the church formed a considerable portion of the imperial territory;
the monarch disposed of them and of their revenues if he appointed
bishops, as he had always done up to this time. Many of Henry IV’s
appointments had been made, not with his father’s strict regard for
clerical fitness, but for his own profit and to meet the needs of the
moment. Some of these bishops had paid money to Henry’s
counsellors for their appointment, and for this, in 1075, Gregory VII
put them as well as the counsellors under the ban, demanding of the
king to depose them, and threatening him with the punishment of
the church if he refused. Long had Henry watched unwillingly the
encroachments of the pope; after the victory over the Saxons had
restored his power in the empire, he attempted, following the
example of his father, to depose Gregory—without reflecting how
much weaker his power was than his father’s, and how much nobler
and greater was the mind of Gregory VII than were those of the
previous popes. At Worms in 1076 he held a synod of German
bishops, who neither by their worthy living nor their education could
be called mirrors of the church. By them on a trumped-up accusation
he had Gregory VII deposed. Gregory replied with the ban in 1076.
This was the first time a pope had attempted this measure against a
German king. And Henry was soon to realise what a ban, which at
that time loosed all bonds of feudal obedience, signified. It was the
signal for the princes, who jealously saw the royal power restored, to
desert him. In the autumn of the same year they held a diet at
Tribur on the old election field, and sent word to the king that if in a
year and a day he was not free from the ban, they could no longer
consider him their lord.
Henry saw himself deserted by all; he heard that Gregory VII was
already on the way to Germany to adjudge his cause. He resolved on
a reconciliation with the pope as the best way out of his troubles. He
started in the severe winter, when the rivers were almost frozen in
their beds, and crossed the snow-covered Alps, not as his

[1075-1077 a.d.]
predecessors with a formidable army, but as a penitent,
accompanied by his noble-minded wife, a few faithful servants, and
those placed under the ban with him. In Lombardy, in which a
strong opposition prevailed against Gregory’s innovations, he had
been offered means of resistance, but he rejected them, and
hastened to Canossa, the fortress of the powerful Countess Matilda
of Tuscany, a daughter of that Beatrice who had once caused Henry
III such anxiety. She was as devoted to Gregory VII as to an
ecclesiastical father, and now offered him her castle. Henry did not
come as an assailant, but as a supplicant.i
So picturesque and important was this pilgrimage that it has fallen
into proverb, and “going to Canossa” is a metaphor of humiliation.
The contrast between Henry IV’s beggar-like penance and the
manner in which his forefathers went into Italy and the manner in
which the popes received them, is vivid enough to merit a liberal
quotation from the old historian Lambert von Hersfeld,g a
contemporary of the event he describes.a
“GOING TO CANOSSA”: A CONTEMPORARY ACCOUNT
Henry IV arrived as he had been ordered, and
the castle being surrounded by three walls, he
was received in the circuit of the second wall,
which went round the castle, the whole of his followers remaining
outside, and there, having put down the ensigns of his dignity as a
king, and without any ornaments, having no longer any magnificent
wearing apparel, he stood with bare feet, fasting from morning until
evening, awaiting the sentence of the Roman pope. Thus he spent
his second, yea, his third day! Only on the fourth day was he led
before him, and after much talking to and fro, delivered from the
ban under the following conditions:
(1) That he should be present at any day or place the pope should
decide upon and, all the princes having been assembled for a
general meeting, find his way there to reply to the charges which

Henry IV
(Based on the effigy on his tomb)
were to be brought against him; the
pope meanwhile, if so it pleased him,
sitting on the judgment-seat, to
decide the matter. After this sentence
he was to keep the empire, were he
able to dispel the accusations, or he
was to lose it without anger, if, after
having been convicted, he should be
judged according to the laws of the
church unworthy of royal honours. But
whether he kept the realm or lost it,
he never on any account or at any
time should take revenge on any
human being for this humiliation.
(2) Till the day, however, when his
affair should be settled by lawful
instigation, he must not use any
apparel of kingly splendour, nor token
of kingly dignity, undertake nothing
bearing upon the organisation of the
state, ordinarily his right, nor decide
anything which ought to be valid.
(3) Except calling in the taxes
indispensable for the keep of himself and his own people, he was to
use no kingly or public moneys. As to all those who had sworn
allegiance to him, they were to be free and relieved of the thraldom
of the oath and of the duty to keep true to him before God and man.
(4) He must keep forever aloof from Ruotbert, bishop of Bamberg,
Andalrich von Cosheim, and the others by whose counsels he had
destroyed himself as well as his empire, and never again admit them
into his intimate companionship.
(5) Should he, after contestation of the accusations, remain at the
head of the empire, newly strengthened and powerful, he must
always be submissive to the pope and obey his command, and be on

his side to improve everything against the laws of the church, which
in his realm had taken root in consequence of bad habits, yea, do all
in his power to reach that goal.
(6) Finally, should he in the future act against one of these points,
the deliverance from the ban which had been so ardently longed for
would be considered as null and void, yea, he would be regarded as
convicted and having confessed, and no further hearing would be
granted to him to declare his innocence. As to the princes of the
empire being permitted to join their votes and so elect another king,
they might do so without being further examined, and were relieved
from all duties of allegiance.
The king accepted these conditions with joy and with the most
solemn assurances promised to fulfil them. However, there was little
confidence felt in his word, therefore the abbot of Cloniaca, who
declined to take the oath on account of his priestly vows, pledged
his troth before the eyes of the all-seeing God; the bishop of Zeits,
the bishop of Vercelli, the markgraf Azzo and the other princes took
oath, putting their hands on the bones of the saints, which were
presented to them, that the king would not be led away from his
purpose, neither through any trouble, nor through the change of
events.
Thus having been made free from excommunication the pope said
a high mass calling the king with the rest of the assistants. After
having offered the sacrifice of the sacrament, he said to the crowd
which was numerous around the altar, whilst holding in his hand the
body of Christ—the sacred bread: “Not long ago I have received
writings from you and your followers, wherein you accused me of
ascending the apostolic chair by the heresy of simony, and that
before receiving my episcopate and after its reception I have soiled
my life with some other crimes; which according to the statutes of
the canon forbid me to approach the holy sacraments. By the word
of many witnesses, worthy ones beyond a doubt, I might refute the
accusations; I speak of witnesses who know my whole life to the
very fullest from my early youth. I also speak of those who have

advanced my nomination to the holy see. You must not believe
though that I depend upon human rather than upon divine
testimony; to free each and all from this error, and that in the very
shortest time, the sacrament, of which I am about to partake, shall
be to me to-day a touchstone of my innocence. May the all-powerful
God by his decree speak me either free from even the suspicion of
the crime I am accused of, or make me die a sudden death if I am
guilty.”
These words and others he spoke, such solemn usage being
customary, and called upon the Lord to support him, he being the
most just of judges and the protector of innocence; then he partook
of the sacrament. Having partaken of it with the greatest calm, and
the multitude having raised a shout to the honour of God, which was
at the same time a homage to innocence, he turned, after silence
was restored, towards the king, saying:
“Do now, my son, if it pleases you, what you have seen me do.
The princes of Germany trouble us every day with their complaints;
they put upon your shoulders a great load of terrible crimes, on
account of which they deem that you should be kept away, and this
up to your very end, not only from all direction of public affairs, but
also from frequenting the church, and that you should be held aloof
from all intercourse in civil life. They also ask most pressingly that a
day may be appointed and audience given for a full canonical
investigation of the accusations they are going to bring forward
against you. You yourself know best that human judgment is
generally deceptive, and that in public lawsuits often the false
instead of the true is accepted, things being wrongly expounded;
one likes to listen to the speeches of eloquent men, speeches rich by
natural gifts, by the richness and charm of expressions, one likes to
listen to untruths garbed with the beauty of words—and you know,
too, that truth unassisted by eloquence is not considered. In order to
better your condition, have you not in your misfortunes most
ardently asked the protection of the chair of the apostle? In that
case do now what I advise you to do. If you know that you are
innocent, and are cognisant that your good name is treacherously

attacked, deliver the church of God from scandal and yourself from
the doubtful issue of the long strife in the shortest way possible, and
partake of the part of the body of the Lord that yet remains. You will
thus prove your innocence by the testimony of God and will shut
every mouth that speaks wrongly against you. Men in the future and
those knowing the real state of things, will be the most ardent
defenders of your innocence; the princes will reconcile themselves
with you, the empire will be given back, and all storms of war which
have troubled the realm for so long a time, will be quieted forever.”
Thereupon the king, dazed by the unexpected turn of the whole
affair, began to waver, to cast about for expedients, to take counsel
with his familiars away from the crowd, and full of fear to consider
what he must do and how to escape the necessity of so awful a trial.
Having gained courage, he began to give the pope as a pretext the
absence of the princes, of those princes at least who had shown him
unswerving fidelity during his misfortunes; and without whose
counsels he could not act; in the absence of his accusers, moreover,
as he said, any proof of innocence which he might furnish as to his
justification, before the few who were present, would be useless and
without avail before the incredulous. Consequently he urgently asked
the pope to keep the matter unchanged for the general assembly
and a public hearing, that he might openly refute his accusers; and
thus test the accusations as well as the accusers, who should
previously have been examined according to the laws of the church.
Under these conditions alone recognised by the princes of the
empire to be fair and just would he be able to exculpate himself.
The pope willingly granted him this request; after accomplishment
of the holy offices he invited the king for breakfast, then dismissed
him in the kindest manner possible, after having carefully told him
all he had to mind, and sent him with his blessing back to his own
people, who had remained outside of the castle. He had sent the
bishop Eppa of Zeits outside, to release those from the ban who had
held communication with the king whilst he had been

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Project Management A Managerial Approach 8th Edition Meredith Solutions Manual

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