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 Chapter 9
Corporate Valuation and Financial Planning
ANSWERS TO BEGINNING-OF-CHAPTER QUESTIONS

We like to use discussion questions along with relatively simple and easy to follow calculations
for our lectures. Unfortunately, forecasting is by its very nature relatively complex, and it simply
cannot be done in a realistic manner without using a spreadsheet. Accordingly, our primary
“question” for Chapter 9 is really a problem, but one that can be discussed. Therefore, we base
our lecture primarily on the BOC model and we use the class period to discuss forecasting and
Excel modeling. We cover the chapter in about 2 hours, and then our students work a case on
the subject later in the course.

9-1 The major components of the strategic plan include the firm’s purpose, the scope of its
operations, its specific (quantified) objectives, its operating strategies, its operating
plan, and its financial plan.
Engineers, economists, marketing experts, human resources people, and so on all
participate in strategic planning, and development of the plan is a primary function of the
senior executives. Regional and world economic conditions, technological changes,
competitors’ likely moves, supplies of resources, and the like must all be taken into
account, along with the firm’s own R&D activities.
The effects of all these forces, under alternative strategic plans, are analyzed by use of
forecasted financial statements. In essence, the financial statements are used to simulate
the company’s operations under different economic conditions and corporate strategic
plans.
Since the strategic plan is necessarily somewhat nebulous, it is sometimes neglected
in practice on the grounds that it is difficult to quantify. We can only note that if a
company doesn’t think about the direction in which its industry is going, it is likely to
end up in bankruptcy, as most bankruptcies occur because an inaccurate business plan.

9-2 a. The sales forecast is the primary driver of the financial plan. Forecasted sales
determine the amount of capacity needed, inventory and receivables levels, profits,
and capital requirements. If a company forecasts its sales incorrectly, this can be
disastrous, as Cisco and Lucent learned recently. We discuss sales forecasting in the
BOC model.
b. See the BOC model for a detailed explanation. Essentially, we take the prior year’s
financial statements and then change them to reflect (1) changes in sales and (2)
policies that will affect things like the amount of inventories carried to support a
given amount of sales.

Answers and Solutions: 9 - 1

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
 c. See the BOC model for a detailed explanation. Essentially, we project the assets that
will be required to support the forecasted level of sales, and we also project the
amount of funds that will be available from retained income and spontaneous sources
of funds. The difference is the AFN.
Generally, faster growth would mean the requirement for more assets. That
would reduce FCF and thus increase AFN. Of course, if the firm were extremely
profitable, then faster growth might produce enough extra profits to support that
growth, but that would be unusual. In our illustrative case, the higher the growth rate,
the greater the AFN and the smaller the FCF. Note, though, that since sales are
profitable, the more the firm sells, the higher its profits. Therefore, the faster the
growth rate, the larger is EPS and ROE. This result is shown in the model.

d. See the BOC model for a detailed explanation. Given the projected financial
statements, we can calculate various ratios, EPS, and FCF and then compare the
projected values with historical data and industry benchmarks. Various policies can
be considered, and their effects as revealed by the computer model can be analyzed.
A set of feasible policies that will produce the desired results, or perhaps the best
attainable results, will be adopted. Of course, that’s the easy part. The hard part is
operating the business so that the projected results will be realized.

9-3 The performance of the firm could be compared with the industry average. Also, as
shown in the model, we could see how the firm’s ROE, EPS, etc. would look if it could
get its operating ratios to the same level as the industry average.
Industry average data is also useful when preparing a business plan for a new
business. We could forecast sales, then forecast the financial statements based on
industry average date. The capital requirements (the amount of required debt and equity)
could be determined, and then the new firm could seek to raise the required funds. Many
new businesses fail because they don’t raise enough funds at the outset and are forced out
of business when they run out of cash. Forecasting as done in the model could head off
such disasters.

9-4 Managers are obviously concerned about forecast errors. The effects of such errors can
be analyzed by use of scenario and sensitivity analysis. Both types of analysis are
illustrated in the BOC model.

Answers and Solutions: 9 - 2

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
9-5 Economies of scale refer to situations where unit costs decline as sales increase. Lumpy
assets are assets that must be added in very large units, often resulting in excess capacity
immediately after they go on line and before sales can grow into them. Excess capacity
simply means that the firm could produce more than it is currently producing, in which
case sales can expand with very little increase in capital.
If economies of scale exist, then profits should rise rapidly with sales, so management
should take steps to increase volume. If assets are lumpy, then management will
probably do things like go to second and third shifts to avoid increasing plant and
equipment, or working out arrangements with other firms to sell some capacity until it is
needed. If excess capacity exists, then the marginal cost per unit will be relatively low,
so sales promotions and the like might be used to increase sales. In all of these situations,
management must be concerned with the long-run effects of actions. For example, before
air conditioning was widely used, electric utilities had excess capacity in the summer.
Then they promoted air conditioning through advertising and low summer rates. Demand
increased so much that the peak load was shifted from winter (for heating) to summer.
This resulted in capacity shortages and forced companies to expand their generating
capacity.

9-6 The AFN equation is useful in a pedagogic sense to get an idea of how sales increases
lead to required asset increases, and hence to a need for new capital. The equation is not
used in practice today because spreadsheet models provide so much more information
and are relatively easy to construct.

AFN = (A*/S0)∆S - d(L*/S0)∆S - MS1(RR).

A* is assets that increase at the same rate as sales, L* is liabilities that increase
spontaneously at the same rate as sales, S0 is last year’s sales, S1 is forecasted sales for
the coming year, and ∆S is the forecasted increase in sales, M is the profit margin, and
RR is the percentage of earnings the firm retains.
The formula is simple and easy to use, but it assumes a constant relationship between
sales, assets, and liabilities, and a constant profit margin and retention ratio. As indicated
above, the formula is not used in practice because the financial statement approach is so
much better.

9-7 We could set the AFN equation up and use it to get an idea of the maximum sales growth
rate without external capital. However, we can use the model go get a better
approximation.

Answers and Solutions: 9 - 3

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
 ANSWERS TO END-OF-CHAPTER QUESTIONS

9-1 a. The operating plan provides detailed implementation guidance designed to

accomplish corporate objectives. It details who is responsible for what particular
function, and when specific tasks are to be accomplished. The financial plan details
the financial aspects of the corporation’s operating plan.

b. Spontaneous liabilities are the first source of expansion capital as these accounts
increase automatically through normal business operations. Examples of spontaneous
liabilities include accounts payable, accrued wages, and accrued taxes. No interest is
normally paid on these spontaneous liabilities; however, their amounts are limited due
to credit terms, contracts with workers, and tax laws. Therefore, spontaneous
liabilities are used to the extent possible, but there is little flexibility in their usage.
Note that notes payable, although a current liability account, is not a spontaneous
liability since an increase in notes payable requires a specific action between the firm
and a creditor. A firm’s profit margin is calculated as net income divided by sales.
The higher a firm’s profit margin, the larger the firm’s net income available to
support increases in its assets. Consequently, the firm’s need for external financing
will be lower. A firm’s payout ratio is calculated as dividends per share divided by
earnings per share. The less of its income a company distributes as dividends, the
larger its addition to retained earnings. Therefore, the firm’s need for external
financing will be lower.

Answers and Solutions: 9 - 4

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
 c. Additional funds needed (AFN) are those funds required from external sources to
increase the firm’s assets to support a sales increase. A sales increase will normally
require an increase in assets. However, some of this increase is usually offset by a
spontaneous increase in liabilities as well as by earnings retained in the firm. Those
funds that are required but not generated internally must be obtained from external
sources. Although most firms’ forecasts of capital requirements are made by
developing forecasted financial statements, the AFN formula is sometimes used as an
approximation of financial requirements. It is written as follows:

Additional Required Increase in Increase in

funds = asset – spontaneous – retained
needed increase liab. earnings
AFN = (A0*/S0)∆S – (L0*/S0)∆S – MS1(1 – Payout rate)

Capital intensity is the dollar amount of assets required to produce a dollar of sales.
The capital intensity ratio is the reciprocal of the total assets turnover ratio. It is
calculated as Assets/Sales. The sustainable growth rate is the maximum growth rate
the firm could achieve without having to raise any external capital. A firm’s self-
supporting growth rate can be calculated as follows:

M(1 − POR )(S 0 )

Self-supporting g =
A 0 * − L 0 * − M(1 − POR )(S 0 )

d. The forecasted financial statement approach using percent of sales develops a

complete set of financial statements that can be used to calculate projected EPS, free
cash flow, various other financial ratios, and a projected stock price. This approach
first forecasts sales, the required assets, the funds that will be spontaneously
generated, and then net income, dividends, and retained earnings.

e. A firm has excess capacity when its sales can grow before it must add fixed assets
such as plant and equipment. “Lumpy” assets are those assets that cannot be acquired
smoothly, but require large, discrete additions. For example, an electric utility that is
operating at full capacity cannot add a small amount of generating capacity, at least
not economically. When economies of scale occur, the ratios are likely to change
over time as the size of the firm increases. For example, retailers often need to
maintain base stocks of different inventory items, even if current sales are quite low.
As sales expand, inventories may then grow less rapidly than sales, so the ratio of
inventory to sales declines.

Answers and Solutions: 9 - 5

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
 f. Full capacity sales are calculated as actual sales divided by the percentage of capacity
at which fixed assets were operated. The target fixed assets to sales ratio is calculated
as actual fixed assets divided by full capacity sales. The required level of sales is
calculated as the target fixed assets to sales ratio multiplied by the projected sales
level.

9-2 Accounts payable, accrued wages, and accrued taxes increase spontaneously. Retained
earnings may or may not increase, depending on profitability and dividend payout policy.

9-3 The equation gives good forecasts of financial requirements if the ratios A0*/S and L0*/S,
the profit margin, and payout ratio are stable. This equation assumes that ratios are
constant. This would not occur if there were economies of scale, excess capacity, or
when lumpy assets are required. Otherwise, the forecasted financial statement method
should be used.

9-4 The five key factors that impact a firm’s external financing requirements are: Sales
growth, capital intensity, spontaneous liabilities-to-sales ratio, profit margin, and payout
ratio.

9-5 The self-supporting growth rate is the maximum rate a firm can achieve without having
to raise external capital. The self-supporting growth rate is calculated using the AFN
equation, setting AFN equal to zero, replacing the term ΔS with the term g × S0, and
replacing the term S1 with S0 × (1 + g). Once the AFN equation is rewritten with these
modifications, you can now solve for g. This “g” obtained is the firm’s self-supporting
growth rate.

9-6 a. +.

b. +. It reduces spontaneous funds; however, it may eventually increase retained

earnings.

c. +.

d. +.

e. –.

f. –.

Answers and Solutions: 9 - 6

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
 SOLUTIONS TO END-OF-CHAPTER PROBLEMS

9-1 AFN = (A0*/S0)∆S – (L0*/S0)∆S – (PM)(S1)(1 – payout rate)

 $5,000,000   $900,000 
=  $1,200,000 –   $1,200,000 – 0.06($9,200,000)(1 – 0.4)
 $8,000,000   $8,000,000 
= (0.625)($1,200,000) – (0.1125)($1,200,000) – ($552,000)(0.6)
= $750,000 – $135,000 – $331,200
= $283,800.

 $7,000,000   $900,000 
9-2 AFN =   $1,200,000 –   $1,200,000 – 0.06($9,200,000)(1 – 0.4)
 $8,000,000   $8,000,000 
= (0.875)($1,200,000) – $135,000 – $331,200
= $1,050,000 – $466,200
= $583,800.

The capital intensity ratio is measured as A0*/S0. This firm’s capital intensity ratio is
higher than that of the firm in Problem 9-1; therefore, this firm is more capital
intensive—it would require a large increase in total assets to support the increase in
sales.

9-3 AFN = (0.625)($1,200,000) – (0.1125)($1,200,000) – 0.06($9,200,000)(1 – 0)

= $750,000 – $135,000 – $552,000
= $63,000.

Under this scenario the company would have a higher level of retained earnings
which would reduce the amount of additional funds needed.

Answers and Solutions: 9 - 7

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
9-4 S0 = $5,000,000; A0* = $2,500,000; CL = $700,000; NP = $300,000; AP = $500,000;
Accruals = $200,000; M = 7%; payout ratio = 80%; A0*/S0 = 0.50; L0* = (AP +
Accruals)/S0 = ($500,000 + $200,000)/$5,000,000 = 0.14.

AFN = (A0*/S0)∆S – (L0*/S0)∆S – (M)(S1)(1 – payout rate)

= (0.50)∆S – (0.14) ∆S – (0.07)(S1)(1 – 0.8)
= (0.50)∆S – (0.14)∆S – (0.014)S1
= (0.36)∆S – (0.014)S1
= 0.36(S1 – S0) – (0.014)S1
= 0.36(S1 – $5,000,000) – (0.014)S1
= 0.36S1 – $1,800,000 – 0.014S1
$1,800,000 = 0.346S1
$5,202,312 = S1.

Sales can increase by $5,202,312 – $5,000,000 = $202,312 without additional funds

being needed.

9-5 a. Total liab. = Accounts + Long-term + Common + Retained

and equity payable debt stock earnings
$2,170,000 = $560,000 + Long-term debt + $625,000 + $395,000

Long-term debt = $590,000.

Total liab. = Accounts payable + Long-term debt

= $560,000 + $590,000 = $1,150,000.

b. Assets/Sales (A0*/S0) = $2,170,000/$3,500,000 = 62%.

L0*/Sales = $560,000/$3,500,000 = 16%.
2014 Sales = (1.35)($3,500,000) = $4,725,000.

AFN = (A0*/S0)(∆S) – (L0*/S0)(∆S) – (M)(S1)(1 – payout) – New common stock

= (0.62)($1,225,000) - (0.16)($1,225,000) - (0.05)($4,725,000)(0.55) - $195,000
= $759,500 - $196,000 - $129,937 - $195,000 = $238,563.

Alternatively, using the forecasted financial statement method:

Answers and Solutions: 9 - 8

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
 Forecast Additions
basis is % (New
of 2015 Financing and
2015 Sales ΔRE) 2016
Sales $3.500,000 $4,725,000

Total assets $2,170,000 0.62 $2,929,500

Current liabilities $ 560,000 0.16 $ 756,000

Preliminary long-term debt 590,000 590,000
Total liabilities $1,150,000 $1,346,000
Common stock 625,000 195,000* 820,000
Retained earnings 395,000 129,937** 524,937
Total common equity $1,020,000 $1,344,937
Preliminary total liabilities and equity $2,170,000 $2,690,937

AFN = Total assets – Preliminary total liabilities & equity = S2,929,500 – 2,690,937 = $238,563
AFN = Additional required long-term debt =$238,563

*Given in problem that firm will sell new common stock = $195,000.
**PM = 5%; Payout = 45%; NI2014 = $3,500,000 x 1.35 x 0.05 = $236,250.
Addition to RE = NI x (1 - Payout) = $236,250 x 0.33 = $129,937.

Answers and Solutions: 9 - 9

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
9-6 Cash $ 100.00 × 2.0 = $ 200.00
Accounts receivable 200.00 × 2.0 = 400.00
Inventories 200.00 × 2.0 = 400.00
Net fixed assets* 500.00 × 1.0 = 500.00
Total assets $1,000.00 $1,500.00

Accounts payable $ 50.00 × 2 = $ 100.00

Accruals 50.00 × 2 = 100.00
Notes payable 150.00 + 0 = 150.00
Long-term debt 400.00 + 0 = 400.00
Common stock 100.00 + 0 = 100.00
Retained earnings** 250.00 + 40 = 290.00
Total liabilities
and equity $1,000.00 $1,140.00
AFN = $ 360.00

*Capacity sales = Sales/0.5 = $1,000/0.5 = $2,000 with respect to existing fixed assets.

Target FA/S ratio = $500/$2,000 = 0.25.

Target FA = 0.25($2,000) = $500 = Required FA. Since the firm currently has $500 of
fixed assets, no new fixed assets will be required.

**Addition to RE = (M)(S1)(1 – Payout ratio) = 0.05($2,000)(0.4) = $40.

9-7 a. AFN = (A0*/S0)(∆S) – (L0*/S0)(∆S) – (M)(S1)(1 – payout)

$122.5 $17.5 $10.5
= ($70) – ($70) – ($420)(0.6) = $13.44 million.
$350 $350 $350

M (1 − POR )(S0 )
b. Self-supporting g =
A 0 * − L 0 * − M (1 − POR )(S0 )

0.03(1 − 0.40)(350)
=
122.5 − 17.5 − .03(1 − .4)(350)

= 6.38%

Answers and Solutions: 9 - 10

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
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 c. Upton Computers
Pro Forma Balance Sheet
December 31, 2016
(Millions of Dollars)

Forecasted sales = $420 million

Profit margin = M = $10.5/$350 = 3%.
Payout ratio = $4.2/$10.5 = 40%.
NI = Forecasted sales × Profit margin = $350 × 1.2 × 0.03 = $12.6.
Dividends = NI(Payout ratio) = $12.6(40%) = $5.04.
Addition to RE = NI – DIV = $12.6 – $5.04 = $7.56.

Forecast
Basis:
Percent of 2016 Pro
forecasted 2016 Pro Forma after
2015 sales Additions Forma Financing Financing
Cash $ 3.5 0.0100 $ 4.20 $ 4.20
Receivables 26.0 0.0743 31.20 31.20
Inventories 58.0 0.1657 69.60 69.60
Total current assets $ 87.5 $105.00 $105.00
Net fixed assets 35.0 0.100 42.00 42.00
Total assets $122.5 $147.00 $147.00

Accounts payable $ 9.0 0.0257 $ 10.80 $ 10.80

Notes payable 18.0 18.00 18.00
Line of credit 0.0 0.00 +13.44 +13.44
Accruals 8.5 0.0243 10.20 10.20
Total current liabilities $ 35.5 $ 39.00 $ 52.44
Mortgage loan 6.0 6.00 6.00
Common stock 15.0 15.00 15.00
Retained earnings 66.0 7.56 73.56 73.56
Total liab. and equity $122.5 $133.56 $147.00

Deficit = $ 13.44

Answers and Solutions: 9 - 11

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
9-8 Stevens Textiles
Pro Forma Income Statement
December 31, 2016
(Thousands of Dollars)

a.
2016
Forecast 2016
2015 Basis Pro Forma
Sales $36,000 1.15 × Sales15 $41,400
Operating costs 32,440 0.9011 × Sales16 37,306
EBIT $ 3,560 $ 4,094
Interest 460 0.10 × Debt15 560
EBT $ 3,100 $ 3,534
Taxes (40%) 1,240 1,414
Net income $ 1,860 $ 2,120

Dividends (45%) $ 837 $ 954

Addition to RE $ 1,023 $ 1,166

Answers and Solutions: 9 - 12

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
 Stevens Textiles
Pro Forma Balance Sheet
December 31, 2016
(Thousands of Dollars)
Forecast 2016 Pro
Basis % 2016 Pro 2016 Forma after
2015 2016 Sales Additions Forma Financing Financing
Cash $ 1,080 0.0300 $ 1,242 $ 1,242
Accts receivable 6,480 0.1800 7,452 7,452
Inventories 9,000 0.2500 10,350 10,350
Total curr. assets $16,560 $19,044 $19,044
Fixed assets 12,600 0.3500 14,490 14,490
Total assets $29,160 $33,534 $33,534

Accounts payable $ 4,320 0.1200 $ 4,968 $ 4,968

Accruals 2,880 0.0800 3,312 3,312
Line of credit 0 0 +2,128 +2,128
Notes payable 2,100 2,100 +2,128
Total curr. liabilities $ 9,300 $10,380 $12,508
Long-term debt 3,500 3,500 3,500
Total debt $12,800 $13,880 $16,008
Common stock 3,500 3,500 3,500
Retained earnings 12,860 1,166* 14,026 14,026
Total liab. and equity $29,160 $31,406 $33,534
Deficit = $ 2,128

*From income statement.

b. Line of credit = $2,128 (thousands of $).

c. If debt is added throughout the year rather than only at the end of the year, interest
expense will be higher than in the projections of part a. This would cause net income to
be lower, the addition to retained earnings to be higher, and the AFN to be higher. Thus,
you would have to add more than $2,128 in new debt. This is called the financing
feedback effect.

Answers and Solutions: 9 - 13

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
9-9 Garlington Technologies Inc.
Pro Forma Income Statement
December 31, 2016

Forecast Pro Forma

2015 Basis 2016
Sales $3,600,000 1.10 × Sales15 $3,960,000
Operating costs 3,279,720 0.911 × Sales16 3,607,692
EBIT $ 320,280 $ 352,308
Interest 18,280 0.13 × Debt15 20,280
EBT $ 302,000 $ 332,028
Taxes (40%) 120,800 132,811
Net income $ 181,200 $ 199,217

Dividends: $ 108,000 Set by management $ 112,000

Addition to RE: $ 73,200 $ 87,217

Garlington Technologies Inc.

Pro Forma Balance Statement
December 31, 2016
Forecast
Basis % AFN With AFN
2015 2016 Sales Additions 2016 Effects 2016
Cash $ 180,000 0.05 $ 198,000 $ 198,000
Receivables 360,000 0.10 396,000 396,000
Inventories 720,000 0.20 792,000 792,000
Total curr. assets $1,260,000 $1,386,000 $1,386,000
Fixed assets 1,440,000 0.40 1,584,000 1,584,000
Total assets $2,700,000 $2,970,000 $2,970,000

Accounts payable $ 360,000 0.10 $ 396,000 $ 396,000

Notes payable 156,000 156,000 156,000
Line of credit 0 0 +128,783 128,783
Accruals 180,000 0.05 198,000 198,000
Total curr. liabilities $ 696,000 $ 750,000 $ 878,783
Common stock 1,800,000 1,800,000 1,800,000
Retained earnings 204,000 87,217* 291,217 291,217
Total liab.
and equity $2,700,000 $2,841,217 $2,970,000

Deficit = $ 128,783

*See income statement.

Answers and Solutions: 9 - 14

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website, in whole or in part.
 SOLUTION TO SPREADSHEET PROBLEMS

9-10 The detailed solution is available in the file Ch09 P10 Build a Model Solution.xlsx at the
textbook’s Web site.

9-11 The detailed solution for is available in the file Ch09 P11 Build a Model Solution.xlsx at
the textbook’s Web site.

Answers and Solutions: 9 - 15

© 2016 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible
website, in whole or in part.
Exploring the Variety of Random
Documents with Different Content
 ENGLISH ROMANESQUE DETAIL

CHAPTER VI

EARLY MEDIÆVAL OR ROMANESQUE ARCHITECTURE

Romanesque is the term applied to the architectural style of the early

Middle Ages which prevailed from 1000 to 1200. It manifests considerable
variety, according to locality, but at the same time a distinct character
common to all branches, in that it embodied a return to certain Roman
principles of construction, modified more or less by early Christian and
Byzantine methods. It represents a stage in the evolution of Gothic
architecture.
In such localities as the North of Italy and Provence, where Roman
remains were plentiful, the Romanesque architecture made free use of
antique columns and details. But in the Rhine Provinces, the North of
France, and England, the lack of such materials and of skilful workmen
encouraged the substitution of the pier for the column and caused the latter
to be of simpler and in many cases ruder design. Necessity, in fact,
compelled the adoption of new forms. Moreover, the desire of the Church to
build permanently led to the use of stone in place of inflammable timber,
especially in the building of the roofs. Accordingly, the use of vaulting was
revived.
It was out of the application of these necessities of construction that the
Romanesque style was evolved.
Chevêt.—The basilica plan became gradually modified. The nave and
aisles were retained, but the chancel, with or without an apse, was carried
farther back and the length of the transepts prolonged, so that in time the
cruciform plan prevailed and acquired a symbolic significance. A special
feature, gradually introduced, was the chevêt which formed an ambulatory
around the sides of the choir and the semi-circle of the apse, and could be
divided up into chapels dedicated to individual saints.
Vaulting.—In the earlier examples the nave was covered with a barrel-
vault, the thrust of which was sustained in the first place by strengthening
the nave walls by the omission of clerestory windows and, secondly, by the
weight of barrel-vaults over the side aisles, their thrust, in turn, being
sustained by thickening the outer walls and keeping the windows small. As
a further reinforcement of the walls, projecting piers of masonry were built
into them, which in time became features of the external decoration.
Gradually the barrel-vault was superseded by groin vaults; at first in the
aisles and later over the nave as well. The groin vaulting over the aisles
represented, as in Roman times, the intersection of two semicircular vaults.
But since the nave was usually twice the width of the aisles, each of the
nave bays would be oblong in plan. Accordingly two of these were included
in one square bay, which took in two of the nave arches and corresponded
to two aisle bays.
In some instances a shaft was carried up from the intervening pier on
each side of the nave, supporting an intermediate transverse arch, so that the
vaulting became sexpartite, or divided into six compartments. Whether the
bay were six part or four part, the curve of all the groins—longitudinal,
transverse, and diagonal—were semicircular. Accordingly, since the
diagonals had a longer diameter, their curves rose above the others. This
variation was met by giving a concave or domelike surface to each of the
compartments, so that the workmen were able to adjust the stones to the
differences of the curves.
Rib-vaulting.—While this was possible in the actual operation of
placing the stones, it would have needed exceedingly delicate calculation to
build timber centering adjusted in advance to these domelike surfaces.
Moreover, the ponderousness of the dome nave vaulting had made the use
of timber centering extremely costly, even where timber was plentiful;
while in districts sparsely supplied the cost had been prohibitive.
Consequently, the ingenuity of the builders devised a system of construction
that reduced the need of timber centering to a minimum. This was the
system known as rib-vaulting. Briefly, it consisted in spanning the space—
longitudinally, transversely, and diagonally—with preliminary arches of
masonry, thus forming a skeleton frame composed of what are known as
ribs. Each of these ribs, being comparatively light, could be constructed on
a single moveable and expansible piece of centering, called a cerce. When
the ribs had set, they offered sufficient support to hold up the doming of the
compartments while it was being laid.
To some extent this method of construction had been anticipated by the
Romans who in certain instances built preliminary transverse ribs to act as
permanent centerings of the vault, in the masonry of which the ribs were
buried from sight. The reintroduction of this device and its further
development, as above described, originated with the Lombard architects.
This has been definitely determined by the English architect, Arthur
Kingsley Porter, who has proved that the adoption of the system was
prompted by the scarcity of wood in this locality. From Italy it spread to
France, where it made its appearance in the Ile de France about 1100 or
some 60 years after its adoption in Lombardy. It was at first employed
purely as a necessary constructive expedient. Later its æsthetic possibilities
came to be recognised, and the rib was developed by the Gothic architects
into an element of great beauty, one of the characteristic features of the
Gothic style.
Meanwhile, the use of vaulting by the Romanesque architects affected
the character of the exterior. Mention has already been made of the masonry
piers and the massive outside walls, pierced with small windows. For the
further support of the vaulting-thrust towers were freely used. While in Italy
the campanile was frequently detached from the main edifice, the towers in
western and northern Romanesque churches became elements of
prominence in the design. A pair frequently flanked the apse or four rose in
the angles of the transepts and choir, while another pair, sometimes
connected by a gallery, flanked the west end. A tower or dome might also
surmount the crossing of the nave and transepts. The towers were square,
polygonal, or circular, divided into stories which were pierced with
windows or embellished with arcades. They were crowned, like the nave
and aisles, with an exterior sloping roof.
Arcading.—The arcading, which now became a favourite method of
embellishing walls, was of two kinds; either being open and permitting a
passageway at the back of them, or with columns and arch mouldings
attached to the wall, in the manner known as blind arcading. Another
feature for strengthening as well as embellishing the wall was the use of
masonry piers, which, resting on a plinth, projected from the wall only as
far as the width of the cornice.
The exteriors, in fact, were no longer, as in early Christian churches,
plain and almost barn-like, but assumed a varied picturesqueness that,
however, was distinguished by a fine structural unity.
The arch, whether used in interior or exterior arcading or for the tops of
doors and windows, was round; usually semicircular but occasionally
stilted, the ends of the semicircle, that is to say, being raised on
perpendicular lines. The later introduction of the pointed arch, it may be
added, marks the transition from Romanesque to Gothic.
A characteristic development of the Romanesque style is the treatment of
the doors and windows. The jambs or sides were carried back in a series of
angular recesses, which were filled with small columns, whose abaci
frequently united in a continuous moulding. In many cases the angular
recesses of the jambs were prolonged around the arch.
The shafts of columns were decorated with fluting, which might be
perpendicular, spiral, or barred like trellis-work. The capitals, except when
antique Corinthian or Ionic columns were utilised, display a variety of
embellishments, sometimes influenced by Byzantine examples, at other
times representing an original working out of foliage motives, often rude in
treatment, but, especially in the German work, vigorously decorative.
In the nave arcading, that is to say the series of arches on each side of the
nave, the supports consisted of square piers, to the faces of which columns
were attached. From two of them sprang the arches; a third supported the
vaulting of the aisles, while a fourth was run up to a higher level to carry
the vaulting of the nave.

Italian Romanesque.—Since the Romanesque style was coloured by

the locality in which it appeared, it is necessary to study examples of it as
they are found respectively in Italy, France, the Rhine Provinces, Spain, and
England.
The Italian examples are conveniently subdivided into those of Northern,
Central, and Southern Italy, or, more specifically, into the examples found
in the districts north of the River Po, between the Po and the Tiber, and
south of the latter. Of these the northern, to be considered later, are the most
important, since they show, as we have noted, a more adventurous spirit in
the matter of construction.
Central Italy.—On the other hand, the builders of Central and
Southern Italy still followed the simple basilican plan and retained the
wooden roofs and, in consequence, clerestory windows. They raised,
however, in many cases the level of the choir and placed a crypt chamber
beneath it; which sometimes, as in S. Miniato, Florence, is open to the
nave. But their inventiveness was displayed rather in the details of
decoration. Central Italy being rich in marbles, the use of this material for
embellishing the exterior and the interior with bands and geometric designs
was carried to such a perfection as virtually to constitute a style. The most
beautiful example is that of S. Miniato, where, too, the open woodwork of
the roof has been restored to its original colouring of gold, green, blue, and
red.
Another notable example of this developed style of decoration is
presented at Pisa, in the group of buildings comprising the Cathedral,
Campanile, and Baptistry. Here the façades are embellished—one might
almost say composed, for the embellishment is applied so constructionally
—with tiers of blind arcades or of open arcades of red and white marble.
Those of the Baptistry received in the fifteenth century additions of Gothic
canopies and traceries, but the front of the Cathedral and the circular
Campanile retain their original character. The Baptistry, also circular in
plan, is crowned by an outer hemispherical dome, through which penetrates
a conical dome, which in the interior is supported on four piers and eight
columns. The influence of Byzantine workmen is seen here as well as in the
dome which crowns the crossing of the Cathedral. The transepts of the latter
are prolonged beyond the basilica plan and terminate in apses.
The Campanile, which comprises eight stories embellished with
arcading, is known as “The Leaning Tower,” since it inclines from the
perpendicular about 13 feet in a height of 179, the greatest inclination being
in the ground story, after which there is a slight recovery toward the
perpendicular. It was begun in 1174 and completed in 1350. Vasari, the
historian of Italian artists, writing some 200 years later, ascribes this lean to
a settlement of the foundations. His explanation, though occasionally
disputed, had been generally accepted, until the investigations of Professor
William H. Goodyear, in 1910, established the fact that the inclination was
intentional and provided for from the start of the work.
The tower is constructed of an exterior and an interior cylinder of
masonry, the space between them being occupied by a spiral staircase. The
steps of the latter were individually measured by Professor Goodyear, who
has set forth the results in a Bulletin of the Brooklyn Institute of Arts and
Sciences (Jan. 21, 1911). Briefly, they show that the treads of the steps vary
in height and that they incline sometimes toward the inner wall, sometimes
toward the outer. In this way they tend to create a balance of strains on the
whole structure, which is further secured by increasing the strength of the
inner walls, where the inclination is inward. That the careful calculation
involved in this was not due to an afterthought or the necessity of
remedying the effects of a settlement is proved by the fact that the
inclination begins at the lowest step.
Why then was this design adopted? Professor Goodyear furnishes the
answer in two subsequent Bulletins. Reduced to briefest terms it is this: The
Pisan Baptistry also has an inclination from the normal, both perpendicular
and horizontal. Thus, in the south façade there is an inclination in the
horizontal lines of 2 feet 2 inches toward the choir. Meanwhile, the vertical
lines of the west façade are perpendicular to this slope and, consequently,
the front inclines inward toward the nave. And these are only instances of a
number of asymmetries that occur throughout the cathedral, all of which are
proved to have been intentional in the original design.
Further, the asymmetries at Pisa bear a close analogy to the numberless
asymmetries that appear in S. Mark’s, Venice. The latter was built by
Byzantine workmen, who therein followed the Oriental and the Hellenic
dislike of formal mathematical regularity; and it is the Byzantine tradition
again which in this respect, as in other details of decoration, domes and so
forth, influenced the Romanesque group of buildings at Pisa. The order in
which they were erected is, the Cathedral, Baptistry, and Campanile; so that
in the Leaning Tower the architects merely carried the principle of
asymmetry to an extreme pitch.
The influence of Pisa is found in S. Michele and S. Martino in Lucca,
and in the Cathedral of Pistoia.

South Italy.—The most important Southern examples are found in

Sicily, which in the tenth century was overrun by the Saracens, who in the
following century were routed by the Normans. Consequently, the
Saracenic influence is mingled with the Byzantine in the Cathedral of
Monreale, near Palermo. The plan is basilican, with apses at the eastern
ends of the nave and aisles. The choir is raised. The arches of the nave are
pointed but not recessed, and are supported on columns, with Byzantine
capitals. The aisle walls have a dado of white marble, twelve feet high,
inlaid with borders, composed of porphyry, while the arches and clerestory
of the nave are embellished with mosaics of biblical subjects, framed in
arabesque borders. Of a sombre richness of colour, they display the
Byzantine characteristic of severity of design, and impart to the interior a
solemn grandeur.

North Italy.—It is in Northern Italy, particularly in the Lombard

churches, that the constructional development is most marked. For, while
the plan remained basilican, only occasionally showing well-defined
transepts, the architects devoted their energies to the problem of vaulting. A
notable instance is San Ambrogio, Milan, which is an early example of the
use of ribs in vaulting. The original church, erected in the ninth century, had
wooden roofs; but in the rebuilding the nave was divided into four square
bays, and immense piers were constructed to carry the diagonal, transverse,
and longitudinal ribs.[6] Of corresponding massiveness are the transverse
ribs, while to support the strain on the longitudinal ribs intermediate piers
were introduced with an upper and a lower tier of double arches. These
open into the two stories of the groin-vaulted aisles, which are given this
treatment in order to act as buttresses to the thrust of the nave vaults. This
compelled the omission of clerestory windows, thus adding to the
sombreness of effect. Indeed the whole suggestion is one of ponderousness.
It is the work of men experimenting with a new method of construction and
intent for the present on achieving stability. The combination of the latter
with dignity of height and the grace of lightness was yet to be developed in
the Gothic treatment of the ribs.
The west end is approached by a narthex, opening into an arcaded
atrium.
In the external decoration of the triple apse of the east end appears the
rudimentary principle of the open arcade. The walls above the semi-dome
and beneath the wooden exterior roof are crowned with a cornice,
composed of arches supported upon corbels, the space between each being
penetrated with a niche. This produces a series of deep shadows, in contrast
with which the actual construction of the corbels assumes a lightness of
effect. It was the preliminary step to the substitution of small detached
columns for the corbels and the development of external arcading.
The open arcading in its full development appears in the west façade of
S. Michele, Pavia, where it serves its characteristic purpose of
constructively lightening the effect of the cornice of the roof. In this
instance, as in many of the Lombard façades, the nave and aisles are
included in a single gable, their interior separation being marked upon the
exterior by masonry piers. Into this façade also, as in the older part of the
exterior of San Ambrogio, are set pieces of earlier sculptured ornament.
These exhibit a strange mingling of grotesque animals with Scandinavian
interlaces and Byzantine features—a notable fact, since they correspond
with the sculptured ornament found on some of the Rhenish churches. This
suggests that Lombard workmen were employed in Germany and that they
brought back with them some of the German taste for symbolism in
ornament.
In the west front of the Cathedral at Piacenza, we find the same use of
single gable and masonry piers, but the cornice arcade is supplemented by
two horizontal bands, that mark the division of the aisles into two stories.
Moreover, each of the three entrances is embellished with a two storied
porch, supported on columns that rest on recumbent lions. Over the nave
porch the wall is penetrated by a characteristically Romanesque feature—a
rose or wheel window. A comparison of this façade with the elaborate ones
of Central Italy illustrates the preference of the Lombard architects for
organic disposition of decoration rather than decoration for the sake of
decoration.
An important feature of North Italy is the Campanile. Intended, it is
supposed, as a symbol of power, it is usually detached from the church, and
square in plan. The walls are simply treated, being reinforced often with
masonry piers, but interrupted with as few windows as possible, while the
top is marked by one or two stories of arcaded windows and is crowned
with a pyramidal or conical roof.

FRENCH ROMANESQUE

The map of France at the end of the tenth century shows the Royal
Domain, the Ile de France, a dense forest with Orleans, the city of learning,
at one end, and at the other, Paris, the city of the future—hemmed in on all
sides by counties and duchies over which the Capetian King held little more
than nominal suzerainty. For the purpose of architectural study these
territories may be divided into north and south, on a line with the River
Loire. Thus, to the north belong the Ile de France, Normandy, and Brittany;
to the south, Provence, Aquitaine, Anjou, and Burgundy.
Everywhere the builders were intent upon the problem of vaulting; but
were influenced in the south by local conditions. In Provence, for example,
the seat of Roman civilisation, not only does classical influence appear in
the details, but the vaulting is of the old Roman kind. Notre Dame,
Avignon, is a well-known instance. And the barrel-vaulting was continued
throughout the neighbouring Duchy of Aquitaine. Here, however, another
influence intervened. The district had close commercial relations with
Venice, Ravenna, and Byzantium, and it is reflected in the domical vaulting
of many of the churches.
S. Front, Perigeux, for example, resembles S. Mark’s, Venice, in having
the plan of a Greek cross, surmounted by five pendentives. The arches,
however, are pointed; of great depth, resting on piers, pierced with
passages. In the cathedral of the neighbouring city, Angoulême, a Latin
cross is substituted for the Greek in plan. The aisleless nave is surmounted
by three stone domes, roofed on the exterior. Over the crossing rises another
dome, visible outside, which is raised upon a drum that is pierced with
pointed windows, disposed in pairs. The southern transept is still crowned
with a tower, its fellow to the north having been destroyed in 1568.
 This building served as a model for the Abbey of Fontevrault in Anjou.
In Burgundy the most renowned of the numerous monastic
establishments was the Benedictine Abbey of Cluny. Until the building of
the present S. Peter’s, its abbey church was the largest and most
magnificent in Christendom. The plan was a basilica with double aisles, the
east end terminating in a chevêt (shě-vay´); that is to say, an apse
surrounded by a circular aisle, divided into chapels; in this case five in
number. The nave was arcaded with pointed arches and spanned by an
immense barrel vault. Groined vaulting, on the other hand, is supposed to
have covered the aisles.
Groined vaulting takes the place of barrel-vaulting in the nave of the
Church of Vézelay, and was also used in the ante-chapel, erected some
thirty years later. But by this time the builders, in order to reduce the thrust,
adopted a pointed section for the ribs—the first instance in France of the
pointed groined vault, which was successfully developed later by the Gothic
architects.
It is to be noted that the early vaulting, erected by the Clunisian
architects, compelled the abandonment of the clerestory windows. The
thrust of the great barrel vault of the nave was sustained either by high side
aisles with either transverse or groined vaults over the bays, or by barrel
vaults over the aisles, which in turn were supported by the massive outer
walls. For the use of the flying buttress had not yet been adopted.
Meanwhile, the northern climate demanded the additional light provided
by a clerestory, and the architects of Normandy applied themselves to the
problem. It was to be solved later in Gothic architecture by the use of
pointed groin vaulting, but, pending this discovery, a method of vaulting
was employed which is known as sexpartite. For the square bay was crossed
in the centre by another transverse arch, which, when cut by the two
diagonals, produced a plan of six parts. This, however, necessitated two
narrow skew vaults, meeting in the centre, which was awkward in
appearance. The method is illustrated in S. Etienne, the great church of the
Abbaye-aux-hommes and La Trinité of the Abbaye-aux-Dames, both in
Caen. These and other churches of Normandy such as the Abbey church of
Mont-St. Michel, are characterised by an adventurous spirit as well as logic
of design, marking a distinct progress toward the Gothic.
 ENGLISH ROMANESQUE OR NORMAN

The audacity and resourcefulness of the Norman builders found

extensive opportunity after the conquest of England. But few remains
survive of Anglo-Saxon architecture, and they suggest that the buildings
were of a rude kind. They were constructed of rubble work, reinforced with
engaged piers and ashlar masonry at the corners, arranged in what is called
“long and short” courses. The columns were short, stumpy cylinders
crowned with one or two square blocks, and the details of doorways and
windows were roughly hewn with an axe, though in the case of certain
belfry windows, jambs of baluster shape, seem to have been turned upon a
lathe. The openings were either round-topped, suggesting a clumsy copy of
the Roman style or else triangular, as if perpetuating a form of timber
construction. The plan of the church appears to have been of the simplest,
representing an oblong nave, separated by an arch from the smaller oblong
of the chancel; the latter being lower than the nave and, on the inside,
approached by two or three descending steps. The arrangement seems to
have been derived from the example of the Celtic churches, as also was the
habit of erecting towers, which, however, are not circular as in Ireland, but
square without buttresses. One example of such a tower exists at Earl’s
Barton, Northamptonshire, in which occur balustered windows.
The Normans, therefore, had a free field for their architectural enterprise
and, while they immediately commenced the erection of castles to overawe
the country, they also erected monasteries and cathedrals, designed to
surpass in size and magnificence the ones in Normandy. While following
the latter in a general way, the English examples were characterised, on the
one hand, by a more massive and picturesque treatment, and, on the other,
owing probably to the scarcity of skilled labour, by simpler and less refined
details.
The capitals of columns, for instance, were usually of the cubic-cushion
form, as may be seen in S. John’s Chapel in the Tower of London. The
piers were often round and frequently clustered with columns, the round
arches being recessed and framed with round mouldings. The latter, in the
case of doorways and windows, were enriched with ornament carved in zig-
zag, chevrons, billets, and beaked heads. The plan was apt to be longer than
that of the French churches, and the elevations were proportionately lower.
Vaulting was, for the present, confined to smaller churches and the side
aisles of the larger; but the nave walls of the cathedrals were built
sufficiently massive to support the vaulting which in some cases was
subsequently added. The clerestory windows were set toward the outer part
of the wall, the remaining space being occupied by a passageway, which, in
front of the windows was screened from the nave by three arches.
While the Norman style, as the English-Romanesque is usually called in
England, appears in many cathedrals, the character of it has been greatly
modified by later additions. But the finest example still existing is that of
Durham; next to which come Peterborough and portions of Norwich. The
tower above the crossing, which became a distinction of English cathedrals
and is so imposing a feature of Durham, was added much later. But the
original nave (1096) is a remarkable example of massive Norman
construction, the round piers having a diameter nearly equal to the span of
the arches and being channelled with flutings and spirals. The vaulting was
completed in 1133 and is said to be the earliest example of Norman vaulting
in England. Another notable feature of Durham Cathedral is the so-called
Galilee chapel, which, in imitation of the ante-chapel in Caen, takes the
place of a porch at the west end. It was used by penitents.
At Peterborough the nave, only second to Durham as an example of
Norman at its finest, is still covered with the original wooden ceiling,
divided into lozenge shapes and painted. It is believed to be the oldest
wooden roof in England. The Norman parts of Norwich Cathedral are the
long, narrow, aisleless nave, the transepts, and the choir with its chevêt of
chapels. Ely, again, has Norman nave and transepts; Bristol, a Norman
chapter house; Oxford, nave and choir; Southwell, Norman nave, transepts,
and towers; Winchester, transepts and towers; while Worcester has a
Norman crypt, transepts, and circular chapter house. The last named is the
only one of this design in England. Original Norman work is also to be
found in the transepts at Canterbury, while the narrowness of its choir is
due to the preservation of two Norman chapels.
In England the interior wall spaces and vaulting were decorated with
paintings, for in this branch of decorative work the Normans found no
scarcity of skill, since the Anglo-Saxon school of miniaturists, originally
started by Celtic missionaries, had attained a high degree of proficiency,
and now developed the principles of missal-painting into the larger and
freer scope of mural decoration.
 A good example of the small Norman church is that of Iffley, near
Oxford. Especially interesting is the west front. In the larger examples this
feature underwent change with the introduction of the pointed arch; but here
is a distribution of the gabled end into three well defined and excellently
proportioned stories, pierced, respectively, with a doorway, circular
window, and an arcade of three windows. All are deeply recessed and
enriched with characteristic moulding, and the effect, while a trifle barbaric,
is vigorously decorative.

RHENISH ROMANESQUE

In the Rhenish Provinces is found the most fully developed Romanesque

style, characterised by the fewest local differences. When, during the years
768-814, Charlemagne built his royal tomb-church, which with subsequent
Gothic additions is now the Cathedral of Aix-le-Chapelle, he adopted the
plan of S. Vitale in Ravenna and imported classic columns. Moreover, the
Rhine Provinces possessed many remains of Roman architecture. Later they
became closely allied by commerce with Northern Italy and seem to have
employed the services of Lombard architects.
All these circumstances tended to make Rhenish Romanesque resemble
that of Northern Italy. On the other hand, it developed a style more
constructively adventurous, vigorous, and picturesque; while at the same
time it was on the whole more systematically organised than the French. It
was, however, about fifty years behind the latter in its development which
began late and continued longer.
A typical example of the earlier period of Rhenish Romanesque is the
Cathedral at Worms (1110-1200). Its design shows features that are
characteristically Rhenish: an apse at both the west and east end, flanked in
each case by two towers; the use of transepts at the west end as well as the
east (the eastern ones being here omitted), the erection of octagonal lanterns
over both crossings, and entrances on the north and south sides instead of
the west.
The exterior exhibits a well-defined orderliness and picturesqueness. The
walls are reinforced with projecting piers and pierced with deeply recessed,
round-arch windows. Noticeable also is the effective use of corbel arcades
beneath the gable ends of the roofs and in various string courses, while the
richer emphasis of open arcades is applied with equal discretion and
effectiveness. Another noteworthy feature in the towers is the use of
dormers to embellish the conical or octagonal roof, which in effect are
rudimentary spires.
Other early representative cathedrals are those of Spires, Treves, and
Mayence while to the later period belongs the Church of the Apostles,
Cologne (1220-1250). It offers a varied application of the same features in
a singularly perfect design. The transepts and choir present a cluster of three
apses round a low, octagonal lantern. The nave is short, twice the width of
the side aisles and has western transepts and a square western tower.
Especially fine are the exterior embellishments of the apses, consisting of
two stories of blind arcading, surmounted by open arcades beneath the roof,
while a corresponding sense of proportional dignity characterises the
grouping of the eastern towers and lantern and the solitary distinction of the
western tower. Here, as in three other examples of triapsal churches in
Cologne—S. Maria-in-Capitol, S. Martin, and S. Cunibert—the domical
vaulting is supported by squinches or pendentives.
The earliest example of nave vaulting is found in the Cathedral of
Mayence, closely followed in the Cathedrals of Spires and Worms and the
abbey church at Laach.

SPANISH ROMANESQUE

In Spain great impetus was given to cathedral building by the recapture

of Toledo from the Moors in 1085. In architecture, as in painting, the
Spaniards seem to have sought their artistic impulses from abroad, since the
most important example of their early Romanesque style—the Cathedral of
Santiago de Compostello—is a modified copy of S. Sernin, at Toulouse,
Aquitaine. The plan is a Latin cross with aisles not only flanking the nave
but also carried round the transepts and choir apse in the manner of the
French chevêt. The aisles are groin-vaulted, while a lofty barrel vault covers
the nave, and an octagonal lantern crowns the crossing.
A special feature of Spanish Romanesque, also derived apparently from
Aquitaine, is the beauty of the dome, which covers the crossing, as in the
old Cathedral of Salamanca, the Collegiate Church at Toro and the
Cathedral of Zamora. They are circular in the interior and octagonal on
the outside with large turrets in the angles of the octagon. The interior dome
is carried upon pointed arches, between which and the spring of the vault, in
the case of Salamanca, are two tiers of arcaded windows. For the admission
of light the arrangement is excellent, while the general character of these
domes, covered on the outside with a low, steeple-like roof of stone, is
admirably monumental.
Another characteristic Spanish feature, met with in some churches, as for
example, that of San Millan, Sagovia, is an open cloister, on the outside of
the aisle, from which doors open into it.
Carved ornament was rather sparingly applied, and except in minute
details suggests no Moorish influence.
 BOOK V

GOTHIC PERIOD

CHAPTER I

LATE MEDIÆVAL CIVILISATION

The change in architectural style, known as the Gothic, which began in the
twelfth century and reached its full development in the thirteenth, represents
so wonderful an expression not only of constructive genius but also of
spiritual aspiration that one would fain peer through the mist of the past to
discover the kind of civilisation that produced it. The general conditions
that shaped the civilisation we have already noticed in the chapter on Early
Mediæval Civilisation. There we recognised the threefold influences of the
power of the Church, the extension and growing importance of Commerce,
and the results of the various Crusades. And these still continued to be the
motive forces of the later and fuller civilisation.
Prominent among the causes of the confused conditions in Western
Europe was the multiplicity of rival authorities; which it had been
Charlemagne’s dream to subordinate to a centralised authority, emulating
that of the Roman Empire. But, while his attempt at temporal domination
failed, the more spiritual dominion exercised by the Church proved to be a
unifying agency. Through the influence which she exerted over conscience
and consequently over the actions of men through the Sacraments of
Confession and Penitence, she was able in considerable measure to curb the
license of feudalism. Furthermore, by allying herself with the growing
power of the burgher classes in cities and standing as the champion of the
defencelessness of the lower classes in cities and country, she became the
great adjuster of the fearful social inequalities of the period.
 Her policy was one of checks and counter-checks. She could not subdue
the forces that made for disorder; but could and did restrain them. Thus her
support of the burghers built up a new force in the community that, through
trade and commerce, made for stability and set up the constructive arts of
peace as a make-weight against the destructive conditions that the
internecine strife of the nobility engendered. And these last she further
checked by utilising the enthusiasm for Crusades, which had been first
stirred by the missionary zeal of Peter the Hermit in 1096. This first
expedition, under Godfrey de Bouillon, resulted in the capture of Jerusalem
from the Arabs and the establishment of a Christian Kingdom in Palestine.
The six other Crusades, terminating with the second expedition of Louis IX
(St. Louis) of France in 1270, failed to recover Jerusalem which had been
recaptured by the Arabs. But in the course of them a Latin kingdom had
been established in Constantinople under Count Baldwin of Flanders and a
kingdom also had been formed in Cyprus. It is unnecessary to attempt to
follow these various expeditions in detail, the more so that they represented
only incidents in what had become a perpetual progression of movement
toward the East. It is the effect of this that really concerns us here.
The effect may be studied in relation to the spirit that was stimulated,
and to the economic and educational influence involved. The Church
originally favoured the Crusades as a means both of diverting the savagery
of the fighting class from internecine strife to distant warfare and of
intensifying religious faith and feeling. While it was not strong enough to
crush the fighting spirit, it could consecrate it to some kind of an ideal, and
thereby succeeded in tempering the stupid savagery of feudalism with the
finer spirit of chivalry. An idealism of knighthood was encouraged that
reverenced women, protected the weak, redressed the wrongs of the
oppressed, and wedded to the courtesies of life a fervour of religious faith.
Amidst the ugliness of the times there sprang up the blue flower of an ideal
of beauty that affected in some measure both the spiritual and the social life.
How real and intense was the spirituality of the times may be gathered from
its excesses, as evidenced in the cruelties of the Crusade against the
Albigenses for their heresies, and in the pathetic tragedies of the Children’s
Crusades. In 1212 a French shepherd boy, named Stephen, induced
thousands of boys to follow him to Marseilles, promising to lead them dry-
shod through the sea to Palestine, and a boy of Cologne, named Nicolas, led
an army of twenty thousand children toward Italy. Such of the French
children as reached Marseilles were kidnapped and sold to slavery in Egypt,
while the German host perished from privations, leaving only a memory
that is preserved in the legend of the Pied Piper of Hamelin.
In the wake of military expeditions to the East there followed the
adventurers of commerce. Trade routes were opened up, the earliest of
which and for a long time the most important was by way of Venice, over
the Brunner Pass and up the Rhine to Bruges. And commercial relations
meant the continual passing backward and forward of persons in the
pursuits of peace and, in consequence, a growing intercourse between the
members of different nationalities. The old isolation of the western and
northern nations was gradually removed, and the individual’s narrow
horizon became broadened by travel, his restricted ideas of life enlarged and
enlightened by contact with the alien and superior culture of the East. For it
was in Constantinople and among the Arabs in Asia Minor, Syria, and
Egypt that secular learning at this period flourished.
Accordingly, as a result of the Crusades, Western Europe indulged a taste
for foreign travel, which stimulated a prodigious adventurousness that
operated in the things of the spirit and the intellect as well as in the material
conduct of life. Geography, for example, began to arouse a practical
interest. It changed the attitude of men’s minds to the outside world,
opening up new paths of travel by land and sea and, equally, new
conceptions of the possibilities of the world and of life. The interest also in
Crusades aroused the desire to record them and an impetus was given to
historical writings, which, partaking largely of romance, led to a renewed
interest in such old romances as those of the Knights of the Round Table of
the Arthurian Legend and of Charlemagne’s Paladins.
A most significant testimony to the character of the civilisation of the
thirteenth century is afforded by the voluminous writings of Vincent of
Beauvais, who held the post of “reader” in the monastery of Royaumont, on
the Oise near Paris, which was founded by Louis IX. His work, written in
Latin and entitled the “Speculum Universale” or “Universal Mirror,” is an
encyclopædia of the knowledge of the Middle Ages; a mirror, in fact, of the
mind of the age of great cathedral building. It is divided into three parts: the
Speculum, respectively, Naturale, Doctrinale, and Historiale; to which a
Speculum Morale was added by another hand, being mainly a compilation
from the works of Thomas Aquinas and other contemporary writers.
 The “Speculum Naturale” has been described as a gigantic commentary
on the first chapter of Genesis. It opens with an account of the Trinity, and
of the attributes and orders of angels; proceeds to discuss our own world,
light, colour, the four elements, and Lucifer and his fallen angels. Then it
proceeds to the phenomena of time, the motions of the heavenly bodies, and
the wonders of the sky in thunder, dew, rain, and so forth. Thence it treats of
dry land, seas, and rivers, agricultural operations, precious stones, plants,
fruits, not omitting their use in medicine. Other chapters discuss birds,
fishes; another domesticated and wild animals, serpents, bees, and insects,
the seasons, and the calendar. Then man is dealt with, his anatomy, his
organs, and five senses, and the phenomena of sleep, dreams, ecstasy,
memory, reason, and so forth.
The “Speculum Doctrinale,” intended as a practical manual of
knowledge, covers the subjects of grammar, logic, rhetoric, including a
Latin vocabulary of some six thousand words; discusses the virtues and
gives, under the head of “economic art,” directions for building, gardening,
and agriculture, while under the head of “mechanical art,” it describes the
work of weavers, smiths, armourers, merchants, hunters, sailors, and
generals. Then, after prescribing rules for the preservation of health, it
proceeds to mathematics, under which it includes music, geometry,
astronomy, astrology, and weights and measures. And here it is noteworthy
that the author displays an acquaintance with the Arabic numerals.
The “Speculum Historiale” begins with the creation of the world and
continues a sacred and secular narrative down to the conversion of
Constantine to Christianity. The “origines” of Britain are discussed and the
story carried on to Mahomet and Charlemagne, after which comes a history
of the First Crusade, a dissertation on the Tartars, and, finally, a short
narrative of the earlier Crusade of St. Louis. One chapter is devoted to
miracles. The history is largely composed of quotations from a variety of
available sources, sacred and secular, which include Greek, Hebrew, and
Arabic writers—known to the author through popular Latin versions—
Eusebius, Seneca, Cicero, Ovid, Julius Cæsar, the Early Fathers of the
Church, and the Mediæval writers, Sigebert de Gembloux, a Belgian
Chronicler (1030-1112), and William of Malmesbury (1095-1142). The last
named, an English monk of the Abbey of Malmesbury, wrote “De Gestibus
Regum Anglorum,” a history of the English Kings, and a continuation,
entitled “Historia Novella,” bringing the story down to 1142—works which
have formed the basis of subsequent histories of England.
Mirrored in this compendium is the mind of the Middle Ages, that
realised its dreams and needs in the most imaginative, daring, and grandly
constructive type of building that the world had ever seen—that of Gothic
Architecture. It was a mind at once practical and transcendental; grappling
alike with the actualities of life and with the mysteries of the universe;
hungry for knowledge, uncritical in appetite, accepting the miraculous as
simply as it accepted the wonder of the world that was opening out to its
eager vision with an immensity of promise. It was the mind of a giant
youth, still exulting in the glow of growth; audacious in courage, of
vaulting imagination, with thews and sinews that achieve prodigiously. In
the pursuit of abstract knowledge the age was prone to expend itself on
subtleties, to entangle itself in sophistries, to lose itself in merest
speculation. But when it grappled with the problems of building, this
weakness was transformed into strength. Then it displayed a faculty of
reasoning, apt, direct, and original, and a readiness in the practical
application of mathematical principles. Of these, however, it was not bent
on giving a scientific demonstration; it was satisfied to employ them in the
pursuit of beauty. And its feeling for beauty, as we shall see later, was of
extraordinary subtlety, expended upon relieving the structure of formality
and imparting to it the variety and elasticity of a living growth.
Nor was it only in this indirect way that the “Speculum Universale” was
reflected in Gothic architecture. Its chapters were represented in sculptured
illustrations upon the exteriors of the cathedrals, particularly around the
portals, in order that all who came and went might see and learn. The
statues and reliefs at Chartres comprise some two thousand figures, while
Amiens presents another memorable example.
Thus the Gothic Cathedral was not only the House of God; it was also
the House of Man—the civic centre of his religious, social, moral, and
intellectual life.

CHAPTER II

GOTHIC ARCHITECTURE

I
The term Gothic, with the suggestion of “barbarian,” was applied by men of
the Renaissance to Mediæval Art. Unlike the term Romanesque, it is not a
name that defines. Hence an attempt has been made to substitute the word,
ogival, from the French ogive, which is applied to the curve of the pointed
arch—a distinguishing feature of the Gothic style. But in our own language,
at least, Gothic has become so embedded that it is more convenient to
preserve it.
We understand by it that style which was developed out of Romanesque
about 1150 and continued to flourish until the development and spread of
the Renaissance style.
The change which is represented in Gothic is due to several causes: (a)
development of vaulting ribs; (b) the general use of the pointed arch; (c)
reapplication of the Roman principle of concentration of vaulting strains
upon four points; (d) the development of a buttress system to reinforce the
main parts of the strain, and (e) the development of window openings both
as to their size and ornamentation.
Periods of Gothic.—The period of Gothic covers the thirteenth,
fourteenth, and fifteenth centuries. The variations which it presented in
these several centuries are often characterised by the changes in the
treatment of the windows. Thus, in France, they have been divided
 SCULPTURED DETAIL
From Doorway of Amiens Cathedral. P. 269

SKELETON STRUCTURE
Showing the Method of Vaulting, by Means of the Pointed Arch, and the Concentration
of Thrusts and Counter Thrusts. P. 273
GOTHIC DETAIL.
GOTHIC DETAIL
GOTHIC DETAIL
GOTHIC DETAIL
GOTHIC DETAIL
Hall of Weare Gifford, Devonshire, England
GOTHIC DETAIL
 By Courtesy of the Brooklyn Museum of Arts
INTERIOR AND EXTERIOR VIEWS OF LICHFIELD CATHEDRAL
Showing the Nave Widening. The Piers Are Set on a Straight Line, and at Each End of the
Nave Are Perpendicular up to the Clerestory. Meanwhile the Piers in Between Lean
Outward with Increasing Inclination Toward the Center of the Nave. P. 280

into: Primary, or Thirteenth Century style; Secondary, or Fourteenth

Century, often called Rayonnant from the wheel tracery of the rose
windows; Tertiary, or Fifteenth Century, called Flamboyant from the flame-
like shapes of the window spaces. On the other hand, in England, the
divisions are: Thirteenth century or Early English; Fourteenth century or
Decorated, because of the increased elaboration both of window tracery and
rib vaultings; Fifteenth century or Perpendicular, owing to the
predominance of vertical members in the tracery of the windows.
The chief fountain-source of the early Gothic development was the Ile de
France, whence the new ideas were carried, largely by monastic activity and
especially that of the Cistercian order, to England, Germany, Italy, and
Spain. In each of these countries their application was coloured by local
conditions and England in particular produced a series of buildings,
characterised by originality of treatment and grandeur of design.
Nevertheless, it is recognised that French Gothic is pre-eminent, not only
for the logic and skill with which structural problems were solved but also
for sublimity of design, especially in the interiors, and for the sense of
proportion that distinguishes the best examples. English Gothic, however, is
a noble second.
Before enumerating some of the famous examples of French Gothic, we
may summarise the principles and devices more or less common to all
Gothic.
Romanesque had substituted equilibrium in place of the inert stability of
the Roman architecture. The thirteenth century architects added to
equilibrium elasticity.
They achieved this by a development of the concentration of strains,
which the Romans had invented or applied in the support of groin-vaulting
on four piers, and the Romanesque architects had further developed by the
system of rib-vaulting.
Pointed Arch.—The Gothic was structurally evolved out of the rib
vaulting and the pointed arch. In the first place, while the Romanesque
architects used the rib system solely as a convenience of building, the
architects of the Ile de France, adopting it for the same purpose, became
conscious of its further possibilities in the direction both of construction and
of beauty. The rib, no longer a crude arch of masonry, was constructed of
mouldings that made it a feature of beauty, enhanced by the increased
height and the finer sweep of line that the skill and taste of the French
architects achieved.
In this they were helped by the substitution of the pointed for the semi-
circular arch. Not only are the curves of the pointed arch more beautiful, but
they lent themselves also to a more daring method of building. By means of
them the tops of the longitudinal and transverse arches could be lifted to the
level of the diagonal ones, so that the filling in of the massives or spaces
between the ribs, was simplified. Moreover, the strain of the pointed arch
was more directly downward, which brought the main pressure down upon
the piers. Advantage was taken of this by clustering small columns around
the piers, so that each column carried its own rib, bringing the ribs and
columns into a structural harmony and creating a continuous effect of
soaring growth from the floor up to the summit of the vaulting. And this
effect could be enhanced by the opportunity which the rib construction
allowed of lifting the vaulting higher, and so affording space for ample
clerestories.
Buttresses.—Meanwhile the lateral strain or thrust of the pointed arch,
though less than the vertical, had to be sustained, and this was done by
developing the buttress. These were of two kinds: abutting, as the name
implies, either on the nave wall or on the outer walls of the aisles and
chevêt. In both cases they were a development of the masonry piers with
which the Romanesque architects reinforced the walls. When the buttresses
were attached to the outer walls of the aisles and chevêt, they were
connected with the nave wall by arches which sprang across the intervening
space, and in consequence are known as flying buttresses.
Sometimes these buttresses were practically vertical, at other times they
descended in offsets or steps, increasing in width toward the ground.
Further to increase their resistance they were frequently surmounted by
finials or pinnacles. The buttress, in fact, was not only a structural member
of great importance, but one of the characteristic elements of beauty in the
design.