PDF Industry 4 0 Value Roadmap Integrating Technology and Market Dynamics For Strategy Innovation and Operations Tugrul U Daim Ebook Full Chapter
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SPRINGER BRIEFS IN ENTREPRENEURSHIP
AND INNOVATION
Tuğrul U. Daim
Zahra Faili
Series Editors
David B. Audretsch
School of Public & Environmental Affair, Indiana University
Bloomington, IN, USA
Albert N. Link
Department of Economics, University of North Carolina at Greensboro
Greensboro, NC, USA
This Springer imprint is published by the registered company Springer Nature Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Abstract
Industry 4.0 has been one of the latest concepts which has altered as well as dis-
rupted the business model of organizations around the world. The adoption, how-
ever, has been slow in various industries as a clear roadmap for the integration of the
same lacks in project planning. Hence, the main purpose of this thesis is to develop
a value roadmap for three different industries: Automotive, Healthcare, and
Telecommunication so to satisfy the market demand. The value roadmap for these
three sectors is developed by taking into consideration five various factors which are
market drivers, product features, technology features, enablers, and resources.
Finally, these five factors are combined to form the final value roadmap. The road-
map is also segregated into two timelines which are short term and long term. For
the evaluation of the value roadmap, views of experts from different organizations
have been put into use.
v
Acknowledgments
This work is partially funded by the Basic Research Program of the National
Research University Higher School of Economics (HSE) and by the Russian
Academic Excellence Project “5-100.”
vii
Contents
1 Introduction���������������������������������������������������������������������������������������������� 1
2 Literature Review������������������������������������������������������������������������������������ 5
3 Enablers: Industry 4.0 ���������������������������������������������������������������������������� 15
4 Problem Statement���������������������������������������������������������������������������������� 25
5 Methodology �������������������������������������������������������������������������������������������� 27
6 Value Roadmap Development for Automotive Industry���������������������� 29
7 Value Roadmap Development for Healthcare Industry ���������������������� 55
8 Value Roadmap Development for Telecommunication Industry�������� 75
9 Conclusion������������������������������������������������������������������������������������������������ 101
10 Limitations and Future Research���������������������������������������������������������� 105
ix
List of Figures
xi
List of Tables
xiii
Nomenclature
xv
xvi Nomenclature
The first drastic change in terms of manufacturing process occurred in the beginning
of nineteenth century which is then referred to industry 1.0. In that concept, the
mechanical mass production was introduced. One of the key characteristics of that
era was the increase in the production capability and business growth (Rojko 2017;
Petri 2017). One of the main drivers for the first industrial revolution was the
improvement in terms of living quality.
While industry 2.0 was concerned with the resource allocation and utilization as
well as mass production, it was in the beginning of twentieth century that electricity
was become the main source of power. During that time, other improvements were
made as well such as division of labor, which resulted in increased productivity.
Also, mass production came into place. Although this era was involved with possi-
bility of mass production, the mass products’ customization was not present. The
famous quote from Henry Ford with respect to the Ford T-Model vouched for that
when he mentioned that the customers can have any car color as long as it is black
(Rojko 2017).
It was all till the last few decades of twentieth century that electronic devices
were invented and the key technology enablers were: digital power or in another
words, the introduction of transistors, integrated circuits (IC) which made the auto-
mation possible and was known as industry 3.0 (Raut 2016). Microelectronics and
automation made the manufacturing and production line more flexible (Rojko
2017). Outcome of industry 3.0 was perceived to increase the living standards and
global industrial development.
The fourth industrial revolution was initiated by the vast development of Information
and Communications Technologies (ICT). Advanced connectivity and smart auto-
mation of the cyber-physical systems are the main technological features. At present,
the fourth industrial revolution can be referred differently in different regions. For
instance, in the USA, it is known as Smart/Advanced Manufacturing. Mass custom-
ization is one of the key enablers and drivers for the fourth industrial revolution
which is making a shift from the traditional “pull from the market” to “pull from the
customer.” The benefit of this business strategy results in the higher customer’s need
satisfaction by the provided individualized solutions/services (Petri 2017).
The industrial transition is represented in Fig. 1.1 which describes the develop-
ment involved in industrial manufacturing from its traditional manual work all the
way to a smart automation known as industry 4.0.
In traditional manufacturing, the companies were very much reluctant in inte-
grating the technological advancement and were very slow in terms of reacting to
the same. The fourth generation in industrial evolution is believed to represent a
vision for an interconnected and online factory where the decisions can be made
intelligently (Raut 2017). It is worth highlighting that today’s manufacturing is
transforming from its traditional mass production to mass customization as charac-
terized by the industry. With all rapid change of connected devices and the abundant
amount of data, the technology landscape shall remain adapted.
Technology is perceived to be one of the elementary drivers for the innovation
existing in today’s world and the advancement in technology has resulted in evolu-
tion in industry ever since the eighteenth century. Gradually, many advancements
were seen in different fields such as biotechnology and information and communi-
cation technology which has caused a drastic change and improvement in innova-
tion which till today is increasing. This rapid change brings along some challenges
not only for individuals but also for organizations and society as a whole (Phaal
et al. 2013; Kostoff and Schaller 2001). Thus, many managers and in general the
responsible individuals are mostly bound to make tough decisions so as to limit the
allocation of resources considering the cost, complexities, and the associated risks
of affluent investment which is required to keep up with the global competition.
Hence, technology management has been introduced as a field to address the afore-
mentioned challenges.
Technology management is closely related to the technological core business
processes which embody the innovation, product development, strategy planning,
and operations management. There should be a balance between the market pull and
1.1 Fourth Industrial Revolution 3
bring value and competitive advantage for a business and can improve the decision-
making process (Phaal et al. 2001b).
It is believed by many researchers that the main objective of a TRM can be con-
cluded as a framework which visually integrates different facets of market, product
features and technology, and the further analysis based on the time series (Kostoff
and Schaller 2001; Phaal et al. 2001b).
Moreover, another advantage of using TRM is the capability of the framework to
bring communication across the organization and different functional levels and it
provides a benchmarking for further and future dialogue once TRM is being imple-
mented. One of the reasons for providing the transparency involves engaging key
stakeholders in the process of roadmap development which not only improves wider
perspectives but also it brings the consensus among the stakeholders (Phaal 2015;
Kostoff and Schaller 2001).
Although there are many benefits being identified for using TRM framework,
many companies still struggle to find the proper application due to the existence of
various forms with limited practical support which would sometimes undermine the
benefit of TRM. Traditional TRM was basically comprised of three different layers:
Business/Market, Product/Service, and Technology over the time horizon. Figure 2.1
depicts the traditional main three layers of TRM and key challenges identified for
successful implementation of TRM, respectively (Phaal 2015) (Fig. 2.2).
Time
Business/Market
Product/Service
Technology
60%
50%
40%
Responses
30%
20%
10%
0%
Starting up the Developing a Rool-out of the Keeping the Other
TRM process robust TRM TRM process TRM process
process “alive” on an
ongoing basis
Research and development (R&D) is one of the main support elements of tech-
nology and R&D as the fourth layer is being added to the TRM framework. Due to
this, the TRM technique became more adaptive and flexible. Hence, the generic
science and technology (S&T) roadmap as shown in Fig. 2.3 has basically two
dimensions (spatial and temporal), where the nodes as well as links are illustrated.
Spatial dimension describes the relationship projected in the S&T projects at a cer-
tain point in time. Also, temporal dimension explains the evolution of S&T capabili-
ties (Kostoff and Schaller 2001).
Market M1 M2
Product P1 P2 P3
P4
Technology T1 T3
T2 T4
R&D3 R&D5
Time
(year)
1a 0 1 2 3 4 5 6 1a
there has been a little amount of practical support for companies on how to reinvent
their whole process. For instance, Bray and Garcia (1997) and Groenveld had shared
their summary on technology roadmapping. The result of their research indicated
that for an effective TRM, well-established vision and dedication towards iterative
process is required (Bray and Garcia 1997; Groenveld 1997). Yet, the authors did
not present a very detailed guidance on the exact application of the process. Phaal
et al. introduced an approach which is known as T-Plan fast start to overcome the
existing gap (Phaal et al. 2001b; Phaal et al. 2004a).
Under the technology roadmapping process, there are two different planning
involved known as: Strategic Planning (S-Plan) and Technology Planning (T-Plan)
(Natalense and Zouain 2013). T-Plan was developed as a resultant of three-year
research performed by Phaal et al. (2004a) in various industries. T-Plan focuses on
the product and technology level strategic planning (Phaal et al. 2004a). Under this
plan, four important stages are identified as follows:
Market: Both market driver (external) and business driver (internal) factors are
identified with respect to the product-technology strategic planning. After that,
they are prioritized for the key market segments.
Product: At this stage, product features and attributes are identified, categorized,
and prioritized.
2.3 Purpose of Technology Roadmapping 9
Technology: In this phase, the associated technologies which can result in the
development of the product features are identified and prioritized.
Charting: At this stage, the initial roadmap based on the aforementioned three
stages is developed. In other words, the linkage between market and business
drivers, product as well as technology features are being agreed upon. It is wor-
thy to mention that after each stage knowledge gaps shall be identified.
As it was described in above paragraph, it is vivid that the initial objective of
T-Plan is to draw the attention on how to initiate the roadmapping process while
considering both economical and agility for the “first-cut” roadmap (Phaal et al.
2004a, 2004b; Ilevbare et al. 2011).
Strategic Planning (S-Plan) is tailored to meet business specific needs and help
the organizations on finding a proper roadmap to utilize the strategy and innovation
within a firm (Consortium 2018). The main advantage of using S-Plan is providing
proper communication and can be used as a reference point in further analysis.
standard process (Phaal et al. 2004b). Another factor that roadmaps can be associ-
ated with is its graphic types. There are also eight graphics being identified as:
multiple layers, bars, tables, graphs, pictorial representation, flow charts, single
layer, and text format.
Time
Market & Business Market & industry trends & drivers (social, economic, environmental, political
and technological), customer needs, competitor activity, business milestones
trends & drivers
Products
Service
Businesses /
Value facilities Future revenue streams arising from technology capability. together Scenario
streams with strategic impact
Technology / IP -
Vision
Cost / risk -
reduction
Strategic
Strategic position Framework
Barriers Non-technical Challenges, barriers & risks associated with exploiting the potential value
& of the technology. together with complementary assets and actions
Enablers Technical
One of the first technique that considers qualitative factor is portfolio manage-
ment. Under portfolio management, the decision process that is involved for the
new products and R&D projects is getting updated and revised constantly. During
this process, new products get evaluated as well as get prioritized. When new prod-
ucts come into picture, there is a possibility that the existing products get exhausted
or de-prioritize (Dissel et al. 2006).
Collecting expert knowledge is another technique used in order to overcome the
challenges that involve single usage of quantitative approach. Hence, “gut feeling”
has become prevalent in qualitative and valuation approaches. Studies performed by
Bannister & Remenyi illustrated the fact that investment in information technology
is based on instinct and value is referred as “acts of faith” (Bannister and Remenyi
2000). They have stated in their research that there is a lack in understanding when
it boils down to valuation and the limit to it that can be achieved.
VRM provides a framework that can be utilized to interconnect both technologi-
cal and marketing aspects of a technology during its lifecycle. Figure 2.4 illustrates
the VRM architecture.
This section is also the same as the technology roadmapping and the market and
business trend and drivers are assessed based on internal and external environments,
respectively.
12 2 Literature Review
Future sources of revenues and savings are driven by value streams. Under value
streams there are various categories such as products, services, technology/IP, cost/
risk reduction, strategic positioning, and so forth. All the aforementioned value
streams contribute to the generation of revenue except the “strategic positioning”
which comprises of non-financial aspects needed for generating future revenues.
It comprises both technical and non-technical challenges and risks that are needed
to be captured the valuation in technology.
It contains the underlying technologies which are the result of the investment on
technology as its end outcome.
One of the most crucial features of the VRM is the time horizon, which has been
segregated into short-, medium-, and long-term objectives. Also, VRM has the fol-
lowing eight steps as shown in Fig. 2.5. It is believed that the first step of VRM
which is defining the strategic framework, vision, and scenario is the most vital step
and it should be clearly addressed in order to ensure the successful implementation
of the whole VRM.
2.4 Value Roadmapping 13
Intelligent car concept is the main factor in the big data strategy of the automotive
sector. Its use case should be properly realized in order to ensure its successful
implementation on a larger scale. In this concept, not only there is a huge amount of
real-time data being gathered but also a platform for a direct publication of the data
to the driver via the big data analysis (Voigt et al. 2014). This has resulted in new
business and service opportunities across industries while having added value to the
service provider, the OEMs as well as the end customer (driver). One of the exam-
ples that BMW took was its ConnectedDrive initiative that offers a unique app for
monitoring the real-time traffic, concierge service, intelligent emergency call, info-
tainment, and so forth. This shows the possibility of mass customization which can
be achieved via big data.
Big data in healthcare also plays an important role. Basically, there are three
areas of big data analytics that are currently discussed in the healthcare. The follow-
ing concerns with those three areas (Belle et al. 2015):
Image processing Medical images are a crucial part of diagnosis, assessment, and
planning. Some examples of medical images that are constantly used for the same
purposes are: Computed Tomography (CT), Magnetic Resonance Imaging (MRI),
X-ray, ultrasound, and so forth. The medical image data is having a wide range from
a few megabytes to hundreds of megabytes depending on the nature of study, hence,
these data require a great deal of storage capacity for the longer term. The challenge
that is so far identified with the data in medical imaging consists of both cohesive
storage and development of an efficient method for addressing the wide range of
available data (Belle et al. 2015).
Infrastructure &
Operations
Products
car checked up either within the first 3 months from the last service date or after
having up to 10,000 kilometers of travel (Dhall and Solanki 2017). Apart from the
regular guidelines, there are other times that the car needs an emergency service/
maintenance after a malfunction or breakdown. Embracing the technology however
can bring more benefits in the conventional maintenance in automobile and fleet
management system. Internet of things (IoT) has becoming an important element of
today’s life. This concept is not very new; however, the advancement in the technol-
ogy has impacted the activities of individuals globally. An alternative to the periodic
maintenance can be done through utilizing the technology and usage of sensors and
IoT. This approach collects relevant data about the vehicle such as fitness measure
and operating condition of the different parts of the vehicle and communicates the
data to the centralized system. Later on the data can be further investigated to iden-
tify which part requires a maintenance or service; also the system can give an emer-
gency alert that informs the car owner about the potential breakdown of some parts
(Dhall and Solanki 2017).
In medical engineering, predictive maintenance is the core functionality. The
main goal of PM is to ensure safety of the medical devices as well as serve as a
preservation of investment in the purchased equipment via enhanced longevity and
product life cycle. PM is an approach which is based on risk assessment. However,
the implementation and design of such an effective device is not simple and requires
an extensive administrative support. One important task in management systems is
maintenance prioritization (Saleh et al. 2015).
In telecommunication, predictive maintenance plays a very crucial role as well to
decrease breakdown of equipment. The need for predictive maintenance has risen
because of increased complexity of traffic patterns, increased usage of network, and
several equipment vendors. Companies deploy predictive maintenance to decrease
the potential breakdown of equipment in telecommunication site with an aim to
reduce the operations cost and improve customer satisfaction. One example is the
Markov process model which was developed to address the customer trouble ticket
18 3 Enablers: Industry 4.0
There is a stress sensed on transport systems due to the increased number of vehi-
cles. The rapid growth has made roads to be susceptible and more dangerous.
Therefore, there is a necessity for adaptation of existing transport system to improve
its infrastructure and safety. To overcome the aforementioned issues, the Intelligent
Transport Systems (ITS) has decided to provide traffic applications and cooperative
traffic monitoring and control flow. Through emergence of Vehicular Ad hoc
Network (VANET), such applications will be present everywhere soon and would
be considered as an environment of ITS (Ghafoor et al. 2014). Also, in the coming
years more cars will be integrated with devices that empower the communication
between the cars, for instance Wireless Access in Vehicular Environment (WAVE)
which communicates with nearby vehicles and access points in the coverage area.
This advancement is also seen in car manufacturing process for better storage and
computation as well as communication through devices. The main goal of these
devices is to improve traffic safety and efficiency. To add on to that, these vehicles
can have access to internet services which would eventually benefit the drivers and
passengers. However, the on-board resources have seldom been applied. In order to
overcome the underrepresentation of that application, the vehicular cloud concept is
proposed.
Cloud computing embedded unique features (on-demand self-service, broad net-
work access, and so forth) which are claimed to improve the conventional health IT
in health organization. It was believed that cloud computing could provide great
amount of benefits for healthcare, such as enhanced flexibility in the IT resources
and higher availability with respect to IT infrastructure to address the health IT
demands as well as reduced cost of health IT usage. Cloud computing integration in
the healthcare is a very novel idea. When it comes to cloud computing in healthcare
organizations, it is the second type which tries to improve the product, service, and
care (Gao et al. 2018).
Similarly, in ICT industry, cloud computing is one of the main trends in technol-
ogy and business. In telecom industry, the cloud computing has provided a platform
for new business opportunities as well as resulting in operational efficiencies. With
the help of cloud computing concept, the conventional product based has been
transformed into service based. Having a software as a service provider has certain
advantages such as significant improvement in delivery times, reduced cost, and
higher flexibility. In addition, new business models can be realized when companies
focus on the cloud computing and deploy technologies which results in new context
in: network expertise, security infrastructure as well as quality of service (Vajda
et al. 2012).
3.4 Digital Twin 19
The definition of digital twin was first conceptualized in 2003 by Grieves. Up until
now there are a couple of new concepts that has been recognized but the most com-
mon one is the concept by Glaessegen and Stargel in 2012. Based on this definition,
digital twin is referred to as combined multi-physics, multi-scaled as well as proba-
bilistic analysis and simulations performed on products which utilizes the physical
models and update in sensors to reflect the life of the surrounding twin. Digital twin
can be discussed in three main parts: physical product, virtual product as well as
connected data that integrates both physical and virtual parts of product (Tao,
et al., 2017).
Realization of digital twin is broadly distributed from cloud ecosystems to very
distinct exchange formats. Also, there is a possibility to embed specific component
during manufacturing which provides transparency among suppliers and integra-
tors. System integrators can utilize the information provided through this realization
to implement it on a wider system range, for example car manufacturing, factory, or
even the whole train (Boschert et al. 2018).
Digital twin concept in healthcare provides a framework to analyze the data-
driven healthcare practices alongside its ethical implications in either preventing
care or human development and therapy. Digital twin concept is identified to have
the potential of enhancing the resolution and comprehensiveness in terms of defin-
ing the disease and normality in healthcare. For instance, deviation from normal can
be drawn from having a “virtual self” which can have a detailed map model
(Bruynseels et al. 2018). The “normal” state which refers to healthy condition can
be identified with high resolution and with multiple data dimension which is tested
via molecular and behavioral level assessment against person’s life time. In other
words, this physiological makeup and comparison provides a great amount of data
in detail. In current approaches, the comparison range is mainly done through age
and gender. In addition, large amount of variations in human genomes which in
previous years were not appreciated and was considered as futile, have gained
importance by knowing how vital information can be taken from them. A great
advantage that can be realized with digital twin in healthcare is the level of transpar-
ency that is provided for caregivers with respect to the status of individuals
(Bruynseels et al. 2018).
The parts of telecom networks such as towers and sites are perfect for the digital
twin concept. There are different ways through which providers would be trans-
formed. One of the ways is tower management. Telecom sites use different pieces of
equipment such as antennae, power generators, and aircraft warning lights. These
require continuous monitoring. There are different sorts of data coming from the
telecom sites such as proximity, image, motion, and position, which can be obtained
through sensor networks and evaluated using AI/ML algorithms. The data that is fed
into the digital twin of a tower or site allows operations and field service manage-
ment to address these issues (Malim 2018).
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obstinate refusal, till Isabel, seeing that the matter must end either in
an open breach or her own surrender, yielded the point. It was a
concession she would have made to few of her subjects.
XIMINES DE CISNEROS
He was already fifty-five years old at the time of the fall of Granada
when Cardinal Mendoza, consulted by the Queen as to her new
confessor, remembered his own light-hearted days as Bishop of
Sigüenza and a certain austere but brilliant chaplain of his cathedral,
who had turned his back on the world for the sake of his religious
ideals. The portrait caught Isabel’s fancy; and Cisneros was duly
summoned to Court and named her confessor, an appointment that
filled him with even more dismay than the frivolous courtiers.
“Behold!” says Peter Martyr, “an Augustine in his piercing
intellect, a Jerome in his self-inflicted penances, an Ambrose in his
zeal for the Faith.”
It was a combination to leave its mark on the spiritual life of those
around him; the more that the admiration which his character
inspired in the Queen was soon to widen his sphere of action. At the
beginning of the year 1495 Pedro Gonsález de Mendoza died. The
Queen had visited him during the last days of his illness and
consulted him as to a fitting successor in the Primacy; on which the
old Cardinal frankly advised her not to give the office to any man of
great family or wealth, lest he should be tempted to use it for his own
ends. Instead he suggested the humble Franciscan friar, whose life to
both their minds represented the highest earthly fulfilment of
Christianity. Isabel joyfully agreed, refusing to yield to Ferdinand’s
wish that the honour should go to his own illegitimate son, Alfonso,
Archbishop of Saragossa.
Knowing her confessor’s character, she sent secretly to Rome for
the bull of nomination. When it arrived, she handed it to him; but
Cisneros, reading the opening address, “To our venerable brother,
Fra Ximenes de Cisneros, Archbishop-elect of Toledo,” pushed it
away, saying “Señora, this cannot be meant for me.”
He quitted the royal presence abruptly and hastened from Madrid,
replying to all appeals and arguments that he did not feel himself
worthy to enter on so high an office. It was not till some six months
later, on the receipt of another bull from Rome, commanding him to
accept the archbishopric without delay, that the friar withdrew his
opposition.
Never had the Spanish Church witnessed a more curious
transformation. The humble Observant had become an ecclesiastical
prince, the holder of the see in Christendom coveted, according to
contemporaries, next to Rome itself. Henceforth his annual revenue
would amount to over 80,000 ducats a year, the value of the
patronage at his disposal far exceed that sum, his military retainers
would make a small army, his judicial rights over his diocese were to
be those of a viceroy.
Warned by the Pope that it befitted the Primate of Castile to
maintain a certain state and dignity, Cisneros grimly adopted the
splendour of his predecessor’s régime, tolerating as a necessary evil
the rich furniture and food, the household of young nobles, and the
velvet and silk of his outward clothing, that to many a priest of the
day would have filled the foreground of the picture. Some indeed
believed that the Archbishop had shed the fine ideals of the monk;
and once in his presence a Franciscan boldly preached to this effect.
Cisneros listened in silence; but after the service was over took his
critic apart and, drawing aside the gorgeous vestment in which he
was clothed, showed beneath it the friar’s rough woollen shirt. This,
with the frugal dishes, that were his own portion from his loaded
tables, and the hard straw mattress that shamed his canopied bed,
were the realities of Ximenes’s material life in the midst of all his
glory.
His indifference to the soft things of this world was equalled by his
contempt of popularity; and the revenues that had bought for other
archbishops of Toledo influence and fame amongst the wealthy and
well-born of the kingdom now went to ameliorate the lives of the
poor and to enrich hospitals and schools. From the first, also, he had
set his face against patronage bestowed for any reason except the
personal merit of the candidate in question.
Diego Hurtado de Mendoza, a brother of the Cardinal, had been
appointed Adelantado of Cazorla, a military office in the diocese of
Toledo. Fearful, lest he should now be deprived of it, he obtained a
recommendation from the Queen, but Cisneros would not look at it.
“Archbishops of Toledo,” he declared, “should administer their
patronage freely and not on any recommendation. My Sovereign
Lord and Lady, whom I deeply respect, can dismiss me to the cell
from which they fetched me, but they cannot force me to act against
my conscience and the laws of the Church.”
Isabel received the report of this interview with the serenity that
ordinary court flatterers found so baffling; while Cisneros, on his
part, satisfied on enquiry as to Diego Hurtado’s character and
capability, consented to ratify his nomination.
The work of reform, undertaken by Queen and confessor,
proceeded with renewed energy after the latter’s appointment as
Primate. With regard to the secular clergy, the sovereigns had from
the beginning of their reign endeavoured to leaven the worldly
character of the episcopate by conferring vacant bishoprics on men
of the lower nobility or middle class, who were distinguished for
their mental or moral qualities. Nor did they leave to the lax arm of
the ecclesiastical courts the administration of the numerous laws and
edicts designed to check the widespread immorality of the lesser
clergy; and it was royal officials who “fined, scourged, or banished”
the women kept by priests in defiance of their vow of celibacy.
This policy of amendment and repression met with Cisneros’s full
approval; but the reform in which as a friar he was most interested
was that of the monastic orders. In 1493 the sovereigns had obtained
a papal brief, authorizing them to appoint “visitors,” who should
inspect the various Religious Houses, correct the errors that they
found, and punish evildoers.
From this tour the Conventual section of the Franciscans did not
emerge scatheless; and the indignation, aroused amongst its
members, at the penalties inflicted and changes introduced was so
great that an appeal against the Archbishop’s tyranny was finally
lodged at Rome. Four hundred friars, it was declared, rather than
submit to the new order of things had been driven to turn
Mahometan and seek refuge in Africa. Such a tale might well have
inspired the conviction that the drastic measures of the Queen and
her adviser were fully justified; but in Alexander VI. it only prompted
a heartfelt sympathy with the Conventuals; and in January, 1496, he
dispatched a bull, forbidding further reform until he was satisfied as
to its necessity. Isabel replied by sending special ambassadors to
plead her side of the case; a transaction in which they succeeded so
admirably that the Pope withdrew his opposition.
In the meanwhile she and Cisneros had continued with
unwavering energy the task they had begun. Her own share was no
sinecure; for, taking her needlework or her spinning, she would visit
the convents and, seated amongst the nuns, strive by her personal
influence to win them back to a sense of their duties, and the
devotion that could alone inspire their calling. According to his
biographer, success also attended the harsher treatment meted out
to the Franciscans by Cisneros, till at length “few monasteries
remained where the rules of the Observants were not kept, to the
great satisfaction of the Archbishop and edification of the people.”
The reform of the morals and customs of the Spanish Church was
now well in train; but it formed only a part, and the smaller part, of
the sovereigns’ general scheme for the promotion and safeguard of
the Catholic Faith within their realms. If the foundations of a
building are insecure, the beauty and strength of its walls will soon
prove valueless; and Ferdinand and Isabel, regarding “right belief” as
the foundation of “right action,” and identifying “right belief” with
“acceptance of the doctrines and practice of the Holy Catholic Faith,”
were led by logical reasoning to establish the monstrous tyranny of
the Inquisition. There can be few things so pitiless as logic when
carried to its extreme, and few so faulty when the conclusions
concern the soul; perhaps because it is in this sphere that human
intelligence most often fails to test the truth of its premises. Heresy
was to the mediæval mind “the unpardonable sin”; the heretic in the
language of the day, “a venomous reptile requiring to be
exterminated, lest he should spread contagion by his very breath.”
And in Spain this unpardonable sin was more diffused and difficult
to eradicate than amongst her neighbours; for, through the centuries
of reconquest, her population had been exposed to constant
intercourse with races of alien creed, endowed moreover with the
subtlety of mind that is the heritage of the Oriental. However high
the barriers built by racial prejudice, so long as Christian, Jew, and
Moor stood side by side on Spanish soil, a certain amalgamation and
interchange of ideas were inevitable. The Church, jealous for the
safety of the Catholic Faith, made the construction and maintenance
of barriers her lifework, and issued frequent canons prohibiting
mixed marriages as well as the friendly intercourse arising from
shared feasts and common dwellings. This proved unavailing; and
finally Jews and Moors were segregated in special quarters, called
“Juderías” and “Morerías,” and compelled to wear a dress or a badge,
that would distinguish them from their Christian neighbours when
they walked abroad.
Such legislation was to have far-reaching results, little foreseen by
those who framed it, though the immediate effect was highly
satisfactory. Some there were amongst the subject races, who
preferred to keep their own religion and suffer ignominy, rather than
accept the Faith they had learned to hate; but the majority, faced by a
choice between conversion and the scorn, disabilities, and even
danger, that became the daily portion of the professed Jew or
Mahometan, chose the easier path. At first the movement was
gradual; but an outburst of Christian fanaticism and racial prejudice
towards the close of the fourteenth century, led to a general massacre
of the Jews, throughout all the large cities of Spain, and this in turn
to a wholesale conversion of the survivors.
The “Conversos,” or “New Christians,” as they were often called in
contradistinction to the “Old Christians” of unblemished
Catholicism, were to introduce another jarring element into the
already complicated society of Spain. Welcomed by the Church as
“brands plucked from the burning,” they took full advantage of the
opportunity to enter offices and professions hitherto closed, as well
as to continue unmolested in the commerce and business they had
formerly carried on under sufferance. Since conversion affected
neither their natural industry, nor their racial capacity for making
money, the New Christians soon developed the wealth and power
that have followed the footsteps of the Jew in all ages and countries,
where he has been free to pursue them. From the collection of rents
and taxes to the control of the King’s treasury, they invaded every
corner of the financial and economic life of Spain, wringing from the
carelessness of the Spaniard and their own foresight the wealth that
was one of the causes of their future ruin.
The Jew has always believed himself “the chosen of God,” and
regarded Gentiles with a scorn akin to that felt by the Greeks of old
for their “barbarian” neighbours. He might under pressure forsake
his religion, but his inborn sense of racial superiority remained; and
the envy excited in “Old Christians” by the accumulated honours of
“the New” was often fanned to the white heat of passion by the
arrogance with which these honours were borne.
An additional barrier was religious distrust that, removed in
theory by conversion and baptism, existed still in a more insidious
form. Enforced conversion is rarely sincere; and though some of the
New Christians out-heroded Herod in their hatred and
denunciations of the religion they had abandoned, the majority were
content with a nominal or lukewarm profession of the Catholic Faith.
Old habits and customs cling; and the Conversos, while attending
Mass and other services of the Church, would often observe in
private the Jewish sabbath, and practise the rites and ceremonies of
their forefathers.
This laxity tended to increase during the reigns of weak or tolerant
kings, such as John II. and Henry IV. of Castile; while the anger it
excited amongst the mass of the people became proportionately
more violent as they watched their unorthodox neighbours “wax and
grow fat.” The growing spirit of fanaticism left its trail in riots
instigated by the “Old Christians” against “the New” in Toledo,
Segovia, Ciudad Real, Cordova, and Seville; rebels made use of it to
threaten the unorthodox Henry IV., and at length, in the Concord of
Medina del Campo of 1465, a resolution was passed, advocating that
power should be given to the archbishops and bishops of the
kingdom to imprison, fine, and punish “evil Christians and those
whose faith was suspect.”
The Concord failed, but the desire for the castigation of heresy did
not die with the resolutions. When, in 1477, Ferdinand and Isabel
came to Seville, they were approached by a body of leading laymen
and clergy, who petitioned that “as Catholic Princes they would
punish this detestable sin, because if they left it ... unchecked, it
would grow so rapidly that great harm would befall the Holy Catholic
Faith.”
Commissioners were appointed to hold an inquiry; and these gave
their opinion that the evil was so widespread that nothing but the
establishment of the Inquisition would have power to eradicate it.
“So rampant was this heresy,” says the Curate of Los Palacios,
“that lawyers almost preached the law of Moses”; while in another
place he adds: “These heretics and cursed Jews fled both Christian
doctrines and customs, avoiding when they could the baptism of
their children, or, if they must have them baptized immediately
washing away the sign in their own homes.”
Ferdinand and Isabel had in 1474 resisted an attempt of Sixtus IV.
to plant the papal Inquisition in Spain, by endowing his legate with
inquisitorial powers; their motive being not so much humanity as
their strong dislike of Roman interference in ecclesiastical matters,
to which attention has already been drawn. Now that an Inquisition
of some kind appeared a necessity, their whole endeavour was
directed to obtaining a bull that would secure for them the control of
the new institution. For this Sixtus was most unwilling; but their
obstinacy, as on another occasion, proved greater than his, and in
November, 1478, he issued a bull, authorizing the sovereigns to
appoint as inquisitors three bishops or other suitable men, with the
right to remove them at pleasure.
The way lay clear; but Ferdinand and Isabel did not take advantage
of it till 1480, when a scheme of Cardinal Mendoza to combat
heretical beliefs by instruction and persuasion had been proclaimed
by its author totally unavailing. Seville was the first seat of the Holy
Office, but its sphere was soon extended to Cordova, and then to the
other towns of Andalusia and Castile; while, in 1485, Aragon also fell
under its iron yoke.
The dread assizes would be opened, on the arrival of the
inquisitors, by the publication of an “Edict of Grace,” granting to
those conscious of heresy a period of from thirty to forty days, during
which they could, without fear of death, make full confession of their
errors and, after due penance, be reconciled with the Mother Church.
This term of indulgence expired, the real work of the Inquisition
would begin, and the suspected heretic be summoned before the
judges to clear himself of the charges brought against him, the justice
of the day holding him guilty until he had proved his innocence.
The situation of the accused [says Lea] was helpless. Standing up alone before
the stern admonitions of the trained and pitiless judge; brooding in his cell, cut off
from all external communication, during weeks or months of interval between his
audiences; apparently forgotten, but living in constant uncertainty of being at any
moment summoned to appear; torturing his mind as to the impression which his
utterances might have made, or the deductions drawn from his admissions or
denials ... it required an exceptionally resolute temperament to endure the
prolonged strain, with the knowledge that the opponent in the deadly game always
had in reserve the terrible resource of the torture chamber.[4]
4. Lea, History of Spanish Inquisition, ii., p. 483.
Death, imprisonment for life, scourging, a loss of property, and
public ignominy: these were the main penalties inflicted. Since the
object of the Inquisition was to impress the populace with a terror of
heresy and its consequences, care was taken that the Auto-de-Fe, or
“Act of Faith,” regarded by many as a manifestation of the last
Judgment, should be as widely seen as possible. Amid the jeers or
horror of the spectators, and the low chanting of attendant priests
the condemned marched from their prison to their death, clad in
“sanbenitos” or the coarse woollen garment of the penitent. Across
their breasts and shoulders were embroidered, for those who were
reconciled to the Faith, crosses; for the obstinate heretic, flames and
devils, symbols of the everlasting torment that awaited his soul,
when earthly judges had finished their task.
The “Conversos,” terrified by the storm that had at last broken
over their heads, sought shelter where they could. Some took
advantage of the Edicts of Grace, and, caught in the toils of the
demand that their confession must be “full,” or it would avail them
nothing, accused in their panic neighbours and even relations, that
their own repentance might seem the more sincere. Others, leaving
their lands and houses to pay toll for their unorthodoxy, fled to
Portugal, Italy, or France. Pulgar tells us that the number of houses
deserted in Seville, Cordova, and the other cities of Andalusia
amounted to over four thousand.
And although [he adds] through the exodus of this race, a great part of the land
was depopulated, and word was brought to the Queen that trade was diminishing,
yet she, esteeming little the loss of her revenues and as of great value the purity of
her dominions, declared that, putting aside her own interests, she would seek to
cleanse the land from this sin of heresy; because she believed that thus she fulfilled
God’s service and her own. And the supplications that were made to her on this
matter could not turn her from her purpose....
TORQUEMADA
a spirit at once crafty and stupid, subtle and obvious, saintly and diabolical,
consistent in nothing,—not even in cruelty, for in its warped and dreadful way it
accounted itself merciful, and not only represented but believed that its aims were
charitable.
The Inquisition, which made life impossible for Spanish heretics, had
no direct power over unbaptized Jews, since it could not convict
them of apostasy in connection with a faith they had never professed.
Some of their race, indeed, were summoned before the Holy Office,
accused of subverting Christian neighbours to Judaism; but their
pronounced reluctance to share the privileges of their religion with
Gentiles prevented any widespread application of this charge.
Nevertheless it was obvious that in a land where their converted
brethren had been subject to torture, imprisonment, and death, they
themselves could not long hope to escape the fury of popular
fanaticism. Their wealth and their pride aroused envy and dislike so
violent that their very qualities and virtues appeared to Spanish
prejudice as though born of malignant design. The Curate of Los
Palacios, enumerating the posts of responsibility and the openings in
the skilled labour-market to which their talents and industry gave
them access, declared that “they sought only comfortable berths,
where they could gain much money with little toil”; as if the work of
merchant, land-agent, weaver, tailor, or silversmith, demanded less
capacity than tilling the soil or laying bricks.
Similarly, their unsurpassed knowledge of medicine and skill in
surgery were proclaimed, about the middle of the fifteenth century,
by a Franciscan friar of high reputation, to have been acquired solely
from a desire to harm their Christian neighbours. It was a suggestion
to which the close connection at that time between medicine,
astrology, and the black arts, lent some colour.
In 1480, Ferdinand and Isabel forbade Christian patients to be
attended by Jews; but it is significant that some years later the
Spanish Dominicans petitioned for a dispensation from this decree,
on the plea that doctors of their own creed were almost impossible to
find. It was to a Jew also that John II. of Aragon, Ferdinand’s father,
had turned for advice, when overcome by blindness in his old age;
with the result that this physician successfully performed a double
operation for cataract.
Of all the professions and employments, however, to which the
unpopularity of the Jew may be traced, it was the office of money-
lender that most earned for him the hatred and suspicion of his
fellow citizens. The Church had from very early days condemned any
lending of money at interest as a form of usury; but since it was
impossible to carry on business or trade on a large scale without
borrowed capital, Christian financiers as well as needy spendthrifts
were driven to have recourse to a people, whose moral code
permitted them to effect the loan at a profit.
“That cunning race,” says the Curate of Los Palacios, “who
battened on usury exacted from the Christians, and of whom many,
poor but a short time before, became speedily rich.” Scarcity of
coinage, the lack of certain security for their bonds, and the secret
favour they enjoyed with many of the Spanish sovereigns, who,
besides borrowing from them, reaped a large revenue from the
Jewish poll-tax, account for the high rate of interest that they usually
charged. At the beginning of the fifteenth century this has been
reckoned as from twenty per cent. in Castile to thirty per cent. in
Aragon.
The enactment that Jewish doctors should not attend Christians is
typical of the attitude of Ferdinand and Isabel towards this subject
race. Toleration and protection on a limited basis were at first a
matter of necessity, both on political and financial grounds; but the
lines of separation and segregation were tightened, and the “Ghetto”
of the Spanish Israelite became an unfortified camp, whose enemies
only awaited a favourable opportunity to sound the attack that would
leave it a ruin.
So long as the Moorish war lasted, Jewish taxes and Jewish
financiers contributed too largely to the expenditure and
organization of the various campaigns, for their supply and safety to
be endangered; but the conquest of the Infidel rang the knell of the
Hebrew unbeliever. The sovereigns’ hands were free; the Crescent lay
trampled on the battlefields of Granada; and the sword that had been
suspended for so many years over the Juderías at length fell.
Later history, weaving a popular tale round the crisis, informs us
that two of the richest Jews, aware of the danger in store, tried to
avert it by heavily bribing Ferdinand and Isabel. While the latter
were considering their offer, Torquemada appeared suddenly in the
royal presence. Holding up a crucifix, he exclaimed: “Lo! Here is the
Crucified, Whom Judas sold for thirty pieces of silver. Will you sell
Him again for thirty thousand?” Then, passionately declaring that he
at any rate would have no part in the transaction, he threw down the
crucifix and left the room.
The story is typical at least of the Inquisitor-General’s remorseless
fanaticism; and the edict issued on March 30, 1492, expressed the
triumph of his views. By it the Jews of Spain were allowed five
months in which to choose between baptism and exile. In the latter
case, they might sell their property or take with them to other lands
as much of their goods as they could carry; but, since the export of
gold and silver was strictly forbidden, this permission savoured more
of mockery than of indulgence.
Perhaps it was believed that, faced by the terror of expulsion, the
Jews would welcome baptism; but the men and women to whom the
choice came were descendants of those who in a previous time of
danger had remained staunch to their faith; while the sufferings of
the New Christians at the hands of the Inquisition were hardly an
incentive to conversion.
The majority, therefore, trusting vainly, as the Curate of Los
Palacios points out with fanatical joy, that God would guide them
through this new wilderness, accepted exile with all its unknown
horrors. The shortness of the term of grace allotted to them, and the
necessity of selling or losing their property made real bargaining
impossible.
They went about seeking purchasers and found none who were anxious to buy;
and they gave a house in exchange for an ass, and a vineyard for a length of cloth or
linen, because they might not take gold nor silver.