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 INTEGRAL
LOGISTICS
M A N AG E M E N T
 Series on Resource Management
Integral Logistics Management: Operations and Introduction to e-Supply Chain Management:
Supply Chain Management in Comprehensive Engaging Technology to Build
Value-Added Networks, Third Edition Market-Winning Business Partnerships
by Paul Schönsleben by David C. Ross
ISBN: 1-4200-5194-6 ISBN: 1-57444-324-0

Supply Chain Cost Control Using Activity- Supply Chain Networks and
Based Management Business Process Orientation
Sameer Kumar and Matthew Zander by Kevin P. McCormack and
ISBN: 0-8493-8215-7 William C. Johnson with William T. Walker
ISBN: 1-57444-327-5
Financial Models and Tools for Managing
Lean Manufacturing Collaborative Manufacturing: Using
Sameer Kumar and David Meade Real-Time Information to Support the
ISBN: 0-8493-9185-7 Supply Chain
by Michael McClellan
RFID in the Supply Chain ISBN: 1-57444-341-0
Judith M. Myerson
ISBN: 0-8493-3018-1 The Supply Chain Manager’s Problem-Solver:
Maximizing the Value of Collaboration
Handbook of Supply Chain Management, and Technology
Second Edition by Charles C. Poirier
by James B. Ayers ISBN: 1-57444-335-6
ISBN: 0-8493-3160-9
Lean Performance ERP Project Management:
The Portal to Lean Production: Principles Implementing the Virtual Supply Chain
& Practices for Doing More With Less by Brian J. Carroll
by John Nicholas and Avi Soni ISBN: 1-57444-309-7
ISBN: 0-8493-5031-X
Integrated Learning for ERP Success:
Supply Market Intelligence: A Managerial A Learning Requirements Planning Approach
Handbook for Building Sourcing Strategies by Karl M. Kapp, with William F. Latham and
by Robert Handfield Hester N. Ford-Latham
ISBN: 0-8493-2789-X ISBN: 1-57444-296-1

The Small Manufacturer’s Toolkit: A Guide Basics of Supply Chain Management

to Selecting the Techniques and Systems to by Lawrence D. Fredendall and Ed Hill
Help You Win ISBN: 1-57444-120-5
by Steve Novak
ISBN: 0-8493-2883-7 Lean Manufacturing: Tools, Techniques,
and How to Use Them
Velocity Management in Logistics and by William M. Feld
Distribution: Lessons from the Military to ISBN: 1-57444-297-X
Secure the Speed of Business
by Joseph L. Walden Back to Basics: Your Guide to
ISBN: 0-8493-2859-4 Manufacturing Excellence
by Steven A. Melnyk and
Supply Chain for Liquids: Out of the Box R.T. Chris Christensen
Approaches to Liquid Logistics ISBN: 1-57444-279-1
by Wally Klatch
ISBN: 0-8493-2853-5 Enterprise Resource Planning and Beyond:
Integrating Your Entire Organization
Supply Chain Architecture: A Blueprint for by Gary A. Langenwalter
Networking the Flow of Material, Information, ISBN: 1-57444-260-0
and Cash
by William T. Walker Inventory Classification Innovation:
ISBN: 1-57444-357-7 Paving the Way for Electronic Commerce
and Vendor Managed Inventory
ERP: Tools, Techniques, and Applications by Russell G. Broeckelmann
for Integrating the Supply Chain ISBN: 1-57444-237-6
by Carol A. Ptak with Eli Schragenheim
ISBN: 1-57444-358-5
 INTEGRAL
LOGISTICS
M A N AG E M E N T
THIRD EDITION

Operations and Supply Chain

Management in Comprehensive
Value-Added Networks

PAUL SCHÖNSLEBEN

Boca Raton New York

Auerbach Publications is an imprint of the

Taylor & Francis Group, an informa business
Auerbach Publications
Taylor & Francis Group
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© 2007 by Taylor & Francis Group, LLC
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Printed in the United States of America on acid‑free paper
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International Standard Book Number‑10: 1‑4200‑5194‑6 (Hardcover)

International Standard Book Number‑13: 978‑1‑4200‑5194‑0 (Hardcover)

This book contains information obtained from authentic and highly regarded sources. Reprinted
material is quoted with permission, and sources are indicated. A wide variety of references are
listed. Reasonable efforts have been made to publish reliable data and information, but the author
and the publisher cannot assume responsibility for the validity of all materials or for the conse‑
quences of their use.

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Foreword to the Third Edition

It is a great pleasure to release this third edition of Integral Logistics

Management — Operations and Supply Chain Management in
Comprehensive Value-added Networks. This is a dynamic field, in both
theory and practice. As the revised subheading to the title of the book
shows, issues in strategy have gained increasing importance. For this
reason, the new edition contains:
• a section on facility location planning, for both production
networks and distribution and service networks
• a section on strategic procurement
• a chapter with an overview of TQM and Six Sigma
• a chapter with an overview of system and project management
• new key figures for classification of planning methods in materials
management

Also, additional interactive Macromedia Flash elements have been

developed that are available for download from the companion Web site to
this book at http://intlogman.ethz.ch/. The Web site is frequently updated
with further learning materials that the reader may like to use.
Readers are invited to send suggestions and comments to me at
[email protected]. The comprehensive index of the book has
been expanded in this edition. The material now covers almost all of the
key terms in the five CPIM modules contained in the APICS CPIM Exam
Content Manual.

In parallel to this third English edition of the book, Springer is publishing

the fifth edition in German, Integrales Logistikmanagement – Operations-
und Supply Chain Management in umfassenden Wertschöpfungs-
netzwerken (ISBN 9783-540-68178-6). Readers of German may like to
know Springer-Verlag has also published a treatment of a subject that
complements this book (that is, integral information management) under
the title Integrales Informationsmanagement: Informationssysteme für
Geschäftsprozesse — Management, Modellierung, Lebenszyklus und
Technologie (ISBN 3-540-41712-5).

Zurich, January 2007 Prof. Dr. Paul Schönsleben

www.lim.ethz.ch/schoensleben/index_EN
VI Forewords and Acknowledgments

Foreword to the First Edition

Changes in the world outside the company alter the way that we look at
problems and priorities in the company itself. This presents new challenges
to company logistics and to planning & control of corresponding business
processes.

While logistics was once understood as storing and transport, today — in

the course of the reorganization of business processes — an integral
perspective on company logistics is making headway. Naturally, products
must still be stored and transported. But now these processes are seen as
disturbing factors that should be reduced as greatly as possible. The
current focus lies on that part of the logistics chain that adds value. This
chain, from sales logistics to research and design logistics, production and
procurement logistics, distribution logistics, service and maintenance
logistics, and — a recent development — disposal logistics, now stands as
a whole as the subject for discussion. We seek improvements at the level
of the comprehensive, coordinated business process. Moreover, more and
more networks of companies arise that develop and manufacture products
in cooperation. The logistics of these coupled companies must work
together closely and rapidly. This also demands integral management of
logistics.

These recent tendencies do not only affect the logistics of the flow of
goods itself, but rather also its planning & control, or, in other words,
administrative and planning logistics. The term PPC (for production
planning & control) has in reality long since been expanded to become
planning & control of the entire logistics network.

Changing requirements in the world of practice often call for new theories
and methods, particularly if earlier theories seem to have lost their
connection to that world. This impression indeed often arises when we
look at what is happening in company logistics. Close examination reveals
that behind the methods and techniques that are sold on today’s market
with new and rousing catchwords there is seldom anything that is really
new. It seems reasonable to assume that the attempt to match existing
knowledge against the rapidly changing reality and — in the sense of
continuous improvement — to expand and adapt it has met with failure.
Here lies the crux of the challenge to company logistics today.

The methods and techniques implemented in planning & control are,

interestingly enough, not dependent upon classification of the tasks and
 Forewords and Acknowledgments VII

competencies in the organization of the company. For example, techniques

of capacity planning do not change according to whether control tasks are
executed by central operations planning and scheduling or, in
decentralized fashion, by the job shops. The algorithms also remain in
principle the same despite being either realized manually or with the aid of
software. The algorithms in a comprehensive software package are also the
same as those of a locally implemented planning board. In contrast,
methods and techniques do indeed change in dependency upon the
entrepreneurial objectives, which the choice of logistics should support.
These objectives relate to key areas such as quality, costs, delivery, or
various aspects of flexibility.

The present volume aims to present the differing characteristics, tasks,

methods, and techniques of planning & control in company logistics as
comprehensively as possible. Development and change in operational
management for company performance should become transparent.
However, we will not be content with a wide-ranging, general treatment of
the subject at the cost of depth and scientific elucidation of the matter at
hand. Due to the very fact that logistics and planning & control take place
at the operational level of a company, competency in the details is
absolutely necessary. Effective plans at the strategic level should not lead
to contradictions and inconsistency at the operational level.

Consultants and the software industry, as well as widespread circles in

educational institutions, produce constant pressure for novelty — which
should not be confused with innovation. There is no need to allow
ourselves to be irritated by such influences, which are often just short-lived
trends. As always, after all, broad, detailed, methodological, and
operational knowledge continues to lead to competency. It is this
competency that makes it possible to classify and relate the various
business processes and the tasks people in companies carry out and to
continuously adapt this system of relations and categorizations to changing
entrepreneurial objectives, market situations, product ranges, and
employee qualifications.

Today, computer-aided planning & control enjoys a very high status in

small- to medium-sized companies. And this is usually rightly so, for the
large amounts of data can often not be handled quickly enough by another
means. For this reason, presentation of the methods of planning & control
in detail will include references to possible IT support.

The present volume is a textbook for industrial engineers, business

managers, engineers and practitioners, and computer scientists as part of
VIII Forewords and Acknowledgments

their studies. It also aims to serve the further education of professionals in

business practice in industry and the service industries.

The book is a translation of my book Integrales Logistikmanagement —

Planung & Steuerung umfassender Geschäftsprozesse, published in 1998
by Springer. The first edition has sold out. The second edition will appear
simultaneously and with the same content as the English version.

You will find a part of the bibliography referring to German books or

papers. This means that I am still looking for English literature on the
specific topic. I would be grateful for any indication of additional English
sources of such a specific topic.

In parts, the book reflects the work of my esteemed colleague Prof. Dr.
Alfred Büchel, to whom I am greatly obliged. This is the case particularly
with regard to the area of his great interest, statistical methods in planning
& control. These are treated mainly in Chapter 9 and Sections 10.3, 10.4,
and 12.2.

Zurich, January 2000 Prof. Dr. Paul Schönsleben

Acknowledgments (Third Edition)

My thanks go first of all to you, my readers, for your numerous

suggestions. And then to my colleagues and fellow members of the APICS
Curricula and Certification Council: you have enriched my work through
your many ideas. Here, special thanks go to Merle Thomas and Roly
White. I am grateful to Dr. Robert Alard, Dr. Matthias Schnetzler, Dr.
Alexander Verbeck, Sören Günther, and Nikolai Iliev, members of my
staff at the Center for Enterprise Sciences (BWI) at the Swiss Federal
Institute of Technology Zurich (ETH), for their valuable input to the new
sections and chapters. And I would like to thank my colleagues Hugo
Tschirky, Hans-Peter Wiendahl and Markus Bärtschi for their continuing
support of my work.

The work of translating and proofreading was again done by Ellen Russon,
East Sandwich, MA ([email protected]), to whom I extend
many thanks. Roger Cruz, Dipl. Ing., and his team again took on ready-to-
print production of this edition. To them also I express my thanks.

Zurich, January 2007 Prof. Dr. Paul Schönsleben

 Forewords and Acknowledgments IX

Acknowledgments (First and Second

Edition)

For the first and second edition, I wish to thank numerous scientific
colleagues here and abroad, for valuable discussions and suggestions.
Special thanks are due to many of the active and engaged experts in the
APICS community.

In particular, I would like to thank:

• Barry Firth, CPIM, Melbourne, for his invaluable help in updating
the classification of fundamental concepts in logistics management
(branches in dependency on characteristic features, production
types, and concepts for planning & control within the enterprise),
as well as for many other contributions.
• Prof. Merle Thomas, CFPIM, Vermont State College, WV, for his
ongoing support of my work.
• Prof. Dr. Alfred Büchel and Prof. Markus Bärtschi, my colleagues
at the chair of Logistics and Information Mangement at ETH
• Paul Bernard, Rapistan Systems, Grand Rapids, MI
• Prof. Dr. Hans-Peter Wiendahl, University of Hannover, Germany
• Prof. Dr. Thomas M. Liebling, ETH Lausanne, Switzerland

For help with the manuscript, particularly for their critical questions, I
wish to thank all previous and current scientific associates and post
graduate students of the chair of Logistics and Information Management of
the Department of Manufacturing, Industrial Engineering and Management
at the Swiss Federal Institute of Technology ETH in Zurich. They make up
far too great a number to list individually here. Instead, I am pleased to
refer to many of their doctoral theses and further scientific works in the
text and bibliography of this book.

And for their untiring help in creating, translating, and correcting the
manuscript, I give hearty thanks to Dipl.Ing. Roger Cruz and all the many
professionals and assistants that participated in this undertaking.

Zurich, April 2003 and January 2000 Prof. Dr. Paul Schönsleben
Overview of Contents

Part A. Concepts, and Fundamentals of Design of Integral

Logistics Management .......................................................................1
1 Logistics and Operations Management and Enterprise
Performance .........................................................................................3
2 Strategic Decisions and Business Relationships in a Supply
Chain ..................................................................................................69
3 Business Process Analysis and Fundamental Logistics
Concepts...........................................................................................151
4 The MRP II / ERP Concept: Business Processes and Methods .......223
5 The Lean / Just-in-Time Concept and Repetitive Manufacturing....309
6 Concepts for Product Families and One-of-a-Kind Production .......365
7 Concepts for the Process Industry....................................................401
8 Logistics Software ...........................................................................437
Part B. Methods of Planning & Control in Complex Logistics
Systems............................................................................................475
9 Demand and Demand Forecast ........................................................479
10 Inventory Management and Stochastic Materials Management ......529
11 Deterministic Materials Management ..............................................585
12 Time Management and Scheduling..................................................627
13 Capacity Management .....................................................................683
14 Order Release and Control...............................................................737
15 Cost Estimating, Job-Order Costing, and Activity-Based
Costing .............................................................................................799
16 Representation and System Management of Logistic Objects.........839
Part C. Overview of Further Management Systems in the
Enterprise .......................................................................................897
17 Quality Management – TQM and Six Sigma...................................901
18 Systems Engineering and Project Management...............................939
References...............................................................................................969
Index .......................................................................................................991
Author’s Note.......................................................................................1034
Table of Contents

At a first reading of the book, some sections are optional in the sense that
they are not necessary in order to understand the material that follows. An
asterisk (*) indicates these sections.

Part A. Concepts, and Fundamentals of Design of Integral

Logistics Management .......................................................................1

1 Logistics and Operations Management and Enterprise

Performance .......................................................................................3
1.1 Basic Definitions ..........................................................................4
1.2 Business Objects in Logistics and Operations Management......15
1.3 Logistics and Operations Management in the
Entrepreneurial Context .............................................................35
1.4 Performance Measurement in Logistics and Operations
Management ...............................................................................51
1.5 Summary ....................................................................................63
1.6 Keywords ...................................................................................64
1.7 Scenarios and Exercises .............................................................65
2 Strategic Decisions and Business Relationships in a Supply
Chain .................................................................................................69
2.1 Make or Buy – The Strategic Process of Designing the
Supply Chain ..............................................................................69
2.2 Strategic Procurement ................................................................80
2.3 Strategic Procurement via a Partnership Relationship ...............95
2.4 Facility Location Planning in Production, Distribution, and
Service Networks .....................................................................115
2.5 Summary ..................................................................................137
2.6 Keywords .................................................................................139
2.7 Scenarios and Exercises ...........................................................139
3 Business Process Analysis and Fundamental Logistics
Concepts..........................................................................................151
3.1 Elements of Business Process Management ............................153
XII Table of Contents

3.2 Push and Pull in the Design of Business Processes..................162

3.3 Important Techniques of Analysis in Business Process
Engineering ..............................................................................168
3.4 Characteristic Features in Logistics and Operations
Management .............................................................................176
3.5 Fundamental Concepts in Logistics and Operations
Management .............................................................................205
3.6 Summary ..................................................................................218
3.7 Keywords .................................................................................219
3.8 Scenarios and Exercises ...........................................................220
4 The MRP II / ERP Concept: Business Processes and
Methods...........................................................................................223
4.1 Business Processes and Tasks in Planning & Control..............224
4.2 Master Planning — Long-Term Planning ................................243
4.3 Introduction to Detailed Planning and Execution ....................263
4.4 Logistics Business Methods in Research and
Development (*).......................................................................280
4.5 Current State of Knowledge of Logistics Management (*)......291
4.6 Summary ..................................................................................298
4.7 Keywords .................................................................................299
4.8 Scenarios and Exercises ...........................................................300
5 The Lean / Just-in-Time Concept and Repetitive
Manufacturing................................................................................309
5.1 Characterizing Lean / Just-in-Time and Repetitive
Manufacturing ..........................................................................311
5.2 The Lean / Just-in-Time Concept.............................................316
5.3 The Kanban Technique ............................................................335
5.4 The Cumulative Production Figures Principle .........................343
5.5 Comparison of Techniques of Materials Management ............346
5.6 Summary ..................................................................................356
5.7 Keywords .................................................................................357
5.8 Scenarios and Exercises ...........................................................358
6 Concepts for Product Families and One-of-a-Kind
Production ......................................................................................365
 Table of Contents XIII

6.1 Logistics Characteristics of a Product Variety Concept...........367

6.2 Adaptive Techniques................................................................379
6.3 Generative Techniques .............................................................388
6.4 Summary ..................................................................................396
6.5 Keywords .................................................................................398
6.6 Scenarios and Exercises ...........................................................398
7 Concepts for the Process Industry................................................401
7.1 Characteristics of the Process Industry ....................................403
7.2 Processor-Oriented Master and Order Data Management........412
7.3 Processor-Oriented Resource Management .............................419
7.4 Special Features of Long-Term Planning.................................426
7.5 Summary ..................................................................................431
7.6 Keywords .................................................................................432
7.7 Scenarios and Exercises ...........................................................433
8 Logistics Software ..........................................................................437
8.1 Software Used for Logistics Purposes: An Introduction ..........437
8.2 Contents of Logistics Software Packages ................................441
8.3 Factors for Successful Implementation of Logistics
Software ...................................................................................456
8.4 Summary ..................................................................................470
8.5 Keywords .................................................................................472
8.6 Scenarios and Exercises ...........................................................472
Part B. Methods of Planning & Control in Complex Logistics
Systems............................................................................................475

9 Demand and Demand Forecast.....................................................479

9.1 Overview of Forecasting Techniques.......................................480
9.2 Historically Oriented Techniques for Constant Demand .........490
9.3 Historically Oriented Techniques with Trend-Shaped
Behavior (*)..............................................................................497
9.4 Future-Oriented Techniques.....................................................507
9.5 Using Forecasts in Planning .....................................................512
9.6 Summary ..................................................................................523
XIV Table of Contents

9.7 Keywords .................................................................................525

9.8 Scenarios and Exercises ...........................................................525
10 Inventory Management and Stochastic Materials
Management ...................................................................................529
10.1 Stores and Inventory Management...........................................531
10.2 Usage Statistics, Analyses, and Classifications........................540
10.3 Order Point Technique and Safety Stock Calculation..............546
10.4 Batch or Lot Sizing ..................................................................564
10.5 Summary ..................................................................................579
10.6 Keywords .................................................................................580
10.7 Scenarios and Exercises ...........................................................581
11 Deterministic Materials Management..........................................585
11.1 Demand and Available Inventory along the Time Axis...........586
11.2 Deterministic Determination of Independent Demand.............597
11.3 Deterministic Determination of Dependent Demand ...............602
11.4 Batch or Lot Sizing ..................................................................611
11.5 Analyzing the Results of Material Requirements Planning
(MRP).......................................................................................617
11.6 Summary ..................................................................................620
11.7 Keywords .................................................................................622
11.8 Scenarios and Exercises ...........................................................623
12 Time Management and Scheduling ..............................................627
12.1 Elements of Time Management ...............................................628
12.2 Buffers and Queues ..................................................................636
12.3 Scheduling of Orders and Scheduling Algorithms...................648
12.4 Splitting, Overlapping, and Extended Scheduling
Algorithms................................................................................667
12.5 Summary ..................................................................................673
12.6 Keywords .................................................................................675
12.7 Scenarios and Exercises ...........................................................675
13 Capacity Management...................................................................683
13.1 Fundamentals of Capacity Management ..................................684
 Table of Contents XV

13.2 Infinite Loading........................................................................690

13.3 Finite Loading ..........................................................................700
13.4 Rough-Cut Capacity Planning..................................................716
13.5 Summary ..................................................................................727
13.6 Keywords .................................................................................728
13.7 Scenarios and Exercises ...........................................................729
14 Order Release and Control ...........................................................737
14.1 Order Release ...........................................................................738
14.2 Shop Floor Control...................................................................759
14.3 Order Monitoring and Shop Floor Data Collection..................770
14.4 Distribution Control .................................................................777
14.5 Summary ..................................................................................791
14.6 Keywords .................................................................................792
14.7 Scenarios and Exercises ...........................................................793
15 Cost Estimating, Job-Order Costing, and Activity-Based
Costing ............................................................................................799
15.1 Costs, Cost Elements, and Cost Structures...............................801
15.2 Cost Estimating ........................................................................811
15.3 Job-Order Costing ....................................................................815
15.4 Activity-Based Costing ............................................................820
15.5 Summary ..................................................................................832
15.6 Keywords .................................................................................833
15.7 Scenarios and Exercises ...........................................................834
16 Representation and System Management of Logistic
Objects ............................................................................................839
16.1 Order Data in Sales, Distribution, Production, and
Procurement .............................................................................841
16.2 The Master Data for Products and Processes ...........................850
16.3 Extensions Arising from Variant-Oriented Concepts...............873
16.4 Extensions Arising from Processor-Oriented Concepts ...........881
16.5 The Management of Product and Engineering Data ................884
16.6 Summary ..................................................................................893
16.7 Keywords .................................................................................894
XVI Table of Contents

16.8 Scenarios and Exercises ...........................................................895

Part C. Overview of Further Management Systems in the
Enterprise .......................................................................................897

17 Quality Management – TQM and Six Sigma ..............................901

17.1 Quality: Concept and Measurement .........................................901
17.2 Quality Management Tasks at the Operations Level ...............910
17.3 Quality Management Systems..................................................928
17.4 Summary ..................................................................................937
17.5 Keywords .................................................................................938
18 Systems Engineering and Project Management..........................939
18.1 Systems Engineering ................................................................941
18.2 Project Management.................................................................952
18.3 Summary ..................................................................................967
18.4 Keywords .................................................................................968
References...............................................................................................969

Index .......................................................................................................991

Author’s Note.......................................................................................1034
Detailed Table of Contents
At a first reading of the book, some sections are optional in the sense that
they are not necessary in order to understand the material that follows. An
asterisk (*) indicates these sections.

Part A. Concepts, and Fundamentals of Design of Integral

Logistics Management .......................................................................1

1 Logistics and Operations Management and Enterprise

Performance .......................................................................................3
1.1 Basic Definitions ..........................................................................4
1.1.1 Goods, Products, and the Product Life Cycle .................................. 4
1.1.2 Basic Definitions in Logistics and Operations Management ........... 7
1.1.3 The Supply Chain — A Value-Added Network ............................ 12
1.2 Business Objects in Logistics and Operations Management......15
1.2.1 Business Partner, Date, Time Period, and Order............................ 16
1.2.2 Item, Item Family, Product Structure, and Product Family ........... 20
1.2.3 Operation, Routing Sheet, Production Structure, and the
Process Plan ................................................................................... 23
1.2.4 Employees, Production Infrastructure, Work Center, Capacity,
and Utilization ............................................................................... 27
1.2.5 Rough-Cut Business Objects ......................................................... 31
1.3 Logistics and Operations Management in the
Entrepreneurial Context .............................................................35
1.3.1 The Contribution of Logistics and Operations Management to
Resolving the Problem of Conflicting Company Objectives ......... 35
1.3.2 The Target Area Flexibility – Agile Companies............................ 42
1.3.3 Logistics and Planning & Control within the Company ................ 45
1.3.4 The Objectives of Transcorporate Logistics and Operations
Management .................................................................................. 48
1.4 Performance Measurement in Logistics and Operations
Management ...............................................................................51
1.4.1 The Basics of the Measurement, Meaning, and Practical
Applicability of Logistics Performance Indicators ........................ 53
1.4.2 Performance Indicators in the Target Area of Quality ................... 54
1.4.3 Performance Indicators in the Target Area of Costs ...................... 55
1.4.4 Performance Indicators in the Target Area of Delivery ................. 57
1.4.5 Performance Indicators in the Target Area of Flexibility .............. 60
1.4.6 Transcorporate Supply Chain Performance Indicators .................. 61
1.5 Summary ....................................................................................63
1.6 Keywords ...................................................................................64
1.7 Scenarios and Exercises .............................................................65
XVIII Detailed Table of Contents

1.7.1 Improvements in Meeting Company Objectives ............................65

1.7.2 Company Performance and the ROI ...............................................66
1.7.3 Rough-Cut Business Objects ..........................................................67

2 Strategic Decisions and Business Relationships in a Supply

Chain .................................................................................................69
2.1 Make or Buy – The Strategic Process of Designing the
Supply Chain ..............................................................................69
2.1.1 Transaction Costs as the Basis of Forming Companies ..................70
2.1.2 Make Strategies: Profit Center, Cost Center, and Semi-
autonomous Organizational Units ..................................................74
2.1.3 Buy-Strategies: Overview on Strategic Procurement .....................77
2.2 Strategic Procurement ................................................................80
2.2.1 Strategic Procurement Portfolios ....................................................81
2.2.2 The Traditional Market-Oriented Relationship...............................84
2.2.3 Supply Management – Supplier Relationship Management ...........86
2.2.4 Strategic Selection of Suppliers......................................................88
2.2.5 Basics of E-Procurement Solutions ................................................92
2.3 Strategic Procurement via a Partnership Relationship ...............95
2.3.1 Supply Chain Management.............................................................95
2.3.2 The Advanced Logistics Partnership (ALP) Model, a Frame-
work for Implementation of Supply Chain Management................98
2.3.3 Top Management Level: Building Trust and Establishing
Principal Relationships .................................................................100
2.3.4 Middle Management Level: Working Out Collaborative
Processes on the Supply Chain .....................................................102
2.3.5 Operational Management Level: Collaborative Order
Processing – Avoiding the Bullwhip Effect..................................105
2.3.6 An Example of Practical Application ...........................................108
2.3.7 The Virtual Enterprise and Other Forms of Coordination
Among Companies .......................................................................111
2.4 Facility Location Planning in Production, Distribution, and
Service Networks .....................................................................115
2.4.1 Design Options for Production, Distribution, and Service
Networks ......................................................................................117
2.4.2 Location Selection for Production Networks: Possible Location
Factors and Procedure ..................................................................121
2.4.3 Location Selection for Production Networks: Criteria and Cost-
Benefit Analysis ...........................................................................124
2.4.4 Location Selection for Distribution and Service Networks ..........130
2.4.5 Location Configuration with Linear Programming.......................136
2.5 Summary ..................................................................................137
2.6 Keywords .................................................................................139
2.7 Scenarios and Exercises ...........................................................139
2.7.1 Supply Management — Supply Chain Management —
Advanced Logistics Partnership (ALP) ........................................139
 Detailed Table of Contents XIX

2.7.2 Evaluate Company Relationships ................................................ 140

2.7.3 The Bullwhip Effect..................................................................... 144
2.7.4 Location Configuration with Linear Programming...................... 145

3 Business Process Analysis and Fundamental Logistics

Concepts..........................................................................................151
3.1 Elements of Business Process Management ............................153
3.1.1 Basic Definitions of Work, Task, Function, and Process............. 153
3.1.2 Terms in Business Process Engineering ...................................... 155
3.1.3 Order Management and Graphical Representation of Logistics
Processes...................................................................................... 157
3.2 Push and Pull in the Design of Business Processes..................162
3.2.1 Pull Logistics ............................................................................... 162
3.2.2 Push Logistics.............................................................................. 164
3.2.3 Synchronization between Use and Manufacturing with
Inventory Control Processes ........................................................ 167
3.3 Important Techniques of Analysis in Business Process
Engineering ..............................................................................168
3.3.1 Organization-Oriented Process Chart .......................................... 169
3.3.2 Manufacturing and Service Processes in the Company-Internal
and Transcorporate Layout .......................................................... 171
3.3.3 Detailed Analysis and Time Study of Processes.......................... 174
3.4 Characteristic Features in Logistics and Operations
Management .............................................................................176
3.4.1 Principle and Validity of Characteristics in Planning & Control . 176
3.4.2 Six Features in Reference to Customer, and Item or
Product or Product Family ........................................................... 178
3.4.3 Five Features in Reference to Logistics and Production
Resources..................................................................................... 184
3.4.4 Seven Features in Reference to the Production or Procurement
Order............................................................................................ 192
3.4.5 Important Relationships between Characteristic Features ........... 197
3.4.6 Features of Transcorporate Logistics in Supply Chains............... 201
3.5 Fundamental Concepts in Logistics and Operations
Management .............................................................................205
3.5.1 Branches of Industry in Dependency Upon Characteristic
Features........................................................................................ 205
3.5.2 Production Types ......................................................................... 207
3.5.3 Concepts for Planning & Control within the Company ............... 210
3.5.4 Selecting an Appropriate Branch Model, Production Type,
and Concept for Planning & Control ........................................... 213
3.5.5 Concepts of Transcorporate Planning & Control of the Supply
Chain............................................................................................ 215
3.6 Summary ..................................................................................218
3.7 Keywords .................................................................................219
XX Detailed Table of Contents

3.8 Scenarios and Exercises ...........................................................220

3.8.1 Concepts for Planning & Control within the Company ................220
3.8.2 Synchronization between Use and Manufacturing with
Inventory Control Processes .........................................................220
3.8.3 Basic Process Analysis and Manufacturing Processes in the
Company-Internal Layout.............................................................221

4 The MRP II / ERP Concept: Business Processes and

Methods...........................................................................................223
4.1 Business Processes and Tasks in Planning & Control..............224
4.1.1 The MRP II Concept and Its Planning Hierarchy .........................224
4.1.2 Part Processes and Tasks in Long-Term and Medium-Term
Planning........................................................................................227
4.1.3 Part Processes and Tasks in Short-Term Planning & Control ......231
4.1.4 Reference Model of Processes and Tasks in Planning & Control.234
4.1.5 Beyond MRP II: DRP II, Integrated Resource Management,
and the “Theory of Constraints” ...................................................238
4.2 Master Planning — Long-Term Planning ................................243
4.2.1 Demand Management: Bid and Customer Blanket Order
Processing and Demand Forecasting ............................................243
4.2.2 Sales and Operations Planning and Resource Requirements
Planning........................................................................................246
4.2.3 Master Scheduling and Rough-Cut Capacity Planning.................252
4.2.4 Verifying the Feasibility of a Master Production Schedule:
Available-to-Promise and Order Promising..................................258
4.2.5 Supplier Scheduling: Blanket Order Processing, Release, and
Coordination .................................................................................260
4.3 Introduction to Detailed Planning and Execution ....................263
4.3.1 Basic Principles of Materials Management Concepts...................263
4.3.2 Overview of Materials Management Techniques .........................266
4.3.3 Basic Principles of Scheduling and Capacity Management
Concepts .......................................................................................271
4.3.4 Overview of Scheduling and Capacity Management Techniques.275
4.4 Logistics Business Methods in Research and
Development (*).......................................................................280
4.4.1 Integrated Order Processing and Simultaneous Engineering ........280
4.4.2 Release Control and Engineering Change Control .......................284
4.4.3 Different Views of the Business Object According to Task .........286
4.4.4 The Concept of Computer-Integrated Manufacturing...................289
4.5 Current State of Knowledge of Logistics Management (*)......291
4.5.1 Historical Overview......................................................................291
4.5.2 The Problem of Knowledge Continuity and the Role of APICS ..293
4.5.3 New Trends and Challenges .........................................................295
4.6 Summary ..................................................................................298
4.7 Keywords .................................................................................299
 Detailed Table of Contents XXI

4.8 Scenarios and Exercises ...........................................................300

4.8.1 Master Scheduling and Product Variants..................................... 300
4.8.2 Available-to-Promise (ATP) ........................................................ 301
4.8.3 Theory of Constraints .................................................................. 302
4.8.4 Master Planning Case .................................................................. 303

5 The Lean / Just-in-Time Concept and Repetitive

Manufacturing................................................................................309
5.1 Characterizing Lean / Just-in-Time and Repetitive
Manufacturing ..........................................................................311
5.1.1 Just-in-Time and Jidoka – Increasing Productivity Through
Eliminating Waste........................................................................ 311
5.1.2 Characteristic Features for Simple and Effective Planning &
Control Techniques of Repetitive Manufacturing........................ 313
5.2 The Lean / Just-in-Time Concept.............................................316
5.2.1 Lead Time Reduction through Setup Time Reduction and
Batch Size Reduction................................................................... 316
5.2.2 Further Concepts of Lead Time Reduction .................................. 320
5.2.3 Line Balancing — Harmonizing the Content of Work ................ 326
5.2.4 Just-in-Time Logistics ................................................................. 330
5.2.5 Generally Valid Advantages of the Lean / Just-in-Time
Concept for Materials Management............................................. 332
5.2.6 Generally Valid Advantages of the Lean / Just-in-Time
Concept for Capacity Management.............................................. 334
5.3 The Kanban Technique ............................................................335
5.3.1 Kanban: A Technique of Execution and Control of Operations .. 335
5.3.2 Kanban: A Technique of Materials Management ........................ 339
5.3.3 Kanban: Long- and Medium-Term Planning ............................... 342
5.4 The Cumulative Production Figures Principle .........................343
5.5 Comparison of Techniques of Materials Management ............346
5.5.1 Comparison of Control Principles behind the Techniques........... 347
5.5.2 Strategy in Choosing Techniques and Implementing Procedures 350
5.5.3 Comparison of Techniques: Kanban versus Order Point
Technique (*)............................................................................... 352
5.6 Summary ..................................................................................356
5.7 Keywords .................................................................................357
5.8 Scenarios and Exercises ...........................................................358
5.8.1 Operation Time versus Operation Cost, or the Effect of
Varying Setup Time and Batch Size ............................................ 358
5.8.2 The Effect of Cellular Manufacturing on Lead Time Reduction . 359
5.8.3 Line Balancing — Harmonizing the Content of Work ................ 361
5.8.4 Calculating the Number of Kanban Cards ................................... 363

6 Concepts for Product Families and One-of-a-Kind

Production ......................................................................................365
XXII Detailed Table of Contents

6.1 Logistics Characteristics of a Product Variety Concept...........367

6.1.1 Standard Product Manufacturing ..................................................368
6.1.2 High-Variety Manufacturing ........................................................370
6.1.3 Low-Variety Manufacturing .........................................................373
6.1.4 Different Variant-Oriented Techniques, the Final Assembly
Schedule, and the Order Penetration Point ...................................374
6.2 Adaptive Techniques................................................................379
6.2.1 Techniques for Standard Products with Few Options...................379
6.2.2 Techniques for Product Families ..................................................384
6.2.3 “Ad Hoc” Derived Variant Structures with One-of-a-Kind
Production According to Customer Specification.........................387
6.3 Generative Techniques.............................................................388
6.3.1 The Combinatorial Aspect and the Problem of Redundant Data ..388
6.3.2 Variants in Bills of Material and Routing Sheets: Production
Rules of a Knowledge-Based System ...........................................391
6.3.3 The Use of Production Rules in Order Processing........................393
6.4 Summary ..................................................................................396
6.5 Keywords .................................................................................398
6.6 Scenarios and Exercises ...........................................................398
6.6.1 Adaptive Techniques for Product Families...................................398
6.6.2 Generative Techniques — The Use of Production Rules in
Order Processing...........................................................................399
6.6.3 Generative Techniques — Setting the Parameters of a Product
Family...........................................................................................399

7 Concepts for the Process Industry................................................401

7.1 Characteristics of the Process Industry ....................................403
7.1.1 Divergent Product Structures and By-Products ............................403
7.1.2 High-Volume Line Production, Flow Resources, and
Inflexible Facilities .......................................................................408
7.1.3 Large Batches, Lot Traceability, and Loops in the Order
Structure .......................................................................................410
7.2 Processor-Oriented Master and Order Data Management........412
7.2.1 Processes, Technology, and Resources.........................................412
7.2.2 The Process Train: A Processor-Oriented Production Structure...414
7.2.3 Lot Control in Inventory Management .........................................417
7.2.4 Overlaying of Production Structures ............................................418
7.3 Processor-Oriented Resource Management .............................419
7.3.1 Campaign Planning.......................................................................419
7.3.2 Processor-Dominated Scheduling versus Material-Dominated
Scheduling ....................................................................................423
7.3.3 Consideration of a Non-Linear Usage Quantity and of a
Product Structure with Loops .......................................................424
7.4 Special Features of Long-Term Planning.................................426
 Detailed Table of Contents XXIII

7.4.1 Determining the Degree of Detail of the Master Production

Schedule....................................................................................... 426
7.4.2 Pipeline Planning across Several Independent Locations ............ 427
7.5 Summary ..................................................................................431
7.6 Keywords .................................................................................432
7.7 Scenarios and Exercises ...........................................................433
7.7.1 Batch Production versus Continuous Production......................... 433
7.7.2 Manufacture of By-Products........................................................ 434
7.7.3 Production Planning in Process Industries ................................... 435

8 Logistics Software ..........................................................................437

8.1 Software Used for Logistics Purposes: An Introduction ..........437
8.1.1 Definitions and Three Types of Software Used for Logistics
Purposes....................................................................................... 437
8.1.2 Scope and Range of Logistics Software....................................... 440
8.2 Contents of Logistics Software Packages ................................441
8.2.1 Logistics in a Comprehensive Information System within the
Company...................................................................................... 442
8.2.2 Logistics Software to Support Comprehensive Information
Systems within the Company....................................................... 444
8.2.3 Software for Customer Order Production or Variant-Oriented
Concepts ...................................................................................... 446
8.2.4 Software for the Process Industry or Processor-Oriented
Concepts ...................................................................................... 448
8.2.5 Software for Transcorporate Planning & Control in a Supply
Chain............................................................................................ 449
8.2.6 Software for Customer Relationship Management (CRM).......... 451
8.2.7 Standard or Company-Specific Software? ................................... 454
8.3 Factors for Successful Implementation of Logistics
Software ...................................................................................456
8.3.1 History and Origin of Logistics Software .................................... 457
8.3.2 Possibilities and Limitations of the Computerization of
Planning & Control...................................................................... 459
8.3.3 Factors that Influence Individual Acceptance and the
Range of Implementation of Logistics Software.......................... 466
8.4 Summary ..................................................................................470
8.5 Keywords .................................................................................472
8.6 Scenarios and Exercises ...........................................................472
8.6.1 Factors that Influence People’s Acceptance of
Logistics Software ....................................................................... 472
8.6.2 Standard or Company-Specific Software..................................... 473
8.6.3 Software for Transcorporate Planning & Control ........................ 473

Part B. Methods of Planning & Control in Complex Logistics

Systems............................................................................................475
XXIV Detailed Table of Contents

9 Demand and Demand Forecast.....................................................479

9.1 Overview of Forecasting Techniques.......................................480
9.1.1 The Problem of Forecasting a Demand ........................................480
9.1.2 Subdivision of Forecasting Techniques ........................................483
9.1.3 Principles of Forecasting Techniques with Extrapolation of
Time Series and the Definition of Variables.................................485
9.2 Historically Oriented Techniques for Constant Demand .........490
9.2.1 Moving Average Forecast.............................................................491
9.2.2 First-Order Exponential Smoothing Forecast ...............................493
9.3 Historically Oriented Techniques with Trend-Shaped
Behavior (*) .............................................................................497
9.3.1 Regression Analysis Forecast .......................................................499
9.3.2 Second-Order Exponential Smoothing Forecast...........................500
9.3.3 Trigg and Leach Adaptive Smoothing Technique ........................503
9.3.4 Seasonality....................................................................................505
9.4 Future-Oriented Techniques.....................................................507
9.4.1 Trend Extrapolation Forecast .......................................................508
9.4.2 Intuitive Forecasting Techniques..................................................510
9.5 Using Forecasts in Planning .....................................................512
9.5.1 Moving Average Forecast versus First-Order Exponential
Smoothing Forecast ......................................................................512
9.5.2 Comparison of Techniques and Choice of Suitable Forecasting
Technique .....................................................................................513
9.5.3 Consumption Distributions and Their Limits, Continuous and
Discontinuous Demand.................................................................514
9.5.4 Demand Forecasting of Options of a Product Family...................518
9.5.5 Safety Demand Calculation for Various Planning Periods ...........519
9.5.6 Translation of Forecast into Quasi-Deterministic Demand and
Administration of the Production or Purchase Schedule ..............521
9.6 Summary ..................................................................................523
9.7 Keywords .................................................................................525
9.8 Scenarios and Exercises ...........................................................525
9.8.1 Choice of Appropriate Forecasting Techniques............................525
9.8.2 Moving Average Forecasting Technique......................................526
9.8.3 First-Order Exponential Smoothing..............................................527
9.8.4 Moving Average Forecast versus First-Order Exponential
Smoothing Forecast ......................................................................528

10 Inventory Management and Stochastic Materials

Management ...................................................................................529
10.1 Stores and Inventory Management...........................................531
10.1.1 Characteristic Features of Stores Management.............................531
10.1.2 Inventory Transactions .................................................................534
10.1.3 Physical Inventory and Inventory Valuation ................................537
 Detailed Table of Contents XXV

10.2 Usage Statistics, Analyses, and Classifications........................540

10.2.1 Statistics on Inventory Transactions, Sales, and Bid Activities ... 540
10.2.2 The ABC Classification ............................................................... 542
10.2.3 The XYZ Classification and Other Analyses and Statistics......... 545
10.3 Order Point Technique and Safety Stock Calculation ..............546
10.3.1 The Order Point Technique.......................................................... 546
10.3.2 Variants of the Order Point Technique ........................................ 548
10.3.3 Safety Stock Calculation with Continuous Demand .................... 551
10.3.4 Determining the Service Level and the Relation of Service
Level to Fill Rate (*).................................................................... 558
10.4 Batch or Lot Sizing ..................................................................564
10.4.1 Production or Procurement Costs: Batch-Size-Dependent Unit
Costs, Setup and Ordering Costs, and Carrying Cost................... 564
10.4.2 Optimum Batch Size and Optimum Length of Order Cycle:
The Classic Economic Order Quantity ........................................ 568
10.4.3 Optimum Batch Size and Optimum Length of Order Cycle in
Practical Application.................................................................... 572
10.4.4 Extensions of the Batch Size Formula (*).................................... 575
10.5 Summary ..................................................................................579
10.6 Keywords .................................................................................580
10.7 Scenarios and Exercises ...........................................................581
10.7.1 The ABC Classification ............................................................... 581
10.7.2 Combined ABC–XYZ Classification........................................... 582
10.7.3 Safety Stock Variation versus Demand Variation........................ 583
10.7.4 Batch Size Depending on Stockout Costs (*) .............................. 583
10.7.5 Effectiveness of the Order Point Technique ................................ 584

11 Deterministic Materials Management..........................................585

11.1 Demand and Available Inventory along the Time Axis ...........586
11.1.1 Projected Available Inventory ..................................................... 587
11.1.2 Projected Available Inventory Calculation .................................. 591
11.1.3 Scheduling and Cumulative Projected Available Inventory
Calculation................................................................................... 592
11.1.4 Operating Curves for Stock on Hand ........................................... 595
11.2 Deterministic Determination of Independent Demand.............597
11.2.1 Customer Order and Distribution Requirements Planning (DRP) 597
11.2.2 Consuming the Forecast by Actual Demand (*) .......................... 600
11.3 Deterministic Determination of Dependent Demand ...............602
11.3.1 Characteristics of Discontinuous Dependent Demand ................. 602
11.3.2 Material Requirements Planning (MRP) and Planned Orders ..... 604
11.3.3 Determining the Timing of Dependent Demand and the
Load of a Planned Order .............................................................. 609
11.4 Batch or Lot Sizing ..................................................................611
11.4.1 Combining Net Requirements into Batches ................................. 611
11.4.2 Comparison of the Different Batch-Sizing Policies ..................... 615
XXVI Detailed Table of Contents

11.5 Analyzing the Results of Material Requirements Planning

(MRP).......................................................................................617
11.5.1 Projected Available Inventory and Pegging..................................617
11.5.2 Action Messages...........................................................................619
11.6 Summary ..................................................................................620
11.7 Keywords .................................................................................622
11.8 Scenarios and Exercises ...........................................................623
11.8.1 Projected Available Inventory Calculation ...................................623
11.8.2 MRP Technique: Determining Net Requirements and Planned
Release..........................................................................................624
11.8.3 Order Point Technique versus MRP Technique ...........................625

12 Time Management and Scheduling ..............................................627

12.1 Elements of Time Management ...............................................628
12.1.1 The Order of the Operations of a Production Order .....................628
12.1.2 Operation Time and Operation Load ............................................631
12.1.3 The Elements of Interoperation Time ...........................................633
12.1.4 Administrative Time.....................................................................634
12.1.5 Transportation Time .....................................................................635
12.2 Buffers and Queues ..................................................................636
12.2.1 Wait Time, Buffers, and the Funnel Model ..................................637
12.2.2 Queues as an Effect of Random Load Fluctuations ......................641
12.2.3 Conclusions for Job Shop Production...........................................644
12.2.4 Logistic Operating Curves ............................................................646
12.3 Scheduling of Orders and Scheduling Algorithms...................648
12.3.1 The Manufacturing Calendar ........................................................649
12.3.2 Calculating the Manufacturing Lead Time ...................................650
12.3.3 Backward Scheduling and Forward Scheduling ...........................653
12.3.4 Network Planning .........................................................................657
12.3.5 Central Point Scheduling ..............................................................660
12.3.6 The Lead-Time-Stretching Factor and Probable Scheduling ........661
12.3.7 Scheduling Process Trains............................................................666
12.4 Splitting, Overlapping, and Extended Scheduling
Algorithms................................................................................667
12.4.1 Order or Lot Splitting ...................................................................667
12.4.2 Overlapping ..................................................................................668
12.4.3 An Extended Formula for Manufacturing Lead Time (*).............669
12.4.4 Extended Scheduling Algorithms (*)............................................672
12.5 Summary ..................................................................................673
12.6 Keywords .................................................................................675
12.7 Scenarios and Exercises ...........................................................675
12.7.1 Queues as an Effect of Random Load Fluctuations (1) ................675
12.7.2 Queues as an Effect of Random Load Fluctuations (2) ................676
12.7.3 Network Planning .........................................................................677
12.7.4 Backward Scheduling and Forward Scheduling ...........................678
 Detailed Table of Contents XXVII

12.7.5 The Lead-Time-Stretching Factor and Probable Scheduling ....... 680

13 Capacity Management...................................................................683
13.1 Fundamentals of Capacity Management ..................................684
13.1.1 Capacity, Work Centers, and Capacity Determination ................ 684
13.1.2 Overview of Capacity Management Techniques ......................... 688
13.2 Infinite Loading........................................................................690
13.2.1 Load Profile Calculation .............................................................. 691
13.2.2 Problems Associated with Algorithms for Load Profile
Calculation................................................................................... 694
13.2.3 Methods of Balancing Capacity and Load ................................... 696
13.2.4 Order-Wise Infinite Loading........................................................ 699
13.3 Finite Loading ..........................................................................700
13.3.1 Operations-Oriented Finite Loading ............................................ 700
13.3.2 Order-Oriented Finite Loading .................................................... 705
13.3.3 Constraint-Oriented Finite Loading ............................................. 712
13.4 Rough-Cut Capacity Planning..................................................716
13.4.1 Rough-Cut Network Plans and Load Profiles .............................. 717
13.4.2 Rough-Cut Infinite Loading......................................................... 720
13.4.3 Rough-Cut Finite Loading ........................................................... 724
13.5 Summary ..................................................................................727
13.6 Keywords .................................................................................728
13.7 Scenarios and Exercises ...........................................................729
13.7.1 Capacity Determination ............................................................... 729
13.7.2 Algorithms for Load Profile Calculation ..................................... 731
13.7.3 Rough-Cut Capacity Planning ..................................................... 733

14 Order Release and Control ...........................................................737

14.1 Order Release ...........................................................................738
14.1.1 Order Proposals for Production and Procurement and Order
Release......................................................................................... 739
14.1.2 Load-Oriented Order Release (Loor) ........................................... 743
14.1.3 Capacity-Oriented Materials Management (Corma).................... 751
14.2 Shop Floor Control...................................................................759
14.2.1 Issuance of Accompanying Documents for Production ............... 760
14.2.2 Operations Scheduling, Dispatching, and Finite Forward
Scheduling ................................................................................... 765
14.2.3 Sequencing Methods.................................................................... 769
14.3 Order Monitoring and Shop Floor Data Collection..................770
14.3.1 Recording Issues of Goods from Stock........................................ 770
14.3.2 Recording Completed Operations................................................ 771
14.3.3 Progress Checking, Quality Control, and Report of Order
Termination.................................................................................. 772
14.3.4 Automatic and Rough-Cut Data Collection ................................. 774
XXVIII Detailed Table of Contents

14.4 Distribution Control .................................................................777

14.4.1 Order Picking................................................................................778
14.4.2 Packaging and Load Building.......................................................781
14.4.3 Transportation to Receiver ...........................................................786
14.5 Summary ..................................................................................791
14.6 Keywords .................................................................................792
14.7 Scenarios and Exercises ...........................................................793
14.7.1 Load-Oriented Order Release (Loor)............................................793
14.7.2 Capacity-Oriented Materials Management (Corma).....................795
14.7.3 Finite Forward Scheduling ...........................................................795
14.7.4 Order Picking................................................................................797

15 Cost Estimating, Job-Order Costing, and Activity-Based

Costing ............................................................................................799
15.1 Costs, Cost Elements, and Cost Structures...............................801
15.1.1 Actual, Direct, and Indirect Costs.................................................801
15.1.2 Average Costs and Standard Costs ...............................................803
15.1.3 Variable Costs and Fixed Costs ....................................................804
15.1.4 Cost Accumulation Breakdown: The Cost Breakdown
Structure of a Product ...................................................................805
15.2 Cost Estimating ........................................................................811
15.2.1 An Algorithm for Cost Estimation of Goods Manufactured.........811
15.2.2 Representation of the Cost Accumulation and Comprehensive
Calculation for a Product Line......................................................814
15.3 Job-Order Costing ....................................................................815
15.3.1 Actual Quantities and Actual Costs ..............................................815
15.3.2 Cost Analysis................................................................................817
15.3.3 The Interface from Order Management to Cost Accounting ........818
15.4 Activity-Based Costing ............................................................820
15.4.1 Limits of Traditional Product Costing ..........................................820
15.4.2 Introducing Activity-Based Costing: Aim, Basic Premise,
Requirements, and Technique.......................................................822
15.4.3 Typical Processes (Activities) and Process Variables ..................826
15.4.4 Activity-Based Product Cost Estimation ......................................828
15.5 Summary ..................................................................................832
15.6 Keywords .................................................................................833
15.7 Scenarios and Exercises ...........................................................834
15.7.1 Job-Order Costing.........................................................................834
15.7.2 Activity-Based Costing.................................................................836
15.7.3 Comparing Job-Order Costing and Activity-Based Costing.........838

16 Representation and System Management of Logistic

Objects ............................................................................................839
 Detailed Table of Contents XXIX

16.1 Order Data in Sales, Distribution, Production, and

Procurement .............................................................................841
16.1.1 Customers and Suppliers.............................................................. 841
16.1.2 The General Structure of Orders in Sales and Distribution,
Production, and Procurement....................................................... 842
16.1.3 The Order and Partial Order Header ............................................ 846
16.1.4 The Order Position....................................................................... 847
16.1.5 Inventories and Inventory Transactions ....................................... 849
16.2 The Master Data for Products and Processes ...........................850
16.2.1 Product, Product Structure, Components, and Operations ........... 851
16.2.2 Item Master.................................................................................. 854
16.2.3 Bill of Material, Bill of Material Position, and Where-Used List 857
16.2.4 Work Center Master Data ............................................................ 865
16.2.5 The Work Center Hierarchy......................................................... 866
16.2.6 Operation and Routing Sheet ....................................................... 868
16.2.7 Production Equipment, Bill of Production Equipment,
and Bill of Tools .......................................................................... 870
16.2.8 Overview of the Basic Master Data Objects ................................ 871
16.3 Extensions Arising from Variant-Oriented Concepts...............873
16.3.1 Expert Systems and Knowledge-Based Systems ......................... 873
16.3.2 Implementation of Production Rules ........................................... 876
16.3.3 A Data Model for Parameterized Representation of a Product
Family (*) .................................................................................... 878
16.4 Extensions Arising from Processor-Oriented Concepts ...........881
16.4.1 Process, Technology and the Processor-Oriented Production
Structure....................................................................................... 881
16.4.2 Objects for Lot Control................................................................ 883
16.5 The Management of Product and Engineering Data ................884
16.5.1 Engineering Data Management.................................................... 884
16.5.2 The Engineering Database as Part of a Computerized System .... 886
16.5.3 Data and Functional Model for General EDM Tasks................... 888
16.5.4 Object Classes and Functions for Release and Engineering
Change Control (*) ...................................................................... 891
16.6 Summary ..................................................................................893
16.7 Keywords .................................................................................894
16.8 Scenarios and Exercises ...........................................................895
16.8.1 Different Forms of Representing Bills of Material ...................... 895
16.8.2 Where-Used Lists ........................................................................ 896
16.8.3 Basic Master Data Objects........................................................... 896

Part C. Overview of Further Management Systems in the

Enterprise .......................................................................................897

17 Quality Management – TQM and Six Sigma ..............................901

17.1 Quality: Concept and Measurement .........................................901
XXX Detailed Table of Contents

17.1.1 Quality of Processes .....................................................................902

17.1.2 Quality of Products.......................................................................904
17.1.3 Quality of Organizations...............................................................905
17.1.4 Quality and Its Measurability .......................................................907
17.1.5 Quality Measurement and Six Sigma ...........................................909
17.2 Quality Management Tasks at the Operations Level ...............910
17.2.1 The Deming Cycle (PDCA Cycle) and the Shewhart Cycle.........911
17.2.2 The Six Sigma Phases...................................................................912
17.2.3 Quality Planning – Define Phase ..................................................914
17.2.4 Quality Control, Part 1 – Measure and Analyze Phases ...............919
17.2.5 Quality Control, Part 2 – Improve Phase, Part 1...........................920
17.2.6 Quality Assurance – Improve Phase, Part 2..................................922
17.2.7 Quality Activation – Control Phase ..............................................924
17.2.8 Project Management, Continuous Improvement, and
Reengineering...............................................................................926
17.3 Quality Management Systems..................................................928
17.3.1 Standards and Norms of Quality Management: ISO 9000:2000...929
17.3.2 The Optimization Paradigm: Models and Awards for Total
Quality Management ....................................................................931
17.3.3 Audits and Procedures for Assessing the Quality of
Organizations................................................................................934
17.3.4 Benchmarking...............................................................................936
17.4 Summary ..................................................................................937
17.5 Keywords .................................................................................938
18 Systems Engineering and Project Management..........................939
18.1 Systems Engineering ................................................................941
18.1.1 Systems Thinking and the Top Down Approach ..........................942
18.1.2 System Phases and System Life Cycle .........................................944
18.1.3 The Problem Solving Cycle..........................................................947
18.1.4 Differences between Software Engineering and Classical
Systems Engineering ....................................................................950
18.2 Project Management.................................................................952
18.2.1 Goals and Constraints of a Project................................................952
18.2.2 Project Phase, Project Life Cycle, and Work Breakdown
Structure .......................................................................................953
18.2.3 Project Scheduling and Effort Planning........................................956
18.2.4 Project Organization .....................................................................959
18.2.5 Project Cost, Benefits, Profitability, and Risk ..............................962
18.3 Summary ..................................................................................967
18.4 Keywords .................................................................................968
References...............................................................................................969

Author’s Note.......................................................................................1034
Part A. Concepts, and Fundamentals of
Design of Integral Logistics
Management

Logistics management is operational management. This means implemen-

ting ideas, concepts, and methods that have the potential to increase the
effectiveness and efficiency of company performance. The symbol below
aims to express the idea.

Magic formulas, catchwords, and simplifying theories do not stand much

of a chance in logistics management. The complex reality of day-to-day
operation of companies in industry and the service sector demands highly
diligent detailed work. Here, in contrast to some strategic concepts in
company management, the proof of truth — namely, effectiveness —
shows up quickly and measurably. Errors in logistics management rapidly
produce dissatisfied customers and employees, and thus poor business
results. This immediacy and measurability do not make it easy to shift the
blame to others.

On the other hand, logistics tasks offer a variety of possible solutions. This
is an area that calls for human creativity, drive, and perseverance. Methods
of planning & control in company logistics, and particularly computer-
supported tools, are after all merely supporting aids. Moreover, experience
has shown repeatedly that the successful use of methods and tools depends
heavily upon the people who implement them.

The eight chapters of Part A of the book deal with logistics management as
embedded in the entrepreneurial activities of developing, manufacturing,
2 Part A. Concepts, and Fundamentals of Design of Integral Logistics Management

using, and disposing goods. The focus is on the objectives, basic

principles, analyses, concepts, systems, and systematic methods of the
management and design of logistics systems both within companies and in
company networks. We introduce planning & control tasks and develop
the methods used to fulfill those tasks in two simple but important cases:
master planning and repetitive manufacturing. Part B, in eight further
chapters, treats the methods of planning & control in complex logistics.
These are the methods used in all temporal ranges of planning & control.
In addition, the detailed discussion of methods to solve the planning &
control tasks in Part B provides the reader with an in-depth methodological
foundation for understanding the concepts in part A.

Some notes to the reader:

• Definitions of key concepts and terms appear in text boxes, and the
terms being defined always appear in italics.

• The definitions of terms sometimes take the form of an indented

bullet list. This form is useful particularly where one and the same
characteristic has varying degrees of expression.

• A gray background highlights important principles, examples,

points to remember, prescribed procedures, steps of a technique, or
solutions of selected scenarios and exercises. The reader will often
find a reference to a figure.

• Some sections of the book are not essential reading for an

understanding of the subsequent material. An asterisk (*) identifies
these optional sections.

• Also optional in this sense are the additional definitions provided

in footnotes. They appear for the sake of completeness or as
information for practitioners or for readers coming from related
disciplines.

We use the following abbreviations in the text:

• R&D for “research and development”
• ID for “identification” (for example, item ID)

For our interactive elements, as well as for additional teaching material,

please refer to: http://www.intlogman.lim.ethz.ch/. In addition, a visit to
our web site could be helpful: http://www.lim.ethz.ch/index_en.htm.
Please direct questions or comments to [email protected].
1 Logistics and Operations Management
and Enterprise Performance

Logistics and operations management deal with the design and

management of productive systems as well as with the planning and
control of daily business operations within a company or in transcorporate
networks, that is in supply chains. This chapter gives an overview of
logistics management and logistics networks in and among companies.

In small companies, the operational management of daily production is

often handled by human beings who, through intuition and on the basis of
experience, find creative solutions. People have unique operational
management abilities, in that they can fill in the blanks accurately and
react flexibly to specific situations.

If, however, processes become more complex, frequent, and rapid,

intuition alone does not suffice. Prior experience can also be misleading. In
large companies and in supply chains, moreover, there are many people
involved in the processes, both simultaneously and in sequence. They
differ with respect to the level of experience, knowledge, and intuition at
their disposal. It is here that the scientific handling of enterprise logistics
comes into play.

An enterprise is seen as a system in which people work together to reach

an entrepreneurial objective. For the purpose of this book, we use company
synonymously with enterprise.

Logistics and operations management stand in the field of tension of the

various stakeholders of the company and its own contradictory objectives.
After defining the basic concepts of logistics and operations management
(in Section 1.1) as well as the related business objects (in Section 1.2), we
will examine this field of tension in Section 1.3. Section 1.3 also presents
fundamental principles of effective logistics networks. The principles
concern the agility of a company as well as the integral treatment and the
transcorporate objectives of the supply chain.

To measure the performance of logistics and operations processes,

enterprises must select appropriate performance indicators that relate to the
company’s business objects and objectives. These measures allow a
company to evaluate the degree to which objectives are reached and to
analyze initial causes and effects. Section 1.4 discusses these performance
indicators for logistics and operations management.
4 1 Logistics and Operations Management and Enterprise Performance

1.1 Basic Definitions

When confronted with practical problems requiring solutions, people are

not generally concerned about definitions. Definitions become essential,
however, when we seek to gain an understanding of the concepts and tech-
niques of integral logistics management. First of all, definitions transmit a
picture of the phenomena under study. They also clear up the misunder-
standings that arise because people and companies make varying usage of
technical terms. And, finally, definitions are indispensable for structured
presentation of the material in a textbook that covers a subject in substan-
tial detail. However, definitions should not detract from the pleasure of
learning new concepts. For this reason, this chapter offers only those defi-
nitions that make clear the level at which the topics are being covered and
that explain how the topics relate to overlapping issues in management.

1.1.1 Goods, Products, and the Product Life Cycle

A good is something that has an economic utility or satisfies an economic

want ([MeWe03]). Goods (the plural form) stands for personal property
having intrinsic value but usually excluding money, securities, and
negotiable instruments. It is the noun form of an adjective that formerly
had the meaning of “fitting in a building or human society,” while today it
can be defined as “suitable, serviceable, convenient, or effective.”

Not all goods exist in nature as such. There are special terms for materials
that are transformed by production functions into goods.

A product, according to [MeWe03], is something brought about by

intellectual or physical effort. An artifact, according to [MeWe03], is
something created by humans, usually for a practical purpose.

For logistics, these nuances of meaning are of minor importance. We

therefore use “artifact” synonymously with “product.”

Materials, according to [MeWe03], are the elements, constituents, or

substances of which something is composed or can be made. Beside raw
materials, also documents, evidence, certificates, or similar things may
serve as materials.

A component is, according to [Long03], one of several parts that together

make up a whole machine or system. With regard to a product, compo-
nents are goods that become part of a product during manufacturing
 1.1 Basic Definitions 5

(through installation, for example) or arise from a product during disposal

(for example, through dismantling).

Material and component are not completely synonymous terms. “Material”

generally refers to rather simple initial resources or information, while
“component” generally refers to semi finished products as well.

Goods may be classified according to several dimensions, such as:

The nature of goods:

• Material goods are produced or traded mainly by companies in the
industrial sector
• Goods of a nonmaterial nature (nonmaterial goods), such as
information, tend to be produced, compiled or traded by companies in
the service industry1 sector.

The use of goods:

• Consumer goods are mainly intended for direct consumption.
• Investment goods are utilized mainly to develop and manufacture
other goods.

In addition to the nature and use of a product, there is thus a further

dimension of products based on the above and shown in Figure 1.1.1.1: the
degree of comprehensiveness of a product is the way that the product is
understood. According to the degree of comprehensiveness, the consumer
sees and judges the quality of products, processes, and the organization.

Product

Product in a broad sense

(includes the services provided)

Product in the most comprehensive

sense (includes the company)

Fig. 1.1.1.1 Comprehensiveness of product understanding: the degree of

comprehensiveness of a product.

1
A service industry is an organization that essentially produces no material goods.
6 1 Logistics and Operations Management and Enterprise Performance

Firstly, during the phase of use, the end user may require service:

Service, according to [MeWe03], is the performance of some useful

function. With companies, service is customer service or customer support.

Customer service or customer support is the ability of a company to

address the needs, inquiries, and requests from customers ([APIC04]).

In many areas, service itself is more important than the products used to
provide the service. For investment goods also, service is becoming
increasingly important and often constitutes the key sales argument.

A product, in a broad sense, is a product along with the services provided,

where the consumer sees the two as a unit.

In addition, the company can also become a sales argument in and of itself.

A product, in the most comprehensive sense, is comprised of the product,

the services provided, and the company itself, with its image and
reputation. Here, the consumer sees all three as a unit.

An example of product in the most comprehensive sense is the concept of

Total Care in the insurance branch. The aim is to give the customer the
idea that the company as a whole will provide all-encompassing care.

Products are made, according to the above definition, by converting goods.

The use or utilization of products leads to their consumption or usage.

Consumption of goods (by the consumer) means, according to [Long03],

the amount of goods that are used (up).

Following consumption, a product must be disposed of properly. There is

thus a life cycle to products.

Put simply, the product life cycle consists of three time periods: design and
manufacturing, use (and ultimately consumption) and disposal.2

2
This is one of several current definitions of the term ([APIC04]). See Section 3.4
for a second definition.
 1.1 Basic Definitions 7

Figure 1.1.1.2 shows the product life cycle. Design, manufacturing,

service, and disposal are seen as value-adding processes,3 symbolized by
the value-adding arrow pointing in the direction of value-adding. Use is
itself a process; however, it is a value-consuming one.

disposal

and use
service
nature consumer

design and manufacturing

Fig. 1.1.1.2 The product life cycle.

The life cycle of material products generally begins with nature and leads
from design and manufacturing to the consumer. A consumed product
must then be disposed of. In the most general case, the life cycle ends once
again with nature, in that the materials are returned to the earth.

The life cycle of nonmaterial products begins with a topic or issue about
which something can be determined. This topic, in a broad sense, can also
be seen as ultimately connected to things in nature, whether to objects or at
least to human thinking about objects. Disposal ends with the information
being erased or deleted. In the broadest sense, then, it is also returned to
nature.

1.1.2 Basic Definitions in Logistics and Operations

Management

Logistics is involved with products over their entire life cycle:

Logistics in and among companies is the organization, planning, and

realization of the total flow of goods, data, and control4 along the entire
product life cycle.

Logistics management deals with efficient and effective management of

day-to-day activity in producing the company’s or corporation’s output.

3
Even disposal is a value-adding process. After use (or being used up), a product
has a negative value as soon as disposal involves costs, such as — at the very least
— fees for trash disposal.
4
See Section 3.1.3 for definitions of flow of goods, data, and control.
8 1 Logistics and Operations Management and Enterprise Performance

The term “operations management” is very similar to the above definition

of logistics management.

Operations, according to [RuTa05], is a function or a system that

transforms input to output of greater value.

Operations management, according to [APIC04], is the planning,

scheduling, and control of the activities that transform input into finished
goods and services.

The term also denotes a field of study of concepts from design engineering
to industrial engineering, management information systems, quality
management, production management, accounting, and other functions as
they affect the operation. According to [RuTa05], it denotes the design and
operation of productive systems — systems for getting work done.

It also makes sense to view the other functional terms found all along the
company’s value chain, namely procurement, production, and sales, from
the management perspective. In the literature, functional terms are usually
defined clearly and distinctly. In contrast, for management terms — like
procurement management, production management, and sales management
— you will often not find formal definitions. In practical usage, however,
these terms do not differ significantly from the definitions given above for
logistics or operations management. This is not surprising, for it is
impossible to conduct successful operations management if it is applied to
only a part of the value chain. For this reason, we assume in the following
that there are no significant differences among all these management terms
(see also [GüTe97]).

Value-added management can thus be used as a generalized term for all

the types of management mentioned above.5

Figure 1.1.2.1 shows a graphical representation of how the terms fit the
company’s internal and external activities.

Design and manufacturing logistics encompasses all logistics along the

way to the consumer. Disposal logistics runs back from the consumer.
Service logistics accompany the use phase.

5
“Value-added” is defined in Section 3.1.2.
 1.1 Basic Definitions 9

Supplier A
Company Client A

Client B
Supplier B

Procurement

Production

formation)
(Trans-
Client C

Sales
Supplier C

Client D

Supplier D Logistics
Client E

Delivery Input: Process: Output: Delivery

Materials, Transfor- Goods,
technology, mation services
Demand, energy, time, Waste, noise,
Demand,
Feedback labor, capital energy
Operations Feedback

Procurement management Production management Logistics management

Value-added management
Sales and distribution management Operations management

Fig. 1.1.2.1 Assignment of terms to value-added management.

In the following, we will examine manufacturing logistics in order to

illustrate the most important principles of logistics. These same principles
will apply to disposal logistics as well.

A fundamental problem in logistics is temporal synchronization between

use and manufacturing. Here are some basic definitions:

Demand, according to [APIC04], is the need for a particular product or

component. The demand could come from any number of sources, e.g.,
customer order or forecast, an interplant requirement, or a request from a
branch warehouse for a service part or for manufacturing another product.
Exploring the Variety of Random
Documents with Different Content
sanguine as Charles and far more energetic, he was for the rest of
the campaign the guiding spirit of the Royalists, but being a civilian
he proved incapable of judging the military factors in the situation
from a military standpoint, and not only did he offend the officers by
constituting himself a sort of confidential military secretary to the
king, but he was distrusted by all sections of Royalists for his
reckless optimism. The resumption of the northern enterprise,
opposed by Rupert and directly inspired by Digby, led to nothing.
Charles marched by Bridgnorth, Lichfield and Ashbourne to
Doncaster, where on the i8th of August he was met by great
numbers of Yorkshire gentlemen with promises of fresh recruits. For
a moment the outlook was bright, for the Derbyshire men with Cell
were far away at Worcester with Leven, the Yorkshire
Parliamentarians engaged in besieging Scarborough Castle,
Pontefract and other posts. But two days later he heard that David
Leslie with the cavalry of Leven's army was coming up behind him,
and that, the Yorkshire sieges being now ended, Major-General
Poyntz's force lay in his front. It was now impossible to wait for the
new levies, and reluctantly the king turned back to Oxford, raiding
Huntingdonshire and other parts of the hated Eastern Association en
route. 40. Montrose'sLast Victories. — David Leslie did not pursue
him. Montrose, though the king did not yet know it, had won two
more battles, and was practically master of all Scotland. After
Auldearn he had turned to meet Baillie's army in Strathspey, and by
superior mobility and skill forced that commander to keep at a
respectful distance. He then turned upon a new army which Lindsay,
titular earl of Crawford, was forming in Forfarshire, but that
commander betook himself to a safe distance, and Montrose
withdrew into the Highlands to find recruits (June). The victors of
Auldearn had mostly dispersed on the usual errand, and he was now
deserted by most of the Gordons, who were recalled by the chief of
their clan, the marquess of Huntly, in spite of the indignant
remonstrances of Huntly's heir, Lord Gordon, who was Montrose's
warmest admirer. Baillie now approached again, but he was
weakened by having to find trained troops to stiffen Lindsay's levies,
and a strong force of the Gordons had now been persuaded to rejoin
Montrose. The two armies met in battle near Alford on the Don; little
can be said of the engagement save that Montrose had to fight
cautiously and tentatively as at Aberdeen, not in the decision-forcing
spirit of Auldearn, and that in the end Baillie's cavalry gave way and
his infantry was cut down as it stood. Lord Gordon was amongst the
Royalist dead (July 2) . The plunder was put away in the glens
before any attempt was made to go forward, and thus the
Covenanters had leisure to form a numerous, if not very coherent,
army on the nucleus of Lindsay's troops. Baillie, much against his
will, was continued in the command, with a council of war (chiefly of
nobles whom Montrose had already defeated, such as Argyll, Elcho
and Balfour) to direct his every movement. Montrose, when rejoined
by the Highlanders, moved to meet him, and in the last week of July
and the early part of August there were manoeuvres and minor
engagements round Perth. About the 7th of August Montrose
suddenly slipped away into the Lowlands, heading for Glasgow.
Thereupon another Covenanting army began to assemble in
Clydesdale. But it was clear that Montrose could beat mere levies,
and Baillie, though without authority and despairing of success,
hurried after him. Montrose then, having drawn Baillie's Fifeshire
militia far enough from home to ensure their being discontented,
turned upon them on the i4th of August near Kilsyth. Baillie
protested against fighting, but his aristocratic masters of the council
of war decided to cut off Montrose from the hills by turning his left
wing. The Royalist general seized the opportunity, and his advance
caught them in the very act of making a flank march (August 15).
The head of the Covenanters' column was met and stopped by the
furious attack of the Gordon infantry, and Alastair Macdonald led the
men of his own name and the Macleans against its flank. A breach
was made in the centre of Baillie's army at the first rush, and then
The text on this page is estimated to be only 28.79%
accurate

416 GREAT REBELLION Montrose sent in the Gordon and

Ogilvy horse. The leading half of the column was surrounded,
broken up and annihilated. The rear half, seeing the fate of its
comrades, took to flight, but in vain, for the Highlanders pursued d
entrance. Only about one hundred Covenanting infantry out of six
thousand escaped. Montrose was now indeed the king's lieutenant in
all Scotland. 41. Fall of Bristol. — But Charles was in no case to
resume his northern march. Fairfax and the New Model, after
reducing Bridgwater, had turned back to clear away the Dorsetshire
Clubmen and to besiege Sherborne Castle. On the completion of this
task, it had been decided to besiege Bristol, and on the 23rd of
August — while the king's army was still in Huntingdon, and Goring
was trying to raise a new army to replace the one he had lost at
Langport and Bridgwater — the city was invested. In these urgent
circumstances Charles left Oxford for the west only a day or two
after he had come in from the Eastern Association raid. Calculating
that Rupert could hold out longest, he first moved to the relief of
Worcester, around which place Leven's Scots, no longer having
Leslie's cavalry with them to find supplies, were more occupied with
plundering their immediate neighbourhood for food than with the
siege works. Worcester was relieved on the ist of September by the
king. David Leslie with all his cavalry was already on the march to
meet Montrose, and Leven had no alternative but to draw off his
infantry without fighting. Charles entered Worcester on the 8th, but
he found that he could no longer expect recruits from South Wales.
Worse was to come. A few hours later, on the night of the gth-ioth,
Fairfax's army stormed Bristol. Rupert had long realized the
hopelessness of further fighting — the very summons to surrender
sent in by Fairfax placed the fate of Bristol on the political issue, —
the lines of defence around the place were too extensive for his
small force, and on the nth he surrendered on terms. He was
escorted to Oxford with his men, conversing as he rode with the
officers of the escort about peace and the future of his adopted
country. Charles, almost stunned by the suddenness of the
catastrophe, dismissed his nephew from all his offices and ordered
him to leave England, and for almost the last time called upon
Goring to rejoin the main army — if a tiny force of raw infantry and
disheartened cavalry can be so called — in the neighbourhood of
Raglan. But before Goring could be brought to withdraw his
objections Charles had again turned northward towards Montrose. A
weary march through the Welsh hills brought the Royal army on the
22nd of September to the neighbourhood of Chester. Charles himself
with one body entered the city, which was partially invested by the
Parliamentarian colonel Michael Jones, and the rest under Sir
Marmaduke Langdale was sent to take Jones's lines in reverse. But
at the opportune moment Poyntz's forces, which had followed the
king's movements since he left Doncaster in the middle of August,
appeared in rear of Langdale, and defeated him in the battle of
Rowton Heath (September 24), while at the same time a sortie of
the king's troops from Chester was repulsed by Jones. Thereupon
the Royal army withdrew to Denbigh, and Chester, the only
important seaport remaining to connect Charles with Ireland, was
again besieged. 42. Philiphaugh. — Nor was Montrose's position,
even after Kilsyth, encouraging, in spite of the persistent rumours of
fighting in Westmorland that reached Charles and Digby. Glasgow
and Edinburgh were indeed occupied, and a parliament summoned
in the king's name. But Montrose had now to choose between
Highlanders and Lowlanders. The former, strictly kept away from all
that was worth plundering, rapidly vanished, even Alastair
Macdonald going with the rest. Without the Macdonalds and the
Gordons, Montrose's military and political resettlement of Scotland
could only be shadowy, and when he demanded support from the
sturdy middle classes of the Lowlands, it was not forgotten that he
had led Highlanders to the sack of Lowland towns. Thus his new
supporters could only come from amongst the discontented and
undisciplined Border lords and gentry, and long before these moved
to join him the romantic conquest of Scotland was over. On the 6th
of September David Leslie had recrossed the frontier with his cavalry
and some infantry he had picked up on the way through northern
England. Early on the morning of the I3th he surprised Montrose at
Philiphaugh near Selkirk. The king's lieutenant had only 650 men
against 4000, and the battle did not last long. Montrose escaped
with a few of his principal adherents, but his little army was
annihilated. Of the veteran Macdonald infantry, 500 strong that
morning, 250 were killed in the battle and the remainder put to
death after accepting quarter. The Irish, even when they bore a
Scottish name, were, by Scotsmen even more than Englishmen,
regarded as beasts to be knocked on the head. After Naseby the
Irishwomen found in the king's camp were branded by order of
Fairfax; after Philiphaugh more than 300 women, wives or followers
of Macdonald's men, were butchered. Montrose's Highlanders at
their worst were no more cruel than the sober soldiers of the kirk.
43. Digby's Northern Expedition. — Charles received the news of
Philiphaugh on the a8th of September, and gave orders that the
west should be abandoned, the prince of Wales should be sent to
France, and Goring should bring up what forces he could to the
Oxford region. On the 4th of October Charles himself reached
Newark (whither he had marched from Denbigh after revictualling
Chester and suffering the defeat of Rowton Heath). The intention to
go to Montrose was of course given up, at any rate for the present,
and he was merely waiting for Goring and the Royalist militia of the
west — each in its own way a broken reed to lean upon. A hollow
reconciliation was patched up between Charles and Rupert, and the
court remained at Newark for over a month. Before it set out to
return to Oxford another Royalist force had been destroyed. On the
I4th of October, receiving information that Montrose had raised a
new army, the king permitted Langdale's northern troops to make a
fresh attempt to reach Scotland. At Langdale's request Digby was
appointed to command in this enterprise, and, civilian though he
was, and disastrous though his influence had been to the discipline
of the army, he led it boldly and skilfully. His immediate opponent
was Poyntz, who had followed the king step by step from Doncaster
to Chester and back to Welbeck ,and he succeeded on the 1 5th in
surprising Poyntz's entire force of foot at Sherburn. Poyntz's cavalry
were soon after this reported approaching from the south, and Digby
hoped to trap them also. At first all went well and body after body of
the rebels was routed. But by a singular mischance the Royalist main
body mistook the Parliamentary squadrons in flight through
Sherburn for friends, and believing all was lost took to flight also.
Thus Digby's cavalry fled as fast as Poyntz's and in the same
direction, and the latter, coming to their senses first, drove the
Royalist horse in wild confusion as far as Skipton. Lord Digby was
still sanguine, and from Skipton he actually penetrated as far as
Dumfries. But whether Montrose's new army was or was not in the
Lowlands, it was certain that Leven and Leslie were on the Border,
and the mad adventure soon came to an end. Digby, with the mere
handful of men remaining to him, was driven back into Cumberland,
and on the 24th of October, his army having entirely disappeared, he
took ship with his officers for the Isle of Man. Poyntz had not
followed him beyond Skipton, and was now watching the king from
Nottingham, while Rossiter with the Lincoln troops was posted at
Grantham. The king's chances of escaping from Newark were
becoming smaller day by day, and they were not improved by a
violent dispute between him and Rupert, Maurice, Lord Gerard and
Sir Richard Willis, at the end of which these officers and many others
rode away to ask the Parliament for leave to go over-seas. The
pretext of the quarrel mattered little, the distinction between the
views of Charles and Digby on the one hand and Rupert and his
friends on the other was fundamental — to the latter peace had
become a political as well as a military necessity. Meanwhile south
Wales, with the single exception of Raglan Castle, had been overrun
by the Parliamentarians. Everywhere the Royalist posts were falling.
The New Model, no longer fearing Goring, had divided, Fairfax
reducing the garrisons of Dorset and Devon, Cromwell those of
Hampshire. Amongst the latter was the famous Basing House, which
was stormed at dawn on the
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GREAT REBELLION j 4th of October and burnt to the

ground. Cromwell, his work finished, returned to headquarters, and
the army wintered in the neighbourhood of Crediton. 44. End of the
First War. — The military events of 1646 call for no comment. The
only field army remaining to the king was Goring's, and though
Hopton, who sorrowfully accepted the command after Goring's
departure, tried at the last moment to revive the memories and the
local patriotism of 1643, it was of no use to fight against the New
Model with the armed rabble that Goring turned over to him.
Dartmouth surrendered on January 18, Hopton was defeated at
Torrington on February 16, and surrendered the remnant of his
worthless army on March 14. Exeter fell on April 13. Elsewhere,
Hereford was taken on December 17, 1645, and the last battle of the
war was fought and lost at Stow-on-the-Wold by Lord Astley on
March 2 1 , 1646. Newark and Oxford fell respectively on May 6 and
June 24. On August3i MontroseescapedfromtheHighlands. On the
igth of the same month Raglan Castle surrendered, and the last
Royalist post of all, Harlech Castle, maintained the useless struggle
until March 13, 1647. Charles himself, after leaving Newark in
November 1645, had spent the winter in and around Oxford,
whence, after an adventurous journey, he came to the camp of the
Scottish army at Southwell on May 5, 1646. 45. Second Civil War
(1648-52).— The close of the First Civil War left England and
Scotland in the hands potentially of any one of the four parties or
any combination of two or more that should prove strong enough to
dominate the rest. Armed political Royalism was indeed at an end,
but Charles, though practically a prisoner, considered himself and
was, almost to the last, considered by the rest as necessary to
ensure the success of whichever amongst the other three parties
could come to terms with him. Thus he passed successively into the
hands of the Scots, the Parliament and the New Model, trying to
reverse the verdict of arms by coquetting with each in turn. The
Presbyterians and the Scots, after Cornet Joyce of Fairfax's horse
seized upon the person of the king for the army (June 3, 1647),
began at once to prepare for a fresh civil war, this time against
Independency, as embodied in the New Model — henceforward
called the Army — and after making use of its sword, its opponents
attempted to disband it, to send it on foreign service, to cut off its
arrears of pay, with the result that it was exasperated beyond
control, and, remembering not merely its grievances but also the
principle for which it had fought, soon became the most powerful
political party in the realm. From 1646 to 1648 the breach between
army and parliament widened day by day until finally the
Presbyterian party, combined with the Scots and the remaining
Royalists, felt itself strong enough to begin a second civil war. 46.
The English War. — In February 1648 Colonel Poyer, the
Parliamentary governor of Pembroke Castle, refused to hand over his
command to one of Fairfax's officers, and he was soon joined by
some hundreds of officers and men, who mutinied, ostensibly for
arrears of pay, but really with political objects. At the end of March,
encouraged by minor successes, Poyer openly declared for the king.
Disbanded soldiers continued to join him in April, all South Wales
revolted, and eventually he was joined by Major-General Laugharne,
his district commander, and Colonel Powel. In April also news came
that the Scots were arming and that Berwick and Carlisle had been
seized by the English Royalists. Cromwell was at once sent off at the
head of a strong detachment to deal with Laugharne and Poyer. But
before he arrived Laugharne had been severely defeated by Colonel
Horton at St Fagans (May 8). The English Presbyterians found it
difficult to reconcile their principles with their allies when it appeared
that the prisoners taken at St Fagans bore " We long to see our King
" on their hats; very soon in fact the English war became almost
purely a Royalist revolt, and the war in the north an attempt to
enforce a mixture of Royalism and Presbyterianism on Englishmen by
means of a Scottish army. The former were disturbers of the peace
and no more. Nearly all the Royalists who had fought in the First
Civil War had given their parole not to bear arms against the xn. 14
Parliament, and many honourable Royalists, foremost amongst them
the old Lord Astley, who had fought the last battle for the king in
1646, refused to break their word by taking any part in the second
war. Those who did so, and by implication those who abetted them
in doing so, were likely to be treated with the utmost rigour if
captured, for the army was in a less placable mood in 1648 than in
1645, and had already determined to " call Charles Stuart, that man
of blood, to an account for the blood he had shed." On the zist of
May Kent rose in revolt in the king's name. A few days later a most
serious blow to the Independents was struck by the defection of the
navy, from command of which they had removed Vice-Admiral
Batten, as being a Presbyterian. Though a former lord high admiral,
the earl of Warwick, also a Presbyterian, was brought back to the
service, it was not long before the navy made a purely Royalist
declaration and placed itself under the command of the prince of
Wales. But Fairfax had a clearer view and a clearer purpose than the
distracted Parliament. He moved quickly into Kent, and on the
evening of June i stormed Maidstone by open force, after which the
local levies dispersed to their homes, and the more determined
Royalists, after a futile attempt to induce the City of London to
declare for them, fled into Essex. In Cornwall, Northamptonshire,
North Wales and Lincolnshire the revolt collapsed as easily. Only in
South Wales, Essex and the north of England was there serious
fighting. In the first of these districts Cromwell rapidly reduced all
the fortresses except Pembroke, where Laugharne, Poyer and Powel
held out with the desperate courage of deserters. In the north,
Pontefract was surprised by the Royalists, and shortly afterwards
Scarborough Castle declared for the king. Fairfax, after his success
at Maidstone and the pacification of Kent, turned northward to
reduce Essex, where, under their ardent, experienced and popular
leader Sir Charles Lucas, the Royalists were in arms in great
numbers. He soon drove the enemy into Colchester, but the first
attack on the town was repulsed and he had to settle down to a long
and wearisome siege en regie. A Surrey rising, remembered only for
the death of the young and gallant Lord Francis Villiers in a skirmish
at Kingston (July 7), collapsed almost as soon as it had gathered
force, and its leaders, the duke of Buckingham and the earl of
Holland, escaped, after another attempt to induce London to declare
for them, to St Albans and St Neots, where Holland was taken
prisoner. Buckingham escaped over-seas. 47. Lambert in the North.—
By the loth of July therefore the military situation was well defined.
Cromwell held Pembroke, Fairfax Colchester, Lambert Pontefract
under siege; elsewhere all serious local risings had collapsed, and
the Scottish army had crossed the Border. It is on the adventures of
the latter that the interest of the war centres. It was by no means
the veteran army of Leven, which had long been disbanded. For the
most part it consisted of raw levies, and as the kirk had refused to
sanction the enterprise of the Scottish parliament, David Leslie and
thousands of experienced officers and men declined to serve. The
duke of Hamilton proved to be a poor substitute for Leslie; his army,
too, was so ill provided that as soon as England was invaded it
began to plunder the countryside for the bare means of sustenance.
Major-General Lambert, a brilliant young general of twenty-nine, was
more than equal to the situation. He had already left the sieges of
Pontefract and Scarborough to Colonel Rossiter, and hurried into
Cumberland to deal with the English Royalists under Sir Marmaduke
Langdale. With his cavalry he got into touch with the enemy about
Carlisle and slowly fell back, fighting small rearguard actions to
annoy the enemy and gain time, to Bowes and Barnard Castle.
Langdale did not follow him into the mountains, but occupied himself
in gathering recruits and supplies of material and food for the Scots.
Lambert, reinforced from the midlands, reappeared early in June and
drove him back to Carlisle with his work half finished. About the
same time the local horse of Durham and Northumberland were put
into the field by Sir A. Hesilrige, governor of Newcastle, and under
the command of Colonel Robert Lilburne won a considerable success
(June 30) at the river Coquet. This reverse, coupled with the
existence of Langdale's
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GREAT REBELLION force on the Cumberland side,

practically compelled Hamilton to choose the west coast route for his
advance, and his army began slowly to move down the long couloir
between the mountains and the sea. The campaign which followed
is one of the most brilliant in English history. 48. Campaign of
Preston. — On the 8th of July the Scots, with Langdale as advanced
guard, were about Carlisle, and reinforcements from Ulster were
expected daily. Lambert's horse were at Penrith, Hexham and
Newcastle, too weak to fight and having only skilful leading and
rapidity of movement to enable them to gain time. Far away to the
south Cromwell was still tied down before Pembroke, Fairfax before
Colchester. Elsewhere the rebellion, which had been put down by
rapidity of action rather than sheer weight of numbers, smouldered,
and Prince Charles and the fleet cruised along the Essex coast.
Cromwell and Lambert, however, understood each other perfectly,
while the Scottish commanders quarrelled with Langdale and each
other. Appleby Castle surrendered to the Scots on the 3ist of July,
whereat Lambert, who was still hanging on to the flank of the
Scottish advance, fell back from Barnard Castle to Richmond so as to
close Wensleydale against any attempt of the invaders to march on
Pontefract. All the restless energy of Langdale's horse was unable to
dislodge him from the passes or to find out what was behind that
impenetrable cavalry screen. The crisis was now at hand. Cromwell
had received the surrender of Pembroke on the nth, and had
marched off, with his men unpaid, ragged and shoeless, at full speed
through the midlands. Rains and storms delayed his march, but he
knew that Hamilton in the broken ground of Westmorland was still
worse off. Shoes from Northampton and stockings from Coventry
met him at Nottingham, and, gathering up the local levies as he
went, he made for Doncaster, where he arrived on the 8th of
August, having gained six days in advance of the time he had
allowed himself for the march. He then called up artillery from Hull,
exchanged his local levies for the regulars who were besieging
Pontefract, and set off to meet Lambert. On the 1 2th he was at
Wetherby, Lambert with horse and foot at Otley, Langdale at Skipton
and Gargrave, Hamilton at Lancaster, and Sir George Monro with the
Scots from Ulster and the Carlisle Royalists (organized as a separate
command owing to friction between Monro and the generals of the
main army) at Hornby. On the i3th, while Cromwell was marching to
join Lambert at Otley, the Scottish leaders were still disputing as to
whether they should make for Pontefract or continue through
Lancashire so as to join Lord Byron and the Cheshire Royalists. 49.
Preston Fight. — On the I4th Cromwell and Lambert were at
Skipton, on the isth at Gisburn, and on the i6th they marched down
the valley of the Ribble towards Preston with full knowledge of the
enemy's dispositions and full determination to attack him. They had
with them horse and foot not only of the army, but also of the militia
of Yorkshire, Durham, Northumberland and Lancashire, and withal
were heavily outnumbered, having only 8600 men against perhaps
20,000 of Hamilton's command. But the latter were scattered for
convenience of supply along the road from Lancaster, through
Preston, towards Wigan, Langdale's corps having thus become the
left flank guard instead of the advanced guard. Langdale called in his
advanced parties, perhaps with a view to resuming the duties of
advanced guard, on the night of the i3th, and collected them near
Longridge. It is nc-t clear whether he reported Cromwell's advance,
but, if he did, Hamilton ignored the report, for on the i7th Monro
was half a day's march to the north, Langdale east of Preston, and
the main army strung out on the Wigan road, Major-General Baillie
with a body of foot, the rear of the column, being still in Preston.
Hamilton, yielding to the importunity of his lieutenant-general, the
earl of Callendar, sent Baillie across the Ribble to follow the main
body just as Langdale, with 3000 foot and 500 horse only, met the
first shock of Cromwell's attack on Preston Moor. Hamilton, like
Charles at Edgehill, passively shared in, without directing, the battle,
and, though Langdale's men fought magnificently, they were after
four hours' struggle driven to the Ribble. Baillie attempted to cover
the Ribble and Darwen bridges on the Wigan road, but Cromwell had
forced his way across both before nightfall. Pursuit was at once
undertaken, and not relaxed until Hamilton had been driven through
Wigan and Winwick to Uttoxeter and Ashbourne. There, pressed
furiously in rear by Cromwell's horse and held up in front by the
militia of the midlands, the remnant of the Scottish army laid down
its arms on the 25th of August. Various attempts were made to raise
the Royalist standard in Wales and elsewhere, but Preston was the
death-blow. On the z8th of August, starving and hopeless of relief,
the Colchester Royalists surrendered to Lord Fairfax. The victors in
the Second Civil War were not merciful to those who had brought
war into the land again. On the evening of the surrender of
Colchester, Sir Charles Lucas and Sir George Lisle were shot.
Laugharne, Poyer and Powel were sentenced to death, but Poyer
alone was executed on the 25th of April 1649, being the victim
selected by lot. Of five prominent Royalist peers who had fallen into
the hands of the Parliament, three, the duke of Hamilton, the earl of
Holland, and Lord Capel, one of the Colchester prisoners and a man
of high character, were beheade J at Westminster on the 9th of
February. Above all, after long hesitations, even after renewal of
negotiations, the army and 'ie Independents " purged " the Houses
of their ill-wishers, and created a court for the trial and sentence of
the king. The more resolute of the judges nerved the rest to sign the
death-warrant, and Charles was beheaded at Whitehall on the 30th
of January. 50. Cromwell in Ireland. — The campaign of Preston was
undertaken under the direction of the Scottish parliament, not the
kirk, and it needed the execution of the king to bring about a union
of all Scottish parties against the English Independents. Even so,
Charles II. in exile had to submit to long negotiations and hard
conditions before he was allowed to put himself at the head of the
Scottish armies. The marquis of Huntly was executed for taking up
arms for the king on the 22nd of March 1649. Montrose, under
Charles's directions, made a last attempt to rally the Scottish
Royalists early in 1650. But Charles merely used Montrose as a
threat to obtain better conditions for himself from the Covenanters,
and when the noblest of all the Royalists was defeated (Carbisdale,
April 27), delivered up to his pursuers (May 4), and executed (May
21, 1650), he was not ashamed to give way to the demands of the
Covenanters, and to place himself at the head of Montrose's
executioners. His father, whatever his faults, had at least chosen to
die for an ideal, the Church of England. Charles II. now proposed to
regain the throne by allowing Scotland to impose Presbyterianism on
England, and dismissed all the faithful Cavaliers who had followed
him to exile. Meanwhile, Ireland, in which a fresh war, with openly
anti-English and anti-Protestant objects, had broken out in 1648,
was thoroughly reduced to order by Cromwell, who beat down all
resistance by his skill, and even more by his ruthless severity, in a
brief campaign of nine months (battle of Rathmines near Dublin,
won by Colonel Michael Jones, August 2, 1649; storming of
Drogheda, September n, and of Wexford, October ii, by Cromwell;
capture of Kilkenny, March 28, 1650, and of Clonmel, May 10).
Cromwell returned to England at the end of May 1650, and on June
26 Fairfax, who had been anxious and uneasy since the execution of
the king, resigned the command-in-chief of the army to his
lieutenant-general. The pretext, rather than the reason, of Fairfax's
resignation was his unwillingness to lead an English army to reduce
Scotland. 51. The Invasion of Scotland. — This important step had
been resolved upon as soon as it was clear that Charles II. would
come to terms with the Covenanters. From this point the Second
Civil War becomes a war of England against Scotland. Here at least
the Independents carried the whole of England with them. No
Englishman cared to accept a settlement at the hands of a victorious
foreign army, and on the 28th of June, five days after Charles~II.
had sworn to the Covenant, the new lord-general was on his way to
the Border to take command of the English army. About the same
time a new militia act was passed that was destined to give full and
decisive effect to the
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GREAT REBELLION 419 national spirit of England in the

great final campaign of the war. Meanwhile the motto frappez fort,
frappez vile was carried out at once by the regular forces. On the
igth of July 1650 Cromwell made the final arrangements at Berwick-
on-Tweed. MajorGeneral Harrison, a gallant soldier and an extreme
Independent, was to command the regular and auxiliary forces left
in England, and to secure the Commonwealth against Royalists and
Presbyterians. Cromwell took with him Fleetwood as lieutenant-
general and Lambert as major-general, and his forces numbered
about 10,000 foot and 5000 horse. His opponent David Leslie (his
comrade of Marston Moor) had a much larger force, but its degree of
training was inferior, it was more than tainted by the political
dissensions of the people at large, and it was, in great part at any
rate, raised by forced enlistment. On the 22nd of July Cromwell
crossed the Tweed. He marched on Edinburgh by the sea coast,
through Dunbar, Haddington and Musselburgh, living almost entirely
on supplies landed by the fleet which accompanied him — for the
country itself was incapable of supporting even a small army — and
on the 2pth he found Leslie's army drawn up and entrenched in a
position extending from Leith to Edinburgh. 52. Operations around
Edinburgh. — The same day a sharp but indecisive fight took place
on the lower slopes of Arthur's Seat, after which Cromwell, having
felt the strength of Leslie's line, drew back to Musselburgh. Leslie's
horse followed him up sharply, and another action was fought, after
which the Scots assaulted Musselburgh without success. Militarily
Leslie had the best of it in these affairs, but it was precisely this
moment that the kirk party chose to institute a searching three days'
examination of the political and religious sentiments of his army. The
result was that the army was " purged " of 80 officers and 3000
soldiers as it lay within musket shot of the enemy. Cromwell was
more concerned, however, with the supply question than with the
distracted army of the Scots. On the 6th of August he had to fall
back as far as Dunbar to enable the fleet to land supplies in safety,
the port of Musselburgh being unsafe in the violent and stormy
weather which prevailed. He soon returned to Musselburgh and
prepared to force Leslie to battle. In preparation for an extended
manoeuvre three days' rations were served out. Tents were also
issued, perhaps for the first time in the civil wars, for it was a regular
professional army, which had to be cared for, made comfortable and
economized, that was now carrying on the work of the volunteers of
the first war. Even after Cromwell started on his manoeuvre, the
Scottish army was still in the midst of its political troubles, and,
certain though he was that nothing but victory in the field would
give an assured peace, he was obliged to intervene in the confused
negotiations of the various Scottish parties. At last, however, Charles
II. made a show of agreeing to the demands of his strange
supporters, and Leslie was free to move. Cromwell had now entered
the hill country, with a view to occupying Queensferry and thus
blocking up Edinburgh. Leslie had the shorter road and barred the
way at Corstorphine Hill (August 21). Cromwell, though now far from
his base, manoeuvred again to his right, Leslie meeting him once
more at Gogar (August 27). The Scottish lines at that point were
strong enough to dismay even Cromwell, and the manoeuvre on
Queensferry was at last given up. It had cost the English army
severe losses in sick, and much suffering in the autumn nights on
the bleak hillsides. 53. Dunbar. — On the 28th Cromwell fell back on
Musselburgh, and on the 3ist, after embarking his non-effective
men, to Dunbar. Leslie followed him up, and wished to fight a battle
at Dunbar on Sunday, the ist of September. But again the kirk
intervened, this time to forbid Leslie to break the Sabbath, and the
unfortunate Scottish commander could only establish himself on
Doon Hill (see DUNBAR) and send a force to Cockburnspath to bar
the Berwick road. He had now 23,000 men to Cromwell's 11,000,
and proposed, faute de mieux, to starve Cromwell into surrender.
But the English army was composed of " ragged soldiers with bright
muskets," and had a great captain of undisputed authority at their
head. Leslie's, on the other hand, had lost such discipline as it had
ever possessed, and was now, under outside influences, thoroughly
disintegrated. Cromwell wrote home, indeed, that he was " upon an
engagement very difficult," but, desperate as his position seemed,
he felt the pulse of his opponent and steadily refused to take his
army away by sea. He had not to wait long. It was now the turn of
Leslie's men on the hillside to endure patiently privation and
exposure, and after one night's bivouac, Leslie, too readily inferring
that the enemy was about to escape by sea, came down to fight.
The battle of Dunbar (q.v.) opened in the early morning of the 3rd of
September. It was the most brilliant of all Oliver's victories. Before
the sun was high in the heavens the Scottish army had ceased to
exist. 54. Royalism in Scotland. — After Dunbar it was easy for the
victorious army to overrun southern Scotland, more especially as the
dissensions of the enemy were embittered by the defeat of which
they had been the prime cause. The kirk indeed put Dunbar to the
account of its own remissness in not purging their army more
thoroughly, but, as Cromwell wrote on the 4th of September, the kirk
had " done its do." " I believe their king will set up on his own
score," he continued, and indeed, now that the army of the kirk was
destroyed and they themselves were secure behind the Forth and
based on the friendly Highlands, Charles and the Cavaliers were in a
position not only to defy Cromwell, but also to force the Scottish
national spirit of resistance to the invader into a purely Royalist
channel. Cromwell had only received a few drafts and
reinforcements from England, and for the present he could but block
up Edinburgh Castle (which surrendered on Christmas eve), and try
to bring up adequate forces and material for the siege of Stirling —
an attempt which was frustrated by the badness of the roads and
the violence of the weather. The rest of the early winter of 1650 was
thus occupied in semi-military, semi-political operations between
detachments of the English army and certain armed forces of the
kirk party which still maintained a precarious existence in the
western Lowlands, and in police work against the moss-troopers of
the Border counties. Early in February 1651, still in the midst of
terrible weather, Cromwell made another resolute but futile attempt
to reach Stirling. This time he himself fell sick, and his losses had to
be made good by drafts of recruits from England, many of whom
came most unwillingly to serve in the cold wet bivouacs that the
newspapers had graphically reported.1 55. The English Militia. —
About this time there occurred in England two events which had a
most important bearing on the campaign. The first was the detection
of a widespread Royalist-Presbyterian conspiracy — how widespread
no one knew, for those of its promoters who were captured and
executed certainly formed but a small fraction of the whole number.
Harrison was ordered to Lancashire in April to watch the north
Welsh, Isle of Man and Border Royalists, and military precautions
were taken in various parts of England. The second was the revival
of the militia. Since 1644 there had been no general employment of
local forces, the quarrel having fallen into the hands of the regular
armies by force of circumstances. The New Model, though a national
army, resembled Wellington's Peninsular army more than the soldiers
of the French Revolution and the American Civil War. It was now
engaged in prosecuting a war of aggression against the hereditary
foe over the Border — strictly the task of a professional army with a
national basis. The militia was indeed raw and untrained. Some of
the Essex men " fell flat on their faces on the sound of a cannon." In
the north of England Harrison complained to Cromwell of the "
badness " of his men, and the lord general sympathized, having "
had much such stuff " sent him to make good the losses in trained
men. Even he for a moment lost touch with the spirit of the people.
His recruits were unwilling drafts for foreign service, but in England
the new levies were trusted to defend 1 The tents were evidently
issued for regular marches, not for cross-country manoeuvres
against the enemy. These manoeuvres, as we have seen, often took
several days. The ban gtntral ordinaire of the I7th and i8th centuries
framed his manoeuvres on a smaller scale so as not to expose his
expensive and highly trained soldiers to discomfort and the
consequent temptation to desert.
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420 GREAT REBELLION their homes, and the militia was

soon triumphantly to justify its existence on the day of Worcester.
56. Inverkeithing. — While David Leslie organized and drilled the
king's new army beyond the Forth, Cromwell was, slowly and with
frequent relapses, recovering from his illness. The English army
marched to Glasgow in April, then returned to Edinburgh. The
motives of the march and that of the return are alike obscure, -but it
may be conjectured that, the forces in England under Harrison
having now assembled in Lancashire, the Edinburgh-Newcastle-York
road had to be covered by the main army. Be this as it may,
Cromwell's health again broke down and his life was despaired of.
Only late in June were operations actively resumed between Stirling
and Linlithgow. At first Cromwell sought without success to bring
Leslie to battle, but he stormed Callendar House near Falkirk on July
13, and on the i6th of July he began the execution of a brilliant and
successful manoeuvre. A force from Queensferry, covered by the
English fleet, was thrown across the Firth of Forth to Northferry.
Lambert followed with reinforcements, and defeated a detachment
of Leslie's army at Inverkeithing on the 2oth. Leslie drew back at
once, but managed to find a fresh strong position in front of Stirling,
whence he defied Cromwell again. At this juncture Cromwell
prepared to pass his whole army across the firth. His contemplated
manoeuvre of course gave up to the enemy all the roads into
England, and before undertaking it the lord general held a
consultation with Harrison, as the result of which that officer took
over the direct defence of the whole Border. But his mind was made
up even before this, for on the day he met Harrison at Linlithgow
three-quarters of his whole army had already crossed into Fife.
Burntisland, surrendered to Lambert on the 29th, gave Cromwell a
good harbour upon which to base his subsequent movements. On
the 3oth of July the English marched upon Perth, and the investment
of this place, the key to Leslie's supply area, forced the crisis at
once. Whether Leslie would have preferred to manoeuvre Cromwell
from his vantage-ground or not is immaterial; the young king and
the now predominant Royalist element at headquarters seized the
long-awaited opportunity at once, and on the 3ist, leaving Cromwell
to his own devices, the Royal army marched southward to raise the
Royal standard in England. 57. The Third Scottish Invasion of
England. — Then began the last and most thrilling campaign of the
Great Rebellion. Charles II. expected complete success. In Scotland,
vis-a-vis the extreme Covenanters, he was a king on conditions, and
he was glad enough to find himself in England with some thirty
solidly organized regiments under Royalist officers and with no
regular army in front of him. He hoped, too, to rally not merely the
old faithful Royalists, but also the overwhelming numerical strength
of the English Presbyterians to his standard. His army was kept well
in hand, no excesses were allowed, and in a week the Royalists
covered 150 m. — in marked contrast to the duke of Hamilton's ill-
fated expedition of 1648. On the 8th of August the troops were
given a well-earned rest between Penrith and Kendal. But the
Royalists were mistaken in supposing that the enemy was taken
aback by their new move. Everything had been foreseen both by
Cromwell and by the Council of State in Westminster. The latter had
called out the greater part of the militia on the yth. Lieutenant-
General Fleetwood began to draw together the midland contingents
at Banbury, the London trained bands turned out for field service no
fewer than 14,000 strong. Every suspected Royalist was closely
watched, and the magazines of arms in the country-houses of the
gentry were for the most part removed into the strong places. On
his part Cromwell had quietly made his preparations. Perth passed
into his hands on the 2nd of August, and he brought back his army
to Leith by the sth. Thence he despatched Lambert with a cavalry
corps to harass the invaders. Harrison was already at Newcastle
picking the best of the county mounted troops to add to his own
regulars. On the pth Charles was at Kendal, Lambert hovering in his
rear, and Harrison marching swiftly to bar his way at the Mersey.
Fairfax emerged for a moment from his retirement to organize the
Yorkshire levies, and the best of these as well as of the Lancashire,
Cheshire and Staffordshire militias were directed upon Warrington,
which point Harrison reached on the isth, a few hours in front of
Charles's advanced guard. Lambert too, slipping round the left flank
of the enemy, joined Harrison, and the English fell back (i6th), slowly
and without letting themselves be drawn into a fight, along the
London road. 58. Campaign of Worcester. — Cromwell meanwhile,
leaving Monk with the least efficient regiments to carry on the war in
Scotland, had reached the Tyne in seven days, and thence, marching
20 m. a day in extreme heat — with the country people carrying
their arms and equipment — the- regulars entered Ferrybridge on
the igth, at which date Lambert, Harrison and the north-western
militia were about Congleton.1 It seemed probable that a great
battle would take place between Lichfield and Coventry about the
25th or 26th of August, and that Cromwell, Harrison, Lambert and
Fleetwood would all take part in it. But the scene and the date of the
denouement were changed by the enemy's movements. Shortly after
leaving Warrington the young king had resolved to abandon the
direct march on London and to make for the Severn valley, where his
father had found the most constant and the most numerous
adherents in the first war, and which had been the centre of gravity
of the English Royalist movement of 1648. Sir Edward Massey,
formerly the Parliamentary governor of Gloucester, was now with
Charles, and it was hoped that he would induce his fellow-
Presbyterians to take arms. The military quality of the Welsh border
Royalists was well proved, that of the Gloucestershire Presbyterians
not less so, and, based on Gloucester and Worcester as his father
had been based on Oxford, Charles II. hoped, not unnaturally, to
deal with an Independent minority more effectually than Charles I.
had done with a Parliamentary majority of the people of England.
But even the pure Royalism which now ruled in the invading army
could not alter the fact that it was a Scottish army, and it was not an
Independent faction but all England that took arms against it.
Charles arrived at Worcester on the 22nd of August, and spent five
days in resting the troops, preparing for further operations, and
gathering and arming the few recruits who came in. It is
unnecessary to argue that the delay was fatal; it was a necessity of
the case foreseen and accepted when the march to Worcester had
been decided upon, and had the other course, that of marching on
London via Lichfield, been taken the battle would have been fought
three days earlier with the same result. As affairs turned out
Cromwell merely shifted the area of his concentration two marches
to the south-west, to Evesham. Early on the 28th Lambert surprised
the passage of the Severn at Upton, 6 m. below Worcester, and in
the action which followed Massey was severely wounded. Fleetwood
followed Lambert. The enemy was now only 16,000 strong and
disheartened by the apathy with which they had been received in
districts formerly all their own. Cromwell, for the first and last time in
his military career, had a two-to-one numerical superiority. 59. The "
Crowning Mercy."— He took his measures deliberately. Lilburne from
Lancashire and Major Mercer with the Worcestershire horse were to
secure Bewdley Bridge on the enemy's line of retreat. Lambert and
Fleetwood were to force their way across the Teme (a little river on
which Rupert had won his first victory in 1642) and attack St John's,
the western suburb of Worcester. Cromwell himself and the main
army were to attack the town itself. On the 3rd of September, the
anniversary of Dunbar, the programme was carried out exactly.
Fleetwood forced the passage of the Teme, and the bridging train
(which had been carefully organized for the purpose) bridged both
the Teme and the Severn. Then Cromwell on the left bank and
Fleetwood on the right swept in a semicircle 4 m. long up to
Worcester. Every hedgerow was contested by the stubborn Royalists,
but Fleetwood's men would not be denied, and Cromwell's extreme
right on the eastern side of the town repelled, after three hours'
hard fighting, the last desperate attempt of the Royalists to break 1
The lord general had during his march thrown out successively two
flying columns under Colonel Lilburne to deal with the Lancashire
Royalists under the earl of Derby. Lilburne entirely routed the enemy
at Wigan on the 25th of August.
The text on this page is estimated to be only 26.67%
accurate

GREAT SALT LAKE 421 out. It was indeed, as a German

critic1 has pointed out, the prototype of Sedan. Everywhere the
defences were stormed as darkness came on, regulars and militia
fighting with equal gallantry, and the few thousands of the Royalists
who escaped during the night were easily captured by Lilburne and
Mercer, or by the militia which watched every road in Yorkshire and
Lancashire. Even the country people brought in scores of prisoners,
for officers and men alike, stunned by the suddenness of the
disaster, offered no resistance. Charles escaped after many
adventures, but he was one of the few men in his army who
regained a place of safety. The Parliamentary militia were sent home
within a week. Cromwell, who had ridiculed " such stuff " six months
ago, knew them better now. " Your new raised forces," he wrote to
the House, " did perform singular good service, for which they
deserve a very high estimation and acknowledgment." Worcester
resembled Sedan in much more than outward form. Both were
fought by " nations in arms," by citizen soldiers who had their hearts
in the struggle, and could be trusted not only to fight their hardest
but to march their best. Only with such troops would a general dare
to place a deep river between the two halves of his army or to send
away detachments beforehand to reap the fruits of victory, in certain
anticipation of winning the victory with the remainder. The sense of
duty, which the raw militia possessed in so high a degree, ensured
the arrival and the action of every column at the appointed time and
place. The result was, in brief, one of those rare victories in which a
pursuit is superfluous — a " crowning mercy," as Cromwell called it.
There is little of note in the closing operations. Monk had completed
his task by May 1652; and Scotland, which had twice attempted to
impose its will on England, found itself reduced to the position of an
English province under martial law. The details of its subjection are
uninteresting after the tremendous climax of Worcester.
BIBLIOGRAPHY. — Earl of Clarendon, The History of the Rebellion
(Oxford, 1702-1704, ed. W. D. Macray, Oxford, 1888); R. Baillie,
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Cromwell's Letters and Speeches (new edition, S. C. Lomas, London,
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Borlace, History of the Irish Rebellion (London, 1675) ; R. Sellings,
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1854) ; R. Symonds, Diary of the Marches of the Royal Army, 1644-
1645 (ed. C. E. Long, Camden Society, old series, 1859); J. Corbet,
The Military Government of Gloucester (London, 1645); M. Carter,
Expeditions of Kent, Essex and Colchester (London, 1650); Tracts
relating to the Civil War in Lancashire (ed. G. Ormerod, Chetham
Society, London, 1844) ; Discourse of the War in Lancashire (ed. W.
Beament, Chetham Society, London, 1864); Sir M. Langdale, The
late Fight at Preston (London, 1648) ; Journal of the Siege of
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Hoenig, Oliver Cromwell (Berlin, 1887-1889); Sir J. Maclean,
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(London, 1853); W. G. Ross, Mil. Engineering in the Civil War (R.E.
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Alexander Leslie, Earl of Leven (London, 1899); Madame H. de Witt,
The Lady of Latham (London, 1869); F. Maseres, Tracts relating to
the Civil War (London, 1815); P. A. Charrier, Cromwell (London,
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the City of York (London, 1736); N. Drake, Siege of Pontefract Castle
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during the Civil War (Leicester, 1840); R. Holmes, Sieges of
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