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 Global Global
edition edition

edition
Global
Essentials of Systems

Essentials of Systems Analysis and Design

For these Global Editions, the editorial team at Pearson has
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Analysis and Design
and adaptation from the North American version. sixth edition

Joseph S.Valacich • Joey F. George • Jeffrey A. Hoffer

edition
This is a special edition of an established title widely Sixth Valacich • George • Hoffer

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 Essentials of
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and Design

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 Essentials
of Systems
Analysis
and Design
Sixth Edition
Global Edition

Joseph S. Valacich
University of Arizona

Joey F. George
Iowa State University

Jeffrey A. Hoffer
University of Dayton

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Authorized adaptation from the United States edition, entitled Essentials of Systems Analysis
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 To my mother, Mary Valacich.

—Joe

To Karen, Evan, and Caitlin.

—Joey

To Patty, for her sacrifices,

­encouragement, and support. To my
students, for being receptive and
critical, and for challenging me to be
a better teacher.

—Jeff

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 Brief Contents
PART I Foundations for Systems Development  28
1 The Systems Development Environment  28
2 The Sources of Software  54
3 Managing the Information Systems Project  72

PART II Systems Planning and Selection  112

4 Systems Planning and Selection  112

PART III Systems Analysis  150

5 Determining System Requirements  150
6 Structuring System Requirements: Process
Modeling  180
7 Structuring System Requirements: Conceptual Data
Modeling  220

PART IV Systems Design  264

8 Designing the Human Interface  264
9 Designing Databases  306

PART V Systems Implementation and Operation  352

10 Systems Implementation and Operation  352
Appendix A Object-Oriented Analysis and Design   395
Appendix B Agile Methodologies  415
Glossary of Acronyms   429
Glossary of Terms   431
Index  437

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 Contents
Preface  17

PART I Foundations for Systems Development  28

Chapter 1 The Systems Development Environment  28
What Is Information Systems Analysis and Design?  30
Systems Analysis and Design: Core Concepts  30
Systems  32
Definition of a System and Its Parts  32
Important System Concepts  33
A Modern Approach to Systems Analysis and Design  36
Your Role in Systems Development  37
Developing Information Systems and the Systems
Development Life Cycle  38
Phase 1: Systems Planning and Selection  40
Phase 2: Systems Analysis  40
Phase 3: Systems Design  41
Phase 4: Systems Implementation and Operation  41
Alternative Approaches to Development  44
Prototyping  44
Computer-Aided Software Engineering (CASE) Tools  45
Joint Application Design  45
Rapid Application Development  45
Participatory Design  47
Agile Methodologies  47
Key Points Review  48
Key Terms Checkpoint  48
Review Questions  49
Problems and Exercises  50
Discussion Questions  50
Case Problems  50
References  52

Chapter 2 The Sources of Software  54

Introduction  55
Systems Acquisition  55
Outsourcing  56
Sources of Software  57
Choosing Off-the-Shelf Software  61
Reuse  64
Key Points Review  67
Key Terms Checkpoint  67

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 10 Contents

Review Questions  68
Problems and Exercises  68
Field Exercises  68
Case: Petrie Electronics   69
References  70

Chapter 3 Managing the Information Systems Project  72

Pine Valley Furniture Company Background  74
Managing the Information Systems Project  75
Initiating the Project  79
Planning the Project  82
Executing the Project  90
Closing Down the Project  92
Representing and Scheduling Project Plans  94
Representing Project Plans  96
Calculating Expected Time Durations Using PERT  96
Constructing a Gantt Chart and Network Diagram at Pine
Valley Furniture  97
Using Project Management Software  100
Establishing a Project Starting Date  101
Entering Tasks and Assigning Task Relationships  101
Selecting a Scheduling Method to Review Project Reports  102
Key Points Review  103
Key Terms Checkpoint  104
Review Questions  105
Problems and Exercises  105
Discussion Questions  107
Case Problems  108
Case: Petrie Electronics   109
References  110

PART II Systems Planning and Selection 112

Chapter 4 Systems Planning and Selection  112
Identifying and Selecting Projects  114
The Process of Identifying and Selecting Information
Systems Development Projects  114
Deliverables and Outcomes  117
Initiating and Planning Systems Development Projects  118
The Process of Initiating and Planning Systems
Development Projects  118
Deliverables and Outcomes  119
Assessing Project Feasibility  120
Assessing Economic Feasibility  122
Assessing Other Feasibility Concerns  128
Building the Baseline Project Plan  129

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 Contents 11
Reviewing the Baseline Project Plan  135
Pine Valley Furniture WebStore: Systems Planning
and Selection  138
Pine Valley Furniture WebStore  138
Key Points Review  142
Key Terms Checkpoint  143
Review Questions  144
Problems and Exercises  144
Discussion Questions  145
Case Problems  145
Case: Petrie Electronics   147
References  149

PART III Systems Analysis 150

Chapter 5 Determining System Requirements  150
Performing Requirements Determination  152
The Process of Determining Requirements  152
Deliverables and Outcomes  153
Requirements Structuring  154
Traditional Methods for Determining Requirements  154
Interviewing and Listening  154
Directly Observing Users  159
Analyzing Procedures and Other Documents  160
Modern Methods for Determining System Requirements  163
Joint Application Design  163
Using Prototyping During Requirements Determination  167
Radical Methods for Determining System Requirements  168
Identifying Processes to Reengineer  169
Disruptive Technologies  170
Pine Valley Furniture WebStore: Determining System
Requirements  170
Website Layout and Navigation Characteristics  171
WebStore and Site Management System Capabilities  171
Customer and Inventory Information  172
Website Prototype Evolution  173
Smartphone App Requirements  173
Key Points Review  174
Key Terms Checkpoint  175
Review Questions  175
Problems and Exercises  176
Discussion Questions  176
Case Problems  176
Case: Petrie Electronics   178
References  179

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 12 Contents

Chapter 6 Structuring System Requirements: Process Modeling  180

Process Modeling  182
Modeling a System’s Process  184
Deliverables and Outcomes  184
Data-Flow Diagramming Mechanics  185
Definitions and Symbols  186
Developing DFDs: An Example  187
Data-Flow Diagramming Rules  191
Decomposition of DFDs  192
Balancing DFDs  194
Using Data-Flow Diagramming in the Analysis Process  196
Guidelines for Drawing DFDs  196
Using DFDs as Analysis Tools  198
Using DFDs in Business Process Reengineering  199
Logic Modeling  201
Modeling Logic with Decision Tables  202
Pine Valley Furniture WebStore: Process Modeling  205
Process Modeling for Pine Valley Furniture’s WebStore  205
Key Points Review  208
Key Terms Checkpoint  209
Review Questions  210
Problems and Exercises  210
Discussion Questions  215
Case Problems  215
Case: Petrie Electronics   217
References  219

Chapter 7 Structuring System Requirements:

Conceptual Data Modeling  220
Conceptual Data Modeling  222
The Process of Conceptual Data Modeling  223
Deliverables and Outcomes  223
Gathering Information for Conceptual Data Modeling  226
Introduction to Entity-Relationship Modeling  227
Entities  229
Attributes  230
Candidate Keys and Identifiers  231
Multivalued Attributes  232
Relationships  232
Conceptual Data Modeling and the E-R Model  233
Degree of a Relationship  233
Cardinalities in Relationships  234
An Example of Conceptual Data Modeling
at Hoosier Burger  237

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 Contents 13
PVF WebStore: Conceptual Data Modeling  240
Conceptual Data Modeling for Pine Valley
Furniture’s WebStore  240
Selecting the Best Alternative Design Strategy  244
The Process of Selecting the Best Alternative
Design Strategy  244
Generating Alternative Design Strategies  245
Developing Design Strategies for Hoosier Burger’s
New Inventory Control System  247
Selecting the Most Likely Alternative  249
Key Points Review  251
Key Terms Checkpoint  252
Review Questions  253
Problems and Exercises  253
Discussion Questions  256
Case Problems  256
Case: Petrie Electronics   260
References  263

PART IV Systems Design 264

Chapter 8 Designing the Human Interface  264
Designing Forms and Reports  266
The Process of Designing Forms and Reports  266
Deliverables and Outcomes  268
Formatting Forms and Reports  270
Designing Interfaces and Dialogues  278
The Process of Designing Interfaces and Dialogues  278
Deliverables and Outcomes  279
Designing Interfaces  279
Designing Dialogues  290
Pine Valley Furniture WebStore: Designing the Human
Interface  294
General Guidelines for Designing Web Interfaces  294
General Guidelines for Web Layouts  294
Designing the Human Interface at
Pine Valley Furniture  295
Menu-Driven Navigation with Cookie Crumbs  296
Lightweight Graphics  297
Forms and Data Integrity  297
Style Sheet–Based HTML  297
Custom Interface for Mobile Application  298
Key Points Review  299
Key Terms Checkpoint  299
Review Questions  300

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 14 Contents

Problems and Exercises  301

Discussion Questions  301
Case Problems  302
Case: Petrie Electronics   303
References  305

Chapter 9 Designing Databases  306

Database Design  308
The Process of Database Design  308
Deliverables and Outcomes  310
Relational Database Model  313
Well-Structured Relations  314
Normalization  315
Rules of Normalization  315
Functional Dependence and Primary Keys  316
Second Normal Form  316
Third Normal Form  317
Transforming E-R Diagrams Into Relations  318
Represent Entities  319
Represent Relationships  320
Summary of Transforming E-R Diagrams to Relations  322
Merging Relations  322
An Example of Merging Relations  323
View Integration Problems  324
Logical Database Design for Hoosier Burger  325
Physical File and Database Design  327
Designing Fields  328
Choosing Data Types  328
Controlling Data Integrity  330
Designing Physical Tables  331
Arranging Table Rows  333
Designing Controls for Files  336
Physical Database Design for Hoosier Burger  338
Pine Valley Furniture WebStore: Designing Databases  340
Designing Databases for Pine Valley
Furniture’s WebStore  340
Key Points Review  342
Key Terms Checkpoint  344
Review Questions  345
Problems and Exercises  346
Discussion Questions  347
Case Problems  348
Case: Petrie Electronics   349
References  351

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 Contents 15

PART V Systems Implementation and Operation 352

Chapter 10 Systems Implementation and Operation  352
Systems Implementation and Operation  354
The Processes of Coding, Testing, and Installation  355
Deliverables and Outcomes from Coding, Testing,
and Installation  355
The Processes of Documenting the System, Training Users,
and Supporting Users  356
Deliverables and Outcomes from Documenting the System,
Training Users, and Supporting Users  357
The Process of Maintaining Information Systems  357
Deliverables and Outcomes from Maintaining
Information Systems  358
Software Application Testing  359
Seven Different Types of Tests  359
The Testing Process  361
Acceptance Testing by Users  363
Installation  364
Planning Installation  364
Documenting the System  367
User Documentation  368
Preparing User Documentation  369
Training and Supporting Users  370
Training Information System Users  370
Supporting Information System Users  372
Support Issues for the Analyst to Consider  374
Why Implementation Sometimes Fails  375
Project Closedown  376
Conducting Systems Maintenance  377
Types of Maintenance  377
The Cost of Maintenance  378
Measuring Maintenance Effectiveness  379
Controlling Maintenance Requests  380
Configuration Management  381
Role of Automated Development Tools in Maintenance  382
Website Maintenance  382
Maintaining an Information System
at Pine Valley Furniture  383
Pine Valley Furniture WebStore: Systems Implementation
and Operation  384
Systems Implementation and Operation for Pine Valley
Furniture’s WebStore  384
Key Points Review  387
Key Terms Checkpoint  388

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 16 Contents

Review Questions  390
Problems and Exercises  390
Discussion Questions  391
Case Problems  391
Case: Petrie Electronics   392
References  393

Appendix A Object-Oriented Analysis and Design   395

The Object-Oriented Modeling Approach  395
Use-Case Modeling  396
Object Modeling: Class Diagrams  399
Representing Associations  400
Representing Generalization  402
Representing Aggregation  404
Dynamic Modeling: State Diagrams  404
Dynamic Modeling: Sequence Diagrams  406
Designing a Use Case with a Sequence Diagram  408
Moving to Design  409
Key Points Review   410
Key Terms Checkpoint   411
Review Questions  412
Problems and Exercises   412
References  413

Appendix B Agile Methodologies  415

The Trend to Agile Methodologies  415
Agile Methodologies  416
eXtreme Programming  418
The Heart of the Systems Development Process  419
Requirements Determination  420
Design Specifications  423
Implementation  425
What We’ve Learned About Agile Methodologies 425
Key Points Review   426
Key Terms Checkpoint   427
Review Questions  427
Problems and Exercises   427
References  428

Glossary of Acronyms   429

Glossary of Terms   431
Index  437

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 Preface
Our Approach
In today’s information- and technology-driven business world, students need to
be aware of three key factors. First, it is more crucial than ever to know how to
organize and access information strategically. Second, success often depends
on the ability to work as part of a team. Third, the Internet will play an impor-
tant part in their work lives. Essentials of Systems Analysis and Design, Sixth
Edition, addresses these key factors.
More than 50 years’ combined teaching experience in systems analysis and de-
sign have gone into creating Essentials of Systems Analysis and Design, Sixth
Edition, a text that emphasizes hands-on, experimental learning. We provide a
clear presentation of the concepts, skills, and techniques students need to become
effective systems analysts who work with others to create information systems for
businesses. We use the systems development life cycle model as an organizing tool
throughout the book to provide a strong conceptual and systematic framework.
Electronic commerce coverage is provided in each chapter via an inte-
grated, extended illustrative case (Pine Valley Furniture WebStore) and an
end-of-chapter case (Petrie’s Electronics).
Many systems analysis and design courses involve lab work and outside read-
ing. Lecture time can be limited. Based on market research and our own teaching
experience, we understand the need for a book that combines depth of coverage
with brevity. So we have created a ten-chapter book that covers key systems anal-
ysis and design content without overwhelming students with unnecessary detail.

New to the Sixth Edition

The following features are new to the Sixth Edition:
■ Expanded coverage of business processes. Process modeling is at the
heart of systems analysis and design. Data-flow diagrams have been
a staple of this book since its first edition, but now they are framed
in the context of business process diagramming. The beginning of
­Chapter 6 has been rewritten to show how data-flow diagrams are
just one of many common methods for modeling business processes.
­Business processes are defined and illustrated before the discussion
of data-flow diagrams begins.
■ Updates to the WebStore running case. Since the advent of electronic
commerce, this book has featured an end-of-chapter Pine Valley
­Furniture (PVF) case focused on the WebStore, an e-commerce
application for PVF. In the current edition, the WebStore case has been
expanded to include the analysis, design, and testing of a new mobile
app for PVF. Development of the e-commerce application and the
mobile app now go hand-in-hand in the revised case.
■ Updated illustrations of technology. Screen captures have been
­updated throughout the text to show examples using the latest
­versions of programming and Internet development environments,
and user interface designs.
■ Updated content. Throughout the book, the content in each chapter
has been updated where appropriate.

17

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Themes
Essentials of Systems Analysis and Design, Sixth Edition, is characterized by
the following themes:
■ Systems development is firmly rooted in an organizational context.
The successful systems analyst requires a broad understanding of
­organizations, organizational culture, and operations.
■ Systems development is a practical field. Coverage of current
­practices as well as accepted concepts and principles is essential for
­today’s systems analyst.
■ Systems development is a profession. The text presents standards
of practice, and fosters a sense of continuing personal development,
­ethics, and a respect for and collaboration with the work of others.
■ Systems development has significantly changed with the ­explosive
growth in databases, data-driven architecture for systems, and
the Internet. Systems development and database management can
be taught in a highly coordinated fashion. The Internet has r­ apidly
­become a common development platform for database-driven
­electronic commerce systems.
■ Success in systems analysis and design requires not only skills in
methodologies and techniques, but also in the management of time,
resources, and risks. Learning systems analysis and design requires a
thorough understanding of the process as well as the techniques and
deliverables of the profession.
Given these themes, the text emphasizes these approaches:
■ A business rather than a technology perspective
■ The role, responsibilities, and mindset of the systems analyst as well
as the systems project manager, rather than those of the programmer
or business manager
■ The methods and principles of systems development rather than the
specific tools or tool-related skills of the field

Audience
The book assumes that students have taken an introductory course on computer
systems and have experience writing programs in at least one programming lan-
guage. We review basic system principles for those students who have not been
exposed to the material on which systems development methods are based. We
also assume that students have a solid background in computing literacy and a
general understanding of the core elements of a business, including basic terms
associated with the production, marketing, finance, and accounting functions.

Organization
The outline of the book follows the systems development life cycle:
■ Part I, “Foundations for Systems Development,” gives an overview
of systems development and previews the remainder of the book.
■ Part II, “Systems Planning and Selection,” covers how to assess
­project feasibility and build the baseline project plan.
■ Part III, “Systems Analysis,” covers determining system requirements,
process modeling, and conceptual data modeling.

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■ Part IV, “Systems Design,” covers how to design the human interface
and databases.
■ Part V, “Systems Implementation and Operation,” covers system
­implementation, operation, closedown, and system maintenance.
■ Appendix A, “Object-Oriented Analysis and Design,” and Appendix B,
“Agile Methodologies,” can be skipped or treated as advanced topics
at the end of the course.

Distinctive Features
Here are some of the distinctive features of Essentials of Systems Analysis
and Design, Sixth Edition:
1. The grounding of systems development in the typical architecture for
­systems in modern organizations, including database management and
Web-based systems.
2. A clear linkage of all dimensions of systems description and m ­ odeling—
process, decision, and data modeling—into a comprehensive and
­compatible set of systems analysis and design approaches. Such broad
coverage is necessary for students to understand the advanced ­capabilities
of many systems development methodologies and tools that automatically
generate a large percentage of code from design specifications.
3. Extensive coverage of oral and written communication skills (including
­systems documentation), project management, team management, and a
­variety of systems development and acquisition strategies (e.g., life cycle,
prototyping, rapid application development, object orientation, joint applica-
tion development, participatory design, and business process reengineering).
4. Coverage of rules and principles of systems design, including decoupling,
cohesion, modularity, and audits and controls.
5. A discussion of systems development and implementation within
the ­context of management of change, conversion strategies, and
­organizational factors in systems acceptance.
6. Careful attention to human factors in systems design that emphasize
­usability in both character-based and graphical user interface situations.

Pedagogical Features
The pedagogical features of Essentials of Systems Analysis and Design, Sixth
Edition, reinforce and apply the key content of the book.

SDLC Framework
Although several conceptual processes can be used for guiding a systems devel-
opment effort, the systems development life cycle (SDLC) is arguably the most
widely applied method for designing contemporary information systems. We
highlight four key SDLC steps (Figure P-1):
■ Planning and selection
■ Analysis
■ Design
■ Implementation and operation
We use the SDLC to frame the part and chapter organization of our book.
Most chapters open with an SDLC figure with various parts highlighted to show

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 20 Preface
FIGURE P-1
The systems development life
Phase 1:
cycle (SDLC): management is
Systems Planning
necessary throughout.
and Selection

SDLC
Phase 4: Systems
Phase 2:
Implementation and
Systems Analysis
Operation

Phase 3:
Systems Design

students how these chapters, and each step of the SDLC, systematically build
on the previous one.

Internet Coverage and Features

Pine Valley Furniture WebStore   A furniture company founded in 1980
has decided to explore electronic commerce as an avenue to increase its market
share. Should this company sell its products online? Should this system include
a custom mobile app? How would a team of analysts work together to develop,
propose, and implement a plan? Beginning in Chapter 4, we explore the step-
by-step process.
Petrie’s Electronics   This end-of-chapter fictional case illustrates how a
national electronics retailer develops a Web-based customer loyalty program to
build and strengthen customer relationships. The case first appears at the end
of Chapter 2 and concludes at the end of Chapter 10.

Three Illustrative Fictional Cases

Pine Valley Furniture (PVF)   This case is introduced in Chapter 3 and
revisited throughout the book. As key systems development life cycle concepts
are presented, they are applied and illustrated. For example, in Chapter 3,
we explore how PVF implements the purchasing fulfillment system, and in
Chapter 4, we explore how PVF implements a customer tracking system.
A margin icon identifies the location of the case segments. A case problem
related to PVF is included in the end-of-chapter material.
Hoosier Burger (HB)  This second illustrative case is introduced in
Chapter 6 and revisited throughout the book. Hoosier Burger is a fictional fast-
food restaurant in Bloomington, Indiana. We use this case to illustrate how
analysts would develop and implement an automated food-ordering system.
A margin icon identifies the location of these case segments. A case problem
related to HB is included in the end-of-chapter material.
Petrie’s Electronics  This fictional electronics retailer is used as an
extended case at the end of each chapter, beginning with Chapter 2. Designed to
bring the chapter concepts to life, this case illustrates how a company initiates,

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plans, models, designs, and implements a Web-based customer loyalty program.

Discussion questions are included to promote critical thinking and class
participation. Suggested solutions to the discussion questions are provided in
the Instructor’s Manual.

End-of-Chapter Material
We have developed an extensive selection of end-of-chapter material designed
to accommodate various learning and teaching styles.
Key Points Review  This section repeats the learning objectives that
appear at the opening of the chapter and summarizes the key points related to
the objectives.
Key Terms Checkpoint   In this self-test feature, students match each key
term in the chapter with its definition.
Review Questions  These questions test students’ understanding of key
concepts.
Problems and Exercises   These exercises test students’ analytical skills
and require them to apply key concepts.
Discussion Questions   These questions promote class participation and
discussion.
Case Problems  These problems require students to apply the concepts
of the chapter to fictional cases from various industries. The two illustrative
cases from the chapters are revisited—Pine Valley Furniture and Hoosier
Burger. Other cases are from various fields such as medicine, agriculture, and
technology. Solutions are provided in the Instructor’s Manual.

Margin Term Definitions

Each key term and its definition appear in the margin. A glossary of terms ap-
pears at the back of the book.

References
Located at the end of the text, references are organized by chapter and list
more than 200 books and journals that can provide students and faculty with
additional coverage of topics.

The Supplement Package: www.pearsonglobaleditions.com/Valacich

A comprehensive and flexible technology support package is available to
­enhance the teaching and learning experience. Instructor supplements are
available at www.pearsonglobaleditions.com/Valacich:
■ An Instructor’s Resource Manual provides chapter-by-chapter instruc-
tor objectives, teaching suggestions, and answers to all text review
questions, problems, and exercises.
■ The Test Item File and TestGen include a comprehensive set of more
than 1,500 test questions in multiple-choice, true-false, and short-­
answer format; questions are ranked according to level of ­difficulty
and referenced with page numbers and topic headings from the text.
The Test Item File is available in Microsoft Word and as a comput-
erized TestGen test bank. The TestGen software is PC-compatible

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 22 Preface

and preloaded with all of the Test Item File questions. You can manu-
ally or randomly view test questions and drag-and-drop to create a test.
You can add or modify test-bank questions as needed.
■ PowerPoint Presentation Slides feature lecture notes that highlight
key text terms and concepts. Professors can customize the presenta-
tion by adding their own slides or by editing the existing ones.
■ The Image Library is a collection of the text art organized by chapter.
This collection includes all of the figures, tables, and screenshots
(as permission allows) from the book. These images can be used to
enhance class lectures and PowerPoint slides.

CourseSmart*
CourseSmart eTextbooks were developed for students looking to save on re-
quired or recommended textbooks. Students simply select their eText by title
or author and purchase immediate access to the content for the duration of
the course using any major credit card. With a CourseSmart eText, students
can search for specific keywords or page numbers, take notes online, print out
reading assignments that incorporate lecture notes, and bookmark important
passages for later review. For more information or to purchase a CourseSmart
eTextbook, visit www.coursesmart.co.uk.

*This product may not be available in all markets. For more details, please visit
www.coursesmart.co.uk or contact your local Pearson representative.

Acknowledgments
The authors are fortunate to have had considerable assistance from many people
on all aspects of preparation of this text and its supplements. We are, of course,
responsible for what eventually appears between the covers, but the insights,
corrections, contributions, and proddings of others have greatly improved our
manuscript. The people we recognize here all have a strong commitment to stu-
dents, to the IS field, and to excellence. Their contributions have stimulated us,
and frequently rejuvenated us during periods of waning energy for this project.
We would like to recognize the efforts of the many faculty and practicing
systems analysts who have been reviewers of the six editions of this text and
its associated text, Modern Systems Analysis and Design. We have tried to
deal with each reviewer comment, and although we did not always agree with
specific points (within the approach we wanted to take with this book), all re-
viewers made us stop and think carefully about what and how we were writing.
The reviewers were:

Richard Allen, Richland Community College Doloras Carlisle, Western Oklahoma State College
Charles Arbutina, Buffalo State College Pam Chapman, Waubonsee Community College
Paula Bell, Lock Haven University of Pennsylvania Edward Chen, University of Massachusetts Lowell
Sultan Bhimjee, San Francisco State University Suzanne Clayton, Drake University
Bill Boroski, Trident Technical College Garry Dawdy, Metropolitan State College of Denver
Nora Braun, Augsburg College Thomas Dillon, James Madison University
Rowland Brengle, Anne Arundel Community College Brad Dyer, Hazard Community and Technical College
Richard Burkhard, San Jose State University Veronica Echols-Noble, DeVry University–Chicago

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Richard Egan, New Jersey Institute of Technology James Pomykalski, Susquehanna University
Gerald Evans, University of Montana Robin Poston, University of Memphis
Lawrence Feidelman, Florida Atlantic University Rao Prabhakar, Amarillo College
David Firth, University of Montana Mary Prescott, University of Tampa
John Fowler, Walla Walla Community College Joseph Rottman, University of Missouri, St. Louis
Larry Fudella, Erie Community College Robert Saldarini, Bergen Community College
Carol Grimm, Palm Beach Community College Howard Schuh, Rockland Community College
Carol Healy, Drake University Elaine Seeman, Pitt Community College
Lenore Horowitz, Schenectady County Teresa Shaft, The University of Oklahoma
Community College Thomas Shaw, Louisiana State University
Daniel Ivancevich, University of North Gary Templeton, Mississippi State University
Carolina–Wilmington Dominic Thomas, University of Georgia
Jon Jasperson, University of Oklahoma Don Turnbul, The University of Texas at Austin
Len Jessup, Washington State University Kathleen Voge, University of Alaska–Anchorage
Rich Kepenach, St. Petersburg College Erica Wagner, Portland State University
Lin Lin, Lehigh University Sharon Walters, Southern Illinois University
James Scott Magruder, University of Southern Haibo Wang, Texas A&M International University
Mississippi Mark Ward, Southern Illinois University, Edwardsville
Diane Mayne-Stafford, Grossmont College Merrill Warkentin, Northeastern University
David McNair, Maryville University June Wei, University of West Florida
Loraine Miller, Cayuga Community College Mudasser Wyne, University of Michigan–Flint
Klara Nelson, University of Tampa Saeed Yazdain, Lane College
Max North, Southern Polytechnic State University Liang Yu, San Francisco State University
Doncho Petkov, Eastern Connecticut State University Steven Zeltmann, University of Central Arkansas
Lou Pierro, Indiana University Justin Zhang, Eastern New Mexico University
Selwyn Piramuthu, University of Florida Wen-Bin “Vincent” Yu, Missouri University
Mitzi Pitts, University of Memphis of Science and Technology
Richard Platt, University of West Florida Gary Kappenman, Southeast Technical Institute

We extend a special note of thanks to Jeremy Alexander, who was instrumen-

tal in conceptualizing and writing the initial version of the Pine Valley Furniture
WebStore feature that appears in Chapters 3 through 10. The addition of this
feature has helped make those chapters more applied and innovative. We also
want to thank Jeff Jenkins, Brigham Young University, for the help he provided
with the Visual Basic and .NET related materials in Chapter 8.
In addition, we want to thank John Russo for his work on the Instructor’s
Resource Manual, Test Bank, and PowerPoint presentations of Essentials of
Systems Analysis and Design.
We also wish to thank Atish Sinha of the University of Wisconsin–Milwaukee
for writing the initial draft of Appendix A on object-oriented analysis and design.
Dr. Sinha, who has been teaching this topic for several years to both undergradu-
ates and MBA students, executed a challenging assignment with creativity and
cooperation. We are also indebted to our undergraduate, MS, and MBA students
at the University of Dayton, Iowa State University, and the University of Arizona
who have given us many helpful comments as they worked with drafts of this text.
Thanks also go to V. Ramesh (Indiana University) and Heikki Topi (Bentley
College) for their assistance in coordinating this text with its companion book—
Modern Database Management, also by Pearson.
Finally, we have been fortunate to work with a large number of creative and
insightful people at Pearson, who have added much to the ­development, for-
mat, and production of this text. We have been thoroughly impressed with their
commitment to this text and to the IS education market. These people include
Nicole Sam, Acquisitions Editor; Anne ­Fahlgren, Executive ­Marketing Manager;
Denise Vaughn, Program Manager; Judy L ­ eale, Project Manager Team Lead;

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Karalyn Holland, Project Manager; and Janet Slowik, Senior Art Director.
We especially thank our Executive Editor for the past twelve years, Bob Horan.
Bob, thanks so much for your vision and support over all these years. Have a
wonderful and well-deserved retirement.
The writing of this text has involved thousands of hours of time from the
authors and from all of the people listed. Although our names will be visibly as-
sociated with this book, we know that much of the credit goes to the individuals
and organizations listed here for any success this book might achieve.

About the Authors

Joseph S. Valacich is an Eller Professor of Management Information Systems
in the Eller College of Management at the University of Arizona. He has had
visiting faculty appointments at Buskerud College (Norway), City University of
Hong Kong, Norwegian University of Life Sciences, Riga Technical ­University
(Latvia), and Helsinki School of Economics and Business. He received a Ph.D.
degree from the University of Arizona (MIS), and MBA and BS (computer
­science) degrees from the University of Montana. His teaching interests include
systems analysis and design, collaborative computing, project management,
and management of information systems. Professor Valacich cochaired the
­national task forces to design IS 2010: The Model Curriculum and Guidelines
for Undergraduate Degree Programs in Information Systems. He also served
on the Executive Committee, funded by the National Science Foundation, to
define the IS Program Accreditation Standards and on the Board of Directors
for CSAB (formally, the Computing Sciences Accreditation Board), represent-
ing the Association for Information Systems (AIS). He was the general confer-
ence co-chair for the 2003 International Conference on Information Systems
(ICIS), and the co-chair for the Americas’ Conference on Information Systems
(AMCIS) in 2012.
Prior to his academic career, Dr. Valacich worked in the information systems
field as a programmer, systems analyst, and technical product manager. He has
conducted numerous corporate training and executive development programs
for organizations, including AT&T, Boeing, Dow Chemical, EDS, Exxon, FedEx,
General Motors, Microsoft, and Xerox.
Dr. Valacich is the co-Editor-in-Chief for AIS Transactions on Human-­
Computer Interaction, a senior editor at MIS Quarterly, and was formerly
an associate editor for Information Systems Research. He has published
more than 200 scholarly articles in numerous prestigious journals and con-
ferences. His scholarly work has had a tremendous impact not only on the
field of ­information systems, but also on a number of other disciplines, in-
cluding computer science, cognitive and social psychology, marketing, and
management. In February 2014, Google Scholar lists his citation counts at
over 13,800, with an H-index of 54. He is also a coauthor of the leading Modern
Systems Analysis and Design (Seventh Edition) and Information Systems
Today (Seventh Edition).
Joey F. George is professor of information systems and the John D. DeVries
Endowed Chair in Business at the Iowa State University College of Business.
Dr. George earned his bachelor’s degree at Stanford University in 1979 and his
Ph.D. in management at the University of California at Irvine in 1986. He was pre-
viously the Edward G. Schlieder Chair of Information Systems in the E. J. Ourso
College of Business Administration at Louisiana State University. He also served
at ­Florida State University as Chair of the Department of Information and
­Management Sciences from 1995 to 1998.
Dr. George has published dozens of articles in such journals as Information
Systems Research, Communications of the ACM, MIS Quarterly, Journal of

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the education calculated to fit him for the duties of a citizen. Having,
in the family and the school, been trained to be a gentleman
(καλοκἀγαθός), he must now be trained to be a citizen, capable of
exercising legislative, judicial, and military functions. The State saw
to it that he received this training, if his parents chose and could
afford it.
In the time of Solon, about b.c. 590, two great gymnasia, the
Academy and Cynosarges, were erected in the midst of extensive
groves outside the city walls. These groves were afterwards
surrounded with high walls, furnished with seats and other
conveniences, and turned into city parks. The Academy, which lay to
the northwest of the city, in the valley of the Cephisus, and was
under the patronage of Athena, was the resort of the full-blooded
citizens, while Cynosarges, situated to the east of the city, near the
foot of Lycabettus, was assigned to those who had foreign blood in
their veins, that is, who had only one parent of pure Athenian stock.
This gymnasium was under the patronage of Heracles, whose
worship always implies the presence of a foreign and vanquished
element. These were the only two gymnasia belonging to Athens
before the time of Pericles. They were, probably, destroyed by the
Persians in 480, and had afterwards to be rebuilt, and the groves
replanted.
While the children of nearly all the free citizens of Athens attended
the school and the palæstra, it is clear that only the youth of the
wealthier classes attended the gymnasium. One result of this was
that the government and offices of the State fell exclusively into the
hands of those classes; and it was perhaps just in order to make this
division, without introducing any class-law, that the shrewd Solon
established the gymnasia, which thus became a bulwark against
democracy.
As soon as the Athenian youth was transferred to the gymnasium,
he passed from under the charge of the pedagogue, who
represented the family, and came under the direct surveillance of the
State. He was now free to go where he would, to frequent the agora
and the street, to attend the theatre, in which he had his appointed
place, and to make himself directly acquainted with all the details of
public life. In the gymnasium he passed into the hands of a gymnast
or scientific trainer, and for the next two or three years was
subjected to the severer exercises, wrestling, boxing, etc. No special
provision, beyond the fact that he had to learn the laws, was made
for his intellectual and moral instruction. He was expected to acquire
this from contact with the older citizens whom he met in the agora,
the street, or the public park. Thus, at what is justly regarded as the
most critical age, he was almost compelled to live a free, breezy,
outdoor life, full of activity and stirring incident, his thoughts and
feelings directed outwards into acts of will, and not turned back
upon himself or his own states. At the same time he was acquiring
just that practical knowledge of ethical laws and of real life which
could best fit him for active citizenship. He now learnt to ride, to
drive, to row, to swim, to attend banquets, to sustain a
conversation, to discuss the weightiest questions of statesmanship,
to sing and dance in public choruses, and to ride or walk in public
processions. If he abused his liberty and behaved in a lawless or
unseemly way, he was called to account by the severe Court of the
Areopagus, which attended to public morals. He saw little of girls of
his own age, except his sisters, unless it was at public festivals,
when there was little opportunity of becoming acquainted with them.
His affectionate nature therefore expressed itself mostly in the form
of devoted friendships to other youths of his own, or nearly his own,
age, a fact which enables us to understand why friendship fills so
large a space, not only in the life, but also in the ethical treatises of
the Greeks,—Plato, Aristotle, etc.,—and why love, in the modern
sense, plays so insignificant a part. The truth is that, even in Athens,
the State encroached upon the family. Plato's Republic was only the
logical carrying out of principles that were latent long before in the
social life of the Athenian people.
It would be impossible to treat in detail the exercises to which the
Athenian youth was subjected during the years in which he attended
the public gymnasium as a pupil. The old exercises of the palæstra
were continued, running and wrestling especially; but the former
was now done in armor, and the latter became more violent, and
was supplemented by boxing. In fact, the physical exercises were
now systematized into the pentathlon—running, leaping, discus-
throwing, wrestling, boxing—which formed the programme of nearly
all gymnastic exhibitions. During these years, the youth was still
regarded as a minor, and his father or guardian was responsible for
his good behavior. But when he reached the age of eighteen, a
change took place, and he passed under the direct control of the
State. His father now brought him before the reeve of his demos
(ward or village), as a candidate for independent citizenship. If he
proved to be the lawful child of free citizens, and came up to the
moral and physical requirements of the law, his name was entered
upon the register of the demos, and he became a member of it. He
was now prepared to be presented to the whole people, and to pass
the State examination. He shore his long hair for the first time, and
donned the black garment of the citizen. In this guise he presented
himself to the king-archon of the State, who, at a public assembly,
introduced him, along with others, to the whole people. He was then
and there armed with spear and shield (supplied by the State if his
father had fallen in war), and thence proceeded to the shrine of
Aglauros, where, looking down on the agora, the city, and the Attic
plain, he took the Solonian oath of citizenship (see p. 61). He was
now technically an ephēbos, cadet, or citizen-novice, ready to
undergo those two years of severe discipline which at once formed
his introduction to practical affairs, and constituted the State
examination. During the first year he remained in the neighborhood
of Athens, drilling in arms, and acquiring a knowledge of military
tactics. His life was now the hard life of a soldier. He slept in the
open air, or in the guard-houses (φρούρια) that surrounded the city,
and was liable to be called upon at any time by the government to
give aid in an emergency. He also took part in the public festivals. At
the end of the year, all the ephēboi of one year's standing passed an
examination in military drill before the assembled people
(ἀπεδείξαντο τῷ δήμῳ περὶ τὰς τάξεις[3]), after which they were
employed as militia to man the frontier guard-houses, and as rural
gendarmerie (περίπολοι), scouring the country in all directions. They
now lived like soldiers in war-time, and learnt two important things,
(1) the topography of Attica, its roads, passes, brooks, springs, etc.,
(2) the art of enforcing law and order. Their life, indeed, closely
resembled that of the Alpine corps (Alpini) of the Italian army at the
present day. These spend the summer in making themselves
acquainted with every height, valley, pass, stream, and covert in the
Italian Alps, often bivouacking for days together at great heights.
That during this time the ephēboi should have taken any part in the
legislative or judicial duties of citizens, seems in the highest degree
improbable. At the end of their second year, however, they passed a
second examination, called the citizenship or manhood examination
(δοκιμασία εἰς ἄνδρας), after which they were full members of the
State.

(4) University Education.

The Greek university was the State, and the Greek State was a
university—a Cultur-Staat, as the Germans say. That the State is a
school of virtue, was a view generally entertained in the ancient
world, which, until it began to decay, completely identified the man
with the citizen. The influence of this view upon the attitude of the
individual to the State, and of the State to the individual, can hardly
be overestimated. The State claimed, and the individual accorded to
it, a disciplinary right which extended to every sphere and action of
life. Thus the sphere of morality coincided exactly with the sphere of
legality, or, to put it the other way, the sphere of legality extended to
the whole sphere of morality, and this was considered true, whatever
form the State or government might assume—monarchy, aristocracy,
democracy, etc.
To give a full account of the university education of old Athens would
be to write her social and political history up to the time of the
Persian Wars. This is, of course, out of the question. All I can do is
to point out those elements in the State which enabled it to produce
that splendid array of noble men, and accomplish those great deeds
and works, which make her brief career seem the brightest spot in
the world's history.
The chief of these elements, and the one which included all the rest,
was the Greek ideal of harmony. Athens was great as a State and as
a school so long as she embodied that ideal, so long as she
distributed power and honor in accordance with worth (ἀρετή)
intellectual, moral, practical; in a word, so long as the State was
governed by the best citizens (ἄριστοι), and the rest acknowledged
their right to do so. Notwithstanding the contention of Grote and
others, it is strictly true that Athens was great because, and so long
as, she was aristocratic (in the ancient sense), and perished when
she abandoned her fundamental ideal by becoming democratic. This
assertion must not be construed as any slur upon democracy as
such, or as denying that Athens in perishing paved the way for a
higher ideal than her own. It simply states a fact, which may be
easily generalized without losing its truth: An institution perishes
when it abandons the principle on which it was founded and built up.
Unless we bear this in mind, we shall utterly fail to understand the
lesson of Athenian history. If it be maintained that some of Athens'
noblest work was done under the democracy, the sufficient answer
is, that it was nearly all done by men who retained the spirit of the
old aristocracy, and bitterly opposed the democracy. We need name
only Æschylus, Sophocles, Aristophanes, Plato, Aristotle,
Demosthenes.
 Part II
THE "NEW EDUCATION" (b.c. 480-338)
 CHAPTER I

INDIVIDUALISM AND PHILOSOPHY

Homer ought to be driven from the lists and whipt, and

Archilochus likewise.—Heraclitus.
 Thou needs must have knowledge
of all things,
First of the steadfast core of the Truth that forceth
conviction,
Then of the notions of mortals, where true conviction
abides not.
—Parmenides.

All things were undistinguished: then Intellect came and

brought them into order.—Anaxagoras.

Man is the measure of all things.

In regard to the Gods, I am unable to know whether they are or
are not.—Protagoras.

Strepsiades. Don't you see what a good thing it is to have

learning? There isn't any Zeus, Phidippides!
Phidippides. Who is there then?
Streps. Vortex rules, having dethroned Zeus.
Phid. Pshaw! what nonsense!
Streps. You may count it true, all the same.
Phid. Who says so?
Streps. Socrates the Melian, and Chærephon, who knows the
footprints of fleas.—Aristophanes, Clouds.

There is an old-fashioned saw, current of yore among mortals,

that a man's happiness, when full-grown, gives birth and dies
not childless, and that from Fortune there springs insatiate woe
for all his race. But I, dissenting from all others, am alone of
different mind. It is the Irreverent Deed that begets after it
more of its kind. For to righteous homes belongs a fair-
childrened lot forever; but old Irreverence is sure to beget
Irreverence, springing up fresh among evil men, when the
numbered hour arrives. And the new Irreverence begets Surfeit
of Wealth, and a power beyond all battle, beyond all war, unholy
Daring, twin curses, black to homes, like to their parents. But
Justice shines in smoky homes, and honors the righteous life,
and, leaving, with averted eyes, foundations gilded with
impurity of hands, she draws nigh to holy things, honoring not
the power of wealth, with its counterfeit stamp of praise. And
her will is done.—Æschylus.
From the time they are children to the day of their death, we
teach them and admonish them. As soon as the child
understands what is said to him, his nurse and his mother and
his pedagogue and even his father vie with each other in trying
to make the best of him that can be made, at every word and
deed instructing him and warning him, "This is right," "This is
wrong," "This is beautiful," "This is ugly," "This is righteous,"
"This is sinful," "Do this," "Don't do that." And if the child readily
obeys, well and good; if he does not, then they treat him like a
bent and twisted stick, straightening him out with threats and
blows. Later on, they send him to school, and then they lay
their injunctions upon the masters to pay much more attention
to the good behavior of their sons than to their letters and
music (κιθάρισις); and the teachers act upon these injunctions.
Later yet, when they have learnt to read, and are proceeding to
understand the meaning of what is written, just as formerly
they understood what was said to them, they put before them
on the benches to read the works of good poets, and insist
upon their learning them by heart—works which contain many
admonitions, and many narratives, noble deeds, and eulogies of
the worthy men of old—their purpose being to awaken the boy's
ambition, so that he may imitate these men and strive to be
worthy likewise. The music-teachers also, pursuing the same
line, try to inculcate self-control (σωφροσύνη) and to prevent
the boys from falling into mischief. In addition to this, when
they have learnt to play on the lyre, their masters teach them
other poems, written by great lyric poets, making them sing
them and play the accompaniments to them, and compelling
them to work into their souls the rhythms and melodies of
them, so that they may grow in gentleness, and, having their
natures timed and tuned, may be fitted to speak and act. The
truth is, the whole life of man needs timing and tuning.
Furthermore, in addition to all this, parents send their sons to
the physical trainer, in order that their bodies may be improved
and rendered capable of seconding a noble intent, and they
themselves not be forced, from physical deterioration, to play
the coward in war or other (serious) matters. And those who
can best afford to give this education, give most of it, and these
are the richest people. Their sons go earliest to school and leave
it latest. And when the boys leave school, the State insists that
they shall learn the laws and live according to them, and not
according to their own caprice ... And if any one transgresses
these laws, the State punishes him ... Seeing that so much
attention is devoted to virtue, both in the family and in the
State, do you wonder, Socrates, and question whether virtue be
something that can be taught? Surely you ought not to wonder
at this, but rather to wonder if it could not be taught.—Plato,
Protagoras (words of Protagoras).
"Isn't it true, Lysis," said I, "that your parents love you very
much?"—"To be sure," said he.—"Then they would wish you to
be as happy as possible?"—"Of course," said he.—"And do you
think a person is happy who is a slave, and is not allowed to do
anything he desires?"—"I don't, indeed," said he.—"Then, if
your father and mother love you and wish you to be happy, they
endeavor by every means in their power to make you
happy."—"To be sure they do," said he.—"Then they allow you
to do anything you please, and never chide you, or prevent you
from doing what you desire."—"By Jove! they do, Socrates: they
prevent me from doing a great many things."—"What do you
mean," said I; "they wish you to be happy, and yet prevent you
from doing what you wish? Let us take an example: If you want
to ride in one of your father's chariots, and to hold the reins,
when it is competing in a race, won't they allow you, or will they
prevent you?"—"By Jove! no: they would not allow me," said
he. "But why should they? There is a charioteer, who is hired by
my father."—"What do you mean? They allow a hired man,
rather than you, to do what he likes with the horses, and pay
him a salary besides?"—"And why not?" said he.—"Well then, I
suppose they allow you to manage the mule-team, and if you
wanted to take the whip and whip it, they would permit
you."—"How could they?" said he.—"What?" said I: "is nobody
allowed to whip it?"—"Of course," he said; "the muleteer."—"A
slave or a free man?"—"A slave," said he.—"And so it seems
they think more of a slave than of their son, and entrust their
property to him rather than to you, and allow him to do what he
pleases, whereas they prevent you. But, farther, tell me this. Do
they allow you to manage yourself, or do they not even trust
you to that extent?"—"How trust me?" said he.—"Then does
some one manage you?"—"Yes, my pedagogue here," said he.
—"But he is surely not a slave?"—"Of course he is, our slave,"
said he.—"Is it not strange," said I, "that a freeman should be
governed by a slave? But, to continue, what is this pedagogue
doing when he governs you?"—"Taking me to a teacher, or
something of the kind," he said.—"And these teachers, it cannot
be that they too govern you?"—"To any extent."—"So then your
father likes to set over you a host of masters and managers;
but, of course, when you go home to your mother, she lets you
do what you like, in order to make you happy, either with the
threads or the loom, when she is weaving—does she not? She
surely doesn't in the least prevent you from handling the batten,
or the comb, or any of the instruments used in spinning."—And
he, laughing, said: "By Jove, Socrates; she not only prevents
me, but I should be beaten if I touched them."—"By Hercules,"
said I, "isn't it true that you have done some wrong to your
father and mother?"—"By Jove, not I," he said.—"But for what
reason, then, do they so anxiously prevent you from being
happy, and doing what you please, and maintain you the whole
day in servitude to some one or another, and without power to
do almost anything you like. It seems, indeed, that you derive
no advantage from all this wealth, but anybody manages it
rather than you, nor from your body, nobly born as it is, but
some one else shepherds it and takes care of it. But you govern
nothing, Lysis, and do nothing that you desire."—"The reason,
Socrates," he said, "is, that I am not of age."—Plato, Lysis.
The present state of the constitution is as follows: Citizenship is
a right of children whose parents are both of them citizens.
Registration as member of a deme or township takes place
when eighteen years of age are completed. Before it takes place
the townsmen of the deme find a verdict on oath, firstly,
whether they believe the youth to be as old as the law requires,
and if the verdict is in the negative he returns to the ranks of
the boys. Secondly, the jury find whether he is freeborn and
legitimate. If the verdict is against him he appeals to the
Heliæa, and the municipality delegate five of their body to
accuse him of illegitimacy. If he is found by the jurors to have
been illegally proposed for the register, the State sells him for a
slave; if the judgment is given in his favor, he must be
registered as one of the municipality. Those on the register are
afterwards examined by the senate, and if anyone is found not
to be eighteen years old, a fine is imposed on the municipality
by which he was registered. After approbation, they are called
epheboi, or cadets, and the parents of all who belong to a
single tribe hold a meeting and, after being sworn, choose three
men of the tribe above forty years of age, whom they believe to
be of stainless character and fittest for the superintendence of
youth, and out of these the commons in ecclesia select one
superintendent for all of each tribe, and a governor of the whole
body of youths from the general body of the Athenians. These
take them in charge, and after visiting with them all the
temples, march down to Piræus, where they garrison the north
and south harbors, Munychia and Acte. The commons also elect
two gymnastic trainers for them, and persons who teach them
 to fight in heavy armor, to draw the bow, to throw the javelin,
and to handle artillery. Each of the ten commanders receives as
pay a drachma [about 20 cts.] per diem, and each of the cadets
four obols [about 13 cts.]. Each commander draws the pay of
the cadets of his own tribe, buys with it the necessaries of life
for the whole band (for they mess together by tribes), and
purveys for all their wants. The first year is spent in military
exercises. The second year the commons meet in the theatre
and the cadets, after displaying before them their mastery in
warlike evolutions, are each presented with a shield and spear,
and become mounted patrols of the frontier and garrison the
fortresses. They perform this service for two years, wearing the
equestrian cloak and enjoying immunity from civic functions.
During this period, to guard their military duties from
interruption, they can be parties to no action either as
defendant or plaintiff, except in suits respecting inheritance, or
heiresses, or successions to hereditary priesthoods. When the
three years are completed they fall into the ordinary body of
citizens.—Aristotle, Constitution of Athens (Poste's Version, with
slight alterations).

That perfect harmony between power and worth at which the

Athenian State aimed, was something not easily attained or
preserved. As far back as its recorded history reaches, we find a
struggle for power going on between a party which possessed more
power than its worth justified, and a party which possessed less;
that is, between a party which, having once been worthy, strove to
hold power in virtue of its past history, and one that claimed power
in virtue of the worth into which it was growing: in a word, a
struggle between declining aristocracy and growing democracy. To
the party in power, of course, this seemed a rebellion against lawful
authority and privilege, and it did its best to suppress it. Hence came
the rigorous legislation of Draco; later the more conciliatory, less
out-spoken, but equally aristocratic legislation of Solon; then the
tyranny of Pisistratus, lasting as long as he could hold the balance of
power between the contending parties; then the constitution of
Clisthenes, with the breaking up of the old Athenian aristocratic
system, the remodelling of the tribes, the degradation of the
Areopagus, and the definite triumph of democracy. To complete the
movement and, as it were, to consecrate it, came the Persian Wars,
which mark the turning-point, the peripeteia, in Athenian history and
education. Whatever efforts aristocracy makes to maintain itself after
this, are made in the name of, and under cover of a zeal for,
democracy.
The aristocratic Athenian State was based upon land-ownership,
slavery, and the entire freedom of the land-owning class from all but
family and State duties, from all need of engaging in productive
industry. So long as the chief wealth of the State consisted in land
and its produce, so long the population was divided into two classes,
the rich and the poor, and so long the former had little difficulty in
keeping all power in its own hands. But no sooner did the growth of
commerce throw wealth into the hands of a class that owned no
land, and was not above engaging in industry, than this class began
to claim a share in political power. There were now two wealthy
classes, standing opposed to each other, a proud, conservative one,
with "old wealth and worth," and a vain, radical one, with new
wealth and wants, both bidding for the favor of the class that had
little wealth, little worth, and many wants, and thus making it feel its
importance. Such is the origin of Athenian democracy. It is the child
of trade and productive industry. It owed its final consecration to the
Persian Wars, and especially to the battle of Salamis, in which
Athens was saved by her fleet, manned chiefly by marines (ἐπιβάται)
from the lower classes, the upper classes, as we have seen, being
trained only for land-service. Thus the battle of Salamis was not only
a victory of Greece over Persia, but of foreign trade over home
agriculture, of democracy over aristocracy.
The fact that the Athenian democracy owed its origin to trade
determined, in great measure, its history and tendencies. One of its
many results was that it opened Athens to the influx of foreign men,
foreign ideas, and foreign habits, not to speak of foreign gods, all of
which tended to break up the old self-contained, carefully organized
life of the people. In no department were their effects sooner or
more clearly felt than in that of education. From about the date of
the battle of Salamis, when the youthful Ionian, Anaxagoras, came
to Athens, a succession of men of "advanced" ideas in art and
science sought a field of action within her borders. Such a field,
indeed, seemed purposely to have been left open for them by the
State, which had provided no means of intellectual or moral
education for its young citizens, after they passed under its care (see
p. 87). Nothing was easier or more profitable than for these wise
foreigners to constitute themselves public teachers, and fill the place
which the State had left vacant. The State might occasionally object,
and seek to punish one or another of them for corrupting of the
youth by the promulgation of impious or otherwise dangerous ideas,
as it did in the case of Anaxagoras; but their activity was too much
in harmony with a tendency of the time,—a radical and individualistic
tendency inseparable from democracy,—to be dispensed with
altogether. Hence it was that, within a few years after the battle of
Salamis, there flourished in Athens a class of men unknown before
within her boundaries, a class of private professors, or "sophists," as
they called themselves, who undertook to teach theoretically what
the State had assumed could be taught only practically and by
herself, viz., virtue and wisdom. Their ideas were novel, striking, and
radical, hence congenial to a newly emancipated populace, vain of
its recent achievements, and contemptuous of all that savored of the
narrow, pious puritanism of the old time; their premises were
magnificent, and their fees high enough to impose upon a class that
always measures the value of a thing by what it is asked to pay for
it; their method of teaching was such as to flatter the vanity, and
secure the favor, of both pupils and parents. No wonder that their
success was immediate and their influence enormous.
From the days of Socrates to our own, 'sophist' has been a term of
reproach, and not altogether unjustly so. Hegel, Grote, and Zeller
have, indeed, shown that the sophists did not deserve all the
obloquy which has attached itself to their name, inasmuch as they
were neither much better nor much worse than any class of men
who set up to teach new doctrines for money, and, as wise
economists, suit supply to demand; nevertheless, it may be fairly
enough said that they largely contributed to demoralize Athens, by
encouraging irreverence for the very conceptions upon which her
polity was built, and by pandering to some of the most selfish and
individualistic tendencies of democracy. If it be said that they have
their place in the history of human evolution, as the heralds of that
higher view of life which allows the individual a sphere of activities
and interests outside of that occupied by the State, this may at once
and without difficulty be admitted, without our being thereby forced
to regard them as noble men. The truth is, they represented, in
practice and in theory, the spirit of individualism, which was then
everywhere asserting itself against the spirit of nationalism or polity,
and which perhaps had to assert itself in an exaggerated and
destructive way, before the rightful claims of the two could be
manifested and harmonized. It is the incorporation of this spirit of
individualism into education that constitutes the "New Education."
This spirit, as manifested in the sophists and their teaching, directed
itself against the old political spirit in all the departments of life—in
religion, in politics, in education. It discredited the old popular gods,
upon loyalty to whom the existence of the State had been supposed
to depend, substituting for them some crude fancy like Vortex, or
some bald abstraction like Intellect. It encouraged the individual to
seek his end in his own pleasure, and to regard the State as but a
means to that end. It championed an education in which these ideas
occupied a prominent place. What the sophists actually taught the
ambitious young men who sought their instruction, was self-
assertion, unscrupulousness, and a showy rhetoric, in whose
triumphal procession facts, fancies, and falsehoods marched
together in brilliant array. It is but fair to them to say that, in their
endeavor to instruct young men in the art of specious oratory, they
laid the foundations of the art of rhetoric and the science of
grammar. So much, at least, the world owes to them.
Since it was to the young men, who, freed from the discipline of
home, pedagogue, school, and palæstra, could be met with
anywhere, in the street, the agora, the gymnasium, that the sophists
directed their chief attention, it was of course these who first
showed the effects of their teaching. But their influence, falling in, as
it did, with the pronounced radical tendencies of the time, soon
made itself felt in all grades of education, from the family to the
university, in the form of an irreverent, flippant, conceited
rationalism, before whose self-erected and self-corrupted tribunal
every institution in heaven and earth was to be tried. In the schools
this influence showed itself in various ways: (1) in an increased
attention to literature, and especially to the formal side of it, (2) in
the tendency to substitute for the works of the old epic and lyric
poets the works of more recent writers tinged with the new spirit,
(3) in the introduction of new and complicated instruments and
kinds of music, (4) in an increasing departure from the severe
physical and moral discipline of the old days. We now, for the first
time, hear of a teacher of literature, distinct from the music master,
of teachers who possessed no copy of Homer (Alcibiades is said to
have chastised such a one), of flutes, citharas, and the like in use in
schools, of wildness and lewdness among boys of tender age. In the
palæstra the new spirit showed itself in a tendency to substitute
showy and unsystematic exercises for the vigorous and graded
exercises of the older time, to sacrifice education to execution.
But, as already remarked, the new spirit showed itself most clearly
and hurtfully in the higher education. The young men, instead of
spending their time in vigorous physical exercise in the gymnasia
and open country, began now to hang about the streets and public
places, listening to sophistic discussions, and to attend the schools
of the sophists, exercising their tongues more than any other part of
their bodies. The effect of this soon showed itself in a decline of
physical power, of endurance, courage, and manliness, and in a
strong tendency to luxury and other physical sins. They now began
to imagine for themselves a private life, very far from coincident with
that demanded of a citizen, and to look upon the old citizen-life, and
its ideals, sanctions, and duties, with contempt or pity, as something
which they had learnt to rise above. The glory and well-being of
their country were no longer their chief object of ambition. The dry
rot of individualism, which always seems to those affected by it an
evidence of health and manly vigor, was corrupting their moral
nature, and preparing the way for the destruction of the State. For it
was but too natural that these young men, when they came to be
members of the State, should neglect its lessons and claims, and,
following the new teachings, live to themselves. Thus, just as the
character of the "Old Education" of Athens showed itself in the
behavior of her sons in the Persian Wars, so that of her "New
Education" showed itself fifty years later in the Peloponnesian War,
that long and disastrous struggle which wrecked Athens and Greece.
Yet Athens and her education were not allowed to go to ruin without
a struggle. The aristocratic party long stuck to the old principles and
tried to give them effect; but, failing to understand the new
circumstances and to take account of them, it erred in the
application of them, by seeking simply to restore the old conditions.
Individuals also exerted their best efforts for the same end.
Æschylus, who had fought at Marathon, and who, more than any
other Greek, was endowed with the spirit of religion, interpreted the
old mythology in an ethical sense, and in this form worked it into a
series of dramas, whereby the history and institutions of the Greek
people were shown to be due to a guiding Providence of inexorable
justice, rewarding each man according to his works, abhorring proud
homes "gilded with impurity of hands," and dwelling with the pure
and righteous, though housed in the meanest cot. Æschylus thus
became, not only the father of Greek tragedy, but also the sublimest
moral teacher Greece ever possessed. For moral grandeur there is
but one work in all literature that can stand by the side of Æschylus'
Oresteia, and that is the Divine Comedy. Yet Æschylus was driven
from Athens on a charge of impiety, and died in exile.
But it was not the tragic drama alone that was inspired and made a
preacher of righteousness: in the hands of Aristophanes, the comic
drama exerted all its power for the same end. For over thirty years
this inimitable humorist used the public theatre to lash the follies,
and hold up to contempt the wretched leaders, of the Athenian
populace, pointing out to his countrymen the abyss of destruction
that was yawning before them. The world has never seen such
earnest comedy, not even in the works of Molière or Beaumarchais.
Yet it was all in vain. Long before his death, Aristophanes was
forbidden to hold up to public scorn the degradation of his people.
Among the individual citizens who labored with all their might to
bring back Athens to her old worth were two of very different
character, endowments, and position, the one laboring in the world
of action, the other in the world of thought. The first was Pericles,
who, seeing that democracy was the order of the day, accepted it,
and, by his personal character and position, strove to guide it to
worthy ends. In order to encourage gymnastic exercises, particularly
among the sons of the newer families, he built the Lyceum, in a
grove sacred to Apollo, between Cynosarges and the city walls, as a
gymnasium for them. With a view to encouraging among them the
study of music, he built an odeon, or music-hall, under the southeast
end of the Acropolis. Both were magnificent structures. What he did
towards the completion of the great theatre for the encouragement
of dancing, we do not know; that this entered into his plan, there
can hardly be any doubt. But Pericles was too wise a man to
suppose that he could induce his pleasure-seeking countrymen to
subject themselves to the old discipline, without offering them an
object calculated to rouse their ambition and call forth their energy.
This object was nothing less than a united Greece, with Athens as its
capital. How hard he tried to make this object familiar to them, and
to render Athens worthy of the place he desired her to occupy, is
pathetically attested to this day by the Propylæa and the Parthenon.
On the frieze of the latter is represented the solemn sacrifice that
was to cement the union of the Hellenic people, and place it at the
head of civilization. When degenerate Greece resisted all his efforts
to make her become one peaceably, he tried to make her do so by
force, and the Peloponnesian War, started on a mere frivolous
pretext, was the result. He did not live long enough to learn the
outcome of this desperate attempt to wake his countrymen to new
moral and political life, and it was well. If he had, he might have
been forced to recognize that he had been attempting an impossible
task,—trying to erect a strong structure with rotten timber, to make
a noble State out of ignoble, selfish men. Unfortunately, the example
of his own private life, in which he openly defied one of the laws of
the State, and tried to make concubinage (ἑταίρησις) respectable,
more than undid all the good he sought to accomplish. The truth is,
Pericles was himself too deeply imbued with the three vices of his
time—rationalism, self-indulgence, and love of show—to be able to
see any true remedy for the evils that sprang from them. What was
needed was not letters, music, gymnastics, dancing, or dream of
empire, but something entirely different—a new moral inspiration
and ideal.
This, the second of the men to whom reference has been made,
Socrates, sought to supply. In the midst of self-indulgence, he lived
a life of poverty and privation; in the midst of splendor and the
worship of outward beauty, he pursued simplicity and took pleasure
in his ugliness; in the midst of self-assertive rationalism and all-
knowing sophistry, he professed ignorance and submission to the
gods. The problem of how to restore the moral life of Athens and
Greece presented itself to Socrates in this form: The old ethical
social sanctions, divine and human, having, under the influence of
rationalism and individualism, lost their power, where and how shall
we find other sanctions to take their place? To answer this one
question was the aim of Socrates' whole life. He was not long in
seeing that any true answer must rest upon a comprehension of
man's entire nature and relations, and that the sophists were able to
impose upon his countrymen only because no such comprehension
was theirs. He saw that the old moral life, based upon naïve tradition
and prescription, sanctioned by gods of the imagination, would have
to give place to a moral life resting upon self-understanding and
reflection. He accordingly adopted as his motto the command of the
Delphic oracle, Know Thyself (γνῶθι σεαυτóν), and set to work with
all his might to obey it.
He now, therefore, went to meet the sophists on their own ground
and with their own methods, and he did this so well as to be
considered by many, Aristophanes among them, as the best possible
representative of the class. What is true is, that he was the first
Athenian who undertook to do what the sophists had for some time
considered their special function,—to impart a "higher education" to
the youth and men of Athens. He went about the streets, shops,
walks, schools, and gymnasia of the city, drawing all sorts of persons
into conversation, and trying to elicit truth for himself and them (for
he pretended to know nothing). He was never so pleased as when
he met a real sophist, who professed to have knowledge, and never
so much in his element as when, in the presence of a knot of young
men, he could, by his ironical, subtle questions, force said sophist to
admit that he too knew nothing. The fact was, Socrates, studying
Heraclitus, had become convinced that the reason why men fell into
error was because they did not know themselves, or their own
thoughts, because what they called thoughts were mere opinions,
mere fragments of thoughts. He concluded that, if men were ever to
be redeemed from error, intellectual and moral, they must be made
to think whole thoughts. Accordingly, he took the ordinary opinions
of men and, by a series of well-directed questions, tried to bring out
their implications, that is, the wholes of which they were parts. Such
is the Socratic or dialectic (= conversational) method. It does not
pretend to impart any new knowledge, but merely, as Socrates said,
to deliver the mind of the thoughts with which it is pregnant. And
Socrates not only held that saving truth consisted of whole thoughts;
he held also that all such thoughts were universally and necessarily
true; that, while there might be many opinions about a thing, there
could be but one truth, the same for all men, and therefore
independent of any man. This was the exact opposite of what
Protagoras the sophist had taught, the opposite of the gospel of
individualism (see p. 93). Man is so far from being the measure of all
things, that there is in all things a measure to which he must
conform, if he is not to sink into error. This measure, this system of
whole truths, implying an eternal mind to which it is present, and by
which it is manifested in the world, is just what man arrives at, if he
will but think out his thoughts in their completeness. In doing so, he
at once learns the laws by which the universe is governed and finds
a guide and sanction for his own conduct—a sanction no longer
external and imposed by the State, but internal and imposed by the
mind. A system like this involved a complete reversal of the old view
of the relation between man and the State, and at the same time
took the feet from under individualism. "It is true," said Socrates in
effect, "that the individual, and not the State, is the source of all
authority, the measure of all things; but he is so, not as individual,
but as endowed with the universal reason by which the world,
including the State, is governed." This is the sum and substance of
Socrates' teaching, this is what he believed to be true self-
knowledge. This is the truth whose application to life begins a new
epoch in human history, and separates the modern from the ancient
world; this is the truth that, reiterated and vivified by Christianity,
forms the very life of our life to-day.
In adopting this view, Socrates necessarily formed "a party by
himself," a party which could hope for no sympathy from either of
the other two into which his countrymen were divided. The party of
tradition charged him with denying the gods of his country and
corrupting her youth; the radical party hated him because he
convicted its champions of vanity, superficiality, and ignorance.
Between them, they compassed his death, and Athens learnt, only
when it was too late, that she had slain her prophet. But Socrates,
though slain, was not dead. His spirit lived on, and the work which
he had begun grew and prospered. Yet it could not save Athens,
except upon a condition which she neither would nor could accept,
that of remodelling her polity and the life of her citizens in
accordance with divine truth and justice. Indeed, though he
discovered a great truth, Socrates did not present it in a form in
which it could be accepted under the given conditions. He himself
even did not by any means see all the stupendous implications of his
own principle, which, in fact, was nothing less than the ground of all
true ethics, all liberty, and all science. It is doubtful whether any one
sees them now, and certain that they have been nowhere realized.
Still his truth and his life were not without their immediate effect
upon Athens and Athenian education. Men, working in his spirit, and
inspired with his truth, more or less clearly understood, almost
immediately replaced the sophists in Athens, and drew the attention
of her citizens, old and young, to the serious search for truth. In
fact, from this time on, the intellectual tendency began to prevail
over the gymnastic and musical, and this continued until, finally, it
absorbed the whole life of the people, and Athens, from being a
university-State, became a State-university. Such it was in the days
of Cicero, Paul, Plutarch, Lucian, and Proclus. That this one-sided
tendency was fatal to the political life of Athens, and therefore, in
some degree, to its moral life, is clear enough; and, though we
cannot hold Socrates personally responsible for this result, we must
still admit that it was one which flowed from his system of thought.
Personally, indeed, Socrates was a moral hero, and "five righteous"
men like him, had they appeared, would have gone far to save
Athens; but this very heroism, this inborn enthusiasm for
righteousness, blinded him so far as to make him believe that men
had only to know the right in order to be ready to follow it. Hence
that exaggerated importance attached to right knowing, and that
comparative neglect of right feeling and right doing, which in the
sequel proved so paralyzing. Hence the failure of Socrates' teaching
to stem the tide of corruption in Athens, and restore her people to
heroism and worth.
Socrates left behind him many disciples, some of whom
distinguished themselves in practical ways, others as founders of
philosophic schools, emphasizing different sides of his teaching. He
was but a few years in his grave when two of these were teaching
regularly in the two old gymnasia of Athens. Plato, a full-blooded
Athenian, was teaching in the Academy the intellectual and moral
theories of his master, while Antisthenes, a half-breed (his mother
being a Thracian), was inculcating the lesson of his heroic life in
Cynosarges. Their followers were called, respectively, Academics and
Cynics. Thus, by these two men, was the higher education for the
first time introduced into the public institutions of Athens.
Socrates' aim, as we have seen, had been purely a moral one, and
this fact was not lost sight of by his immediate followers. The chief
question with them all was still: How can the people be brought
back to moral life? But, thanks partly to the vagueness in which he
had left the details of his doctrine, they were divided with respect to
the means whereby this was to be accomplished. One party, best
represented by Plato, and following most closely in the footsteps of
the master, held that, man being essentially a social being, and
morality a relation in society, it was only in and through a social
order, a State, that virtue could be realized. Another party,
represented by Antisthenes, maintained that virtue was a purely
personal matter, and that the wise man stood high above any and all
social institutions. These two views maintained themselves, side by
side, in nearly all subsequent Greek thought, and at last found
expression in the State and Church of the Christian world.
Two of Socrates' followers, believers in institutional morality, left
behind them treatises which have come down to us, giving their
views as to the manner in which virtue might be cultivated. These
are the practical Xenophon and the theoretic Plato, both men of pure
Athenian stock. Nothing will better enable us to comprehend the
evils of the "New Education" than a consideration of the means by
which these worthy men proposed to remedy them. Both are
idealists and Utopians; but the former is conservative and
reactionary, while the latter is speculative and progressive. Both are
aiming at one thing—a virtuous and happy State, to replace the
vicious and wretched one in which they found their lot cast; but they
differed in their views regarding the nature of such a State, and the
means of realizing it.
 CHAPTER II

XENOPHON

Never a good is the rule of the many; let one be the ruler.—
Homer.
Wealth without Worth is no harmless housemate.—Sappho.
One to me is ten thousand, if he be best.
All the Ephesians, from youth up, ought to be hanged and the
State left to the boys, because they cast out Hermodorus, the
worthiest man amongst them, saying: 'No one of us shall be
worthiest, else let him be so elsewhere and among others.'—
Heraclitus.
Reflecting once that, of the very small states, Sparta appeared
to be the most powerful and the most renowned in Greece, I
began to wonder in what way this had come about. But when I
reflected upon the manners of the Spartans, I ceased to
wonder. As to Lycurgus, who drew up for them the laws, by
obedience to which they have prospered, I admire him and hold
him to be, in the highest degree, a wise man. For he, instead of
imitating other states, reached conclusions opposite to those of
most, and thereby rendered his country conspicuous for
prosperity.—Xenophon.

Xenophon was in no sense a philosopher or a practical teacher, but he

was a man of sterling worth, of knightly courage, of wide and varied
experience, of strong sagacity, and of genial disposition, a keen
observer, and a charming writer. He was a true old Athenian puritan,
broadened and softened by study and contact with the world. He
hated democracy so cordially that he would not live in Athens to
witness its vulgarity and disorder; but he loved his country, and
desired to see its people restored to their ancient worth. He believed
that this could be done only by some great, royal personality, like
Lycurgus or Cyrus, enforcing a rigid discipline, and once more
reducing the man to the citizen. Unwilling, probably, to hold up
hated Sparta as a model to his beaten and smarting countrymen, he
laid the scene of his pedagogical romance in far-off Persia.
In the Education of Cyrus (Κύρου παιδεία) we have Xenophon's
scheme for a perfect education. Despite the scene in which it is laid,
it is purely Hellenic, made up of Athenian and Spartan elements in
about equal proportions. For this reason also it has a special interest
for us. As the portion of the treatise dealing directly with public
education is brief, we can hardly do better than transcribe it in a
translation.
"Cyrus is still celebrated in legend and song by the barbarians as a
man of extraordinary personal beauty, and as of a most gentle,
studious, and honor-loving disposition, which made him ready to
undergo any labor, and brave any danger, for the sake of praise.
Such is the account that has been handed down of his appearance
and disposition. He was, of course, educated in accordance with the
laws of the Persians. These laws seem to begin their efforts for the
public weal at a different point from those of most other states; for
most states, after allowing parents to educate their children as they
please, and the older people even to spend their time according to
their own preference, lay down such laws as: Thou shalt not steal,
Thou shalt not rob, Thou shalt not commit burglary, Thou shalt not
commit assault, Thou shalt not commit adultery, Thou shalt not
disobey a magistrate, etc.; and if any one transgresses any of these
laws, they inflict punishment on him. The Persian laws, on the
contrary, provide beforehand that the citizens shall never, from the
very first, have any disposition to commit a wicked or base act. And
they do so in this way. They have what they call a Freemen's
Square, where the royal palace and the other public buildings stand.
From this square are removed all wares and chafferers, with their
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