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The Proverbs of Administration

Author(s): Herbert A. Simon


Source: Public Administration Review, Vol. 6, No. 1 (Winter, 1946), pp. 53-67
Published by: Wiley on behalf of the American Society for Public Administration
Stable URL: http://www.jstor.org/stable/973030
Accessed: 18-10-2016 00:01 UTC
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The Proverbs of Administration


By HERBERT A. SIMON
Associate Professor of Political Science
of Technology

Illinois Institute

A FACT about proverbs that greatly


opposite organizational recommendations,
enhances their quotability is that there is nothing in the theory to indicate

they almost always occur in mutu- which is the proper one to apply.1
ally contradictory pairs. "Look before you
It is the purpose of this paper to substanleapl"-but "He who hesitates is lost."
tiate this sweeping criticism of administraThis is both a great convenience and a tive theory, and to present some suggestions
serious defect-depending on the use to -perhaps less concrete than they should be
which one wishes to put the proverbs in -as to how the existing dilemma can be
question. If it is a matter of rationalizing solved.
behavior that has already taken place or
justifying action that has already been deSome Accepted Administrative
cided upon, proverbs are ideal. Since one
Principles
is never at a loss to find one that will prove

his point-or the precisely contradictory

AMONG the more common "principles"

that occur in the literature of admin-

point, for that matter-they are a great help

istration are these:

forms of rhetoric.

1. Administrative efficiency is increased


by a specialization of the task among the

in persuasion, political debate, and all

But when one seeks to use proverbs as


the basis of a scientific theory, the situation
is less happy. It is not that the propositions

group.

2. Administrative efficiency is increased


by arranging the members of the group in
expressed by the proverbs are insufficient; a determinate hierarchy of authority.
it is rather that they prove too much. A
3. Administrative efficiency is increased

scientific theory should tell what is true but

by limiting the span of control at any point


in the hierarchy to a small number.
to the world that particles of matter exert
4. Administrative efficiency is increased
either an attraction or a repulsion on each
by
grouping the workers, for purposes of
other, he would not have added much to
control, according to (a) purpose, (b) procscientific knowledge. His contribution coness, (c) clientele, or (d) place. (This is really
sisted in showing that an attraction was exan elaboration of the first principle but deercised and in announcing the precise law
serves separate discussion).
governing its operation.
Since these principles appear relatively
Most of the propositions that make up
simple and clear, it would seem that their
the body of administrative theory today
application to concrete problems of adminshare, unfortunately, this defect of prov-

also what is false. If Newton had announced

erbs. For almost every principle one can


1 Lest it be thought that this deficiency is peculiar to
the science-or "art"-of administration, it should be
find an equally plausible and acceptable

pointed out that the same trouble is shared by most

contradictory principle. Although the two


Freudian psychological theories, as well as by some
sociological theories.
principles of the pair will lead to exactly
53

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54

PUBLIC ADMINISTRATION REVIEW

trative
efficiency.
But, in thus rephrasing
istrative organization would
be
unambiguous and that their validity
would
be
easily
this
"principle"
of administration,
there has
beenSuch,
brought however,
clearly into the open its funsubmitted to empirical test.
seems not to be the case. damental
To show
why
it
ambiguity:
"Administrative
efficiency is increased
by a specialization of the
is not, each of the four principles
just listed

will be considered in turn.

task among the group in the direction

which will lead to greater efficiency."


Specialization. Administrative efficiency
is supposed to increase with an increase inFurther discussion of the choice between
competing bases of specialization will be
specialization. But is this intended to mean
undertaken after two other principles of
that any increase in specialization will inadministration have been examined.
crease efficiency? If so, which of the following alternatives is the correct application Unity of Command. Administrative efficiency is supposed to be enhanced by arof the principle in a particular case?
ranging
the members of the organization in
1. A plan of nursing should be put into effect
a determinate hierarchy of authority in orby which nurses will be assigned to districts and
do all nursing within that district, including school
der to preserve "unity of command."
examinations, visits to homes or school children, and

tuberculosis nursing.

Analysis of this "principle" requires a

clear understanding of what is meant by


2. A functional plan of nursing should be put
the term "authority." A subordinate may
into effect by which different nurses will be asbe said to accept authority whenever he
signed to school examinations, visits to homes of
school children, and tuberculosis nursing. The
permits his behavior to be guided by a

present method of generalized nursing by districts


decision reached by another, irrespective
impedes the development of specialized skills in the
of his own judgment as to the merits of that
three very diverse programs.
decision.

Both of these administrative arrange- In one sense the principle of unity of

ments satisfy the requirement of specializa-command, like the principle of specialization, cannot be violated; for it is physically
tion-the first provides specialization by

impossible for a man to obey two contraplace; the second, specialization by funcdictory commands-that is what is meant by
tion. The principle of specialization is of no
"contradictory commands." Presumably, if
help at all in choosing between the two
alternatives.
unity of command is a principle of adminIt appears that the simplicity of the prin- istration, it must assert something more
ciple of specialization is a deceptive sim-than this physical impossibility. Perhaps it
plicity-a simplicity which conceals funda- asserts this: that it is undesirable to place
mental ambiguities. For "specialization" is a member of an organization in a position
not a condition of efficient administration; where he receives orders from more than
it is an inevitable characteristic of all group one superior. This is evidently the meaning
effort, however efficient or inefficient that that Gulick attaches to the principle when
effort may be. Specialization merely meanshe says,

that different persons are doing different The significance of this principle in the process
things-and since it is physically impossibleof co-ordination and organization must not be lost
for two persons to be doing the same thingsight of. In building a structure of co-ordination,

in the same place at the same time, twoit is often tempting to set up more than one boss

persons are always doing different things.

for a man who is doing work which has more

than one relationship. Even as great a philosopher

The real problem of administration, of management as Taylor fell into this error in

then, is not to "specialize," but to specializesetting up separate foremen to deal with machinery,
in that particular manner and along thosewith materials, with speed, etc., each with the power
particular lines which will lead to adminis-of giving orders directly to the individual work-

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PROVERBS OF ADMINISTRATION
man. The rigid adherence to theissue
principle
of unity
direct orders
to him

55

regarding the

of command may have its absurdities; these are, howtechnical, accounting aspects of his work.
ever, unimportant in comparison with the certainty
Similarly,
the director of motor vehicles
of confusion, inefficiency and irresponsibility which

the public works department will be unarise from the violation of the in
principle.'
able to issue direct orders on care of motor

Certainly the principle of


unity
offire-truck
com- driver.2
equipment
to the
mand, thus interpreted, cannot
be
criticized
Gulick, in the statement quoted above,
for any lack of clarity orclearly
anyindicates
ambiguity.
the difficulties to be faced

The definition of authority


given
above
if unity
of command
is not observed. A

should provide a clear test certain


whether,
any
amount ofin
irresponsibility
and conconcrete situation, the principle
is almost
observed.
fusion are
certain to ensue. But perThe real fault that must be found with this
haps this is not too great a price to pay for
principle is that it is incompatible with the
the increased expertise that can be applied
principle of specialization. One of the most
to decisions. What is needed to decide the
important uses to which authority is put in issue is a principle of administration that
organization is to bring about specializationwould enable one to weigh the relative adin the work of making decisions, so that vantages of the two courses of action. But
each decision is made at a point in the or-neither the principle of unity of command
ganization where it can be made most ex-nor the principle of specialization is helpful

pertly. As a result, the use of authority


in adjudicating the controversy. They
permits a greater degree of expertness tomerely contradict each other without indibe achieved in decision-making than wouldcating any procedure for resolving the conbe possible if each operative employee had
tradiction.

himself to make all the decisions upon If this were merely an academic conwhich his activity is predicated. The in-troversy-if it were generally agreed and

dividual fireman does not decide whether

had been generally demonstrated that unity


to use a two-inch hose or a fire extinguisher;
of command must be preserved in all cases,
that is decided for him by his officers, and even with a loss in expertise-one could
the decision is communicated to him in the
assert that in case of conflict between the

form of a command.

two principles, unity of command should

However, if unity of command, in prevail. But the issue is far from clear, and

Gulick's sense, is observed, the decisions experts can be ranged on both sides of the
of a person at any point in the administracontroversy. On the side of unity of com-

tive hierarchy are subject to influence


mand there may be cited the dictums of
through only one channel of authority; and
Gulick and others.3 On the side of specialiif his decisions are of a kind that requirezation there are Taylor's theory of funcexpertise in more than one field of knowltional supervision, Macmahon and Millett's
edge, then advisory and informational servidea of "dual supervision," and the practice
ices must be relied upon to supply those
of technical supervision in military organipremises which lie in a field not recognized
zation.4

by the mode of specialization in the organization. For example, if an accountant 2 This point is discussed in Herbert A. Simon "Dein a school department is subordinate to an
cision-Making and Administrative Organization," 4
Public Administration Review 20-21 (Winter, 1944).
educator, and if unity of command is ob3 Gulick, "Notes on the Theory of Organization," p.

served, then the finance department cannot 9; L. D. White, Introduction to the Study of Public

Administration (Macmillan Co., 1939), p. 45.


1 Luther Gulick, "Notes on the Theory of Organiza- *Frederick W. Taylor, Shop Management (Harper &
tion," in Luther Gulick and L. Urwick (eds.), Papers on
Bros., 1911). p. 99; Macmahon, Millett, and Ogden
the Science of Administration (Institute of Public AdThe Administration of Federal Work Relief (Public
ministration, Columbia University, 1937), p. 9.
Administration Service, 1941), pp. 265-68; and L. Ur-

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56

PUBLIC ADMINISTRATION REVIEW

form,that
it also the
solves nofewer problems. In the
It may be, as Gulick asserts,
tion of Taylor and these
firstothers
place, it no longer
is an
requires, except for
"error." If so, the evidence
that
it isofan
settling
conflicts
authority, a single hierarchy of authority.
Consequently, it leaves
error has never been marshalled
or pubthe very
important question of
lished-apart from loose unsettled
heuristic
arguhow authority
ments like that quoted above.
One isshould
leftbe zoned in a particular organization
(i.e., the modes of spewith a choice between equally
eminent
cialization)
and through
theorists of administration and
without
any what channels it
should
be exercised.
evidential basis for making
that
choice.Finally, even this narWhat evidence there is of actual adminisrower concept of unity of command contrative practice would seem to indicate that flicts with the principle of specialization,
for whenever disagreement does occur and
the need for specialization is to a very large
degree given priority over the need for the organization members revert to the forunity of command. As a matter of fact, it mal lines of authority, then only those types
does not go too far to say that unity of of specialization which are represented in
command, in Gulick's sense, never has ex- the hierarchy of authority can impress themisted in any administrative organization. If selves on decision. If the training officer of
a line officer accepts the regulations of an a city exercises only functional supervision
accounting department with regard to the over the police training officer, then in case
procedure for making requisitions, can it of disagreement with the police chief, spebe said that, in this sphere, he is not sub- cialized knowledge of police problems will
ject to the authority of the accounting de- determine the outcome while specialized
partment? In any actual administrative knowledge of training problems will be subsituation authority is zoned, and to main- ordinated or ignored. That this actually occurs is shown by the frustration so comtain that this zoning does not contradict the
principle of unity of command requires a monly expressed by functional supervisors
very different definition of authority from at their lack of authority to apply sanctions.
Span of Control. Administrative effithat used here. This subjection of the line
officer to the accounting department is no ciency is supposed to be enhanced by limitdifferent, in principle, from Taylor's recom- ing the number of subordinates who report
mendation that in the matter of work pro- directly to any one administrator to a small

gramming a workman be subject to one number-say six. This notion that the

foreman, in the matter of machine operation to another.

"span of control" should be narrow is con-

fidently asserted as a third incontrovertible

The principle of unity of comand is per- principle of administration. The usual comhaps more detensible if narrowed down to mon-sense arguments for restricting the

the following: In case two authoritative span of control are familiar and need not be
repeated here. What is not so generally

commands conflict, there should be a single

determinate person whom the subordinate recognized is that a contradictory proverb


of administration can be stated which,

is expected to obey; and the sanctions of

authority should be applied against the sub-though it is not so familiar as the principle
ordinate only to enforce his obedience to of span of control, can be supported by
arguments of equal plausibility. The provthat one person.
If the principle of unity of command is erb in question is the following: Adminismore defensible when stated in this limitedtrative efficiency is enhanced by keeping
at a minimum the number of organizational
wick, who describes British army practice in "Organiza- levels through which a matter must pass
tion as a Technical Problem," Gulick and Urwick (eds.),
before it is acted upon.
op. cit., pp. 67-69.

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PROVERBS OF ADMINISTRATION

57

theof
position
of fundachief inspector and head nurse be
This latter proverb is one
the
and that the employees now filling these
mental criteria that guideabolished
administrative
positions perform regular inspectional and nursing
analysts in procedures simplification
duties. The details ofwork.
work scheduling now handled
Yet in many situations theby
results
to which
these two employees
can be taken care of more
this principle leads are in direct
economicallycontradicby the secretary to the health officer,
and, since
matters of policy have, in any
tion to the requirements of
thebroader
principle
event,
always
required
the personal attention of
of span of control, the principle of unity

the health officer, the abolition of these two positions will eliminate a wholly unnecessary step in
tion. The present discussion
iswill
concerned
review,
allow an expansion of inspectional and
with the first of these conflicts. To illusnursing services, and will permit at least a beginning to be made in the recommended program of
trate the difficulty, two alternative prohealth education. The number of persons reportposals for the organization of a small health
ing directly to the health officer will be increased
department will be presented-one based on
to nine, but since there are few matters requiring
the restriction of span of control, the other
the coordination of these employees, other than the

of command, and the principle of specializa-

on the limitation of number of organization


work schedules and policy questions referred to

levels:

above, this change will not materially increase his

1. The present organization of the department

work load.

places an administrative overload on the health The dilemma is this: in a large organiza-

officer by reason of the fact that all eleven em- tion with complex interrelations between
ployees of the department report directly to him

and the further fact that some of the staff lack

members, a restricted span of control in-

evitably produces excessive red tape, for


adequate technical training. Consequently, venereal
each contact between organization members
disease clinic treatments and other details require
an undue amount of the health officer's personal
must be carried upward until a common

attention.

superior is found. If the organization is at


all
large, this will involve carrying all such
proposed medical officer be placed in charge of the
matters upward through several levels of
venereal disease and chest clinics and all child
It has previously been recommended that the

officials
hygiene work. It is further recommended that
one for decision and then downward
of the inspectors be designated chief inspector
againand
in the form of orders and instructions
placed in charge of all the department's inspection-a cumbersome and time-consuming procal activities and that one of the nurses be ess.
desig-

nated as head nurse. This will relieve the health


commissioner of considerable detail and will leave

The alternative is to increase the number

of persons who are under the command of


him greater freedom to plan and supervise the

health program as a whole, to conduct health edueach officer, so that the pyramid will come
cation, and to coordinate the work of the departmore rapidly to a peak, with fewer inter-

ment with that of other community agencies. If the

vening levels. But this, too, leads to diffi-

department were thus organized, the effectiveness


of all employees could be substantially increased. culty, for if an officer is required to super2. The present organization of the departmentvise too many employees, his control over
them is weakened.
leads to inefficiency and excessive red tape by reason of the fact that an unnecessary supervisory If it is granted, then, that both the in-

level intervenes between the health officer and the

crease and the decrease in span of control

operative employees, and that those four of the


has some undesirable consequences, what is
twelve employees who are best trained technically
are engaged largely in "overhead" administrativethe optimum point? Proponents of a reduties. Consequently, unnecessary delays occur in
stricted span of control have suggested
securing the approval of the health officer on matthree, five, even eleven, as suitable numters requiring his attention, and too many matters
bers, but nowhere have they explained the
require review and re-review.
reasoning which led them to the particular
The medical officer should be left in charge of
the venereal disease and chest clinics and child

number they selected. The principle as

hygiene work. It is recommended, however, that


stated casts no light on this very crucial

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PUBLIC ADMINISTRATION REVIEW

58

clientele
the organization
question. One is reminded of
currentin
argudepartment.
ments about the proper size of the national

debt.

1. Public health administration consists of the

Organization by Purpose, following


Process,
activities
Clienfor the prevention of disease

and the maintenance


of healthful conditions: (i)
tele, Place. Administrative efficiency
is supvital statistics; (2) child hygiene-prenatal, materposed to be increased by grouping
workers

nity, postnatal, infant, preschool, and school health

according to (a) purpose,programs;


(b) process,
(c)
(3) communicable disease control; (4)

clientele, or (d) place. But from


discusinspection the
of milk,
foods, and drugs; (5) sanitary

sion of specialization it isinspection;


clear (6)that
this
laboratory
service; (7) health educa-

tion.
principle is internally inconsistent;
for pur-

of the are
handicaps
under which the health depose, process, clientele, and One
place
com-

partment labors is the fact that the department has

peting bases of organization,


and
at any
no control
over school
health, that being an ac-

given point of division the


advantages
ofof education, and there
tivity
of the county board

three must be sacrificed to secure


the
advan- between that highly
is little or
no coordination
important
partdepartof the community health program
tages of the fourth. If the
major
and the
balance
of the program which is conducted
ments of a city, for example,
are
organized
by the city-county health unit. It is recommended
on the basis of major purpose, then it folthat the city and county open negotiations with the
lows that all the physicians, board
all of
the
lawyers,
education
for the transfer of all school
all the engineers, all the statisticians
will
health work and the appropriation
therefor to the
joint health unit.... exnot be located in a single department
2. To of
the modem
school
department is entrusted
clusively composed of members
their
prothe care of children during almost the entire period
fession but will be distributed among the
that they are absent from the parental home. It
various city departments needing
their responsibilities
servhas three principal
toward them:

ices. The advantages of organization


by
(1) to provide for their education

in useful skills

and knowledge
and in character; (2) to provide
process will thereby be partly
lost.
play activities outside school
Some of these advantages them
canwith
bewholesome
regained
hours; (3) to care for their health and to assure
by organizing on the basis of
the process
attainment of within
minimum standards of nutri-

the major departments. Thus


there may be
tion.

an engineering bureau within


the
public
One of the
handicaps
under which the school
labors of
is theeducafact that, except for school
works department, or theboard
board
lunches, the board has no control over child health
tion may have a school health
service as a
and nutrition, and there is little or no coordination

major division of its work. Similarly, within


between that highly important part of the child
smaller units there may bedevelopment
division
by and
area
program
the balance of the pro-

or by clientele: e.g., a fire gram


department
which is conductedwill
by the board of education. It is recommended
that the city and county
have separate companies located
throughopen negotiations
for the transfer of all health
out the city, while a welfare
department
work for children of school age to the board of
may have intake and case work
education. agencies in

various locations. Again, however, these

Here
again is be
posed
the dilemma of
major types of specialization
cannot
sibetween
equally
multaneously achieved, forchoosing
at any
pointalternative,
in
plausible, administrative
principles. But
the organization it must be decided
whether
this is not
the only
in the present
specialization at the next level
will
be difficulty
ac-

for a purpose,
closer study of the situation
complished by distinction ofcase,
major
there are fundamental ambiguities in
major process, clientele, orshows
area.
the meanings
the key terms-"purpose,"
The conflict may be illustrated
byofshow"process," "clientele,"
and "place."
ing how the principle of specialization
ac"Purpose"
be roughly defined as the
cording to purpose would lead
to amay
differobjective
or end for which
ent result from specialization
according
to an activity is

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PROVERBS OF ADMINISTRATION

59

carried on; "process" as a means for acbe considered a single function depends
complishing a purpose. Processes, then, are entirely on language and techniques.2 If
carried on in order to achieve purposes. the English language has a comprehensive
But purposes themselves may generally be term which covers both of two subpurposes
arranged in some sort of hierarchy. A typist it is natural to think of the two together as
moves her fingers in order to type; types in a single purpose. If such a term is lacking,

order to reproduce a letter; reproduces a the two subpurposes become purposes in


letter in order that an inquiry may be an- their own right. On the other hand, a single
swered. Writing a letter is then the purpose activity may contribute to several objecfor which the typing is performed; while tives, but since they are technically (prowriting a letter is also the process whereby cedurally) inseparable, the activity is conthe purpose of replying to an inquiry is sidered a single function or purpose.
achieved. It follows that the same activity The fact, mentioned previously, that purmay be described as purpose or as process. poses form a hierarchy, each subpurpose
This ambiguity is easily illustrated for contributing to some more final and comthe case of an administrative organization. prehensive end, helps to make clear the
A health department conceived as a unit relation between purpose and process. "Orwhose task it is to care for the health of the
ganization by major process," says Gulick,
community is a purpose organization; the ". .. tends to bring together in a single
same department conceived as a unit which department all of those who are at work
makes use of the medical arts to carry on its making use of a given special skill or techwork is a process organization. In the same nology, or are members of a given profesway, an education department may be sion."3 Consider a simple skill of this kind
viewed as a purpose (to educate) organiza- -typing. Typing is a skill which brings
tion, or a clientele (children) organization; about a means-end coordination of muscuthe forest service as a purpose (forest con- lar movements, but at a very low level in
servation), process (forest management), the means-end hierarchy. The content of
clientele (lumbermen and cattlemen utiliz- the typewritten letter is indifferent to the
ing public forests), or area (publicly owned skill that produces it. The skill consists
forest lands) organization. When concrete merely in the ability to hit the letter "t"
illustrations of this sort are selected, the
quickly whenever the letter "t" is required
lines of demarcation between these cate-

by the content and to hit the letter "a"


gories become very hazy and unclearwhenever
inthe letter "a" is required by the

deed.

content.

"Organization by major purpose," says There is, then, no essential difference


Gulick, ". . . serves to bring together in abetween a "purpose" and a "process," but

single large department all of those who are only a distinction of degree. A "process" is
at work endeavoring to render a particular
an activity whose immediate purpose is at a

service."1 But what is a particular service?low level in the hierarchy of means and
Is fire protection a single purpose, or is itends, while a "purpose" is a collection of
merely a part of the purpose of public
activities whose orienting value or aim is at
safety?-or is it a combination of purposes
a high level in the means-end hierarchy.
including fire prevention and fire fighting?

It must be concluded that there is no such

2 If this is correct, then any attempt to prove that


certain activities belong in a single department because
thing as a purpose, or a unifunctional
they relate to a single purpose is doomed to fail. See,
(single-purpose) organization. What isfor
toexample, John M. Gaus and Leon Wolcott, Public
1 op. cit., p 21.

Administration and the U.S. Department of Agriculture (Public Administration Service, 1940.)
a Op. cit., p. 23.

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60

PUBLIC ADMINISTRATION REVIEW

that Bureau
A incorpo
Next consider "clientele"mean
and "place"
as
bases of organization. These
processes
categories
of aare
certain kind in
X, without
reference to any
really not separate from purpose,
but a part
purposes,
subareas, or subclie
of it. A complete statement
of the purpose
partment
X. Now it is conc
of a fire department would
have to include
the area served by it: "to reduce
particular
fire unit
losses
might incorpo
esses
of
a
certain
kind but th
on property in the city of X." Objectives

esses might are


relate to only certa
of an administrative organization
subpurposes
of the departm
phrased in terms of a service to be provided

In provided.
this case, which
and an area for which it is
Usu- corresponds
unit
in
an
education
departme
ally, the term "purpose" is meant to refer
above,
the
unit
would
be s
only to the first element, but the second is
both
purpose
and process. Th
just as legitimately an aspect
of
purpose.
would
the only one in the
Area of service, of course, may
be be
a specified
using the medical
clientele quite as well aspartment
a geographical
and which
concerned
with health (s
area. In the case of an agency
works
on "shifts," time will be a third
Even dimension
when the problem i
proper
usage
the term
of purpose-to provide a given
service
in for
a
"process,"
"clientele,"
and "ar
given area (or to a given clientele)
during
a
ciples of administration give
given time period.
which
of these four competing
With this clarification of
terminology,
cialization
is applicable in an
the next task is to reconsider
the problem
situation.
The
British Machin
of specializing the work of an organization.
Committee
had no d
It is no longer legitimate to ernment
speak of a
"pur-

the matter.
It considered purpo
pose" organization, a "process"
organiza-

tele as the or
twoan
possible bases of
tion, a "clientele" organization,

and put
faith entirely in
"area" organization. The same
unitits
might
Others
have
had equal assura
fall into any one of these four categories,
ing
between
and pro
depending on the nature of
the
larger purpose
orleads to these
ganizational unit of whichsoning
it was awhich
part. A
conclusions
leaves something
unit providing public health
and medical
The Machinery
services for school-age children
in Mult- of Governme
gives this sole
for it
nomah County might be considered
(1) argument
an
Now
the of
inevitable
"area" organization if it were
part
a unit outcome of t
[by clientele]
is a ten
providing the same serviceorganization
for the state
of

administration.
It is imp
Oregon; (2) a "clientele" putian
organization
if
specialized service which each Dep
it were part of a unit providing
similar
render to the community can be of

services for children of all


ages;
(3)
a work
"purard
when
its
is at the same t
pose" or a "process" organization
(it
would
particular
class
of persons and ext
variety
provision
be impossible to say which)
if it of
were
part for them, as w
ment concentrates itself on the p
of an education department.
particular
It is incorrect to say that
Bureauservice
A is aonly by whoms

and looks beyond the interest o


process bureau; the correct small
statement
is that
classes.2

Bureau A is a process bureau within De-

usually speaks of "grouping activities" rather than "dithese categories


is not always apparent in this discussion (op. cit., pp.
This distinction is implicit in15-30).
most of Gulick's
2Report of the Machinery of Government Commitanalysis of specialization. However,
since he cites as
tee
Stationery
Office,since
1918).
examples single departments within (H.
a M.
city,
and
he

partment X.1 This latter viding


statement
would
work," the relative
character of

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PROVERBS OF ADMINISTRATION

61

The faults in this analysis


are
obvious.
istry of
Agriculture
they would teach
First, there is no attempt to
determine
how
new-fashioned
farming
by old-fashioned
a service is to be recognized.
Second,
there problem of
methods?
The administrative
such a bureau would
be to teach newis a bald assumption, absolutely
without

proof, that a child health unit,


for
example,
fashioned
farming
by new-fashioned meth
ods, and it iscould
a little difficult
to see how the
in a department of child welfare
not
offer services of "as high adepartmental
standard" location
as the of the unit would
same unit if it were locatedaffect
in a this
department
result. "The question answers
of health. Just how the shifting
ofif the
unit
itself" only
one has
a rather mystical faith
from one department to another
would
imin the potency
of bureau-shuffling
as

prove or damage the quality


of
its
work is
means
for
redirecting
the activities of an
not explained. Third, no agency.
basis is set forth
for adjudicating the competing
claims of and competitions
These contradictions

purpose and process-thehave


two
are increasing
merged
received
attention from stuin the ambiguous term "service."
It is not
dents of administration
during the past few
necessary here to decide whether
the comyears. For example,
Gulick, Wallace, and
mittee was right or wrong
in
its
recomBenson have stated certain advantages and
mendation; the importantdisadvantages
point is that
of the the
several modes of specialization, and
considered the condirecommendation represented
a have
choice,

tions under
one or the other mode
without any apparent logical
or which
empirical
grounds, between contradictory
principles
might best be
adopted.2 All this analysis

of administration.
Even more remarkable illustrations of

has been at a theoretical level-in the sense

istrative debate.

been constructed within which the discus-

that data have not been employed to demillogic can be found in most discussions
of
onstrate
the superior effectiveness claimed
purpose vs. process. They would befor
too
the different modes. But though theridiculous to cite if they were not oretical,
com- the analysis has lacked a theory.
monly used in serious political and adminSince no comprehensive framework has

For instance, where should agricultural educationsion could take place, the analysis has
come: in the Ministry of Education, or of Agricultended either to the logical one-sidedness
ture? That depends on whether we want to see the
which characterizes the examples quoted
best farming taught, though possibly by old methabove or to inconclusiveness.

ods, or a possibly out-of-date style of farming,


taught in the most modern and compelling man- The Impasse of Administrative Theory.
The four "principles of administration"
ner. The question answers itself.'
that were set forth at the beginning of this

But does the question really answer itpaper have now been subjected to critical
self? Suppose a bureau of agricultural eduanalysis. None of the four survived in very
cation were set up, headed, for example, by
good shape, for in each case there was
a man who had had extensive experience in
found,
instead of an unequivocal principle,
agricultural research or as administrator of
a set of two or more mutually incompatible
an agricultural school, and staffed by men
principles apparently equally applicable to
of similarly appropriate background. What
the administrative situation.

reason is there to believe that if attached

Moreover, the reader will see that the

to a Ministry of Education they would

very same objections can be urged against


teach old-fashioned farming by new-fash-

ioned methods, while if attached to a Min-

2Gulick, "Notes on the Theory of Organization," pp.


21-30; Schuyler Wallace, Federal Departmentalization
(Columbia University Press, 1941); George C. S. Benson,
1Sir Charles Harris, "Decentralization," 3 Journal "International Administrative Organization," i Public
of Public Administration 117-33 (April, 1925).
Administration Review 473-86 (Autumn, 1941).

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62

PUBLIC ADMINISTRATION REVIEW

that each administrative


the customary discussions tified;
of "centralization" vs. "decentralization,"
which usually
analyzed
in terms of the entir
teria;
that research be ins
conclude, in effect, that "on
the and
one hand,
centralization of decision-making
functions
determine how weights can be
is desirable; on the other hand,
there criteria
are
the several
when they
usually will be, mutually inco
definite advantages in decentralization."
Can anything be salvaged which will be

useful in the construction ofAn


an Approach
administra- to Administra

tive theory? As a matter of


fact,
almost
THIS
program
needs to be
stepdifficulty
by step. First, what is i
everything can be salvaged. The
has arisen from treating as
"principles
ofof administrati
the
description
administration" what are really
only crifor purposes
of such an analy
how can weights
teria for describing and diagnosing
admin- be assigned t
criteria
to give them their pro
istrative situations. Closet space
is certainly
the total
an important item in the design
ofpicture?
a sucThe Description
cessful house; yet a house designed
entirely of Administr

tions. Before
a science can d
with a view to securing a maximum
of closet

ciples,
it must
possess concept
space-all other considerations
being
forlaw
of
gravitation
could be fo
gotten-would be considered, to say the
least, somewhat unbalanced.
wasSimilarly,
necessary to have the not
celeration"
and "weight." The f
unity of command, specialization
by puradministrative
pose, decentralization are all items to be theory is to d

considered in the design ofof


anconcepts
efficient
ad-will permit the
that
in terms
ministrative organization. No
singlerelevant
one of to the theory
situations.
These con
these items is of sufficienttrative
importance
to
scientifically
useful, must be
suffice as a guiding principle
for the adthat
is, their
meanings must c
ministrative analyst. In the
design
of administrative organizations,empirically
as in their observable
opfacts o
The definition
of "authority"
eration, over-all efficiency must
be the guid-

in this paper
is an example o
ing criterion. Mutually incompatible
adtional against
definition.
vantages must be balanced
each

What is
a scientifically
other, just as an architect weighs
the
advan- relevant descrip-

tion of an
organization?
It is a description
tages of additional closet space
against
the
that,
so far as possible, designates for each
advantages of a larger living
room.
personone,
in theconstiorganization what decisions
This position, if it is a valid
tutes an indictment of much
writthatcurrent
person makes
and the influences to
which
he
is
subject
in
making each of these
ing about administrative matters. As the
decisions.
Current
descriptions
of adminisexamples cited in this chapter amply demonstrate, much administrative
protrativeanalysis
organizations
fall far short of this
standard.
For the most
part, they confine
ceeds by selecting a single
criterion
and
themselves
to
the
allocation
of functions
applying it to an administrative situation
andwhile
the formal
structure
of authority. They
to reach a recommendation;
the
fact
give little attention to
the other types of orthat equally valid, but contradictory,
criteria exist which could be
applied
with
ganizational
influence
or to the system of
communication.1
equal reason, but with a different
result, is
Whatapproach
does it mean, to
for example to say:
conveniently ignored. A valid
the study of administration requires that
1The monograph by Macmahon, Millett, and Ogden,
all the relevant diagnostic criteria be iden-

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PROVERBS OF ADMINISTRATION

63

"The department is made tions


up ofof
organizational
threeunits
buat the different

reaus. The first has the function of


the second the function of , and the
third the function of ?" What can be

levels.

Administrative description suffers currently from superficiality, oversimplification, the


lack of realism. It has confined itself
learned from such a description about
workability of the organizational arrangetoo closely to the mechanism of authority
ment? Very little, indeed. For from
thefailed to bring within its orbit the
and has
description there is obtained no ideaother,
of the
equally important, modes of infludegree to which decisions are centralized
ence on organizational behavior. It has refused to undertake the tiresome task of
at the bureau level or at the departmental
level. No notion is given as to the extent
to the actual allocation of decisionstudying
which the (presumably unlimited) authormaking functions. It has been satisfied to
ity of the department over the bureau
speakisof "authority," "centralization,"
actually exercised or by what mechanisms.
"span of control," "function," without seekThere is no indication of the extent to
ing operational definitions of these terms.
which systems of communication assist Until
the administrative description reaches a
coordination of the three bureaus or, for
higher level of sophistication, there is little

that matter, to what extent coordination reason


is
to hope that rapid progress will be
made toward the identification and verificarequired by the nature of their work. There
is no description of the kinds of trainingtion
the of valid administrative principles.

members of the bureau have undergone or


Does this mean that a purely formal de-

of the extent to which this training permits


scription of an administrative organization

decentralization at the bureau level. In

is impossible-that a relevant description

must include an account of the content of


sum, a description of administrative organizations in terms almost exclusively of functhe organization's decisions? This is a ques-

tions and lines of authority is completely


tion that is almost impossible to answer in
inadequate for purposes of administrative
the present state of knowledge of adminisanalysis.
trative theory. One thing seems certain:
Consider the term "centralization." How
content plays a greater role in the applicais it determined whether the operations tion
of
of administrative principles than is
a particular organization are "centralized"
allowed for in the formal administrative
or "decentralized"? Does the fact that field
theory of the present time. This is a fact
offices exist prove anything about decen- that is beginning to be recognized in the
tralization? Might not the same decentrali- literature of administration. If one exzation take place in the bureaus of a cen- amines the chain of publications extending
trally located office? A realistic analysis of from Mooney and Reilley, through Gulick
centralization must include a study of theand the President's Committee controversy,
allocation of decisions in the organization to Schuyler Wallace and Benson, he sees a
and the methods of influence that are emsteady shift of emphasis from the "princiployed by the higher levels to affect the ples of administration" themselves to a
decisions at the lower levels. Such an analy- study of the conditions under which comsis would reveal a much more complex pic- peting principles are respectively applicature of the decision-making process than ble. Recent publications seldom say that
any enumeration of the geographical loca- "organization should be by purpose," but
op. cit., perhaps approaches nearer than any other pub-

lished administrative study to the sophistication required in administrative description. See, for example,

the discussion on pO. 233-36 of headquarters-field relationships.

rather that "under such and such condi-

tions purpose organization is desirable." It


is to these conditions which underlie the ap-

plication of the proverbs of administration

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64

PUBLIC ADMINISTRATION REVIEW

that administrative theory


and
analysis
possible
to make
an exhaustive list of these,

must turn in their search but


for
valid
the really
principal categories
can be enumerated. Perhaps the simplest method of apprinciples to replace the proverbs.
The Diagnosis of Administrative
Situa-the single member of
proach is to consider
administrativecan
organization and ask
tions. Before any positive the
suggestions
be made, it is necessary to what
digress
a bit
the limits
areand
to the quantity and
to consider more closely thequality
exactofnature
ofThese limits include
his output.
(a) limits on his
ability to perform and (b)
the propositions of administrative
theory.
limitsis
on concerned
his ability to make correct deciThe theory of administration
To the be
extent
that these limits are
with how an organization sions.
should
conremoved,
administrative organization
structed and operated in order
tothe
accomits goal of high efficiency. Two
plish its work efficiently.approaches
A fundamental
persons,
givenfollows
the same skills, the same obprinciple of administration,
which
jectives
and values,
the same knowledge and
almost immediately from the
rational
charinformation,is
canthat
rationally decide only upacter of "good" administration,
on the
same course ofthe
action. Hence, adamong several alternatives
involving
theory must
same expenditure that one ministrative
should always
be be interested in
factors that will
determine with what
selected which leads to thethe
greatest
accomskills,
values, and knowledge
the organizaplishment of administrative
objectives;
and
member
undertakes
his work. These
among several alternatives tion
that
lead
to the
are one
the "limits"
to rationality
with which
same accomplishment that
should
be
theleast
principles
of administration must deal.
selected which involves the
expendiOnefficiency"
one side, the individual
is limited by
ture. Since this "principle of
is
those
skills,
habits,
and
reflexes
which are
characteristic of any activity that attempts
no
longer
in
the
realm
of
the
conscious.
His
rationally to maximize the attainment of
certain ends with the use of performance,
scarce means,
it
for example,
may be limited
by his
manual dexterity
is as characteristic of economic
theory
as it is or his reaction time

or his "administrastrength. His decision-making procof administrative theory. The


esses
may be limited
by the speed of his
tive man" takes his place
alongside
the
classical "economic man."'
mental processes, his skill in elementary
arithmetic, and so forth. In this area, the
Actually, the "principle" of efficiency
should be considered a definition rather
principles of administration must be concerned with the physiology of the human
than a principle: it is a definition of what is

body and with the laws of skill-training


meant by "good" or "correct" administra-

tive behavior. It does not tell how accom-

and of habit. This is the field that has been

plishments are to be maximized, but merely most successfully cultivated by the followers of Taylor and in which has been
states that this maximization is the aim of

administrative activity, and that administrative theory must disclose under what con-

developed time-and-motion study and the

therblig.

On a second side, the individual is limited by his values and those conceptions of
purpose which influence him in making his
the level of efficiency which is achieved by
an administrative organization? It is not decisions. If his loyalty to the organization
is high, his decisions may evidence sincere
For an elaboration of the principle of efficiency and
acceptance of the objectives set for the orits place in administrative theory see Clarence E. Ridley and Herbert A. Simon, Measuring Municipal Ac- ganization; if that loyalty is lacking, pertivities (International City Managers' Association, 2nd sonal motives may interfere with his aded., 1943), particularly Chapter I and the preface to
ministrative efficiency. If his loyalties are
the second edition.

ditions the maximization takes place.

Now what are the factors that determine

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PROVERBS OF ADMINISTRATION

65

attached to the bureau bythat


which
the limits
heofis
rationality
em- are variable
ployed, he may sometimes
make
decisions
limits.
Most important
of all, consciousness
that are inimical to the larger
of theunit
limits of
may which
in itself alter them. Suppose area
it werethe
discovered
in a particular orthe bureau is a part. In this
principles of administration must
be for
concerned
ganization,
example, that organizational
attached
to small
with the determinants of loyalties
loyalty
and
mo-units had frerale, with leadership and
initiative,
and
quently
led to a harmful
degree of intra-

with the influences that determine where

organizational competition. Then, a pro-

the individual's organizational loyalties will


gram which trained members of the or-

be attached.

ganization to be conscious of their loyalties,


On a third side, the individual is limited and to subordinate loyalties to the smaller
by the extent of his knowledge of things
group to those of the large, might lead to a
very considerable alteration of the limits in
relevant to his job. This applies both to the

basic knowledge required in decision-makthat organization.'


ing-a bridge designer must know the fun- A related point is that the term "rational
damentals of mechanics-and to the inbehavior," as employed here, refers to raformation that is required to make
his when that behavior is evaluated in
tionality
decisions appropriate to the given situation.
terms of the objectives of the larger organIn this area, administrative theory isization;
con- for, as just pointed out, the difference in
cerned with such fundamental questions
as direction of the individual's aims

these: What are the limits on the mass of

from those of the larger organization is just

knowledge that human minds can accumuone of those elements of nonrationality with
late and apply? How rapidly can knowledge
which the theory must deal.
be assimilated? How is specialization in theA final observation is that, since adminisadministrative organization to be relatedtrative
to
theory is concerned with the nonrational limits of the rational, it follows
the specializations of knowledge that are
prevalent in the community's occupational
that the larger the area in which rationality
structure? How is the system of communicahas been achieved the less important is the
tion to channel knowledge and information
exact form of the administrative organizato the appropriate decision-points? What
tion. For example, the function of plan

preparation, or design, if it results in a


types of knowledge can, and what types cannot, be easily transmitted? How is the need
written plan that can be communicated
for intercommunication of information afinterpersonally without difficulty, can be
fected by the modes of specialization in the located almost anywhere in the organization
organization? This is perhaps the terra in- without affecting results. All that is needed
cognita of administrative theory, and un- is a procedure whereby the plan can be
doubtedly its careful exploration will cast given authoritative status, and this can be
great light on the proper application of the provided in a number of ways. A discusproverbs of administration.
sion, then, of the proper location for a planPerhaps this triangle of limits does not ning or designing unit is apt to be highly
completely bound the area of rationality, inconclusive and is apt to hinge on the perand other sides need to be added to the
sonalities in the organization and their relative enthusiasm, or lack of it, toward the
figure. In any case, this enumeration will
serve to indicate the kinds of considerations planning function rather than upon any

that must go into the construction of valid


and noncontradictory principles of adminis- For an example of the use of such training, see

tration.

An important fact to be kept in mind is

Herbert A. Simon and William Divine, "Controlling


Human Factors in an Administrative Experiment," 1
Public Administration Review 487-92 (Autumn, 1941).

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PUBLIC ADMINISTRATION REVIEW

66

weights
that are to be applied to these criabstract principles of good
administration.'
On the other hand, when teria-to
factors
comthe of
problems
of their relative importance
in
any
concrete
munication or faiths or loyalty are crucial situation. This
question
not one thatof
can be solved in a
to the making of a decision,
theis location
vacuum. Arm-chair
philosophizing about
the decision in the organization
is of great
administration-of
which
the present paper
importance. The method of
allocating
de-

is an example-has
gone about as far as it
cisions in the army, for instance,
automatiprofitably
go in
this particular direccally provides (at least in can
the
period
prior
tion. What
is neededwill
now is empirical reto the actual battle) that each
decision
search and
be made where the knowledge
isexperimentation
available to determine
the relative
desirability of alternative adfor coordinating it with other
decisions.
Assigning Weights to the ministrative
Criteria.arrangements.
A first

The methodological
framework for this
step, then, in the overhauling
of the provis already a
at vohand in the principle
erbs of administration is research
to develop
of efficiency.
If an administrative
organizacabulary, along the lines just
suggested,
for
tion
whose
activities
are
susceptible
to obthe description of administrative organiza-

jective
evaluation
subjected to study,
tion. A second step, which
has
also be
been
then
the
actual
change
in accomplishment
outlined, is to study the limits of rationality

that results
from
modifying administrative
in order to develop a complete
and
comprearrangements in these organizations can be
observed and analyzed.
must be weighed in evaluating an adminisThere are two indispensable conditions
trative organization. The current proverbs
to
represent only a fragmentary and unsys-successful research along these lines.
First, it is necessary that the objectives of
tematized portion of these criteria.

hensive enumeration of the criteria that

When these two tasks have been carried

the administrative organization under

study be defined in concrete terms so that


out, it remains to assign weights to the criresults, expressed in terms of these objecteria. Since the criteria, or "proverbs," are

tives, can be accurately measured. Second,


it is necessary that sufficient experimental
them. Merely to know, for example, that a control be exercised to make possible the
specified change in organization will reduce isolation of the particular effect under
study from other disturbing factors that
the span of control is not enough to justify
might
be operating on the organization at
the change. This gain must be balanced
often mutually competitive or contradictory, it is not sufficient merely to identify

against the possible resulting loss of contact between the higher and lower ranks of

the hierarchy.

Hence, administrative theory must also

be concerned with the question of the

1 See, for instance, Robert A. Walker, The Planning


Function in Urban Government (University of Chicago

Press, 1941), pp. 166-75. Walker makes out a strong


case for attaching the planning agency to the chief

executive. But he rests his entire case on the rather

the same time.

These two conditions have seldom been

even partially fulfilled in so-called "administrative experiments." The mere fact that

a legislature passes a law creating an ad-

ministrative agency, that the agency oper-

ates for five years, that the agency is finally


abolished, and that a historical study is then

made of the agency's operations is not suf-

slender reed that "as long as the planning agency ficient


is
to make of that agency's history an
outside the governmental structure . . . planning will

tend to encounter resistance from public officials as an"administrative experiment." Modern


American legislation is full of such "experiinvasion of their responsibility and jurisdiction." This
"resistance" is precisely the type of non-rational loyalty
ments" which furnish orators in neighbor-

which has been referred to previously, and which is


ing
certainly a variable.

states with abundant ammunition when

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PROVERBS OF ADMINISTRATION

67

similar issues arise in their bailiwicks, but

control or of objective measurements of


which provide the scientific investigator results, they have had to depend for their
with little or nothing in the way of objec- recommendations and conclusions upon a
tive evidence, one way or the other.
priori reasoning proceeding from "princiIn the literature of administration, there
ples of administration." The reasons have
are only a handful of research studies that already been stated why the "principles"
satisfy these fundamental conditions of derived in this way cannot be more than
methodology-and these are, for the most "proverbs."
part, on the periphery of the problem of
Perhaps the program outlined here will
organization. There are, first of all, the appear an ambitious or even a quixotic one.
studies of the Taylor group which sought to There should certainly be no illusions, in
determine the technological conditions of undertaking it, as to the length and deviefficiency. Perhaps none of these is a better ousness of the path. It is hard to see, howexample of the painstaking methods of sci- ever, what alternative remains open. Cerence than Taylor's own studies of the cut- tainly neither the practitioner of administration nor the theoretician can be satisfied

ting of metals.'

Studies dealing with the human and so- with the poor analytic tools that the provcial aspects of administration are even rarer
erbs provide him. Nor is there any reason
than the technological studies. Among the to believe that a less drastic reconversion

more important are the whole series of than that outlined here will rebuild those

studies on fatigue, starting in Great Britain

tools to usefulness.

the Westinghouse experiments.2

It may be objected that administration


cannot aspire to be a "science"; that by the

during World War I and culminating in

In the field of public administration, al- nature of its subject it cannot be more than
an "art." Whether true or false, this objection is the series of studies that have been
tion is irrelevant to the present discussion.
conducted in the public welfare field to
The question of how "exact" the principles
of administration can be made is one that
determine the proper case loads for social

most the sole example of such experimenta-

workers.3

only experience can answer. But as to

Because, apart from these scattered exwhether they should be logical or illogical
there can be no debate. Even an "art" canamples, studies of administrative agencies

have been carried out without benefit of

not be founded on proverbs.

lF. W. Taylor, On the Art of Cutting Metals (Ameri4 Social Work Technique 117-21 (May-June, 1938); Chican Society of Mechanical Engineers, 1907).

cago
2 Great Britain, Ministry of Munitions, Health
of Relief Administration, Adequate Staff Brings
Economy (American Public Welfare Association, 1939);
Munitions Workers Committee, Final Report (H.M.
Stationery Office, 1918); F. J. Roethlisberger and Wil- Constance Hastings and Saya S. Schwartz, Size of Visiliam J. Dickson, Management and the Worker (Har- tor's Caseload as a Factor in Efficient Administration

vard University Press, 1939).

sEllery F. Reed, An Experiment in Reducing the

Cost of Relief (American Public Welfare Administration, 1937); Rebecca Staman, "What Is the Most Eco-

nomical Case Load in Public Relief Administration?"

of Public Assistance (Philadelphia County Board of


Assistance, 1939); Simon et al., Determining Work

Loads for Professional Staff in a Public Welfare Agency

(Bureau of Public Administration, University of Cali-

fornia, 1941).

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