Beruflich Dokumente
Kultur Dokumente
PHILIP SELZNICK
Fellow of the Social Science Research Council
HIS ANALYSIS will Consider bureauc- worker group; (b) within the context of the
'•though common or joint purposes arc excluded ture always somehow deflects and distorts it.
by definition, common or joint results of an
important character nevertheless come from such It is thus the iron necessity of an organizational
organization."^ structure for the achievement of group goals
Barnard lists three functions of informal struc- which creates the paradox to which we have
tures as they operate in formal organizations: referred. The ideals of those who construct the
(a) as a means of communication, establishing organization are one thing: the "facts of life"
norms of conduct between superordinates and operating independently of and often against
subordinates; (b) "maintenance of cohesiveness those ideals are something else again.
in formal organizations through regulating the Professed and Operational Goals. Run-
willingness to serve and the stability of objective
ning an organization, as a specialized and
authority"; (c) "the maintenance of the feeling
essential activity, generates problems which
of personal integrity, of self-respect, of inde-
pendent choice."'* The last mentioned function have no necessary (and often an opposed)
means simply that the individual's "integrity" relationship to the professed or "original"
is protected by the appearance of choice, at the goals of the organization. The day-to-day
same time that subtle group pressures guaran- behavior of the group becomes centered
tee control of his actions. Barnard's view of the around specific problems and proximate
functions of the informal structure is primarily goals which have primarily an intemal rel-
in terms of the needs of the executive (control evance. Then, since these activities come to
through friendship ties, personal authority, a consume an increasing proportion of the
"grape-vine" system, etc.). but it is clear that
time and thoughts of the participants, they
his analysis agrees with the h\'pothesis that the
are—from the point of view of actual be-
informal organization is oriented essentially to-
ward the techniques of control. In the Roeth- havior—substituted for the professed goals.
lisberger and Dickson study, it was the worker The day-to-day activity of men is ordered
group which was attempting to control the con- by those specific problems which have a
ditions of its existence; in this case, it is the direct relevcLnce to the materials with which
executive who is doing the same thing. they have to deal. "Ultimate" issues and
(3) A discussion by Waller and Henderson^'* highly abstract ideas which do not specify
based on the study of institutions of segregative any concrete behavior have therefore little
care, gives further evidence for the theses pre- direct infiuence on the bulk of human activi-
sented here. The general hypotheses about or-
ties. (The general ideas, of course, may
ganizational processes are confirmed by the
examination of such structures as private influence action by setting its context and,
schools, transient camps, prisons, flop-houses, often, defining its limits.) This is true not
reformatories and military organizations. The because men are evil or unintelligent, but
authors set the problem in this way: because the "ultimate" formulations are not
Each of our institutions has an idea or pur- helpful in the constant effort to achieve that
pose—most of them have several purposes series of equilibria which represent behav-
more or less compatible with one another— ioral solutions to the specific problems which
and this idea or purpose gives rise to an in- day-to-day living poses. Besides those pro-
stitutional structure. The institutional struc- fessed goals which do not specify any con-
ture consists of a system of organized groups. crete behavior, which are analogous to non-
The interaction of these elements is a prin- procedural formulations in science, there
cipal clue to the understanding of institutions are other professed goals which require ac-
of segregative care. Without a structure, the
tions which confiict with what must be done
purpose of an institution would be an empty
form of words, and yet the process of trans- in the daily business of running an organi-
lating the purpose into an institutional struc- zation. In that confiict the professed goals
will tend to go dow'n in defeat, usually
' Ibid. through the process of being extensively
* Loc. cit., pp. 122-123, ignored. This phenomenon may be intro-
*W. Waller and W. Henderson, "Institutions of
duced as a fourth hypothesis in the general
Segregative Care and the Organized Group" (unpub-
lished manuscript), 1941. theory of organization:
AN APPROACH TO A THEORY OF BUREAUCRACY 49
D. The actual procedures of every or- support the sweeping judgment of Robert
ganization tend to be molded by action Michels that democracy leads inevitably to
toward those goals which provide op- oligarchy.'' It must be admitted, however,
erationally relevant solutions for the that in this discussion the thesis of Michels
daily problems of the organization as finds much comfort. For his theory (taken
such. in its sociological rather than in its psy-
This hypothesis does not deny that opera- chological context) stands or falls, in terms
tional goals may be, and very often are, of its lasting significance, with the possi-
specified in the formulation of the professed bility of establishing that there are processes
goals of the organization. But in any case inherent in and internal to organization as
it is the operational goals which must be such which tend to frustrate action toward
looked to for an understanding of the con- professed goals. The burden of research, on
duct of the organization. the plane of organizations in general, indi-
What is meant by the "daily problems"? cates quite clearly that such is the case.
Consider a boys' reformatory.^ The institu- Bearing in mind the hypotheses stated
tion is organized on the basis of progressive above, and the specified character of the
ideals as specified in social work literature. informal structure (spontaneity, network of
But the processes of constructing and oper- personal relationships, orientation toward
ating the organization create problems and control), we may tum to the problem of
demands, effective daily, to which the gen- bureaucracy itself.
eral ideals give no adequate answer. Since, The Term Bureaucracy. If the ideas de-
however, the existence of the organization veloped above have been clear, it will be
depends upon such answers, and since the readily evident that the approach which
way of life of everyone concerned depends identifies bureaucracy with any administra-
on the continued existence of the organiza- tive system based on professionalization and
tion, a set of procedural rules is worked out on hierarchical subordination is not accepted
which is helpful in solving these problems. here. Such a point of view is maintained in
These rules are, in practice, substituted for the work of Friedrich and Cole^ on the
the professed ideals. 'The social work ideals Swiss Civil Service; the interest of the au-
are fine, but how can we do otherwise than thors is clearly in the formal structure of
use techniques of discipline, regimentation, the administrative apparatus as a mechan-
spying, etc.?" This is the cry of those who ism of, in this case, popular government.
must meet daily crises in the institutions of The structure is related to the asserted, pro-
segregative care. "Holiday speech," "lip- fessed purposes of the administration; and
sen-ice," "we've got to be practical" are bureaucratization is conceived of as the
expressions which confirm from ordinary ex- tendency toward the complete achievement
perience, repeated over and over again, the of the formal system.
validity of this hypothesis. The same point of view is evident in Max
The "Tragedy of Organization." Beyond Weber's long and careful essay on bu-
such specific sociological investigations as reaucracy—the outstanding work in the
have been mentioned, it is necessary only to literature we have at present:^ The main
point to the fact of organizational frustra- burden of Weber's work is devoted to an
tion as a persistent characteristic of the age examination of the roots, conditions, and
of relative democracy. The tragedy of or- dominant features of the formal organiza-
ganization is evident precisely in the fact
^ Political Parties, Hearst's International Library
and in the consequences of increased par- Co., New York, 1915.
ticipation in associational endeavour. *C. J. Friedrich, and T. Cole, Responsible
There have been many critics of democ- Bureaucracy, Cambridge: Harvard University Press,
racy, but relatively few have ventured to 1932, p. 84.
* Max Weber, "Burokratie," Ch. 7, Pt. 3 of Wirt-
* From a description by Mr. F. E. Robin. schaft und GeseUschaft.
AMERICAN SOCIOLOGICAL REVIEW
(1) Co-operative effort, under the con- The Bureaucratic Leader vs. the Rank
ditions of increasing number and complexity and File Which Employs Him. Utilizing the
of functions, requires the delegation of scheme outlined above, let us examine a
junctions. Thus action which seeks more concrete type of bureaucratic situation, that
than limited, individual results becomes ac- which opposes a bureaucratic leader to the
tion through agents. It is the activity of rank and file for which he is formally an
)fficials acting as agents with which the dis- agent. This situation tends to arise whenever
:u5sion of bureaucracy is concemed. a group of people organize for the attain-
(2) The use of intermediaries creates a ment of shared objectives, with the addi-
:endency toward a bifurcation of interest tional aim of conducting their organization
Detween the initiator of the action and the along democratic lines. Common examples
igent employed. This is due to the creation are political parties, trade unions, a national
di two sets of problems: for the initiator, political democracy.
the achievement of the goal which spurred
him to action, and for the intermediary, (1) The need for the delegation of functions
problems which are concerned chiefly with to a leader arises from the pressure of the wide
his social position as agent. The character range of problems, with which every individual
must deal in his social existence, against strictly
of the agent's new values are such as to gen- limited time and ability as well as against the
erate actions whose objective consequences social pressures which limit the exercise of cer-
undermine the professed aims of the or- tain functions to only some personality types
ganization. This conflict need not be be- and to members of only some classes. Even in a
tween the employer as a person or a group small group, individual differences in terms of
and the agent, for the latter may be able aptitude for the various functions of organized
to manipulate the ideas of the former, but effort (speaker, writer, record-keeper, etc.) play
between the actual course of the organiza- an important role in creating a leader-ranks
tion and those aims formally asserted, relationship.
whether the employer recognizes the confiict (2) Another bifurcation of problems arises
from the fact that the problems and interests
or not. which impel men to organization are of a quite
(3) This bifurcation of interest makes different kind from those which occur in running
dominant, for initiator and agent alike, the the organization. Whenever the ranks are needed
issue of control. What is at stake for each is to carry out the work of the organization, this
the control of the conditions (the organiza- gap becomes of real importance. Spurts in or-
tional mechanism) which each group will ganizational effort on the part of the members
want to manipulate (not necessarily con- occur when a direct connection can be seen be-
sciously) toward solving its special prob- tween this organizational work and the reason
lems. In this struggle for control, an in- for allegiance to the organization. Thus a po-
litical party can get "activity" when it carries
jormal structure is created, based largely on direct political propaganda—but the day-to-
on relationships involving personal influ- day task of keeping the party together, shaping
ences rather than formal rules. its character, and strengthening its roots in vari-
(4) Because of the concentration of skill ous centers of power are tasks too far divorced
and the control of the organizational me- from the original problems to stir most people
chanism in the hands of the intermediaries, from their ordinary way of living. In a political
it becomes possible for the problems of the democracy, too, only heated contests over broad
offiicals as such to become those which oper- issues can really "bring out the vote," while the
ate for the organization. The action of the day-to-day changes which in the long run are
decisive remain uninfluenced by the mass.
officials tends to have an increasingly in- (3) There is a hierarchy of values attached to
ternal relevance, which may result in the kinds of work. Thus even equality between a
deflection of the organization from its origi- worker in a unionized plant and the union or-
nal path, which, however, usually remains ganizer, in terms of money, does not alter the
as the formally professed aim of the or- situation. It is the kind of work involved which
ganization. is valued above the work of the ordinary mem-
AMERICAN SOCIOLOGICAL REVIEW
bers. Not only is there the fact of being well- of the leadership are diminished. The existence
known (the presiige of bare celebrity), but the of the organization itself becomes dependent on
facts of having certain powers, however small, of the continued functioning of the incumbent
being associated with the incumbent leadership leadership. And so long as this is true, and the
and of being acquainted with the ''mysteries" ranks still require the organization (or think
of organization are important. There are always they require it), their dependence upon the
men who ivant to be officials. leaders become firmly established. This has
(4) Positive valuation of the office as such nothing to do with the existence of formal {e.g.
raises new problems for the bureaucrat. His in- constitutional) procedures for replacing leaders;
terest in the ultimate purpose of the organiza- these may continue to exist, but they are rela-
tion, or in the "common good," becomes tively harmless to the intrenched leaders (be-
subordinate to his preoccupation with the prob- cause functionless) so long as the ranks fear the
lems involved in the maintenance of his post. consequences of using them.
This is not the same thing as the attempt to (6) In order to be secure in his position, the
hold on to an official sinecure; for in this case, leader-bureaucrat must strive to make himself
the post is primarily a source of social prestige as independent as possible from the ranks. He
and power. In many cases, the leaders could must seek a power-base which is not controlled
obtain better positions financially in another by them. He may attempt to derive his strength
field. The leader of a women's club who, because from an electorate more general than the party
she has a jollowing, is treated with respect by or union membership. Thus he will be able to
political or other socially important forces, has follow independent policies by claiming that he
more than a merely well-paid position. A, J. has a responsibility to a broader base than the
Muste, in his discussion of factional fights in party ranks; and the ranks cannot do without
trades unions^'^ deals with the problem of why his influence on outside groups. In a nation, an
a leadership seeks to maintain its status. He independent politician tends to cultivate those
points to reasons such as those already men- forces, such as a ruling economic group, which
tioned: the positions are pleasant, the return control the instruments which shape mass opin-
to the shop is humiliating, the official tends to ion as well as the electoral machinery, but which
become less efficient in his old trade. In addi- are not themselves controlled by the mass. It is
tion there are motives connected with what they a well-established political principle that a politi-
honestly consider to be the good of the union. cian reacts most sensitively to those forces to
They feel that they are better (more competent, which he owes the maintenance of his position;
have a better policy) than the opposition and to the extent that forces can be developed apart
that they have given more to the union and from the electorate, he can—and often must,
deserve to be left in power. This is often quite because he becomes dependent upon the new
sincere and even objectively a correct appraisal. force—assert his independence from his formal
For our purposes that changes nothing: whether constituency.
honest or corrupt, the tendency is for leaders, (7) The leader-bureaucrat must seek a per-
to use the same general procedures for the main- sonal base within the group itself: some mecha-
tenance of their power. This ought not to be nism directly dependent on, devoted to, or in
surprising: if the question of organizational alliance with him which can be used to maintain
dominance as such becomes directive in action, his organizational fences. A class base in a na-
and the available means are limited, it is to be tion, a political faction in a trade union, paid
expected that the characters of their procedures gangsters, an elite guard, a secret police force,
would converge toward a common t\TDe. regard- proteges and confidants—these are the weapons
less of their ultimate reasons for desiring domi- which he must use in order to be independent of
nance. the shifting sands of public favor.
(5) The delegation of functions introduces a (8) Because of this series of problems which
relation of dependence. This is enforced by and the bureaucrat must face, his action in the name
perhaps directly dependent upon the projession- of the group, that is, that activity carried on to
alization of the work of the officialdom. To the further its professed purposes, comes to have
extent that the necessary knowledge and skill more and more a chiefly internal relevance. Ac-
are increased, the possibilities for replacement tions are taken, policies adopted, with an eye
^^ "Factional Fights in Trade Unions," American more to the effect of the action or policy on the
Labor Dynamics, ed. hy J. B, S. Hardman, New power-relations inside the organization than to
York, Harcourt Brace, 1928. the achievement of its professed goals. An or-
AN APPROACH TO A THEORY OF BUREAUCRACY 53
ganization drive in a trade union, party activity, ministration with the group as a whole: playing
legislative action, even the "activities program" upon the known desire of the ranks for the
of a club—all come to be oriented toward the maintenance of the organization (national state,
problem of self-maintenance before possible on- party, union, etc.), the leadership attempts to
slaughts from the membership. Factors of spread the idea that any opposition immediately
"morale"—the condition wherein the ranks sup- places the very existence of the organization in
port the incumbent leadership—become domi- jeopardy. In defending itself from attack, it
nant. Biircaucratizatiofi is in a sense the process tends to identify its opposition with enemies of
oj transforming this set of procedures from a the group as such. Thus opponents are "dis-
minor aspect of organization into a leading con- rupters," "foreign agents," "agents of an alien
sideration in the behavior of the leadership. class," etc.
(g) Struggles within a group tend to become (b) An incumbent leadership tends to adopt
exclusively struggles between leaders. The the ideology of centralization, while those out
masses (rank and file) play the role of manipu- of office call for autonomy. The opposition wants
lable weapons in the conflict between the con- to retain its dominance over the local groups or
trolling groups. The struggle for control between factions which it controls and in general desires
the initiators and the agent-officials is a very to avoid increasing the power of the central
complex problem. The rank and file as a group authority; the concentration of the control of
(and in an important sense the leader, too, be- the organizational mechanism (jobs, equipment,
cause he has to build an apparatus which creates finances) is especially to be avoided, although
new problems for him) cannot exercise direct the minority may not object to that within its
control. Even a struggle against an incumbent own domain. For the ruling group, on the other
leadership must be carried on through inter- hand, it is convenient that its power, especially
mediaries. When a faction is formed, it being over the organizational mechanism, be increased;
an organization too, the relations which operated it is also desirable that the central powers have
lor the organization as a whole come to be effec- the right to step into the affairs of a local group
tive within the faction. The faction leaders assert dominated by the opposition, in order to be
their dominance over their groups and come to able to take the offensive against it within the
grips with one another as leaders whose strength center of its own power. Each side attempts to
is measured by the forces they can deploy. defend its view by appealing to the professed
There are, however, three ways in which the aims of the group as a whole. In an action or-
influence of the rank and file is felt in a demo- ganization, the leadership will stress the military
cratic organization: (a) the threat of spon- aspect and the importance of centralization for
taneous rank and file action and of a consequent disciplined action; the opposition will stress the
internal revolt makes the construction of bu- importance of democracy. Although this rule is
reaucratic power-relationships necessary as a often broken, there is a tendency for neither
pveventive measure; (b) opposing faction lead- side to discuss the matter on the basis of the
er? tend to champion the professed aim of the power-motives involved, either in defense of
organization against the leaders who abandoned their O\MI view or in criticism of their oppo-
iJ. thus expressing, if temporarily, the desires nents. This is not surprising, for that would
of the rank and file; and (c) pressure groups, create the danger of exposing the irrelevance of
often spontaneous, which do not seek the seizure the struggle to the overt aims of the group,
of the organizational reins, may influence the which would inevitably result in alienating some
course of the leadership in directions desired by of the ranks from both. They therefore some-
the mass. This last, however, has usually a lim- times form a pact of silence on these matters,
ited measure of success precisely because no carrying the discussion forward on the level of
direct threat to the power of the leadership is general principles, at the same time waging
offered. It is significant that tolerance of these furious battle in the shadow-land of informal
sroup? is a function of the extent to which they maneuver.
are interested in "new leadership." (c) The leadership creates the ideology of the
(io) The bureaucrats, like every other social "collective submission to the collective will."^*
type with a power-position to maintain, con- The obvious necessity for the delegation of cer-
S'lriict an ideology peculiar to their social posi- tain functions is generalized, and democracy is
tion. The following general characteristics may
be noted, " See Robert Michels' excellent chapter on
(a) By the identification of the particular ad- 'Bonapartist Ideology'' in his Political Parties.
54 AMERICAN SOCIOLOGICAL REVIEW
interpreted sufficiently broadly to include the such as dependence on tradition, depreciation
notion thai the group has the democratic right of youth, and rigidity in organizational proce-
to abdicate its power. The leader, it is pro- dure may go hand in hand with a thoroughly
claimed, represents the "general will," and every revolutionary program with respect to outside
action that he takes is justifiable on the ground political events. Needless to say, the internal
that he is merely exercising the desires of the character of such an organization plays an im-
collective. Thus the symbol of democracy itself portant role if that organization achieves any
becomes an ideological bulwark of autocracy great social infiuence.
within the group.
The above discussion emphasizes certain
(d) An existing leadership tends to don the characteristic tendencies in the organiza-
mantle of conservatism, with its many variant
expressions justifying the maintenance of exist-
tional process. These tendencies are, how-
ing conditions. Since, having the power they are ever, analytical: they represent abstractions
responsible for the exercise of the basic func- from concrete organizational pattems. To
tions of the group or state, they must abandon state these tendencies is merely to set a
slogans which are characteristic of irresponsible problem, for although they ascribe to or-
minorities. The latter need not be considered ganizations in general an initial presump-
merely a term of opprobrium; the fact is that a tion oj bureaucratic consequence, it always
minority can be irresponsible because its func- remains to be determined to what degree the
tion as an opposition is radically different from bureaucratic tendencies have become domi-
its function as an administrative leadership, nant. It may be said, indeed, that this is
manning and responsible for the conduct of the
chief posts of a party or a state. In small
the way organizations will develop if they
groups too, the function of the critic may are permitted to follow the line of least
change, and with that his ideas as well, when he resistance. That is what does happen, often
is faced with the new problem of carrying out enough. But in the real world of living
a program,^-^ It is also important to note that organizations there is always the possibility
a party can be deeply conservative in some as- of counter-pressure, of devising techniques
pects and revolutionar\' in others: thus in the for blocking the bureaucratic drift. The
Marxist parties, factors in consen-ative ideology study of these techniques, which must be
based on a clear understanding of the gen-
^'' For material on the metamorphosis of leaders eral nature of the problem involved, is one of
see Michels, op. cit., and J, B, S. Hardman, "Prob- the most pressing intellectual tasks of our
lems of a Labor Union Somewhere in the U.S.,"
pp. 163-6, in his American Labor Dynamics. time.