Social Forces, University of North Carolina Press

[Pages:56]Social Forces, University of North Carolina Press

Bureaucratic Structure and Personality Author(s): Robert K. Merton Source: Social Forces, Vol. 18, No. 4 (May, 1940), pp. 560-568 Published by: University of North Carolina Press Stable URL: . Accessed: 08/01/2011 15:35 Your use of the JSTOR archive indicates your acceptance of JSTOR's Terms and Conditions of Use, available at . . JSTOR's Terms and Conditions of Use provides, in part, that unless you have obtained prior permission, you may not download an entire issue of a journal or multiple copies of articles, and you may use content in the JSTOR archive only for your personal, non-commercial use. Please contact the publisher regarding any further use of this work. Publisher contact information may be obtained at . . . Each copy of any part of a JSTOR transmission must contain the same copyright notice that appears on the screen or printed page of such transmission. JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact support@.

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GOVERNMENT, POLITICS, CITIZENSHIP

a Contributionsto this Departmentwill include matcrial of thrce kindsi (I) original discussion., suggcstion, plans, programs

and tohf e

thfieeoldri;es;(3(2) )spreecpioarlrtessoufltsspeocfiastlupdryojeacntsd,rwesoerakricnhg. programs,conferencesand

meetings,

and progress in

any

distinctive

aspect

BUREAUCRATIC STRUCTURE AND PERSONALITY

ROBERT K. MERTON

TulaneUniversity

A

FORMALr,ationallyorganized the distribution of authority within the

social structure involves clearly system, serves to minimize friction by

defined patterns of activity in largely restricting (official) contact to

which, ideally, every series of actions is modes which are previously definedby the functionally related to the purposes of the rules of the organization. Ready cal-

organization.' In such an organization culability of others' behavior and a stable

there is integrated a series of offices, of hierarchized statuses, in which inhere a number of obligations and privileges closely defined by limited and specific rules. Each of these offices contains an

set of mutual expectations is thus built up. Moreover, formality facilitates the interaction of the occupants of offices despite their (possibly hostile) private attitudes toward one another. In this way, the

area of imputed competence and responsibility. Authority, the power of control which derives from an acknowledged status, inheres in the office and not in the

subordinate is protected from the arbitrary action of his superior, since the actions of both are constrained by a mutually recognized set of rules. Specific pro-

particularpersonwho performsthe official cedural devices foster objectivity and role. Official action ordinarily occurs restrain the "quick passage of impulse

within the framework of preexisting rules of the organization. The system of prescribed relations between the various offices involves a considerable degree of

into action."'2 The ideal type of such formal organiza-

tion is bureaucracyand, in many respects, the. classical analysis of bureaucracy is

formality and clearly defined social distance between the occupants of these positions. Formality is manifested by means of a more or less complicated social ritual which symbolizes and supports the ''pecking order" of the various offices. Such formality, which is integrated with

1 For a development of the concept of "rational organization," see Karl Mannheim, Mensch und Gesellschaftim Zeitalter des Umbaus(Leiden: A. W. Sijthoff, I935), esp. pp. 28 ff.

that by Max Weber.' As Weber indi-

2 H. D. Lasswell, Politics (New York: McGrawHill, I936), pp. i2o-2i.

3 Max Weber, Wirtschaft und Gesellschaft(Tuibingen:J. C. B. Mohr, i9)2), Pt. III, chap. 6, pp. 65o678. For a brief summary of Weber's discussion, see Talcott Parsons, The Structureof Social Action (New York: McGraw-Hill,I937), esp. pp. 5o6 ff. For a description, which is not a caricature, of the bureaucrat as a personality type, see C. Rabany, "Les types sociaux: le fonctionnaire," Revueg6ne'ralc d'administrationL, XXXVIII (I907), 5-z8.

56o

GOVERNMENT, POLITICS, CITIZENSHIP

56I

cates, bureaucracy involves a clear-cut division of integrated activities which are regarded as duties inherent in the office. A system of differentiated controls and sanctions are stated in the regulations. The assignment of roles occurs on the basis of technical qualifications which are ascertained through formalized, impersonal procedures (e.g. examinations). Within the structure of hierarchically arranged authority, the activities of "trained and salaried experts" are governed by general, abstract, clearly definedrules which preclude the necessity for the issuance of specific instructions for each specific case. The generality of the rules requires the constant use of categoriZation, whereby individual problems and cases are classified on the basis of designated criteria and are treated accordingly. The pure type of bureaucratic official is appointed, either by a superior or through the exercise of impersonal competition; he is not elected. A measureof flexibility in the bureaucracy is attained by electing higher functionaries who presumably express the will of the electorate (e.g. a body of citizens or a board of directors). The election of higher officials is designed to affect the purposes of the organization, but the technical procedures for attaining these ends areperformedby a continuous bureaucratic personnel.4

The bulk of bureaucraticoffices involve the expectation of life-long tenure, in the absence of disturbing factors which may decrease the size of the organization. Bureaucracy maximizes vocational security.5 The function of security of tenure,

4 Karl Mannheim, Ideologyand Utopia(New York: Harcourt, Brace, I936), pp. i8n., I05 if. See also Ramsay Muir, Peersand Bureaucrats(London: Constable, I9IO), pp. I2-I3.

5 E. G. Cahen-Salvadorsuggests that the personnel of bureaucraciesis largely constituted of those

pensions, incremental salaries and regularized procedures for promotion is to ensure the devoted performanceof official duties, without regard for extraneous pressures.6 The chief merit of bureaucracy is its technical efficiency, with a premium placed on precision, speed, expert control, continuity, discretion, and optimal returns on input. The structure is one which approaches the complete elimination of personalized relationships and of nonrational considerations (hostility, anxiety, affectual involvements, etc.).

Bureaucratization is accompanied by the centralization of means of production, as in modern capitalistic enterprise, or as in the case of the post-feudal army, complete separation from the means of destruction. Even the bureaucratically organized scientific laboratory is characterized by the separation of the scientist from his technical equipment.

Bureaucracy is administration which almost completely avoids public discussion of its techniques, although there may occur public discussion of its policies.7 This "bureaucraticsecrecy" is held to be necessary in order to keep valuable information from economic competitors or from foreign and potentially hostile political groups.

In these bold outlines, the positive attainments and functions of bureaucratic organization are emphasized and the internal stresses and strains of such structures are almost wholly neglected. The community at large, however, evidently emphasizes the imperfections of

who value security above all else. See his "La situation materielle et morale des fonctionnaires," Revuepolitiqueet parlementair(eI926), p. 3I9.

6 H. J. Laski, "Bureaucracy," Encyclopediaof the Social Sciences. This article is written primarily from the standpoint of the political scientist rather than that of the sociologist.

7 Weber,op.cit., p. 67I.

562

SOCIAL FORCES

bureaucracy, as is suggested by the fact emphases.9 (The term psychosis is used

that the "horrid hybrid," bureaucrat, by Dewey to denote a "pronounced char-

has become a Schimpfwort. The transition acter of the mind.") These psychoses

to a study of the negative aspects of develop through demands put upon the

bureaucracyis affordedby the application individual by the particularorganization

of Veblen's concept of "trained incapac- of his occupational role.

ity," Dewey's notion of "occupational The concepts of both Veblen and Dewey

psychosis" or Warnotte's view of "pro- refer to a fundamental ambivalence. Any

fessional deformation." Trained incapac- action can be considered in terms of what

ity refers to that state of affairs in which it attains or what it fails to attain.

one's abilities function as inadequacies "A way of seeing is also a way of not

or blind spots. Actions based upon seeing-a focus upon object A involves

training and skills which have been a neglect of object B."'0 In his discus-

successfully applied in the past may result sion, Weber is almost exclusively

in inappropriate responses under changed concerned with what the bureaucratic

conditions. An inadequate flexibility in structure attains: precision, reliability,

the application of skills will, in a chang- efficiency. This same structure may be

ing milieu, result in more or less serious examined from another perspective pro-

maladjustments.8 Thus, to adopt a barn- vided by the ambivalence. What are the

yard illustration used in this connection limitations of the organization designed

by Burke, chickens may be readily con- to attain these goals?

ditioned to interpret the sound of a bell For reasons which we have already

as a signal for food. The same bell may noted, the bureaucratic structure exerts a

now be used to summon the "trained constant pressure upon the official to be

chickens" to their doom as they are "'methodical, prudent, disciplined." If

assembled to sufferdecapitation. In gen- the bureaucracyis to operate successfully,

eral, one adopts measuresin keeping with it must attain a high degree of reliability

his past training and, under new condi- of behavior, an unusual degree of con-

tions which are not recognized as sig- formity with prescribedpatterns of action.

nificantlydifferent, the very soundness of Hence, the fundamental importance of

this training may lead to the adoption of discipline which may be as highly devel-

the wrong procedures. Again, in Burke's oped in a religious or economic bureau-

almost echolalic phrase, "people may be cracy as in the army. Discipline can be

unfitted by being fit in an unfit fitness"; effective only if the ideal patterns are

their training may become an incapacity. buttressed by strong sentiments which

Dewey's concept of occupational psy- entail devotion to one's duties, a keen

chosis rests upon much the same observa- sense of the limitation of one's authority

tions. As a result of their day to day and competence, and methodical per-

routines, people develop special prefer- formance of routine activities. The

ences, antipathies, discriminations and efficacy of social structure depends ulti-

8 For a stimulating discussion and application of these concepts, see Kenneth Burke, Permanencaend Change(New York: New Republic, I935), pp. 50 if.;

mately upon infusing group participants with appropriateattitudes and sentiments. As we shall see, there are definite arrange-

Daniel Warnotte, "Bureaucratic et Fonctionnar-

isme," Revuede l'Institut de Sociologie,XVII (I937), 2.45.

I9bid., pp. 58-59. 10 Ibid.,p. 70.

GOVERNMENT, POLITICS, CITIZENSHIP

563

ments in the bureaucracyfor inculcating as conformance with regulations, what-

and reinforcing these sentiments.

ever the situation, is seen not as a measure

At the moment, it suffices to observe designed for specific purposes but becomes

that in order to ensure discipline (the an immediate value in the life-organiza-

necessary reliability of response), these tion of the bureaucrat. This emphasis,

sentiments are often more intense than is resulting from the displacement of the

technically necessary. There is a margin original goals, develops into rigidities

of safety, so to speak, in the pressure and an inability to adjust readily. For-

exerted by these sentiments upon the malism, even ritualism, ensues with an

bureaucrat to conform to his patterned unchallenged insistence upon punctilious

obligations, in much the same sense that adherence to formalized procedures.12

added allowances (precautionary over- This may be exaggerated to the point

estimations) are made by the engineer in where primary concern with conformity

designing the supports for a bridge. But to the rules interferes with the achieve-

this very emphasis leads to a transference ment of the purposes of the organization,

of the sentiments from the aims of the in which case we have the familiar

organization onto the particular details phenomenon of the technicism or red tape

of behavior requiredby the rules. Adher- of the official. An extreme product of

ence to the rules, originally conceived as a this process of displacement of goals is

means, becomes transformed into an end- the bureaucratic virtuoso, who never

in-itself; there occurs the familiar process forgets a single rule binding his action

of displacement of goals whereby "an and hence is unable to assist many of his

instrumental value becomes a terminal clients-.3 A case in point, where strict

value. ""' Discipline, readily interpreted recognition of the limits of authority and

11 This process has often been observed in various connections. Wundt's heterogonoyf endsis a case in point; Max Weber's Paradoxieder Folgen is

literal adherence to rules produced this result, is the pathetic plight of Bernt Balchen, Admiral Byrd's pilot in the

another. See also Maclver's observations on the flight over the South Pole.

transformation of civilization into culture and Lass-

well's remark that "the human animal distinguishes

According to a ruling of the department of labor

himself by his infinite capacity for making ends of Bernt Balchen . . . cannot receive his citizenship

his means." See R. K. Merton, "The Unanticipated papers. Balchen, a native of Norway, declared his

Consequencesof Purposive Social Action," American intention in I927. It is held that he has failed to

SociologicalReview,I (I936), 894-904). In terms of meet the condition of five years' continuous residence

the psychological mechanisms involved, this process in the United States. The Byrd antarctic voyage

has been analyzed most fully by Gordon W. Allport, took him out of the country, although he was on a

in his discussion of what he calls "the functional ship flying the American flag, was an invaluable

autonomy of motives." Allport emends the earlier member of an American expedition, and in a region

formulations of Woodworth, Tolman, and William

Stern, and arrives at a statement of the process from

the standpoint of individual motivation. He does between the two disciplines. See Gordon W. All-

not consider those phases of the social structure port, Personality(New York: Henry Holt & Co.,

which conduce toward the "transformation of mo- I937), chap. 7.

tives." The formulation adopted in this paper is

12 See E. C. Hughes, "Institutional Office and the

thus complementary to Allport's analysis; the one Person," AmericanJournalof Sociology,XLIII (937), stressing the psychological mechanisms involved, 404-4I3; R. K. Merton,"SocialStructureandAno-

the other considering the constraints of the social mie," AmericanSociologicaRl eview,III (I938), 67X-68X;

structure. The convergence of psychology and E. T. Hiller, "Social Structure in Relation to the

sociology toward this central concept suggests that Person," Social Forces,XVI (937), 34-44.

it may well constitute one of the conceptual bridges

13 Mannheim, Ideologyand Utopia, p. io6.

564

SOCIAL FORCES

to which there is an Amnericanclaim because of the exploration and occupation of it by Americans, this region being Little America.

The bureau of naturalization explains that it cannot proceedon the assumptionthat Little America is American soil. That would be trespass on inter-

are designed to provide incentives for disciplined action and conformity to the official regulations.'5 The official is tacitly expected to and largely does adapt his thoughts, feelings, and actions to the

national questionswhere it has no sanction. So far as the bureau is concerned, Balchen was out of the country and technicallyhas not complied with the law of naturalization.'4

prospect of this career. But these very deviceswhich increase the probability of conformance also lead to an over-concern with strict adherenceto regulations which

Such inadequacies in orientation which induces timidity, conservatism, and tech-

involve trained incapacity clearly derive nicism. Displacement of sentiments from

from structural sources. The process may goals onto means is fostered by the

be briefly recapitulated. (i) An effective tremendous symbolic significance of the

bureaucracy demands reliability of re- means (rules).

sponse and strict devotion to regulations. Another feature of the bureaucratic (z) Such devotion to the rules leads to structure tends to produce much the same

their transformation into absolutes; they result. Functionaries have the sense of a

are no longer conceived as relative to a common destiny for all those who work

given set of purposes. (3) This inter- together. They share the same interests,

feres with ready adaptation under special especially since there is relatively little

conditions not clearly envisaged by competition insofar as promotion is in

those who drew up the general rules. terms of seniority. In-group aggression

(4) Thus, the very eletnents which con- is thus mninimizedand this arrangement

duce toward efficiency in general produce is therefore conceived to be positively

inefficiency in specific instances. Full functional for the bureaucracy. How-

realization of the inadequacy is seldom ever, the esprit de corps and informal

attained by mnembersof the group who social organization which typically de-

have not divorced themnselvesfromnthe velops in such situations often leads the

"'meanings" which the rules have for personnel to defend their entrenched

them. These rules in time become sym- interests rather than to assist their

bolic in cast, rather than strictly clientele and elected higher officials. As

utilitarian.

President Lowell reports, if the bureau-

Thus far, we have treated the ingrained crats believe that their status is not

sentiments making for rigorous discipline adequately recognized by an incoming

simply as data, as given. However, elected official, detailed information will

definite features of the bureaucratic struc- be withheld from him, leading him to

ture may be seen to conduce to these errors for which he is held responsible.

sentiments. The bureaucrat's official life Or, if he seeks to dominate fully, and

is planned for him in terms of a graded thus violates the sentiment of self-integ-

career, through the organizational devices rity of the bureaucrats, he may have

of promotion by seniority, pensions, documents brought to him in such num-

incremental salaries, etc., all of which bers that he cannot manage to sign them

14 Quoted from the ChicagoTribune(June 2.4, I93I,

15 Mannheim,Menschund Gesellschafptp, . 32X-33.

p. io) by ThurmanArnold, TheSymbolsof Government Mannheim stresses the importance of the "Lebens-

(New Haven: Yale University Press, I935), pp. 2OI-2.. plan" and the "Amtskarriere." See the comments

(My italics.)

by Hughes, op. Cit., 4I3.

GOVERNMENT, POLITICS, CITIZENSHIP

565

all, let alone read them.16 This illustrates suggests, there may ensue, in particular

the defensive informal organization which vocations and in particular types of

tends to arise whenever there is an appar- organization, the process of soanctification

ent threat to the integrity of the group."7 (viewed as the counterpart of the process

It would be much too facile and partly of secularization). This is to say that

erroneous to attribute such resistance by through sentiment-formation, emotional

bureaucrats simply to vested interests. dependence- upon bureaucratic symbols

Vested interests oppose any new order and status, and affective involvement in

which either eliminates or at least makes spheres of competence and authority,

uncertain their differential advantage de- there develop prerogatives involving atti-

riving from the current arrangements. tudes of moral legitimacy which are

This is undoubtedly involved in part in established as values in their own right,

bureaucratic resistance to change but and are no longer viewed as merely

another process is perhaps more signifi- technical means for expediting adminis-

cant. As we have seen, bureaucratic tration. One may note a tendency for

officials affectively identify themselves certain bureaucratic norms, originally

with their way of life. They have a pride introduced for technical reasons, to be-

of craft which leads them to resist change come rigidified and sacred, although, as

in established routines; at least, those Durkheim would say, they are laique

changes which are felt to be imposed by en apparence.19 Durkheim has touched on

persons outside the inner circle of co- this general process in his description of

workers. This nonlogical pride of craft the attitudes and values which persist

is a familiar pattern found even, to judge in the organic solidarity of a highly

fromSutherland'sProfessionaTl hief,among differentiated society.

pickpockets who, despite the risk, delight Another feature of the bureaucratic

in mastering the prestige-bearing feat of structure, the stress on depersonalization

"beating a left breech" (picking the left of relationships, also plays its part in the

front trousers pocket).

bureaucrat'strained incapacity. The per-

In a stimulating paper, Hughes has sonality pattern of the bureaucrat is

applied the concepts of "secular" and nucleated about this norm of imperson-

"sacred" to various types of division of ality. Both this and the categorizing

labor; "the sacredness" of caste and tendency, which develops from the dom-

Stiindeprerogatives contrasts sharply with

the increasing secularism of occupational differentiation in our mobile society.'8 However, as our discussion

SystematicSociology(New York: John Wiley & Sons, 1932), pp- 2-22-5 et passim.

19Hughes recognizes one phase of this process of

sanctificationiwhen he writes that professional train-

16 A. L. Lowell, The Governmenotf England(New

York, 1908), I, I89 if.

17For an instructive description of the develop-

ment of such a defensive organization in a group of

ing "carries with it as a by-product assimilation of the candidate to a set of professional attitudes and controls, a professionalconscienceand solidarity. The professionclaims and aims to becomea moral unit."

workers, see F. J. Roethlisberger and W. J. Dickson, Hughes, op. cit., p. 76z, (italics inserted). In this

Managemenatnd the Worker(Boston: Harvard School same connection, Sumner's concept of pathos, as the

of BusinessAdministration, 1934).

halo of sentiment which protects a social value from

18 E. C. Hughes, "Personality Types and the Divi- criticism, is particularly relevant, inasmuch as it

sion of Labor," AmericanJournalof Sociology,XXXIII affords a clue to the mechanisms involved in the

(19X8), 754-768. Much the same distinction is process of sanctification. See his Folkways(Boston:

drawn by Leopold von Wiese and Howard Becker, Ginn & Co., I906), pp. i8o-i8i.

566

SOCIAL FORCES

inant role of general, abstract rules, tend Still another source of conflict with the

to produce conflict in the bureaucrat's public derives from the bureaucratic

contacts with the public or clientele. structure. The bureaucrat, in part ir-

Since functionaries minimize personal rela- respective of his position within the

tions and resort to categorization, the hierarchy, acts as a representative of the

peculiarities of individual cases are often power and prestige of the entire structure.

ignored. But the client who, quite un- In his official role he is vested with

derstandably, is convinced of the "special definite authority. This often leads to

features" of his own problem often ob- an actual or apparent domineering atti-

jects to such categorical treatment. tude, which may only be exaggerated by

Stereotyped behavior is not adapted to a discrepancybetween his position within

the exigencies of individual problems. the hierarchy and his position with The impersonal treatment of affairswhich reference to the public.2' Protest and are at times of great personal significance recourse to other officials on the part of

to the client gives rise to the charge of the client are often ineffective or largely

"arrogance" and "haughtiness" of the precluded by the previously mentioned

bureaucrat. Thus, at the Greenwich Em- esprit de corps which joins the officials

ployment Exchange, the unemnployed into a more or less solidary in-group.

worker who is securing his insurance This source of conflict may be minimized

payment resents what he deems to be in private enterprise since the client can

"the impersonality and, at times, the register an effective protest by trans-

apparent abruptness and even harshness of ferring his trade to another organization

his treatment by the clerks. . . . Some within the competitive system. But with

men complain of the superior attitude the monopolistic nature of the public

which the clerks have."20

organization, no such alternative is pos-

sible. Moreover, in this case, tension is

20" 'They treat you like a lump of dirt they do. increased because of a discrepancy be-

I see a navvy reach across the counter and shake one of

them by the collar the other day. The rest of us

felt like cheering. Of course he lost his benefit persons in whom the craving for prestige is upper-

over it. . . . But the clerk deserved it for his sassy most, hostility usually takes the form of a desire to

way.' " (E. W. Bakke, The UnemployedMan, New humiliate others." (K. Horney, The NeuroticPer-

York: Dutton, 1934, pp. 79-80). Note that the sonality of OurTime, New York: Norton, I937, pp.

domineering attitude was imputedby the unemployed I78-79.)

client who is in a state of tension due to his loss of

21 In this connection, note the relevanceof Koffka's

status and self-esteem in a society where the ideology comments on certain features of the pecking-order of

is still current that an "able man" can always find birds. "If one compares the behavior of the bird at

a job. That the imputation of arrogance stems the top of the pecking list, the despot, with that of

largely from the client's state of mind is seen from one very far down, the second or third from the last,

Bakke's own observation that "the clerks were then one finds the latter much more cruel to the few

rushed, and had no time for pleasantries, but there others over whom he lords it than the former in his

was little sign of harshness or a superiority feeling treatment of all members. As soon as one removes

in their treatment of the men." Insofar as there is from the group all members above the penultimate,

an objective basis for the imputation of arrogant his behavior becomes milder and may even become

behavior to bureaucrats,it may possibly be explained by the following juxtaposed statements. "Auch der moderne, sei es 6ffentliche, sei es private, Beamte

very friendly. . It is not difficult to find analogies to this in human societies, and therefore one side of such behavior must be primarily the effects of the

erstrebt immer und geniesst meist den Beherrschten social groupings, and not of individual characteris-

gegenuiber eine spezifisch gehobene, 'standische' tics." K. Koffka, Principles of Gestalt Psychology soziale SchAtzung." (Weber, op. cit., 65z.) "In (New York:Harcourt,Brace,1935), pp. 668-9.

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