The Bureaucratic Organization or Behaviour-Restricting First Design Principle (DP1)
Bureaucracy is an organizational design principle for administering organizations involving a specific structure of authority and a clearly defined set of rules and regulations. Bureaucracy may be found in large and small, formal or informal, public or private organizations, such as government, corporations, churches, schools, political parties, and even households. One of the keys to the historical development of bureaucracy was supplied by Max Weber (a German sociologist) who saw it as characteristic of the movement toward a rational social organization in modern societies with governments based on “a system of law where leaders obtain their offices through legal procedures and the power to rule is vested in their positions rather than in themselves as individuals” (Weber, 1947). Clearly, a utopian concept of bureaucracy.
Bureaucracy, as a structure of administration, may also be seen as related to the growing complexity of society. The French sociologist, Emile Durkheim (1933), saw societies in terms of the division of labor within them. In primitive societies there is relatively little division of labor which is largely based on age and sex. As societies become more complex, their members no longer share the same experiences and thus, a new basis of uniting individuals with the collectivity is required. Durkheim characterized modern society as based on “organic solidarity,” in contrast to primitive societies based mostly on “mechanical solidarity”.
Most institutions or organizations can be categorized as having a bureaucratic organizational design that follows the variety-decreasing principles of a dominant hierarchy or, as Fred Emery put it, a First Design Principle structure (DP1) (Emery, 1993).
About a hundred years ago the word bureaucracy meant something good. It had the connotation of a ‘rational’ and ‘efficient’ approach to organizing something, bringing the same logic to government and institutional work as the assembly lines brought to factories (Bjerknes, 1993).
This is obviously no longer the case. Bureaucracies and human needs have been in conflict ever since the dawn of homo sapiens as a struggle for human values, individual fulfillment and social equality (Kranz, 1976). Although Max Weber introduced and idealized the term bureaucracy in the beginning of the 19th century, its emergence, as we now know it, can be traced back to the end of the 17th century with the advent of world economy and resources competition (Emery, 1977). By the end of the 18th century, when large organizational acquisitions took place (triggered by technological breakthroughs in the energy generation and communications field) bureaucracy was fully developed, and the institutionalization of bureaucracies with their dominant hierarchies of personal supremacy began (Emery, 1977; Hyneman, 1950; Kranz, 1976).
The pervasiveness of the bureaucratic organizational structure is best explained by the Type III environment of the time (i.e., disturbed and reactive) which favored and allowed for the institutionalization of dominant hierarchies (Emery, 1993). And also by perspectives mostly based on Max Weber regard of it as “technically superior in theory to other forms of organization” (Reinhard, 1962).
The bureaucratic structure was ‘legitimized’ by Theory X and Taylorism, which view humans as machines not fully exploited (Carnevale, 1995). This is the main reason why bureaucratic structures cannot deliver what the theory behind them expects them to deliver.
The bureaucratic structure was designed for “instruments” not humans capable of purposeful and ideal-seeking behaviour.
The building block in a DP1 structure is redundancy of parts. Redundant parts are based on what Feibleman and Friend (1945) called “subjective seriality” where the governing relation between two parts is that of “asymmetrical dependence”, i.e., the sharing of parts is necessary to one of the parts only (Ibid).
Because of this asymmetrical dependence DP1 structures are inherently error-amplifying (Emery, 1977). This can be viewed as: E = (1 — P) Where: E = error P = probability of error, and = number of redundant parts within the system. In addition, the governing principle of asymmetric dependence also causes the bifurcation of the two primary functions of communication, i.e., to inform and to instruct (Emery, 1977), thus reducing “communication” to a one-way street either to inform or to instruct. This type of organizational structure is characterized by linear thinking and highly dominant hierarchies of parts.
In this type of structure, the coordination and control of work is located at least one level above those doing the work (Emery, 1993). The bureaucratic, behaviour-restricting structure or DP1 was arguably appropriate for the disturbed and reactive environment of a time (i.e., industrial revolution). This type of environment demanded fool-proof and variety reducing organizations. At that time, Weber’s regard of bureaucracy as superior to any other form of organization was probably justified . People were (and to some extent still are) considered unreliable and incompetent (hence the need for supervisors). The task was (is?) to make them as standardized and interchangeable as possible in order to better achieve their function as cogs in a machine (Emery, 1977, 1995).
Despite their pervasiveness, bureaucratic structures could not, cannot, and will never deliver what the theory behind them expects them to deliver because humans are not mechanical instruments but beings capable of purposeful and ideal-seeking behaviour.
Bureaucracies deliberately restrict the behaviour of their elements from coerced to (at best) goal-seeking individuals, a far cry from being ideal-seeking individuals.
The difference between a goal or multi-goal-seeeking individual and an ideal-seeking one is particularly evident in a turbulent environment (characterized by increasing relevant uncertainties and system discontinuities) where goals need to be continuously redefined.
The five disciplines (i.e., personal mastery, team learning, shared vision, systems thinking and mental models) considered by Peter Senge (a systems thinking “expert”) as essential for a “learning organization” are deliberately restricted by bureaucratic structures. Thus, bureaucracies keep organizations from becoming learning organizations. This is particularly negative in our turbulent environment where continuous learning is essential for survival.
The turbulent environment was first noticed as emergent in 1962 (Emery and Trist, 1965) and has now become an accepted and continuing phenomenon (Antonovsky, 1993; Gordon, 1992; Gregersen and Sailer, 1993; Kiel, 1994; Jurgen, 1995).
In a non-turbulent environment it was possible to predict, rather accurately, the trajectory of a given system and thus it made sense to concentrate most of the resources in the means toward the predicted end (Emery, 1993). Unfortunately, accurate forecasting is very difficult, if not impossible, in a turbulent environment.
In our current environment (type IV) people need considerably more freedom and responsibility if they are to have a knowledgeable and pro-active-adaptive relationship with their turbulent and changing environment and behave as ideal-seeking individuals.
Although various forms of involvement -often called participatory- take place in DP1 structures their variety-decreasing, error-amplifying nature and design principle remain unchanged. Hence, the relationship between the system and its elements is non-cooperative, dependent, and not ideal-seeking.
It has been shown that in DP1 structures it is counter to the individual’s interest to cooperate with others (e.g. prisoner’s dilemma). For people, under a DP1 structure, the job environment seems unchanging and there seems to be little, if anything, to be learned, people show apathy, stress and disaffection. People under this type of structure may have the desire to behave as ideal-seeking individuals but not the ability to do so for they are forced to act as robots but without the ability to cope with, let alone positively respond to, the physical and psychological pressures inherent of a DP1 structure and hence the pathologies associated therewith.
Thus, DP1 structures can not satisfy people’s psychological requirements for effective work i.e., adequate freedom in decision-making, a learning-inductive environment, adequate variety, support and respect, a sense of meaningfulness, and a desirable future (Emery, 1994).
The failure to satisfy these critical human requirements for effective and purposeful work generates the defense mechanisms and the typical pathologies of bureaucratic structures. Under these type of structures a pro-active-adaptive management process, required for high and sustainable performance, is not possible.
The “misappropriation of human awareness” (Purser, 1997), which produces the “egocentric” nature of bureaucratic (DP1) structures, leads to an alienated, static and repetitious form of structural organization standing counter to change, knowledge, and novelty (Tulku, 1990). Hence, the “egocentric” nature of DP1 organizational structures is “anti-adaptive” (Bateson, 1972).
In a Bureaucratic Structure The responsibility for control and coordination of work is located at least one level ABOVE those doing the work and thus people behave accordingly:
- Organizational structure does not foster cooperation & participation.
- Decision-making & control by supervisors. People Goal driven (little to learn)
- Narrow & rigidly defined jobs -complicated work environment. Detailed specification of everything (“fool-proof”).
- Workers focus on tasks -the big picture is irrelevant/unknown.
- Subjective Seriality (asymmetric dependence)
- Error increasing (T=1-F)n (responsibility and blame easily shifted).
- Organizational “success” (sustainability) a function of ‘smart’ direction from top.