Characteristics of Bureaucracy
Modern officialdom functions in the following specific manner:
I. There is the principle of fixed and official jurisdictional areas, which are generally ordered by rules, that is, by laws or administrative regulations.
1. The regular activities required for the purposes of the bureaucratically governed structure are distributed in a fixed way as official duties.
2. The authority to give the commands required for the discharge of these duties is distributed in a stable way and is strictly delimited by rules concerning the coercive means, physical, sacerdotal, or otherwise, which may be placed at the disposal of officials.
3. Methodical provision is made for the regular and continuous fulfilment of these duties and for the execution of the corresponding rights; only persons who have the generally regulated qualifications to serve are employed.
In public and lawful government these three elements constitute 'bureaucratic authority.' In private economic domination, they constitute bureaucratic 'management.' Bureaucracy, thus understood, is fully developed in political and ecclesiastical communities only in the modern state, and, in the private economy, only in the most advanced institutions of capitalism. Permanent and public office authority, with fixed jurisdiction, is not the historical rule but rather the exception. This is so even in large political structures such as those of the ancient Orient, the Germanic and Mongolian empires of conquest, or of many feudal structures of state. In all these cases, the ruler executes the most important measures through personal trustees, table-companions, or court-servants. Their commissions and authority are not precisely delimited and are temporarily called into being for each case.
II. The principles of office hierarchy and of levels of graded authority mean a firmly ordered system of super- and subordination in which there is a supervision of the lower offices by the higher ones. Such a system offers the governed the possibility of appealing the decision of a lower office to its higher authority, in a definitely regulated manner. With the full development of the bureaucratic type, the office hierarchy is monocratically organized. The principle of hierarchical office authority is found in all bureaucratic structures: in state and ecclesiastical structures as well as in large party organizations and private enterprises. It does not matter for the character of bureaucracy whether its authority is called 'private' or 'public.'
When the principle of jurisdictional 'competency' is fully carried through, hierarchical subordination-at least in public office-does not mean that the 'higher' authority is simply authorized to take over the business of the 'lower.' Indeed, the opposite is the rule. Once established and having fulfilled its task, an office tends to continue in existence and be held by another incumbent.
III. The management of the modern office is based upon written documents ('the files'), which are preserved in their original or draught form. There is, therefore, a staff of subaltern officials and scribes of all sorts. The body of officials actively engaged in a 'Public' office, along with the respective apparatus of material implements and the files, make up a 'bureau.' In private enterprise, 'the bureau' is often called 'the office.'
In principle, the modern organization of the civil service separates the bureau from the private domicile of the official, and, in general, bureaucracy segregates official activity as something distinct from the sphere of private life. Public monies and equipment are divorced from the private property of the official. This condition is everywhere the product of a long development. Nowadays, it is found in public as well as in private enterprises; in the latter, the principle extends even to the leading entrepreneur. In principle, the executive office is separated from the household, business from private correspondence, and business assets from private fortunes. The more consistently the modern type of business management has been carried through the more are these separations the case. The beginnings of this process are to be found as early as the Middle Ages.
It is the peculiarity of the modern entrepreneur that he conducts himself as the 'first official' of his enterprise, in the very same way in which the ruler of a specifically modern bureaucratic state spoke of himself as 'the first servant' of the state. The idea that the bureau activities of the state are intrinsically different in character from the management of private economic offices is a continental European notion and, by way of contrast, is totally foreign to the American way.
IV. Office management, at least all specialized office management-and such management is distinctly modern-usually presupposes thorough and expert training. This increasingly holds for the modern executive and employee of private enter- prises, in the same manner as it holds for the state official.
V. When the office is fully developed, official activity demands the full working capacity of the official, irrespective of the fact that his obligatory time in the bureau may be firmly delimited. In the normal case, this is only the product of a long development, in the public as well as in the private office. Formerly, in all cases, the normal state of affairs was reversed: official business was discharged as a secondary activitv.
VI. The management of the office follows general rules, which are more or less stable, more or less exhaustive, and which can be learned. Knowledge of these rules represents a special technical learning which the officials possess. It involves jurisprudence, or administrative or business management. The reduction of modern office management to rules is deeply embedded in its very nature. The theory of modern public administration, for instance, assumes that the authority to order certain matters by decree-which has been legally granted to public authorities-does not entitle the bureau to regulate the matter by commands given for each case, but only to regulate the matter abstractly. This stands in extreme contrast to the regulation of all relationships through individual privileges and bestowals of favor, which is absolutely dominant in patrimonialism, at least in so far as such relationships are not fixed by sacred tradition. …
The Leveling of Social Differences
Bureaucratic organization has usually come into power on the basis of a leveling of economic and social differences. This leveling has been at least relative, and has concerned the significance of social and economic differences for the assumption of administrative functions.
Bureaucracy inevitably accompanies modern mass democracy in contrast to the democratic self-government of small homogeneous units. This results from the characteristic principle of bureaucracy: the abstract regularity of the execution of authority, which is a result of the demand for 'equality before the law' in the personal and functional sense-hence, of the horror of 'privilege,' and the principled rejection of doing business 'from case to case.' Such regularity also follows from the social preconditions of the origin of bureaucracies. The non-bureaucratic administration of any large social structure rests in some way upon the fact that existing social, material, or honorific preferences and ranks are connected with administrative functions and duties. This usually means that a direct or indirect economic exploitation or a'social' exploitation of position, which every sort of administrative activity gives to its bearers, is equivalent to the assumption of administrative functions.
Bureaucratization and democratization within the administration of the state therefore signify and increase the cash expenditures of the public treasury. And this is the case in spite of the fact that bureaucratic administration is usually more 'economical' in character than other forms of administration. Until recent times-at least from the point of view of the treasury-the cheapest way of satisfying the need for administration was to leave almost the entire local administration and lower judicature to the landlords of Eastern Prussia. The same fact applies to the administration of sheriffs in England. Mass democracy makes a clean sweep of the feudal, patrimonial, and-at least in intent-the plutocratic privileges in administration. Unavoidably it puts paid professional labor in place of the historically inherited avocational administration by notables.
This not only applies to structures of the state. For it is no accident that in their own organizations, the democratic mass parties have completely broken with traditional notable rule based upon personal relationships and personal esteem. Yet such personal structures frequently continue among the old conservative as well as the old liberal parties. Democratic mass parties are bureaucratically organized under the leadership of party officials, professional party and trade union secretaries, et cetera. In Germany, for instance, this has happened in the Social Democratic party and in the agrarian mass-movement; and in England, for the first time, in the caucus democracy of Gladstone-Chamberlain, which was originally organized in Birmingham and since the 1870's has spread. In the United States, both parties since Jackson's administration have developed bureaucratically. In France, however, attempts to organize disciplined political parties on the basis of an election system that would compel bureaucratic organization have repeatedly failed. The resistance of local circles of notables against the ultimately unavoidable bureaucratization of the parties, which would encompass the entire country and break their influence, could not be overcome. Every advance of the simple election techniques, for instance the system of proportional elections, which calculates with figures, means a strict and interlocal bureaucratic organization of the parties and therewith an increasing domination of party bureaucracy and discipline, as well as the elimination of the local circles of notables-at least this holds for great states.
The progress of bureaucratization in the state administration itself is a parallel phenomenon of democracy, as is quite obvious in France, North America, and now in England. Of course one must always remember that the term 'democratization' can be misleading. The demos itself, in the sense of an inarticulate mass, never governs larger associations; rather, it is governed, and its existence only changes the way in which the executive leaders are selected and the measure of influence which the demos, or better, which social circles from its midst are able to exert upon the content and the direction of administrative activities by supplementing what is called 'public opinion.' 'Democratization,' in the sense here intended, does not necessarily mean an increasingly active share of the governed in the authority of the social structure. This may be a result of democratization, but it is not necessarily the case.
We must expressly recall at this point that the political concept of democracy, deduced from the 'equal rights' of the governed, includes these postulates: (1) prevention of the development of a closed status group of officials in the interest of a universal accessibility of office, and (2) minimization of the authority of officialdom in the interest of expanding the sphere of influence of 'public opinion' as far as practicable. Hence, wherever possible, political democracy strives to shorten the term of office by election and recall and by not binding the candidate to a special expertness. Thereby democracy inevitably comes into conflict with the bureaucratic tendencies which, by its fight against notable rule, democracy has produced. The generally loose term'democratization' cannot be used here, in so far as it is understood to mean the minimization of the civil servants' ruling power in favor of the greatest possible 'direct' rule of the demos, which in practice means the respective party leaders of the demos. The most decisive thing here-indeed it is rather exclusively so-is the leveling of the governed in opposition to the ruling and bureaucratically articulated group, which in its turn may occupy a quite autocratic position, both in fact and in form.
In Russia, the destruction of the position of the old landed nobility through the regulation of the Mjeshtshitelstvo (rank order) and the permeation of the old nobility by an office nobility were characteristic transitional phenomena in the development of bureaucracy In China, the estimation of rank and the qualification for office according to the number of examinations passed mean something similar, but they have had consequences which, in theory at least, are still sharper. In France, the Revolution and still more Bonapartism have made the bureaucracy all-powerful. In the Catholic Church, first the feudal and then all independent local intermediary powers were eliminated. This was begun by Gregory VII and continued through the Council of Trent, the Vatican Council, and it was completed by the edicts of Pius X. The transformation of these local powers into pure functionaries of the central authority were connected with the constant increase in the factual significance of the formally quite dependent chaplains, a process which above all was based on the political party organization of Catholicism. Hence this process meant an advance of bureaucracy and at the same time of 'passive democratization,' as it were, that is, the leveling of the governed. The substitution of the bureaucratic army for the self-equipped army of notables is everywhere a process of 'passive' democratization, in the sense in which every establishment of an absolute military monarchy in the place of a feudal state or of a republic of notables is. This has held, in principle, even for the development of the state in Egypt in spite of all the eculiarities involved. Under the Roman principate the bureaucratization of the provincial administration in the field of tax collection, for instance, went hand in hand with the elimination of the plutocracy of a capitalist class, which, under the Republic, had been all-powerful. Ancient capitalism itself was finally eliminated with this stroke.
It is obvious that almost always economic conditions of some sort play their part in such 'democratizing' developments. Very frequently we meet with the influence of an economically determined origin of new classes, whether plutocratic, petty bourgeois, or proletarian in character. Such classes may call on the aid of, or they may only call to life or recall to life, a political power, no matter whether it is of legitimate or of Caesarist stamp. They may do so in order to attain economic or social advantages by political assistance. On the other hand, there are equally possible and historically documented cases in which initiative came 'from on high' and was of a purely political nature and drew advantages from political constellations, especially in foreign affairs. Such leadership exploited economic and social antagonisms as well as class interests merely as a means for their own purpose of gaining purely political power. For this reason, political authority has thrown the antagonistic classes out of their almost always unstable equilibrium and called their latent interest conflicts into battle. It seems hardly possible to give a general statement of this.
The extent and direction of the course along which economic influences have moved, as well as the nature in which political power relations exert influence, vary widely. In Hellenic Antiquity, the transition to disciplined combat by Hoplites, and in Athens, the increasing importance of the navy laid the foundation for the conquest of political power by the strata on whose shoulders the military burden rested. In Rome, however, the same development shook the rule of the office nobility only temporarily and seemingly. Although the modern mass army has everywhere been a means of breaking the power of notables, by itself it has in no way served as a leverage for active, but rather for merely passive, democratization. One contributing factor, however, has been the fact that the ancient citizen army rested economically upon self-equipment, whereas the modern army rests upon the bureaucratic procurement of requirements.
The advance of the bureaucratic structure rests upon 'technical' superiority. This fact leads here, as in the whole field of technique, to the following: the advance has been realized most slowly where older structural forms have been technically well developed and functionally adjusted to the requirements at hand. This was the case, for instance, in the administration of notables in England and hence England was the slowest of all countries to succumb to bureaucratization or, indeed, is still only partly in the process of doing so. The same general phenomenon exists when highly developed systems of gaslight or of steam railroads with large and fixed capital offer stronger obstacles to electrification than in completely new areas which are opened up for electrification.
The Permanent Character of the Bureaucratic Machine
Once it is fully established, bureaucracy is among those social structures which are the hardest to destroy. Bureaucracy is the means of carrying community action' over into rationally ordered 'societal action.' Therefore, as an instrument for 'societalizing' relations of power, bureaucracy has been and is a power instrument of the first order-for the one who controls the bureaucratic apparatus.
Under otherwise equal conditions, a societal action which is methodically ordered and led, is superior to every resistance of 'mass' or even of 'communal action.' And where the bureaucratization of administration has been completely carried through, a form of power relation is established that is practically unshatterable.
The individual bureaucrat cannot squirm out of the apparatus in which he is harnessed. In contrast to the honorific or avocational 'notable,' the professional bureaucrat is chained to his activity by his entire material and ideal existence. In the great majority of cases, he is only a single cog in an ever-moving mechanism which prescribes to him an essentially fixed route of march. The official is entrusted with specialized tasks and normally the mechanism cannot be put into motion or arrested by him, but only from the very top. The individual bureaucrat is thus forged to the community of all the functionaries who are integrated into the mechanism. They have a common interest in seeing that the mechanism continues its functions and that the societally exercised authority carries on.
The ruled, for their part, cannot dispense with or replace the bureaucratic apparatus of authority once it exists. For this bureaucracy rests upon expert training, a functional specialization of work, and an attitude set for habitual and virtuoso-like mastery of single yet methodically integrated functions. If the official stops working, or if his work is forcefully interrupted, chaos results, and it is difficult to improvise replacements from among the governed who are fit to master such chaos. This holds for public administration as well as for private economic management. More and more the material fate of the masses depends upon the steady and correct function- ing of the increasingly bureaucratic organizations of private capitalism. The idea of eliminating these organizations becomes more and more utopian.
The discipline of officialdom refers to the attitude-set of the official for precise obedience within his habitual activity, in public as well as in private organizations. This discipline increasingly becomes the basis of all order, however great the practical importance of administration on the basis of the filed documents may be. The naive idea of Bakuninism of destroying the basis of 'acquired rights' and 'domination' by destroying public documents overlooks the settled orientation of man for keeping to the habitual rules and regulations that continue to exist independently of the documents. Every reorganization of beaten or dissolved troops, as well as the restoration of administrative orders destroyed by revolt, panic, or other catastrophes, is realized by appealing to the trained orientation of obedient compliance to such orders. Such compliance has been conditioned into the officials, on the one hand, and, on the other hand, into the governed. If such an appeal is successful it brings, as it were, the disturbed mechanism into gear again.
The objective indispensability of the once-existing apparatus, with its peculiar, impersonal' character, means that the mechanism-in contrast to feudal orders based upon personal piety-is easily made to work for anybody who knows how to gain control over it. A rationally ordered system of officials continues to function smoothly after the enemy has occupied the area; he merely needs to change the top officials. This body of officials continues to operate because it is to the vital interest of everyone concerned, including above all the enemy.
During the course of his long years in power, Bismarck brought his ministerial colleagues into unconditional bureaucratic dependence by eliminating all independent statesmen. Upon his retirement, he saw to his surprise that they continued to manage their offices unconcerned and undismayed, as if he had not been the master mind and creator of these creatures, but rather as if some single figure had been exchanged for some other figure in the bureaucratic machine. With all the changes of masters in France since the time of the First Empire, the power machine has remained essentially the same. Such a machine makes 'revolution' ' in the sense of the forceful creation of entirely new formations of authority, technically more and more impossible, especially when the apparatus controls the modern means of communication (telegraph, et cetera) and also by virtue of its internal rationalized structure. In classic fashion, France has demonstrated how this process has substituted coups d'etat for 'revolutions': all successful transformations in France have amounted to coups d'etat.