Professional Documents
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Bureaucracies
Author(s): Michael Aiken, Samuel B. Bacharach and J. Lawrence French
Source: The Academy of Management Journal, Vol. 23, No. 4 (Dec., 1980), pp. 631-652
Published by: Academy of Management
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? Academy of Management Journal
1980, Vol. 23, No. 4, 631-652.
Organizational Structure,
Work Process, and
Proposal Making in
Administrative Bureaucracies1
MICHAEL AIKEN
University of Wisconsin-Madison
SAMUEL B. BACHARACH
Cornell University
J. LAWRENCE FRENCH
University of Texas at Arlington
'The authors wish to acknowledge the contribution of Hugo van Hassel and Roger
makingscentrum Voor Bedrijfsleiding en Administratie, Catholic University of Leu
the design and execution of this study. Computer funds were provided by the Wester
gram of the Center for International Studies, Cornell University. The listing of the a
in alphabetical order.
631
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632 Academy of Management Journal December
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1980 Aiken, Bacharach, and French 633
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634 Academy of Management Journal December
only to a preoccupation with the impact of such variables as size and struc-
tural complexity, but also to the frequent treatment of certain process
characteristics as structural attributes.
Organizational structures refer to those objective properties of organi-
zations per se that cannot be reduced to or deduced from properties of the
organization's members (Bacharach & Aiken, 1976, 1977, 1979). These in-
clude size, horizontal and vertical differentiation, and role specialization.
In broad terms, an organization's structural characteristics may be placed
on a continuum from small and simple to large and complex. Organiza-
tional processes, by contrast, refer to the patterns of activity characteriz-
ing the members of organizations and include task, interaction, and influ-
ence activities. Processes may be placed on an organic-mechanistic con-
tinuum with nonroutine task activities, high rates of interaction and dis-
persed influence taken as indicative of organic processes and their oppo-
sites as connoting mechanistic ones. Processes differ from structures in
that the former typically vary among organizational members differential-
ly situated in the organization's structure.
The failure to distinguish between structures and processes and the con-
sequent treatment of the latter as properties of the organization per se has
resulted, methodologically, in the common practice of computing organi-
zational scores for such process variables as influence, formalization,
communication, boundary spanning, and task uncertainty. Such scores,
derived either from reports by key informants, usually high ranking offi-
cials, or by averaging the reports by samples of organizational members,
obscure the variability among organizational members on these dimen-
sions. As a consequence, such practices often may produce highly mislead-
ing empirical results (Bacharach, 1978). Similarly, they retard the develop-
ment of adequate theories of innovation by ignoring the differential im-
portance of complex structures and organic work processes for the inno-
vative activities of members differentially situated in the organizational
structure.
The failures to focus on proposals for innovation as well as their ad
tion and to distinguish between structural and process determinant
closely related to a third problem: the failure to analyze differences in th
innovative activities of groups differentially located in the organizati
hierarchy of authority. As Parsons's (1960) distinction between the instit
tional, managerial, and technical levels implies, there often are qualit
differences between levels in terms of functions, constraints, and opport
nities that serve to promote differences in the activities and interests of
ganizational members. Such vertical differences and the integration p
lems they pose may have more consequences for innovation in public
tor organizations than the horizontal differentiation among technical
cialists (Daft & Becker, 1978).
Although most studies of innovation continue to be conducted at
organizational level of analysis (Blau & McKinley, 1979), several recen
forts have attempted to assess the differing impact on innovation by org
nizational members or groups with varying degrees of power and/o
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1980 Aiken, Bacharach, and French 635
authority (Mohr, 1969; Hage & Dewar, 1973; Daft, 1978). Such studies,
although valuable and provocative, suffer from at least two deficiencies.
First, the classification of members into subgroups is rather crude, with
elites and nonelites the most common distinction made. Second, and pre-
sumably for pragmatic reasons, the range of independent variables exam-
ined for their effects on the innovation activities of the selected subgroups
has been quite limited.
The final problem with the comparative research on innovation is that
the studies are based largely on data from organizations in the health and
education fields. Such a restricted empirical base obviously raises the issue
of the generalizability of the findings to other types of organizations.
Health and educational organizations are rather distinctive in combining
highly professional components at the lower levels with at least formally
superior administrative groups. Such arrangements may clearly limit the
ability to generalize. For example, the frequent finding that decentraliza-
tion is related to innovation may stem from the concentration of technical
expertise among lower level personnel in the organizations studied. Simi-
larly, recent arguments regarding the specialization of lower and higher
level personnel in technical and administrative changes, respectively, may
be valid only in organizations with very distinct professional and adminis-
trative components (Moch & Morse, 1977; Daft, 1978).
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636 Academy of Management Journal December
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1980 Aiken, Bacharach, and French 637
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638 Academy of Management Journal December
1965; Hage & Aiken, 1970; Zaltman et al., 1973), the empirical evidence is
surprisingly scant, although supportive (Aiken & Hage, 1971).
The dispersion of power in an organization also is expected to increase
proposals for innovation:
H5: The greater the dispersion of influence among organizational
members, the greater the reported proposals for innovation.
Because of their proximity to operations, middle and lower echelon per-
sonnel in organizations often are acutely aware of problems and have
ideas for desirable changes. Moreover, their subordinate status in the hier-
archy may provide them with incentives to propose innovations that will
better their position. However, such personnel may actually propose inno-
vations only when they perceive that their influence is sufficient to ensure
that their proposals receive a fair and thorough hearing. Evidence from
previous studies of both proposals and adoption supports the position that
dispersed influence increases innovation (Moch, 1976).
The next hypothesis argues, in effect, that structural complexity has a
differential impact on the proposal-making activities of middle and lower
echelon officials of administrative bureaucracies.
H6: Structural complexity increases proposals for innovations by
the middle echelon department heads more than those of the lower
echelon officials.
Structural complexity is expected to have a differential effect on t
proposal making activities of these two strata because their functions d
fer substantially. As indicated, the middle echelon department heads fun
tion primarily as coordinators. Their lower echelon subordinates are r
sponsible for the direct supervision of operations. Complexity, by incre
ing the coordination and control problems of officials, may stimulate
creasing proposals for change to deal with these difficulties. Because d
partment heads are primarily responsible for coordination, most of the
problem solving proposals should emanate from this stratum. For exam
ple, increasing role specialization among lower echelon officials increas
the coordination and integration problems confronting department hea
Increasing vertical differentiation has a similar effect as the distance
tween the upper echelon policy makers and actual operations increase
Similarly, increasing horizontal differentiation makes external coordin
tion more problematic as the number of other specialized departments
creases.
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1980 Aiken, Bacharach, and French 639
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640 Academy of Management Journal December
METHODS
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1980 Aiken, Bacharach, and French 641
Dependent Variables
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642 Academy of Management Journal December
TABLE 1
Means and Standard Deviations of the Dependent Variables
(N= 44)
Percent proposing technical innovations 66.50 26.00 0-100 26.80 13.20 0-50
Average number of technical proposals 1.49 .79 0-4.5 .52 .32 0-1.33
Percent proposing administrative innovations 27.30 24.30 0-100 12.00 13.30 0-50
Average number of administrative innovations .53 .58 0-2.25 .19 .21 0-.63
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1980 Aiken, Bacharach, and French 643
Independent Variables
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644 Academy of Management Journal December
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1980 Aiken, Bacharach, and French 645
TABLE 2
Means and Standard Deviations of Process Variables
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TABLE 3
Pearson Correlations of Proposal-Making with Ind
(N= 44)
Middle Echelon
Percent Making Proposals Average # Proposals Percent Mak
Technical Administrative Technical Administrative Technical Adm
Structural complexity
Role specialization .151 .085 .173 .067 .175
Horizontal differentiation -.220 -.150 -.216 -.004 -.318*
Vertical differentiation .477*** .393** .501*** .460***
Work processes
Task routinization -.015 -.278* .034 -.174 -.210 -.375
Internal communication .274* .464*** .299* .413** .28
Boundary spanning .078 .234 -.005 .282* .540*** .576*
Influence .230 .321* .314* .378** .489*** .406*
Control variables
Size .148 -.004 .223 .156 .045 .070
Tenure of officialsa .029 -.149 -.038 .015 .236 .4
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1980 Aiken, Bacharach, and French 647
FINDINGS
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648 Academy of Management Journal December
TABLE 4
Multiple Regressions of Proposal-Making on Independent
Variables for Middle and Lower Echelonsa
(N= 44)
A. Middle echelon
Vertical differentiation .454*** .357** .490*** .427***
Influence -.029 -.030 .041
Internal communication .226* .392*** .257* .272*
Boundary spanning .202
Task routinization -.150
R2 .278 .355 .313 .381
B. Lower echelon
Horizontal differentiation -.213* -.184
Influence .341** .151 .397*** .210
Boundary spanning .394** .408*** .212 .361**
Internal communication -.043 .081
Task routinization -.137 -.033 -.179
Tenure of officials .273** .097
R2 .435 .467 .391 .372
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1980 Aiken, Bacharach, and French 649
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650 Academy of Management Journal December
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1980 Aiken, Bacharach, and French 651
the proposal making activities of upper echelon policy makers and lower
level operatives, as well as service clientele and political groups, would ap-
pear to represent an important next step for research. Complementing this
need for an expanded focus is the need for systematic attention to the rela-
tions among the various internal and external groups with interests in the
nature and pace of innovation. In the present study, for example, no ex-
amination was made of the consequences of attributes and activities of the
lower echelon for the middle echelon rate of proposals or of the effects of
characteristics of the latter on proposals by the former. Such a focus on
intergroup relations and cross-level effects may provide important insights
regarding the process of proposal making.
A final implication of the present study is the need for innovation
studies to be conducted in more diverse organizational settings than has
been the practice in the past. Such efforts are necessary in order to develop
more powerful, if only middle range, theories of innovation.
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