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Amitai Etzioni is Professor of Sociology at Columbia University and Director of the Center for Policy Research. His other books include Political Unification and The Active Society: A Theory of Societal and Political Processes.Excerpt. © Reprinted by permission. All rights reserved.:
COMPLIANCE AS A COMPARATIVE BASE
A DEFINITION OF COMPLIANCE
Compliance is universal, existing in all social units. It is a major element of the relationship between those who have power and those over whom they exercise it (Simmel, 1896). Despite its universality, it has been chosen as a base for this comparative study because it is a central element of organizational structure. The emphasis on compliance within the organization differentiates the latter from other types of social units. Characteristics of organizations such as their specificity, size, complexity and effectiveness each enhances the need for compliance. And in turn, compliance is systematically related to many central organizational variables.
Compliance refers both to a relation in which an actor behaves in accordance with a directive supported by another actor's power, and to the orientation of the subordinated actor to the power applied.
By supported we mean that those who have power manipulate means which they command in such a manner that certain other actors find following the directive rewarding, while not following it incurs deprivations. In this sense, compliance relations are asymmetric (or "vertical"). But it is not assumed that the subordinates have no power, only that they have less.
The power-means, manipulated to support the directives, include physical, material, and symbolic rewards and deprivations. Organizations tend to allocate these means systematically and strive to ensure that they will be used in conformity with the organizational norms.
The orientation of the subordinated actor can be characterized as positive (commitment) or negative (alienation). It is determined in part by the degree to which the power applied is considered legitimate by the subordinated actor, and in part by its congruence with the line of action he would desire. We refer to this orientation, whether positive or negative, as involvement in the organization. In sum, there are two parties to a compliance relationship: an actor who exercises power, and an actor, subject to this power, who responds to this subjection with either more or less alienation or more or less commitment.
The next task is to use compliance as here defined to develop an analytical base for the classification of organizations. This is done in three steps. First, three kinds of power are differentiated; then, three kinds of involvement are specified; and finally, the associations of kinds of power with kinds of involvement are indicated. These associations -- which constitute compliance relationships -- then serve as the basis of our classification of organizations.
THREE KINDS OF POWER: A COMPARATIVE DIMENSION
A Classification of Power
Power is an actor's ability to induce or influence another actor to carry out his directives or any other norms he supports. Goldhamer and Shils state that "a person may be said to have power to the extent that he influences the behavior of others in accordance with his own intentions." (p. 171). Of course, "his own intentions" might be to influence a person to follow others' "intentions" or those of a collectivity. In organizations, enforcing the collectivity norms is likely to be a condition determining the power-holder's access to the means of power.
Power positions are positions whose incumbents regularly have access to means of power. Statements about power positions imply a particular group (or groups) who are subject to this power. For instance, to state that prison guards have a power position implies the subordination of inmates. In the following analysis we focus on power relations in organizations between those higher and those lower in rank. We refer to those in power positions, who are higher in rank, as elites or as organizational representatives. We refer to those in subject positions, who are lower in rank, as lower participants.
Power differs according to the means employed to make the subjects comply. These means may be physical, material, or symbolic.
Coercive power rests on the application, or the threat of application, of physical sanctions such as infliction of pain, deformity, or death; generation of frustration through restriction of movement; or controlling through force the satisfaction of needs such as those for food, sex, comfort, and the like.
Remunerative power is based on control over material resources and rewards through allocation of salaries and wages, commissions and contributions, "fringe benefits," services and commodities.
Normative power rests on the allocation and manipulation of symbolic rewards and deprivations through employment of leaders, manipulation of mass media, allocation of esteem and prestige symbols, administration of ritual, and influence over the distribution of "acceptance" and "positive response." (A more eloquent name for this power would be persuasive, or manipulative, or suggestive power. But all these terms have negative value connotations which we wish to avoid.)
There are two kinds of normative power. One is based on the manipulation of esteem, prestige, and ritualistic symbols (such as a flag or a benediction); the other, on allocation and manipulation of acceptance and positive response (Parsons, 1951, p. 108). Although both powers are found both in vertical and in horizontal relationships, the first is more frequent in vertical relations, between actors who have different ranks, while the second is more common in horizontal relations, among actors equal in rank -- in particular, in the power of an "informal" or primary group over its members. Lacking better terms, we refer to the first kind as pure normative power, and to the second as social power. Social power could be treated as a distinct kind of power. But since powers are here classed according to the means of control employed, and since both social and pure normative power rest on the same set of means -- manipulation of symbolic rewards -- we treat these two powers as belonging to the same category.
From the viewpoint of the organization, pure normative power is more useful, since it can be exercised directly down the hierarchy. Social power becomes organizational power only when the organization can influence the group's powers, as when a teacher uses the class climate to control a deviant child, or a union steward agitates the members to use their informal power to bring a deviant into line.
Organizations can be ordered according to their power structure, taking into account which power is predominant, how strongly it is stressed compared with other organizations in which the same power is predominant, and which power constitutes the secondary source of control.
Neutralization of Power
Most organizations employ all three kinds of power, but the degree to which they rely on each differs from organization to organization. Most organizations tend to emphasize only one means of power, relying less on the other two. Evidence to this effect is presented below in the analysis of the compliance structures of various organizations. The major reason for power specialization seems to be that when two kinds of power are emphasized at the same time, over the same subject group, they tend to neutralize each other.
Applying force, for instance, usually creates such a high degree of alienation that it becomes impossible to apply normative power successfully. This is one of the reasons why rehabilitation is rarely achieved in traditional prisons, why custodial measures are considered as blocking therapy in mental hospitals, and why teachers in progressive schools tend to oppose corporal punishment.
Similarly, the application of renumerative powers makes appeal to "idealistic" (pure normative) motives less fruitful. In a study of the motives which lead to purchase of war bonds, Merton pointed out that in one particularly effective drive (the campaign of Kate Smith), all "secular" topics were omitted and the appeal was centered on patriotic, "sacred" themes. Merton asked a sample of 978 people: "Do you think that it is a good idea to give things to people who buy bonds?"
Fifty per cent were definitely opposed in principle to premiums, bonuses and other such inducements, and many of the remainder thought it a good idea only for "other people" who might not buy otherwise. (1946, p. 47)
By omitting this [secular] argument, the authors of her scripts were able to avoid the strain and incompatibility between the two main lines of motivation: unselfish, sacrificing love of country and economic motives of sound investment. (Ibid., p. 45)
It is possible to make an argument for the opposite position. It might be claimed that the larger the number of personal needs whose satisfaction the organization controls, the more power it has over the participants. For example, labor unions that cater to and have control over the social as well as the economic needs of their members have more power over those members than do unions that focus only on economic needs. There may be some tension between the two modes of control, some ambivalence and uneasy feeling among members about the combination, but undoubtedly the total control is larger. Similarly, it is obvious that the church has more power over the priest than over the average parishioner. The parishioner is exposed to normative power, whereas the priest is controlled by both normative and remunerative powers.
The issue is complicated by the fact that the amount of each kind of power applied must be taken into account. If a labor union with social powers has economic power which is much greater than that of another union, this fact may explain why the first union has greater power in sum, despite some "waste" due to neutralization. A further complication follows from the fact that neutralization may also occur through application of the "wrong" power in terms of the cultural definition of what is appropriate to the particular organization and activity. For example, application of economic power in religious organizations may be less effective than in industries, not because two kinds of power are mixed, but because it is considered illegitimate to use economic pressures to attain religious goals. Finally, some organizations manage to apply two kinds of power abundantly and without much waste through neutralization, because they segregate the application of one power from that of the other. The examination below of combat armies and labor unions supplies an illustration of this point.
We have discussed some of the factors related to the tendency of organizations to specialize their power application. In conclusion, it seems that although there can be little doubt that such a tendency exists, its scope and a satisfactory explanation for it have yet to be established.
THREE KINDS OF INVOLVEMENT: A COMPARATIVE DIMENSION
Involvement, Commitment, and Alienation
Organizations must continually recruit means if they are to realize their goals. One of the most important of these means is the positive orientation of the participants to the organizational power. Involvement refers to the cathectic-evaluative orientation of an actor to an object, characterized in terms of intensity and direction.
The intensity of involvement ranges from high to low. The direction is either positive or negative. We refer to positive involvement as commitment and to negative involvement as alienation. (The advantage of having a third term, involvement, is that it enables us to refer to the continuum in a neutral way. Actors can accordingly be placed on an involvement continuum which ranges from a highly intense negative zone through mild negative and mild positive zones to a highly positive zone.
Three Kinds of Involvement
We have found it helpful to name three zones of the involvement continuum, as follows: alienative, for the high alienation zone; moral, for the high commitment zone; and calculative, for the two mild zones. This classification of involvement can be applied to the orientations of actors in all social units and to all kinds of objects. Hence the definitions and illustrations presented below are not limited to organizations, but are applicable to orientations in general.
Alienative Involvement -- Alienative involvement designates an intense negative orientation; it is predominant in relations among hostile foreigners. Similar orientations exist among merchants in "adventure" capitalism, where trade is built on isolated acts of exchange, each side trying to maximize immediate profit (Gerth and Mills, 1946, p. 67). Such an orientation seems to dominate the approach of prostitutes to transient clients (K. Davis, 1937, pp. 748-49). Some slaves seem to have held similar attitudes to their masters and to their work. Inmates in prisons, prisoners of war, people in concentration camps, enlisted men in basic training, all tend to be alienated from their respective organizations.
Calculative Involvement -- Calculative involvement designates either a negative or a positive orientation of low intensity. Calculative orientations are predominant in relationships of merchants who have continuous business contacts. Attitudes of (and toward) permanent customers are often predominantly calculative, as are relationships among entrepreneurs in modern (rational) capitalism. Inmates in prisons who have established contact with prison authorities, such as "rats" and "peddlers," often have predominantly calculative attitudes toward those in power (Sykes, 1958, pp 87-95).
Moral Involvement -- Moral involvement designates a positive orientation of high intensity. The involvement of the parishioner in his church, the devoted member in his party, and the loyal follower in his leader are all "moral."
There are two kinds of moral involvement, pure and social. They differ in the same way pure normative power differs from social power. Both are intensive modes of commitment, but they differ in their foci of orientation and in the structural conditions under which they develop. Pure moral commitments are based on internalization of norms and identification with authority (like Riesman's inner-directed "mode of conformity"); social commitment rests on sensitivity to pressures of primary groups and their members (Riesman's "other-directed"). Pure moral involvement tends to develop in vertical relationships, such as those between teachers and students, priests and parishioners, leaders and followers. Social involvement tends to develop in horizontal relationships like those in various types of primary groups. Both pure moral and social orientations might be found in the same relationships, but, as a rule, one orientation predominates.
Actors are means to each other in alienative and in calculative relations; but they are ends to each other in "social" relationships. In pure moral relationships the means-orientation tends to predominate. Hence, for example, the willingness of devoted members of totalitarian parties or religious orders to use each other. But unlike the means-orientation of calculative relationships, the means-orientation here is expected to be geared to needs of the collectivity in serving its goals, and not to those of an individual.
As has been stated, the preceding classification of involvement can be applied to the orientations of actors in all social units and to all kinds of objects. The analysis in this book applies the scheme to orientations of lower participants in organizations to variou...
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