Problem: "Derive and Discuss the Principles of Administration and show how best to apply them to service conditions."
Introduction
1. Occasion seems to exist for an attempt to clarify and systematize our ideas in this direction and to reach some acceptable conclusion as to the general nature of the fixed guides by which executive responsibility may most surely be discharged with success. The fact that military organizations are preeminently the most favorable fields for the exercise of such administrative principles as may be found to exist is perhaps sufficient justification for offering the considerations which appear in this paper. In the quest for information on this subject preliminary to its discussion I was greatly disappointed to find that little was available. There were plenty of misleading titles in the indices consulted, but the books and treatises under the caption "Administration" usually discussed "Organization." There is, evidently, considerable confusion as to the meaning and application of the terms or at least an unsatisfactory differentiation. I am not sure that in the following discussion I will not be guilty of the same confusion of ideas of which I am disposed to accuse others; but, if so, it will not be the fault of Captain W. L. Rodgers, U. S. N., whose paper on the subject I have read carefully and consulted frequently. Rather will it be explainable as concerning those points on the border-line of the subject where they blend almost imperceptibly into equally border-line points of organization.
To be sure the question of "Administration" is inextricably intertwined with that of organization for nothing that is not organized can be administered and nothing can be permanently organized that is not susceptible of administration. Yet the terns are not interchangeable and should not be confused as they seem generally to be if many articles on these subjects are any criterion. In spite of this interrelation they are terms distinguishing distinct things and should be so separated in discussion.
Nothing conduces to this end so much as to define one's premises and it seems well, therefore, at the outset to express my understanding of the key words as a basis for what is to follow.
Definitions of Key Words
2. The term "Administration" as comprehended in the subject of this paper and by which discussion will be guided may be defined as: "The act (or acts) of administering; direction; management; government of public affairs; the conduct of any office or employment" (Century Dictionary).
While the term "Administration" is defined as above, narrowly, it always carries with it the idea of accomplishing its ends through the mediation of agents of various degrees and numbers, according to the kind and size of the organization, in behalf of the central figure—the integrating factor—the coordinating unit who in turn represents the public directly.
"The administration of government, in its largest sense, comprehends all the operations of the body politic, whether legislative, executive or judiciary; but in its most usual and perhaps in its most precise signification, it is limited to executive details, and falls peculiarly within the province of the executive department." (Hamilton, Federalist, No. 72.)
"Sometimes (however) the term 'Executive,' which strictly means an authority which puts the laws in force is opposed to the term 'Administration' which (as above stated) implies the performance of every other sort of immediate government act…" (S. Amos, Sci. of Pol., p. 99). It is this latter meaning which is accepted for present purposes.
3. "Organization" is the act of arrangement or an arrangement of related interdependent enterprises into a group with such system as will enable, and make it possible to compel, each to cooperate harmoniously with the others in the accomplishment of a common end.
There are two processes by which organization is attained— organization by accretion, i.e., from without, as the growing of separate things into one; organization by differentiation, i.e., from within, as exemplified in the biological development of the human race from a single cell. In the creation, upbuild and maintenance of most institutions both of these processes are operative.
Here we arrive at differentiation of the above terms by way of recapitulation. Organization is the substance; administration the form. Organization is the instrument; administration the method of employing it—the integrating, guiding and energizing force.
Coming now to the term "Principle" I find it defined in the Century Dictionary as: "That which is professed or accepted as a law of action or a rule of conduct; one of the fundamental doctrines or tenets of a system…" Expressing it in another way, "Principle is that on which something else depends; and this both for an original law and for an original element" (Sir W. Hamilton, Reid, Note A, E, 5, Supplementing Dissertation) and thus we see that there are both regulative and constitutive principles. It is only by very careful observation that we are able to extricate precisely the general law which is the expression of the regulative principles and yet it is the given task not only to do this but to apply them.
Derivation and History of Development
5. In the beginning, of which the pioneer period of the United States may be taken as a near example, each individual worked in his own interest and was all sufficient unto himself for the necessities of life. There was no relation or interdependence between individuals except as the family came into existence and supplied the source from which the administrative idea was derived, the male parent assuming authority.
Then came the stage in development which was marked by an accentuation of ability in one or another of the personal enterprises supplying the needs of life and this change was accompanied by barter. Pari passu with the extent to which it was possible to make such personal arrangements, attention to the barterable article subsided on the side of custom (patronage) in the interest of giving more time and energy to the production of a barterable commodity or the development of a barterable ability of its own. And so with the increase of population and the more complicated demands of existence specialization in the social body progressed until each art or undertaking was represented by so many that competition supervened.
Then came the union of forces to supply the growing demand— a banding together of units for complete production in themselves without interdependence other than in certain obvious economies to be mutually realized, such as common workshop and business representative.
Following this came the division of the task among the members of the group wherein each unit of work constituted a part of the whole only and thus the idea of specialization was renewed, the size of groups increased, organization became imperative and administrative systems were required. But the underlying philosophy in the old system of specialization was laissez-faire. Each individual was left with the responsibility for doing his particular job practically as he thought best, with little or no help from the management. To-day a movement is on foot to bring the workmen—the individual out of this isolation and teach him to perform his part in accordance with the rules and laws of a science or art.
6. By way of recapitulation we may construct a verbal triptych:
First, the individual, standing clear, sufficient unto all his simple needs, but beginning to develop a special ability.
Second, the individual lost in a maze of associated effort to meet communal requirements.
Third, the individual regaining his identity in training his abilities to the point of highest efficiency, while at the same time individual effort is being welded—not merely in associated, but interdependent and cooperative work.
Now that the last of these pictures is on the screen we will at all times in the extension of civilization have in our midst examples of each one of these several successive steps in development.
7. The impelling influences to changed conditions in performing the world's work and meeting the growing demands and economic problems were increased efficiency and more rigid economy—the minimizing of waste, which were only to be had by the amalgamation of similar but interdependent industries or enterprises into corporate bodies under one management, calculated to secure harmonious cooperation in the accomplishment of a given end.
8. The principles of organization and administration have not been newly discovered; they have been rediscovered as is the history of so many other unwritten fundamental laws governing the various relations in life. They were realized and given heed in the early Christian era and probably long before. Since then they have again exercised their influence and slipped into disuse beneath the surface of the bubbling caldron only to reappear and force themselves as a panacea to survival upon the struggling world.
In only one type of organization have they held uninterrupted sway—the military, and from this civil institutions have frequently derived their inspiration when formulating systems of administration.
The growth and effect of administrative machinery are attributed therefore to the enduring truth of—
The Evolved Broad Principles of Administration
9. "What deep joy fills the mind of the philosopher when, throughout apparently inextricable confusion, he can trace some great principle that governs all events, and that they all show forth." (Channing, Perfect Life, p. 109.)
Successful administration is not found in "the personal or individual achievements of any one man standing alone and without the help of those around him." It is found in that type of cooperation in which each member of an organization "performs the function for which he is best suited (preserving his individuality and supreme in his particular function)…and yet is controlled by and must work harmoniously with other men " (Taylor). Such harmony of action, however, is not a happening of chance or without basis. It is assignable to a certain philosophy which has been wrought out of old knowledge so collected, analyzed, grouped and classified that it constitutes a science. It is due to a mechanism, which has gradually evolved and each element of which is characterized a principle. Let us separate and examine the principles.
The Primary or Constitutive Principles
First. A single mind in control from which the plan of action and the directing authority must emanate.
Second. Subdivision of delegated authority in conformity with the branches of the organization.
Third. The recognition of areas of discretion corresponding to subdivisions of authority but within the range of loyalty to the end in view (mission).
Fourth. The determination of a mission and the promulgation of a general scheme or plan for its
attainment.
Fifth. The exercise of a system of inspection.
These are formulated in deference to the motives which study and experience show to influence men. It is true that laws formulated on such a basis, owing to the fact that the very complex organism—the human being—is concerned, "are subject to a larger number of exceptions than is the case with laws relating to material things." And yet the above principles are sufficiently broad to give play to flexibility. Moreover, "laws of this kind which apply to a large majority of men unquestionably exist, and when clearly defined are of great value as a guide in dealing with men."
10. A Single Controlling Authority and Subdivision of Delegated Authority.—The purpose of organization and administration as shown under the history of the development of the idea was increased efficiency and greater economy and this could only be attained by concentrating under the leadership and harmonizing force of a directing centralized will. The provision for this office is the predominating feature of all modern organization and the administrative principle it represents is given place throughout the lower reaches of every organization. Each division and subdivision has its head, and the descent of authority and assent of appeal passes through the subordinate heads of each step in the organization from or to the highest executive authority in the institution, although the head of each division or branch exercises authority over the subordinates in his branch of the establishment to whom he entrusts the execution in detail of the separate task, in the general plan, assigned him. He also assumes responsibility for discipline and results within the field of his supervision, exacting obedience on the one hand and guiding the activity of his immediate subordinates in such wise as will contribute most surely to the realization of the object decided upon in accordance with the plan formulated and transmitted to his subordinates by the executive chief, which in turn is dictated by the policy adopted by the management in its deliberations.
11. The object underlying this principle of administration is coordination and its mainstay is discipline. Having subjugated the spirit of subordinates to the influence of the guiding intelligence it remains to impose a common mission and advise as to the plan for reaching the objective. In fulfilling the conditions of this latter requirement where many divisions and subdivisions of work are to be coordinated it may be necessary to go into considerable detail concerning the various tasks to be accomplished, even to the last link in the chain of administrative consequence. But in the distribution of tasks of progressively decreasing importance a double precaution must be exercised that each subordinate in the system of organization is not charged with greater responsibility than he can efficiently supervise—nor yet, a task smaller than his capabilities. The one error of judgment defeats efficiency; the other defeats economy.
When professional capabilities and professional character are at fault in a subordinate or if for any cause inadequacy to a reasonable standard of productivity develops and results fall short of expectations or needs, there are but two ways out of the situation, depending upon the nature and degree of the shortcomings. Not by the meddling of a superior in duties which belong to another, but by instruction or by elimination of the inadequate individual and the substitution of one more capable—instruction where removal is impossible or there is hope of developing efficiency, "but for downright incapacity," willful refractoriness and conscious disloyalty "there is only one remedy and that is removal from office." In this connection, where it is merely a question of incompetency, there is opportunity and need for the practical application of the idea that relatively few individuals are utterly useless; that every one has a particular niche in which he will work to the best advantage of himself and his employer; and that often an individual is wrongly placed on the occasion of his initial employment. If an employee is inadequate in his first assignment it may be found that he will give superior service in a second or third position, and it is worth the trial in the interest of justice to the individual (that he be not condemned off-hand) and in the interest of human conservation and economy.
12. Area of Discretion.—As seen, the scheme of organization provides for lesser leaders—heads of divisions and subdivisions. It is here that the opportunity for so-called areas of discretion is found and it is necessary in the interest of efficiency and economy that advantage be taken of that opportunity to give play to initiative, which can be a distinct asset. The theory of the necessary existence of areas of discretion lies in the fact that unforeseen conditions and problems incident and collateral to the business in hand are continually arising in each branch of the work and must be met and solved without avoidable recourse to the higher administrative head. It also lies in the fact that the methods to be adopted in accomplishing a given part of a common task should ordinarily be left as far as possible in the hands of the division head. There is sound reason for this on the side both of the superior and of the subordinate. In the case of superiors, while they may reserve the right to directly control as many details as they can efficiently handle, any undue interference in the field of responsibility assigned to subordinates absorbs their (the superiors') energies in illegitimate channels at the expense of their proper duties and thus jeopardizes the effectiveness of the general system. Such action upon the part of superiors constitutes confiscation of prerogatives and misappropriation of time and abilities and energy.
In the case of subordinates the consciousness that they are being held responsible for results alone and that their hands are free to direct the activities of their respective branches according to their judgment and ingenuity engenders a healthful sense of importance to the big end in view and inspires an interest and loyalty which are valuable assets of the institution.
In the one case the central administrative hand is infinitely strengthened by confining himself to the conceded limits of his office. In the other case repeated interference from above dampens ardor and reduces service to pure perfunctoriness, if nothing worse.
It is of course sometimes, in emergency, necessary to assume temporary control outside of the area of superior action which the administrator may have outlined for himself, but occasion for this should only arise in an emergency during the absence of the subordinate concerned or when the skill and reliability of a subordinate are in question.
Similar to the limitations of central administrative activity, the area of discretion of subordinates is also limited. It is limited to "the right to do right as you (the subordinate may) please"— the right to act and exercise judgment within the range of loyalty to the policy and mission and plans of the institution with which he is identified.
13. A Common Object and General Scheme.—Here in turn and finally we come to the thing for which organization and administration are brought into being and perfected—a common purpose or a common object; the something of mutual concern in the interest of which cooperation is demanded. Herein is found the force that binds superior and subordinate. The underlying basis of liberty of action in subordinate positions is "loyalty to the scheme and this of course demands that there be a scheme to be loyal to" and that the scheme be intelligibly communicated through all the ramifications of the organization.
14. Inspection.—Inspection is a procedure upon which, as a stimulant, the continuous effective and guiding activity of the principles of administration in great part depend; and yet, as it is an important part of every administrative system it will be discussed at this time and may itself be accounted a principle, as so much of success rests upon its proper exercise. It is one of the sources for the gratification of the "honor-motive" in esprit de corps, to be discussed later; it stimulates a persistent positive activity and defeats that otherwise progressive passive lapse from established standards of efficiency and economy; it maintains the objective of the administration clearly before the members of the organization; it constitutes a channel to publicity; it furnishes comparisons which inspire the manager to seek to improve methods and enable him to alter his standards of maximum and minimum performances, both for the individual and for the several branches of the organization; and it brings to bear on the administration a vision and understanding not dulled by the familiarity incident to daily contact with the subject or matter, but acute to defects and praise-worthy features alike and capable of discerning opportunity for improvement.
15. The agencies of inspection are not limited to a formal office and none should be neglected. "It is not enough for the head of a system of administration to express his resolution in regard to a proposed action" (Rodgers, p. 17). In addition the execution must be supervised to insure active fidelity to the plan and in small institutions the principal himself will be able to fill the office unaided. He must, however, always be a party (albeit an independent party) to the function of inspection and in this fact is emphasized the prerequisite that the administrator should be familiar with the technical details of his organization.
16. The condition of the relations between interdependent internal branches of the organization and between those and the interested public; the periodic conference of heads of divisions together with the chief and their daily reports to him concerning unusual or important matters or occurrences; the statistical comparative study of other similar administrations; and the use of publicity are other forms of inspection automatic in their assistance to the administration. But, valuable as those are in their limited scope, none of the foregoing contributions to the principle of inspection relieve the urgency of the demand in large institutions for the exercise of the function by an inspection office or staff which shall be independent of the strictly executive branch and beyond the control of its subordinate members, and through which the administrator may keep in touch with every branch of his responsibility.
Conditions upon Which the Principles of Administration Depend
The Secondary or Supporting Principles
17. "The mechanism of management must not be mistaken for its essence, or underlying philosophy. Precisely the same mechanism will in one case produce disastrous results and in another the most beneficent. The same mechanism which will produce the finest results when made to serve the underlying principles of scientific management will lead to failure and disaster if accompanied by the wrong spirit in those who are using it." (Taylor, p. 128.)
Though this truism was thus expressed by one of the foremost exponents of scientific management, it is in its very neglect to give adequate practical recognition of the fact that scientific management has failed. Many of those using it have displayed too single-minded an interest in material ends—have regarded men as mere machines, and have too often overlooked the human factor involved, which, "as in everything, is essential." Applied psychology is a closed book to them and to most administrators, and the continuance of this omission in the education and preparation to handle men should not be permitted. In these bounding days of democracy and liberalism its neglect is a danger to military as well as industrial efficiency. The necessary existence of the primitive sections of military regulations operates to remove incentive to study human material and suggests the desirability that as a partial offset to the tendency to neglect the nature of man the subject be given place in the curriculum designed to make officers.
The Spirit of the Administrator.—Laws, rules and orders are important and unavoidable but they should be limited to such as may be absolutely necessary without tying the hands of the governed too closely, and human nature must be taken into account in their formulation. Too many rules produce confusion and invite disobedience and, moreover, rules do not of themselves accomplish good administration. The character of the administrator determines that. The personal element comes in here and is reflected in the administration. The administration is the gauge of discipline and the degree of discipline is the expression of the quality of the personal element. The wish and tendency of the normal individual is to do right and there is little fickleness about such a material thing as an organization. When affairs go wrong, therefore, it is very much more apt to be the administration—not the organization which needs improvement or correction.
18. There are certain underlying conditions which emanate from the spirit of the man (administrator) upon which successful administration depends. This is shown not only in his bearing towards his subordinates and the manner in which he approaches the functions of discipline and inspection, but the consistency which he observes in his personal conduct and administrative control of others.
19. Forms of Ceremony.—The recipient of authority in any system of administration must not be left unaided in that authority. Reference is not here made to rules and regulations, which should only be employed as a last resort, but to moral force which is expressed in the widely observed influence of one man over another, based on a conception of greater ability in one by the other—an unconscious intellectual assent to superiority, and which is preserved by certain forms of ceremony tending to exalt the prestige of the executive head—some, the outward show, well recognized; the nature of others less appreciated.
20. The former consist of artificial aids—the stringent prescription of forms of respect in military life such as differences in uniform, the salute and the guard of honor, and in civil life the etiquette and courtesies demanded of one (the effect of which is sometimes enhanced by little difficulties of access) in his intercourse with an official superior. These are not vain show. They are customs, the observance of which is obedience in spirit and "they conduce to discipline as conventional good manners…"
21. The other forms of ceremony which are conditions to the continued operation of the dormant administrative principles involve—qualities of temperament, such as patience and self-control; qualities of mind, such as consistency, self-reliance and a lively sense of justice; habits of conduct, such as dignity and reserve of bearing, though not stripped of "the amenities of cordiality or the cultivation of good cheer" within proper limits; and the practice of keeping one's own counsel to the extent at least that one's deliberations, doubts and official acts may not fall "unnecessarily under the scrutiny of one's subordinates." There should be no appearance of seeking approval or of dependence upon the views of subordinates, although encouraging them to express their opinions. The aim should be rather, to lead them to seek advice and to regard the administrator's invitation to share his counsel as a privilege; to develop that mutual confidence—the feeling that they are all working for the same end and will share in the results—which should exist between a leader and his men.
Every administrator of large institutions who does not come directly in contact with a majority proportion of the personnel, particularly the lower ranks must be careful in what manner he indicates his disposition of kindliness toward them. It is to be presumed that he will at least deal with them along the line of plain justice. His personal and official acts at the beginning should demonstrate his intentions and his consistency in that direction should be a matter of course. There should be no demagogic appeal for popularity by an offer to adjust all difficulties. The assurance is but "a flash in the pan" in the direction of promoting contentment. The attempted execution of the promise breeds unrest and ultimately discontent—the very opposite to what was intended. But this is not all. The offer is translatable into an invitation to insubordination, which, in the first accounting, brings trouble and difficulties in the path of those upon whom he depends for the efficiency of the subdivisions of the organization and, in the last accounting, brings trouble and ignominy upon himself— if not because of the failure of his administration, then because he is brought face to face with the impossibility of redeeming his promise—because sooner or later he is discovered as unable to stand with his head straight and his hands clean by the test of his own estimate of a "square deal." In one grand stroke such a man announces himself a panacea for all ills and little ills at that, which increases their number, when he might to more purpose leave some of these little ills for the subordinate leaders to straighten out and fair infinitely better in so doing. "You can fool some of the people all of the time and all of the people some of the time but you can't fool all of the people all of the time." To announce such a purpose as that of which I have been speaking may be justified in politics but it is hardly far seeing honesty or conducive to continued smooth running in an administration.
22. These ceremonial elements and ceremonial "don'ts" indispensable to successful control of an organization represent the spirit and are inseparable from the practical form of the function. They may seem at variance with the prevalent spirit of democracy, but there is that within the human nature of everybody, no matter what his station in life which is favorably excited by a certain degree of pomp and show, and when this is governed by tact and discrimination (without bombast) it may be exercised effectively within the bounds of toleration and well short of resentment by even the strongly socialistic. The differentiation of self need not be obtrusive and while preventing that fatal suspicion among subordinates that the leader is no better than they, it "Secures an ascendency which would not otherwise be procurable."
23. Discipline.—As for discipline, no individual can afford to shy at it and no institution, however democratic, can neglect it. Neither the individual nor the group can succeed without it. The word is popularly and erroneously supposed to mean the sacrifice of private judgment—of a conceived right to do as one pleases. What it really means is a full-grown will-power (one of man's greatest, but most neglected, possessions), self-control, and a fitness to live and work among one's kind, and it constitutes the basis of that team-work which accomplishes big results, in that it makes it possible for each individual to contribute his full quota to the general prosperity. The impersonal attitude of mind toward offenders in the exercise of disciplinary authority is extremely important—not only as being the proper attitude, but as a means to easing discipline and robbing punitive measures of their undesirable sting. Most men who dance are willing to pay the fiddler when their attention is called to the debt, but in inflicting punishment it should be done with the idea of teaching a-wholesome lesson and in such a way as to deny the victim any possibility of raising the thought that authority is arbitrary and tinged with animus or of engendering a lingering sense of resentment and an idea of persecution. Past offences cannot be corrected; future offences can be prevented. Punishments should be awarded solely to minimize the recurrence or commission of the same or similar offences by the same or other individuals.
24. Regulations and Rules.—The administrator's relation to the established order, and rules and regulations necessary in any management of affairs exhibits the rational of the impersonal attitude of mind. He is not the government or the management (the Board of Governors or Directors in a corporation). He is but the representative thereof—in such rules as he may promulgate himself by virtue of authority vested in him as well as in those placed in his hands as from higher authority. In the first case his rules are in behalf of the management as certainly as if prepared by the management itself. Such rules as soon as established become the rules of the management, whether specifically approved by it or not and any infraction of them constitutes an offence against the government or management and not an offence against the person of the administrator. It is true that some offences are so flagrant that the emotion of anger is difficult to control, but anger has no place in the official relation of an administrator and his subordinates and it had better be given opportunity to subside before punishment is adjudged if justice is the aim. "It is easier to maintain law and order where men look upon the law as a friendly guide than where they see in it only brute force."
25. The Spirit of Inspection.—Among many individuals the duty of inspection seems to inspire in them a new and strange spirit—new in the sense that it is abnormal to the degree of being antagonistic to their native feelings for fellow officers; strange in that they seem to be burdened with the necessity of unearthing some culpable error or omission, instead of looking for evidences of efficiency and taking note of the features in which there seem opportunity or the possibility of improvement. They seem to become possessed of the idea that the fulfillment of their task— the mark of their efficiency in the duty imposed is unfavorable criticism. They make their office an unpleasant instead of a grateful duty—a thankless instead of a helpful duty—a source of irritation instead of an encouragement. It all depends upon the attitude of mind in which the duty is undertaken and the tasks approached—the interpretation of the purpose of the office, whether or not it is a successful inspection and an element in fostering administrative cohesion and loyalty. In the one case it puts the head of an administration and all under him (in the field to be inspected) on the defensive and resistant in the direction of the inspector's inquiry. In the other case it brings to the inspector's assistance the cooperation of the inspected and an openness and frankness in all matters of concern to the inspector. Such a reception would be accorded because of the hope of deriving the benefit of an eye fresh to the task of ferreting out defects overlooked by the too familiar eye of those who are constantly on the ground and therefore without perspective—because of the hope of eliciting approval or suggestions for improvement. It is the larger view which should be taken by the inspector and he will then find himself in the best strategic position to carry out all the requirements—even the disagreeable, if so they be— of his office.
26. Consistency in Policy and Executive Acts.—There can be no question of the importance of consistency—in policy and executive acts—to successful administration. Efficiency to the extent that it rests upon contentment and sound progress cannot be secured without consistency for that idea reflects certainty of aim and brings mutual understanding, which is at the bottom of cooperation. It makes little difference what a given policy may involve; if consistently followed, progress and development are inevitable. It makes little difference how rigid the discipline—how taut the ship; if the discipline is consistent, it will be a happy institution—a happy ship. Everything is run to-day as it was yesterday and will be to-morrow and all hands know what to expect. At all times everybody knows what can and what cannot be done—what is expected of him and what somebody else will do, and can adapt himself accordingly.
27. Esprit de Corps.—Thus far the physical and intellectual and moral elements, the latter as far as the principal is concerned, constituting and supporting administration have been briefly discussed. There remains to be considered the collective moral element represented by the personalities of the subordinate members of the organization—the agency by which the administrative system is vitalized. The moral element exerts a most important influence for weal or woe, but usually the former under normal conditions and when the natural spirit of men is not perverted by extraneous interference. It is esprit de corps or, in psychology, a force known as "motor-activity"—"the self organization of groups" which lies at the bottom of this collective moral element. It is the primitive disposition commonly manifested among men in association—"the blest tie that binds," and has everywhere developed a code of "unwritten law and traditions more potent than statutes and regulations in welding into a consistent whole the somewhat incongruous elements" that go to form any organization such as a large industrial institution or the army or the navy. "It means a revival of the principle of cooperation as against the principle of competition"—of unity of effort as against "the disrupting tendencies of opposing or selfish interests"—and is exhibited in the movement which is tending naturally towards integration, federation and scientific management.
It does not embrace trade unionism which is essentially artificial—nor is it in any sense altruistic. Dr. Colin Scott argues, as abstracted by Ward, that "the every day experience of life shows that the efficiency of a man as a social animal or as the member of a community depends less upon his individual attainments than upon his power of adapting himself to his social environment."
Within well-recognized bounds the cult of individualism is important as a stimulus to the fullest development of the best possibilities of one's native characteristics and capabilities, but it loses its value and means worse than nothing if it goes too far and does not in the end make for a more intelligent and harmonious collectivism—if it becomes translated into license and fails in deference to that essential community force which tends to hold every one in some relation to others and makes one's every act of greater or less negative or positive consequence to one's associates.
28. Esprit de corps is engendered by two motives, subscribing to the above observation—the desire to perform efficient service to one's group and the desire to receive appreciation. If, as has always been recognized, esprit de corps is an enormous power in the interest of efficiency, binding associated individuals closely to each other and to the organization, and if the desire to do and the "honor-motive" are the two great motor-activities leading to esprit de corps, then those two motives should be planted and stimulated in the microcosm of every organization as valuable aids to their effective administration.
29. But when developed through the agency of these motives how is esprit de corps to be preserved? Even in this subtle commodity the principle of reciprocity—the give and take of life—is operative. The benefit of esprit de corps is an unconscious contribution to the welfare of the organization at the hands of the organization's collective membership, yet the "sympathy, enthusiasm, devotion and jealous regard for the honor of the body as a whole" which it implies must be paid for. This is best done with the strengthening sustenance (also subtle) of kindly, though in no sense patronizing, attention by the administrator to the interests of the individual members, lest esprit de corps become transmuted into the trade union spirit. It must be nourished by a gratification of the underlying motives to its origin and by tangible benefits appearing to emanate and actually emanating directly from the increased efficiency. It must be nourished by such a manifest personal concern for the happiness, contentment and progress of the men as will offer a helping hand, should occasion require, and lead the individual to feel that he is an important part of the whole and a partner in its success.
30. Publicity, as another condition upon which the continued activity of the principles of administration depend, ranges itself with esprit de corps. Esprit de corps is not devoid of the possibilities or even likelihood of fault and it may operate against efficiency unless carefully watched. It is the dangerous disposition it embodies, as a reflection of the perfectly proper administrative protection of individuals, to view loyalty in too personal and narrow a manner and to shield the unworthy, which must be guarded against. The influence of publicity serves this purpose. Publicity of one sort or another helps to place the object of our loyalty in relief and give it perspective so that false esprit de corps becomes discernible and the threatened injury to the cause, in which all must share, is made clear.
The Art of Applying Administrative Principles
31. The fundamental principles of administration although derived from military institutions are applicable to all kinds of human activities, from our simplest individual acts to the work of our great corporations, which call for the most elaborate cooperation—even to all social activities. The theory of their application is based upon the idea of unquestioned authority on the one hand and willing subordination on the other, with hearty cooperation throughout. This theory is just beginning to be understood while the function itself has been a gradual evolution over a long period of years. However, be this as it may, no administrator can afford to overlook the social democratic tendency of the times, which grafted on the long existing spirit consequent upon "the doctrine of the political equality of all men" makes his task more delicate. He must be sensible of the real existence of this tendency as something to be reckoned with and adjust his methods accordingly. It is in this indirect way and to this extent only that cognizance can be given to the prevailing idea of social-democracy in administrative operations, for its principles cannot be harmonized with the paramount principles of administration—the dominance of one directing power with its counter requirement, obedience. Autocracy in administration alone insures permanent efficiency—autocracy tinctured with an enduring sense of its many sided obligations to others—not intoxicated with a consciousness of its power, and any refractory or unsympathetic spirit should be cut out summarily in its incipiency—not as a punitive act, denying the right of opinion to others, but as a preventive measure—a measure calculated to preserve harmony and insure cooperation—a measure in the interests of the unimpeded execution of the task. The idea of democracy may come into being and be properly conceded a place outside and above the administrative head—namely, in the authority which outlines the policy to be preserved and the objective toward which the whole organization directs its energies.
32. "Only the man who himself knows how to obey, who has learnt from personal experience how grievous an inopportune or superfluous order can be, and how inexpressibly hard it is, in such a case, to resist the impulse to revolt—only such a man will avoid blunders when he is himself in a position of command." (Von Sphor). The art of command is to elicit a cheery and willing obedience; not to compel a slavishly servile obedience. "It is the first alone which conduces to happiness…insures a firm unshaken discipline, and inspires men." So act as to rob obedience to an order of any semblance of servile submission, and this is best done by indoctrination. Orders must not be thinkingly or unwittingly used as a means to magnify one's own importance and when necessary they should be unobjectionable in both matter and manner. Moreover, no more orders than are absolutely essential should be issued, for unless heed to this injunction is given all independence, all initiative and all love of responsibility, so valuable in subordinates, will be killed.
33. Like the disposition to feel that nothing can go on without an order, any fondness for domineering must be checked, as this "leads to tyranny and incites insubordination." "What is wrong must be reproved, but not severely, not sharply, not in the form of censure, and an equal readiness to praise must be shown." "No man likes to be severely found fault with (particularly in the presence of others) but everybody is willing to accept instruction and does better another time. The man who has cause to fear fault finding forswears initiative…and plays safe or keeps in the background."
34. With regard to order writing, "every superior that finds he has been misunderstood should first look for the fault in himself…" The superior may know well enough what he wishes to order, but the question is: Do his words adequately express the idea—does his order convey his intent clearly and concisely? No one can edit one's own expressions even in moments of quiet and leisure and much less so at times of stress and excitement.
Administrative Principles Applied to Service Conditions
35. In the past we have striven for efficiency in isolated features of the navy's concern—gunnery, engineering, etc., but we have only recently begun to act upon the recognized importance of the larger questions of so shaping our administrative methods that they will efficiently meet the requirements of any situation of peace and war without need to modify. We can see and feel the waste of material things. We are less sensitive to the intangible. The appreciation of these latter calls for "an act of memory, an effort of the imagination." Yet we must fully bring ourselves to and never neglect the realization of the important fact that the administration of any organization which must be capable of its greatest effort in emergency and which does not lend itself immediately to the purposes for which that organization exists is almost worse than no administration at all, for any change entails—not only the precipitate learning of the new but the unlearning of the old to which the personnel have become accustomed, and, also, stirs into activity an unconscious opposition to making changes in methods and habits—that conservatism which is latent in human nature.
This broad statement is intended to encompass both the idea of the persistence of habit and the attending sluggishness of counter motor activity and also that sensitiveness, which Mahan has designated and qualified by the adjective "military." In referring to British naval policy he says, "Whether the essential unity of scope in naval action east of Suez should receive recognition by embracing Australia, China and India under one general command, with local subordinates, is a question administrative as well as strategic. As military policy it has a good side; for commanders previously independent do not always accept ungrudgingly the intrusion of a superior because of emergency of war. Military sensitiveness cannot prudently be left out of calculations. There would be benefit also in emphasizing in public consciousness the essential unity of military considerations, which should dominate the dispositions of the fleet. Non-professional—and even military—minds need the habit of regarding local and general interests in their true relations and proportions. Unless such correct appreciation exists it is hard to silence the clamor for a simple local security, which is apparent but not real, because founded on a subdivision and dissemination of force essentially contrary to sound military principle." (Mahan, Retrospect and Prospect, p. 202.)
36. The matter of naval administration is intimately related to the international policy of the government, and with the extension of our national interests, which involve a widening international horizon, the importance of the navy to our national welfare grows. It is further demonstrable "that as commerce is the engrossing and predominant interest of the world to-day, so in consequence of its acquired expansion, oversea commerce, oversea political acquisition, and maritime commercial routes are now the primary objects of external policy among nations. The instrument for the maintenance of policy directed upon these objects is the navy of the several states; for, whatever influence we attribute to moral ideas, which I have no wish to undervalue, it is certain that, while right rests upon them for its sanction, it depends upon force for adequate assertion against the too numerous individuals or communities who either disregard moral sanctions, or reason amiss concerning them." (Mahan, Retrospect and Prospect, p. 149.)
37. The navy, which is so intimately connected with all this reasoning, means but one thing—the fleet—and the fleet in the present stage of civilization is the strong right arm of diplomacy. Its effectiveness as such depends upon its administration. Or, to put it another way the strength of the navy is not the fleet in being—its unit and numerical strength entirely, but also the manner of its distribution and administration, and this expresses the most important duty of the head of the organization (all other branches of the service being adjuncts to the fleet), who as a cabinet officer is presumably in touch with the international policy of the government. The Secretary of the Navy is administratively a person of great authority and influence and while he may not be able to fix the physical strength of the naval forces, the strength of the navy administratively is unlimited, except by the extent of his knowledge of the condition of our international relations and the military sagacity of his advisers. In this connection Mahan says, "The distribution of mobile forces, military or naval, is subject to great variation, owing to changes of circumstances. Nevertheless, at any one historical moment, of peace or war, the question also admits of an approximate fixed determination, general in outline, but not therefore necessarily vague. This conclusion should be the outcome of weighing the possible dangers of the state, and all the various factors—political, commercial and military. The disposition thence adapted should be the one which will best expedite the several readjustments and combinations that may be necessitated by the outbreak of various particular wars, which may happen with this or that possible enemy." (Mahan, Retrospect and Prospect, p. 140.)
38. The best possible in this direction and the maintenance of the fleet in highest state of efficiency represents the paramount administrative duty of the department in its relation to the organized forces afloat, for it must be evident that to just the extent by which the disposition of our forces is governed by sound strategic judgment will the navy meet the tactical requirements which arise from time to time and of which the outbreak of war may itself be one. What the department's other administrative functions in relation to those forces and to those divisions and subdivisions of its work ashore may be, and how they may specifically be best carried out is subject matter for others to discuss. Suffice it to say, in conclusion, that the enunciated principles of administration and those conditions upon which, it is conceived, they depend will guide in all operations within the purview of the Navy Department.