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Annu.Rev. Sociol. 1999. 25:271-305
Copyright? 1999 by AnnualReviews.All rights reserved
KEYWORDS:analogicaltheorizing,
cognition,culture,deviance,rationalchoice
ABSTRACT
In keeping with traditionalsociological concerns about order and disorder,
this essay addresses the dark side of organizations. To build a theoretical
basis for the darkside as an integratedfield of study, I review four literatures
in orderto make core ideas of each available to specialists in the others. Us-
ing a Simmelian-basedcase comparisonmethod of analogical theorizing, I
first consider sociological constructs that identify both the generic social
form and the generic origin of routinenonconformity:how things go wrong
in socially organizedsettings. Then I examine threetypes of routinenoncon-
formity with adverse outcomes that harm the public: mistake, misconduct,
and disaster produced in and by organizations.Searchingfor analogies and
differences, I find that in common, routinenonconformity,mistake, miscon-
duct, and disasterare systematicallyproducedby the interconnectionbetween
environment, organizations, cognition, and choice. These patternsamplify
what is known about social structureand have implications for theory, re-
search, and policy.
INTRODUCTION
Weber warned that a society dominated by organizations imbued with legal-
rational authority would suffer negative consequences. Tracing that historic
transformation, Coleman (1974) affirmed Weberian pessimism. He observed
271
0360-0572/99/0815-0271 $08.00
272 VAUGHAN
eral principles-theories and concepts-that help explain both the social form
and generic origin of routinenonconformity:how things go wrong in socially
organized settings. Then I review the literatureson mistake, misconduct, and
disaster, three types of routine nonconformity with adverse outcomes that
harm the public. Using a Simmelian-basedcase comparison method of ana-
logical theorizing that legitimates theory building from comparing similar
phenomena occurring in different social settings (Simmel 1950; Vaughan
1992, 1999a), I identify analogies and differences across these three types to
show where progress has been made, assess the adequacy of this work, and
speculate about futuredirections.
ROUTINENONCONFORMITY:THE SYSTEMATIC
PRODUCTIONOF ORGANIZATIONALDEVIANCE
Merton's(1936, 1940, 1968) thinkingis the foundationof any considerationof
the darkside of organizations.He observed that any system of action inevita-
bly generatessecondaryconsequencesthatruncounterto its objectives. Unan-
ticipated consequences of purposive social action can be differentiatedinto
consequences to the actor(s) and consequences to others that are mediated
throughsocial structure,culture,and civilization (1936:895). Actors can be in-
dividuals or organizations.His point is that outcomes can be unexpected;the
consequencesmay be eitheroptimalor suboptimal.Ourprimaryconcernis un-
anticipatedsuboptimaloutcomes.
A conceptual language that helps organize the literaturedoes not exist, so
the first step is to invent a conceptualdefinition (tentativeand subjectto later
revision)thathelps us considerthe formand originof unanticipatedsuboptimal
outcomes. Formalorganizationsare designed to producemeans-endsoriented
social action by formal structuresand processes intendedto assure certainty,
conformity,and goal attainment.Therefore,I will define an event, activity, or
circumstance,occurring in and/orproducedby aformal organization,thatde-
viatesfrom bothformal design goals and normativestandardsor expectations,
either in the fact of its occurrence or in its consequences, and produces a
suboptimaloutcome as organizationaldeviance. This conceptualdefinition is
sufficiently broad to include conforming behavior by individual members as
well as deviant behavior by individual members. Therefore, it encompasses
mistake, misconduct, and disaster,one differing from the othernot in its gen-
eral fit with this definition but in its particulars:the normative standardsor
expectations violated (internalrules; legal mandates;social expectations),the
categories of the public harmed,the extent of harmfulsocial consequences,the
social group whose expectations are violated, and/or the response of some
public to the incident.
274 VAUGHAN
their theoretical constructs and routine nonconformity;I have drawn out the
implications when doing so seemed theoreticallyappropriate.
Environmentand RoutineNonconformity
Less is known abouthow the environmentcontributesto routinenonconform-
ity than is known about the role of organizationcharacteristicsor cognition
and choice. Traditionally in organization theory, the environment includes
both the organizationset (networks and other kinds of interorganizationalre-
lations), and the general conditions of the social context (political, techno-
logical, economic, legal, demographic,ecological, and cultural).It has been
described as complex, aggressive and changing, turbulent,and as conveying
jolts to unsuspecting organizations(Hall 1996). Environmentaluncertaintyis
a concept frequentlyassociated with routine nonconformity.Because organi-
zations have difficulty accuratelypredicting circumstancesthat might affect
their future activities, unexpected negative outcomes are possible even when
initial conditions are diagnosed as optimal (see, e.g., Pressman& Wildavsky
1973, Wilson et al 1996, cf. Perrow& Guillen). Poorly understoodsocial con-
ditions even can lead to the failure of the organization to survive. Stinch-
combe's "liabilities of newness" (1965:148) explain comparativedeath rates
of new and old organizations:A higher proportionof new organizationsare
likely to fail thanold. The liabilities of newness include the necessity of gener-
ating and learningnew roles; costs in time, worry, conflict, and inefficiency;
the absence of standardroutines; the necessity of relying on social relations
among strangers; the absence of stable ties with consumers. Although
Stinchcombeused liabilities of newness to explain the developmentof popula-
tions of organizationalforms,his concept also may applyto analogicalcircum-
stances at other levels of analysis, explaining why new programs,products,or
services by individual organizationsget into trouble, or even the problems of
neophytes in organizations.
When power is used as the central explanatory concept, the focus shifts
from organizationsadaptingto an uncertainenvironmentto organizationsac-
tively defining, creating, and shaping it to suit their needs (Perrow 1986,
1991). Power struggles may result in cooptation and goal displacement,two
classic concepts relevantto routinenonconformity(Selznick 1949). In orderto
survive, all organizations must compete for resources that help them meet
goals. Often, these resources are scarce because their naturelimits supply, be-
cause the activities of regulators,competitors,and suppliersmake them scarce,
or because of pre-existing commitments thatkeep organizationsfrom getting
the resourcesthey want. In this competition,power is both a means andan end.
Cooptation,the process of mediatingthreatsto stability from the environment
by absorbingnew elements into the leadershipor policy-determiningstructure
of an organization,can resultin compromisethatdeflects an organizationfrom
276 VAUGHAN
TASKS Hughes (1951) was the first sociologist to look for theoreticalprinci-
ples associatedwith task-relatederrorsin the workplace.For Hughes, occupa-
tion is the key concept.Arguingthatunexpectednegative outcomes areindige-
nous to the work process, he theorizedaboutvariationsin their frequencyand
probabilitydue to variationin amountof occupationalskill, frequencyof per-
formanceof the skill, and role in the workplaceas a social system. Risk is also
a centralconcept for Hughes:the distributionof risk among occupationalroles
and how systems delegate, spread,or concentrateboth the risk of mistakes at
work and the losses thatresult from them. His prescience aboutthe theoretical
importanceof risk is borne out in the discussions of mistake, misconduct,and
disasterthat follow.
DARKSIDEOFORGANIZATIONS279
MISTAKE
The sociology of mistakeis in its infancy. The few sociologists who have stud-
ied it have investigated mistake in nonroutinework in organizationswhen it
has direct, tangible social harm: loss of life, injury, psychological conse-
quences, propertydamage,andmistreatmentby an agent of social control. For
many, mistakewas a small partof a multifacetedproject.A point on which all
agree is thatmistakeis systematicallyproducedas a partof the social organiza-
tion of work. However, organizationsusually are a barely visible backdrop,
their environments,structures,and processes often unnamed.Theory and the
theoreticaldebatesfound in developed areasof study are absent.One common
pursuitis groundedtypologies thatoften go beyond descriptionto explanation
(Singer 1978, Bosk 1979, Belli & Schuman 1996). With the exception of
Roth's (1991) helpful compendiumof researchand anecdote, no attempthas
been made to integratethis work to build a sociology of mistake.Nonetheless,
a solid basis is there.
For a definition of mistake sufficiently broad to organize this discussion,
we use the definitionof organizationaldeviance above, which stresses the vio-
lation of formaldesign goals and normativestandardsand expectations.Then,
to distinguish mistake from misconduct and disaster, we furtherspecify that
definition to include acts of omission or commission by individualsor groups
of individuals,acting in their organizationroles, thatproduceunexpected ad-
verse outcomes with a contained social cost: e.g., mistake in a hospital may
harman individualactor or small numberof actors,with varying direct social
cost to them. The definitionalproblemnoted above immediatelyappears,for if
mistakes are aggregated across all hospitals, their organizational-technical
system origins and extensive harmfulsocial consequences might well qualify
as disasters.
Environment and Mistake
The most complex treatmentof environmentand mistake analyzes wrongful
conviction in the criminaljustice system. Huff et al (1996) first show the rela-
tion between institutionalizedculturalbeliefs andmistake,thenhow mistakeis
producedby structuralconditions of the system. The other complex treatment
is Freidson's (1970, 1975) analysis of how the various fragmentedbodies that
regulatemedicine createdifferentialperformancestandards.Thus, the regula-
DARKSIDEOFORGANIZATIONS285
OrganizationCharacteristicsand Mistake
STRUCTURE Little is known about the relationship between structureand
mistake. Dwyer (1991) found that work site control by the dominant group
(managers,individuals, unions) and the methods of control are related to the
incidence of workplacemistakes, injuries,and death. The only other aspect of
structurespecifically linked to mistake is complexity (Roth 1991). In building
construction,Reimer (1976) found that division of labor among subcontrac-
tors createsirreversibleerrors,so thatbuildings are constructedby an accumu-
lation of blunders.
PROCESSES Research shows more about the processes of power and hierar-
chy than its structure.Zerilli (1998) analyzed ceremonialconfession as a form
of institutionalized interaction, whereby professionals in organizations
(priests, police, therapists,terrorists)have the official responsibilityof bring-
ing about the act of individual confession. The ritualistic tactics of confes-
sional-makingare such that they may elicit mistaken accounts from individu-
als, with misdiagnosis and harmfuloutcome the institutionalresponse. Not so
surprisingly,since mistakes-in-progressare elusive, more is known abouthow
the powerful respondto mistakethanto the patternsof interactionthatproduce
it. Light (1972) showed that the explicit therapeuticfailure and possible error
286 VAUGHAN
Summary The strengthof this work lies in its indicationof common patterns
within each level of analysis, regardless of size, complexity, task, or kind of
organization. These patternsbegin to suggest the social origin and form of
mistake.The most valuable contributionto the darkside of organizationsis the
field research that shows responses to mistakes as they are occurring in the
work setting: These insights into ethnocognitionand organizationaldeviance
have not been possible in researchon misconduct and disaster.The possibili-
ties for futureresearchand theorizing are unlimited. Environment,organiza-
tion characteristics,and cognition and choice all need study. Of the sociologi-
cal theories and concepts describedin the previous section that explain routine
nonconformity, only a few have been tapped and none systematically. We
need to know more about the human/technologyinterface and mistake, and
about how the individual experience of mistake and emotion affects the pro-
pensity for subsequentmistakes.Also, researchhas been imbalanced.Sociolo-
gists have focused on mistakes that directly harm individuals or property,
omitting mistakes that are just as relentless but more mundane:mistakes in
reports, the lead news story, hiring, the pornographicnovel stitched into the
binding of an academic monograph,productsthat cannotbe assembled or fail
and have to be recalled. Employees and organizations devote enormous re-
sources to preventincidents of routinenonconformityfrom being publicly de-
fined as mistake. This, too, is worthy of research:The social organizationof
clean-up work also has social costs that eventually are paid by the public.
MISCONDUCT
In contrastto mistake,the sociology of misconductin andby organizationsis a
mature,thrivingenterprise.But deeperinquiryhas producedharderquestions.
Key conceptualdebates remainunsettled:Is it "white-collarcrime,""occupa-
tional crime," "corporatecrime," "abuse of power," "organizationaldevi-
ance,"or "abuseoftrust"?The resultis researchin many conceptualtraditions.
But a mechanism for coherence has emerged. Despite differences, many of-
fenses originate in formal and complex organizations. Beginning in the
mid- 1960s, scholarstrainedin the sociology of organizationsand of deviance
and social control began combining the two, creating theories that pointedly
gave explanatoryprimacyto the organizationallocus of wrongdoing.This de-
velopment is institutionalized,evident in (a) the systematic inclusion of or-
288 VAUGHAN
TASKS Cressey (1953) argued that the skills necessary to misconduct are
simply the skills necessary to do thejob in the first place, but only recently has
the relationshipbetween tasks and misconductbeen studied.Friedrichs(1996)
notes the conspicuous rise of "finance crime"-large-scale illegality that oc-
curs in finance and financial institutions-and "technocrime"-use of new
technologies such as computers,facsimile machines, electronic surveillance,
and accounting technologies. The transformationof routine tasks by these
technologies contributes to misconduct because they are employed in new,
complex transactionsystems thatare difficult to monitorandcontrol(Vaughan
1982b). Sociologists have investigated accountingtactics (Passas 1996), ma-
nipulationof marketsand financial capitalism(Levi 1981, Abolafia 1996, Zey
1993), and espionage (Hagan 1997). Some are studying the diffusion of these
innovations (Calavitaet al 1997, Baker & Faulkner1997).
Summary Research and theory suggest that, like mistake, the social form
of organizationalmisconduct includes aspects of environment,organization
characteristics(structure,processes, and tasks), and cognition and is system-
atically produced by these three in combination. Most significant for under-
standing the dark side of organizations is recent research integrating these
three levels of analysis. This directionhas potential. Behind the unsettled de-
bates about the appropriateconceptual definition (occupationalcrime, organ-
izational deviance, etc) is an unrecognized, covert debate about what the ap-
propriatelevel of analysis is (Vaughan 1999b). The reason the definitional is-
292 VAUGHAN
sue remainsprovocative and lively is that, as this review shows, all levels of
analysis apply. The existence of this covert debate accentuatesthe legitimacy
of each level of analysis, thus substantiatingthe importanceof merging them.
Moreover,the benefit of the disagreementis thateach conceptualtraditionhas
producedknowledge at all levels, readyto be integrated.Often, scholarshave
identified aspects of environment and organizations as "criminogenic,"
showing how aspects of environment,organizationcharacteristics,and cogni-
tive practice normally associated with the bright side of organizations are
systematically relatedto the darkside. Although recent researchhas begun to
inquireinto variation,the centralquestion still is: When do they produce con-
duct and when do they producemisconduct?
DISASTER
The study of disasters has deeper roots than its topicality suggests. Histori-
cally, interestlay in the impactof disasterand the organizationalresponse; in-
quiryinto the social origin examinedhumanfactorsin accidents.Unnoticed in
that arraywas prescientwork locating the cause of accidents in power and the
structuraland cognitive limits embedded in organizationsand technologies.
Landau(1969) located the social origin in large, complex, and tightly ordered
systems in which partsare interdependentsuch thatthe failureof a partcan re-
sult in the failure of the system. Erikson (1976) showed the corporatepower
and cost/safety trade-offs behind the Buffalo Creek dam collapse. Turner
(1976, 1978) analyzed 84 accidents and disasters across industries, finding
that social, technical, and administrativearrangementssystematically pro-
duced disasters. Then in 1984, Perrow's Normal Accidents and Short's "The
Social Fabricat Risk" chargedthe intellectualcommunityand changed the re-
search agenda. The result is a body of work showing how institutions,organi-
zations, technologies, and cognitive practices contributeto accidents and dis-
asters.
This review encompasses disaster studies: research its authorsidentify as
investigations into the origin of accidents and disasters. Disaster is a type of
routine nonconformitythat significantly departs from normative experience
for a particulartime andplace. It is a physical, cultural,and emotionalevent in-
curringsocial loss, often possessing a dramaticqualitythatdamagesthe fabric
of social life. For an accident to be defined as a disaster, the accident would
need to be large-scale, unusually costly, unusually public, unusually unex-
pected, or some combination(Turner& Pidgeon 1997:19). Mistake and mis-
conduct often occur in the prehistoryof accidents and disasters,the lattertwo
distinguished from mistake and misconduct by the social cost and quality of
surprise.To be sufficiently broad to encompass both accidents and disasters,
we start with the previous definition of organizational deviance, further
DARKSIDEOFORGANIZATIONS293
OrganizationCharacteristicsand Disaster
STRUCTURE Perrow (1984) established complexity as a core concept in dis-
aster studies: Accidents are normal in complex systems, an outcome of types
of interactionof system parts(complex or linear) and types of coupling (tight
or loose). Also salient are the effects of organizationcomplexity on informa-
tion flows, underminingknowledge about potential hazards (LaPorte 1982,
Bella 1987, Freudenberg1992, Gusterson 1996, Turner& Pidgeon 1997). Hi-
erarchy and power are profoundly implicated in accidents. Executive goals
and resource allocations can trickle down, impeding the efforts of people do-
ing the risky work (Perrow 1984, Shrivastava 1987, Bogard 1989, Vaughan
1997, Clarke 1999, Marcus & Nichols 1999). Turner(1978:179) found that
errorsat the top have greateraccident potential because errorscompound as
they move down throughthe hierarchy.Perrow(1983) explains why military
and top industrialmanagementare indifferentto good human-factorsdesign,
favoring technologies that reinforce the power structureand result in unwar-
ranted claims of operatorerror.In addition, group and subunit conflicts can
displace goals, resulting in less-than-optimaltechnology (Thomas 1994).
worst-case condition when subunits are tightly coupled. This gap between
writtenrules and action impairseffective response in a crisis, when tight cou-
pling is called for. Ironically, conformingto rules also can contributeto acci-
dents and disasters. Weick (1993), in a stunning analysis of why firefighters
died in the 1949 Mann Gulch disaster, revealed that the few who survived
droppedtheir heavy tools and ran, while those who perishedconformedto the
organizationmandatealways to carrytheir tools.
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