Problems of State Personnel and Administration with Special Reference to the State of Iowa

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PROBLEMS OF STATE PERSONNEL ADMINISTRATION WITH SPECIAL REFERENCE TO THE STATE OF IOWA

by Carl A. McCandless

A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy, in the Department of Political Science, in the Graduate College of the State Univer­ sity of Iowa July, 1942

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PREFACE The movement for civil service reform in state

governments has developed slowly, but since 1937 a rather definite trend toward such reform has been evident, and by 1942 twenty states have established personnel depart­ ments which serve their entire administrative branches. Iowa had not yet established a central personnel agency to furnish personnel services on a state-wide basis. This study is designed to bring together in­ formation which might be of value in planning a sound ^personnel program for the state of Iowa.

To this end

JJboth opinion and practice have been studied in order to ^determine the status the personnel department should d occupy with respect to the other administrative agencies as well as the type of internal organization which would be best adapted to the needs of the state. In considering the functional aspects of per­ s o n n e l administration, the discussion is limited to ythose problems which are quite generally made the responsi£ bility of the central personnel department.

Problems of

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s employee management which are properly within the authority S § of the operating departments are not included in the study. writer wishes to acknowledge his indebted.0 ness to Dr. Kirk H. Porter, Head of the Department of Political Science, at the State University of Iowa, who

- iii directed the work; and to George W. Westby, Assistant Supervisor of the Iowa Merit System Council, who made available the information concerning the operations of the Council.

The writer, however, accepts full responsi­

bility for all opinions and conclusions expressed, or any errors contained in the work.

- iv CONTESTS Chapter

Page Preface*...............................

I

II

III

ii

The Nature and Purpose of Public Personnel Administration Private and Public Personnel Administration Compared*............ 1 Scope of Personnel Administration... 3 Negative vs. Positive Interpre­ tation of Public Personnel Admin­ istration. .......... 7 Increasing Interest in Personnel Administration*. ......... 9 The Place of Personnel Admin­ istration in the Entire Admin­ istrative Organization 13 Classification and Standardization of Positions In the Public Service Need for Position-Clas&ifieation.... Meaning of Position-Classification.. An Example of Classification........ Two Concepts of Classification...... Purposes of Classification Suggested Classification Plan....... Careers in the Classification Plan.. Who Should Classify a Govern­ mental Unit?................ Procedure in Classifying a ........... Governmental Uni t Keeping the Plan Up-to-Bate......... Hearings for Employees. .......... Recruitment in the Public Service Meaning of Recruitment.............. General Publicity.................. Advertising Specific Tests Form of Announcements....... *...... Application Forms, ............ Basis for Determining Competence.... Advantages of Recruiting on the Basis of General Education.......... Disadvantages of Recruitment on the Basis of General Education...... Points in the Service Where New Personnel Should be Recruited.......

24 25 27 33 35 46 53 60 62 71 72 74 77 79 63 86 86 91 94 99

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V

VI

VII

VIII

Examinations The Formal Test...*.............. ♦ Nature of Formal Tests............ Characteristics of Good Tests...... Kinds of Examinations.............. For© of Tests Construction of Tests.............. The Administration of Tests........ Interpreting Test Results *......... Constructing Tests Files...........

112 113 118 128 139 147 155 156 16S

Appointments to the Public Service How Many Names Shall be Certified?. .... .... Determining Availability. Changes in Eligibility Registers... Veteran Preference................. Probationary Appointments. .......

173 185 187 190 192

Promotions in the Public Service Meaning of Promotion........... Lines of Promotion................ General Policy in Filling Vacancies......................... Effect on Efficiency........*. Attitude of Public toward the Servl ce ....... Methods of Making Promotions....... In-Service Training. ....... Responsibility for Execution ...... of Promotion Pblicy Status of Personnel Administration in State Governments State Wide Merit System Adoptions.......................... Limited Personnel Systems.......... Types of Personnel Departments..... Civil Service in Iowa........... The Iowa Merit System Council Scope of the Merit System Counci 1...... Organisation of the Merit System Council.......... Work of the Council. ...... The Merit System Supervisor........ Other Employees.........

197 200 202 206 208 210 223 225

228 231 232 233

242 245 247 248 249

- vi Coordination between the Council and Operating Agencies Operation of the Merit System Council* ....... Exemptions under the Merit S y s t e m . Provisions for those Persons Employed when the Merit System was Established Special Provisions Belating to Religion and Polities.......... Special Preference................. IX

250 252 284 285 285 287

A Plan for Centralized Personnel Administration in Iowa State Government Organization of the Admin­ ....... istrative branch..... The Status of the Personnel Agency. Legal Basis for the Personnel Agency............................. Extent of the Statutory Pro* visions................... The Organization of the Personnel Agency**........... The Personnel Board............... Scope of the Personnel Department.......... Inclusion of Present Employees Other Provisions to be Included in the Personnel Act.................. Status of the Merit System Council...*...... Footnotes.

.......

Bibliography......

288 291 £94 296 £97 300 302 309 312 317 318 529

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FIGURES No. I.

165

Notice of Examination for Interviewer Clerk.............................

255

Number of Classes of Positions within Salary Ranges ..........

259

Inquiry Regarding Availability for Certification.

272

Acceptance of Consideration for ..... Certification.

275

Certificate of Eligibles

277

.

No. 2.

A Comparison of Scales for RankingRaw Scores on Civil Service Examinations...

No..3. No. 4. No* 5. No. 6.

Chapter I tel NATURE AND PURPOSE OF PUBLIC PERSONNEL ADMINISTRATION Private and Public Personnel Administration Compared Before considering the specific problems of per­ sonnel administration in state government, some attention should be given to the general meaning of the term personnel administration in order to differentiate it from such common expressions as civil service and the merit system.

Any type

of activity, whether it is private or public, must of nec­ essity be carried on by Individuals; and if the undertaking is extensive in character, such as most of our modern busi­ ness and governmental activities are, a great number of persons will be employed to perforin widely varying tasks. The selection, general management, and supervision of these employees is the function of personnel administration. Although many problems of personnel administration are common to both government and private industry, there are certain features of the public service that make a speoial treatment of the subject in that sphere necessary.

It is

true that the specific techniques necessary for the super­ vision of employees in private industry can be used to some advantage in the public service; but in the latter, the general public has an interest to a far greater extent than is the case in private service.

Since our system of govern­

ment is founded on democratic principles, the public is

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concerned, "in the sense that it is to its direct interest that the system shall be one offering an equal opportunity to all citizens to enter the government service and to re­ ceive advancement in the service in accordance with merit displayed in the performance of official d u t i e s . I t is this element of public interest that makes the task of management of personnel problems in the public service different from that in the field of private business enter­ prise.

The personnel agency in a private industry formulates

policies with regard to admission of new personnel into the business in the way which seems most conducive to the aims set up by the agency without much regard to what the public reaction to the scheme will be.

Any agency charged with a

similar task in one of our governmental departments must continually consider the public interest when formulating its policies.

These policies will be constantly exposed to public

scrutiny by both friends and foes of good government; hence the problem of education and publicity becomes a major task of personnel management in public service* while such a task is of little or no concern to the private personnel agency* This difference between public and private personnel adminis­ tration was well stated by Mr* Bernard S. Deutseh, President of the Board of Aldermen of the city of New York, in his testimony before the Commission of Inquiry on Public Service Personnel as follows:

- 3 "I went into the City Hail as a lawyer and a busi­ ness man. I am convinced now that business practice, busi­ ness standards, and business success are not sufficient. A government, an administration, must not only have a record of accomplishment, it must convince the public of its success, or the opportunity of continuing its work will be removed. Ivery official and every employee contributes to this public picture. The servant must be firm without discourtesy, help­ ful without favoritism. The delicate balance takes time. In business it might be considered time wasted. In City Hall the acts of the lowliest employee are a touchstone by which the whole administration may be judged. **2 Scope of Personnel Administration The expression public personnel administration has been rather widely adopted by writers in the field of public administration to refer to the management, direction, and supervision of government employees.

If a liberal interpre­

tation is applied to this expression, it includes all govern­ ment servants regardless of the branch in which they serve; but in actual use it is usually confined to those employees who are employed by the administrative branches of the govern­ ment.

The use of the word administration always involves

some danger of misunderstanding because it is used, often by the same writer, to mean different things.

Used in its

broadest sense it refers to the entire task of carrying into execution the policies which have been formulated by the legislative branch of government in the form of laws.

All

the agencies which are created to give effect to these laws are in this sense referred to as administrative agencies. In actual operation these agencies must, in order to carry on their administrative work, engage in a number of activities

- 4 which are not directly concerned with the big task set out in the law.

They must, for example, secure office space,

acquire equipment, establish a system of recording and repor­ ting, and select and manage individuals who are to carry on the work.

Such specific activities as these are also com­

monly referred to as administration; therefore there are to be found specific types of administration within the adminis­ tration itself.

It is this latter use of the word that is

generally intended when the expression personnel adminis­ tration Is used.

If this application of the expression is

considered further, it will be evident that the problem of personnel administration is not confined to the administra­ tive agencies alone, but extends into the legislative and judicial branches as well.

However, the expression is gen­

erally used to include the personnel within the administra­ tive branch only; therefore a more accurate concept will be given if the expression personnel management in public ad­ ministration is adopted for use throughout this discussion. How, then, does the term personnel management in public administration differ from the much used terms "civil service" and "merit system"?

Technically the word civil

denotes something opposite to military, so the term "civil service" in its broadest sense includes all government servants except those in the military and naval forces. General usage, however, has applied the term to that group

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of government employees who are selected by some means of competition and who enjoy relatively long tenure of office. The term "classified civil service", however, should be applied to this group who are selected without reference to their party affiliation and who are protected against re­ moval for political reasons.

It is safe to assume that where-

ever the term "civil service" is used in popular magazines and periodicals the author is referring either to the group who make up the "classified civil service" or to the system used in recruiting persons into this branch of the public service. The term "merit system" is often used to designate a method of selecting public administrative personnel on the basis of fitness for the job as measured by some sort of com­ petitive examination.

This term is often used in contrast to

the term "spoils system" which implies that political consid­ eration may enter into the selecting of public employees.

The

word merit in this sense is used to indicate ability to perform the task well rather than having performed a service which deserves to be rewarded through appointment to public office. Personnel management certainly includes all the things that advocates of both civil service and the merit system wish to imply in these expressions, but it is much broader in scope than either of them.

These expressions refer primarily to

the method of selecting public servants with some idea perhaps

- 6 of permanency of tenure for those selected; but they do not imply any definite plan for supervising their work or their working conditions*

Public personnel administration in­

cludes the idea of selecting officials on the basis of ability with everyone who is likely to possess that ability to a rea­ sonable degree being given equal consideration; but it also includes plans and methods for securing maximum efficiency from those selected, plans for rating their work as a basis for transfer and promotion, provisions for training while in the service, methods of handling discipline problems, plans for the establishment of a retirement system, and many other problems that are always encountered where cooperation of a large group of persons is required.

Mr. Leonard White sums

up this task as follows: "To find and to hold capable men and women and to create and maintain working conditions under which they can . do their best are the great tasks of personnel administration." The comprehensive nature of public personnel administration is illustrated by the sixteen point program set up by H. Eliot Kaplan, Executive Secretary of the National Civil Service Reform League as follows: *1. A central personnel agency equipped with ade­ quate technical staff and with sufficient funds to administer the law effectively; w2. A survey of the salaries paid to all public employees in order to classify positions according to title and compensation, so that those performing substantially the same services will be grouped in one class, and salaries

- 7 fixed according to duties performed and responsibility assumed; *3. A compensation plan uniform in its application to all similar classes of positions, with schedules of inter­ mediate salary increments and designated lines of promotion to the higher grades and positions; "4. A probationary period to supplement the competitive examinations conducted by the personnel agency; ”5. A plan for practical instruction on the job or preliminary to assignment; *6. Service ratings to determine actual performance of duties; *7, Uniform rules governing leaves of absence with or without pay; compensation in case of injury and vacations; ”8. Provision for promotions and transfers; "0. An arrangement for pooling personnel for seasonal or emergency requirements; "10, A plan for in-service training to develop talent for higher administrative and supervisory positions; "11. A properly conceived system of separation from the service, through resignation, retirement, and removal; *12, Certification of payrolls by the personnel agency; **13. An adequate pension system; "14. Prohibition against political assessment and contributions, as well as undue political activity; "15, Supervision and investigation of the adminis­ tration of the law by the personnel agency; "16, Provision for taxpayer’s action to restrain payment of compensation to persons unlawfully appointed or employed• negative vs. Positive Interpretation of Public Personnel Administration

- 8 Until recently the general attitude toward im­ provement in the public service has been to a large extent negative in charaoter.6

That is, the chief aim of those who

advocated reform was the prevention of politicians from ex­ ploiting the publie service in order to build up their own political power.

This negative attitude is well illustrated

by Mosher and Kingsley when they classify the efforts of civil service reforms into four groups as follows: "(1)

The

selection of employees in certain departments by a scheme of examinations, (2) controlling the removal power of the chief executive, (3) limitation upon the system of political assess­ ment, and (4) restriction of partisan activity."7

Examination

of these objectives reveals that their advocates were more interested in limiting the political advantage party leaders could secure by controlling the appointment of employees than they were in devising a positive system for creating an efficient public service.

This negative element which is

embodied in the expression "keep the rascals out" will con­ tinue to be of first rate importance, but there is reason to believe that a more positive attitude is receiving increased attention.

Evidence of this tendency is found in statements

like that of C. A. Dykstra, former City Manager of Cincinnati, in a pamphlet published by the Civil Service Assembly of the United States and Canada. "It is high time, therefore, that we conceive of

our problem In different terms and with somewhat changed objectives. What we are endeavoring to do is to set up a career service in our public life. We are set to the task of providing a personnel policy and a personnel administration which will meet the demands of a modern government, ... forgetting for the moment our old friends— such terms as civil service and the merit system— let us tackle the question as one of management,"8 This same attitude was expressed by former Attorney General Frank Murphy as follows: "What we need, and must have, today is not a nega­ tive system designed merely to prevent patronage. We need, and must have, positive, progressive, efficient personnel management aimed not merely at ending the spoils system but especially at the achievement of real efficiency and economy."® Increasing Interest in Personnel Administration There are a number of indications that point toward an Increasing interest in the problem of personnel management by the public, by students of public administration, and by various organizations interested in good government.

Some

of the indices which show this trend are: 1, The number of articles appearing in magazines and periodicals in recent.years. 2, The number of associations that are giving attention to the problem. 3. The special studies that have been made in this field of administration. 4. The number of states that have either adopted new civil service laws or have had such laws up for consid­ eration in their legislatures in recent years. The last of these will be considered at length later in this discussion, so only the first three will be considered here.

- 10 In order to get an idea as to the number of ar­ ticles appearing in periodicals dealing with the subject of personnel management in public service both the Headers’ Guide to Periodical Literature and the International Index to Periodicals were studied.

The first of these includes

those magazines which are rather widely read and have a wide circulation, while the latter includes those periodicals which are more or less technical in character and are read more commonly by persons with special Interests in particular fields.

In the three-year period from July 1932 to June 1935

there were only nine articles listed in the Readers’ Guide that dealt with the subject of civil service in the United States, but for only a two-year period from July, 1935 to June, 1937, there were fifty-six articles listed under this same subject.

Although this period from 1935 to 1937 seems

to have been the golden age for discussion of this subject, there has been a continued interest In the subject as shown by the fact that in the period from July 1937 to June 1939 the Headers* Guide Indexed twenty articles on civil service In the United States, and for the first of the year 1940 up until May 10 there had been nine articles listed under this heading,

An examination of the International Index to

Periodicals shows a similar trend.

In the period covering

two and one half years from January, 1928, to June, 1931,

- 11 only four articles were listed under civil service in this country, and in the three-year period from July, 1931, to June, 1934, there were only five articles listed under this heading; but in the next three years from July, 1934, to June, 1937, thirty-one articles appeared on this subject. Although there was some decline following 1937, there were seventeen articles indexed fro® July, 1937, to June, 1938, and up until March of 1939 ten articles had been listed in that year.

Of particular significance in connection with

the increase of periodical literature on this subject is the fact that the entire space, exdept the supplement, of the Annals of the American Academy of Political and Social Science which appeared in January, 1937 was devoted entirely to this problem and was given the title "Improved Personnel in Government Service*.

The volume contains thirty papers 10 covering five main fields of the personnel problem. The second evidence of the increasing interest in

the subject of personnel management is the number of volun­ tary associations that have been giving either part or all of their time to a study of this problem.

The Public Adminis­

tration Clearing House, Chicago, publishes a directory of the voluntary organizations working in the field of public administration in the United States.

These organizations

are classified according to the field of public administration in which they are working.

In the first edition of the dir-

- 12 eetory, which appeared in 1932, there were seven organizations working in the field of public personnel administration, and in the latest edition, which appeared in 1939, there were twelve such organizations listed.^

There are two organi­

zations which give their entire time to the work of improving the public service in this country.

The National Civil

Service Reform League, which was organized in 1881, publishes a bi-monthly periodical, Good Government, and maintains a full-time secretary and a staff of six assistants.12

The

Civil Service Assembly of the United States and Canada, which was organized in 1906, maintains a full time executive director and a staff of eight assistants.

This organization publishes

a monthly News Letter and has recently started the publication of Public Personnel Review which will appear quarterly. The first number of this journal appeared in April, 1940 and was devoted entirely to public personnel problems. ^ A third evidence of the increasing attention being given to this problem is found in the recent studies that have been devoted to public personnel administration.

Per­

haps the most outstanding study in this field is that made by the Commission of Inquiry on Public Service Personnel which was appointed by the Social Science Research Council in 1933.^

Besides a formal report and a large volume of

Minutes of Evidence the Commission published twelve monographs

- 13 on various subjects pertinent to the investigation. Another study in the field of public personnel management appeared in 1938.

This study was mads by Lewis

Merism for the Institute for Government Besearch of the Brookings Institution, Washington D. C. and deals with the subject from the standpoint of the operating o f f i c e r . A third study in this field appeared in 1939 and was made by Katherine A. Frederic for the Advisory Committee on Education which was appointed by the President of the United States In 1936.

Although this study deals primarily with adminis­

tration of personnel in the state departments of education, it includes a general discussion of the problems of personnel 17 administration. The most recent study in this field has just appeared in book form in 1940.

The study was made for

the Bussell Sage Foundation by Alice Campbell Kline and was prepared as a guide for state officers in administering personnel problems In social welfare work.

The book gives a

general treatment of the field of public personnel manage­ ment in addition to dealing specifically with the problem in social welfare work.18 The Place of Personnel Administration in the Entire Administrative Organization Attention is now directed to a discussion of the nature of personnel management in its relation to the entire administrative organization.

Although this leads to what

- 14 may appear to be a purely academic discussion or even a quibble over words, it is necessary to get this relationship definitely established before one can consider the question in its more practical aspects.

The popular trend among

students of administration both in private industry and in the public service has been to divide all administrative agencies into two classes, the line agencies and the staff agencies.

It appears that these terms have been brought over

from the military organization into private Industrial management and are now very generally used in public adminis19 tration. tfnder this classification the line agencies are those which are engaged in actually carrying out the specific operations of the industry or in performing the regular functions of the government.

Such agencies deal directly

with the public, and in the governmental units, they carry into effect specific legislative enactments.

Such agencies,

for example as the Interstate Commerce Commission, the national Labor Halations Board, and the Census Bureau are typical line agencies because they act under specific legis­ lative authority to perform what are elearly governmental functions.

Those agencies, which under this classification

are called staff agencies, are engaged in performing for the line agencies those services which are common to all of them and which are essential in order for them to function effect­ ively,

The line agencies must have supplies, must secure and

- 15 manage employees, must keep records and make reports.

It

is the job of the staff agencies to perform such servioes for the line administrative units.

Thus we see that under

this classification the staff agencies act upon the adminis trative departments rather than directly upon the public. This terminology has been used in most works in 20 the field of public administration. The following quotation will serve to show the general pattern used in dividing administrative functions between line and staff. "Another basis of classification for the functions of government which is useful to students of public adminis­ tration is that which divides them into two groups, known respectively as staff and line. ...In public administration staff functions are those which render services to the governmental departments in order to keep them operating, while the line functions are those which render service directly to the people. The principle staff functions of government are planning and organization, budgeting, auditing, reporting, purchasing, and personnel. Others that may be recognized are the provision of office accomodations, the giving of legal advice, the rendering of centralized architectural and engineering services, and the eustody of public funds. Line services include such functions as the guarding of life and property, the protection of public health, the promotion of agriculture, the conservation of natural resources, the provision of educational opportunity, the regulation of business and the professions, and the operation of public utilities. It will be noted from this quotation that the type of function performed by an ageney Is the basis used in determining whether it is line or staff*

Of much

greater significance to this discussion, however, is the implication carried by these terms in so far as they relate to the rank and position of an agency in the whole administrative hierarchy

will serve to

16 bring out this point. "The solution of the problem which has been worked out in many different fields is often ealled the principle of the line and staff. Administrators responsible for manage­ ment and operation are arranged in a definite hierarchy with definite well-established lines of authority and responsibi­ lity running from top to bottom. No one has authority to give an order to a subordinate officer except a higher officer in that immediate line...Specialists in this form of organiza­ tion are not in the administrative line at all. They are in a completely independent unit, the staff attached to the office of the head of the agency or an important unit of it; and they have no authority to give an order to anyone unless they have their own subordinates within the staff agency. Their power is to investigate, report, and recommend. It is for the line officers to determine to what extent they will accept the recommendations of the staff agency.*** "The staff and line organization, as the name implies, sets up two types of subdivisions, the functions of one of which is essentially staff, the other essentially line. The former has only advisory authority, while the latter has the power of order and command applied directly toward the consummation of the 3ob which the agency as a whole is designed to accomplish... it will be seen that there are no channels of authority running directly from the staff agencies to the line. Ail staff determination must go back to the chief administrative officer who gives them force through his order to the l i n e . ”23 Mr. Meriam then goes on to show how this application of the principle of line and staff is particularly well suited to the problem of personnel administration. ”The staff form of organization is particularly appropriate for specialists In personnel administration, because so many duties involving personnel are inseparably interwoven with ordinary operating management. They cannot be separated out; and if personnel specialists can give direct orders to subordinate operating officers with respect to them, then the personnel officers are controlling other aspects of management, and the ordinary managing officer can no longer be fairly held responsible.”2^ Now if this is the proper classification of the functions of

17 public administration, then the problem of personnel management is a staff function and should, therefore, be handled by a staff agency.

But since a staff agency has

no authority to act directly on a line agency by issuing orders to it, the personnel department becomes one for in­ vestigation and recommendation only. There is reason to believe that the advisability of adopting this classification is open to grave doubt. This general tendency to classify personnel management as a staff function is probably due to a misuse of the term staff.

As previously mentioned the term is borrowed from

military organization where it is used to signify a group of officers who are commissioned to act as expert assistants to the chief in command.

Only the chief can bind the heads of

the separate units of the force by his orders.

It is true

that the staff, besides advising with the chief, is also responsible for communicating the orders to the heads of the operating units, but they do not give any orders on their own initiative.

The main duty of the staff is to

furnish the chief commanding officer with the information and technical knowledge and advice which will enable him to issue orders intelligently.

This same principle can be

carried over into public administration.

The chief exe­

cutive officer of a large city, a state, or the national government has the task of supervising a vast system of de­

16 partments, boards, and commissions many of which handle problems highly technical in character.

It is physically

impossible for one man to secure all the information ne­ cessary for issuing intelligent orders to these agencies and to make the proper investigations to see how well the agencies are executing their orders,

Therefore the chief executive

should have at his call a group of men in whom he has con­ fidence to provide him with technical information and advice and to keep him informed as to the general efficiency of the entire administrative organization.

These men should have no

authority whatever over the heads of the administrative units. The only influence they could exert upon the operating agencies would be through their influence with the chief executive officer.

These men would be real staff officers and the type

of service which they would perform should not be confused with the type of service performed by a personnel agency. It is not intended here to indicate that personnel management is a line function in the same sense as such agencies as a tax commission, a public service commission, or a health department are; for the difference in their nature was well established in the quotation previously used from Mr. Walker.

The point to be emphasized here is that if we

are to set personnel management in its proper place in the administrative organization, it is necessary to recognize

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not just two, but three, definite types of administrative functions:

The line agencies which are engaged in carrying

on the regular governmental functions acting directly on the public; the staff agencies which function as administrative assistants to the chief executive and furnish advice and in­ formation to him, but have no authority to issue orders to the line agencies; and a third group of agencies which perform institutional services for all the line agencies for the sake of economy, efficiency, or uniformity.

Mr.

White has made a contribution to clearer thinking on this problem by his differentiation between staff agencies and auxiliary agencies. "It is the duty of the staff officer to study questions requiring a decision, to collect documents and information, to plan a course of action, and to advise his principal with reference thereto; and when the decision has been taken by the executive officer, to transmit and explain the orders and to observe and report upon the results. ... In addition to discharging its major responisbilities, each agency carried on all the essential "housekeeping" functions. It kept its own accounts on whatever system seemed satis­ factory to it; It handled its own funds and kept its own earnings; it purchased necessary supplies and equipment when, where, and how it saw fit; it hired and fired employees; it made its own contracts, all of course within the four corners of the law and the appropriation acts. As the volume of public business expanded, the process ©£> specialization had its effect, and one by one the secondary operations which each agency performed for itself began to split off as functions separately organized from any department, but serving all. ... Thus over a considerable period the process of specialization has been pulling out of the omnicompetent administrative department or institution certain activities common to all or most line agencies, organizing each of them

so into a separate, single-purpose, specialized office. These are known as the auxiliary agencies whose function is to perform a common activity enabling the line agencies to main­ tain themselves as working organizations."25 The classification which places personnel manage­ ment in the administrative organization as an auxiliary agency performing a service common to all other adminis­ trative departments is especially well suited to the dis­ cussion here, since this discussion is particularly con­ cerned with state governments.

In most of the states the

chief executive is a political leader more than he is a real chief administrator.

This is due to the fact that in some

states the governor’s term is for only two years, in some he is not allowed to be a candidate to succeed himself, and In many of them he does not select the heads of the various administrative departments.

Under the type of organization

now prevalent in the states little could be expected from personnel management if it were considered merely as a staff function and assigned to an executive assistant.

If good

personnel practice is to be installed in the states under their present administrative organization, the management of problems of personnel will have to be assigned to an agency with a considerable degree of independence and with authority to act directly upon the line agencies. In private industry where the corporation presi­ dent or the own©r-manager exercises practically dictatorial

- El authority, the problem of personnel might well be looked upon as a typical staff function.

In that type of organi­

zation the chief executive officer is charged directly with responsibility for all problems of management, including personnel.

He should, then, in order to perforin his duties

Intelligently have an expert in personnel management attached directly to his staff to advise him in formulating personnel policies.

It is also possible that Mr. Meriam*s position is

well taken in regard to the national government where the president is to a much greater extent an administrative manager than is the governor in most of our states.

But

even here, there are a great many agencies that lie almost completely outside the authority of the president, and even in the agencies directly under the president’s supervision, the general policies have been laid down by Congress. It is sometimes contended that the heads of the line agencies would resent the creation of a personnel agency from whom they would have to take orders, and there­ fore there would be constant discord and friction between the line agencies and the personnel department.

There is

always inherent in any administrative system danger of friction between those who order and those who are ordered, and it is difficult to see why this particular arrangement would increase this danger.

The degree of cooperation that

would exist between the personnel agency and the operating

- ££ units would depend to a large extent upon the character of the men in the departments.

A personnel agency properly

staffed can justify its existence in the eyes of other agencies by the quality of service it renders to them. The capable administrator will be tactful enough to enlist the cooperation of the line departments In an effort to furnish the kind of service they really need and thereby much of the danger of antagonism will be eliminated. Again it is argued that the administrative heads cannot be held directly responsible for the work of their departments if they are required to accept dictation from outside in regard to hiring and firing of the personnel within their own department.

Therefore in order to maintain the

principle of individual responsibility, it is contended that the personnel agency should occupy a position where it could advise and instruct, but not coerce, the department heads.

This argument does not apply very strongly to public

administration, especially in state governments.

In the

first place the principle of direct responsibility is not very well developed, and even if it were, it is doubtful if the tenure of public servants should be allowed to depend upon the whims of the administrative heads.

But it is

possible that a strong personnel department would not inter­ fere with this principle of Individual responsibility.

The

- 23 orders and policies of the personnel department would be uniform throughout the entire administrative organization and would affect each department head alike; therefore the relative efficiency of the departments would not be altered. Individual administrators would not be able to use this excuse to hide their personal inefficiency so long as other departments were showing satisfactory accomplishments.

A

final point to be considered Is the fact that the degree of uniformity which is desirable in the public service of a state would be practically impossible If this principle of individual responsibility were rigidly applied. A more detailed discussion of the organization of a practical state personnel department will be left for another chapter, but this general summary statement can be made here.

Public personnel management In state adminis­

tration should not be considered a purely advisory or staff function, but should be considered as an auxiliary function comparable to state financial administration and should be entrusted to an agency empowered, within the scope of legis­ lative authority, to act directly upon all other adminis­ trative agencies of the state government in personnel work.

- 24 Chapter II CLASSIFICATION AND STANDARDIZATION OF POSITIONS IN THE PUBLIC SERVICE Need for Position-Classification "The occupational classification of positions in the service of any organization, public or commercial, is to personnel work what the creed is to a religious sect. Without an occupational classification, only crude, unsys­ tematic, rule-of-thumb personnel work is feasable. With it, everything becomes possible. The occupational classi­ fication, moreover, is like the religious creed in another important respect. In itself, it produces no worth while result; but it constitutes a tool with which all important objectives may be achieved.*2® wThe importance of proper organization is therefore incontrovertable. ... wIn view of these considerations, the method of controlling organization becomes a matter of first moment. That method is classification.1*27 The above Quotations have been chosen to introduce the subject of position-classification beeause they repre­ sent the point on which practically all students of personnel management are in agreement, that is in the necessity for some type of classification plan.

Mr. Telford, whose

quotation appears first, is selected to represent a group of personnel experts who have actually wrestled with the problem at first hand and have prepared some of the classification plans now found in various units of the public service in this country.

The second quotation Is from Mr. Wilmerding's

monograph prepared for the Commission of Inquiry on Public

25 Service Personnel and is selected to represent a group of students of personnel problems who consider the classifi­ cation plans adopted in this country a serious handicap to the development of definite careers in our public service comparable to those found in England* will be discussed later.

These two attitudes

What should be pointed out here

is that although there is a difference of opinion as to the method to be used and the objectives to be sought, there is substantial agreement on the need for some system of classi­ fication as a tool for personnel management. Meaning of Fosition-Classification The idea of classification of positions is simply a scheme for arranging all positions within a governmental unit or private industry into classes or groups upon some basis which has been previously determined.

The basis most

commonly used for this purpose is similarity of duties and responsibilities.

The development of plans for the classi­

fication of positions is an attempt to apply a well developed scientific method to personnel management.

It is the idea

of classification that has developed well defined fields of physical and biological sciences.

The science of botany

furnishes an excellent example of how a distinct field of science has been developed through the efforts Of students to classify plant life on the basis of points of similarity.

An

- 26 excellent example of the application of the principle of classification to a practical problem may be observed in any large modern library.

The art of classification of

books has been developed to such a degree of efficiency that any single volume can be speedily located from among stacks containing thousands of volumes.

The system used

in libraries is based on the principle of classifying books according to similarity of subject matter.

Large divisions

are subdivided into smaller ones until each individual volume can be assigned to a particular place in the classi­ fication scheme.

It is true, to be sure, that in such classi

fication work there are many problems requiring the exercise of judgment because of borderline cases.

Certain volumes

may not appear to fit into any established class or others may appear to belong equally well to either of two or more classes.

These "special cases", however, have not presented

insurmountable obstacles to library classification plans. In classification of positions this same principle of grouping is applied to the great mass of positions found in our modern government and industrial organizations.

The

term job-analysis is generally used to refer to such classi­ fication schemes in the field of private industry, while position-classification is the term in more general use in the government service,^®

The work done in private industry

- 27 along this line, however, is carried into fields not usually included by classification studies in public service. The studies made in industries include not only the study of each position for the purpose of assigning it to a certain class, but also the study of each position with a view to finding the most efficient method of performing the tasks involved and of setting up a quantative measure as a stan­ dard to be expected of an employee in a particular length of time.

This latter attitude has not been looked upon

with favor in the public service.

The fundamental goal of

position-classification in the public service has been to arrange the multitude of positions into groups sufficiently alike that all positions in a group can be dealt with as a unit.

Because of the great number of positions found in

any of our large governmental units it is essential that some system be devised so that each individual position will not have to be dealt with as a separate unit If a personnel agency is to be held responsible for good personnel manage­ ment. An Example of Classification In studying the classification problem the im­ portant consideration is not whether or not the public ser­ vice should be classified, but to what degree of complexity the classification plan should be carried.

Before considering

- 28 this point, on which there Is some difference of opinion, it will be well to examine a classification plan that has actually been put into operation, so that a clear picture of what position-classification really is ©an be presented. The first classification plan to be adopted in this country was put into effect in the City of Chicago in 1912.29 The Federal Classification Act was passed in 1923, and since that time classification has been looked upon as an Integral part of the merit system.

In 1934 fifteen states, thirty

cities, and fourteen counties had adopted classification plans.S0 The classification plan used by the United States Civil Serviee Commission will be used as an illustration because it includes most of the phases of the classification problem.

The task of making the studies necessary for

classifying the federal service was assigned to the Personnel Classification Board, and the material presented here is taken largely from the closing report of this board which appeared in 1 9 3 1 , This study was made under the terms of the Federal Classification Act of 1923.

The act itself

provided for certain divisions of the service which the board was obliged to use.

The broadest divisions provided

for in the act were called ^services* and were supposed to represent roughly the occupational groups found in the federal service.

The five service classifications provided

-

29

were: (1) the Professional and Scientific Service, (2) the Sub-Professional serviee, (3) the Clerical, Administrative, and Fiscal Service, (4) the Custodial Service, and (5) the Clerical, and Mechanical Service.

It should be mentioned

that the board in its report recommended that three addi­ tional services should be created to be called (6) the Inspectional Service, (7) the Educational Service, and (8) the Bightkeeping and Bepotkeeping Service.

For purposes of sim­

plification each service was designated by a code letter. The capital letter beginning the significant word in the service title was designated as the code letter of the ser­ vice.

In the order named above the code letters of the five

services were: (1) "P", (2) «SP", (3) "CAP", (4) "CS", (5) "CM". The next division, created also by the act itself, was for the purpose of distinguishing the degree of respon­ sibility inherent in positions within a single service. Each of these divisions was called a "grade", each grade was defined in terms of the degree of responsibility in­ volved, and to each was assigned a definite salary range. The number of grades defined in each service varied from only four in the Clerical - Mechanical Service to sixteen in the Clerical, Administrative, and Fiscal Service.

In order to

continue the use of a code classification, each grade was designated by a number beginning with the lowest grade de-

- 30 signated as number one. With these serviee and grade divisions as a frame­ work, the board grouped all positions into "classes" and assigned each class to its proper grade and service to complete the classification scheme.

In grouping the positions into

classes similiarity of duties and responsibilities was made the basis of judgment.

The board defined a class as "a group

of positions which are sufficiently similar in respect to their duties and responsibilities that (a) the same re­ quirements as to education, experience, knowledge, and ability should be demanded of incumbents, (b) the same tests of fitness may be used to choose qualified employees, and (c) the same schedule of compensation is made to apply with equity under the same or substantially the same conditions".31

A

descriptive title which indicated the nature of the duties of the positions was assigned to each class.

Over 1500 such 32 classes have been established in the federal service. In studying the individual positions in order to

determine to which class they should be assigned, the position itself, without respect to the particular quali­ fications of the individual occupying the position, was considered.

This distinction between the position itself

and the person occupying the position at any particular time is one that should be kept constantly in mind in studying

- 31 classification plans. The examination of an actual position in the federal service will serve to illustrate this plan of classification. Let us assume that there are in practically all federal de­ partments positions requiring the services of accountants. Since the classification plan disregards department lines, and since the duties of all accountants are similar, they might all be assigned to one class.

But examination would

reveal that the duties and responsibilities of these positions vary quite widely both as to the difficulty of the work performed and the amount of supervision involved.

In order,

then, to have classes whose duties and responsibilities are similar, a number of classes would have to be created to take care of all accountants.

Since the title of the class

is descriptive of the duties and responsibilities of the position within it, these classes would be designated as "Chief Accountant”, "Principal Accountant”, "Senior Accountant”, and "Junior Accountant”.

The particular duties and respon­

sibilities of each of these classes would be set out in what are known as the class specifications.

Examination of the

classes designated as "Senior Accountant", would reveal the type of work performed, the amount of supervision exercised, and the qualifications required of those who fill the position. From this information it would be evident that this class of positions is professional in character and should be assigned

- 32 ~ to the Professional and Scientific Service and given the ocde letter wPn. Mow the specifications for this position must be placed alongside the grade definitions provided in the classification act to determine the grade to which it should be assigned.

If the class specifications for "Senior

Accountant" should call for "responsible work requiring ex­ tended professional training and considerable previous ex­ perience" it would fall into grade three.

The complete

classification of this position would then read: P-3 Senior Accountant.

A large number of positions would be found in

the federal serviee that would fall into this one class. The same eligibility register would be used for filling vacancies in this class, and the same salary range would apply to all positions in the class. The federal classification plan just described is one of the more complex plans that have been put into use in this country.

The introduction of grades into the classi­

fication plan is largely responsibility for this complexity. After all positions had been grouped Into classes on the basis of similarity of duties and responsibilities, each class had to be assigned to a particular one of approximately ten grades the definitions of which had been arbitrarily established before the positions had been grouped into classes.

This feature has been eliminated from many of the

- 33 classification plans adopted by our state and city govern33 ments« Two Concepts of Classification The classification plans generally adopted in this country are based on the position as the unit or starting point.

When a governmental agency starts out to prepare a

classification plan, it starts by making a detailed study of each individual position; then it groups the positions Into classes.

It is not uncommon for the classes to be

further grouped into occupational or professional services. Although this is the common procedure in this country, it is not without its critics.

As has been previously indicated,

Mr. Wilmerding severely criticized this method in his study made for the Commission of Inquiry on Public Service Personnel; but let him speak for himself. "If classification were merely a game to test the human ingenuity, one might dismiss the error in its theory and in its method as of little consequence. But classifi­ cations are made to use, and an erroneous classification may therefore lead to practical results which are bad. "The most obvious fault to be found with all classifications made on the American plan is their complexity the great number of classes and occupational hierarchies which are set up. ... "Classifications of such complexity are to be con­ demned because of the fetters which they place upon depart­ ment heads in the management of their business.3* Mr. Wilmerding in making his suggestion as to the proper procedure speaks as follows;

M

-

"I suggest the inversion of the method of classi­ fication. Instead of building the classification by agglo­ meration from the answers to questionaires, let the classi­ fiers start with the whole civil service and proceed bydivision and sub-division. They know without making costly Job analyses that government requires the services of doctors, lawyers, janitors, clerks, and so forth. Let them therefore set up out of their ordinary knowledge of government the several careers in the civil service, sub-dividing them to the degree which is consonant with proper recruitment and promotion policies."35 From this statement It is evident that Mr. !Vilmerding would make what has previously called the "service" the basic unit in the classification plan and start there in working out the entire plan.

The attitude of most of

those who have worked out the classification plans now in use has been that the job or position should be the basic unit, and the classification process should start there. The following quotations will show this latter point of view. "Basic to the duties classification are the con­ cept of position and class. A position, which may be either vacant or occupied, must be clearly differentiated from the incumbent of the position. It is characterized by certain duties and responsibilities which call for the time and attention of* some one individual. These are the character­ istics of the position which are to be looked upon as the bricks in the classification wall."3® In a more recent text Mr. Leonard White puts it as follows: "The fundamental unit in the classification plan is the position. ... These basic units are combined into classes through analysis of their relevent characteristics."

-

55

Purposes of Classification In order to attempt an evaluation of the advantages of either type of classification plan, one should first determine the purposes for which the plan is made and the uses to which is to he applied after it has been completed. Classification cannot be considered an end in itself.

It

can be justified only on the ground that it will furnish a useful tool for the purpose of better personnel management. It may be true that the study which is made by the classi­ fication agency may be of value in itself by bringing to the attention of officials certain weaknesses in the admini­ strative set up within departments as suggested in the following statement of Mr. Leonard White formerly a member of the tJnited States Civil Service Commission: "In the process of getting at the facts the employee himself and his superiors naturally have full opportunity to state their case. They do not always agree, and this in­ quiry not infrequently teaches division and bureau chiefs much about their own organization. Incidentally, confusion in the distribt&on of authority, overlapping duties, and other sources of poor administration are almost certain to appear in the process of getting at the facts on which an allo­ cation rests. This is one of the subsidiary, but important advantages of a classification plan."38 Such bi-products of classification, although of considerable value, are not the fundamental values on which it rests.

If position-classification is to justify its

existence, it should furnish pertinent information organized

-

36

-

in such a way that it can he used for the following purposes: (1) To set up an equitable salary schedule, {Z) To facilitate recruitment of personnel,

(3) To establish a fair basis for promotions and transfers, (4} To draw up organization charts showing definite lines of authority, (5) To provide uniform terminology for bookkeeping, reporting, and budgetmaking. Equitable Salary Schedule It almost goes without saying that the govern­ ment should have a compensation plan that is equitable to all its employees.

There can be no justification for a

difference in salary range for full-time typists in different departments of a state government.

The range in the salary

schedule may allow for increased increments for proficiency or for length of service, but the upper and lower limits of salaries for the same type of positions should be the same throughout the administrative departments of the govern­ mental unit.

This principle of equal pay for equal work is

more generally accepted in theory than it is applied in actual practice.

This is due in part to the difficulty of

making accurate comparisons throughout the entire service where no classification plan has been adopted.

In these

unclassified services each department has a list of position-

- 57 titles which it uses for its payroll register, but many times these titles bear little resemblance to the actual work involved in the job.

Since the salary is often deter­

mined by the title assigned to the.employee rather than the actual work which he performs, it is an easy matter to allow favoritism to creep into the service through the appli­ cation of titles to employees whose work does not Justify the title assigned*

The morale of the Service is seriously

undermined by such inequitable salary distribution.

In

order to make possible the application of an equitable salary schedule the classification plan should: (1) Cut across departmental lines and apply to the entire service of the governmental unit being classified; (S) Group positions according to similarity of duties and responsibilities; (3) Provide a sufficient number of classes so that any difference in work that would justify a difference in salary would be recognized in the classification plan; (4) Provide for sufficient flexibility of management so that changes in the duties of a position which would justify a change in salary can be recognized by a change In the classification of the position within a reasonable time; (5) Group the numerous classes of positions Into occupational or professional groups so that salaries paid in the public service can be compared with those of similar occupational and professional groups in private employment. The question of whether the classification plan,

— 58 — if it is to be used as an aid in building an equitable salary schedule, should take into consideration the quali­ fications of the individuals who hold positions in the public service deserves some mention here,

The qualifi­

cations required of employees is of great concern in deter­ mining tests for recruiting personnel into the serviee, but in fixing salary schedules the actual duties and respon­ sibilities performed by the employee should be the determin­ ing factor.

This does not mean that those classes which re­

quire higher qualifications should not be placed in higher salary brackets* for that would be taken care of in fixing salary ranges for each occupational or professional group separately.

It does mean that individuals will receive

equal pay for equal work equally well performed without re­ gard to special qualifications which they might have* but which are not used in performing their work.

This may be

illustrated by the case of a teacher who is carrying a re­ gular full-time teaching load without any administrative responsibility*

The salary of this teacher should be deter­

mined by the salary range fixed for full-time teachers even though it might be discovered that he not only was quali­ fied for his teaching duties* but was also qualified to per­ form administrative duties*

This information would be of

considerable importance in studying possibilities of promo-

-

39

tion within the system, hut it seems unwise to consider it In building salary schedules. A basis for Recruitment The second purpose which the classification plan should serve is to facilitate the recruitment of personnel by the personnel agency.

It is difficult to prepare means

of selecting employees on an objective basis who will be reasonably qualified to perform the work to which they will be assigned unless the personnel agency knows in advance the duties and responsibilities of all the positions in the service.

The classification plan should be one that

would furnish this information to the personnel agency, so that the work of devising suitable tests of ability can be prepared in advance of their aotual need.

When all positions

requiring essentially the same qualifications and abilities are classified together, elegibllity registers can be main­ tained for each class and vacancies can be filled without unnecessary delay. The classification plan which will be most useful in recruitment will be determined to some extent upon the general recruitment policy to be followed in the public service.

The subject of recruitment will be considered at

greater length in another chapter, but it is pertinent to mention here that it is at this point that the American plan

- 40 is ¥7idely different from that in use in England.

In Eng­

land the general policy is to recruit young men into the public service on the basis of tests covering the regular academic fields of learning, and then training them for their specific work while in service.

The individuals

thus selected become permanent civil servants rising in the service according to abilities and length of service.

In

this country the policy adopted has been that of selecting individuals for particular positions on the basis of their abilities to perform the particular job for which they are being selected.

It is quite evident that a classification

plan which might be sufficient in the English Civil Service would be entirely inadequate under the American system, for the most part the positions in the public service of all the governmental units in this country require special training, and facilities for giving this training to employees after their entrance into the service has not been de­ vised; therefore personnel agencies in this country must continue to prepare tests that will measure ability to per­ form specific duties rather than measure general educational attainments.

So long as this remains the policy in this

country, the classification plan must provide for a suffi­ cient number of classes so that differences in the qualif­ ications required for different positions will be clearly

- 41 evident in the classification plan.

But all those positions

which can, because of the similarities of qualifications re­ quired, be filled from the same eligibility register should be placed in one class or arranged in a series of classes. This will enable the personnel department to give examina­ tions less frequently*and consequently give them more time to prepare reliable tests for each class of positions. A Basis for Promotions and Transfers The Classification plan should serve as a basis on which promotions can be made with fairness and trans­ fers can be ma£e within the service with as little waste of energy as possible.

One of the driving forces that prompts

employees to serve efficiently Is the hope that good service will be rewarded by promotion.

Any classification plan

which raises barriers to promotion within the service should be looked upon as a hindrance rather than a help to the im­ provement of the service.

It is at this point that the com­

plex classification plans are most vulnerable to criticism. In order to serve as a basis for promotion the classification plan must provide definite ladders whose steps represent promotional levels which are within the public service.

This

does not mean that the practice of classification of posi­ tions into classes according to similarity of duties and responsibilities should be given up, but it does mean that

- 42 this alone is not enough.

Classes of positions which are

similar in duties, but in which each is different from the other in the degree of difficulty or the responsibilities Involved, should be arranged into a series in such a way that each class would represent a step in the promotional ladder* It would be practically impossible to arrange these series of classes without first making minute class divisions of all positions in the service.

The danger which has pre­

viously been mentioned that minute classification will be a hindrance to the development of career services can be eliminated by making definite lines of promotion from one class to another.

The danger to career service is not to

be found in the minute classification of positions, but in the policy of recruiting too much from without rather than making promotions from within the service. One of the things that could serve to make public service in this country more attractive is a classifi­ cation plan which shows the prospective applicant definite lines of promotion which are open to him if he secures a position in the public service.

There are probably some

classes of positions in the public service which do not offer much opportunity for promotion, and if this is true, this fact should be made known to those who present them­ selves as candidates for positions in these classes.

With

- 43 a good classification plan this information would be avail­ able to students who are interested in preparing for posi­ tions in the public service*

A classification plan which

shows the duties and responsibilities of positions and the lines of promotion open to employees can be of great service to schools in counseling students who display an Interest in public administrative work and to employment departments who are trying to find employment for many well trained workers. It is often advisable to make transfers of employees from one department to another because of seasonal increases in the work of some departments and corresponding decreases in the work of others.

If employees are classified accord­

ing to their duties regardless of the department in which they are employed, the task of making these transfers will be greatly simplified.

Departments can make known their

demands by signifying the classes of employees which they need, and the personnel department can transfer to them em­ ployees of the same elass regardless of the department in which they may be employed.

In some cases transfers may be

deemed advisable because certain employees cannot adjust themselves to their supervisors.

Out of a sense of fairness

to such an employee it might be wise to assign him to a similar position in another department.

These transfers

-

44

-

would be greatly facilitated by a uniform system of classi­ fication in all departments. Administrative Charts The classification plan should furnish the essen­ tial information and the terminology necessary for the ad­ ministrator to construct a chart of his entire department showing the exact relation of each employee to the entire administrative organization.

One of the essentials of good

administration is that each employee knows with certainty what work he is to be held responsible for and to whom he is to look for supervision.

If positions are grouped

into classes so they represent similar duties and responsi­ bilities and these duties and responsibilities are set out definitely in the specifications provided for each class, the administrator can arrange a chart which will show quite clearly how the lines of responsibility run from each in­ dividual position through intermediate superiors finally converging in the office of the chief administrator res­ ponsible for the entire work of the department.

Under such

a plan each employee can know with certainty to whom he will look for orders and to whom he can go for counsel. Uniform Terminology for the Public Service Administrators who deal with problems involving

- 45 the public service should have a common language*

In units

of the government where no definite plan of classification has been adopted it has been found that widely varying types of positions were designated by the same title and widely varying titles were used to designate positions whose duties were quite similar in nature.

The Congressional

Joint Committee on Eeelassification of Salaries discovered 105 different titles being used in the federal service for employees who were doing the work of record and file clerk. The Joint Legislative Committee on Classification of Positions in the Hew York Civil Service found that 110 distinct classes of positions were carried on the records under the title of 59 "clerk*. The standardization of terminology is of speoial value to the agency whieh has to prepare the budget es­ timates for the legislature.

In studying budget estimates

submitted by the operating departments, more accurate com­ parisons of requisitions for personal services can be made If all departments are using the same titles for simi­ lar positions.

The relations between the operating depart­

ments and the central personnel agency can be simplified if a uniform terminology is used in requesting qualified applicants for vacancies, in submitting payroll registers for approval, and in keeping efficiency ratings of employees.

-

46

Suggested Classification Plan Attention will now be given to a discussion of the type of classification plan which seems most likely to serve the purposes whieh have just been outlined. The first and most important group be established Is usually called the "Class".

that should The defini­

tion adopted by the National Civil Service Reform League for the class is as follows: "A class is the smallest aggre­ gation of positions defined in the classification plan.

It

is a group of positions sufficiently alike in respect to their duties and responsibilities to justify common treat­ ment in selection, compensation and other employment pro­ cesses, and sufficiently different from positions in other classes to justify different treatment in one or more of these respects.

While defined as a group of positions, a

class may sometimes consist of but one position where no 40 others of the same kind exist In the service." The class should include as many positions as possible without including positions which require special treatment in problems of personnel management.

This does not mean that every posi­

tion in a single class should be assigned the same salary. What it does mean in regard to salaries is that all employ­ ees in a single class will have the same salary range. This range may be broad enough to allow special consideration

-

47

-

for efficiency, length of service, or any other considera­ tion the legislature might wish to stipulate.

In arranging

positions into classes the basic consideration is whether the positions are sufficiently alike with respect to duties to be performed and responsibilities to be assumed as to make it possible for the personnel agency to deal with them all as a single unit. In making these classes special consideration should be given to the possibility of having each class re­ flect not only the difference in types of work performed, but also differences in the difficulty of the work and the degree of responsibility which it involves.

When different

classes are created for positions which involve similar types of work, each new class created should constitute what might be considered a step higher In the service.

In

this way each class may be looked upon as a promotional step in the service.

Such a plan calls for another divi­

sion in our classification program called a "Series of Classes". The Technical Bulletin referred to above defines a series of classes as "two or more classes similar as to the line of work and differing principally in their rank, consti41 tuting steps in a narrow line of promotion." The chief value in the idea of class series lies in the possibilities it affords for establishing lines of promotion with the

-

48

-

ultimate goal of developing definite careers in the service. In studying the classes within a public service many classes will be found that are similar as to the diffi­ culty of the work and the degree of responsibility involved, but they differ In the degree of specialization represented by the positions in the classes.

This may be illustrated

by economists in the federal service.

Economists will be

fbund in the federal service in many departments, but some of them are specialists in the field of agricultural economics while other are experts in the field of finance, and others in the field of International trade relations. These cannot be included in a single class because the same method of recruitment is not applicable to them all, but they can be organized into "Groups of Glasses" which then becomes the third division in the classification plan. The Civil Service Assembly Bulletin defines a group of classes as, "two or more closely related classes which have a common and equal basic background of duties, responsibilities, and qualification requirements, and which therefore, although differing in some particular essential from the stand­ point of selection, such as the nature of specialization, are readily included under a common description for the pur­ pose of editorial convenience with the one point of differ­ ence noted. The fourth step in a classification plan should be

-

49

-

the combining of classes into "Occupational Groups". Occupational groups should in so far as possible correspond with those occupations found outside the public service* Although the Technical Bulletin which has been quoted recognizes this group, it treats it as follows: "Occupa­ tional group is a term loosely applied to a sub-division of a service embracing two or more classes or perhaps several series of classes in the same occupation, profession, activity, or field of endeavor*

It is used merely as an

editorial or other working convenience and forms no essen43 tial part of the classification plan". Although the classification plan might work effectively without this classification, it can be made to serve a useful purpose. The government in securing Its employees Is required to com­ pete in the labor market with all other ageneles that employ labor*

If the government is to compete on favorable terms

for its share of the best talent available, the salary schedules established for the public service should bear some relation to the salaries paid by competing agencies. One of the guides in studying salaries paid by private agencies is the type of occupation or profession to which the employees belong*

If employees within the public service

are classified so that these occupational groups can be recognized, the task of building salary schedules will be

- 50 made easier* As the interest in developing definite careers in the public service increases, this occupational grouping will probably take on additional importance*

The system

of training in this country is based on the idea; of train­ ing for special trades, occupations, or professions, and if public service personnel is to be recruited from among the young men who are starting out in a career, it will be nec­ essary to have these occupational groups well defined in the public service.

It is quite possible that no single

public service will contain all the occupational groups found in private businesses* but most of them will contain some occupational groups that are found only in the public service. The final division of the classification plan should organize the occupational groups into "Career Ser­ vices".

This is the broadest classification of positions

in the service according to the type of work performed. The five services previously listed in the federal classi­ fication plan serve to Illustrate this division.

They were:

(1) The Professional and Scientific Service, (2) The SubProfessional Service, (3) the Clerical, Administrative and Fiscal Service, (4) The Custodial Service, and (5) the Clerical and Mechanical Service.

The Report of the Com-

- 51 mission of Inquiry on Public Service Personnel recom­ mended the establishment of five career services in the federal government as follows: (1) The Unskilled Service, (2) The Skilled and Trades Service, (3) The Clerical Ser­ vice, (4) The Professional and Technical Service, and (5) 44 The Administrative Service. In the report of the com­ mission the above mentioned career services are considered as the basic classifications to be used in the classifica­ tion plan.

This report states,

"The general service should be placed on a career basis through subdivision, first ©f all, into career ser­ vices, not into many classes as has been the past American practice. We do not believe that the public service should be minutely classified into pigeonholes, for which the Civil Service Commission tries to find men who exactly fit each compartment, but rather that the service should be divided Into ladders, for which young men are normally selected to start on the bottom rung."*43 The opposite point of view can be demonstrated by the following definition taken from the Civil Service Assembly’s Technical Bulletin. "A service is a convenient but not essential grouping of classes on broad lines according to the gen­ eral character of the duties which is helpful in develop­ ing a classification plan and particularly useful in the presentation of such a plan to administrative or legis­ lative agencies. Services are mere conveniences, arbi­ trary in their nature and of no value in practice beyond their use in developing or applying the classes which form the true classification or in presenting classification matters to those to whom the work, its problems and its ad­ ministration, are comparatively n e w , "46 The great significance which the Commission of Inquiry places on the service classification is probably

accounted for by their interest in developing definite careers in the public service of this country.

They have

seen the intricate classification plans adopted in this country being used to determine the narrow recruitment policies whieh characterize American civil service.

Classi

fication plans that have adopted the class as the basic unit and have established the large number of classes necessary to differentiate one position from another have no doubt influenced civil service commissions to prepare tests which would determine the ability of applicants In a very narrow field of knowled^ and experience rather than on general abilities whieh would demonstrate prospects for growth through experience.

Their desire to abolish the

class as a basic unit in the classification plan is due to their fear that so long as it exists, it will be used as the basis of recruitment policies.

As has been previously

indicated, recruitment is only one of the uses to which a classification plan should be put, and it is difficult to see how the service classification used alone would be sufficient to serve all the purposes which have been out­ lined for it. Although the Commission has probably overempha­ sized the importance of the service as a basic unit in the classification plan, it certainly should not be completely eliminated.

The service unit does serve to indicate the

-

53

-

broad careers that are open in the public service, and through the adoption of wise recruitment policies, these service divisions can be used to encourage the entrance of qualified men into positions in the civil service. Careers in the Classification Plan If it is accepted that career services should be provided for in the classification plan, the question arises as to what careers should be recognized In the public service.

The services established in the federal civil

service and those recommended by the Committee of Inquiry on Public Service Personnel have been previously listed. The service divisions established by the Commission of In­ quiry appear to conform with those generally found in pri­ vate enterprise, with one possible exception.

The estab­

lishment of a separate and distinct administrative service is open to some criticism.

The Commission justified its

adoption of the administrative service division as follows; "It has become evident in private business and in public business that all complicated human organizations require correlation, planning, and the central direction, arrangement, and delegation of work. The sum of these is administration. Administration is in Itself a definable field of knowledge and experience. It possesses its own developing technology, and demands special capacities, appropriate training, peculiar experience, and extensive application for its mastery. It is the great need for ex­ perts in admiaistration throughout American government and for the protection of those we now have which has led the Commission of Inquiry on Public Service Personnel to insist that the establishment of a career service system in American government shall include the administrative service."47

The attitude of the Commission was probably in­ fluenced by certain testimony presented to it on this sub­ ject,

The following extract from the Minutes of the Com­

mission Is part of the testimony of Mr, W. W» Stockberger, Director of Personnel of the United States Department of Agriculture. "Our men who are brought up from the ranks in the department generally have been given increased responsi­ bilities and at a certain point executive or administra­ tive duties largely, and in many cases I would say solely because of their display of some recognized ability in a particular narrow field. Our bureau chiefs; when the appo­ intment of these men Is proposed, frequently raise very little question as to whether they are well grounded in the principles of administration or whether their per­ sonal attributes are such that they are fitted to manage a group of men; They are put in these positions largely on the basis of performance in a totally unrelated field. 1 have said many times that in our department we have spoiled many excellent research men by making them into rotten administrators."48 An excellent discussion of the difficulties involved In the establishment of such en administrative service as has been suggested above is found in Lewis Mariam’s study of personnel problems from the standpoint of the operating officers.

The two quotations which fol­

low give the substance of his argument. "Much has been written regarding establishing a career service in the administrative branch of the gov­ ernment. Unfortunately some of the writers think of the executive and administrative positions as constituting the career positions, ignoring three factors; (1) that in an administrative hierarchy the number of executive and administrative positions is extremely small; (2) that the administration of a technical service generally re­ quires technical competence; and (3) that the bulk of the

-

55 49

service is done by journeymen.n * "Any proposal gradually to replace scientific and technical men in upper administrative positions by general administrators involves the assumption that general adminis­ trators would be more efficient than the competent scientific man. The question may be asked; More competent in what? Staff agencies of the research, investigational, and promo­ tional type are usually relatively small, and they present few large problems of general operation and management. They do, however, require a large measure of professional competence and professional standing, ... The effectiveness Of the work of many of these agencies depends in no small measure not only on the technical and professional competence of the leader but on the extent to which the clientele of the agencies involved recognize him as an authority."30 It should be mentioned that the quotations from Mr. Meriaa were taken from his book which has been written since the appearance of the recommendations of the Commis­ sion of Inquiry, and they can probably be looked upon as an answer to the Commission’s recommendation for the estab­ lishment of a separate administrative career in American public service.

Some light might be thrown on this problem

by studying a career that has developed in American public service to a point where it has become a recognized profess­ ion,

The position of public sehool superintendent Is a good

example of such a position.

This position requires a con­

siderable degree of administrative authority,

S>roblems

of finance, public relations, departmental organization, personnel, and planning are constantly confronting the modern school executive just as they are the adminis­ trator in any department of governmental service.

It is

56

-

interesting to note that the development of this position into a definite career service has not come about through the establishment of an educational administrative service independent of the teaching profession. the opposite has been the case.

As a matter of fact

Administrators have in

most instances been drawn from members of the general teaching profession.

This has been so generally accepted

that our training institutions, although offering special courses in administration, give to prospective adminis­ trators the type of training required of all prospective teachers.

State certification bodies have recognized

special administrative certificates, but the issue of such certificates is based upon the candidates qualifications as a teacher as well as those that relate to administration; and it is not at all uncommon to find that the issue of such a certificate is based on the individual’s actual ex­ perience in the teaohing field.

Where state certificate laws

do not require special administrative certificates, boards of education are prone to look with favor upon those candi­ dates who have had previous teaching experience.

It is

indeed doubtful whether or not an individual trained in the field of general administration would have the under­ standing and technical knowledge essential to administer successfully a modern school system.

Successful adminis­

- 57 tration in this field is in no small way dependent upon the capacity of the superintendent to understand the actual nature of the problems with which his teachers have to struggle.

It is this common understanding that induces

teachers to feel free to bring their problem to their admin­ istrative superiors and lends to the administrator the pres­ tige which is so essential to the successful performance of his duties. Although the position occupied by the school ad­ ministrator may be different from many of those found in the public service, one should look with disfavor upon any classification that might lead to having persons trained only in the field of general administration being placed as heads of such departments as public health, public educa­ tion, highway maintenance and construction, public safety, public utilities and others which require personnel highly trained in specific fields of knowledge.

The elimination

of the administrative service from the classification plan does not mean that heads of departments will necessarily be men without administrative training or ability.

Recruitment

into these administrative positions should be based upon de­ monstrated ability In this work, but it should not depend al­ one an administrative ability, but should also depend upon demonstrated ability in the particular field of work in which

-

58

the department Is engaged.

-

The heads of those departments

of government which have been previously called the auxil­ iary agencies such as personnel departments, budget bureaus, and central purchasing offices might be looked upon as forming a general administrative service, but even in these departments, there are definite technical skills and know­ ledges that should be part of the equipment of every such admini strator• The course that seems best adapted to the end de­ sired would be to eliminate the administrative service as a definite and distinct career, and place administrative positions in the same career as professional men. The following summary gives what is suggested as a classification plan reasonably well adapted to Ameri­ can public service. (1)

All individual positions in the public

service should be grouped into classes on the basis of duties and responsibilities.

All positions which are suffi­

ciently similar to allow their being treated as a unit should be included in a class.

The class title should give

a hint as to the type of duties Involved and the responsibi­ lities to be assumed.

Examples of such classes might well

be: Chief Statistician, Principal Statistician, Senior Sta­ tistician, and Junior Statistician. (2)

All classes which represent essentially the

- 59 same type of duties but differ la the degree of responsibi­ lity of the positions should be grouped into series of classes which would represent promotional steps in the service. The four classes named above might well comprise one class series. (3)

All classes which are essentially alike in

duties and responsibilities but which differ in the type of specialization involved should be grouped together to form a group of classes.

A group of classes might include

Junior Agricultural Statistician, Junior Educational Statis­ tician, Junior Labor Statistician, Junior Business Statis­ tician and so forth. {4}

All classes which represent one occupation

or trade should be organized into occupational groups. This would include such groups as lawyers, physicians, carpenters plumbers, nurses and many others. (5)

All occupational groups should be grouped

into career services according to the nature of the occu­ pation or trade.

For this purpose It is suggested that

four career services be adopted as follows:

(1) The Prof­

essional, scientific and technical service, (2) the cleri­ cal service, (3) the skilled trades service, and (4) the unskilled trades service.

- 60 Who Should Classify a Governmental tfalt? In determining who should be charged with the task of actually making the classification of the public service of any unit of government a number of possibili­ ties must be considered*

The authorization of the classi­

fication should come from the legislative body of the unit of government being studied*

Classification is a matter of

policy requiring the expenditure of money and therefore should be placed on a sound legal basis through legisla­ tive authorization*

As has been indicated in this discus­

sion there are differences of opinion as to the degree of complexity to which the classification should be carried* This also should be a matter of policy to be determined by the legislature in making the authorization and appro­ priation for the classification survey* The actual classification study and report might be made by any of several agencies*

The following plans

have been used in certain units of government in this country: (1) The central personnel agency or civil service commission, {%) a special committee of the legislature, 51 (3) an outside agency which specializes in such work, (4) the finance department or budget agency.

A combina­

tion of the above could be worked out by giving the res­ ponsibility for the classification to one of the adminis­ trative agencies and permitting the agency to call in ex-

-ex­ perts to make the actual study of positions and present a plan to the agency in the for® of a report. Eeoent practice seems to favor giving the res­ ponsibility for classification to the personnel agency. Of the twenty-six governmental units that conducted classi­ fication surveys between 1950 and 1934, seventeen were directed by the personnel agency or civil service commia52 sion. This procedure seems the logieal one since the app* lieation and maintenance of the plan will fall upon the personnel agency.

There is some reason to support the idea

of giving the budget department some representation on the classification agency since the classification plan adopted will be the basis upon whieh budget estimates for personal services will be made.

Where the unit of govern­

ment is as large as that of a state, the personnel agency should be authorized to secure the services of an expert to direct the study.

The extensive nature of the task may

justify the hiring of special assistants, but in so far as possible the employees of the personnel department should participate directly in the survey.

Such participation

furnishes an excellent opportunity for the department staff to learn at first hand the details of the classifi­ cation plan, the difficulties involved in making the plan, the methods to be used in keeping the plan up to date,

- 62 and the reasons why certain border line positions were assigned to particular classes.

This latter point is very

important since many of these borderline assignments will have to be justified both in the eyes of department mana­ gers and employees. Procedure in Classifying a Governmental Unit The actual procedure involved in making a classi­ fication of the personnel of any unit of government is rather complex and only the general method will be discussed here.5S The classification procedure should include at least four steps.

(1)

A study of every position in the

service to ascertain its distinguishing characteristics. This might be called the job-analysis.

(2)

Creating the

framework of the classification plan into which all the positions will be fitted into their proper places. (5) The allocation of each position to the place where it belongs in the classification framework,

(4)

Writing

class specifications which show the distinguishing charac­ teristics of each class of positions. yob-Analysis The job-analysis consists of making a detailed study of each position in order to determine to what ex­ tent it is similar to other positions and in what respects

- 63 it is different from other positions with which it is closely related.

In making the study of all the positions

in the service certain definite information should be se­ cured . (1) The actual duties performed by the person holding each position should be determined.

In securing

this information the present title of the employee or his particular qualifications should not be allowed to influ­ ence the statement o f these duties.

In listing the duties

of a position the classification expert is interested in the actual work performed by a girl whom he finds filing health records and reports.

The fact that this parti­

cular girl may be a registered nurse or that she is carried on the payroll as a health nurse is of no consequence to this part of the study. (2) The actual responsibilities assumed by the employee should be carefully recorded.

By this is meant

the degree to which the employee is required to act upon his own initiative and to exercise independent judgment. This degree of responsibility ranges from positions in which employees carry out simple and specific instructions prepared for them by superiors to positions in which the em­ ployee is given authority to prepare definite programs and is held directly responsible for their successful execution. This information is of special importance in setting up mini-

•

64

mum qualifications to be required of applicants for posi­ tions in the service. {3} The degree of supervision represented by the position should be definitely established.

This in­

cludes the amount of supervision the employee exercises upon subordinates and the amount of supervision under which the employee himself works. (4)

The probable minimum qualifications which

would enable an individual to perform the tasks inherent in the position should be stated.

This information may

be arrived at by taking statements from both the employee and his superior officer and by an actual study of the duties and responsibilities of the position. There are two distinct methods of making this job-analysis, and by combining the two a third can be created.

The questionaire survey and the desk survey are

the two methods found in common use, and the third method is the use of the questionaire survey first, then the use of the desk survey to correct errors and to clearify points on which the answers were not sufficiently definite. In making a questionaire survey the classifica­ tion agency prepare a standard questionaire and supplies each employee with a copy.

After proper instructions have

been furnished, each employee responds to the questions

- 65 that apply to his position.

The questionaires are then

submitted to the employee’s immediate supervisor who veri­ fies the information given by the employee or gives his own reactions where he thinks the employee hasmisreprested his position in any way.

In some cases separate ques­

tionaires are submitted to the employee and the supervisor and the two are then compared after they reach the classi­ fier.

The use of the single questionaire has the advan­

tage of giving the supervisor an opportunity to comment directly on the statements made by the employee and proba­ bly gives the classifier a more complete pioture of the position that he would get through the use of separate ques­ tionaires* The desk survey is possible in units of govern­ ment where the number of positions is relatively small. This system calls for an examiner or representative of the classification agency making a personal study of the acti­ vities of an employee while he is actually at his work. The surveyor also, through a personal interview, gives both the employee and his superior an opportunity to com­ ment on the duties of his position. In making the study required for classifying the positions in a state government, the single questionaire method should be used first.

When there are discrepancies

- 66 between the responses of the employee and his superior, per­ sonal conferences should be held to discover the real facts. There is the possibility that employees will be tempted to over estimate their duties and responsibilities in order to improve their classification, but by checking the employee’s responses against those of his superior officer, this should be held to a minimum.

In this regard it is interesting to

find Mr. Lewis Mariam, after having practical experience in this type of work, making the following statement: "Experience with this method indicates that prac­ tically never do employees allege that they perform duties that they do not as a matter of fact perform. ... under54 statements are at least as common as overstatements.n The Framework of the Classification Plan The framework of the classification plan has been previously discussed and therefore will be merely summarized here.

The framework into which the positions should be

fitted, beginning with the most numerous division is as follows: (1) positions grouped into classes, (2) classes grouped into series of classes according to rank, (5) classes arranged into class groups according to the degree of specialization required of incumbents, (4) classes grouped into occupations and trades, and (5) occupations

-

67

-

and trades grouped into career services. Allocation of Positions to Classes The actual process of assigning each position to its proper place in the framework described above is a difficult task.

In order to keep the plan as simple as

possible the classifier should strive to place as many positions as possible into a single class, but he is con­ fronted with the knowledge that classes must not only show similarities but differences as well.

Many borderline

cases will present problems which will tax the patience and good Judgment of the classifier to the limit.

In some

cases it is quite probable that certain peculiarities will require that special classes be established to care for a single position. classes into

Since the method used in arranging

series will determine lines of promotion

and to some extent the salaries of employees, this phase of the work should be given special attention.

In order

to perform this task well, good Judgment, tact, and a sense of justice and fairness are qualities which the classifier must demonstrate. Preparing Class Specifications After all positions have been assigned to classes, specifications must be prepared for each class which has

-

been established.

68

-

The class specifications for a class of

positions contains the information concerning positions in the class that makes them alike and yet distinguishes them from other classes of positions. should include:

These specifications

(1) a descriptive title, (2) a statement

of the duties and responsibilities with illustrations of typical tasks involved, (3) a statement of the minimum qualifications required for the performance of the work, (4) a statement of the lines of promotion available to positions in the class, and (5) the salary range for posi­ tions in the class. Class Title The title should be short but descriptive of the duties and responsibilities involved in the work.

One

word of the title should indicate the nature of the work as for example engineer. Another word should indicate the type of specialization the work involves as for example electrical or civil engineer.

This word would be the one

that would show the one point of difference between classes that together form a class group.

Another word should

indicate the degree of responsibility involved or the posi­ tion in the series to which a class belongs, as for example, junior, senior, or chief electrical engineer.

Examples of

full class titles might be chief civil engineer, senior

69 agricultural economist, or senior soil chemist.

These

titles become the names by which the class or any posi­ tion in the class are referred to in inter-departmental correspondence. Statement of Duties The statement of duties should include the major tasks which the employees within the class perform and which characterize positions in the class from those of other classes.

The statements of duties should contain

phrases that indicate the responsibility which positions in the class carry and the amount of supervision employees in the class exercise.

Actual examples of characteristic

tasks performed by this class of employees should be brie­ fly but clearly stated.

This information is of special

significance to persons interested in planning a career in the public service. Statement of Qualifications The statement of qualifications should include the minimum formal education, special training, experience, and personal characteristics that would be necessary for an individual to perform the work required for positions in a class,

These qualifications are the minimum require­

ments that the recruiting agency will demand of those who

- 70 are to be tested for positions in the class.

This state­

ment of qualifications can likewise be used as a guide in making promotions in the service. Statement of Lines of Promotion One of the important uses to which the classifi­ cation plan should adapt itself is as a guide to promotion from one class to another of higher rank.

If the classes

have been prepared so that there are definite lines of pro­ motion, this information should be shown in the class speci­ fications,

The prospect for promotion is an important

element in drawing capable talent into public life, and when certain positions offer special advantages in this respect, the recruiting agency should make the most of it in announ­ cing examinations to establish a register for that class. There will be some classes where opportunities for promotion are less attractive than in others, but in fairness to pro­ spective candidates, this information should be available in the class specifications.

Nothing but dissatisfaction

can result from the introduction of ambitious young men into blind alley jobs. Statement of Salary Range The statement of salary range is dependent upon the legislature’s having established a definite salary policy for the entire service.

If such a schedule has been

- 71 established, its inclusion in the class specifications furnishes the personnel agency with more information to use in its recruitment campaigns.

Such information would

also make readily available statistics for determining budget requirements. After the entire classification plan has been completed, it should be adopted officially by the proper authority.

Authority to adopt the plan would certainly

rest with the legislature, and that would seem the wise procedure to be followed.

There is always the danger that

certain individuals may have sufficient influence in that body to secure changes to benefit certain individuals or groups, but the importance of the plan justifies seeking legislative approval.

It does seem advisable, however,

that the legislature delegate authority to the personnel agency to make adjustments necessary to keep the classi­ fication accurate by changing positions from one class to another as their duties and responsibilities change. Keeping the Plan Up-to-Date Without some effort exerted continuously, the classification plan will soon fail to represent a true pic ture of the entire public service.

The classification

plan should represent what the service actually is, not necessarily what it should be.

It should not be looked

- 72 upon as a straight-jacket which would prevent operating managers from making changes in the duties and responsibi­ lities of the employees over whom they have control.

It

should be flexible enough to reflect these changes as they occur, so that the plan always is an accurate picture of the conditions as they exist.

When changes occur which re­

quire an adjustment in the classification of positions in any department, the department head should be required to make a report of such change to the personnel department. The personnel agency, however, should not be entirely de­ pendent upon such reports to secure the necessary infor­ mation required to keep the plan up to date.

Periodic

audits of the departments should be made in order to find whether or not changes have occurred that warrant a change in classification.

Such audits would, if made frequently,

avoid an extensive re-classification which would certainly otherwise become necessary. Hearings for Employees A further feature of the classification plan that deserves attention is the opportunity for employees to be heard in their own behalf when they feel that their posi­ tions are unfairly classified.

It is not only essential

that all employees be dealt with fairly, but that they should

73 feel that they are being given just treatment.

If employees

are given an opportunity to present their grievances and to have explained to them the basis upon which their own posi­ tion has been classified, a better feeling will be main­ tained,

Dissatisfactions are often the result of mis-in-

formation or lack of information, and the department ean do a great deal toward explaining the advantages of classi­ fication by permitting employees to be heard when they think they have grounds for objection.

It is even possible

that the personnel department can secure information through such hearings that will enable it to make changes which it would otherwise not have made because it was una­ ware of the conditions of which the employee complained. The procedure for such hearings should be made as informal a© possible so that employees would feel free to make appeals without fear of prejudicing their standing in the service.

- 74 Chapter III RECRUITMENT FOR THE PUBLIC SERVICE The procedure in the selection of employees for the admin­ istrative branches of government may for the sake of con­ venience be divided into four stages, which, listed in the order in which they actually occur, are:

(1} recruitment,

(2) examination, (3) certification, and (4) appointment. Since the last stage, that of actual appointment, is gener­ ally a function of the operating department rather than the central personnel agency, it is sometimes not con55 sidered as a separate stage of the selection process. Meaning of Recruitment The term recruitment Is sometimes used in a broad sense to include the entire process of finding and placing new employees into the positions for which they are adapted. The use of the term here, however, is limited to the first stages of the selection process, that of securing a suffi­ cient number of well qualified applicants from which to select the most capable for actual appointment to posi56 tions in the service. It has been stated previously that the classified civil service in this country developed with the idea of keeping out the undesirables rather than with the idea of selecting the most capable public servants. It is only natural that such an attitude would cause civil

- 75 service agencies to spend most of their energies and available funds on the development of testing techniques and neglect the development of ways and means of attracting persons of superior abilities to present themselves for ex­ amination.

The importance of better testing techniques

should not be minimized, but the fact must be faced that the finest of testing devises are instruments for detecting ability only, and are completely without value in improving the quality of the material being tested.

It must be quite

evident that no process of selection can give superior abilities to the public service if the selection must be made from a group in which the best candidates represent only mediocre ability.

For the most part, personnel agencies

have adopted the position that the large numbers who present themselves for examinations when they are held, is suffi­ cient assurance of the presence of certain individuals with sufficient ability to fill the vacancies for which the com­ petition is being held.

Progressive personnel adminis­

tration should not be content to accept persons who are just reasonably well qualified for the public service, but should Inaugurate positive programs designed to attract the most qualified individuals.

The slogan, "The best is none too

good", should be applied to the policy of recruitment for the public service.

It must be realized that the idea of

-

76

-

qualification is relative and admits of all degrees of com­ parison from bare qualification to eminently superior qual­ ification, and it is to persons possessing the latter that public recruitment policies should be made to appeal. There is evidence to show that progressive admini­ strators are aware of the need for more positive methods of insuring high type of applicants for civil service com­ petition.

Donald C. Stone of the Public Administration

Service, Chicago, laid stress on this need when in a panel discussion of the American Political Science Association in 1937 he said: "Doesn’t this, then, all end up with this issue; That our civil service agencies must be transformed from institutions set up purely to eliminate political consi­ derations in employment and dismissals to personnel manage­ ment agencies which make a sustained search ... to find qualified people and persuade them to apply rather than merely posting these notices in the postoffice and so on." Leonard D. White states this same idea briefly but clearly when he says, "Recruitment involves more than mere announcement and passive acceptance; to meet the re­ quirements of our present public service, it must be active, searching, selective, persistent and continuous."®8 The whole problem of attracting superior talent into the administrative branches of our government is in­ evitably tied up with the attitude of the public toward the publie service.

The personnel policies of the govern­

mental units in this country have not been such as to es59 tablish a high prestige value to the public service.

- 77 Such elements as salary, opportunity for promotion, secu­ rity, retirement allowances, and fairness in selection of employees all share in determining the attractiveness of the public service.

Each of these factors should receive

special study by personnel administrators with a view to increasing the number of persons of superior abilities who are willing to present themselves as candidates for posi­ tions in government agencies.

The improvement of the op­

portunities offered in the public service will have little effect on the general attitude of the public, however, until these improved opportunities are made known through carefully planned publicity policies.

It is to available

methods of acquainting prospective applicants with the opportunities offered in government service that attention will now be directed.

Two general methods will be consi­

dered separately, first, general publicity material and second, publicity for specific competitive examinations. General Publicity It should be the general policy of the personnel agency to present in an interesting way a full explanation of the possibilities which the public service affords. If all the positions found in the public service have been properly classified, the class specifications prepared for

- 78 each class of positions furnishes readily accessable material which can be used for publicity purposes,

A

general reference prepared in book form would be of invalu­ able assistance to schools in their vocational guidance work, to occupational counselors, and to young men andwomen interested in choosing occupational careers.

These

reference books if widely circulated to schools, profess­ ional organizations, and public libraries could exert a healthy influence in forming public attitudes toward govern­ ment employment.

In addition to having this information

compiled in book form, separate pamphlets or bulletins dealing with the opportunities to be found in special types of work could be distributed where they would be received by those interested in such types of work,

Newspaper and

magazine articles prepared by members of the personnel de­ partment staff would, if carefully prepared so as to have literary merit and public interest, find wide acceptance among the general reading public.

The existence of corres­

pondence and tutoring schools on a profit making basis which purport to train individuals for civil service posi­ tions is ample evidence of the amount of public interest that can be aroused by advertising and publicity. The possibility of special radio broadcasts for the purpose of acquainting the public with opportunities

-

79

for careers in government work should be given serious con­ sideration by personnel agencies.

Understaffing and limited

budget allowances have no doubt been responsible for the failure of civil service agencies in this country to enter into publicity campaigns.

It is quite possible, however,

that time and money spent in this way would be of greater value in improving the level of public employment than & like expenditure in developing testing techniques. Advertising Specific Tests It is not safe to assume that the most capable and best qualified applicants will be constantly on the alert to discover when civil service tests are to be admin­ istered.

It is quite probable that the least desirable

workers who have been unable to find and to hold positions in private enterprises will be the ones making special effort to discover announcement of tests.

The general

procedure of posting formal notices in public places offers little incentive to many qualified individuals.

Personnel

agencies should exert special effort to see that notices of examinations reach those individuals who are most likely to possess the qualifications required for that class of positions.

This is particularly true when the position to

be filled Is one requiring a high degree of technical or professional competence.

An interesting sidelight on the

80 affect of such special effort was recounted by Oliver Short at a panel discussion for the American Political Science Association in 1937. "I fenow an examination that was scheduled for a #5,600 job. The announcement appeared in the postoffice and in the police station of Alexandria, Virginia, which leads me to believe that it appeared in all other post-offices and police stations of towns of that size throughout the country. I had the authority to write several letters in connection with this examination. Some of you gentlemen here got them. As a result, three hundred sixty five applications were filed, six people qualified for the examination and out of the six, five applied as a result of the letters written from my dash."60 The most effective method of publicizing a par­ ticular civil service examination will depend to a great extent upon the class of positions for which the examina­ tion is being given.

Some general methods which can be

used for this purpose will be listed here. 1.

Posting general notices in public buildings.

Most civil service laws contain some specific requirement concerning public announcement of competitive examinations, and this method is in regular use by practically all public personnel agencies at the present time.

These notices

are usually in the form of announcement sheets indicating briefly the title of the class of positions, the entrance requirements, the type of examination and the time and place of the examination.

All this information is readily

available from the class specifications in those govern­

- 81 mental units which have been properly classified.

The

posting of such an announcement is sufficiently valuable to warrant its continued use, but this form of announce­ ment should not be relied on entirely as a method of reaching desirable prospects. 2.

Special press releases.

As a general rule,

information concerning employment possibilities is con­ sidered to have news value by most newspaper men.

Cooper­

ation between the personnel agency and the newspapers and their reporters can increase the value of this method of publicity for announcing special examinations.

In order

to make the most out of such news releases, personnel de­ partments will do well to avoid any attempt to dictate the form in which such announcements will appear.

Best re­

sults are most likely to occur when a complete list of facts is made available to reporters and they are given their own liberty to determine the method of presenting this information in their news columns.

If it is thought

desirable to have a special form of announcement printed in newspapers, paid advertising space should be purchased for this purpose.

In recruiting for certain unskilled

clerical and trade services the classified advertising columns of widely circulated newspapers offers a very effective means of publicity.

- 82 3. tutions.

Contacts with schools and training insti­

This method furnishes excellent possibilities for

contacting candidates for those classes of positions which require professional, scientific and technical training. To make effective contacts with the proper educational in­ stitutions, carefully prepared mailing lists should be main­ tained.

These mailing lists should be classified so that

the proper institutions and departments of institutions will be contacted with announcements appropriate to the type of training which they offer. 4.

Publicity in trade, professional, and scien­

tific journals.

This method of advertising competition for

public employment is of special importance in encouraging \

applicants for positions in which actual experience in technical and professional work is required.

It is also a

valuable means of recruiting skilled tradesmen.

As In the

case of educational institutions a classified mailing list should be maintained in order to make certain that announce­ ments will be sent to the journals that reach those indivi­ duals who might be interested in the particular examination. 5.

Badio announcements.

The increased popu­

larity of the radio offers another possible method of reaching a larger group of prospective applicants.

This

method of advertising can be most effectively used for

- 83 announcing examinations which might appeal to large numbers of people and which do not require particularly high edu­ cational qualifications. 6.

Contacts with employment and welfare agencies.

Many well qualified employees may be reached through their contacts with such agencies, and regular mailing lists should be maintained in order to take advantage of this possibility to widen the field of selection. 7.

Individual mailing lists.

Many individuals

interested in public employment write to personnel agencies asking to be informed when competitive examinations are announced.

In order to send such announcements to those

individuals who possess the qualifications required, it is necessary to establish a system of filing requests according to qualifications.62 Form of Announcements After establishing the sources through which announcements are to be made public, some attention should be given to the form in which these announcements, should appear,

Examination of the announcements now in use by

civil service commissions, does not impress one with the idea that they are particularly effective.

The ease with

which a large number of applicants can be secured for any announced examination has probably influenced the policy of

- 84 commissions in this respect.

In many cases the civil

service commissions are anxious to limit the number of testees and therefore do not make any effort to prepare attractive examination notices.

The large recruiting pos­

ters and the press and radio publicity campaigns conducted by the army and navy in their recruitment programs are in marked contrast to those used by civil service agencies. The army and navy, finding it difficult to secure a suffi­ cient number of applicants, is forced to adopt effective publicity methods.

As has been previously stated, however,

the number of applicants presenting themselves for examina­ tion is not always an accurate measure of ability.

The

form of announcement should be designed for the purpose of attracting the most capable persons, and if such methods bring forth applicants in large numbers, the answer to the problem lies in the construction of simply administered tests to weed out the mass of unfits. Announcements should contain that information which would make the positions attractive with special emphasis placed upon those phases of the public service that are more attractive than similar positions in private industry.

In some classes of positions salaries offered

in the public service are sufficient incentives to attract competent candidates.

Although this is not true in many

- 85 classes of government positions, the lack of salary appeal may he offset by such factors as security, better working conditions, or more attractive retirement plans.

Special

care should be exercised in pointing out promotional possi­ bilities # for this factor is one given particular consider­ ation by many young men and women in seeking employment.

A

little research would certainly reveal a large number of men and women who have found pleasant and useful careers In American public service.

Such biographical material

could be used to advantage in attracting capable talent into the competition for government service careers. All types of announcements, besides being attrac­ tive, should contain the specific information necessary for a candidate to make his request for an application form.

The announcement form used by the personnel agency

of the state of Maryland contains the following informa­ tion:

(1) The title of the class of positions, {£) the

duties to be performed, (3) the qualifications required, U ) the nature of the test, (5) the salary to be paid, (6) the probable number of appointments to be made, (7) the places where the tests are to be held, (8) the time at which tests will be held, and (9) the manner of securing application forms.

To this might be added information con­

cerning the lines of promotion open to those who are appointed as a result of the test.

Application Forms Some type of application blank is in common use both by public and private agencies in the process of sel­ ecting employees.

Its use may be restricted to excluding

from examinations those who do not have the minimum quali­ fications for the job, or it may be used as one factor in judging the probabilities of the applicant's success on the job.

The purpose to which the information secured on

the application form is to be put, will determine the nature of the form to be used and the type of information which it calls for.

The blank forms, supplied to those who request

them, should be so devised that there will be no doubt in the applicant's mind as to just what information is called for. In those classes of positions for which a large number of applications can be anticipated, it is suggested that a double application form be used if the information furnished on such forms is to be a factor in determining a candidates place on the eligibility register.

The first

form would be as short as possible and be used solely as a basis for judging whether or not the applicant is quali­ fied to enter the examination*

This form would be used

to limit the number of testees to those who possessed the minimum qualifications, but would not be used in determin-

-

87

-

Ing the applicants final rating.

Special attention to the

type of form to be used for this preliminary blank should be given so that machine tabulation can be employed where the number is very large.

These forms should be required

of applicants a sufficient length of time before the test, so that the information given as to education and experience can be verified.

Forms which require a minimum of effort

for their execution should be sent to schools and previous employers for the purpose of checking the information fur­ nished by the applicant. A second application form containing information which is to be considered in making up the applicants final rating should be required of all those who wish to be considered for appointment.

This form could be distributed

to applicants at the time the test is given.

Since this

form would require considerable detailed information, it might serve further as a selective factor in reducing the number of candidates whose final rating would have to be made.

Those testees who were able to meet the minimum re­

quirements established for the test as shown on the pre­ liminary blank, but who found the test extremely difficult, might realize their deficiencies and fail to return the second form.

This second form which would require the

gathering of the applicants scholastic records, previous efficiency ratings, and recommendations would not need to

88

-

-

be studied until tbe actual test scores were compiled, but the papers of those testees who failed to file the second application blank would not need to be scored.

After the

scores of the tests had been compiled, only the application forms of those making a reasonably high score would need to be checked.

The purpose of such procedure is to eliminate

unnecessary clerical and administrative work connected with each examination.

The method of rating the education

and experience shown on these forms is one which requires special consideration and will be discussed along with types

of examinations. The types of examinations best suited to the job

of selecting employees for the public service will depend to a large extent upon the recruitment policies which are to be followed.

A general discussion of such policies will

be undertaken here.

This problem can be attacked by con­

sidering three questions.

(1) What should be the basis

upon which competence is to be judged?, (2) At what points in the public service should recruitment from outside the service occur?, (3) At what ages and levels of profess­ ional achievement should public servants be recruited? Basis for Determining Competence It has been assumed that civil servants should be chosen according to their abilities, but the question

may be asked, what sort of abilities?

Shall selection be

made on the basis of present ability to perform the par­ ticular work to which the individual will be assigned, or shall ability be determined on the basis of achievement in general educational subjects commonly taught in our school systems?

Stating the question simply it is, shall specific j

skills or general education be the determining factor in the selection of government employees?

The tendency in

this country has been to adopt the attitude that employees selected under the merit system should be chosen according to their ability to perform the specific type of work which the position requires.

This may be accounted for in part

by the high degree of division of labor found in our indus­ trial system, but undoubtedly the idea that no one should be barred from opportunity to enter the public service be­ cause of lack of formal education has contributed to the adoption of this attitude.

This policy has led to the de­

velopment of the so-called practical type tests as opposed to the use of tests of general academic achievement.

This

practice is directly in contrast to the English system for recruiting its colonial service personnel as well as that of its general civil service at home.

Recruitment into

these services in England is based on general academic tests covering the subjects which graduates of Oxford and Cambridge are expected to pursue.

The special or techni-

- 90 eal training which is required for the performance of the duties of these positions is given after entry into the service.

It should be emphasised that this policy is not

adhered to in all departments of the British public ser­ vice*

Technical, scientific, and professional classes

as well as skilled tradesmen are selected on the basis of specific qualifications and abilities.

It is in the so-

called general civil service, which comprises the clerical, executive, and administrative classes, that recruitment is based on general academic achievement. The Commission of Inquiry on Public Service Per­ sonnel was sufficiently impressed with the British system that it recommended that our clerical, executive, and ad­ ministrative classes should be selected on a similar basis rather than on the possession of any specialized knowledge or skills.

The following quotation from Mr. Wiimerding’s

Monograph, which he prepared for the Commission and which no doubt influenced the final report of the Commission, illustrates this attitude: WX think there is little doubt that the sources of supply which government taps for its professional, scientific, and technical staffs, for its industrial, cus­ todial, and manipulative workers, and the like, are ade­ quate to produce competent personnel. But I consider that far better sources than any now utilized exist for the general civil service, i. e., the administrative, executive, and clerical officers, and office assistants. "I am convinced that government should recruit these officers immediately after completion of their general

- 91 education, without requiring them to possess either speci­ alized knowledge or experience of the duties for which they are recruited."64 A similar statement taken from the report of the Commission is as follows: "The appropriate examination is one which will seek to determine which young men and women who present themselves during a given year have at that stage of devel­ opment attained an outstanding position among their fellows of the same age group in the pursuit of general knowledge. The examination should determine primarily what the candi­ dates are, not what they know about the work for which they are to be trained in the future.”65 Since the policies now followed in this country are directly contrary to these recommendations, the subject deserves careful consideration. Advantages of Recruiting on the Basis of General Education In considering the advantages of recruitment on the basis of general education, it must be constantly remembered that only positions in the administrative, exe­ cutive, and clerical classes are being considered; for there is general agreement that specific training and spe­ cial abilities are desirable qualification for the other branches of the service.

The following brief statements

may be given as a summary of the points urged in favor of using general academic achievement as a measure of probable future success in the general civil service.

- 92 (1)

This system has been in use in England for

many years and has developed well defined careers in the English public service which are sufficiently attractive to draw very capable young men into the service.

After long

experience with this plan of recruitment, this branch of the service enjoys a high degree of prestige both at home and abroad, (2)

The positions in this branch of the service

are of such a nature that general information and ability to adapt oneself to different situations is of more value than the possession of any specialized knowledge or skill. It Is contended that achievement in academic subjects is a better indicator of the presence of the qualities re­ quired for such positions than is the possession of out­ standing ability in any specialized branch of knowledge. (3)

The work performed by this group of govern­

ment servants is not of a type found in private enterprises, and therefore it is not to be expected that the educational system will offer specialized training for such work.

Nor

are positions sufficiently similar in character found in private enterprises so that proficiency in them will in66 dieate success in the government service. (4)

The most effective type of training for these

positions can be given while the recruits are on the job

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93

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rather than by speeial training institutions.

This argu­

ment is usually based on the idea that the science of pub­ lic administration has not advanced to a stage where for­ mal training courses are practical.67 (5)

If government waits to recruit its adminis­

trative personnel until after specialized training or after experience in private industry, it will have to be content with less than the best.

It is assumed that the attractions

offered by private industry to the trained administrator or executive will outweigh anything the public service can offer.

On the other hand the government might be able to

draw very capable talent if recruitment tools: place on the basis of general education and not on the basis of special training, and secured at the time of graduation from our public schools. (8)

Tests of general education offer a good

basis on which to judge general ability.

It is not assumed

that proficiency in the general academic subjects is in itself an index to an individuals probable success, but that proficiency in them is an evidence of ability; for it indicates that the individual has done well that work in which he has been engaged.

In other words the student

who excells others with like opportunities, is very likely to exeell others when given administrative, executive, or

-

clerical assignments.

94

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The emphasis is placed on the value

of broad general education as opposed to specialization for such civil servants. (7)

The particular traits which determine succ­

ess In the general civil service have not been isolated to a degree where special tests designed to measure such traits are dependable.

The qualities that make up a good

executive or administrator are elusive and are the results of the interaction of multiple factors which defy accurate measurement by any special aptitude or prognostic testing device. (8)

Recruitment on the basis of general aca­

demic achievement brings men into the service at an early age and therefore is conducive to the building up of def­ inite public service careers. Disadvantages of Recruitment on the Basis of General Bducation The arguments used by those favoring recruitment on the basis of general education are appealing, but on the other hand there is very convincing evidence that such a system is undesirable. (1)

The type of educational system from which the

English civil service is recruited on the basis of academic

- 95 tests is not found in this country.

The very character­

istics which make sueh a system workable in Ingland operate to make its success very doubtful in the United States.

The

educational system in England on both the secondary and college level is fairly uniform.

The general courses

taken by graduates of Oxford and Cambridge are practically the same for ell students.

General education is encouraged

and specialization is discouraged. exists in this country.

So such uniformity

In spite of national accrediting

agencies, the educational systems of the forty-eight states vary to a marked degree.

As Isaac Leon Kandel has

put itf **The European principle which may be stated as follows: ’Find out what the pupil ought to do and make him do it* seems to have been converted In the United States to:

’Find out what the pupil can do and allow him to do

it*.

This means a wider expansion of the curriculum than 08 has ever been though possible in European Schools’*. A glance at the multiplicity

of courses open

to students in American Liberal Arts Colleges is suffici­ ent to illustrate the difficulty of finding a general aca­ demic testing program adapted equally well to all students even in the same college.

The problem becomes even more

difficult when students of all colleges are considered as possible testees in such an academic examination.

Very

96 capable students may graduate from some of our colleges with very little knowledge of mathematics or science if they have chosen to elect most of their courses in the field of English, the social studies, or in send-vocational sub­ jects,

foreign language study, especially Latin and Greek,

on which the English tests place great stress, are seldom a major part of the American college student’s course. It may be argued that there are some colleges which still offer strictly academic courses and that there are some students who could make relatively high marks on such tests, but there is no reason to believe that such students represent the highest ability to be found among our college population.

In fact with the general emphasis

placed on practical training, it is safer to assume that much of the best talent is attracted to the semi-vocational subjects found in most of our colleges and universities. 2.

Even if an agreement could be reached on a

certain group of subjects which are generally taken by most students in liberal arts colleges, there would still re­ main a wide variance in the material content of these sub­ jects as taught in different schools.

In England only a

few Institutions need to be considered in constructing these academic tests, but in this country the number would be legion.

Difference in textbooks and in the emphasis

- 97 given the same subjects iu different schools would result in a very great difference in the material students would learn in the same subjects offered in different institu­ tions.

It would be practically impossible to construct

such tests so that all students of equal abilities and similar habits of industry would receive equal rank in the scoring.

It is reasonable to assume that general academic

tests, when given to students who have had the same oppor­ tunities to master the material included in the tests, will be a valid indication of general ability.

But to assume

that the same tests, when given to students whose oppor­ tunities have been unequal, would have such predictive value is to take a stand extremely hard to justify. 3.

The general academic test as a basis for se­

lecting administrative, executive, and clerical workers may also be attacked from the standpoint of validity. That is, can it be assumed that outstanding success in academic subjects indicates the probability of outstanding success in such types of work?

Until high statistical cor­

relations are produced to prove the validity of such an assumption, it is permissable to doubt that such correla­ tion actually exists.

The type of students who show

special achievement in science and mathematics, for ex­ ample, have in all probability more prospect of success in scientific and technical work than in the administrative

- 98 service.

Success in the field of administration and in ex­

ecutive positions is based on such factors as tact, patience, social adaptibility, friendliness, courage, personal appear­ ance and many other traits which bear very little relation to proficiency in academic studies.

After making a care­

ful analysis of the traits required of successful adminis­ trators, tests can be constructed which would certainly have greater validity for the selection of this class of public servants than a general academic test would have. 4.

The advisibility of training this class of

civil servants after their recruitment is also open to question.

As a general rule it seems wise for the admin­

istrative branches of government to limit their training program to that type of training which is of such special nature that it cannot be adequately obtained elsewhere. Bo on© seriously proposes that the government should train its doctors, lawyers, or engineers after they have been placed on the job as is suggested for clerical workers and administrators.

It must be admitted that schools of public

administration have not as yet developed to the professio­ nal level of those of law and medicine, but certainly these schools of public administration and our graduate schools of political seience offer better sources for the recruit­ ment of executives and administrators than do our liberal

arts colleges.

Public administration will never develop

into a well defined profession on the level with that of law or medicine unless our recruiting agencies recognize it as such and develop tests on the basis of professio­ nal accomplishment rather than on the basis of general educational achievement.

Objection to the establishment

of a separate administrative service outside the regular professional, scientific, and technical service have al­ ready been expressed in this work on the ground that suc­ cessful administration of an operating department of gov­ ernment requires specialized knowledge of the type of work In which the department is engaged.

This same objection

may be raised here against the policy of selecting admin­ istrators on the basis of general educational achievement rather than on the basis of special abilities. After considering the case for and against the use of academic tests as the basis for recruiting admin­ istrative, executive, and clerical workers, the position taken here is that such procedure should be avoided and that instead psychologists and personnel men should attempt to validate tests which can be used to predict probable success in these branches of the public service. Points in the Service Where New Personnel Should be Recruited

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100

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Probably no phase of personnel administration, unless it be retirement, has such great social signifi­ cance as the question of establishing age limits for en­ trance to civil service examinations.

The public has cer­

tain attitudes toward limiting opportunity to compete for civil service jobs, and these attitudes will be hard to overcome*

A, L. H. B. Houghton, who is connected with

the British Civil Service commented on the social impli­ cation of recruitment policies as follows: *From my point of view, the most forbidding feature of this subject is that any consideration which we may give to the age, education, and time of recruit­ ment of public officials must necessarily contain a greater measure of academic interest than possibility of practical result. This is more especially the case concerning the Civil Service. The State as employer and examiner must come to prudent terms not only with the State as educator, but with the public conscience. ... wIn most cases, whatever system ol recruitment is adopted, it must not only be designed to promote and maintain the efficiency of the public services, but it must withstand the critical gaze of politicians, newspaper proprietors, educational authorities, staff organizations, and other people who help to make the world a fit place to live in. The following recommendations made by the Com­ mittee of Inquiry on Public Service Personnel will serve as a point of departure for the discussion of age limita­ tions: "1. The unskilled service would be recruited without reference to education, on the basis of fitness for the work ... there would be practically no age limit. *2. The skilled and trades service would be re­ cruited after education, which would normally not extend

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101

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beyond high school, on the basis of the mastery of parti­ cular skills and trades. ... with the entrance age limit so computed as to bring the examination soon after the com­ pletion of apprenticeship. *3. The clerical service falls into two series, the strictly clerical and the clerical-executive groups. The clerical group would be recruited after not less than two years of high school. ... Age limits would thus be set at possibly sixteen to seventeen, ... . The clericalexecutive group would be taken at a later stage, that is, after general high school education. The age limit should be set at eighteen to nineteen, ... . ”4. The professional and technical services would be recruited after special training, but before practical experience. The appropriate age limits are from twenty-three to twenty-eight, ... . ”5. The administrative service would be selected from those with an advanced general education immediately upon their completion of that education.?0 It is evident from these recommendations that the Commission was very favorable to the policy of recruiting young men and women into the public service.

There are a

number of arguments to support this general policy. 1.

Early recruitment enables the public service

to take advantage of the products of the public educa­ tional system as they are graduated.

It is quite probable

that if the public service is to recruit employees from the higher levels of ability, it will have to get them at or near the time of their graduation.

If the government waits

until graduates have had a ehance to establish themselves In industry or private practice, only those who meet with mediocre success or failure will be available for govern-

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102

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ment employment. 2.

The public service should look upon its re­

cruits as future promotional material, and if these re­ cruits are middle-aged men and women, they will be near the retirement age when they are ready for promotion. 3*

Since considerable time is required for an

employee to reach the stage where he can perform maximum service, the government should expect a considerable period of service after he has reached this stage of efficiency and before he has reached retirement age. 4.

Recruitment of personnel at an advanced age

throws a great burden on the public treasury in maintain­ ing its retirement system.

"For employees who enter at

seventeen and retire at seventy, the government’s share amounts to only 0.38 per cent of the salary, but as the en­ trance age increases, so does the government's share.

For

©aployees entering at forty-five it is ten times as much, being 3,71 per cent."73As a general principle, considering only the good of the service, it can be accepted that recruitment of young persons is desirable.

There are, however, other consi­

derations which should not be overlooked In establishing age limits.72

Since private industry is insisting on low

age levels for recruiting its workers, middle-aged men and women are finding it increasingly more difficult to find

- 103 employment.

The government, playing the part of the model

employer, should try to devise means of selecting at least a part of its employees from higher age levels.

There may

also he numerous instances where individuals who are very capable would be glad to enter the public service even after experience in private industry.

In such cases these

persons would in a very short time reach their maximum productivity due to their previous experience and would, therefore, have a relatively long period of service be­ fore reaching the retirement age.

There is also the possi­

bility that young men who are recruited into the public service and given special training, will, as their capa­ bilities become evident, be enticed into private industry by greater salary attractions.

In such cases the public

service would develop into merely a training and proving ground for private industry. There are certain specific points in the re­ commendations of the Commission that should b© commented upon.

The first is the suggestion that clerical workers

be recruited at age levels corresponding to the completion of the second year of high school.

Even if one subscribes

to Mr, Wllmerding’s statement that "In recruiting for office assistants the difficulty is not in finding competent per­ sons, but in keeping out persons who will be too good for the work",7® he may still question the advisibility of

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104

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offering boys and girls a chance to give up their high school education and take jobs in the public service.

The

appeal which the possibilities of such employment would make to boys and girls in poor financial circumstances might be sufficient to draw out of high school work many who would stand to profit much more by completing their education.

With the wide-spread educational opportunities

now offered by the public educational system of this coun­ try, every effort should be made to encourage all normal boys and girls to continue their formal education at least through the secondary level.

Experience with high school

graduates leads one to state with some degree of eertainty that there will be plenty of four-year graduates who will not be "too good for the job". The second point on which an issue may be drawn is the advisability of recruiting the clerical-executive groups at the age level corresponding to graduation from high school.

The assumption is that their business train­

ing would be given to them after selection.

The position

which has been taken In this work is that the government services should not be developed into educational insti­ tutions Unless (1) the type of training to be given is of no occupational value to the trainee outside the public service, or (2) that adequate training institutions outside the public service are not available to give the required

- 105 training.

Probably neither of these conditions applies

to the clerical-executive classes of positions.

It seems

only fair that students who have shown sufficient interest to take special training along the lines called for in these services should be given an opportunity to profit thereby in presenting themselves for examinations when they are held. The last point to which attention should be directed is the failure of the commission to place age levels at a point where our graduate colleges and schools of public administration would be recognized as sources of supply for the administrative and executive branches of the service.

The age level which the Commission suggests is

that which corresponds to the age of graduation from the liberal arts college.

If it is desirable that public ad­

ministration be raised to the level of a profession, the graduate of institutions offering special training along that line should be given an opportunity to profit in the examinations from their special training.

This means that

the upper age limit at least should be such as to admit these students to the examination, and that the examination should be sufficiently professional in character that special ability for this type of work would be required for success.

These statements are not intended as sugges­

tions for making graduation from any type of educational

- 106 institution a prerequisite for entrance into any compe­ titive examination, on the contrary they are made as a plea for making broad age limits for admission to posi­ tions in the government service. As a minimum age limit it is suggested that either graduation from a four-year high school course or eighteen years be adopted.

This would act to prevent high

school students from leaving their education to accept employment in the public service, yet it would permit those who have graduated before reaching the age of eight­ een to enter examinations.

As for maximum age limits, it

is suggested that they be abolished for all types of posi­ tions in the public service.

The type of examination

required for each class of positions should be suffici­ ently selective to insure the employment of the best em­ ployees.

Physical and mental capacity to perform the

type of work which is called for in the position should be the determining factor, and this is not always a matter of age.

Chronological age has little meaning in

terms of strength, energy, Initiative, adaptability, or capacity for growth.

Many individuals have a much longer

expectation of service at thirty than others at twentyfive.

This does not mean that young men and women are to

be shut out of the public service, nor does it even imply

- 107 that they will be at a disadvantage in the competition. It does mean, however, that they will have to face the com­ petition of their elders in seeking jobs in the civil service.

This does not necessarily mean that experience

will be the deciding factor in determining the successful candidates in the competition.

The various factors which

determine the final ranking of the applicants should be so weighted, and the type of tests so constructed, that possi­ bilities for growth and development would have equal weight with particular knowledge or skill acquired by experience. That is, the superior inexperienced but well trained indi­ vidual should be able to secure a higher final rating than the experienced candidate who has reached the peak of his capacity for growth. Minimum age levels might be acceptable for the professional, scientific, and technical services in order to limit the competition to those who have some probabi­ lity of success, but even for this purpose educational qualifications or simple eligibility tests would be more effective.

- 108 Chapter IV EXAMINATIONS One of the basic principles of the merit system is that employees in the classified branches of the public service should be selected on the basis of open compe­ tition.

Such a system is predicated on the assumption

that it is possible to devise a method by which a group of prospective employees can be rated according to their probable success on the job.

The degree to which public

personnel agencies can devise and adopt techniques and pro­ cedures which will perform this selective task accurately will in no small measure determine the future growth and success of the merit system. A number of factors such as experience, education, personal references, personal interviews, and formal tests have been used either singly or in combination, to rank groups of applicants in the order in which they will be given preference.

The entire process by which a group of

prospective employees is judged and placed on an eligibi­ lity list in the order in which they will be certified for appointment may be called the examination process.

This

will distinguish between the examination process and the process of formal testing.

The formal test is a set of

prepared statements, questions or exercises, usually pre­

- 109 pared in printed form, by which applicants are rated accor­ ding to the number of correct responses they make.

In

some cases such exercises may call for a rather long res­ ponse, then the responses are judged upon their quality as well as their accuracy.

The formal test may be used as

the sole basis for judging the merit of each applicant, but in many cases other factors such as education and ex­ perience are rated and used in arriving at a final socre. When such factors are used in determining the final scores, they are to be considered as part of the examination pro­ cess. The formal test has many advantages that give it rather widespread popularity both with the public and with personnel agencies.

Such tests can be administered to a

large group with a minimum of time and expense, and the scores can be arrived at on a fairly objective basis. There is no doubt that other factors, sometimes made a part of examinations, are influencial in determining the probable future success of applicants; but such factors are not easily judged on an objective basis.

Consider, for

example, the use of formal education as a factor in the final determination of an applicant’s score.

It is rela­

tively easy to set a minimum standard of education that would be required for success in a certain class of posi-

- no tions; but many applicants will have completed formal edu­ cation well beyond the minimum established.

A wide variety

of educational institutions and a wide variety of subject matter will inevitably be represented.

The task of evalua­

ting this material objectively is a difficult one indeed. Iven if a method is agreed upon for comparing education received in the various types of schools, there is still left the problem of evaluating this material with refer­ ence to the quality of the work as represented by the grades the individual earned while in school.

There might be a

wide variation in the ability of students to make use of the information and skills they received in their educa­ tional courses.

The fact that institutions award different

grades to different individuals finishing the same courses indicates that there is considerable difference in their chances at probable success. The attempt to rate past experience presents similar difficulties.

Again it may be possible to set up

a minimum of experience that is thought desirable to insure probable success on the job.

But how shall experience

above the required minimum be rated?

Certainly the number

of years of experience is not a satisfactory basis. fact there may be a point where additional experience

In

- Ill might actually be a detriment to an individual’s chance for success.

The position to be filled may be one that requires

enough experience to master certain basic skills, but may have certain techniques peculiar to it which can best be learned as one develops on the job.

In such a position

a person with too much previous experience might find it difficult to divest himself of well established practices and readily adopt the newer ones.

There is no very great

assurance that the value of a person’s previous experience can be estimated by its length as measured in years.

The

writer recalls a lecture in which the lecturer remarked that he once knew a school teacher who said she had ten years of teaching experience; but she should have said she had one year’s experience repeated ten times.

This

statement is rather impressive in pointing out the diffi­ culty of giving an objective rating to past experience.74 Another serious problem in rating such things as education and experience is the difficulty of assigning a rank in units which can be used accurately with other marks in making a final composite score.

This problem will

be discussed later in this chapter. For the classes of positions where the number of applicants is expected to be large, no attempt should be made to rate past history as a part of the examination and

- 112 experience; then admit to the formal test only those who present evidence of these

minimum requirements.

This does

not mean that excess education or experience will he a handicap to anyone, on the contrary, if such education and experience is likely to be of value on the job, it will be reflected in ability to respond correctly to the items in the formal test.

There are many positions In the public

service for which it is probably not advantageous to give a formal test at all.

This is especially true in a few

highly technical and professional positions where only a few applicants can be expected.

In such positions a fair­

ly accurate judgment of ability can be arrived at by study­ ing past history and through personal interviews. The Formal Test The important question which advocates of formal tests must face is whether or not they can be depended upon to give an accurate indication of the probable succ­ ess of those to whom they are administered.

One may argue

without much opposition that formal tests are the only objective rating methods available for judging a group of prospective employees; but if they do not rank the group accurately according to their abilities, they cannot justi­ fy their use.

If nothing more than objectivity and ease

-

113

-

of administration is to b© desired, it might be just as well to plaee the names in a hopper and draw the success­ ful ones by lot.

Certainly such procedure would be objec­

tive, easily administered, and would give everyone an equal chance; but there would be absolutely no probability that the best fro® among the group would be selected. The importance of formal tests in recent years is well expressed in a recent text dealing with the cons­ truction and use of formal tests in the field of teaching. "Examinations are not only used extensively; they vitally affect the lives and fortunes of millions of our people.. Careers are sometimes determined by them. They are powerful instruments for promoting or retarding realisation of that great American aspiration to give everyone his utmost chance. Therefore it is not enough merely to make sure that they are valid and fairly adminis­ tered. We must make them reveal the salient factors in­ volved as accurately and as intelligently as possible."75 Nature of Formal Tests Essentially formal tests are written instruments composed of sample exercises designed to measure the de­ gree of achievement of each individual tested In relation to the achievement of all the other persons to whom the test has been administered.

There are three basic concepts

of formal tests included In this statement that are abso­ lutely essential to a proper understanding of modern testing procedure.

These concepts will each be discussed

in the following order:

(1) All tests involve the process

-

114

-

of sampling, (2) All tests measure achievement, and (3) All tests measure achievement only in relation to the achieve­ ment of others. The Sampling Process If any field of subject matter is selected over which a test is to be constructed, it will be found physi­ cally impossible to include every item of information re­ levant to that field in a single test.

If it is desired,

for example, to test a group of individuals for a position as research chemist, it would be futile to begin on the assumption that a test could be designed which would in­ clude all the items of information and all the special lab­ oratory skills a good chemist should possess.

The scien­

tific approach to the problem is to select many sample Items which are characteristic of the types of knowledge and skills required for the position; then assume that the individuals who responded correctly to the greatest number of these sample items would also have responded correctly to the greatest number if all Items could have been included. Acceptance of this assumption at once introduces a probable error into all formal tests, but such errors are not serious if the sampling is not too limited; and statistical formulae are available for estimating the degree of such an error.

It

naturally follows that the more complete the sampling, the less will be the degree of sampling error.

- 115 In order to avoid the dangers implied in sampling, it

isessential to select items from all levels of know­

ledge and skills from the very difficult to the relatively simple•

Such knowledge and skills that are considered

essential should he roughly marked off into blocks and the relative importance of each block estimated.

The number

of samples selected fro© each block should bear some re­ lation to the Importance assigned to it. All Teats Measure Achievement A survey of the modern literature on tests and testing techniques reveals the names of a great many tests such as aptitude tests, mental tests, diagnostic tests, social aptitudes tests, achievement tests, and many others. From the titles of such tests one may be led to believe that such things as abstract intelligence or aptitude in music or mechanics can be measured directly if one chooses the proper test.

It Is just as important to understand the

weaknesses and limitations of formal tests as it is to understand their possibilities, hence it is essential to show just what is meant by such test titles. All tests regardless of their title require the person being tested to make responses to situations which the test items suggest.

Without exception, the testee

must make his response with respect to his achievement or

- 116 acquired knowledge.

In the first place most of the tests

will require the testee to read and interpret the meaning of each item.

In the second place the ability to respond

correctly to the test items will depend upon whether or not the teste© has acquired through instruction, observa­ tion, reading or experience the information and mental and mechanical skills called for.

The justification for

calling a certain test an aptitudes test, for example, lies in the fact that the degree and type of achievement measured m y , by statistical methods, be used to predict probable future success.

A well known writer in the field

of aptitudes testing has put it as follows: "Aptitudes tests do not directly measure future accomplishment. They make no such pretense. They measure present performance. Then in so far as behavior, past and present is known to be symptomatic of future potentia­ lities, the test data supply a means of estimating those potentialities. The estimate is necessarily in terms of probabili tie s.7$ The so-called mental or abstract intelligence tests justify their names in the same way. present performance.

They measure

But by a careful selection of the

type of achievement required, and by certain statistical computations, an estimate of abstract Intelligence is attempted.

This concept is stated by an accepted text

In the field of educational testing as follows: nA critical consideration of these basic concepts

117 which underlie all mental measurement makes it apparent that mental tests do not in any direct way measure the pupil’s native capacity to learn, or even to any great extent his ability to learn. Bather, they measure what he has learned and when taken in relation to the individuals opportunity to learn and his rat© of learning, afford most useful Indirect evidence on capacity. Thus, the results of mental measurement reveal capacity indirectly, and are affected, but not too much affected, by the differentials of environment.*?? The things that distinguish tests which earry special titles from straight achievement tests are the types of achievement sampled and the interpretation applied to the scores.

The validity of the interpretations given

to the scores depends on statistical techniques which have been carefully worked out. Test Scores are Relative Bather than Quantative Modern formal tests are not designed to measure how much a person knows about a certain subject In relation to all their is to know about the subject.

Rather they

measure how much a person knows about a certain subject in relation to what others who have taken the same test know.

This concept of testing is of special significance

for those who use tests in personnel work.

The value of

tests in personnel work will depend upon the degree to which they discriminate between the performance of those who are tested.

For example, a test on which all testees

made a perfect score or one on which all made no score at

-

118

-

all, would be absolutely valueless as an instrument of selection.

Likewise for selective purposes a test which

is designed merely to separate those who pass from those who fail is of doubtful value.

It is not enough to know

that one group is better than another.

It is important

to know which individuals are the very best and how much better they are than the others*

This point will receive

extended discussion later in considering the problem of certification.

The following quotation will serve to

clearify this;concept of the relative character of test scores.

\

"The practice of attempting to express per­ formance on a test as a percent of possible or "perfect" performance and of estimating in advance an arbitrary percent value, such as seventy or seventy-five percent, as a "passing grade", is one which has only served to confuse many of the real issues in test construction. It is a practice which never did serve its intended pur­ pose, even with the traditional essay examination, and which is clearly Inapplicable to the newer type of test."76 The alternative to the practice criticised in the above quotation is to interpret individual scores in relation to the soores of others on the same test. Characteristics of Good Tests The last decade has brought about a great change both in the theory and methods of test construction.

Much

of the change has been brought about by the application of

- 119 statistical methods to the analysis of test results.

From

these critical studies of the entire testing technique, there have developed three well established criteria for measuring the characteristics of a good test.

These will

be considered in the following order {1} validity, (2) reliability, and (5) discriminating power. Validity Probably the most important characteristic of a good test is that it have validity.

That is, it should

actually measure what it is designed to measure.

The

degree of validity of a test, then, may be defined as the degree to which it accurately measures what it was con­ structed to measure.

It follows that the type of responses

called for in a test must bear some relation to the type of achievement to be tested if it is to be valid.

A test

designed to measure ability to perform simple linear equations in algebra, for example, should consist of samples of the steps required in such computation.

Tests

involving the correct use of English or requiring know­ ledge of history would have no validity in measuring ability in algebra regardless of how well the test items were prepared.

Validity In a test implies that for It to

be good, it must be good for some definite purpose. Validity is not a general characteristic which

- 120 attaches to a test at all times and in all situations. The validity of any test must be expressed in terms of use for a specific purpose and under certain circumstances. A test in English correctness, for example, might have a high degree of validity when used to test a group of sixth grade pupils, but be practically invalid when used to test college seniors.

Likewise a mechanical aptitudes

test that might be found highly valid for testing a group of junior mechanics might have very little validity for testing a group of well experienced senior mechanics. Mot only is validity specific in its applica­ tion but it is relative in nature.

That is, tests are

not referred to as having total validity or as being totally invalid.

Rather, tests are valid to a certain

degree; and that degree may range over a wide scale. Statistically, validity is expressed in terms of decimal fractions, and the range Is from zero, indicating complete lack of validity, to one, indicating perfect validity. This decimal is arrived at by the process of correlation which indicates the statistical relationship between the results of a given teat and some other established measure called the criterion.

Since the degree of validity is

measured in relation to some criterion, it follows that it cannot be anymore accurate than the criterion which Is used.

Let us consider an example.

Suppose we wish to

- 121 train persons to become expert marksmen.

First a test is

devised whieh we think will determine whether or not a person will become an expert marksman after proper train­ ing.

Next we administer the test to the raw recruits

and carefully record their scores.

After giving the

recruits their period of training, we then measure accur­ ately their shooting ability.

How by comparing the scores

made on the test with their actual ability, we are in a position to determine whether or not the test had any degree of validity.

If those who were the best marksmen,

had the highest scores on the test; and those who were poorest, had the lowest scores on the test, we can assume that the test has some validity for measuring the probable success of marksmen.

In this example the criterion was

one that could be objectively and accurately measured, but in many cases no such criterion is available.

Suppose

our example had been applied to a group of office assis­ tants.

In order to determine the validity of the test,

we would have had to secure some measure to use as a criterion.

But no such objective measure could be found

in this case, since the duties of the office assistant are quite varied and difficult to measure objectively.

Perhaps

a composite judgment of superior officers could be used as

- 122 a criterion, but one might have reason to doubt the object­ ivity of such a measure.

The fact must be constantly kept

in mind that a high coefficient of validity may mean very little unless the criterion on which the coefficient is based is dependable. Reliability By the reliability of a test is meant the degree to which it produces consistent results.

If a test gives

very similar results after It is used a great many times, it is said to have a high degree of reliability.

It is

quite evident that reliability Is an essential element of validity.

So test could be considered highly valid unless

it could be counted on to produce similar results time after time.

Validity, however, is not necessarily an

essential element of reliability.

It is quite possible

for a test to give practically identical results In successive uses and still not be valid for the purpose for which it was designed.

Suppose, for example, that the

marksmanship test referred to was found to have negative validity.

That is, those who made the highest scores,

proved to be the poorest marksmen, and those who made the poorest scores turned out to be the best marksmen. test would be condemned as absolutely invalid.

The

Then

suppose the test gave the same results time after time.

- 123 We would have to admit that the test was highly reliable but was definitely invalid. Like validity, reliability is a relative quality. Tests are rated by coefficients of reliability which are expressed as decimal fractions.

Perfect reliability is re­

presented by a coefficient of one, and negative reliabili­ ty is expressed by using negative fractions.

The same

statistical formula used in figuring validity is used to figure reliability.

There are at least three methods of

determining reliability, but all use the Pearson method of correlation. The same test can be given two or more times to the same group of testees, and the reliability determined by the relation between the scores made the first time and those made at successive times. disadvantages.

This method has certain

If the successive trials are made with

short intervals between them, a certain amount of memori­ zation will probably operate to make the last scores the highest.

On the other hand, if sufficient time is allowed

to elapse between the trials, the elements of additional learning and experience will probably operate to Invalidate the comparison. A second method of computing the coefficient of correlation is to prepare tests in more than one form and

- 124 express the reliability of one in comparison to the other. In such cases a high coefficient of reliability indicates that the results obtained by giving one form of the test are practically the same as those which would have resulted if the other form had been used.

Most standardized tests

are prepared in more than one form and their relative relia­ bility interpreted in this way. The third method often used to measure reliabili­ ty is known as the alternate response method.

The test is

constructed so that, in the opinion of the authors, each even numbered item is matched with an odd numbered item of a similar degree of difficulty.

The results of each test

are then recorded for the even numbered items and the odd numbered items separately.

The coefficient of reliability

is then computed by correlating the scores of the even numbered items with those of the odd numbered items. The reliability of a test will be affected by certain factors which are not inherent in the test itself. Such things as physical and mental condition of the testees, room temperature, fatigue, light, outside attractions and others may be very potent factors in determining test scores,

But such things can be kept fairly constant by

competent test administrators.

There are two elements,

- 125 however, which are Inherent in the tests themselves that affect reliability to a great extent.

They are (1) objec­

tivity and (2) the extent of sampling. Objectivity By objectivity is meant the elimination of per­ sonal opinion or bias as a factor in determining the test scores.

In order to secure such objectivity two things

are absolutely essential,

In the first place the test

items must be so carefully selected and so clearly stated that only one possible interpretation of their meaning can be defended.

Any item which is open to different interpre­

tations by different individuals will invariably lower the validity of the test of which it is a part.

In the second

place the tests should be constructed so that the score for each single testee will be the same regardless of which of a group of examiners mark it.

Or if all tests

are marked by the same examiner, each single test paper should receive the same score if it should be marked any number of times.

Mo test can perform with a high

degree of consistency if the scores of the testees are affected by the personal judgment of the examiners who mark the papers*

Mo test can be reliable if it is mea­

sured against a fluctuating standard.

Such a practice is

- 126 comparable to measuring the weight of watermelons by having a group of examiners estimate the weight of each, rather than using scales which are known to be consistent. Now if no scales were available, this method might be easily justified, but when they are available, such methods are to be condemned.

If it were not possible

to devise tests which can be measured by objective rating methods, the subjective judgment of examiners might be defended; but with carefully prepared keys or staaails available, subjective judgment can be practically elim­ inated. The Extent of Sampling It has been pointed out that test construction Involves the selection of sample items from among many items which might be used.

This process of selection

naturally Introduces an element of unreliability, since any single item selected represents only one of several items which might have been chosen.

Let us suppose we

want a test composed of only ten items, but we have ten blocks of information and ten items in each block from which to choose.

Now if each block Is considered of

equal importance, we must select one sample item from each block to make up the test of ten items.

Suppose one

of the persons to be tested can respond correctly to

127 ninety of the original one hundred items, but there is one in each block which he does not know.

It is possible

that when we select our ten samples, we might just select the very tea that this person does not know.

The result

would mean a score of zero; while it Is also possible that we might not select any of the ten he does not know. The result would be in that ease a perfect score for this particular testee.

It is impossible to eliminate this

sampling error completely, but it can be minimized by making the sampling as complete as possible,79

It is this

fact that accounts for the greater reliability of tests which include many items of achievement over those which Include a very few. Discriminating Power Good tests should not only have a high degree

of validity and function consistently, they should also show the difference between each individual tested and the remainder of the group.

If a test does nothing more

than divide a group of applicants into two or three classes according to their abilities, It is of little use in per­ sonnel work.

Especially should the test have a high

degree of discriminating power at the upper end of the distribution of scores.

It is not enough to know which

persons are in the upper ten per cent of the group, it is

- 128 also essential to know how those upper ten per cent rank in relation to each other.

In order to be highly dis­

criminating a test must include items of many degrees of difficulty.

The discriminating power of test items

is considered later in this chapter. kinds of Examinations As has been previously mentioned the examination process may be either of the formal or informal type.

In­

formal examinations are often referred to as unassembled examinations.

They may consist of a rather elaborate

oral interview, in which case they are called oral exam­ inations, or they may involve the rating of certain types of Information submitted by the prospective employees.

For

many types of positions the informal test alone is used in ranking the applicants.

In other cases they are used in

conjunction with a formal test. Oral Tests In the oral type of test, usually referred to as the personal Interview, applicants present themselves before one or more examiners and answer such questions as may be put to them.

The personal judgment of the ex­

aminer or examiners is then used as a basis for ranking them in the order of their abilities.

- 129 This type of examination has three definite dis­ advantages.

In the first place It requires too much time

if the number of applicants is large.

Only in cases where

very few persons are to be examined can the oral examina­ tion be applied practically.

In the second place the

ratings depend entirely upon the subjective judgment of the examiners.

Even if the examiners are entirely im­

personal and unbiased, there is considerable reason to doubt their ability to rank a group of applicants accur­ ately solely on the results of an oral examination.

A

third disadvantage of the oral examination is that it has a tendency to undermine the confidence of the public in the selective process.

When It is known that a personal

judgment is the determining factor in selection, it is not hard to imagine that personal or political considerations may have entered to influence the judgment. It may be possible to develop techniques which will place the oral examination on a more objective basis. If a rating chart can be prepared and placed in the hands of competent personnel administrators, the oral test may be highly desirable for certain classes of positions. An excellent example of the use of oral examinations for selecting public servants was carried on in Pennsylvania under the direction of Walter V. Bingham.

Mr. Bingham

- 130 was engaged by the Pennsylvania Employment Board of the Department of Public Assistance.

He secured the coopera­

tion of men of prominence from various occupations to serve on examining boards.

The boards worked out before­

hand a rating scale to be used as a guide in conducting the interviews.

Mr. Bingham has this to say about the re­

sults of the tests, "One of the civic achievements of this enter­ prise has been its success in reminding several hundred examiners and many other citizens as well, that it is possible to establish eligibility lists for positions in the public service without relying solely on written tests and yet without raising questions regarding party loyalties, political affiliation, religious leanings, or racial differences."80 The oral examination as discussed here should not be confused with the personal interview used by an opera­ ting department to appoint one person from among the names certified to it by the personnel agency.

The oral

examination referred to here is conducted for the purpose of making up the eligibility lists from which names will be certified to the operating departments.

Although a

personal interview is worth while, it seems best to con­ fine it to the operating departments and let the personnel agencies concentrate on improving the techniques of the written test. Informal Written Tests Informal written tests are often referred to as

-

unassembled tests.

131

-

In such tests the testees do not

assemble and respond to a set of ready-prepared exercises. Instead each testee submits certain material specified by the personnel agency for evaluation.

This material is

examined and assigned certain ratings.

The final score

is then computed by combining the scores assigned to each unit of the material evaluated.

These tests usually

include evidence of past experience, formal education, pre­ vious writings, and theses on assigned topics.

Often

each applicant is required to prepare a dissertation on a particular subject pertinent to the type of work for which he is competing.

This type of test has some points-

in its favor for positions involving considerable res­ ponsibility where highly specialized work is involved. The number of applicants for such positions is usually small and this type of test can be employed with a mini­ mum of expenditure of time and money. These tests are open to the same criticism as was applied to the oral test, since the ratings assigned are subjective in character.

This criticism is probably

less justified for positions where very rigid entrance requirements are established than it is in cases where the test Is open to the general public.

- 132 Formal Written Tests Formal tests are sometimes called assembled ex­ aminations because they are administered to assembled groups of testees all of whom work under similar circum­ stances.

Such tests are carefully prepared beforehand and

are supervised by a trained administrator, and each appli­ cant for any one class of positions is given the same questions.

According to the subject matter of such tests

they may be classified as (1) general tests, (2) specific tests, or (3) battery type tests. General Tests General tests are designed to measure a wide range of abilities rather than certain specific skills or technical knowledge.

They are intended to determine

ability to develop on the job rather than to measure present ability to perform specific tasks.

Two forms of

general tests have been used very extensively in this country; they are (1) the abstract intelligence test and (2) the aptitudes test. Abstract Intelligence Tests The purpose of an Intelligence test is to measure indirectly mental capacity.

Such tests have received a

great deal of attention since their general use in the

133 army during the World War.

The theory on which they are

constructed is that abstract intelligence can be broken down into such factors as memory, speed of perception, ability to follow directions, and others.

Individual

achievement In each of these factors is measured by the test and the results compared with norms established by administering the same test to many controlled cases. This comparison is then used to arrive at a figure which Is supposed to indicate mental ability or capacity. Those intelligence tests which are conceded to have the greatest validity are those intended for Individual use, but group tests have been constructed which produce highly valid results when compared with the results of the in­ dividual tests.

In fact most of the standard group tests

of mental ability have been validated by correlating the results obtained by their use with the results of one of the leading individual tests. The raw scores obtained from the intelligence tests are converted into Mental Age (M.A.) scores by the use of norms furnished with the tests.

A Mental Age score

is supposed to represent the equivalent of a score that would be made by an average person of that chronological age. A Mental Age of fourteen, for example, represents the equi­ valent of a score to be expected of an average person four­

- 134 teen years of age.

Mental Age scores are converted into

Intelligence Quotients (I.Q.) by dividing them by actual chronological ages*

A person whose Mental Age score is

fourteen and whose chronological age Is also fourteen has an I.Q. of 1 0 0 . Since there is assumed to be a certain age which marks the upper limit of a person’s mental growth, no chronological age larger than that limit is used in computing I.Q. scores. Intelligence tests have been widely used both in educational circles and by private and public personnel agencies.

Their use has been both highly praised and

roundly condemned.

Attempts have been made to study

various occupations and to determine a critical score below which the chances of success are very remote. Tables have been prepared for certain types of clerical workers which profess to show the "lower limits of the safety zone".

QO

The following quotation from a personnel

administrator in private industry indicates the extent to which some private business firms rely on intelligence tests. "We observe and accept the service performed by intelligence tests without attempting to explain them. We do not know just what they measure. We agree that they "do not look like they would do the job". The fact, however, as has been stated by a personnel manager in an important eastern firm, is that: "A twenty minute test is furnishing distinctions for us which heretofore were dis-

- 155 covered only through the painful process of hiring and firing and weeding out, sometimes over a two or three year period.”63 The ehief value of intelligence tests in public personnel work probably lies, either in their use to weed out a great many who have no chance of passing the re­ quired specialized test, or in using them as a part of a test battery. able.

The latter use is probably the most desir­

Used in conjunction with a specific test they fur­

nish some basis for estimating capacity for future growth on the job. Aptitudes Tests Aptitudes tests are based on the theory that certain Individuals are as a result of heredity or envi­ ronment, specially equipped for certain kinds of work. Aptitudes tests are designed to estimate whether or not an individual has a good chance for success In a particular line of work.

Such tests differ from specific tests

in the purpose for which they are designed.

Specific

tests are designed to measure the presence of the know­ ledge and skill under favorable circumstances.

Such tests

have been constructed to predict future success in manual work, mechanics, clerical work, and scientific positions. The construction of both intelligence and aptitudes

-

136

-

tests is a highly technical process involving a long period of experimentation to establish their validity and relia­ bility.

Public personnel administrators will find it

necessary to use well established standardized tests for measuring intelligence and aptitudes.

The use of such

standardized tests is often condemned on the ground that individuals may secure copies of such tests beforehand and thereby gain an advantage over others who had not seen the tests.

To avoid this possibility most standardized

tests are prepared in a number of equivalent forms so that no one can know beforehand which test or which form of a test is to be used.

Furthermore the type of responses

required on such tests are not such as to lend themsleves to rote memorization.

After a study of the effect of

coaching on the final scores in intelligence tests, the Bureau of Public Personnel Administration concluded that, "All in all the Bureau is of the opinion that no personnel administrator or educator should be deterred from using standardized tests of abstract intelligence because of the 84 likelihood or even certainty of coaching." Specific Tests Specific tests, sometimes called occupational tests, are designed to measure ability to perform the work required in a particular position.

In the discussion of

- 137 position-classifieation it was pointed out that in this country the greater emphasis has been placed on this type of test.

Hence there are special tests for plumbers,

typists, janitors, filing clerks, economists, and a host of others.

Because of the great number of specific posi­

tions in the public service, it has been practically im­ possible to standardize tests for all of them.

It is

possible that through the cooperation of personnel agen­ cies fairly valid standardized tests may be developed for a great many of the positions which are common to most jurisdictions.

But the job of constructing specific tests

will probably rest with the personnel agencies for some time to come.

The process of constructing such tests will

be discussed later. Battery Type Tests A battery type test is one that is composed of two or more units each of which is designed to measure a different thing.

Each unit is scored separately and the

scores of the units are combined to determine the final rating on each test paper.

Suppose, for example, an

eligibility register is to be established for filing clerks. Eligibles should have a certain degree of general Intelli­ gence, some special aptitude for the work, and also

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some definite knowledge of filing practice combined with skill in putting that knowledge to use.

1 test m*ight be

composed of three units: an abstract intelligence test, a clerical aptitudes test, and a specific filing test.

The

final rating on each test would be determined by assigning a certain relative weight to each unit and then making the necessary mathametical computations.

A weight of 25$ might

be assigned to each of the first two units and a weight of 50$ to the last one. The battery type test has a distinct advantage over a single specific test.

It takes into consideration

not only the ability to perform the work at the present time, but also the probabilities of further growth and development.

The fact that so many of the civil service

tests in this country have been of the specific type has led to the criticism that the "American recruitment sys­ tem is stacked heavily against the promising youngster 85 and in favor of the mediocre mature person". Perhaps the hope for reaching a happy medium between those who insist that recruitment should be based on general abilities and those who insist that it should be based on specific occupational skills lies in carefully prepared battery type tests.

The examination conducted by the United States

Civil Service Commission In March 1941 for Junior Profess­

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139

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ional Assistants was a good example of a battery test. The tests were conducted in nineteen optional subjects, such as Junior Chemist, Junior Economist, Junior Geologist, etc..

The battery consisted of two units.

One unit was a general abilities test and was the same for all testees regardless of the subject which they elected.

The second was a test of specific abilities

in the field which the testee elected.

The weights

assigned to each unit was 30$ for the general abilities unit and 70$ on the specific skills unit.66 Forms of Tests Tests may be either subjective or objective depending on the type of response required from those who take the test.

Each of these forms deserves con­

sideration. Subjective Tests Subjective tests are those which require rather extended responses to individual items, and therefore call into play a variety of skills and In­ formation.

Since a variety of abilities is represented

in each response, the relative weight assigned to each specific ability will depend largely upon the personal judgment of the examiner who marks the papers.

Because

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140

■*

of the type of response called for in such items, they are often called essay or discussion questions.

The

following examples will serve as illustrations of this type of test exercise. 1.

Discuss the effect of a change in the

Federal Reserve rediscount rate on the loan policy of a rural bank. Z*

Write an essay on the importance of the

rural mail service in the United States. Such exercises not only require some knowledge of the subject, but they also require ability in ex­ pression, organization, use of English, spelling, and use of vocabulary.

It is the fact that so many skills

are called into play that accounts for the difficulty in rating the responses on an objective basis.

One

examiner may consider knowledge more important than method of expression, another may lay great stress on spelling, while still another may give considerable weight to the skill with which the response is organized. This characteristic of subjective tests is their chief point of vulnerability.

It does not seem necessary to

argue that the score given an applicant for a position in the public service should depend upon the quality of his responses and not upon which particular examiner happened to mark his paper.

Many studies have pointed

141 -

out the unreliability of the marks given by teachers on subjective test papers, and a similar study was made by the Bureau of Public Personnel Administration that de­ monstrated the equal unreliability of scores given by personnel administrators.

The Bureau carefully prepared

three essays, one of which it considered to be definitely superior, a second to be mediocre, and a third which was definitely bad from all angles.

The three essays were

assigned numbers and were graded by forty-two examiners. All of the examiners were employed by public personnel agencies at salaries ranging from #1500 to #10,000 a year. Each examiner scored each essay on the basis of 100$.

The

range of scores was as follows: No, 1 Mediocre Low 38

No. 2 Superior

High 95

Low 60

High 100

No. 3 Bad Low 0

High 60

The results are a clear indication of the range of scores any one response may receive when scored by different examiners.

But the important thing to notice is that some

of the examiners did not consider the superior response good enough to merit a passing mark (based on 70$), while others thought the mediocre response worth as high as 95$.

The

Bureau summed up the results of this study as follows: "The score given an applicant for a position in the public service who is asked to write a composition de-

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pends as much upon the personal equation of the examiner as upon the quality of the product the testee turns in. ... A given composition, for example, may be given a high score if it falls into the hands of one examiner, a score just above passing if it falls into the hands of another examiner, a score just below passing if it falls into the hands of a third examiner, and a very low score indeed if it falls into the hands of a fourth examiner.”87 A second serious defect of the subjective type of examination question is that it permits only a very limited sampling of the entire field.

Since the responses

called for consume a great amount of time, only a small number of exercises can be included in any one test.

It

has been pointed out previously that this limited sampling reduces the reliability of the test. Certain advantages are claimed for the long-response test exercise.

Its preparation is relatively easy

and requires very little time and expense.

There is no

doubt that this is an important consideration for many per­ sonnel agencies which are required to operate with a limited staff and on meager budgets.

There is a possibility,

however, that the longer time required for scoring such tests will conteract this apparent saving especially if the number of applicants is large.

Another argument ad­

vanced for this type of test is that in certain types of positions, it is necessary for the employee to be able to express himself clearly. this contention.

There is considerable merit in

However, if a test is designed to test

- 143 -

ability to write clearly and convincingly, it should test just that and nothing more.

Ho single item should be de­

signed to test both ability at composition and knowledge of subject matter.

This will become evident if we consider

two possible testees one of which is very good at expression and the other very poor in that particular ability. Suppose the two testees are asked to write on a particular question which requires the knowledge of certain subject matter.

If the first testee knows practically nothing

about the subject, he has no opportunity to display his superior ability at expression, while if the other testee has some knowledge of the subject matter, he may be able to make some type of response in spite of his poor technique. Such an exercise would not bring out the differences in the writing ability of the two testees, and therefore would not function for the purpose it was intended to serve. A third argument advanced for the subjective test exercise is that it gives an opportunity for the testee to demonstrate not only that he has certain items of information but that he can apply that information to specific situations.

This is perhaps the most significant

point in favor of this type of test, and it furnishes a challenge to the objective test builders to demonstrate that objective tests can also be constructed which will

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-

measure this ability. Whatever may be the relative merits of the two types of tests, the objective test is very largely replac­ ing the subjective test in personnel work. Objective Tests The distinguishing character of an objective test is the fact that responses are made with a minimum of writ­ ing.

For this reason objective tests are often called

short-answer tests.

Each test item is designed to test a

specific bit of knowledge, a certain skill, or a particular application of knowledge.

If the items are properly

drawn only one possible method of making the correct res­ ponse Is possible.

The proper responses are prepared

before the scoring process starts, and all examiners use the same key in scoring papers.

In such tests all elements

of personal judgment on the part of examiners is eliminated. In other words the scoring is objective, and except for clerical errors, the score on any single paper will be the same regardless of which of a group of examiners marks It. 88

There are many forms of objective test items,

but they can

be classified into three large classes: (1) completion exercises, (S) true-false statements, and (3) multiplechoice items.

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Completion Exercises Completion exercises usually consist of state­ ments which are complete except for one significant de­ tail.The testee is then expected

to recall the detail

required to complete the statement and to record his re­ sponse in the proper manner.

A couple of examples will

illustrate this type of exercise. 1. 2.

If the total scores of all persons on a given test is divided by the total number of scores, the resulting figure is called______ In a normal distribution of test scores approximately sixty-eight per cent of the scores will lie within a distance of_______ from the mean of the distribution.

This type of exercise is specially adapted to testing purely factual information, and it can be used to cover a great many facts in a short space of time. Since the testee is required to recall the correct res­ ponse rather than choose from a group of possible res­ ponses, the element of guessing is reduced to a minimum. True-False Statements In true-false exercises the testee is required to read a group of prepared statements and decide whether he thinks each is true or false.

In indicating his res­

ponse the testee Is required to follow certain directions outlined In the test instructions.

The following examples

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-

are typical of this type of test item. 1* _

_

_______•

Orange ;)uice supplies some of the vitamins in whieh milk is deficient.

.

Cream of tomato soup provides more calories per unit than beef broth.

2.

This type of item has the advantages claimed for the completion exercises in that it can be used to cover a great deal of ground in a short time; and in addition it can be used to cover a knowledge of relations between certain facts as well as isolated items of information. The chief weakness of the true-false item is the fact that a testee has an even chance of giving the correct response even though he knows nothing about the facts on which the correct response rests.

This defect can be partially over­

come by making statistical corrections for guessing. Multiple-Choice Items In multiple-choice items the testee reads a statement and then selects from a group of suggested res­ ponses the one he thinks fits the particular statement accurately.

The statement may instruct the testee to se­

lect the one correct response, the one incorrect response, or to select from a group of acceptable responses the one that is the best.

The following are typical of this type

- 1 47

-

of item. 1. The Constitution of the United States pro­ vides that presidential electors be selected: a. by the legislature of the state. b. at large by the qualified voters of the state. c. in such manner as the state legislature may provide. d. from congressional districts by popular vote. 2. A majority opinion of the Supreme Court of the United States must have the favorable vote of: a. all the judges of the court at the time the decision is made, b. a simple majority of the judges sitting in the ease. e. all the judges sitting in the case. d. a simple majority of all the judges of the court at the time. The chief advantage of this type of test over the others is that a wider variety of information can be tested.

If these items are carefully prepared, they can

be used to test relationships between facts as well as ability to apply knowledge to actual problem situations. The element of guessing is partially eliminated by offer­ ing a large number of choices each of which might appear reasonable to one who did not have the required information. Construction of Tests The degree to which any given test functions in predicting the future success of a group of applicants will depend to a great extent on the skill with which it is

- 148 -

constructed.

In most state jurisdictions the personnel

agency will he required to construct the tests which it will use in making up eligibility lists.

Some agencies will

have sufficient staff and funds to carry on research pro­ jects in test construction and validation, while others will be required to rely on personal judgment rather than experimentation to validate their tests.

Agencies with

limited staffs can eall upon experts in test procedures and educators in various fields of subject matter for assistance in making their tests.

There should develop

among personnel agencies a spirit of cooperation so that tests can be exchanged from one jurisdiction to another. The Bureau of Public Personnel Administration spent con­ siderable time in preparing and standardizing tests for various classes of positions commonly found in the public service.

These tests were made available to any public

personnel agency at reasonable prices.89

The process of

test construction can be discussed in several rather definite steps. 1.

Study the requirements of the positions for

which the test is to be used*

Before constructing a test

it is important to know just what information, skills, and abilities are required of those persons who fill positions like the one for which the test Is to be used.

It is at

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149

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this point that a good position-classification plan comes in to the picture to serve as a guide in test construction* Information from the heads of operating departments should he solicited to supplement the specifications set out in the position-classification plan*

In those positions of

a professional or technical nature educators in professio­ nal schools as well as representatives of professional organizations and unions would he consulted* 2*

Determine the type of test to he used*

The

type of test to he used will depend upon the nature of the position to he filled*

It has been indicated previously

that for some classes of positions it is doubtful if a formal test can be used satisfactorily, while In others practical reasons make the formal test necessary.

Where

the formal test Is decided upon, certainly the objective type should be given preference.

In most cases it is also

preferable to use a battery test rather than any of the single unit types*

This gives the advantage of estimating

present ability as well as possible future development, 3,

Prepare test items.

After the field of sub­

ject matter has been selected, a great many items of in­ formation should be selected covering all phases of the entire field.

All degrees of difficulty should be repre­

sented in the group of items.

The nature of the material

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150

-

to be tested will probably determine the choice of the form of test exercise to use.

The multiple-choice exer­

cise is the most flexible and can be adapted to a wider range of subject matter than any other form, but the other forms may be used to advantage in specific instances* "Whatever advantages or superiorities any type of test may have are specific advantages in specific situations*"90 4*

Edit and correct test items.

All indivi­

dual test exercises should be edited by someone other than those who prepared them originally.

In this way many

ambiguous phrases and sentences will be discovered which were not apparent to the original composer.

Any statements

which are not absolutely definite and clear should be re­ written, or if the task seems hopeless, discarded alto­ gether*

Special care should be exerted to make sure that

for each item only one possible response can be success­ fully defended as the correct one. 5,

Evaluate the degree of difficulty of the in­

dividual test items.

In order to prepare a test which

will have a high degree of discriminating power, the rela­ tive difficulty of individual items must be estimated.

Such

estimates can be arrived at by the subjective judgment of those who prepared the items or by actual experimentation. The second method is preferable when facilities are ade­

- 151 -

quate.

It Is sometimes possible to submit the items to

employees already in the service to secure this information. Classes In universities and technical schools also can be used as experimental groups to determine the relative difficulty of test items.

The degree of difficulty is

measured by the number of persons who are able to respond correctly to each item.

Many items will be eliminated in

such experimentation because they are either too difficult or too easy. It must be pointed out that the mere fact that a very few persons respond correctly to any single item does not mean that the item is a good one to include in the test.

It is quite possible that an item which was

answered correctly by only ten percent of the group, was missed by the very best ten individuals in the group. Items must not only have a certain degree of difficulty, they must also have the power to discriminate between the best and the poorest.

As in the case just mentioned, an

item which the best individuals miss and the poorest get correctly has no discriminating power. be thrown out of the test entirely.

Such items should

The ideal toward

which the test builder should strive is to have some items to which only a few can respond eorrectly, and the few who do answer them correctly, should be the best of the group.

- 152 -

And if some items are missed by only a few, those who do miss them should be the poorest ones in the group.

A

great deal of experimental work has been done to devise statistical methods to determine the discriminating power of test items*9!

Perhaps the simplest way is to figure the

coefficient of correlation between the score made on each item with the total scores made on the test.

This method

assumes that those who score the highest on the entire test are the best in the group, and those who score lowest on the entire test are the poorest in the group.

Any item

which has a high degree of correlation with the scores on the whole test, is considered to have a high degree of discriminating power.

This step in the process of test

construction will eliminate many of the original Items from further consideration. 6. test,

Select the items to be used in the finished

from those items that are left after they have been

edited and tried out, there must be selected enough to make a good test.

The first problem is to determine the number

of test items to be included in the final test.

The ele­

ments of time and printing expense will prompt personnel managers to limit the number, but it should not be for­ gotten that the more complete the sampling, the more re­ liable will be the results.

The testing section of the

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153

-

Civil Service Assembly of the United States and Canada reporting in 1927 said, "it is unsafe to use short answer test material exclusively unless at least one hundred items are included, and it is better to have two hundred or even three hundred."92

The number of items required will de­

pend to a great extent on how much editing and experiment­ ing has been done in preparing them.

One hundred well pre­

pared items are probably enough for any unit of a test battery, but if the items have never been tried out, more than one hundred are to be desired. The second problem in selecting test items is that of getting the right number of items from all degrees of difficulty.

It is rather generally agreed that tests

are most satisfactory when the distribution of scores resulting from their administration approximates the "Normal Curve".

One reason for this is that many of the

formulae used in Interpreting the test results are based on the normal curve.

"Ideally the distribution of items

should be approximately even; that Is, there should be the same number of items which ten, twenty, thirty, forty, fifty, sixty, seventy, and eighty, per cent of the testees answered correctly ... • The items should be so selected that the average raw score of the testees for whom the test is intended is fifty per cent of the maximum possible

- 154 -

score."9®

7•

Prepare the instructions and the scoring key.

Due to the large number of papers to be marked, the method of scoring should be made as simple and convenient as possible.

In objective tests the keys should be constructed

so that clerks can score the tests as a mechanical process. In many tests it is possible to use a single answer sheet on which each testee records all his answers.

In this way

a stencil can be made for the entire page and the paper scored in a minimum of time.

In state personnel work the 94.

use of scoring machines should be carefully considered. ’ The scoring keys should be made so that the process of scoring is absolutely objective.

If more than one res­

ponse is to be accepted as correct, the alternative res­ ponses should be shown oh the key.

The scoring instruc­

tions should be clear and concise and all examiners should be charged not to deviate from them in any way. In scoring short-answer tests it is probably best to make corrections for guessing.

This is particu­

larly true when the number of possible choices is small. The common method used for this purpose is to divide the number of incorrect responses by one less than the number of possible choices and subtract the result from the num-

- 155 -

ber of correct responses. the formula

Ss

The process is represented by

when Ss the corrected score, B*

the number of correct responses, W- the number of incorrect responses, and Nr the number of choices. The Administration of Tests The use of carefully prepared formal tests with clear and concise directions included in the tests should reduce the problem of administration to a minimum.

One

of the basic principles to be followed is that conditions under which all testees work should be as nearly the same as possible.

This means that the persons who administer

the tests should be thoroughly familiar with the direc­ tions, and they should abide by them to the letter.

No

administrator should deviate from the time limits set up for each section of the test.

If the number registered

for a test is small and the jurisdiction is not too large, the test may be administered to all of them in the same place.

This would Insure similar supervision and working

conditions. In cases where a number of testing centers must be established, care should be taken to secure locations in which external conditions are similar.

The reliability

of test results will be impaired if one group of testees

- 156 -

works in a well lighted room under pleasant surroundings while another is working in a poorly lighted room where city traffie is heavy.

This is of special importance if

part of the test is designed to measure general intelli­ gence. Each person desiring to enter competition for a certain class of positions should he required to file a preliminary application blank with the personnel agency. Those who meet the requirements set out in the examination notices should be notified by mail.

This notification can

then serve as the applicant’s credentials to admit him to the formal test. In order to insure impartiality the competitor’s papers should be identified by number rather than name throughout the scoring process.

All original papers

should be saved during the life of the eligibility reg­ ister, so that any question concerning the scoring accu­ racy can be properly investigated.

Not only must the

scoring process actually be impartial, but the public must be convinced that it is so. Interpreting Test Results The raw scores obtained from the administration of a given test should be examined critically for two

- 157

specific purposes.

They should first he used to deter­

mine the order in which the testees will be enrolled on an eligibility register from which names will be certi­ fied to the operating departments as vacancies appear. They should also be studied in order to determine the value of the test and the possibilities of its future development and improvement. Interpreting Relative Abilities as Measured by a Test In interpreting the group of raw scores re­ sulting from the administration of a formal test it must be kept constantly in mind that the chief aim of such in­ terpretation is to get as complete a picture as is poss­ ible of the comparative abilities of the individuals tested. There are a number of methods which can be used to handle raw scores, and some of these will be examined. 1.

The simplest method is to list the raw

scores themselves in the order of their size on the eligibility register.

In this arrangement the idea of per

cent scores is not a factor.

The highest score might

well be 200 or it might be fifty depending on the length of the test, its degree of difficulty, or the method of scoring.

The one thing this method does is to show the

order in which the testees ranked on the test.

This

-

158

-

method of handling test scores fails to furnish a clear enough picture of the degree of difference between the scores of those who are placed on the eligibility reg­ ister. 2.

The raw scores may be interpreted as a cer­

tain per cent of a perfect score.

This method involves

very little mathematical computation, and it is required by law in some jurisdictions.

Each raw score in the list

Is multiplied by a common ratio which is determined by dividing the highest possible score into one hundred. That is, if the highest possible score on a test is 200, then each raw score would be multiplied by five tenths.

This

method has no advantage over the one described above ex­ cept it meets certain legal requirements. 3.

Another method has been devised for inter­

preting raw scores in terms of per cent scores.

The pro­

cess is usually spoken of as arranging raw scores accord­ ing to their percentile rank.

This simply means giving

each raw score a rank equal to the per cent of scores that are lower than it.

Bather than ranking scores as per cents

of a perfect score, they are ranked according to the actual scores made on the test.

A percentile rank of one hundred

means that lGGj& of all scores are below that particular score, in other words that represents the highest score

- 159

made on the test.

-

It does not mean, however, that that

score was the highest score that was possible on the test. A percentile rank of ninety means that 90$ of the scores are below that particular score, the middle score, usually referred to as the Median, will always have a rank of fifty, since 50$ of the scores are below It in the dis­ tribution. This method of ranking raw scores has found con­ siderable favor in educational circles and is recommended to be used with the tests prepared by the Bureau of Fublic Personnel Administration.

It has a distinct advantage over

the other methods mentioned in that the rank of each score is made in terms of other scores rather than in terms of a certain degree of perfection.

The percentile rank,

however, has at least two rather serious disadvantages that should be kept in mind if it is used. In the first place percentile ranks indicate only the relative position of scores.

They do not take

into consideration the comparative size of the scores. In other words a percentile rank expresses what per cent of the number of scores are below a given score, but it does not give any indication of how much lower they are. The rank is determined entirely by counting numbers without taking into consideration the sizes of the numbers.

A

160 second objection of the percentile scale is that the units of the scale are not uniform throughout the entire distance.

This is accounted for by the fact that in

most distributions of raw scores a great number will cluster near the middle score, and toward either extreme, the number of scores will thin out.

It follows, then,

that since the percentile rank is determined by counting the number of scores, a very small number of raw score units will change the percentile rank near the middle, but toward either end of the distribution, a great number of raw score units may be required to change the rank.

If one thinks of a yard stick on which the marks

indicating inches are close together near the middle and spread rather wide apart at either end, he has a picture comparable to the percentile scale. 4,

A very satisfactory method for examining

a group of raw scores is to transpose them into values on a scale using the "Standard Deviation” as a unit. The Standard Deviation, usually designated by the Greek letter

{sigma), is a measure of variability.

Its

computation is based upon the average or "Mean” of a group of seores.

The Mean is derived by dividing the

sum of all the scores by the total number of scores.

- 16 1 -

Each score in any group will deviate from the Mean by a certain amount.

This deviation is determined by

subtracting the Mean score from each individual score. This would actually result in negative deviations for all scores below the Mean, but the negative signs are disregarded.

If the total of all deviations Is divi­

ded by the number of scores, the result will be the average or "Mean Deviation".

The position of any single

score in a distribution can then be indicated by saying it is within a certain number of Mean Deviations from the Mean score.

This method of describing the location

of a single score takes into consideration the amount a score deviates from the Mean as well as the distance it is from the Mean.

The Standard Deviation, used more

often in statistical work than the Mean Deviation, involves the same concept but is arrived at by a slightly different mathemetical process.

In figuring

the Standard Deviation, the individual deviations are first squared before they are added; then after having divided by the number of scores, the square root of the result is extracted. the formula Standard Deviation, ^

The process Is represented by in which

- the

s the sum of, x* the deviation of

each score from the Mean, and N s the number of scores.

- 162

-

A number of scales have been devised using the Standard Deviation as a unit.

In using these

scales it must be kept in mind that a Standard Devia­ tion represents a certain distance on the scale; and if the scores in a distribution approximate a normal dis­ tribution, 68$ of the scores will lie within one stan­ dard deviation on either side of the Mean, about 95$ will lie within two Standard Deviations, and about 99.?$ will lie within three Standard Deviations of the Mean.

At

least three scales have been devised using this unit, and they should be mentioned here. 1.

The z-score scale is constructed by marking

the Mean score of the distribution equal to zero, then marking off units on either side in multiples of a Standard Deviation.

On this scale a raw score equal to

”2" on the scale would indicate that the score was two Standard Deviations above the Mean.

Since the Mean is

equal to zero on the scale, all scores below that point will have negative values.

The z-score equivalent of

any raw score would be represented by the formula Z z. in which z * the z-score equivalent, x = any raw score, m = the Mean, and

the Standard Deviation of the dis­

tribution. 2.

The Standard Scale is very similar to the

z-score scale except that the Mean score is made equal

163

-

to "5" on the scale.

-

This eliminates the negative

values for scores below the Mean.

On this scale a raw

score equivalent to a standard score of "7" would lie two Standard Deviations above the Mean and would be the same as a z-score of "2".

The formula for figuring

Standard Score equivalents is the same as that for fig­ uring z-scores except that the result in each case is increased by five. 3.

The T-score scale is probably the best

adapted to personnel work,

negative numbers are elim­

inated and the score equivalents are measured in larger numbers.

The principle of the scale is the same as the

other two except that the Mean score is equated to "50" on the T*score scale and the scale is marked off in units of ten Standard Deviations.

A score of "70" on this

scale means that the raw score is two Standard Deviations above the Mean and is the same as a z-seore of "2" and a Standard Score of "7*.

If the distribution of scores

corresponds to a normal curve, about 68$ of them will fall between the T-scores of ”40" and "60” , and about 95$ will fall between "30" and "70".

The T-score equi­

valent of any raw score is expressed by the formula Tin which T = the T-score equivalent, x = any raw score, m - the Mean, and ctn

z

the Standard Deviation of the

-

164

-

distribution. It is doubtful if the T-score scale alone would be satisfactory to meet the legal requirements of those ju­ risdictions that set up a critical score by law.

This would

depend to some extent upon the size of the critical score, if a score of «7ow is required for passing, only about 5$ would pass, and if the critical score is "75", only a very small per cent would be expected to pass.

It is possible

to use the T-scores as a basis for marking a group of tes­ tees in such a way that a larger per cent could b© expected to be above the critical ©core.

If a critical score of

"70" is established by law, a satisfactory range of scores could be secured by marking a T-score of ”45" equal to "70", a T-score of "50" equal to "75", and so on till a T-score of "75" would be equal to "100".

In this range it would be

safe to predict that 70$ of the total would receive passing marks and 30$ would have failing marks.

The T-score of

"75" which would be equal to "100” would probably include about 99.4$ of the scores.

This would leave a possibility

of an occasional score of more than 100.

This might not,

however, prove serious from a practical standpoint.

If it

is desired to cut down on the per cent likely to receive a passing mark, this could be accomplished by assigning the grade of "70" to a T-score higher than 45.

Fig. No. 1

shows the relation between the various scales which have been mentioned.

- 165 A Comparison of Seales for Hanking Raw Scores on Civil Service Examinations Percentile Rank

Mean

Z~Scores

T-Seores

Standard Scores

Final Grade leak

5.0

100

10*0

4.5

95

9.5

99.997

4.0

90

i , 9*0

99.98

3.5

85

8*5

99.8?

m 3.0

@0

8,0

99.38

2.5

75

7.5

100

97.72

2.0

70

7.0

93

93*32

1*5

65

6.5

90

84*15

1.0

60

6.0

85

69.15

.5

55

5.5

80

0

50

5.0

75

30.85

- .5

45

4.5

70

15.8?

- 1.0

40

4.0

65

6.68

-1*5..

35

3.5

60

2.28

- 2.0

30

3,0

55

0.62

— 2,5

25

2.5

50

0.13

-3*0.

20

2.0

45

0*02

** 5*5

15

1.5

40

0.003

- 4.0

10

1.0

35

------ -

-4,5

5

.5

30

0

25

50

f

it

g-nr

it0mwiai

Fig* Ho. 1*

- 166 -

The first four scales are based on the Standard Deviation as a unit.

The last scale is an arbitrary one

suggested for changing T-scores to grade ranks in jurisdic­ tions where a certain critical score is required for passing. Computing Composite Scores Standard Deviation scales are very convenient tools for computing a single composite score from the indi­ vidual scores on each unit of a test battery.

When a test

battery has been used, some method of arriving at a single score for the entire test must be used.

The simplest

method is to add the scores made on each part of the test and divide by the number of parts.

Different weights might

be given to scores on each part, but the principle is the same.

This method cannot be justified unless each of the

scores is measured in terms of the same unit. this is not true.

In most cases

The common method of scoring the indi­

vidual parts of a test is to count one point for each correct response.

When this system is used, each test

item represents a unit of measure in terms of which the score is recorded.

But the items in each test are not

equal to the items of the other.

Averaging the two scores

in this way is comparable to averaging the potato crop of two farmers when the crop of one is represented in bushels and that of the other in barrels.

Ho one would even consider

- 167

-

doing this until both crops were reduced to measures of the same unit.

Likewise in averaging test scores, they should

first be reduced to measures of the same unit.

Raw scores

are not satisfactory for this purpose. Percentile scores are somewhat better than raw scores, but here again the unit is variable.

The most satis­

factory procedure is to reduce the raw scores to measures expressed in terms of Standard Deviations.

The T-score is

perhaps the most satisfactory for this purpose.

If it is

thought desirable to assign different weights to the diff­ erent parts of the test battery, this can be done by multi­ plying the T-scores by the relative weights desired before making the division to secure the final composite score. Interpreting Test Scores For Test Improvement In studying test results for the purpose of eva­ luating the success of the test itself, the individual scores are no longer significant, therefore any type of grouping may be applied to the scores to make them convenient to handle.

The test as a whole should be examined to see

how the scores are distributed over the entire range.

If

the test functioned properly, the scores should correspond roughly to the normal curve of distribution.

If too many

- 168 scores are near the top of the range or too many near the bottom

of therange, the test is probably too difficult or

too easy. If there are certain points where the scores pile, that is an indication that too many items of the same range of difficulty were included. A study of each item of the test should be made to discover those whieh were of no value in discriminating between individual abilities.

Such items as the following

should be eliminated from future tests. 1,

Those to which all testees responded correctly.

2,

Those to which none of the testees responded correctly.

3,

Those which were answered correctly by the poorer individuals, but missed by the better ones in the group.

4,

Those which were quite evidently misunderstood or misinterpreted by a number of individuals.

When an eligibility register has been established, by the use of a particular test and appointments have been made from the register, a more accurate check can be made on how well the test actually functioned.

This can be

accomplished by comparing the scores made by these indivi96 duals with their success on the job. If those having the highest scores proved to be the most successful on the job,

- 169 one may fairly assume that the test has functioned with some degree of validity* Constructing Test Files Since the construction of good tests requires considerable time and effort, agencies should have tests in the process of construction all the time.

If tests

are made just when they are needed to replenish a parti­ cular eligibility register, they are not likely to be very well done.

If the positions in the public service are

well classified, it should be possible to determine just how many eligibility registers are necessary to fill all the positions included in the classified service.

When the

number of registers has been determined, a test file should be started for each register.

Great numbers of items

should be prepared and tried out through experimentation wherever possible.

Those items which seem to be satisfact­

ory for filling a particular type of position, should be placed in the proper file.

The file for each register

should b© divided into sections, each to hold items of a certain degree of difficulty.

All items whose degree of

difficulty have not been determined through trials, should be filed according to the judgment of the personnel managers. After items have been used in an actual test, they should be

- 170 reclassified if the results warrant it.

Each file should

be built up so that it contains many times as many items as will ever be used in any one test, and the number of items in the middle ranges should be much greater than in those at either extreme.

In fact each file should

correspond to a normal distribution. When a test is required for any class of posi­ tions, the process would be simply one of selection. The proper number of items from each range of difficulty could be easily selected and combined Into a finished test.

After such files had been in use for some time,

and the undesirable items gradually weeded out, its use should produce very reliable results.

- 171 Chapter V APPOINTMENTS TO TEE PUBLIC SERVICE The appointment of persons to fill positions in the public service is generally considered to be the function of the operating department in which the appoint­ ment is to be made*

The personnel agency merely furnishes

the names from which the selection must be made*

The

actual steps in the procedure by which appointments are made is rather uniform in all jurisdictions which operate under a merit system*

(1) The operating department

makes a requisition to the personnel agency for the certi­ fication of names of candidates for a specific vacancy.

The

requisition is made on special forms provided for that purpose and shows the classification of the position, salary range, qualifications, and any other information that may help the personnel department select the proper register from which to certify candidates.

(2) The personnel

department certifies to the appointing official in the operating department ofie or more names from which the selection can be made,

(3) The appointing official in the

operating department appoints one of the persons which has been certified to him and sends an official notice of the appointment to the appointee and to the personnel department. The effectiveness of the entire appointing process

- 172 will depend to a great extent on the adequacy of the posltion-classification plan used in the service.

The per­

sonnel department must have considerable information as to the type of position which is to be filled before it can choose the proper register from which to make its certifi­ cations.

This information about the position is furnished

by the operating department along with the requisition. But unless there is a uniform terminology used throughout the service, the personnel department may find it difficult to certify properly qualified candidates in response to all the requisitions submitted to it;

If the service has been

properly classified, the operating department will use the class specifications in making its requisitions, and the personnel department will have little trouble in making the proper selections.

In fact the registers of eligible

candidates can be established for definite classes of posi­ tions, and when a requisition is received, the personnel department has merely to use the register that has been established for the particular class to which the position belongs.

It is true that since there are some classes In

the public service which include very few positions, reg­ isters to supply all of them are not always available.

For

such positions, the personnel agency will have to conduct speoial examinations.

In preparing such examinations, close

173 cooperation should be maintained with the operating depart­ ment in order to select persons possessing the qualifica­ tions required for the position to be filled. How Many Names Shall be Certified? The question of how many names shall be submitted to the head of the operating department from which he can make an appointment is one on which students of public personnel administration do not agree.

The practice in

various jurisdictions is about as varied as is the sentiment among students of the problem; but there are two general policies under which practically all of them can be classi­ fied.

(1) The certification of an entire register of eli-

gibles, and (2) the certification of a limited number of eligibles from the top of an eligibility register. Certification of an Entire Eligibility Register There are those who maintain that the chief duty of the personnel department in the appointment process is to maintain the proper number of up-to-date eligibility registers; then when a requisition is received, select the proper register and submit it to the head of the operating department.

This practice gives the operating head consid­

erable freedom of choice in selecting his employees. are two variations of this plan.

There

One may be called the

- 174 ranked-regi ster plan and the other the unranked-register plan.

In the former the names of the candidates are listed

on the register in the order in which they ranked on the examination.

The actual grade of each candidate may or may

not he shown along with his rank on the register.

Under

this plan the department head maintains a wide freedom of choice, but may be guided by the rank of the candidates if he is so inclined.

Under the unranked-register plan

the names of all of the candidates on the eligibility register who have passed the examination are submitted to the department head without any indication of the way in which the candidates ranked on the register.

Either of these

plans is sometimes referred to as the pass-principle of certification since all candidates who passed the examina­ tion would be placed on an eligibility register and have a chance of being considered for appointment. Limited-Bumber Certification The most common practice among civil service agencies is to submit a definite number of candidates from the top of the register in answer to a requisition from an operating department.

The practice in the federal service

is to certify the top three names, and other jurisdictions have followed this same procedure.

The number of names

could be altered without changing the principle.

The purpose

- 175 of this plan is to give the heads of operating departments some freedom of choice without permitting them to make their selections for personal or political reasons. In examining the literature on the subject of certification, one finds that persons whose support of the merit system of selection cannot be questioned take widely varying views of the problem.

At the one extreme is that

group which supports the unranked register method of certi­ fication.

The most recent example of this attitude is re­

presented by a part of the report of the President’s Com­ mittee on Civil Service Reform which appeared in 1941.97 All of the lawyers on the committee, except one, approved the part of the report which recommended that all lawyers in the public service be certified by submission of an unranked register of those who made a passing grade on the civil service test.

It is interesting to note, however,

that they did not make such a recommendation for the other professions represented in the public service. As representative of the group which favors the plan of certifying an entire ranked-register when a requisi­ tion is received the following statement is taken from a widely used text in public administration. "There would seem to be no good reason why he (the administrative officer) should not be allowed to choose an applicant from among all those who have shown by passing the examination that they are qualified for the position.

-

176

-

If he wishes to be guided by the actual grades achieved by those who took the examinations, he can easily discover who made the highest grade, and he can take that person; but he should not be compelled to do s o . "98 A large number of writers lean toward the ruleof-three by which the appointing officer can choose any one of the three highest ranking candidates which have been certified to him by the personnel department.

This is the

attitude taken by Mosher and Kingsley in their book on QQ

Public Personnel Administration.

At the other extreme

stands those who maintain that only the top ranking candi­ date should be certified to appointment.

the operating department for

Fred Telford, director of the Bureau of Per­

sonnel Service, upholds this attitude In the following con­ clusion to an editorial in Public Personnel Studies, "It Is well known, in fact, that when three or more names are certified the appointing authority almost invari­ ably appoints the highest eligible or makes his selection from those whose names are certified on the basis of poli­ tical, family, racial, or other improper considerations. ... When new legislation is adopted, there is every reason why it should provide for the certification of the name of only one eligible. When changes in existing legislation are sought, the ends of good personnel adminis­ tration are best served If the old ’rule of three* is eliminated and the modern ’rule of one* substituted.100 The problem of certification is one that deserves serious consideration; for the method in which it is handled may have great bearing on the success or failure of the merit system in any jurisdiction.

Any method of certifica­

tion should be judged by the extent to which it operates

- 177 to: (1) insure the selection of the best from among the available candidates, (2) promote a spirit of understanding and cooperation between the operating departments and the personnel department, (3) promote public confidence in the fairness and efficiency of the selective process, and (4) prevent the use of the public service for patronage purposes. 1.

The question of ability to perform the tasks

required in any single position is a relative one.

There

are all degrees of actual performance on a job from barely satisfactory performance to outstanding excellency of per­ formance.

A good personnel system should not merely aim to

insure the selection of persons barely able to do the job, but should strive to secure the selection of persons capa­ ble of a high type of performance in all positions.

The

adoption of the pass-principle whereby all who made a pass­ ing score on an examination are certified for appointment fails to take this point into consideration; unless it is assumed that the appointing officer will select the best from all those who passed.

The appointing officer will

have some objective data on which to base his selection If a ranked-register is certified, but under the unrankedregister plan, no such data are available for his informa­ tion.

For this reason it seems that the unranked-register

- 178 plan of certification should be regarded as unsatisfactory. The ranked-register may be accepted as satisfactory if there is some assurance that the appointing authority has a real desire to select the best available candidate for the job, but it is open to grave objections if the appointing officers have no sympathy for the merit principle of selection. For this reason the ranked-register method of certification may work very well in a jurisdiction where the merit prin­ ciple has been well established and where in many cases the appointing offieal is a career man himself* but might be very dangerous in a jurisdiction where the merit prin­ ciple is just being inaugurated.

In many of our states

the merit system is new while in others it is yet to be established.

In many of them practically all chief adminis­

trative officers are elected for rather short terms.

In

such jurisdictions it is very doubtful if the administra­ tive departments can be given such freedom of choice as the ranked-register plan provides if we want the most competent candidates selected for the public service. The practical problem of establishing a passing mark for an examination has been previously discussed.

Any

such mark must be arbitrarily selected and cannot be con­ sidered as an accurate means of separating those who are able to fill certain jobs from those who are not able to fill

- 179 them.

The most that can be expected of tests is that they

show the abilities of each candidate

in relation to the

abilities of others who took the same examination.

It is

assumed that entrance requirements will be set high enough to insure that all who are admitted to the test competition are reasonably qualified for the class of positions for which the competition is held.

The purpose of the test,

then, is not to decide which are qualified and which are not, but to decide which are the best qualified and which are the least qualified.

It is conceivable that tests

might be devised to separate the fit from the unfit.

If

it were possible to set up a list of minimum essentials required for ability to do a certain job; then a test which included all these minimum essentials could be constructed. On such a test, however, a perfect score would be required for passing, since each item was considered a minimum ess­ ential to qualification.

Such a test would result in only

two groups, those who passed and those who did not.

There

would be no indication as to which of those who passed were the most competent and which were the least competent since they would all have perfect scores.

No such test as

this will probably ever be practical, but it serves to show the difficulty of attempting to set up a certain critical score on a test as the basis for judging whether or not a

- 180 person is qualified for positions in the public service. The writer Is convinced that the certification of all who pass on an examination will not be sufficient to insure the selection of the most competent public servants in many state jurisdictions. 2.

Perhaps the strongest argument in favor of the

ranked-register method of certification Is that it creates the proper administrative relation between the operating departments and the personnel agency.

It is convincing to

argue that since an administrator is held responsible for the efficiency of his department, he should have considera­ ble freedom of choice in the selection of those who work un­ der him.

This is in harmony with the idea that the per­

sonnel department should serve purely as a staff agency furnishing information and assistance but exercising no effective control over the operating departments in the final selection of employees.

According to this view the

personnel agency is to assist but not check the operating departments in personnel matters.

It may also be pointed

out that the operating departments are more familiar with the type of person required for the various positions and are therefore in a better position to choose wisely than are the personnel administrators. There Is no doubt that effective cooperation be-

- 181tween operating departments and the personnel agency is often impaired by the checks imposed on the appointing power of the head of the operating department.

It has,

however, been pointed out under the discussion of the nature and purpose of public personnel administration that per­ sonnel administration should not be looked upon merely as a staff or advisory function.

The nature of the public in­

terest in the selection of public servants requires that the personnel agency be given the means necessary to require absolute fairness in selection of persons to public posi­ tions. Although the appointing officer should be given enough freedom of choice to prevent the appointment of persons who would be absolutely unsatisfactory to him, he should not be given as much freedom as the ranked-register method affords unless the merit principle of selection has become a well established custom throughout the jurisdiction. 3,

An essential element of good personnel admin­

istration is that of winning the public confidence in the absolute objectivity and impartiality of the treatment accorded to all persons who aspire to enter the service.

A

system of objective examination ratings can be devised and kept open to public inspection at all times.

There may be

some question as to the character of the test itself, but

182 no question need exist as to the absolute fairness of the rank given to all candidates.

The confidence built up by

these objective rating methods may be greatly undermined if the appointing agencies are given a free hand to disre­ gard them in making their selections.

It may be true that

the appointing officer is absolutely impartial when he passes up several high ranking candidates and appoints one well down on the list; but it will be hard to con­ vince the publie of his impartiality.

This will be es­

pecially so if the person appointed happens to be a member of the same political party, the same church, or the same lodge as the appointing officer.

Often the public judgment

may be wrong; but one must not lose sight of the fact that what the public thinks is true, may be just as im­ portant as if it were in reality true.

If the freedom of

the appointing officer is limited, the public will be more convinced that ability and not influence determines suc­ cess in securing public positions.

Gordon R. Clapp in

discussing the report of the President's Committee on Civil Service Improvement has made the following observa­ tions of the effect of appointment methods on public con­ fidence . "The merit system's continuation and extension depends in part upon the confidence with which the public views its manifestations. Behind the rule of three there has developed a complex pyramid of devices and techniques

-

185

designed to remove ability analysis and rating from the realm of subjective judgment and move it into cold objec­ tive atmosphere of tests, scores, weighted indices, and split-digit ranking where decimal points may frequently determine the difference between appointment and rejection. These technical trappings become the symbols of the merit system in the eyes of the public. They are interpreted as assurances of the public that the open door of fair competition exists for those who aspire to enter the public service without resort to special influence or favor. They are also— but too frequently, incidentally— important devices for getting the right man into the right job."101 4,

Although public personnel administration

should be a positive influence directed toward improving the character of public servants, there is still the nec­ essity for some negative control to prevent the use of the public service for patronage purposes. mean political patronage alone.

This does not

There are many considera­

tions other than political party membership that may in­ fluence the selection of officials on some basis other than merit.

One may be reasonably sure that if an appointing

officer is free to select from an entire register of candi­ dates, he can, if he wishes, make his appointments on the basis of many considerations other them ability.

Again it

must be recalled that many state department heads are elective and are constantly faced with the problem of keeping their political fences mended.

One good way of

doing this is to make appointments for political reasons. When a large number of persons are known to be eligible for an appointment, there will be some of the group that

- 184will try to get the weight of the party organization or of some other pressure group behind them; and if they are able to do so, the appointing officer will be under great pressure to make his choice on considerations other than merit alone.

The greater the freedom of choice allowed to

the operating head, the greater chance there will be for political considerations to influence the final selection. There is a possibility that the problem of cer­ tification can best be solved by making a certain range of scores rather than a certain number of names the basis on which certification will be made.

It seems advisable

that the appointing officer should have some discretion in making an appointment.

In no case should less than three

names be certified to an appointing officer, but in some cases it seems only fair that more than three should be submitted.

Suppose that there are five top-ranking candi­

dates on a register with only a fraction separating the first-ranking name from the fifth-ranking name; there would seem to be no good reason why any operating depart­ ment should not have the opportunity to choose any one of the five.

The procedure suggested here is that not less

than a certain number of candidates be certified for any one position, but all eligibles within a certain number of score points of the highest ranking eligible be certified.

- 185 For example the rule might be applied so that in no case should the number of names certified for any one vacancy be less than three, but in case there are more than three names within a range of five score points of the top ranking eligible, ail eligibles within that score range would be certified.

This would insure the operating departments some

freedom in the selection of employees and at the same time prevent the selection of candidates far down on the eligibi­ lity list and passing over the high-ranking candidates. The question of whether or not the certification policy should be made a matter of law or left to the per­ sonnel agency to handle by administrative rules is open to discussion.

It is probably a good plan to at least set up a

minimum, of names that must be certified, but if the sugges­ tion above is followed, the range of scores should be deter­ mined by the personnel agency.

In fact it would probably

be wise to establish different score ranges for different classes of positions depending on the number of names on the eligibility registers. Determining Availability It is impossible for personnel agencies to con­ duct examinations for every position as it becomes vacant, therefore, eligibility registers must be established for a

- 186 considerable length of time.

This introduces the problem

of determining whether or not the persons listed on the register are available for appointment when a vacancy occurs. Many registers in the federal service are maintained for a two-year period.

Many persons who were interested in the

type of position for which they entered the examination are no longer interested after a few months have elapsed. The personnel agency should be charged with the task of eliminating such names from the registers.

Regular periodic

checks of eligibility lists would rid them of those who would no longer accept an appointment if It were offered to them. The personnel agency, however, is not the best agency for determining the availability In those eases where individuals are interested in an appointment, but are not ready to accept it without first-hand information about the nature of the work, working conditions, type of supervision, and other factors that affect the attractiveness of a posi­ tion.

Such persons would like to keep their names on the

lists for possible certification, and decide whether or not they are available after an Interview with the head of the operating department.

The personnel department should

confine itself to the task of ridding the lists of those who are definitely not available for appointment, and the final determination of eligibility should be a matter to be

-

187

-

worked out between the operating department and the persons whose names have been certified.

If a limited number of

names are certified, the operating department should be per­ mitted to ask for the certification of another name in the place of any one which proved to be unavailable.

If this

practice is not permitted, the operating department may have only one of the persons certified who would be willing to accept employment, and therefore would have no freedom of choice whatever. Changes in Eligibility Registers The "Information for Eligibles" put out by the Federal Civil Service Commission states, "Relative standing is subject to variation by the addition to the register of new eligibles with higher ratings, by the entry on the reemployment list of the names of per­ sons separated because of reduction of force, by restora­ tion of eligibles previously not available, by the appoint­ ment or declination of those with higher ratings, by the granting of veteran preference after the register has been established, and by other changes."102 Because of the fact that many changes may occur in the standing of eligibles on a register, the United States Civil Service Commission does not. inform applicants of their position on the register*

Applicants who inquire of

the Commission about their relative standing receive a form letter stating that due to the changes that are constantly ocouring, the Commission does not attempt to inform candi-

- 188 dates of their rank or of the possibility of their being appointed• Unquestionably there are many things that will cause a change in the standing of candidates on an eligibiregister, but there is reason to believe that such changes should be held to a minimum.

All persons with satis­

factory service records who have been separated from the service because of a reduction of force, should certainly be given preference in making appointments for which they are qualified; but it might be best to keep such names on a separate reemployment list and certify names from the reemployment list before using the regular register.

The

practice of adding new eligibles to a list after it has been established is a questionable practice.

It is true that

at many times there are persons who would like to be consi­ dered for appointments into the public service, but the necessity for holding regular examinations prevents their being considered until the next examination is held.

A

certain well qualified person, for example, may not be at all interested in the public service at the time a regular examination is held, but soon thereafter something may occur to change his attitude.

The question of whether provision

should be made to add to eligibility registers at certain periods after they have been established is tied up with

- 189 the problem of the frequency of holding examinations. Probably the ideal policy so far as getting the best persons into the public service is concerned would be to accept desirable applicants whenever they indicate an interest in public employment; but practical considera­ tions make this next to impossible.

The expense and time

required to construct and administer entrance tests makes it necessary to hold them at definite intervals.

In many

cases the intervals should probably be rather short.

In

such cases the problem of deciding whether eligibles will be required to take each new examination in order to keep their names on the eligibility list must be considered. If that is the case, one may be sure many desirable candi­ dates will refuse to continually enter the examinations and therefore be dropped from the register.

If the register is

to be allowed to continue over a certain period of

timeand

merely be increased by the addition of names after each new test, the problem of properly placing the new candi­ date on the register will be a serious one Indeed.

It

has been pointed out that a score of eighty on one

test

may have an entirely different meaning from the same score on another test.

Until tests are carefully standardized,

it will probably be the best practice to hold periodic examinations and discard the old eligibility lists and

- 190 compile completely new ones after each test. There seems to be no very great reason why the testees should not be informed of their relative rank on the original eligibility list right along with a report of their examination score.

In fact public confidence would

probably be strengthened if all eligibility lists were available for public inspection at all times* Veteran Preference The question of giving preference to veterans of the armed service in establishing civil service registers has been of considerable interest since the First World War and it will probably be given added significance by the adoption of our present Selective Service Program.

Veterans

are given preference in the Federal Civil Service and twentyfour states enacted some type of veteran-preference laws after the World War* "It is not generally realized how far reaching are the present veteran-preference laws. Perhaps few persons not actually concerned in carrying out the prefer­ ence provisions know that these laws give preference alike for war-time and peace-time service; that they apply equally to war veterans and to those who have never had any service, such as persons who have served enlistments in the Army, Navy, Marine Corps, or Coast Guard, or have attended the Military, Naval, or Coast Guard Academy. Disability prefer­ ence is granted to those in this group receiving disability pensions, or to wives, if qualified, of those who themselves are disqualified for appointment because of disability. Widows of those in this group receive the same preference (10 points) as do widows of veterans."103

- 191 The form of preference given to veterans is usually one of the following: (1) admission to examinations without meet­ ing the regular qualifications required for entrance, (2) increasing by a certain number of points the scores made by veterans on examinations, (3) absolute preference by moving the names of veterans to the top of eligibility lists, and (4) admission to examinations which are open to veterans only. The extent to which preference laws have operated can be determined by examining the reports in various juris­ dictions.

In the federal service during the year ending

June 30, 1939, 19.6$ of all appointments made in the classified service received some veteran-preference.

The

figure In the year 1938 was 19.59$; and in 1933, it was 32.44$.

The average for the period from 1920 through 1937

was 24.77$.104t In some state jurisdictions the percentage of appointments which had received veteran-preference is even higher.

In Massachusetts the figures for the years

1930, 1931, and 1952 were 39.2$, 43.4$, 44.2$ respectively. In New Tork the figures are similar with 22.3$, 27.6$, and 44.4$ receiving veteran-preference in the years 1931, 1932, and 1933.108 These examples are sufficient to show that the application of veteran-preference laws operate effectively to influence the selection of public service personnel.

- 192 Since the mere fact of having at some time been connected with the armed forces does not in itself indicate special ability, it may be assumed that the granting of veteranpreference is not in harmony with the fundamental idea of appointment on the basis of merit alone.

The question is

not whether the government should do something for the veterans; it is whether or not the policy of giving them preference in public appointments is the proper way to com­ pensate them*

Adequate plans for compensation, vocational

training, and employment service should be encouraged, but from the standpoint of good personnel administration veteranpreference in appointments to the public service should be discouraged. Probationary Appointments In most jurisdictions where a merit system of appointment operates, each new appointee is required to serve a period of probation before he is given a permanent appointment in the serviqe.

This actually means that each

new appointment is made with the understanding that the appointee is on trial for a limited time and may be re­ jected if his services are considered unsatisfactory.

The

period of probation may be considered the final step in the appointing process.

In the federal service the period

- 193 of probation is six months, but evidence points to the fact that little use is made of the probation period as a means of weeding out those who show little promise. The theory behind the probation period is that it is impossible to develop a perfect testing program, and if unsatisfactory employees are appointed as a result of the examinations, they can be eliminated during this period. It is no doubt true that there are many factors which affect success on the job that cannot be accurately measured by even the best testing devices, and so long as that is true a period of probation should be effectively maintained. "An appointing officer wants to know how a man handles himself under pressure, whether he has capacity for growth, whether he can take responsibility, whether he can work to a dead line, whether he can stand criticism, whether he has a taste for abstract and general thought, whether he can remain silent on occasions when he might be tempted to violent speech. These aspects of character are important for administrative work; and they appear only gradually, under the pressure of events."107 The above statement points out the Importance of recognizing that there are significant factors that may not be revealed by examinations and interviews, and that these factors can only be judged by observation on the job for a considerable period of time.

The period of probation, if

properly used, furnishes the opportunity to judge a pros­ pective employee on those traits which are not brought out by the examination and personal interview.

- 194 Where there is any grant of authority there is always the danger that the authority may be misused.

This

is the case with the grant to an appointing officer of authority to remove an appointee at will during the period of probation.

If the appointing officer wishes to appoint

someone whose name is lower on the list than those who were certified to him, he may use this power to eliminate the higher ranking candidates and so work down through the register to his favorite candidate.

This danger may be

minimized by cooperation between the personnel department and the operating departments in working out a system of service ratings for probationers.

With a system of service

ratings in use operating department heads would hesitate to dismiss probationers unless their service record would attest to the justice of the dismissal.

In any case the personnel

department should not consider that its job is finished when It receives notice from the operating department that a probationary appointment has been made.

The prestige of

the personnel department will depend on the character of the appointees which its recruitment and examination pro­ grams turn out.

The personnel department should, therefore,

make periodic checks on each probationer during his period of probation to find out how well he is fitting himself into the work assigned to him.

Definite attempts should be

- 195 made to assist each probationer where weaknesses are found to exist.

Conferences with the immediate superiors will

reveal wherein each probationer is not meeting all expecta­ tions, and proper guidance on the part of the personnel de­ partment may make the difference between success and failure on the part of many appointees. Some jurisdictions have provided a double period of probation or have divided their probation period into 106 halves. During the first half of the period the appoin­ tee is not subject to dismissal.

This gives him an oppor­

tunity to get acquainted with the work and to learn just what he is supposed to do and how he is supposed to do it. This period is designed to guarantee a newly appointed probationer that he will have a chance to demonstrate his ability.

During the second half of the period the employee

is subject to dismissal by the head of the operating de­ partment and the personnel agency has no opportunity to intervene. Very few objections can be raised against the con­ tinuation of the period of probation for new appointees whose first employment of any consequence is in the public service.

In positions, however, where considerable previous

experience has been required for entrance to the examina­ tion process, some valid objections can be raised.

Many

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persons m y be giving up positions in which, they have been satisfactory because for one reason or another they prefer the pubiie service.

If they are subject to dismissal

during a certain period of probation, they may find them­ selves unemployed for a considerable period of time.

Such

persons may hesitate to enter the public service if they know that for a certain period they are subject to dis­ missal without eause.

It would seem safe to assume that

if a person has had a long period of successful experi­ ence in another position of similar character, that he would likewise be acceptable in the pubiie service.

It

would seem advisable therefore, to either eliminate the period of probation for positions requiring previous ex­ perience or require that any dismissal during the period of probation be approved by the personnel department before it becomes effective.

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Chapter VI PROMOTIONS IN THE PUBLIC SERVICE Meaning of Promotion One of the most noticeable trends that has been discernable In the literature dealing with public per­ sonnel administration has been the increased emphasis on the necessity for establishing definite careers in the public service.

This means that all positions in the pub­

lic service should be systematically classified and grouped so that capable young men and women may be recruited at the lower levels of the service and advance to the higher and more responsible positions by definite and well defined steps.

Career service must not be confused with perman­

ent tenure of office.

It is impossible to establish a

career service without having a satisfactory degree of per­ manence of tenure, but it does not necessarily follow that a guarantee of permanent tenure will insure the existence of well defined careers in the service*

Employees may be

assured life tenure, but they may spend most of their life in one class of positions.

Such is often the case where

each new opening in the service is filled by bringing in someone from the outside rather than by promoting someone who is already in the service. It is impossible to establish real careers in

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government service unless the positions in the service have been properly classified and definite lines of pro­ motion clearly charted.

In a previous chapter on classifi­

cation the outline of the process of classification was set forth and the idea of grouping positions so that pro­ motional ladders could be established was stressed.

No

classification plan can, however, of itself guarantee the existence of a real career service.

Besides having the ser­

vice classified a definite policy of promotion within the service must be set up and followed*

This point was em­

phasized by the Commission of Inquiry on Public Service Per­ sonnel when they said: "The system of promotion is fundamental for the maintenance of a career service; it should therefore be a first duty of personnel officers, and of general administra­ tors as well, to develop contacts between superior officers and subordinates, to encourage training in the service, to maintain service records, and to facilitate transfers, particularly during the early stages of a man’s career, so that ©very employee may have a chance to advance, so that men of special capacity may be discovered promptly, and so that petrification of personnel in stagnant and forgotten places may be prevented."109 In order to avoid misinterpretation it is well at the outset to ©learlfy certain terms commonly used in con­ nection with the subject of promotion.

The term promotion

must not be confused with the term transfer, or with the term advancement.

A transfer refers to the change of a

person from one position to another position of the same

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class involving a similar type of work and having the same salary range.

A transfer, then, may be considered a hori­

zontal move within the service since it involves a change from one office to another or from one department to another on the same level without major changes in duties, respon­ sibilities, or compensation range.

Such changes may result

from the request of the employee affected* from variations in the amount of work in different departments, or because of friction between the worker and his superiors. The term advancement is used to refer to an in­ crease in salary of an employee.

Such an advancement may

or may not be accompanied by a change in class of positions. It is customary for the salary of any single class of posi­ tions to be indicated as a range between a minimum figure at which new employees are started and a maximum figure which an employee may reach regardless of how long he stays in that class of positions.

These salary advances are based

on term of service and quality of work, but in no case do they involve any great change in duties and responsibilities. The term promotion is used to designate the change of an employee from a position in one class to a position in a higher class.

Promotions always involve a change of

duties and responsibilities since a change in classes of positions is Involved.

Such changes usually involve a

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change in salary since the minimum salary of one class of positions is usually higher than the maximum salary in the class just lower than it.

Promotions may he either verti­

cal or diagonal moves in the service, but never horizontal moves.

If the promotion involves a change from one class

to another in the same office or department, It is a verti­ cal move.

If the promotion involves not only a move from

one class to another but also involves a move from one de­ partment to another in the service, it may be considered a diagonal move.

Moves which Involve a change from one de­

partment to another without any advance in class are to be considered as horizontal moves and are not promotions. The term demotion is just the opposite of promo­ tion and involves the change of an employee from one class of positions to another class which is lower in salary range and degree of responsibility required of employees. Lines of Promotion The success of any promotion scheme will depend to a considerable extent on the adequacy of the positionelasslfieation plan found in the service.

One of the chief

contributions which the classification plan should make is to provide clear and well defined lines of promotion through­ out the entire pubiie service.

With the information pro­

201 vided by the classification plan, promotional cherts should be drawn so that the possibilities of promotion can be studied both by those in the service and those who might consider entrance into the service as a career*

Evidence

which shows that there are many chances for promotion in the public service can serve as one of the strongest influences to encourage young men of promise to enter public service. "The most efficient system in the world will be comparatively valueless unless the proportion of higher to lower posts enables a man to envisage promotion before he has left the prime of life.*110 In preparing promotional charts which are designed to show the possible lines of promotion from one class of positions to another, there are two basic policies which should b© given consideration.

The first is the policy

whieh limits the lines of promotion entirely within each operating department.

The second policy disregards depart­

mental lines and considers the entire service as a unit in setting up lines of promotion.

In the first promotions

would not often occur from one department to another, while in the second interdepartmental promotions would come as a matter of course. From the standpoint of increasing the attractive­ ness of the public service and of motivating good work

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through the prospect of promotion, it would seem desirable to offer the widest possible range of promotion possibili­ ties.

This would dictate promotion across departmental lines

thereby considering the entire service as a single unit. There is some reason, however, to doubt whether or not the work performed by employees in the same class of positions in different departments is sufficiently alike to insure that a good employee in one department will always be a good employee If transferred to another.

Mr. Wilmerding suggests

that interdepartmental promotions may not be in the interests of efficiency of the service. "The plain fact of the matter is that experience, the sine qua non of competence, diminishes rather than en­ hances a man's transferability. At the training level it makes no difference to what department a man is assigned, but after he has begun to learn his work In one department, he cannot be transferred to another without loss of effi­ ciency. "Ill It may be true that In certain types of work pro­ motional lines should not run across departmental lines, but sueh instances could be handled as individual cases when the promotional charts are being prepared.

On the whole It

seems that a sound promotion policy should strive to make promotion probabilities as broad as possible; and to do this it is necessary to consider the entire service as a unit in defining promotional lines. General Policy In Filling Vacancies

- 203 The discussion of the policy to be followed in filling vacancies that occur in the service can be consi­ dered under two broad headings; first, recruitment from without the service, and second, promotion from within the service. Recruitment from Without the Service The policy usually referred to as recruitment from without indicates that every position in the service is considered as a point of entrance into the service, and when any position becomes vacant, it is filled by competi­ tion open to anyone either within or without the service who can meet the minimum qualifications set up for the position being filled.

A strict interpretation of this

policy would require that all competitors enter on equal terms and persons already in the service be given no special preference over outsiders.

This policy of filling vacancies

is very likely to be found in government services where no carefully worked out classification plan or promotion chart has been established. Promotion from Within the Service The policy of promotion from within as contrasted with that of recruitment from outside means that only cer­ tain specified positions are considered as points of en­

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trance into the service and that other positions are filled hy promoting employees already in the service.

When such

promotions are made, a chain of vacancies is created which may finally leave an entrance position open.

This position

is usually at the bottom of a class series and is filled by open competition by some properly qualified person from outside the service. Yariations in Promotion Policies The two general policies defined above serve to show the two extreme positions which may be adopted In per­ sonnel administration, but In actual practice variations are usually adopted which stand somewhere between the two extremes.

In jurisdictions where competition is open to

both outsiders and employees, it is often the practice to give some advantage to those already in the service.

The

form of this special consideration may be found in the practice of giving appointments to those in the service when their competitive scores are practically equal to those of outsiders. "Our thesis is not that government employees should be hampered in obtaining trainee appointments; any man or woman in the service who meets the minimum qualifi­ cations is perfectly free to compete in the open examina­ tions, but appointments should go to those who reach the top of the register on their own merits. Other things being equal, however, it is to be expected that indivi­ duals already in the service will be appointed when they earn ratings as high as outsiders."112

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In some eases where experience is graded and made a part of the final score, experience in the government service may be given greater weight than is given for other experi­ ence.

In other instances where specific educational quali­

fications are required for admission to the competition, experience in the service may be accepted in lieu of the specific educational requirements. Even in jurisdictions where promotions from within are the accepted rule, a certain amount of competition may be required in selecting the particular person who is to re­ ceive the promotion.

In many instances clearly defined lines

of promotion have not been charted and competitive examina­ tions to which only employees are admitted are used to de­ termine the employee who is to receive a promotion to a desirable position when It becomes vacant.

Again where

promotion is generally the rule, certain vacancies may occur which require qualifications no present employees can meet. In such cases appointments from the outside are necessary. In evaluating the merits of the various methods of filling the higher positions in the pubiie service there are two factors that must be kept constantly in mind.

The

first is the effect on efficiency, and second, the attitude of the public toward the service.

Both of these factors

are of great interest to students of public personnel admin-

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istration. Effect on the Efficiency of the Service There are many factors which tend to point to the advantage of permitting outsiders to enter competition with those already in the service when important positions are to be filled.

The very fact that employees know that they

will have to compete against a field including outsiders may operate to keep employees interested in promotion abr­ east of the times in their field of work.

There is always

a tendency for workers in any type of work to slack a little when they fe&l that the matter of their promotion is routine and not a matter of competition.

Open competition may stim­

ulate pubiie servants not only to do better work but also to spend some time in study to improve their knowledge and skill.

There is also a certain advantage to be gained by

infusing new blood into the service by bringing in out­ siders occasionally.

New methods, ideas, and techniques

may be brought into the service by men who have held posi­ tions of similar character in other public work, private industry, or in higher educational institutions.

There is

also reason to believe that men whose talent would be an asset to the public service would come into the higher levels of the service after a period of experience in pri­ vate industry but who would never have done so if they had

- 207 -

been required to enter at lower levels. On the other hand there are many considerations which tend to swing the weight of the argument in favor of making promotions from within the service.

One of the best

incentives to efficient work is the prospect of promotion as a reward for efficiency. "The theory of an efficient promotion system is that it induces good work by reason of the knowledge that conscientious efforts will be rewarded by promotion. Al­ though many of us have the reputation for working for the love of the thing, we are none the less always hopeful that our good qualities will be recognized and rewarded.”113 Persons in the service are more familiar with the work which is to be done and are therefore in a better position to carry on with less lag than would outsiders.

Individuals

who have demonstrated their worth in private industry may find conditions in the public service so different from pri­ vate industry that their success would be doubtful.

There

is reason to believe that success in a lower class of posi­ tions in the public service is good evidence of probable success in a higher class of positions.

Mr. Hill in dis­

cussing this point said in part: "It is safer and more economical to add profess­ ional qualifications to proved aptitude within the service, than to appoint from outside persons academically or pro­ fessionally trained and leave to chance, or future proof, the peculiar aptitude so necessary to success.”114 Another point which strongly recommends the pro­

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motion policy instead of the bringing in of outsiders is the fact that one vacancy in a high position in the service serves as a tonic to strengthen the morale of a large sec­ tion of the service, since it starts a line of promotions which reaches clear down to the lowest level of the service. If one vacancy occurs near the top and it is filled by bringing in an outsider, no employees receive the thrill of promotion.

If, however, the position Is filled by promo­

ting someone in the service, the promotion creates another vacancy which may be filled by promoting someone else, and the procedure goes down the line until a large number of persons have benefited by the on© vacancy.

This point

is very important since openings in the public service do not occur very frequently.

In colleges and universities

instructors may be promoted to assistant professorships, and associate professors may be promoted to professorships without any vacancy oecuring.

That Is, any department may

have a large number of professors at any one time, but in most public agencies there is no opportunity to make a promotion until a vacancy occurs.

It is important than

that each vacancy be made to give its full share of pro­ motion possibilities. Attitude of the Public Toward the Service The adoption of any policy of promotion which

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might place government employment in disfavor with the general public must be viewed as dangerous to the welfare of the service.

It is, therefore, necessary to consider the

effect of the two policies discussed above on the attitude of the public.

On first inspection one is led to the con­

clusion that the policy of open competition for all posi­ tions would have greater favor with the people.

To most

people the entire merit system is bound up with the idea of competitive examinations, and they are prone to think con­ siderations other than merit will enter into any selection not based on this competitive principle.

The policy of

open competition would also appeal to those who looked upon the service as a possible place to find employment*

It

must be remembered, however, that a policy of promotion from within does not lessen the number of opportunities for outsiders to come into the service; it merely changes the points at which these outsiders can enter.

If a cer­

tain position is made vacant by retirement of the present incumbent, it may be filled by open competition or by pro­ motion.

There is only one person from the outside who can

be appointed even if there is no promotion.

If the place

is filled by promotion, there will be another position made vacant, and on© outsider will still be indueted into the service.

— 2X0 —

There are a number of things that help to deter­ mine the attractiveness of the public service, and not the least of these is the opportunities for promotion.

The

only way to mice this advancement possible is through the adoption ofadefinite policy of promotion to fill the higher positions.

It is doubtful if the public service .

will ever be able to use salary as mueh of an attraction to the public, therefore it should make the most of promotion possibilities as an inducement for men of promise to choose the public service as a career. In conclusion it seems best to adopt a policy of bringing new talent into the service at the lower levels and to fill the vacancies in the more responsible posi­ tions by promotion from within on the basis of merit.

There

may be some instances where a particular position call© for a type of personality not available within the service, and in such instances the promotion policy should be flexible enough to permit bringing in the proper person from the out­ side.

In order to prevent the abuse of this privilege the

operating department in which the appointment is to be made should be required to secure the approval of the per­ sonnel agency to waive the regular promotion system and seek recruits from outside. Methods of Making Promotions

- 211 It Is not sufficient merely to decide on a gen­ eral policy of promotion which is to he followed, in addi­ tion some method of determining who shall receive the pro­ motion when the opportunity presents itself must be de­ vised.

The merit principle is usually discussed in con­

nection with entry into the service, but there is every reason why it should also be the guiding factor in making promotions.

The efficiency of the service may be jeopar­

dized as much by allowing political considerations, per­ sonal likes or dislikes, or other extraneous considera­ tions to enter into promotions as by allowing them to enter into original appointments. Seniority In setting up a procedure by which merit for promotion can be determined, a number of factors must be considered.

One of the simplest methods that presents

itself is that of using seniority as the sole basis for determining who shall be promoted.

The term of service

of each employee is something that can-'-be definitely and accurately measured in objective terms, therefore

the

element of personal favoritism can be completely elimin­ ated.

length of service, however, does not aiways indicate

capacity to do the job efficiently.

The efficiency of an

entire department may depend to a great extant on the type

- 212 of men found in some of the key positions.

Every care must

be taken to be sure these key positions are filled by men thoroughly capable of performing the duties which they re­ quire.

"If we are to be bossed, we all want to be bossed

by someone whose character, efficiency, or education, is 115 superior to our own," This stand is certainly well taken and should be kept in mind when the method of deter­ mining eligibility for promotion Is under consideration. Length of service of itself offers no reliable basis for assuring that the best talent in the service will find its way into the higher and more responsible positions.

In

fact it is quite possible that a person who has spent a long term of years in one class of positions would find it diffi­ cult to make the adjustments that a new class of positions requires.

This Is not meant as an argument against re­

warding employees for long terms of service; it is in­ tended as an indication that promotion may not be the proper way to reward such service.

Many employees may be

highly capable in their present positions and yet not qualified by nature or training for places higher in the service.

In such cases term of service should be rewarded

by salary advances without making changes in positions. Regular salary increases may well be provided for persons after definite terms of service even though they may not

- 213 receive promotions.

This would serve the purpose of en­

couraging long service without filling the higher positions with mediocre employees. It is probably wise to set up a minimum length of service before an employe® will be eligible for promo­ tion, for this will give an opportunity to study the indi­ vidual’s actual performance on the job.

It is also poss­

ible to give some weight to term of service without making it the all important consideration*

A certain numerical

value can be assigned to each year of experience in making up a composite rating of each person being considered,

By

this procedure the amount given for the first few years of experience should be greater than for later years and there should be a point beyond which no credit would be allowed. Service Batings Since service ratings are quite generally used as a factor in making promotions, it is well to give some attention to the nature of these ratings.

In general the

term service rating is used to refer to a specific mark which is supposed to represent the proficiency of an em­ ployee.

These marks may be in the form of numbers repre­

senting a certain percent of perfection, In the form of letters indicating certain degrees of excellence, or In the

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form of charts which represent graphically the efficiency of the employee,

A large number of factors such as pun­

ctuality, speed of performance, accuracy, attitude toward fellow workers and supervisors, initiative, self reliance and many others may enter into the final mark which indi­ cates the official service rating of an employee.

Regard­

less of the type of rating method used or the factors which are considered, all rating must be done by human beings, and are therefore subject to all the weaknesses that per­ sonal judgment is heir to.

Various attempts have been made

to devise rating schemes that will be objective in charac­ ter so that the personal element will be reduced to a mini­ mum, but so long as the rating is done by human beings there will always be the danger that personal feeling and bias will enter to cast a shadow of doubt upon the relia­ bility of the final score. Even though accurate service ratings are difficult to secure, it must be accepted that there Is a great deal of difference in the quality and quantity of work turned out by different individuals who have the same classifica­ tion and in many cases receive the same salary.

It is

therefor© only fair that some system be used to make known the relative efficiency of workers in the service.

One is

forced to the conclusion that nTo rate or not to rate is no

- 215 longer the question.

The vital thing is how to rate - how

to rate accurately, easily, without prejudice, and without arousing antagonism.”13"6 Most public services and industrial organizations have some system of service ratings, each using a system which seems to suit best its own needs.

For purposes of

consideration the types of ratings now in use may be grouped into four categories.

(1} Subjective rating forms,

(2) Objective rating forms, (3) Graphic rating forms, and (3) Comparative rating forms. Subjective Rating Forms The simplest type of subjective rating form merely calls for some person to evaluate, according to his own judgment, the efficiency of certain employees under his supervision.

The officer making the evaluation may be

left to his own devices in determining the factors to be considered in making the final judgment.

More often,

however, a rather carefully worked out list of items are printed on the rating forms, and the officer is required to assign a mark for each person being rated for each item on the form.

Composite ratings are then made by some predeter­

mined formula from the ratings shown for each separate item. In order to secure a degree of uniformity throughout each jurisdiction, instructions and pointers are usually pro­

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vided which serve to guide each rating officer.

The fact

remains, however, that the marks assigned by any single rating officer will to a great extent be determined by his personal relations with the employee whom he rates.

Where

such subjective ratings are used one cannot get away from the fact thatj "Evidence of the danger of error inherent in judgment ratings is universal and overwhelming."117 The danger inherent in such judgments may be offset to some extent by providing that each employee be rated by more than one officer, and the final efficiency score for each Individual employee be a composite of the scores submitted by each rating official.

Where subjective ratings are

used as a basis for promotion, it would seem wise to pro­ vide that at least one of the judgment scores bp made by a representative of the central personnel agency. This method of rating employees has the advantage of being easy to administer and requiring very little time of the supervising officers who are responsible for making the ratings.

Administrators often resent the task of making

service ratings when they are required to spend a great amount of time filling out long and complicated rating forme.

In this type of rating form the rating officer is

given a wide degree of freedom in expressing his personal judgment concerning each employee under his supervision.

- 21 7 -

These supervising officers feel that they know pretty well the quality of work their employees are doing and they are in a position to pass judgment without assigning a mathe­ matical weight to a host of individual items. The very fact that this rating method does give the supervisor such great freedom in passing judgment is perhaps its greatest weakness.

The judgment of the super­

visor may be influenced by many things which do not in reality affect the employees efficiency on the job.

Per­

sonal relations outside of working hours or minor personal encounters during working hours may weigh heavily against an employee who actually turns out very good work.

On the

other hand the so-called "Halo Effect" wherein the entire score of an employee is greatly influenced by some parti­ cular trait such as earnestness, agreeableness, personality, or industry often results in much higher scores than the quality of work warrants.

This type of rating also fails

to merit the confidence of the employees whose progress in the service depends to a great extent on these ratings. Although it may be impossible to eliminate completely the element of personal bias in making service ratings, a system which will reduce such bias to a minimum is sure to find favor among the workers themselves.

Under such a

system workers can concentrate on efficient service without

- 218 feeling that they must consider the practical necessity of catering to the supervising officer who is responsible for rating their efficiency. Objective Eating Forms Objective rating forms are designed to measure employee performance so that the result will represent a minimum of personal bias.

That is, the rating of any par­

ticular employee would be approximately the same regardless of which of several persons familiar with his work: make the rating.

Such forms are attempts to isolate a great many

items the absence or presence of which indicate efficiency of service.

The rating officers then mark each item indi­

cating the presence or absence of the trait indicated by each item on the rating form. The best known form of this type is the Probst Service Report, named for its author, J. B. Probst. The rating form consists of a service report printed on a letter-size sheet of paper containing about one hundred items describing specific traits, habits, attitudes, and work.

The rating officer rates the employee on each item

and the raw scores thus obtained are translated into letter ratings grading down from A-plus to 1-minus in eleven steps. This form has been both strongly supported and severely 119 criticized by students of public administration. Some

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of the chief criticisms of the Probst rating method are that it requires too much time for the rating officers to do the work, and that efficiency of service cannot be broken down into such minute items.

Supporters of this method

of rating praise it because of its objectivity and because it gives very specific items on which all employees can be rated. One may criticise any particular rating method which claims to be objective in character, but he must admit that objectivity is something toward which rators should strive.

It is

when rating forms try

also a step in the

rightdirection

to indicate the specificitems on

which employees should be rated.

The Probst Eating Scale

may not be the answer to the problem of objective rating, but It is a step in the right direction and it is through such pioneering that future progress may be expected. Graphic Eating Forms The graphic rating form consists of a scale along which the rating officer marks the point which he thinks represents the degree of efficiency of the employee he is rating.

The scale provides

points which might be

a wide

rangeof possible

used by the rating officer.

In

marking each individual the rating officer is not required

BZQ

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to use any letters or percent ranks, but may indicate what he considers to be rather slight differences in efficiency among the employees.

Since these forms require the exercise

of judgment, they are open to the same criticism that was directed against the subjective rating forms; but these forms do have the advantage of furnishing a graphic picture of the relative efficiency of all employees in the service. Comparative Rating Forms The distinguishing feature of the comparative rating form is that it provides that each officer make his rating by comparing each employee with certain models which have been set up expressly for the purpose.

The army

has made use of this type of form for rating officers.

Each

rating officer is required to make a comparative rating for an officer by comparing him with five models whieh have been set up.

The comparative ratings are made for physical IS

qualities, intelligence, leadership, and personal qualities. The chief advantage of this system is that the rating official has some tangible measuring stick to use in making his evaluation of the employee.

Instead of pass­

ing judgment by comparing each employee with his own con­ ception of perfection, he compares the employee with a definite example whieh other rating officers are also using.

- 221 Promotion Examinations Another method by which eligibility for promotion can be determined is the use of competitive examinations. Ihen vacancies occur in the service and there is no def­ inite promotion policy, regular entrance examinations are held to fill the vacancy.

In such examination many persons

already In the service m y enter the competition by taking the examination*

If a definite promotion policy Is estab­

lished, these examinations might still be held, but with entrance restricted to persons already in the service who might be eligible for the promotion. This method gives the employees the feeling that opportunity for advancement from one class to another is open to all on equal terms and tends to contribute to a healthy morale within the service.

The question as to how

accurately tests can be devised whieh will select the best person for the promotion Is subject to much debate.

But

it is reasonable to assume that tests could be just as valid for promotion purposes as for original entrance into the service. The problem of determining what subject matter should be included in a promotion test offers the same difficulty that is encountered in the construction of en­ trance tests.

In so far as it is possible to select def_

- 222 inite skills, knowledges and aptitudes required for success in the position to be filled, these should be included in the test.

Routine techniques, however, which can be learned

by normal employees in a short period of training should probably not be included.

There are always certain techni­

ques that are peculiar to each position, but these can be learned after the person has been promoted.

The basic

qualities which determine probable success should be stressed in constructing promotion tests.

Employees should not be

expected to spend their time studying the actual work per­ formed by persons in the positions to which they aspire, and such would be the case if it were the practice of using tests which contained such material. Although the promotion test can serve a useful purpose in determining promotions, it Is doubtful if it should ever be used as the sole basis on which promotions are made. Composite Scores for Promotion It is possible to establish a promotion program which uses the best of various methods for determining merit.

In the first place it seems wise to require a cer­

tain minimum term of service before an employee is consi­ dered for promotion.

This term might well be short, but

it should be long enough to give the employee a chance to

- 225 -

get established in the public service.

Those who are eli­

gible for promotion should be given composite scores which have been computed by combining seniority, service rating, and test scores.

It Is difficult to set up any on© formula

which would be satisfactory to use in all cases, for what might work well for certain classes of positions might not be satisfactory for others.

It is probably wise to set up

different formulae for each promotion ladder.

Mr. Wilmer-

ding in discussing the question of merit for promotion concluded with the following statement: WI conceive it, therefore, to be the part of practical wisdom to promote by merit in cases where there are marked differences in ability and by seniority where there are not. In the actual operation of this principle one would expect merit to be the sole consideration in the administrative division and in the various professional, scientific, and technical hierarchies, for the number of officers in these groups are sufficiently small to permit of a careful evaluation of the qualities of each officer. But in the lesser hierarchies, where the differences be­ tween good and bad work are less obvious, one would expect considerable weight to be attached to length of service. wIn cases where the proper basis for promotion is doubtful, it will be found best to give the edge to merit; for although there are disadvantages in substituting too rapidly the fact for the hope of promotion, there are even greater disadvantages in making merit wait upon seniority; nothing can be more deadening to ambition than the knowledge that growing old rather than assiduous effort Is the means of advancement. In Service Training Training of employees in the service takes on speblal importance when a policy of promotion from within the service Is adopted.

All classes of positions in a well

- 224

classified service have been studied and a definite set of minimum qualifications established for each class.

If

persons are recruited into the service at the lower levels of the service, these employees must be given the oppor­ tunity to secure the training necessary for them to meet the minimum qualifications of higher positions whieh may be open to them by promotion.

This, however is but one

phase of the in service training program.

The other aspect

of the problem is the training of employees for the parti­ cular tasks to which they are assigned.

Both of these

functions may be integrated into a single training program, but that part of the training that is designed to train employees for promotion is of special interest in this discussion.

There are a number of methods which may be used

to provide for this needed instruction.

Employees who show

special aptitude and who are interested may be granted leaves of absence from the service to take special courses in colleges and universities which offer the type of train­ ing needed.

Many schools are strengthening their depart­

ments of political science and public administration so that they can have something definite to offer students interested in this field.

Special classes may be organized

by the service itself either under the direction of the operating department or under the guidance of the personnel

-

department.

025

-

Instructors for such classes may be drawn from

the service or from colleges and universities.

Correspon­

dence study can be encouraged for those who have no oppor­ tunity to attend regularly organized classes.

Most of the

leading colleges and universities have a regularly organized department which carries on such work, and a number of special correspondence schools give courses in most all technical fields. Many employees with special ambition will make their own opportunities for educational growth without special encouragement, but some agency in the service should assume the responsibility for making in-service training broad enough in character to include all those who have good prospects for growth,

A thorough program of in-service

training would go far to combat the argument often advanced that the public service does not offer adequate opportunities for young men to advance from the lower classes of positions to the more responsible ones. Responsibility for Execution of the Promotion Policy The question of who shall be responsible for the execution of the promotion policy after it has been adopted brings up the problem of the status of the personnel depart-

-

226

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ment in relation to the other administrative departments. If we accept the principle that the personnel department should have the status of a staff agency without authority to issue orders on its own account, it would seem necessary to leave the execution of the promotion policy to the opera­ ting departments.

If, on the other hand, we assume that the

personnel department is on a level with the operating de­ partments, we may feel justified in giving that agency considerable control over all promotion within the entire service. It seems quite probable that the personnel de­ partment should have about the same control over promotions as it has over original appointments to the service.

The

personnel department should be responsible for the promul­ gation of rules that are uniform throughout the entire ser­ vice and should maintain all records necessary for deter­ mining the eligibility of persons for promotion.

When any

position becomes vacant, notice of the vacancy should be sent to the personnel department.

This department should

then determine in accordance with the general policy adopted whether or not the place is to be filled by promotion or by a new appointment.

If it is decided that the position

should be filled by promotion, the personnel department should notify the head of the department in which the vacancy

- 22? exists that certain Individuals are eligible for promotion to the position.

The personnel department should also fur­

nish the head of the operating department the composite scores of those who are eligible for the promotion; but the actual promotion should be the function of the head of the operating department in which the promotion is to be made.

This procedure insures uniformity throughout the

service, protects employees against favoritism in making promotions, and still maintains the proper working relation between the heads of departments and their employees.

- 228 Chapter VII STATUS OF PERSONNEL ADMINISTRATION IN STATE GOVERNMENTS State Wide Merit System Adoptions The passage of the Fendelton Act by Congress in 1883 which created the Federal Civil Service System failed to stimulate the state governments to adopt similar programs. Only two of the states immediately followed the lead of the Federal Government, New York adopted its civil service law in 1883 and Massachusetts followed with the adoption of a similar law In 1884.

Ho other states adopted civil service

laws until 1905 when Illinois set up Its merit system for state employees.

Colorado and Wisconsin inaugurated a civil

service system in their state governments in 1907 to be followed by New Jersey in 1908.

California, Ohio, and

Connecticut began operating under state merit systems in 1913.

Connecticut, however, repealed her civil service

law in 1921,122 but reenacted a progressive program of personnel administration In 1937.

In 1916 Kansas began

operating under a state-wide civil service system, but in 1919 the legislature nullified the law by refusing to appro­ priate money for its administration.^2^

Kansas has again,

however, joined the ranks of states with personnel programs by adopting another civil service law in 1941.

Maryland

- 229 became the eleventh state to adopt a merit system when she began operation under her civil service law in 1921. In the fifteen-year period from 1921 to 1936 not a single new state came into the civil service program; therefore there were only nine states actually operating under the merit system at the beginning of 1937.124

The

year 1937 saw a decided swing toward the merit principle in the selection of state employees.

Four new states,

Tennessee, Michigan, Maine, and Arkansas adopted merit sys­ tems; and Connecticut, which had repealed her first law, adopted a new one.

The trend toward civil service continued

in 1939 with the addition of Alabama, Minnesota, New Mexico, and Rhode Island.

In 1940 Louisiana adopted civil service,

and in 1941 Indiana fell into line.

Kansas, which had a

civil service law on her statute books but whieh had been Inoperative since 1919, adopted a new system of personnel administration in 1941. Since Arkansas repealed her civil service law in 1937, there are now twenty states with some type of state125 wide personnel systems in operation in 1942. Of the twenty-one states which have adopted merit systems, only two have repealed such laws.

Arkansas re­

pealed her law two years after its adoption; and Connecticut which repealed her first law has since adopted another.

- 230 Michigan, while not repealing her law, did curb its func­ tions by withdrawing a large number of employees from the classified service. The Arkansas example is voffeh noting since its unfavorable experience may serve to prevent other states 127 from making a similar error. The system was established in the state largely at the insistance of Governor Bailey before there had been any organized attempt to stimulate interest in such a program among the people of the state. Since the legislature had little enthusiasm for the bill, only a small appropriation was provided for the administra­ tion of its provisions.

The result was unsatisfactory since

the civil service agency was unable to prepare registers as quickly as was expected; and the law was repealed by large majority votes in both houses just two years after its adoption. At least four other states have gone so far as to have civil service laws introduced into their legislatures.

In 1937 and again in 1939 the Georgia legislature

defeated civil service bills.

In both New Hampshire and

South Carolina in 1959 bills for the establishment of civil service systems were introduced in the legislature but action was unfavorable in both cases.

In the same year a

bill was introduced into the Iowa General Assembly, was

231 referred to a committee in the Senate, was reported out without recommendation, but never reached a vote. Limited Personnel Systems The provisions of the Federal Social Security Act have practically forced all the states to establish a merit system for the selection of the personnel in some of the state agencies.

Bach section of the Federal Law which pro­

vides for federal grants for old age assistance, unemploy­ ment compensation, aid to dependent children, and aid to the blind provides that in order for the states to share in the grants for such services the state agencies which ad­ minister such services must adopt a merit system for the selection of employees.

In 1939 the Social Security Board

and the Children’s Bureau of the Department of Labor issued detailed regulations defining the provisions for a merit system which would meet the requirements of the Social Security Law.

Those states which were already operating

under a merit system placed the employees of these new agencies under the Centralized personnel agency already in operation,

Those states which had no central personnel

agency were required to establish one to handle the selec­ tion of certain of its employees.

All states, therefore,

now have an actual example of a merit system in at least part of its administrative agencies.

Because of the im­

- 232 portance of these departmental merit system as possible forerunners of state-wide personnel administration, chapter VIII is devoted to the organization and operation of the system established in Iowa. Types of Personnel Departments in State (governments Of the twenty states with central personnel agencies twelve of them call such agencies either Civil Service Commissions or Departments of Civil Service.

The

latter title is the newer and most of the states which use it have established their civil service departments since 1937.

Six states use the term "Personnel" as the distin­

guishing word in the official title of their central per­ sonnel agencies, with four using the name Personnel Board, one Personnel Bureau, and one Personnel Department.

Of

the two remaining states Maryland uses the title of State Employment and Registry and Hew Mexico has adopted the title of Merit System Commission. With the exception of Maryland, which has a single State Employment Commissioner, each state has some form of board or commission to act in a policy-determining capacity and to hear appeals.

The membership on these

boards and commissions ranges from two to five with three

- 233 being the most common number.

The members of the board

or commission of each state are appointed by the Governor of the state in all cases except Connecticut where the mem­ bers serve ex officio.

In those states where the Governor

appoints the members of the board or commission the appro­ val of the senate is usually required.

The terms of the

members on the policy-making board range from three years in some states to as long as ten years in California; and in practically all instances the terms are overlapping. In all states which have adopted their personnel systems since 1913 the law provides for a chief executive officer known as a director, while the older state laws provide for a secretary or chief examiner as the executive officer of the board or commission.

Twelve states provide for the

selection of the chief executive officer by the policydetermining board or commission while in the others he is selected by the Governor.

In two of the latter, however,

the Governor makes his selection after examinations have been held.

In only three states is the chief executive

officer of the Personnel agency chosen for a definite term of years; in Tennessee the term is two years, In New 129 Mexico three years, and in Massachusetts five years. Civil Service in Iowa Evidence that there was some sentiment in favor of

- 234 a state-wide merit system in Iowa as early as 1907 is furnished by the faet that Governor Cummings in his bi­ ennial message to the General Assembly in that year recom­ mended the establishment of a state merit system for the selection of public e m p l o y e e s . T h e General Assembly failed to take action on the Governor’s suggestion and no further evidence of interest In the movement appears until 1913.

In that year a Joint Committee on Retrenchment and

Reform of the Thirty-fifth General Assembly engaged a firm of accountants and efficiency experts to make a study of the state government and recommend improvements.

The report of

these experts recommended that the state adopt a system of selection of state employees on the merit basis. Not until 1933 was there another influential voice lifted in behalf of the movement for the adoption of the Merit System in low© State Government.

In that year the

Brookings Institution was employed by the Committee on Reduction of Government Expenditures to make a survey of the state’s entire administrative machinery with a view to re­ organization and consolidation.

After submitting a report

suggesting the reorganization of the whole administrative branch of state government, the institution recommended that a system of central personnel administration be established in the state.

Undoubtedly the report made by the institution

- 235 with regard to the type of agency which should be established, anticipated the adoption of the major part of the report on reorganization and integration of the entire administrative branch because it seems best fitted to function in a well organized plan.

The report suggested that the problems of

personnel administration be handled by a single adminis­ trator to be appointed by the Governor from a list of three names submitted to him by the State Superintendent of Public Instruction, the President of the State University, and the President of Iowa State College.

The three above named

officials were also to serve in an ex officio capacity as an advisory board to the personnel administrator.

As a

matter of fact neither the reorganization plan nor the per­ sonnel plan were ever adopted by the General Assembly. The most recent attempt to establish a merit system on a state-wide basis was made in the 1939 General Assembly,

In that year Senate File 138 was introduced into

the Senate whieh provided for a comprehensive program of personnel administration.

The Senate Journal shows that

the bill was referred to the Committee on Consolidation and Coordination and was finally reported out without re­ commendation. the measure.

There is no record of any further action on During the same session of the General Assembly

House File 68 was introduced into the House of Representatives

- 236 providing for a civil service system to apply to the employees of the State Highway Commission only.

This

bill went to committee, was reported out with the recommendation that it be amended and passed.

The House

Journal, however, does not show any further action on the bill. Since the bill referred to above designed to provide central personnel administration for the state Is of such recent origin, it is worth while to examine Its general provisions. It is evident that the persons responsible for the bill had a fairly good understanding of the nature and advantages of a personnel plan.

The purpose of the

bill as expressed in its title was "to guarantee to all citizens a fair and equal opportunity to secure employ­ ment in the civil service of the state of Iowa; to es­ tablish conditions of service which will attract and hold officers and employees of character and capacity; and to increase the efficiency of state government by improved methods of personnel administration”.

The

policy-forming agency as provided in the bill was to be the State Unemployment Commission which Commission was for such purposes to be known as the Civil Service Board. The chief administrative officer was to be a Personnel Director who was to be selected by the Governor from a list of three names submitted to him.

The list of three

- 237 names was to be prepared by a special committee of three persons selected by the Unemployment Commission.

This ex­

amining committee was to consist of at least two men with public personnel experience and at least one member was to be a person not resident in Iowa. The law provided that a position-classification and a compensation plan be prepared by the Director and sub­ mitted to the Civil Service Board for approval.

Sections

providing for examination, certification and promotion embodied recent trends in the personnel field. In its scope the bill included all agencies in the administrative branch of the state government; and in these agencies only the following positions were exempt: 1.

Those chosen by election or appointment to

fill an elective office. 2.

Heads of departments and members of boards

and commissions appointed by the Governor, and one private secretary for each of the above. 3.

One private secretary for each elective

officer except the Governor. 4.

Four confidential employees of the Governor.

5.

Officers of the House of Representatives and

Senate of the General Assembly. 6.

Presidents, Deans, teachers, research assis­

tants, librarian, student employees on less than half-time

- 238 basis and other members of the teaching staff in institu­ tions under the Board Of Education. 7.

Officers and enlisted men In the national

guard and the naval militia* With regard to employees serving the state at the time the new law was to become effective, it was provided that they should be required to submit their qualifications for their positions to the Civil Service Board.

Those

whom the Board certified as having sufficient qualifications were to receive permanent status under the new system.

Those

whom the Board ruled were not sufficiently qualified by their education and experience alone were required to take non-competitive qualifying tests; and those who made passing grades on such tests were to be given permanent status, while those who did not make passing grades were to be given fifteen days notice of termination of employment. The only special preference given under the terms of the law was a five percent point-preference given to veterans provided they made passing grades without adding the point-preference. Since there are no records kept of the committee hearings in the Iowa General Assembly, there is no evidence available to get an accurate picture of the reaction of the committee members and the other legislators toward the bill,

- 239 but the fact that it was reported out without recommenda­ tion would indicate that there was no desire on the part of the committee to push such a measure.

From the meager

evidence available one is probably justified in asserting that the failure of the bill was due as much to the lack of organized support as it was to any determined opposition which it encountered.

It may be true that there was plenty

of organized opposition ready to make itself felt if the bill had been pushed by a strong organization; but the record failed to show that such opposition ever asserted itself. If the above conclusion is justified, it presents a lesson which friends of personnel administration should not overlook.

That is, the absolute necessity for a general

state-wide program of publicity and education to pave the way for enlightened legislative action.

Even if it were

possible to generate enough pressure to secure the enactment of a civil service law without first carrying on a program of education throughout the state, the example of Arkansas should show that the success of the plan would depend upon the continued support of the succeeding legislatures and an enlightened public opinion. It is true that there are some features of the proposed bill that were probably not designed for the type of administrative organization In which It would have been

- 240 required to function.

Chapter IX is devoted to a discussion

of the type of personnel agency which seems best suited to Iowa, but it might be well to point out some of the features of the proposed bill that should be given more careful con­ sideration. The first major objection is the fact that the bill designated an existing functional agency to assume the duties of personnel administration.

Personnel administra­

tion is a specific function in itself, and since It touches upon all other administrative agencies, it should be assigned to an independent agency.

It is unwise to place upon any

existing operating agency or department the additional work involved in personnel administration.

In the first place

there is the danger that either the functional work of the agency or the personnel work will be slighted, and in the second place it is unwise to have any functional agency charged with the task of imposing personnel regulation upon its fellow operating agencies. The other major objection to the proposed bill is the faet that it provided for the selection of the Per­ sonnel Director by the Governor from a list of names sub­ mitted to hi® by an examining committee.

This was intended,

no doubt, to insure the independence of the Personnel Dir­ ector.

It is doubtful, however, if such independence Is

- 241 -

necessary or even desirable.

The principle of administra­

tive responsibility dictates that an administrative officer should have some authority to whieh he is directly respon­ sible for the conduct of his office.

In the proposed bill

the Board of Civil Service had no direct control over the Personnel Director in the conduct of his office.

The

best system would be one which provided a board which is in­ dependent of political control and a director who is directly responsible to the board.

This would mean that the Director

be appointed by the Board with a clear line of responsibi­ lity running from the Director to the Board. It is to be hoped that Iowa’s tardiness In civil service reform and the unfavorable reception given to such reform by the General Assembly in 1939 will not discourage those who have been working to bring Iowa in the rank of states with enlightened personnel programs.

Chapter Till THE IOWA MERIT SYSTEM COUNCIL Scope of the Merit System Council The only central personnel agency furnishing personnel services to any of the departments of state gov­ ernment in Iowa Is the Iowa Merit System Council.

The

Council functions as the personnel department for (1) the State Department and the County Boards of Social Welfare, (2) the State Unemployment Compensation Commission, (3) the State Health Department, (4) the State Services for Crippled Children as administered by the College of Medicine of the State University of Iowa for the State Board of Education. The Department of Social Welfare administers old age assistance, aid to the blind, and emergency relief under the Federal Social Security Board; and child welfare service under the Federal Children’s Bureau of the United States Department of Labor.

The Unemployment Compensation

Commission administers the unemployment benefits under the Federal Social Security Act and the Iowa State Employment Service as provided in the Wagner-Peyser Act.

This latter

service functioned under the United States Employment Ser­ vice of the Labor Department until July 1, 1939 when the Employment Service was transferred to the Soeial Security Board.

The Department of Health administers the monies

245

-

allotted to the State for public health services under the Social Security Act.

The allocation of this money is under

the supervision of the Surgeon General of the United States Public Health Service.

The College of Medicine of the

State University administers the State Services for Crippled Children which are provided under the Federal grant for Maternal and Child Health Services of the Federal Social Sec­ urity Act.

Allocation of this money is supervised by the

Chief of the Children’s Bureau of the United States Depart­ ment of labor. The Federal Social Security Act which provided Federal Grants-in-aid to the states for various social ser­ vices set forth a number of requirements which had to be met by the states before they were eligible to receive their share of the Federal monies*

Among these require­

ment® is the provision that States must, "provide such methods of administration (including after January 1, 1940, methods relating to the establishment and maintenance of personnel standards on a merit basis except that the Board shall exercise no authority with respect to the selection, tenure of office, and compensation of any individual em­ ployed in accordance with such methods} as are found by the Board to be necessary for proper and efficient opera­ tion of the plan;"?*33

On November 1, 1939 the Social

Security Board in conformity with the above requirement issued "Standards for a Merit System of Personnel Adminis­ tration in the State Employment Security and State Public Assistance Agencies."

On the same date the Federal Chil­

dren’s Bureau issued its "Policies for the Review of Provi­ sions for a Merit System of Personnel Administration in State Plans". In order to meet the requirements set forth in the above two sets of standards so that Iowa might share in the Federal Grants-in-aid, the Iowa Merit System Council was set up to handle problems of personnel administration for the four welfare agencies named above.

Representatives of

the four agencies drew up a set of Regulations for the es­ tablishment of a merit system of personnel administration in their agencies; then officially adopted the regulations December 28, 1939.154 Before proceeding to a discussion of the organi­ zation and work of the Iowa Merit System Council, it is well to not© here that the Council was created by and gets all of its authority from the four agencies which it serves. There are no Iowa Constitutional or Statutory provisions to which it can point for authority.

It is true that in­

directly it derives its existence from the Federal Social Security Act, but no direct supervision is exercised by the

-

245

-

Soeial Security Board over the Council.

The Council may,

therefore, be cited as an excellent example of personnel department that is truly a staff agency.

It is created by

the agencies which it serves, operates under regulations adopted by these agencies, and is entirely dependent upon them for its financial support.

Hot even the Governor of

the State has any direct supervisory control over the acti­ vities of the Council except that the four agencies have in their regulations assigned to him the task of selecting the Council members from a panel submitted to him by the joint action of the agencies concerned. Organization of the Merit System Council The Iowa Merit System Council is composed of three members appointed by the Governor of the State from a list of six names which are submitted to him by the joint action of the Board of Social Welfare, the Unemployment Compensation Commission, the Department of Health, and the State Services for Crippled Children.

The only requirement

specified for service on the Council is that the Council members be "public-spirited persons of recognized standing and of known interest in the improvement of public adminis­ tration and in the impartial selection of efficient govern­ ment personnel."*-35 Although this is the only positive re­

248 quirement for membership on the Council, it is provided that no person is eligible to membership if he has held a poli­ tical office or an office in a political organization during the year preceding his appointment, nor can any member have been employed by any of the four participating agencies during the year just prior to his appointment.

The regu­

lar term of Council members is three years, but in order to stagger

their terms, the first three appointments were

made for one, two, and three years respectively.

The re­

gular procedure will be for the Governor to appoint one member every three years, and such appointments will be made from a list of three names submitted to him by the joint action of the operating agencies.

There is no limit

as to the number of terms any one member can serve on the Council.

Vacancies as they occur are filled in the same

manner as regular appointments.

The Council members serve

without pay except for actual expenses which are incurred in the transaction of official business.

The time of

meetings and the rules of procedure are determined by the Council Itself. The first appointments to the Council were made by Governor George A. Wilson March 20, 1940 and were as follows: For one year - Anson Marston, Dean Emeritus of Engineering, Iowa State College, Ames, Iowa

- 247 For two years - Alf gjort, Secretary, Iowa Local Ho. 13, United Mine Workers of America, Albia, Iowa. For three years - M. T. Chadderdon, President, Fisher Governor Company, Mar­ shalltown, Iowa. At the end of the first year Mr. Marston was reappointed for a three-year term; and David G. Crowe, Vice-President, Iowa Local Mo. 13, United Mine Workers of America, Albia was appointed to fill the vacancy caused hy the death of Mr. Hjort. Work of the Council The Merit System Council is the policy deter­ mining body for the establishment and supervision of the merit system procedures In the four participating agencies. The regulations creating the Council enumerate its duties as follows: "(a) to establish general policies for the admin­ istration of merit examinations and the hearing of person­ nel appeals as provided in Article XIV; "(b) to hear such appeals or to establish impar­ tial bodies to hear such appeals on its behalf; "(c) to appoint a Merit System Supervisor... to advise him in formulating procedures for the conduct of merit examinations, and to inspect and review his activities for the purpose of assuring conformity with these Regulations and the policies of the Council; "(d) to review the classification and compensation plans and to advise with the State agencies on their adoption and subsequent revisions;

- 248 ”(e) to make recommendations to the agencies re­ lative to their internal personnel practices to assure eon formity with these Regulations; ”(f) to approve a budget for submittal to the State agencies covering all costs of merit-system activi­ ties as covered by these Regulations; **(g) to promote public understanding of the pur­ poses, policies, and practices of the merit system. As a means thereto, the Council shall, examine into and make a written report to the Governor and to the State agencies at least annually on the operation of the merit system, including the conduct of examinations, the establishment of registers, certifications from registers, promotions, salary advancements, dismissals, demotions, transfers, and separations, and the maintenance of the classification and compensation plans. Such reports shall be filed with the Governor and the State agencies and shall be open to public inspection; ”(h) to review and make written recommendations to the State agencies with respect to any amendments to these Regulations.”136 The Merit System Supervisor The actual manager of the merit system is the Merit System Supervisor.

He is appointed by the Merit

System Council with the approval of the operating agencies. Ho positive qualifications are set up in the regulations governing his appointment except that, ”he shall be a person who has had training and experience in a field re­ lated to merit system administration, shall have known sym­ pathies with the merit principle in government service, and shall possess such other qualifications as are requisite 137 for the performance of duties hereinafter defined.”

-

249

-

The regulations disqualify anyone who has served as an em­ ployee of any of the participating agencies or who has held a political office or office in a political party within the past three years. The Supervisor is charged with the task of per­ sonnel management in the four agencies which the Council serves.

He is required to draw up and carry into operation

plans for:

(1) an examination program, fB) establishing

eligibility registers, (3) certification of eligibles to the operating agencies, (4) the preparation of a budget for the Council, and (5) establishment of a central office, and management and selection of an office force.

The present

Supervisor is L. W. Mahone, formerly Assistant Professor, Engineering Extension Service of Iowa State College, Ames, Iowa.

His selection was unanimously approved by the four

participating agencies, and he assumed his office July 1, 1940.136 Other Employees The Merit System Regulations require the Supervisor to set up offices separate from those of any of the four participating agencies and authorize him to select a staff sufficient to handle the work required of his office.

The

only restriction placed on the Supervisor in the selection of his staff is that they shall not have been in the employ

-

250

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of any of the participating agencies during the six-months period just prior to their appointment.

By the end of

July, 1940, office space was selected in the Insurance Ex­ change Building, Bes Moines; and in August George W. Westby, Superintendent of the Greenfield Public Schools, was chosen Assistant Supervisor.

Since a number of temporary employees

are required at certain times to administer tests and to check test papers, the number of employees on the payroll of the Council varies from time to time.

The largest

number of employees at any one time was reported in May, 1941 when twenty-six were employed.

The regular staff of the

Council consists of the Supervisor, Assistant Supervisor, three stenographers, and one clerk. Coordination between Council and Operating Agencies Each of the four operating agencies has appointed one of its employees, who is designated as its Personnel Officer, to act as a liasion officer between the agency and the office of the Merit System Council.

Not only does the

Personnel Officer represent his agency in its relations with the Council, but he also is charged with the task of per­ sonnel management within his own agency.

Since the Regula­

tions of the Counell are so complete in setting forth the duties of the Personnel Officer, they will be quoted in full. The Personnel Officer shall be responsible to such

- 251 state appointing authority for the internal personnel admin­ istration of the agency. It shall he his responsibility: to develop and put into effect procedures for carrying out the personnel policies of the agency; to participate in the preparation of and to administer the classification and compensation plans, to maintain personnel records of all personnel actions; to request certifications of eligibles by the Supervisor; to report to the Supervisor on the selec­ tion of eligibles, promotions, salary advancements, demo­ tions, transfers, dismissals, resignations, and all types of appointments; to recommend to the appointing authorities, on the basis or reports received from the supervisory offi­ cial concerned, the retention or termination of probation­ ary appointees at the close of the probationary period; to provide and administer a system of service ratings; to make a report to the State appointing authority at least annually on the personnel activities of the agency, a copy of which shall be filed with the Council; to notify the Supervisor, as promptly as practicable, regarding vac­ ancies which may occur in the agency; and.to perform such other duties as are prescribed by these Regulations or by the Agency."140 Attention should be directed here to the fact that under the present merit system plan a great amount of personnel management is mad© the function of the opera­ ting agency rather than of the central personnel office. The quotation above, which sets forth the duties of the Per­ sonnel Officer, who is an employee of the operating agency, shows that such important problems as position-classification, salary schedules, efficiency ratings, and promotion plans are made the function of the operating agency rather than the Merit System Council*

It is true that the regula­

tions call for review by the Council of the classification and compensation plans; but the authority of the Council in these matters is only that of examination and recommends-

- 252 tion.

The final authority in the actual adoption of such

plans rests with the operating agency.

In the case of

efficiency ratings, responsibility for their adoption and operation is completely in the hands of the operating agency. Since there are only four agencies involved in the present merit system plan, it may be possible to maintain a fair degree of uniformity among the agencies and a satis­ factory relationahip between the agencies and the Council; but if the system were to be extended so as to encompass the entire administrative branch of state government, it is very doubtful if this relationship would be conducive to good personnel administration. Operation of the Merit System Council Classification As has been previously pointed out the responsi­ bility for classifying positions in the participating agencies is delegated to the Personnel Officer in each of the opera­ ting agencies.

In making the classification plan, however,

the Personnel Officer is instructed that, "Insofar as practicable, all classes for clerical, stenographic, and other positions which are common to the agencies concerned shall have the same titles and the same minimum require­ ments,"^*4^

After the classification plan has been completed,

- 255 the regulations prescribe that it shall be submitted to the Merit System Council for "review and recommendation", after which it is to be submitted to the appointing authority of the operating agency for approval and final adoption.

It

is evident that the Council’s authority in the matter of classification is limited to that of suggestion rather than coertion in establishing a unified classification plan through­ out the four agencies involved. In practice it seems that the classification plans adopted have been uniform throughout the agencies with res­ pect to those positions which are common to all of them.

In

the first announcement bulletin published by the Council announcing examinations there were forty-three classes of positions for which examinations were to be held.

Since this

announcement was to cover examinations to qualify present employees, it is reasonable to assume that all classes of positions in the four agencies were included.

This assump­

tion is further strengthened by the fact that the First Annual Report of the Council listed the same forty-three classes of positions in a table showing the entire examination pro­ gram of the Council.

These forty-three classes include

County Director under the Social Welfare Board as five sep­ arate classes since there are directors in five different districts of the State.

If these five were considered as a

- 254 single class, only thirty-nine classes would cover the posi tions in the four agencies.^4S

It is evident from a study

of the classification plans which include such classes as Junior and' Senior Clerk, Junior and Senior Stenographer, Junior and Senior Accountant, Junior and Senior Statis­ tician, and Telephone Operator that the classes cut across departmental lines*

The forty-three classes include appro­

ximately thirteen hundred employees.

One class alone in­

cludes two hundred fifty-nine employees and four of them have in excess of one hundred employees.

These obser­

vations are made to show that even though no single agency is responsible for the entire classification plan, a fair degree of cooperation among the four agencies and the Council must have been attained. A study of the class specifications shows that for each class of positions there is a class title, a sal­ ary range, a definition of the type of work performed by the occupant, examples of the work performed, a state­ ment of minimum qualifications required for the job, and a statement of qualifying experience.

The announcement

for Interviewer Clerk, reproduced in Fig. No. 2 will serve to show the type of information provided for each class of positions* The revision of class specifications is accom­ plished In the same manner in which the original plan was

- 255 X N T S m g m C3USKK (Salary Hange: #100*120} Definition: tfoder supervision, to perform a combination of interviewing and clerical teaks in a small local employment office, or, as receptionist in a large local employment office, to receive all callers and to relieve the interviewers of as much of the detailed interviewing work as possible; and to do related work as assigned, Examples of Work Performed: To receive callers, to give information regarding the services of the office, and to answer questions requiring knowledge of the laws, policies, and rules under which the employment office operates; in a small local office, to perform interviewing and placement activities, such as interviewing and registering applicants for job openings, and determining results of referrals, and also to take claims for unemployment compensa­ tion and to perform the typing services required in the office; in a large local office, to make reinterviews of applicants and renewals of registration, and to determine which of the applicants should he referred to interviewers; to file correspondence or office records such as appli­ cation cards, employer order cards, or reports of employer visits and, in some instances, unemployment compensation claims cards, Minimum Qualifications: 1*

(a) Education equivalent to graduation from a standard 4-year high school, and at least 2 years within the last 10 years of successful full-time paid employment in responsible clerical work, in subpro­ fessional work, or in work providing a knowledge of occupations, OR (b) an equivalent combination of education and experience, substi­ tuting year for year, full-time paid employment as defined above for high school education, with a maximum substitution of 2 years; or sub­ stituting a successfully completed year of college education in an accredited college or university for one of the two years of required experience,

2,

General knowledge of the purposes of the Iowa public employment service and unemployment compensation programs and of the federal and State laws pertaining to such progress; knowledge of spelling, punctuation, grammar and arithmetic, and modern office methods and procedures; as evidenced by a passing grade in a practical written examination in those subjects; in most instances, ability to type accurately at a moderate rate of speed,

3*

Pleasing personality, tact, initiative, and good judgment, as evid­ enced by an investigation and oral examination*

MOTS;

Written, 4; Sduc. & Ixp., 3; Oral, 3* Fig. No. 2.

43-b

- 256 adopted.

To prevent the abuse of the privilege of making

changes in the class specifications to benefit certain individual employees, the Regulations of the Couneil specify that when a position is reallocated to another class, the person holding the position at the time of the change shall not be deemed eligible to continue in the position unless he would be eligible for original appointment or promotion to the new class to which the position is allocated. Compensation Flans As was the case in classification plans the com­ pensation plans are prepared by the Personnel Officer within each operating agency and submitted to the Council for "review and recommendation*, and then are formally adopted by the appointing authority of the operating agencies concerned.

The regulations specify that in arriving at

salaries for the various classes of positions the pre­ vailing rates of pay in other State departments should be taken into consideration and that "Insofar as practicable, all classes for clerical, stenographic, and other positions which are common to the agencies concerned shall have the same salary ranges."^®

The regulations further state

that the compensation plan shall show the "initial, inter­ vening, and mavimuffi rates of pay" for each class so that salary increases can be granted for meritorious service

- 257 without making promotion to a higher class of positions. Salary advancements within each class do not occur auto­ matically after definite periods of service, but instead are made on the basis of service records kept by the Personnel Officer in each agency,

lach agency is author­

ized to work out its own regulations with respect to salary advances so that some degree of initiative is left with the agencies to work out schemes for stimulating employee efficiency through their compensation plans. In order to insure the adherence to the com­ pensation plan after it is adopted, the payrolls of each operating agency must be submitted to the Merit System Council for review within two weeks following each payroll period. Fig. Mo. 5, taken from the First Annual Report of the Council gives a summary of the salary ranges of positions in the four participating agencies. Recruitment of Personnel The Regulations of the Merit System Council place the responsibility for recruitment on the Supervisor.

The

instructions contained in the Regulations deal entirely with the method by which announcement of examinations are to be made.

The Supervisor is required to make announcements

of competitive examinations at least three weeks before the

- 858 closing date on which applications will be accepted.

It

is further stipulated that such announcements shall be posted in public places, sent to newspapers, radio stations, educational institutions, professional and vocational societies, public officials, and other organizations. The Regulations also state that the announcements shall contain information concerning the title of the position, the salary range, the duties required, the minimum quali­ fications, the last date on which applications will be re­ ceived, the relative weight to be assigned to each part of the examination, the lowest mark that will be considered passing, and the fact that failure on one part of the ex­ amination will constitute failure on the whole examination. In actual practice the local offices of the Iowa State Employment Service have served as distribution cen­ ters for the announcements

of examinations.

In making the

announcements for the examinations held in the first half of 1941, five-thousand posters were sent to the various public offices and other organizations besides the notices 144 which were sent to newspapers and radio stations. Some evidence of the success of the recruitment policy may be gained from the fact that over 11,000 applications were received for approximately 1,200 positions which were to be filled.

Applications were received from 2,797 persons for

- 859 Number of Classes of Positions within Salary Ranges Salary per Month > 70-105 75-110 80-105 85-110 90-115 100-125 105-130 110-135 120-145 125-150 135-160 145-180 150-190 155-200 170-210 175-225 185-235 800-250 225-275 250-300 275-325 300-375

Number of Classes of Positions 4 2 4 — 3

»------—

1 5 1 2 7 2 1 7 6 1 3 5 — 4

4 — ------------ 5 3 2 1

Fig. No. 3.

- 260 the position of Junior Clerk in which class there were only 129 positions to be filled*145

It Is true that em­

ployment opportunities were not so plentiful during the first months of 1941 when these figures were taken as they have become in 1942, and some more positive recruitment porgram may be required in the future to secure a suffici­ ent number of we11-qualified applicants.

As has been indi­

cated earlier in this study, the number of applicants which present themselves for examination is not always an accu­ rate measure of the sucoess of the recruitment policy.

The

aim of recruitment should be to interest the very best qualified persons that can be found and persuade them to enter the competitive examinations. The announcement bulletins used by the Merit System Council in its recruitment program show evidence of careful preparation, and are prepared in such a way that they attract attention when posted in public places.

The

outside covers of the bulletins are printed in extra large black type so that the nature of the contents is easily diseernable at a glance.

Considerable information about

the policies of the Council, the type of examination, the method of making application, the places where examinations are to be held, and the regulations governing the conduct of the examinations are included in the announcement bulle-

- 261 tins.

In each class of positions for which an examination

is to he given the following specific information is fur­ nished: the class title, the salary range, an example of the type of work performed, the minimum qualifications required for admittance to the examination, and the weights to be assigned to each part of the examination. Examinations In conducting the examination program the Merit System Council is required to operate under the following general rules laid down in the Regulations adopted by the four operating ageneies. "Examinations for entrance to the service shall be conducted on an open-competitive basis; examinations shall be practical in nature, shall be constructed to reveal the capacity of the applicant for the particular position for which he is competing as well as his general background and related knowledge, and shall be rated objectively. A practical written test shall be included, except that where peculiar and exceptional qualifications of a scien­ tific or professional nature are required and competition through an assembled examination is impracticable, an unassembled examination may be held. The Supervisor shall determine when competition through an assembled examina­ tion is impracticable and shall present satisfactory evi­ dence to the Council for approval."146 The Regulations also stipulate that a performance test shall be included in the selection of typists and positions requiring the operation of office machines; and that oral tests be included for positions which require frequent contact with the public, or which involve important super­ visory or administrative duties.

The rating of education

- 262 and experience Is required for those positions which call for professional or technical knowledge. The Supervisor is given authority by the Regula­ tions to refuse to examine an applicant or to disqualify an applicant who has already been examined If: "(a) he is found to lack any of the preliminary requirements established for the examination for the class; "(b) he Is so disabled as to be rendered unfit for the performance of the duties of the class; "(c) he is addicted to the use of narcotics or the habitual use of intoxicating liquors to excess; "(d) he has been convicted of any felony or other crime involving moral turpitude; "(e) he has made a false statement of material fact in his application; "(f) he has previously been dismissed from any public service for delinquency or misconduct; "(g) he has used or attempted to use any pressure or bribery to secure an advantage in the examination or appointment; "(h) he has directly or indirectly obtained in­ formation regarding examinations to which as an applicant he was not entitled; ?(i) he has failed to submit his application correctly or within the prescribed time limits; "(j) he has taken any part in the compilation, administration, or correction of the examination; "(k) he has otherwise violated provisions of these Regulations."147 During the period from January 1, 1940, the date the Regulations became effective, and June 30, 1941 the

- 263 Council held two written examination programs, one per­ formance test program, and one oral test program.

The

two written examinations were held at eleven testing centers scattered over the state.148

The Report of the Council

shows that the two written examinations were administered to 4,414 persons while it also shows that 7,744 examinations were administered.14®

This indicates that in many cases

certain individuals took examinations for more than one class of positions.

The performance test given to typists

and stenographers who had passed the regular written tests were administered to 1,396 persons.

Oral tests were

administered to 1,030 applicants who had met other re­ quirements.

In administering the oral tests only four

testing centers were used.150 From an examination of the scores of applicants, it is evident that a rather high percentage of those taking the tests received passing marks.

The following

computations made from information found in the First Annual Report of the Council shows the general results of the tests: Number of examinations

Number who passed

Percent who

Written examinations

7,744

6,899

89.0

Performance tests

1,868

1,716

91.9

Oral tests

1,442

1,438

99.7

- 264 There was considerable competition in most classes of positions for which tests were administered. In only one case was there a single applicant admitted to the examination, and in only twelve cases were there less than ten who competed in the written examination for any one class of positions. Examination Procedure All applicants for positions administered by the Merit System Council are required to file a uniform application blank which is furnished by the Council.

The

form of application blank used by the Council is a fourpage folder which calls for considerable personal informa­ tion as well as educational and experience records.

A

significant feature of the application form is that the section containing the name and address of the applicant is detachable and can be removed from the remainder of the blank as soon as the applicant is assigned an identi­ fying number.

This makes it possible to deal with the

blank by its number rather than name; therefore the per­ sons who rate the education and experience of the applicant | as shown on his application blank do not have access to the j identity of the person whose application they are rating. At the time the applicant files his application form, he is required to file another form which is in two sections so

- 265 constructed that they are easily separated from each other. One section is used by the Council to notify the applicant that he is to be admitted to the examination and to give the time and place of the examination.

This notification

card then becomes the candidate’s card of admission to the examination.

A space is provided on which the candi­

date is to mount his picture before submitting It to the monitor at the testing center.

The other section of this

second form is used by the.Council to report to the applicant on the result of the examination.

This report

consists of the title of the class of positions for which he is competing, his final rating on the examination, and his original rank on the eligibility register. Construction of Tests The construction of tests to be used in determin­ ing the qualifications of applicants for positions under the supervision of the Merit System Council is largely the responsibility of the Supervisor and Assistant Super­ visor.

As a matter of practice these officers have ass­

embled the materials to be used in the tests and have then, called upon a number of persons with special qualifications in the field covered by the tests for consultation and advice.

The list of persons who have assisted the Council

in the preparation of tests consists of an imposing array

- 266 of professional and academic talent.

A total of thirty-

nine experts assisted the Council in the preparation of the written tests used in the first two testing programs. The written tests were of the multiple-choice type in which the applicant was required to select from five possible responses the one which best fitted the re­ quirements set out in the test item.

The fact that five

possible responses were provided for each item, reduced the element of guessing to a minimum; and the fact that this type of test was used made objective scoring of the papers relatively simple. In scoring papers, each paper was checked by two scorers, one of which computed the number of items marked correctly while the other computed the number of items marked incorrectly.

This furnished a reliable check

on the accuracy of the scoring. Since the Council is a relatively new agency, much of its time has been spent in the preparation of the tests to be used in getting the merit system started in the operating agencies.

This probably accounts for the

fact that little work has been done to check the validity of the tests by making statistical analyses of Individual test items.

This Is a feature of testing technique that

should be given very careful consideration.

If formal

- 267 tests are to serve as effective instruments in the selec­ tion process, the individual items that make up the tests must have a high degree of validity.

It is worth while to

note here that work was being started by the personnel of the Council office along this line.

The work has pro-

\

grossed to the point where individual test-item cards have been printed.

Each card will contain information about a

Single test item.

The card will show the source of the item,

j 1

the date it was used, the test of which It was a part, and the results of its use.

In this way the validity, reliabi-

lity, and degree of difficulty of an item can be determined.

j i

When this work has been done for a period of time, the cards can be filed for future use.

These files will serve as valu­

able sources for material in the preparation of further tests, j The Council has not as yet made use of standard test material in its examination programs.

There seems to

be considerable fear that some applicants might have access to copies of such test materials beforehand and thereby secure an advantage over other competitors.

These stan­

dard tests do, however, have many features that should commend them to the careful attention of the Council.

They

have been prepared after a great amount of study and ex­ perimentation and have a higher degree of reliability than could be expected from a test which had never been given an

- 268 actual trial.

Where the time element is an important one,

the standard test materials should he given careful atten­ tion since they are readily available in a broad range of types and subject-matter fields.

Since there are such a

great number of standard tests and test forms available at the present time, the danger of coaching on such tests is probably greatly over emphasized. Oral Tests Oral tests were conducted by examining boards composed of three members.

The board members were selected

with the expressed intention of having one member with special technical knowledge in the field being tested, one with personnel experience, and the third with speoial interest in the improvement of governmental administration. The members of the examining boards served without pay ex­ cept for actual expenses.

It is gratifying to note that

the Council secured the services of a large group of capable examiners to conduct these oral tests,

lach candidate

was given a twenty-minute interview by the board and each member of the board individually recorded his impressions of the applicant.

Ho formal numerical ratings were made

by the board members; instead the numerical ratings were later determined by na uniform process"^®^

These boards

examined over one thousand applicants in a single testing.

program. Computing Final Eatings The final score given to any single applicant was in practically all cases a composite score arrived at from three sources, namely, (1) the written test score, (2) the score assigned for training and experience, and (3) either a performance score or an oral test score, whichever was given for the particular type of position. The exact mathematical formula used to arrive at final ratings was not made a matter of record by the Council, nor was this information made available to the author in personal interviews with the Assistant Supervisor, The lack of information on this point is probably due to the statistical difficulty involved in making composite scores.

In the first place it is very difficult to

assign objective scores for such things as training and experience in score-units which can be accurately averaged with objective scores obtained on written examinations. The same is more or less true in the case of scores assigned to oral tests.

In the second place it is difficult to fix

any one formula which will insure the proper weight for each single score in computing composite scores. The Council should work out a definite set of formulae by which its composite scores are computed so that

-

270

-

this information can be made a matter of record.

There is

no reason to doubt the absolute fairness of the Council’s computations, but unless the public is given a chance to know the procedure used, there is always the danger that someone may use this fact to discredit the testing pro­ gram.

In adopting a formula to be used for this purpose,

certai&ly some formula using standard seores should be used.1^ Establishing Eligibility Registers An eligibility register is prepared for each class of positions for which examinations are held.

Pur­

suant to the Regulations of the Merit System the names are recorded on the registers in the order of the comp­ osite scores of the applicants.

In cases where individuals

have identical ratings, the order is determined by the scores of the individuals on the written test; and in case this is also identical, the name© are recorded in alphabetical order.

j

The general rule is to establish registers

on a state-wide basis, but the participating agencies may re­ quest that certain registers,be prepared on a district basis.

Although a separate register is maintained for each

class of positions, the Council has authority to make up a register from other existing registers when a vacancy occurs in a class of positions for which there are no available

- 271 applicants.

In such cases the Council is required to

select names from registers for positions which have similar or higher entrance requirements.

When it is nec­

essary to establish a new register in this way, the persons whose names are to be transferred to the new register are contacted by mail to determine their availability.

Form

S-70, reproduced in Fig. Ho, 4; is used by the Council for this purpose.

When the names are placed on the new regi­

ster, they are recorded in the order of their composite scores, except that in cases where educational or experi­ ence requirements for the new olass are lower than for the register on which the applicant was placed originally, the Council may re-rate such education and experience in the light of the new requirements. The normal life of each register is fixed by the Regulations at one year, but the Supervisor is authorized to either extend or reduce this time by securing the appro­ val of the Council.

Many things may intervene to change

the standing of applicants on a register.

The Supervisor

may declare a register exhausted when it contains less than three names, and he may remove those names remaining by giving proper notice.

Names may be removed from regis­

ters at the request of the applicant or because the appli­ cant has been turned down by an operating agency three times.

Any applicant may determine his position on an

- 272 MERIT SYSTEM GOTCIL Insurance Exchange Building Bes Moines, Iowa INQUIRY RMJAHDIHD AVAILABILITY FOR CERTIFICATION Our records Indicate that your name is on one or more of the registers of eligible persons from which appointments will be made in accordance with merit system regulations. Although it may be some time before your name Is reached for certification, we wish to determine your availability. Bo not give up the position you now hold unless you are given a definite offer of employment by one of the participating agencies. The agency has the right to choose from among three eligiblas for any one position* and hence you may not be offered a position at this time. If, before you receive an offer of employment, circumstances cause a change in your availability, please notify this office. F i H in the necessary information only for those positions listed below in which you have received a passing grade and rank on the register as in­ dicated on the NOTIFICATION OF EXAMINATION RATING card, and return this blank to our office. failure t o r e s p o n d within five days kill r es ul t in y o u r n a m e n o t b e i n g

CONSIDERED. Place a check mark or other information in appropriate column I do not Remove my Certify me wish certi­ name from this Min. when reached fication Remarks, or areas in whicl: Position Sal on Register until (date! Register appointment is acceptable Principal Clerk 1120 Senior Clerk 100 Junior 80 i* Clerk Senior Steno. 110 Junior Steno. 85 * Typist Clerk 30, * *$10. per month less for employees of County Boards of Social Welfare. Date

Signature Fig. Ho. 4.

Identification Number

- 273 eligibility register at any time by presenting to the Super­ visor his card on which he received his original notice of the results of his examination. In order to keep only the names of persons who will accept a position if it is offered to them on the register, the Council makes regular checks by sending in­ quiries to applicants to see if they are available for appointment.

If the applicant fails to reply to such in­

quiry within five days, it may be assumed that he is not available, and his name may be removed from the register* Besides the registers which are prepared as the result of entrance examinations, the Council also keeps promotional registers.

Such registers are established at

the request of any one of the operating agencies.

They

are prepared by conducting promotional tests among the present employees who aspire to higher positions.

The method

of using these promotional registers is explained under the discussion of certification. Certification of Bligibles The Council certifies eligibles for appoint­ ment at the request of the operating agencies.

Such re­

quests must indicate the class of positions in which the appointments are to be made as well as the number of appointments that are to be made.

The agency may specify

- 274 -

the sex of candidates "when this is a reasonable require­ ment for a particular position".

Before certifying candi­

dates to the appointing officers, the Council contacts the applicants to determine whether or not they are available. If the candidate does not wish to be certified, he is asked to sign a waiver of appointment,

form S-39, repro­

duced in Fig. Ho. S, Is used for this purpose. In making certifications to the appointing agency the Council submits the three highest available candidates from the appropriate register when only one appointment is to be made.

If there Is a promotional

register for the class to which the position belongs, the three highest names on this register are also certified along with the three from the entrance register.

If more

than one position is to be filled, the number of names to be certified is determined by dividing five times the number of positions to be filled by three.

When the re­

sulting quotient is a fraction, the next whole number re­ presents the number to be certified.

In case there is a

promotional register, this number is also certified from this register.

For example, if there are two positions to

be filled In one class, a total of

5x2 or 4 names will 3 be certified; likewise if six positions are to be filled in the same class, a total of

5x6 3 certified to the appointing officer.

Qr 10 names will be

- 275 MERIT SYSTEM COUEfCIL €27 Insurance Exchange Building Des Moines, lewa A C G E F iM o n

of

G m s w m im m

FOR

gertifxgatiom

I hereby ask the Supervisor to certify me for appointment as a ®t the rate of _ _ _ _ _ _ _ _ _ per month.

If appointed X will he able to report for duty not later

than

,

sigS'te’e

waives of

"

m o m m m

I hereby waive my right to certification for appointment to the position °f _ _ _ _ _ _ _ _ _ _ _ _ at a monthly salary of for the reason

.

___________ ■ ____________________________________

Applicant will cheek the appropriate paragraph below: (

} With the understanding that my name will be kept on the eligible list for certification but will not be certified until X so request.

(

) With the understanding that X do not wish to be considered further and that siy name is to be removed from the register.

{ } With the understanding that X will not be certified again for appointment until after . Bate (

} With the understanding that X will be certified for any position paying # or more per month.

( )

__________________________________________________

Date S 39

Signature Fig. Mo. 5.

- 276 Form S-69, reproduced in Fig. No. 6 is used by the Council in making certifications.

The instructions

to the appointing agency, which appear on the back side of the form, stipulate that the agency is to consider eligibles in groups of three.

Selection for the first vacancy is

to be made from the top three eligibles, disregarding those who fail to answer letters sent to them and those who re­ fuse appointment.

Selection for the second vacancy is to

be made from the top three remaining after the first vacaney has been filled.

Within thirty days after eligibles

have been certified to the appointing officer, Form S-69, on which the certifications were made, must be returned to the Council with the action taken on each person shown under the column marked "action".

The reported action

i

is indicated by the use of the following code letters: "A"- Selected for appointment; "F.R."- Failed to reply; " W . A . W r o n g address; "D"- Declined appointment; "C"- Con­ sidered but not selected.

As a check on the action of the

appointing officers the Council requires that carbon copies of letters sent to those marked "Failed to reply" and the

j

correspondence with those marked "Declined appointment"

/

must be submitted along with the reported action. In cases where the appointing agency requests the certification of names from a geographical register, the

-

277

*

merit system council Insurance Exchange Building Dea Moines, Iowa Certificate of Eligibles CERT* HO*

IMRESPONSETO REQUEST 110*____ DATS

DATE___________

HO. TO BE W L O O T __________ SEX_______

P M H O T ______ T ^ O R A H Y ___

DIVISION, SECTION______________

POSITION CERTIFICATION FROM

nmimm

Iferit System Supervi^or

FOR

__________________________________

{Signature of Operating Agency Official) (TitleT (Date)

S-69 Fig. Ho. 6.

- 276 Council may submit the three highest names on the geograp­ hical register as well as the three highest on the state­ wide register for the same class of positions, and the agency may make the selection from either list. Appointments Actual appointments are made by the operating agency from the list of names certified by the Council. In making its final selection the agency may secure from the Council the applicant’s application blank, the reports of his references, and may require personal interviews. All appointments are made on a probationary basis. period of probation is six months.

The

At the end of the first

five months of the probation period the Personnel Officer of the agency is required to make a report on the work of the appointee to the appointing officer of his agency, who on the basis of this report either makes the appoint­ ment permanent or notifies the appointee of the termina­ tion of his appointment at the end of the probationary period.

In the latter case the appointing officer must

give notice of such action to the Supervisor of the Merit System Council,

If the appointee is not retained

on a permanent basis, the appointing officer must ask for the certification of eligibles to fill the position in

- 279 the same maimer as was done in the beginning. Special provision is made in the Regulations of the Merit System Council to permit provisional, inter­ mittent, emergency, and temporary appointments in certain instances.

Provisional appointments are permitted when

there is urgent need for filling a position and there are no available candidates on any appropriate register.

In

such cases the Personnel Officer of the agency submits to the Supervisor of the Merit System Council the name of the person to be provisionally appointed.

If the Super­

visor certifies that the person’s qualifications meet those set up in the class specifications for that position, the appointment is made.

Such appointments cannot extend

more than thirty days after an appropriate register has been established for that class of positions and cannot In any Gase exceed six months from the date of appointment. Successive provisional appointments of the same person are not permitted, nor are successive provisional appointments to the same position permitted. Lists of persons who have been on the payroll of the participating agencies and who have indicated a will­ ingness to accept intermittent employment are maintained by the Council, and agencies may make appointments from this list Mien there is work to be done that requires

- 280 intermittent services.

In such cases no appointment

shall continue more than ninety days nor consist of more than six months in any one twelve-months period.

Inter­

mittent appointment does not constitute probationary appointment in the event such an employee should later be selected on a regular basis. Emergency appointments are permitted when the services of an employee are needed quickly and there are no names on an appropriate register from which such appoint­ ments can be made.

In such cases no one person can be

appointed for more than thirty working days in any twelve­ months period. Temporary appointments are made from certifications submitted by the Council from those names on registers who have indicated a willingness to accept temporary employment. No such appointments can exeeed six months in any one twelve­ months period. Promotions The Merit System Regulations encourage the filling of vacancies by promotion from within the agency concerned. Inter-agency promotions can be made, but they must be approved by both agencies concerned.

Promotions are made

on the basis of service ratings, length of service, and capacity of the employee, but all promotions must be sub­ mitted to the Supervisor of the Council and he must certify

- 281 that the employee to be promoted possesses the minimum qualifications set up for the class of positions to which he Is to be promoted.

In addition the employee must

qualify for the new position by either a competitive or non-competitive test administered by the Merit Council Supervisor. As has been previously stated the Council may establish promotional registers by competitive examinations at the request of any participating agency.

In such cases

an equal number of names is certified from the promotional register and the entrance register When vacancies occur. Employees may be shifted from one position to another in the same class at the discretion of the operating agency; and transfers from one agency to another may be made with the approval of the Supervisor when no change in classification is involved.

An employee may be demoted

for inefficiency, but in such cases he has the right to appeal to the Council, Tenure and Discipline The tenure of employees who have served the period of probation is normally during good behavior; but agencies have authority to dismiss employees because of lack of funds, decreases in the amount of work to be done, or "for cause".

When an employee is to be dismissed, the agency

is required to give him fifteen days notice in writing, except in cases of flagrant misconduct or in cases where the employee has been convicted of a crime involving moral turpitude.

If an employee is dropped from the pay­

roll because of insufficient funds or because of a drop in the amount of work, the agency is required to notify the Council of such action.

Mo ageney can drop a permanent

employee from the payroll because of lack of funds or cur­ tailment of work so long as there are any emergency, pro­ visional, or temporary employees serving the agency.

The

Regulations provide for the reinstatement of employees who have been dropped from the payroll with the approval of the Council# As measures of discipline employees may be dis­ missed, demoted, or suspended.

In all such cases the

employee has a right to appeal his case; and in no case shall a suspension be for more than thirty days in any one calender year. Appeals 'Hie Merit System Council serves as a board of appeals in all cases where the Regulations indicate that appeals may be made.

Applicants may appeal to the Council

when the Supervisor denies tham admittance to an examination to which they feel they are qualified.

In such cases the

- 285 opinion of the Council is final.

In doubtful cases the

Supervisor may admit applicants to the examination pending a decision of the Council; but admission in such cases does not insure the applicant of a passing grade on training and experience as is the case with those who are admitted unconditionally to the written examinations. The Council hears appeals from applicants who are dissatisfied with their ratings on the examinations. Such appeals must be made within thirty days after the results of the test have been mailed out.

The Council has author­

ity to change ratings after such hearings when it is con­ vinced a substantial error has been made; but such changes do not affect certifications which have already been made before the appeal was made. Persons whose names have been removed from the eligibility registers can appeal to the Council within thirty days after the notice of such removal was mailed to them.

A person who has been recommended for promotion,

but whose qualifications have been judged insufficient by the Supervisor may appeal to the Council.

In all the

cases listed above the decision of the Council is final. A different situation exists in cases In which employees appeal to the Council for review of their dismissal, suspension, or demotion.

In these cases both the agency

and the employee have the right to present witnesses and

-

264

-

give evidence before the Council.

The Council then

makes its decision in the form of a recommendation to the agency concerned.

After considering the recom­

mendation, the agency then makes its own decision in the case, and that decision is final. Exemptions Under the Merit System There are certain positions in the four par­ ticipating agencies which are not subject to the Regulations For the Merit System.

The exemptions for each of the

Agencies are listed below. 1. In the State Department of Social Welfare: a. Members of the State Board of Social Welfare; b. The Assistant Attorney General; c. Members of the County Boards of Social Welfare; d. Part time professional persons in the Child Welfare Service: e. Employees of the County Boards of Social Welfare who are employed for part time to conduct garden projects; 2, In the Unemployment Compensation Commission: a. Members of the Unemployment Compensation Commission. 5. In the State Department of Health: a. The Commissi oner of Health: b. The confidential secretary to the Commis­ sioner; e. All part-time professional persons who ere paid for medical or nursing services; 4. In the State Services for Crippled Children: a. The executive director;

-

285

b. The secretary to the executive director; c. The staff of the University Hospitals; d. Part-time professional persons paid for medical or nursing services. Provision for those Persons Employed

Since the standards for the merit system were issued by the Federal Social Security Board and the Federal Children’s Bureau on November 1, 1959, special consideration was given to all employees who were employed by the participating agencies on that date.

In the State

Department of Health, the Social Welfare Board, and the State Services for Crippled Children it was provided that all persons employed on or before the above date would be given qualifying examinations; end if they passed such examinations and were certified by the agency as having given satisfactory service, they would be given a per­ manent status.

Such persons were not required to meet

the minimum qualifications set out for the class of po­ sitions which they held.

Those who were not able to pass

the qualifying examination, were to be given thirty days notice of termination of employment. The State Unemployment Compensation Commission had previously operated under a merit system, and many of the employees of that agency had been appointed under that system.

The new Regulations, therefore, provided

-

286

-

that such employees should retain their same status under the new Merit System Council without taking any qualifying examinations.

In fact the registers which

had been established under the merit system for this agency, were to remain in force until new registers were established by the new Council*

The employees of this

agency who were not appointed under the older merit system were to be given the same considerations as was given to the employees of the other three agencies* Special Provisions Relating to Religion and Politics To prevent religious and political considerations from entering into the selection procedure the Regulations provide that no application form used by the Council shall contain any items which will reveal the religious or po­ litical affiliation of the applicant*

It is further pro­

vided that recommendations or references which reveal such information are not to be considered or filed by the agencies or the Council.

Employees under the Merit System

Regulations are forbidden to take any active part in polit­ ical campaigns or the management of political organizations. This restriction does not prevent employees from voting or expressing their political views privately.

- 287 Special Preference Ho special preference is given to veterans under the Merit System Regulations, but it is provided that such provisions as are found in the Iowa Code shall apply to appointments made under the Merit System Council. The same Is true for residence requirements; but In order to comply with the provisions of the Code, all positions for which examinations have been held have stipulated that applicants be citizens of the United States and have lived in the State for two years prior to their appointment.

-

288

-

Chapter IX A PLAN FOE CENTRALIZED PERSONNEL ADMIN­ ISTRATION IN IOWA STATE GOVERNMENT Organization of the Administrative Branch The function of centralized personnel adminis­ tration in a State government is to furnish personnel ser­ vices uniformly to all departments of the State.

The type

of personnel agency whieh will he best adapted to this purpose will depend to a great extent on the type of admin­ istrative organization found in the State government. The kind of personnel agency which may be functioning satisfactorily in one State might not prove at all adequate if established in another.

Likewise it is unwise to assume

that any so-called Model Civil Service Law can be made to function equally well in all jurisdictions. In many states the administrative branch of the State government has grown up without any definite organi­ zational plan, and therefore presents a picture of dis­ unity and decentralization.

The types of administrative

departments found in such States vary widely, and there are no clear lines of responsibility maintained throughout the administrative organization.

Other States have made

special effort to reorganize their administrative branch in

- 289

-

order to place practically all administrative work in a few functionally organized departments.

In some states the

administrative heads are elected by the people for relatively short terms, while in others they are appointed by the Governor.

In some states the single-headed department has

been given preference, while in others boards and commissions have found special favor.

In some the tenure of office is

either by law or custom rather long, while in others short terms are the rule.

It is therefore Impossible to assume

that a personnel plan can be brought over in tact from one State and made to apply successfully in another. In the last quarter of a century considerable emphasis has been placed on State administrative reorgani­ zation in the United States, and twenty-eight States have either partially or completely reorganized their adminis154 trative branches in this period. Even in these States there Is considerable variation in the type of reorganiza­ tion plans adopted.

Some have functional departments but

still have the heads of these departments popularly elected; while others have tried to concentrate administrative res­ ponsibility in the Governor and have given him power to appoint the department heads. The administrative branch in Iowa State government has not gone through a period of planned reorganization. Four administrative departments headed by the Secretary of

- 290 State, the State Auditor, the State Treasurer, and the Attorney General are provided for in the Constitution adopted in 1857.

The remaining administrative agencies

have been created from time to time by legislative enact­ ments with little consideration being given to the inte­ gration of each new agency into the whole administrative organization.

The administrative agencies of the State

may, in general, be classified under five headings: (1) departments headed by a single individual who is popularly elected; (2) departments headed by a single individual who is appointed by the Governor; (3) departments headed by boards or commissions whose members are popularly elected; (4) departments headed by boards or commissions whose mem­ bers are appointed by the Governor; and (5) departments headed by ex officio boards or commissions. With the possible exception of the second group named above, which includes the Adjutant General, the State Comptroller, the Commissioner of Insurance, the Labor Commissioner, and the Safety Commissioner, it is evident that the Governor has little responsibility for the succ­ ess or failure of most of the State’s administrative agencies.

The Governor, himself, is elected for a term of

only two years as is also the case with the other popularly elected department heads.

Practically all the boards and

commissions are independent of the Governor since their

- 291 members serve longer terms than he, and their terms are staggered so that a single Governor seldom appoints a majority of members to any one board or commission. An attempt was made in 1933 to effect a sweeping reorganization of the State’s administrative machinery when the Brookings Institution of Washington was called in by the Committee on Reduction of Governmental Expenditures to make a study of the state government.

The Report of

the survey made by the Brookings Institution included a plan for the complete reorganization of the administrative departments on a functional basis and the reassignment of many duties of the present administrative agencies.

The

recommendations made in this report, however, have never been enacted into law.

In the light of this experience it

may be safe to assume that no sweeping administrative re­ organization in the State can be expected in the near fu­ ture.

Therefore any centralized personnel system designed

for the State should be devised to serve the administrative organization as it now exists. The Status of the Personnel Agency One of the first major problems to be solved in devising a system of State personnel administration is to determine the status the personnel agency is to occupy in

- £92 relation to the entire administrative organization.

There

are at least three possible positions which the personnel agency might occupy in this respect.

In the first place the

personnel agency may be purely a staff agency assigned to the office of the Governor to furnish him the information and technical knowledge so that he can administer a unified personnel program in all the state departments.

This arrange­

ment is probably more adapted to private industry In those plants which consider the problem of personnel as one of the many administrative tasks for which the general manager must assume responsibility.

Such an arrangement is also

conceivable in those states which have reorganized their administrative branches in such a way that the Governor is, in fact as well as in name, the chief executive of the state. For Iowa however, such an arrangement is certainly not practicable.

The term of the Governor is fixed at two

years, and while in actual practice most Governors of the state have served four-year periods, he Is not in a position to assume the full responsibility for the entire adminis­ trative activities of the state.

All the heads of the major

administrative departments are popularly elected and look to the voters rather than to the Governor for approval.

In

the other administrative agencies which are administered by boards and commissions, the Governor has little actual control over administrative policy.

- 293 As a second possibility the personnel department may be established as a separate administrative agency on a level with the department of finance or the legal depart­ ment, but serving directly under the supervision of the Governor as the chief executive officer of the State.

This

is the type of personnel department found in many of the States which have organized their administrative branches along functional lines.

This is perhaps the best arrange­

ment for efficient public personnel service provided the jurisdiction is properly organized so it can function properly.

Such is not the case, however, in Iowa state

government, for the Governor does not in reality act as the chief administrative officer with effective control over the various administrative departments.

It would be

unwise to plan to put personnel administration in Iowa directly under the control of the Governor at this time. The third possibility is that of making personnel administration an independent function operating under legislative authority on an equal station with the other administrative agencies of the State.

This is the plan

that such a proposal conflicts with the generally accepted principle of administrative integration and centralization, but the type of agency which will function most effectively will be determined to a great extent by the environment in which it must operate.

The ideal arrangement would be to

294 reorganize the entire administrative branch of the state before setting up the personnel agency, but practical con­ siderations make this possibility remote.

It is interesting

to not® that in the Report of the Brookings Institution which suggested complete reorganization of the state*s administrative machinery it was suggested, the "Governor*s authority should be direct and extensive, and the law en­ forcement and regulatory agencies should, as a general principle, be made directly responsible to him.

But no

absolute centralization of power in the Governor is con­ sidered in the near future**.^55

Until some sweeping re­

organization plan can be adopted, the independent personnel agency will best serve the purposes of sound personnel ad­ ministration. Legal Basis for the Personnel Agency If the personnel agency is to function effectively it must rest on a sound legal basis.

There are at least

three possible legal bases on which the personnel agency may rest,

In the first place it may be created by consti­

tutional provisions with the entire organization and powers of the agency defined in the Constitution; or with the agency being created by the Constitution and the details of organization and management left to statutory enactments. At least five states have provided for State personnel

administration in their Constitutions.3*5® In the second place the personnel agency may be created by the joint action of the administrative agencies which it serves.

The Iowa Merit System Council is a good

example of this type of organization.

Although experience

thus far indicates that the Merit System Council has been quite satisfactory, this does not seem to be an adequate arrangement for the establishment of a state-wide personnel program.

It is very unlikely that the joint action of all

the state administrative agencies could ever be secured; and if such action were secured, there is the possibility that some of the agencies would find reasons for with­ drawing its support from time to time. The third possibility probably has the greatest merit for establishing personnel services for the Iowa state governments.

That is basing the personnel program

on a statutory enactment.

The difficulty involved in amend­

ing the Iowa Constitution tends to discourage any attempt to use that method for creating a personnel agency.

An

affirmative vote of two successive General Assemblies is required before the proposed amendment is submitted to a vote of the people; and since meetings of the General Assembly occur only every two years, the time element alone is a discouraging factor.

Even though a Constitutional

- 296 amendment were approved creating a personnel agency, its operation would still be dependent upon the legislature for appropriations and certain enabling acts to make it effec­ tive.

If the personnel agency is created by statutes,

changes which experience shows are necessary, can more readily be made. Extent of the Statutory Provisions T&e degree of detail to which the statute phould go in outlining the organization and work of the personnel agency Is hard to determine.

This will depend to some ex­

tent upon the nature of the agency which is charged with the administration of the provisions of the Act.

If

a single administrator is to assume responsibility for the administration of thd personnel program, the law should specify in considerable detail the policies to be followed; but if a board or commission is created to supervise the administration of the Act, much of the detailed work should be left to them.

For best results in Iowa it is

suggested that the law confine itself to the setting up of the organizational framework of the personnel agency and to the statement in broad terms of the general policies to be followed.

Specifically the statute should:

1. determine the organization of the personnel agency, indicate the method by which its personnel is to be

- 297 selected, and stipulate their salary and term of office; 2. set forth the scope of the agency’s authority by indicating what departments and what employees are to come within the jurisdiction of the personnel agency; 3. set forth in general terms the duties of the personnel agency and to provide a specific grant of author­ ity by which the agency can formulate rules and regulations which will insure effective administration; 4. require an accounting of the financial acti­ vities of the agency and a report, at least annually, on its activities. 5* require the personnel agency to make a careful study of the employees of the state and submit to the legis­ lature within a reasonable time a position-elassification plan, a uniform compensation plan, and a retirement plan for its consideration; 6. provide the method by which the present gov­ ernment employees are to be brought under the new personnel plan; 7. restrict the political activity of State em­ ployees; 8. guarantee employees the right to a hearing in cases of demotion and dismissal; 9. stipulate rules that may be desirable concerning special preference for veterans or other groups. The Organization of the Personnel Agency Although the type of personnel agency in each of the twenty states that have adopted state-wide personnel systems is different from the others in some respects, they may all be classified under four groups. (1) The commission type in which a group of commissioners or board members administer the personnel system.

(2) The board-

- 298 -

director type in which a personnel board is responsible for establishing the general policies of the personnel program, but in which they select a director who is given the responsibility for the administration of the program. (3) the single-administrator type in which a department of personnel administration is created and the head of the department is given complete responsibility for the admin­ istration of the program. {4) an adaptation of the singleadministrator type in which the administrator is given com­ plete responsibility for the administrative work involved, but is provided with associate commissioners who assist him In matters of a legislative or judicial nature. It is impossible to point out one type of organi­ zation and say it is the best, for the advantages that one plan has over the others is probably due to the situation in which it is forced to operate.

There is no doubt that

the single-administrator has worked satisfactorily in Maryland, but in that state there was a strong sentiment for the merit system before the plan actually was put into operation.

The Model Civil Service Law prepared by the

national Civil Service Reform League and the National Muni­ cipal League provides for a single commissioner to admin­ ister the program, but also prjhrides two associate commiss­ ioners to assist him in matters of a legislative or judi­ cial nature.

- 299

-

The majority of the present state personnel de­ partments have either a civil service board or commission and an administrative director.

Of the states having this

type of organization, part of them give the Governor the power to appoint the administrator, while others assign this task to the board or commission.

Some of these states

provide that the administrator shall be chosen after examin­ ations have been held. Since the type of organization may be a determining factor in the success of the whole personnel program, it deserves careful consideration. The agency created must be designed to fit the administrative organization in which it is to function.

Since the type of administrative or­

ganization found in Iowa state government is one consisting of many Independent administrative agencies, it seems wise to make the personnel agency independent also.

There are

three distinct types of activities that will fall within the province of the personnel department.

The first is the

actual work involved in administering the personnel program. Unquestionably this should be made the responsibility of one person, who might be designated as the Personnel Admin­ istrator,

The second is the promulgation of rules and re­

gulations governing problems of classification, temporary appointments, vacations, in-service training, qualifications for entrance to examinations, and many othere of a similar

- 300 nature.

This requires deliberation and discussion and

should be the function of a group of persons.

The third

type of activity Is that of hearing appeals from those who have been discharged, or demoted; those who have been re­ fused admission to examinations; or those who have received examination marks which they feel are unfair.

This function

should also be the responsibility of a group rather than a single administrator. The solution to the problem seems to be the es­ tablishment of an independent Personnel Board to handle matters of poliey including the making of rules and regulations, and to hear appeals; then allow the Personnel Board to se­ lect a competent Personnel Administrator to be solely res­ ponsible to them for the administrative work. The Personnel Board It is suggested that the Personnel Board cqnsist of five members, a number which would insure thorough dis­ cussion of matters of a legislative or judicial nature.

The

regular term of the Board members should be five years, but in order to stagger their terms, it is suggested that one member be appointed by the Governor for one year, one be appointed by the State Superintendent of Public Instruction for two years, one be appointed by the State Board of Control for three years, one be appointed by the

- 301 State Board of Education for four years, and the fifth member be appointed by the State Highway Commission for five years.

In order to secure a high degree of indep­

endence for the Board, it is suggested that it be selfperpetuating.

That is, as one member retires each year,

the remaining members choose his successor, with the specific requirement that the affirmative vote of three members be required for election.

It is also suggested

that no member serve for more than two full terms. Such a Board would insure two basis require­ ments that are considered necessary for the success of the personnel agency in Iowa.

The first is independence from

pressure from other administrative agencies, and the second is continuity of policy.

Certainly no one would be in a

better position to judge the merits of the work of a Board member than his colleagues who have served with him on the Board; and it is probably safe to assume that no one would be more interested in the selection of a capable Board member than the remaining members who will have to serve with him in the future.

The dangers involved In such a

self-perpetuating Board should not be considered too seriously since its activities would be subject to scrutiny in the legislature every two years when appropriations for its financial support come up for consideration.

The

services of the Board members should be on a part-time basis

- 302 and should not carry attractive stipends. The chief functions of the Personnel Board should be; 1. To select the Personnel Administrator who would serve as the chief administrative officer of the agency, and to establish his salary; 2. To prepare for submission to the General Assembly a comprehensive classification plan and a uniform compensation and retirement plan; 3. To formulate rules and regulations governing examinations, certification, promotion, provisional appointments, vacations, and other phases of personnel management; 4. To act as an appeal board in all cases where appeals are provided either by law or the rules of the Board; 5. To advise the Personnel Administrator in mil matters respecting the administration of the Personnel Agency; 6. To provide for the preparation and submission of a budget to the proper budgetary officer; 7. To provide for the preparation and submission of an annual report on the activities of the agency; Q. To outline the duties and the limits of au­ thority of the Personnel Administrator; 9. To advise with the Personnel Administrator with respect to the establishment of permanent office quarters and the selection of necessary office personnel. Scope of the Personnel Department Since one of the objectives of a centralized per­ sonnel agency is to secure uniformity throughout the entire state government, it follows that the Personnel Board should serve all units of the state government.

Ho attempt is

- 303 made to indicate that ther© are not some units of the govern­ ment in Iowa which are operating under good personnel pro­ grams, but it must be admitted that very little uniformity exists throughout the state agencies.

The most complete

survey of Iowa state government that has been attempted was that of the Brookings Institution which has been referred to previously*

In commenting on the general picture of

personnel administration in the State, the Report stated, ”in general the state has almost completely ignored the vital matter of establishing and enforcing proper qualifi­ cations for state employees.

That it has many good employ­

ees especially in its professional and technical services is certain but that fact is due to accident rather than design”.157

i* commenting on the State Highway Department,

however, the Report stated, ”The State Highway Department, for instance, has been kept remarkably free from politics and has selected its employees on the basis for their quali­ fications for the particular duties they are to perform. They have had reasonable tenure and have not been materially affected by changes in administration. ... Excellent per­ sonnel records were maintained and used for payroll audi­ ting.

It was an outstanding organization with highly pro­

fessional standards”. It is evident that the state*s per­ sonnel management is not all bad, but in order to bring all personnel management up to a high level of efficiency

- 304 and to insure a fair degree of uniformity, all agencies of the state government should be covered by the personnel program. The problem of deciding which employees in each department are to be covered by the rules of the Personnel Board is a very difficult one indeed.

The general policy

for determining which employees are to be included should be laid down in the legislative act establishing the per­ sonnel agency, but this will have to be don© in very gen­ eral terms until a complete classification plan can be adopted.

An attempt to make a detailed enumeration of the

positions, a® they now exist, which should be exempt, would lead to a great deal of confusion since no uniform termin­ ology is used by all government departments.

One has no

assurance, for example, that the position listed as "chief clerk” in one department is the same as to duties and qual­ ifications as is a position with the same title in another department.

As a general statement of principle it may

be said that officials occupying positions which are by their nature political, since they require the formulation of governmental policy, should be exempt.

So also should

all personal assistants or private secretaries of such officials be excluded from the rules of the Personnel Board, This would include all employees in the legislative branch

- 305 of state government.

In the judicial branch all judges

and their private secretaries should be excluded; but the employees in the office of the Glerk of the Supreme Court, of which there were five in 1940, and the forty-four full­ time employees of the Supreme Court’s custodial servio.es should be included under the personnel program. The administrative branch presents a more com­ plicated picture.

Certainly all elected and appointed de­

partment heads should be excluded, as should all members of the administrative boards and commissions.

In most of

the administrative departments there is an assistant or chief deputy who is to a considerable extent responsible for the routine work of the department head, these officers should be selected by the department heads without any restrictions.

In those agencies where a board or commission

is responsible for administrative work there is usually an executive officer to whom a large degree of responsibility is delegated.

This officer, by whatever title he is known,

should be exempt from the rules of the Personnel Board. Most department heads as well as commissioners have private secretaries, who by the nature of their work, have access to information which is of a confidential nature, therefore, such appointments should not be included in the jurisdiction of the Personnel Board.

The term secretary, however, should

not be used to include clerks, stenographers, and typists

- 306 for the purpose of creating more exempt positions. After a complete classification plan has been adopted, definite regulations specifying the positions, by title, that are to be excluded, should be presented to the General Assembly for approval. The fifteen penal and eleemosynary institutions under the Board of Control and the five educational insti­ tutions under the Btate Board of Education present a special problem.

Each of these institutions operates as a separate

unit and each Is located at some distance from the state capital.

Since many of the positions in these institutions

require a very specialized type of training, there would seem to be some justification for exempting them from cen­ tral personnel control, yet these institutions are agencies of the state government and uniform conditions should apply to their employees the same as to other state agencies. As a matter of experience the element of politics has probably been less influential in the selection of employees in these institutions than it has in the other state agencies, particularly in the educational institutions and the nonadministrative positions in the eleemosynary institutions. All employees of the institutions under the Board of Control should be covered by the provisions of the per­ sonnel act including the superintendent of the institutions.

- 307 The superintendent of each institution should be an admin­ istrative officer only, since matters of policy can be handled by the Board of Control. The general policy in public personnel adminis­ tration has been to exclude the educational institutions from the personnel program.

This may be due to the fact

that only in isolated cases has political influence seri­ ously affected the selection and tenure of employees in the state colleges and universities and to the fact that requirements for the selection of faculty members has been maintained at a relatively high level.

The employees of

the educational institutions should be divided into two groups for consideration with regard to their status under the central personnel system.

First there is the group

including educational administrators and faculty members; then there is the group which includes the employees who perform duties which are similar in nature to dozens of other positions in the public service.

This latter group

Included clerks, electricians, mechanics, custodians, stenographers, typists, and others of a similar nature.

There

would seem to be no compelling reason why these positions should not be included in the personnel program. Although the group including educational admin­ istrators and faculty members is usually not included in the classified service, there is by no means unanimity of

- 308 opinion that this is as it should be.

In discussing this

problem in the Atlantic Monthly, Carl Friedrich has this to say: "...what we really need today are methods of selection which are open and frankly competitive in terms of particular tasks involved. There is no reason why the methods which are employed to give departments of the American Government their large staffs of technical experts and research men, engineers, chemists, biologists, economists, and social scientists are not equally applicable to the task which falls on universities. We have to ascertain different qualities, of course, but there is no reason to believe that we might not do so by methods of open competition which inciden­ tally are in accord with the general pattern of democratic society."158 There are many characteristics of the teaching profession which distinguish it from other professions which require the same or similar technical training.

Teachers

are not dealing with technical knowledge and skill so much as they are with persons; and success in the profession may be dependent on many factors other than the possession of these knowledges and skills.

It is these other factors

that make the application of formal testing procedures to the teaching profession of doubtful value.

The selec­

tion of faculty members must be done by someone with in­ timate knowledge of the conditions which exist in the de­ partment where a vacancy is to be filled.

It is suggested,

therefore, that educational administrators, and faculty members be excluded from the classified service.

This same

policy should also apply to librarians in the state educa­

- 309 tional institutions and to doctors and nurses in the Univer­ sity Hospitals. Whether the librarians of the state libraries which are independent of the educational institutions should be exempt is very doubtful.

These institutions do not

have the same degree of independence from outside influ­ ence as do the educational institutions.

It is suggested

that the state undertake to issue certificates to trained librarians, and then require that employees engaged In library work have a certificate issued by the proper auth­ orities.

Until some certification procedure is provided,

It is suggested that the state libraries be included in the classified service. Inclusion of Present Employees The problem of handling present employees often presents a serious obstacle to the adoption of a centralized personnel program.

In many instances the employees have

been appointed for political reasons and expect their term of service to end when their superior is forced to retire; but In some eases the employees have been appointed chiefly on the basis of their ability to render efficient service.

It is, therefore, difficult to devise a plan that

will provide justice for all employees and still weed out the inefficient.

There are various methods whieh can be

- 310 used to determine the status of those in the service at the time of the adoption of a personnel program, but they can be roughly classified into three groups. (1) To blanketin all present employees without any attempt to determine their qualifications for the positions which they hold. There is always considerable pressure from the employees themselves and the political party which made most of the appointments to adopt this procedure. (2) To require all present employees to take their chances along with new applicants in an open competitive examination.

This may

be varied by permitting present employees to enter such examinations without meeting the educational or experience requirements set up for new applicants. (3) To require all present employees to qualify for their positions by taking a non-competitive examination which is open to employees only.

This is the procedure that seems most likely to give

justice to the employees and at the same time offer some prospect for getting rid of the totally inefficient em­ ployees.

The chief obstacle of such a plan is the practical

difficulty of setting up a critical score on the examina­ tion which will represent a passing mark, thereby qualifying the employee to permanent status. As a practical solution to this problem It is suggested:

- 311 1.

That employees of a certain number of years

service be blanketed-in the classified service provided their superior officer recommends them to be efficient em­ ployees.

The period of service should at least include the

administration of more than one Governor, and if possible, more than one political party.

It is suggested, however,

that the period be not less than five years nor more than ten years. 2.

That all employees not Included in the above

provisions be required to take a non-competitive examina­ tion of a practical nature for the class of positions to which their present position has been assigned in the classi­ fication plan.

Those who make a mark considered passing

on the test and who are recommended as being efficient employees by their immediate superior, should be given permanent status in the classified service.

Employees who

are given permanent status in this manner should not be eligible for promotion unless they have the minimum qualifications set forth for entrance to the class of positions to which they might be promoted. 3.

Temporary employees, or employees who were

appointed after the enactment of the personnel act, should not be eligible to permanent status exeept on the same con­ ditions as new applicants.

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312

-

Other Provisions to be Included in the Personnel Act It has been indicated that the statute creating state-wide personnel administration should confine itself to basic problems of organization and broad statements of policy and should delegate the task of making detailed rules concerning the problems of actual personnel manage­ ment to the Personnel Board.

There are some basic policies

that should be included in the act. Term of Employees The law should provide that employees under the supervision of the Personnel Board serve during good be­ havior and be subject to dismissal only "for cause", and in case of dismissal be permitted to be heard in his own defense.

The Personnel Board should have authority to hear

such appeals and provide for reinstatement when the evidence shows that the dismissal was made without sufficient cause. In establishing regulations for appeals in cases of dis­ missals and in setting precedents in such cases, the in­ genuity of the Board will be taxed to the limit. Sven under the h^st recruitment programs there will be instances where the good of the service will require the dismissal of em­ ployees.

Administrators must have the authority to re­

quire a certain degree of discipline from their employees

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313

if they are to be held responsible for the conduct of their office; and yet the employees must be protected from the abuse of the power of dismissal by administrators.

As a

matter of policy the burden of proof should rest on the employee to show that he was dismissed without cause, rather than upon the administrator to show that he did have sufficient reason for the dismissal. Special Preference in Regard to Public Employment If there are to be special considerations for certain groups in regard to entrance into the public ser­ vice, such preference should be stipulated in the law. Such preference usually applies to veterans of the armed services, to their widows, or to residents of the state. The advisability of giving preference to veterans has

been

discussed at some length earlier; but regardless of whether or not it is good personnel practice, it is

usually a

concession that for practical reasons must be made.

It is

suggested that the law provide that veterans of the armed forces be admitted to examinations without being subject to the requirements of age and minimum educational quali­ fications, and that service in the armed forces be sub­ stituted for specific experience whenever such is stipu­ lated as a requirement for entrance.

Any further preference

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314

-

should be in the form of a certain number of points to be added to the scores of veterans; but in no case should such point-preferenee be given unless the original score was high enough to be considered passing on the test. The question of residence requirements is also usually one of practical necessity rather than good per­ sonnel practice.

The best policy would seem to be to

eliminate all residence requirements entirely; but if con­ cession must be made, it is suggested that residence re­ quirements be specified for all classes of positions in such grades of the service as the skilled and unskilled trades, and that the professional and technical services be open to all citizens without reference to their place of residence. Certification and Appointment Detailed rules concerning certification and appoin tment should be left to the Personnel Board, but the law should lay down the general policy of certifying a limited number of top-ranking eligibles; and should provide for a period of probation during which appointees would have a chance to demonstrate their abilities on the job.

It is

suggested that the Board give serious consideration to the possibility of certifying all eligibles within a cer­ tain soore-range rather that the certification of a certain

-

number of persons.

315

-

In no ease should the number of eligibles

to be certified be less than three, but the number might well be more than three when there are a number of eligibles with practically identical composite scores. Appeals Subject to the regulations adopted by the Per­ sonnelBoard the law

should provide that the Board hear

and determine appeals in cases where a person has been denied admission to a test for a class of positions to which he feels that he is qualified; in cases where a person feels that his final rating is not correct; in cases where a person has been denied consideration for promotion because of lack of qualification for the higher position; In cases where a person has been dismissed from the service after he has served his period of probation; and in cases involving demotion or suspension for disciplinary reasons. Temporary Appointments Subject to the regulations made by the Personnel Board the law should provide for the making of temporary appointments for part time services and to fill vacancies when the Board has no eligibles available for certification when the vacancy occurs.

The Board should be instructed

to formulate rules to prevent the abuse of this privilege

-

316

-

in sueh a manner as to negate the regular appointment pro­ cedure . Political and Religious Considerations All applicants should be guaranteed by the law that political or religious affiliation would not be con­ sidered in determining the rating or choice of employees. Employees should be guaranteed the right to be free from pressure exerted by their superiors with respect to voting, and they should be prohibited from contributing to political party campaign funds.

Employees should not

be permitted to hold any political office or to actively engage in any election casqmign. Reports and Audits The financial activities of the Personnel Board should be made subject to the regular auditing procedure of the state and its bookkeeping methods should be those prescribed by the state Auditor’s Office.

An annual report

of the operations of the Personnel Board should be re­ quired by law.

Such a report should be submitted to the

Governor and should be open to public Inspection.

With

respect to its business activities such as purchasing and contracting for printing the Board should be subject to the same regulations that are imposed upon other state

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317

agencies. Status of the Merit System Council Any law establishing a central personnel agency for Iowa will of necessity be required to make provision for the employees now serving in agencies under the Merit System Council*

Since all State agencies should be included

In the new personnel program, these four agencies should not be excluded.

The employees which have been appointed

under the procedure prescribed by the Merit System Council should be given permanent status in the classified service without taking any qualifying tests.

The Office of the Merit

System Council should be abolished, but its personnel might well be absorbed by the new Personnel Board.

- 318 FOOTNOTES L W. F. Willoughby, Principles of Public Administration. pp. 211, 212. *

2

Commission of Inquiry on Public Service Personnel, Minutes of Evidence, pp. 137, 138. 3See such works as; Leonard B. White. Introduction to the Study of Public Administration. Hevised~faition, p. 277; Kirk H. Porter, State Administration, p. 181; Harvey Walker, Public Administration in the United States, p. 136; William 1. Mosher and J. Donald Kingsley, Public Personnel Administration. ^Leonard D. White, Introduction to the Study of Public Administration. p. 277. ff

Quoted by W. W. Montgomery, "Problems and Progress of the Merit System", Annals of the American Academy of Political and Social Science, vol. 189. January. 1937. p p . 192-198. 6See Bruce Smith, "Civil Service as a Negative Control", Annals of the American Academy of Political and Social ScTenceV vol. 189, January. 1957. pp. 159-164. 7 William E. Mosher and J. Donald Kingsley, Public Per­ sonnel Administration, p. 21. ®G. A. Dykstra, "Lip Service or Civil Service", Civil Service Assembly of the United States and Canada, Pamphlet No. 6 . p. 4. ^Frank Murphy, "Better Servants for Democracy", Per­ sonnel Administration, vol. I, June, 1939, p. 8. iOArmais of the American Academy of Political and Social"l>clenoe: vol. 189, January, 1^7. The five phases of the problem covered are: (1) "Spoils and Democracy", (2) "The Development of a Professional Public Service", (3) "New Techniques of Public Personnel Administration", (4) "The Heform Movement: Old and New", (5) "Improved Personnel in Government Service". ^Public Administration Clearing House, First Edition, 1932, Organizations in the Field of Public Administration, a Directory. Fourth Edition. 1939, A Directory of Voluntary Organizations working in the Field of Public Administration. 12Public Administration Clearing House, A Directory of Voluntary Organizations Working in the Field of Public Admini strationT Fourth Edition, p. 100.

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319

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13

J*°Public Administration Clearing House, A Directory of Organizations Working in the Field of Public Administra­ tion, Fourth Edition. p. 59^ 14The council was composed of five members: L. D. Coffman, President of the University of Minnesota; Louis Brown low, Director of the Public Administration Clearing House, Chicago; Ralph Budd, President of the Chicago, Burlington, and Quincy Railroad; Arthur L. Day, Vice President of the Corning Glass Works; and Charles E. Merriam, Professor of Political Science, University of Chicago. Dr. Luther Gulick, Director of the Institute of Public Administration, New York, was chosen director of research for the commission, 15

All monographs are published by McGraw-Hill Company, Inc., New York, 1935: Sarah Greer, A Bibliography of Civil Service and Personnel Admini strati on :L. D. White. The BrlTish Civil Service: Charles H. Bland. Public Personnel Adminis­ tration in Canada; Walter R. Sharp, Publlc Personne1 Management in France;~rxtz M. Marx, Civil Service in Germany; Harvey Walker, Training Public Employees in Great Britain; Carl J. Friedrich. Responsible Government Service Under the American Constitution; William C. Beyer, Municipal Civil Service in the tinIted States; Sterling D. Spero, Employer and imployee in the Public Service; John F. Miller, Veteran Preference in the Publie Service; George A. Graham, Per­ sonnel Practices in ’Business and Governmental Organizations; Lucius M linerding. Jr.. Government by Merit. ^^Lewis Meriam, Public Personnel Problems from the Standpoint of the Operating officer. ^Katherine A. Fredrie, State Personnel Administration with Special Reference to Departments of Education. I8Alice Campbell Kline, Civil Service in Public Welfare. 190rdway Tead and Henry C. Metcalf, Personnel Adminis­ tration; Its Principles and Practice, pp. 2, 3. 2%ee: John M. Pfiffner, Public Administration, pp. 53-57; Porter, State Administration, pp. 19,20; Harvey Walker, Public Administration in the United States, pp. 91,92; Lewis Meriam. Public Personnel Problems from the Standpoint of the Operating Oiffteer. pp. 274-377. 21Harvey Walker, Public Administration in the United States, p. 91.

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320

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22 Lewis Meriam, Public Personnel Problems from the Standpoint of the Operating Officer, p . 575. 25John M. Pfiffner, Public Administration, p. 55. 24Lewis Meriam, Public Personnel Problems from the Standpoint of the Opiating Officer, p. 577. 25 Leonard D. White, introduction to the Study of Public Administration. pp. 64, 73, 74. 2®fred Telford, The Telford Classification Manual, p. 8. ^Lucius Wilmerding, Government by Merit, p. 37. 0. Griffenhagen, "Job Analysis for Position Classification", Handbook of Business Administration, pp. 1135-1140 and Tead and Metcalf, Personnel Administration, p. 235. 2%osher and Kingsley. Public Personnel Administration, p. 354. 30Mosher and Kingsley, Public Personnel Administration, pp. 356,357. 3% . S. Personnel Classification Board, Closing Report of Wage and Personnel Survey. 1931; House Document 771, 71 st. Congress, third session. Slau. S. Personnel Classification Board, Closing Report of Wage and Personnel Survey, p. 132. ^White, Introduction to the Study of Public Adminis­ tration . p. 353. : ~ 33William 0. Beyer, "Employment Standardization in the Public Service", National Municipal Review, vol. 9, June, 1920, pp. 391-403. ^^ilmerding, Government by Merit, p. 57. 35Wilmerding, Government by Merit, pp. 61,62. 3%osher and Kingsley, Public Personnel Administration, p . 358. ^Leonard D. White, Introduction to the Study of Public Administration, p. 330.

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301

-

36Leonard D. White, Introduction to the Study of Public Administratlon. p. 335. 3%fosher and Kingsley, Public Personnel Administration, -----------------------------p. 353. ^Civil Service Assembly of the United States and Canada, Technical Bulletin No. 1 . p. 9. 41 Civil Service Assembly, of the United States and Canada, Technical Bulletin No. 1, p. 10. 40 Civil Service Assembly of the United States and Canada, Technical Bulletin No. 1. p. 10 43Civil Service Assembly of the United States and Canada, Technical Bulletin No. 1 , p. 10 44 Commission of Inquiry on Public Service Personnel, Better Government Personnel, pp. 42,43. ^Commission of Inquiry on Public Service Personnel, Better Government Personnel, pp. 4,5. 46(jiVii Service Assembly of the United States and Canada, Technical Bulletin No. 1 . p. 107. ^Commission of Inquiry on Public Service Personnel, Better Government Personnel, p. 36. ^Commission of Inquiry on Public Service Personnel, Minutes of Evidence, p. 52. ^Lewis Meriam, Public Personnel Problems, p. 100. so Lewis Meriam, Public Personnel Studies, p. 219. ^^Griffenhagen and Associates, Chicago; J. L. Jacobs and Co., Philadelphia; Institute for Government Research, Washington, D. G., Public Administration Service, Chicago; are examples of such agencies. 5SMosher and Kingsley, Public Personnel Administration, p. 360. 33A complete picture of the work involved in classifying the public service Is found in Fred Telford*s Classification Manual. This includes all forms required for making the

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322

-

survey as well as the particular steps in the procedure. This would he an excellent guide to an agency if they were not authorized to employ an expert director. 34Lewis Meriam, Public Personnel Problems, p. 26. 33See Leonard L. White, Introduction to the Study of Public Administration, p. SlBT 3®See Alice C. Klein, Civil Service in Public Welfare, p. 97; Leonard B. White, Introduction to the Study of Fublie Administration, p.Sl3. RI7

Civil Service Assembly of the United States and Canada, "University Training for the Public Service". Pamphlet No. i2* P* 23* ®®Leonard B. White, Introduction to the Study of Public Adminiatration, p. 316. s%»eonard D. White, The Prestige Value of Fubllo Employment la Chicago. ®{*Civil service Assembly of the United States and Canada, "University Training for the Public Service", Pamphlet No. 12, p. 24,25, ^Mosher and Kingsley, Public Personnel Administration. p. 121. complete account of the system used in California may be found in: William Brownrigg and Louis J. Kroeger, "Toward Effective Recruiting", Civil Service Assembly of the United States and Canada, Pamphlet No. 7 . pp. 1-22. ^"Announcing and Advertising Tests for Positions in the Public Service", Public Personnel Studies, vol. V, pp. 70-75. ^Lucius Wilmerding, Government by Merit, p. 93. ^Commission of Inquiry on Public Service Personnel, Better Government Personnel, p. 45, 8^Yhis point is developed at some length by Mr. Wilmerding: Lucius Wilmerding, Government by Merit, pp. 65,66. 67Lucius Wilmerding, Government by Merit, p. 100.

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323

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Q

Isaac Leon Kandel, Examinations and their Substitutes in the United States, p. 8. ®®A. L. N. D. Houghton, "Recruitment and Training of Public Officials’*, Public Administration. 1931, vol. 9, p. 248. ^Committee of Inquiry on Public Service Personnel, Better Government Personnel, pp. 42,43. ^^Lucius Wilmerding, Government by Merit, p* 75. 72For a more complete discussion of this subject see Walter F. Majoewsky, "Maximum Age Limits at the Time of Employment", Public Personnel Studies. May, 1930, vol. 8, pp. 67-72. 7^Lucius Wilmerding, Government by Merit, p. 97. 74 A discussion of the method used by a large insurance company to rate past history and experience in selecting sales employees is discussed in: Public Personnel Studies, vol. Ill, 1925, pp. 202-209. 75Herbert ®. Eawkes, E. T. Lindquist, and C. R. Mann, The Construction and Use of Achievement Examinations, .... ...... Preface p. ill. ^^Walter V. Bingham, Aptitudes and Aptitude Testing, p. 22. 77Barry A. Green and Albert N. Jorgensen, The Use and Interpretation of Elementary School Tests, p. 2$5.' 7%erbert E. Eawkes, I. F. Lindquist, and C. R. Mann, The Construction and Use of Achievement Examinations, p. 22. ^Statistical formulae are available for estimating sampling errors and are discussed at length in books dealing with the application of statistics to the construc­ tion of tests. See E. F. Lindquist, A First Course in Statistics, pp. 102-126. 8%alter ¥. Bingham, "Oral Examinations in Civil Ser­ vice Recruitment", Civil Service Assembly of the United States and Canada, Pamphlet Ho. 15. ®^The actual quotient is multiplied by 100 to eliminate

- 324 -

fractions. In actual practice Mental Age scores and chronological ages are converted into months rather than used in years. 8%slter Y. Bingham, Aptitudes and Aptitudes Testing, pp. 130,162. 83 Gerry W. Wadsworth, "Hiring for Better Personnel Re­ lations", Personnel Journal. Yol. XYIII, June, 1939, p. 57. 84Publie Personnel Studies, vol. Ill, 1929, p. 92. 85 John Pfiffner, Public Administration, p. 173. See announcement Ho. 13 issued January 6, 1941 by the U. S. Civil Service Commission.87 Public Personnel Studies, vol. 6, May, 1928, p. 102. Intire article pp. 98-108. 88 Twenty types are listed in: Harry A, Greene and Albert H. Jorgensen, The Use and Interpretation of Elementary School Tests, p. &0. 8% n 1931 the Bureau had at least fifty-four different tests either published or unpublished some of which were in as many as ten different forms. 90 Herbert R. Eawkes, E. F. Lindquist, and C. Mann, The Construction and Use of Achievement Examinations, p. 97. ®^See Paul Horst, "Item Analysis by the Method of Suecessive Residuals", Journal of Experimental Education, vol. II, March, 1934, pp. 254-263; E.F. Lindquist and W. W. Cook, "The Index of Discrimination", Journal of Experi­ mental Education, vol. I, March, 1933, p p . 162-185. ^^Publlc Personnel Studies, vol. Y, 1927, p. 208. ^Public Personnel Studies, vol. Y, p. 135. 94 See Reuben Horchow, "Machines in Civil Service Re­ cruitment’, Civil Service Assembly of the United States and Canada, Pamphlet Ho. 14, October, 1939. ®®A short method of figuring the Standard Deviation from grouped data may be found in texts in educational statistics. See I. F. Lindquist, A First Course in Statis­ tics. pp. 75-77.

- 32 5 -

eg This comparison is made by the process of correlation, and the technical procedures are discussed in most texts in the field of statistics. See E. F. Lindquist, A First Course in Statistics, pp. 153-159. 'House Document 118, 77th Congress, 1st session, 1941. 98Klrfe H. Porter, State Personnel Administration, p. 200. ^Mosher and Kingsley, Public Personnel Administration, p, 214. ^ ^Publlc Personnel Studies. Editorial, vol. V, February, 1927, p. 25. ^^Gordon S. Clapp, "The Buie of Three, It Puzzles Me”, Public Administration Be view. Tol. I, 1941, p. 293. ^ % n i t e d States Civil Service Commission, Form 8847. January, 1941. l03Unitea States Civil Service Commission, Fifty-fourth Annual Report for the Tear Ending June 50. 1937." n. IS. S. Civil Service Commission, Fifty-fifth Report for the Tear Ending June 50. 1958. p. 119. ^°®Gomialssion of Inquiry on Public Service Personnel, Problems of the American Public Service. 1935. p. 255. 106Mosher and Kingsley, Public Personnel Administration. p. 221. ^-^Leonard D. White, Government Career Service, p. 52. 108 See Alice Campbell Klein, Civil Service in Public Welfare, p. 188. ^°®CommissIon of Inquiry on Public Service Personnel, Better Government Personnel, p. ©. •^°Miss D. Smyth, The Essentials of an Efficient Promo­ tion System, Public Administration. Tol. 7, 1929, pp. 133,134. ^ U l u c Iu s Wilmerding, Government by Merit, p. 154. ll%iohard W. Cooper, "A Limitation on Career Promotions". Personnel Administration, vol. I, April, 1939, pp. 9, 10.

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326

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^ % y d n e y Larkin, "The Essentials of an Efficient Pro­ motion System", Public Administration, vol. 7, 1929, p. 147. *^*L. Hill, "How to Fill Higher Posts", Public Adminis­ tration, vol. 8, 1950, p. 274. i3-%iss B. Smyth, "The Essentials of an Efficient Pro­ motion System", Public Administration, vol. 7, 1929, p. 138. B, Probst, "Substituting Precision for Guesswork in Personnel Efficiency Records." National-Municipal Re­ view, vol. 20, 1931, p. 143. ' -----117 Samuel H. Qrdway and John C. Laffam, "Approaches to the Measurement and Reward of Effective Work of Individual Government Employees", National Municipal Review, vol. 24, 1955, p. 559. 118

See JT. B. Probst, "Substituting Precision for Guess­ work in Personnel Efficiency". National Municipal Review, vol. 20, 1931, pp. 143-148. ^ % e e Lucius Wilmerding, Government by Merit, pp. 168-173. 120g@e Samuel H. Ordway and John C. Laffam, "Approaches to the Measurement and Reward of Effective Work of Govern­ ment Individual Employees". National Municipal Review, vol. 24, 1935, pp. 557-601. ^2^Lucius Wilmerding, Government by Merit, p. 161. 3-2%,eonard C. White, Introduction to the Study of Public Administration, p. 284. *2SAnnals of the American Academy of Political and Social Science, vol. 189, 1937, p. 174. ■^^Oharles P. Messick, "Professionalizing the Public \ x Service", Annals of the American Academy of Political and I Social Science, vol. 189, 1937, p. 12. ^^F o r a complete list of state civil serviee adoptions see Book of the States. 1941-1942, pp. 224, 225. 126 James K. Pollock, "Merit System Suffers a Reverse in Michigan", National Municipal Review, vol. 28, July, 1939, p . 546. See Henry A. Ritferod, "Arkansas Abandons the Merit System". National Municipal Review, vol. 28, April, 1939, pp. 296,297,

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327

-

12q Good Government, vol. 56, p. 36. 129 For a summary of the state agencies see Mosher and Kingsley, Public Personnel Administration, pp. 78, 79; and Book oi the States. 1941-1942. p. 224. 130**-

.

Jacob Tan Der Zee, The Merit System in Iowa, p. 487.

131Jacob Tan Der Zee, The Merit System in Iowa, p. 487. *-3%enate Bills and Resolutions. 1939, pt. 1. 133Federsl Social Security Board, Compilation of the Social Security Laws Including the Social Security Act as Amended and Related Snactmeats through tke 76th. Congress. Washingt o n D . C . , 1941, p. 26. i34Copies of the resolutions of the four agencies may be found in the introduction to: Regulations for the Merit System, State of Iowa, December 27, 1939, Revised. ■ ^^Regulations for the Merit System Council. State of Iowa, 1939, Revised,"p.'ll. ^^Regulations for the Merit System Council. State of Iowa, 1959, Revised, pp. 11,12. n T ^ ^ Regulations for the Merit System Council, State of Iowa, 1936, Revised, p. l3. l3eFirst Annual Report of the Iowa Merit System Council. January, 1940-July, 1941, p. 6. ^39?irst Annual Report of the Merit System Council, January, 1940-July, 1941, p. 11. ^•^Regulations for the Merit System Council, State of Iowa, 1659, Revised, pp. 13,14. ^ ^ •Regulations for the Merit System Council, State of Iowa, 1939, Revised, p. 14. •^^Auponncement Bulletin Ho. 1 , Merit System Council; First Annual Report of the Merit System Council. January, 1940-July, 1941, pp. 24,20.

^ ^Regulations for the Merit System Council, State of Iowa, 1936, Revised, p. 16.

- 328 144 First Annual Report of the Merit System Council. January; 1940-4 uiy,'"1941, pp. 7,“8: l45First Annual Report of the Merit System CminftO,, January, 1940-July, 1941, Table II, pp. 24,25. i46Regulations for the Merit System Council. State of Iowa, 19&9, Revised, p. 17. •1 -------^-^Regulations for the Iowa Merit System Council. State of Iowa, 1939, Revised, pp* 18,19. 148Testing centers were Burlington, Cedar Rapids, Council Bluffs, Davenport, Bes Moines, Dubuque, Ft. Dodge, Mason City, Ottumwa, Sioux City, and Waterloo. 149 First Annual Report of the Merit System Council. Januai^y, iv4u-«juiy, 1941, fables 1 and ll, pp. 23-2£. ^•^The test centers for the oral tests were Des Moines, Cedar Rapids, Sioux City, and Council Bluffs. ^^See First Annual Report of the Merit System Council, January, 1940; "July,11941, ppV’T 7;i8:----- -------------158First Annual Report of the Merit System Council. January, 1940-July, 1941, p. 10. I5SS0© Chapter IV for a discussion of standard scores as a basis for computing composite scores. **34Council on State Governments, The Book of the States. *-33Report on a Survey of Administration in Iowa. Submitted to the Committee on Reduction oi Government Expenditures, The Brookings Institution, Washington, D. C., 1935, p. 28. ^®30Guneil on State Governments, The Book of the States. 1941-1942, p. 224. ^ Report on a Survey of Administration in Iowa. Sub­ mitted to the Committee on Reduction of Governmenl: Ex­ penditures, the Brookings Institution, 1933, pp. 526,527. 158Carl J. Friedrich, "The Selection of Professors", Atlantic Monthly, January, 1938, vol. 161, p. 113.

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BIBUOG-RAPHY Beyer, William C., "Employment Standardization in Public Service," national Municipal Review. Vol. 9, June, 1920, pp.. 3§i-4Q$. Bingham. Walter V.. Aptitudes and Aptitude Testing. Earner and Brothers, Blw York, 1957,' 590 pp.------"Oral Examinations in Civil Service Recruitment", Civil Service Assembly of the United States and Canada, Pamphlet Mo. 13. 1939, 30 pp. Bradshaw, Francis F •, "The Scope and Aim of a Personnel Program", Educational Record. Vol. 17, Jan., 1936, pp. 120-12F: The Brookings Institution, Report on a Survey of Adminis­ tration in Iowa Submitted to the Committee on ReAuction of Government Expenditures. Washington. D. C. PP* Brownrigg, William, and Kroeger, Louis J., "Toward Effective Recruiting", Civil Service Assembly of the United States and Canada, Pamphlet No. 7 . 1937, 22 pp. Buck, A, E,, The Reorganization of State Governments in the United States. Columbia trnivarsity Press, 1938. 287“ pp. Givil Service Assembly of the United States and Canada, "University Training for the Public Service", Pamphlet No, 12. 1937, 31 pp. Clapp, Gordon R., "The Rule of Three, It Puzzles Me," Public Administration Review, Vol. I, Spring, 1941, pp, 287-293. Commission of Inquiry on Public Service Personnel, Better Government Personnel, McGraw-Hill, Hew York, 1935, 182 pp, Minutes of Evidence. McGraw-Hill, New York, 1935, 721 pp. Greer, Sarah, A Bibliography of Civil Service and Fersottttel Administration, McGraw-Hill, New York, 1935, 143 pp.

330

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GiviI Service Abroad. McGraw-Hill, Hew York, 1935, : White, Leonard B., The British Civil Service, pp. 1-52. — -- -- ----------Bland, Charles H., Public Personnel Administration in Canada, pp. 57-72. Sharp, Walter R.. Public Personnel Management in France, pp. 83-1537 ------Marx, Fritz M., Civil Service in Germany, 161-275.

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