The federal service

Front matter

PUBLICATIONS OF THE INSTITUTE FOR GOVERNMENT RESEARCH

STUDIES IN ADMINISTRATION

The System of Financial Administration of Great Britain

Preface

Among the fundamental factors determining efficiency of public administration that of the system employed in securing, compensating, directing and controlling the personnel required for the conduct of governmental operations will always occupy first rank, Xo amount of care in determining how a government shall be organized for the performance of its work, the manner in which the funds necessary for its support shall be raised and expended, and the particular practices and procedure that shall be employed in carrying on its activities, will give even a measurable approach to efficiency in the actual administration of public affiairs unless a technically competent and loyal personnel can be secured and retained in the service and a system devised whereby this personnel may be effiectively directed and controlled.

In view of the importance of the subject it is little short of remarkable the slight attention that this problem has received as a problem. There is in existence a large body of literature dealing with what is known as civil serA-ice reform. This literature, however, scarcely touches more than one or two phases of the problem of personnel administration as a whole. Primarily it is concerned with the two related questions of entrance into the government service and the legal status, from the standpoint of tenure of office, of employees after entrance. Even in respect of these matters the interest of promoters of reform has been primarily in securing what may be termed political, as distinguished from administrative, reform. They have sought to purify our political life by the abolition of the spoils system and the prevention of undue partisan activities on the part of public employees. Only in comparativelv recent years have persons either inside or outside of the govern-

Vlll

PREFACE ment begun to concern themselves with other phases of personnel administration.

As soon as studies of this latter character began to be attempted it was at once seen that the personnel problem was an exceedingly complicated and difficult one. It involved such elements as the determination of the positions to be filled and the qualifications required of their incumbents; the classification of these positions to the end that appropriate rates of compensation might be fixed and the line of advancement clearly indicated; the fixing of the tenure of office; the determination of the method of recruitment of new employees and the machinery and methods to be employed in securing such employees; the adoption of systems for testing efficiency and of rules to govern promotions, transfers, demotions and separations from the service; and the provision of a retirement system that will take care of the financial needs of those employees who are dropped from the rolls on account of incapacity resulting from old age or disabilities acquired while in the service.

All of these represent factors that must be studied, and studied with great care, if a proper personnel system is to be secured. The present volume attempts such a study of this problem as it confronts the national government. No such work has ever been attempted before. It is at once descriptive, critical and constructive. It seeks to make known in detail existing conditions regarding each phase of the federal personnel system, to point out wherein these conditions are satisfactory or the reverse and the lines along which changes should be made to bring about better conditions. The only personnel topic not handled is that of the provision made for the retirement of civil employees. Important as this subject is, consideration of it was omitted partly on account of its special character and partly due to limitations of space. The Institute moreover has already prepared a volume dealing with the principles governing the retirement of public employees, and it hopes before long to publish one dealing spe-

PREFACE ix

cially with the civil service retirement system of the national government.

The publication of this work is especially timely due to the fact that the national government now has under way an ambitious plan to reorganize thoroughly its present personnel system on the basis of the recommendations of its Congressional Joint Commission on Reclassification of Salaries that reported on March 12, 1920. Throughout this work these recommendations are passed in review and their merits commented upon.

The author of the present volume, Mr. Lewis Mayers, is exceptionally qualified for his task. He took his doctor's degree in political science at Columbia University in 19 14. For three years he was with the Civil Service Commission of New York City, first as examiner, and later as chief of the Bureau of Service and Efficiency Records, positions which brought him into immediate contact with the practical problems of personnel administration. While serving on the staff of the Institute for Government Research his work was almost wholly in this field of public administration. Owing to the fact that Mr. Mayers left the Institute before his volume was put through the press, certain changes have been made in the manuscript as submitted by him for which he is not responsible. This is especially true of Chapter VII.

W. F. WiLLOUGHBY.

Contents

CHAPTER PAGE

I. Introductory i

Size of the Executive Civil Service 2

Part I. The Elimination Of Politics From The Executive Civil Service

II. Introductory 19

Dual Character of the Federal Personnel Problem 19

Elimination of the Political Factor in Selection the First Essential

to an Efficient Personnel System 20

Means of Elimination of the Political Factor 24

III. The Law and Tradition of Selection and Tenure ... 26

The Civil Service Reform Movement 26

Types of Systems of Formal Selection 26

The System of Pass Examinations 27

The System of 'Competitive Examinations : Selected Applicants 28

The System of Competitive Examinations : Open to All .... 28

The Appointing Power 29

Presidential Positions 32

Power of Congress to Control the Discretion of the President in

Respect to Appointments 38

Non-Presidential Positions 40

Early Legislation Regarding Methods of Selection 41

The Law of 1871 43

The Civil Service Ac^ of 1883 44

The Civil Service Rules and Orders 54

The "Classified" Service S6

Non-Competitive Positions 57

Positions Excepted by the Rules and Orders 60

Positions Excepted by Statute 64

Exception of Designated Individuals 68

Laborers 73

Strict Construction of Exceptions from Formal Methods of

Selection 74

Statistics of Employees According to Method of Selection Status 80

Tradition in Selection 81

Term of Office 84

Protection against Removal for Political Reasons . . , . . 89 xii CONTENTS

PAGE

CHAPTER ^

IV. The Extension of Formal Systems of Selection .... 90 Heads of Departments and Independent Establishments ... 96

Assistant Secretaries and Analogous Officers 98

Heads of Bureaus and Services 99

Other Superior Personnel at Washington no

Solicitors of the Departments iio

Auditors of the Departments m

Chief Examiner of the Civil Service Commission m

Smithsonian Institution and National Home for Disabled

Volunteer Soldiers ^^3

Subordinate Personnel at Washington Ii3

Legal Employees • .114

Employees of Certain Boards and Commissions 116

Private Secretaries and Confidential Clerks ii7

Field Service: Chief Officers 120

General Conditions 121

The Four- Year Term : Its History and Disadvantages ... 123

Action Required to Put Field Services on Merit Basis . . . 124

Movement for Placing Postal Service on Merit Basis ... 126

Chief National Bank Examiners 132

Field Service: Subordinate Personnel I33

Deputy Collectors of Internal Revenue and Deputy Marshals . 133

Field Employees : Federal Farm Loan Board I37

Postal Employees : Star Routes and Third and Fourth Class

Post Offices 137

Laborers 138

Foreign Service 139

Conclusion 142

V. The Elimination of Political Interference Inside the Service 144

The Congressman and Political Interference 14S

Direct Prohibition of Outside Intervention in Personnel Matters 148

Location of Legal Power in Personnel Matters 151

Politics and Salary Increases 153

Political Pressure upon Employees by Superior Officers . . . 154

Prohibition of Forced Campaign Contributions I5S

Prohibition of Forced Political Services 158

Prohibition of Coercion by Persons Outside the Service . . . 159

Restrictions on Voluntary Political Activity 160

Part II. The Problem Of Federal Personnel Administration

VI. Introduction 168

Special Factors in the Federal Personnel Problem 168

Th^ Aim and Scope of Personnel Administration 173

CONTENTS xiii

CHAPTER PAGE

Procedure in Developing a Proper Personnel System .... 174

The Problem of Personnel Control 176

The Need for Special Organization for Personnel Administration 177

VII. The Classification and Standardization of Positions and

Salaries 180

Legislative Determination of Positions and Salaries : The Statutory Roll 181

Administrative Determination of Positions and Salaries : The Sum

Appropriations 185

Lack of Inter-Departmental Uniformity in Titles and Compensation Rates 193

The Work of the Reclassification Commission 195

Working Organization of the Commission 196

Method of Determining Position Specifications 197

Scope and Character of Specifications 200

Primary Unit of Classification: The Class 200

Arrangement of Classes in Series and Services 202

Method of Determining Compensation Rates 203

Provision of Minimum and Maximum Rates 205

Legal Determination of Specifications and Rates 205

Installation of Classification 206

Current Administration and the Classification 207

Classification and Appropriation Technique 208

General Summary of Classification 213

VIII. Selection by Promotion from Within versus Recruitment

FROM Without 215

Case for Selection by Promotion from Within the Service . . 216

Existing Conditions : Positions in the Natural Line of Promotion 222

Public Health Service 223

Diplomatic Service 225

Consular Service 226

Coast and Geodetic Survey 227

Examining Force: Patent Office 228

Postal Service 228

War and Navy Departments 233

Civilian Engineers : War Department 234

Attitude of Civil Service Commission 236

Attitude of Reclassification Commission . 239

Central Control of Selection by Promotion from Within . . . 240 Existing Conditions : Positions not in the Natural Line of Promotion 246

Sub-clerical Position 249

Clerical Position 250

Stenographic Positions 250

Statistical, Accounting and Legal Positions 251 xiv CONTENTS

CHAPTER PAGE

Other Technical Positions .252

Selection from Within as Affected by Educational Standards at

Entrance 252

The British Personnel System 254

Applicability of British System to American Conditions ... 255

Provision of Educational Facilities 258

The Area of Selection from Within • 264

Attitude of Civil Service Commission 271

Attitude of Congress 274

Disadvantages of Existing Restrictions upon Transfers . . . 275

Attitude of Reclassification Commission 284

Absence of Means for Locating Eligibles for Transfer . . . 286 Advantages of Recruiting Personnel at Washington from the

Field Services 287

Technical Obstacles to Selection from Within 292

IX. Methods of Selection from Within : Reassignment and Pro-

motion 298

Promotion and Reassignment Distinguished from Increase of

Compensation 298

Reassignment versus Promotion 299

Reassignment Involving No Change of Compensation or Grade . 300

Reassignment Involving Increase of Compensation 303

The Case for Formal Promotion Methods 303

Existing Promotion Methods Z*^

Central Restrictions 307

Departmental Restrictions 310

Political and Other Improper Influences in Selection for Promotion 312

The Technical Problem of Formal Promotion Methods .... 317

Types of Formal Methods of Promotion 318

Seniority 318

Efficiency Record 321

Competitive Examination . 332

Combination of Efficiency Records, Competitive Examinations

and Seniority 337

General Summary of Formal Promotion Methods 338

X. Recruit Methods : Some Basic Aspects 345

Emphasis upon Education 345

Requirement of Specialized Knowledge and Experience .... 347

Training for Entrance 351

Maximum Age Limits 353

Recruitment of Women 355

Basic Questions of Practical Procedure 357

Fully-Assembled, Local-Assembled and Non-Assembled Examinations 358

Oral, Written and Manual Tests 361

CONTENTS XV

CHAPTER PAGE

Experience Tests 364

Education Tests 367

Technical Capacity Tests 369

Psychological Tests 372

Personality Tests 376

XI. Recruitment Methods: The Classified Competitive Service 378

Legal Basis 379

Area of Competition 380

Examining and Recruiting Organization 385

Places of Holding Examinations 386

Ordering of Examinations 387

Advertising and Inviting Applications 389

Safeguarding the Integrity of Examinations 392

Examination of Fourth Class Postmasters and Rural Carriers , . 398

Speed of Production of Eligible Registers 404

Appeals for Re-rating 406

Military Preference 406

Certification for Apportioned Positions 413

Restriction of Certification of Members of Same Family . . . 428

The "Three Name" Certification Rule 429

Discretion in Fixing Entrance Compensation Rates 440

Publicity of Eligible Registers 441

Probationary Period /]/]/{

Efficiency of the Competitive Examination System' 446

XII. Recruitment Methods : The Unclassified Service .... 454

Presidential Postmasters . 454

Laborers 465

Consular Service 471

Diplomatic Service 476

Public Health Service Medical Officers 478

XIII. The Maintenance of Individual Efficiency 480

Records as a Means of Promoting Individual Efficiency . . . 481

Piece Work as a Means of Promoting Individual Efficiency . . 482 Periodic Salary Increases as a Means of Promoting Individual

Efficiency 482

Recommendation of the Reclassification Commission Regarding

Salary Increases 490

Liability to Demotion and Dismissal as a Means of Promoting

Individual Efficiency 492

Existing Law and Regulations Regarding Dismissals .... 495 Possible Machinery for Controlling Exercise of Power of Dismissal 501

Power to Suspend as a Means of Promoting Individual Efficiency 507

Other Factors for Promoting Individual Efficiency 508 xvi CONTENTS

PAGE CHAPTER

General Attractiveness of the Public Service 5o»

Security Sio

The Merit System SIO

Opportunity for Advancement SH

XIV. Working Conditions 5i8

Hours of Labor Si8

Overtime Work • • • SIQ

Leave Privileges • 52i

Physical Environment, Medical Services, etc S^S

XV. Organization for Personnel Administration 529

Analysis of the Problem 529

Organization for Recruitment 530

The Problem of the Examining Personnel 53i

Organization for Internal Administration 536

Organization for Classification of Positions and Salaries ... 536

Organization for Determination of Physical Work Conditions . . 537

Organization for Elimination of Political Considerations ... 537

Dual Character of the Problem of Central Administration . . 538

Departmental Organization 543

XVI. Employees Organizations and Committees 544

Existing Employees Organizations 545

Legislative Activities of Employees Organizations 546

Right of Employees Organization to Affiliate with Outside Organizations 556

Right of Employees Organizations to Strike 558

General Conclusions Regarding Place of Employees Organizations

in a Government Personnel System 559

Employees Committees 561

Existing Machinery for Employees Representation 562

Attitude of Reclassification Commission in Respect to Employees

Representation 564

Machinery for Conference in the British Service 566

Composition of Employees Committees 569

The Function of Employees Committees 570

Employees Organizations as Representatives of Employees before

Management 571

Index S9S