the transcript of the hearing and of the findings of the Committee. The hearing normally will be transcribed verbatim.

b. The Committee will consider requests for witnesses. Smithsonian employees named as witnesses by the Committee will appear whenever practicable, and be considered to be in a duty status while participating as witnesses. If otherwise in an active duty status, the employee will be given official time to present his case at the formal hearing, and will also be allowed official time (when requested and needed) not to exceed 8 hours, for the preparation of his case. The same rules governing official time off shall also apply to a fellow employee chosen by the appellant to serve as a personal representative. The employee, his representative, and all witnesses appearing will be assured freedom from restraint, interference, coercion, discrimination, or reprisal.

c. Hearings will be informal in nature and will be conducted so as to bring out pertinent facts, including the production of pertinent records. Court procedures will not be strictly followed. However, testimony will be taken under oath and the Committee will insure that evidence presented is pertinent to the issue.

d. The Chief, Employee Relations and Training Section, will serve as advisor to the Committee, and will resolve questions as to procedure and applicable regulations. He will also serve as the Hearing Recorder and will be responsible for arranging for the transcript of the hearing. He will assure that all pertinent records and evidence submitted to the committee are included in the record, and that all members of the committee sign the hearing record and the findings of fact. He will further assure that a copy of the hearing and of the committee's findings of fact are furnished the employee and his representative.

e. The Committee will forward the entire case file to the Secretary (in a grievance case) or to the head of the bureau, office, or service division concerned (in the case of a hearing on a proposed adverse action). The case file will include the hearing transcript, all other records admitted in evidence during the hearing, and the findings of fact of the committee. Normally, not more than 15 calendar days should be required for the committee to complete all aspects of the hearing and to forward its findings to the appropriate official for decision. f. When the findings of the committee are unanimous it must be so noted. Where unanimity is not possible with respect to the findings both a majority and a minority report will be included in the record for consideration by the Secretary. MERIT PROMOTION PROGRAM

GUARD FORCE MERIT PROMOTION PROCEDURES

The Guard Force has its own specific promotion plan which follows the requirements set forth in the SI Merit Promotion Policy.

Guards initially enter the Force after qualifying on the Civil Service Commission examination for Guards, Announcement WAW-820 (Local). The examination is open only to veterans. Promotion to GS-4, as stated above, is automatic after 90 days at the GS-3 level. To qualify for promotion to GS-5 and above, the individual must have served at least 6 months at the next lower level or one year at the second lower level.

Promotional opportunities for the GS-5 are announced every six months. Oppor tunities for GS-6, GS-7, and GS-9 are announced as vacancies arise.

We do not require Guards at GS-4 to apply for promotion to GS-5. Rather, all GS-4 Guards who meet the basic eligibility requirement (time-in-grade) are automatically considered and rated for promotion. Every six months, Guards who meet the basic eligibility requirement are rated for promotion. Evaluation factors are:

1. Supervisory rating of potential. Each eligible Guard is rated by his immediate supervisor on the following factors: dependability, resourcefulness, cooperation, accuracy, knowledge of Guard procedures, contact with the public, courage and mental stability, physical stamina, supervisory potential, and maintenance.

The supervisory rating is reviewed by the second-level supervisor. 2. Smithsonian awards received.

3. Experience.

4. Education (credit for high school education only).

Attachment 1

A "promotion panel," composed of one member from the Office of Personnel and Management Resources, two representatives of the Protection Division, and one representative of Local 2463, AFGE, determine the rating schedule and how many points are to be allowed for each factor. Once all eligible guards have been rated, they are placed in order of final score and this determines the "best qualified list" from which promotions are made. The ranking is used for filling all vacancies for six months. For the first vacancy, the Office of Personnel and Management Resources certifies five names from the best qualified list to the Protection Division from which one individual is selected for promotion. Should there be more than one vacancy to be filled at one time, two additional names are certified for each additional vacancy. All promotion selections are reviewed by the Equal Opportunity Officer before they may be effected.

Guards who wish to be considered for promotion to GS-6 and above must apply. The procedures are the same for promotion to GS-6 and above as they are to GS-5, but the factors on the Supervisory Estimate of Potential are different. For GS-6 and above, they are: leadership, integrity, communication abilities, dependability, personal attributes, accuracy, public relations skills, planning ability, cooperation, initiative and creativity, development outlook, and knowledge and competence in security practices and procedures, counseling, report preparation, and administrative duties.

Mr. THOMPSON. Our next witness is Mr. Leonard B. Pouliot, Director, Office of Personnel Management Resources, Smithsonian Institution.

STATEMENT OF LEONARD B. POULIOT, DIRECTOR OF PERSONNEL AND MANAGEMENT RESOURCES, SMITHSONIAN INSTITUTION; ACCOMPANIED BY JAMES BRADLEY, UNDER SECRETARY; CARL E. GRANT, ASSISTANT DIRECTOR, PERSONNEL RESOURCE MANAGEMENT; AND VINCENT J. DOYLE, ASSISTANT DIRECTOR FOR ORGANIZATION MANAGEMENT AND MANPOWER, SMITHSONIAN INSTITUTION

Mr. POULIOT. Mr. Chairman, I would request that for all of the allegations made this afternoon concerning personnel that go into the record, the Smithsonian Institution be given the opportunity to provide factual evidence for each and every case and for every witness. (Material referred to precedes testimony.)

Mr. THOMPSON. We would appreciate it, too.

I also would like to know and learn something about your hiring practices and your promotion practices.

Obviously, I am not in a position to judge the substance of any complaints, although I certainly do feel a person has a right to complain. I am sure that when I say to those who have testified that they certainly needn't be afraid for having said what they did, whether they are right or wrong, and that there wouldn't be any punitive action taken, that that is an accurate statement.

Mr. POULIOT. Certainly, I am always concerned with any dissatisfaction expressed by employees and assure you that we do look into every particular case. No employee need have any fear of reprisal for having testified before the subcommittee.

Mr. THOMPSON. Let me ask you about something that occurs to me right away.

You heard from the gentleman who says he is a sheetmetal worker. He started studying his trade in 1941 and has worked at it ever since. There have been promotional opportunities within that shop available in at least three instances. And outside persons have been called to fill them.

How does that come about and why?

Mr. POULIOT. I cannot speak to this specific case. I didn't know there was going to be testimony on this. I will be happy to provide a reply. However, regarding promotions-all of our vacant positions are posted and announced to all employees. This is about every 2 weeks. We send out a bulletin called "Recruiting For." It lists every position available in the Institution. In addition, we distribute a copy to all employees.

Mr. THOMPSON. Almost the last sentence of the last witness said that there were no such positions or frequently were no such positions. Mr. POULIOT. We will provide these vacancy postings for the record, Mr. Chairman.

This is the July 8, 1970, announcement. It is placed on all bulletin boards in all of our buildings. Each building manager receives a copy for posting.

We do receive, of course, requests from every employee who thinks, first of all, that he is qualified. Our selections, of course, are all made by supervisors. That is the process.

Mr. THOMPSON. You don't have a promotional system?

Mr. POULIOT. Yes, sir. We have a basic qualifications requirement, established by the Civil Service Commission, for every position plus experience and performance. For certain positions there are written tests. For many, there are not. It is based upon the experience and education.

Mr. THOMPSON. Is your practice with respect to promotional opportunities the same as exists elsewhere throughout the Civil Service system?

Mr. POULIOT. Yes, sir.

Mr. THOMPSON. Exactly the same?

Mr. POULIOT. We follow all of the Civil Service Commission's rules and regulations. I do not know how other agencies accomplish their promotion programs; however, they are required to comply with civil service policies, rules, and regulations.

Mr. THOMPSON. Have you studied other agencies' policies?

Mr. POULIOT. Yes, sir. I have experience in four other agencies. I would submit that our promotion system is fair and equitable for all employees. I submit our promotion policy for the record.

(The material referred to follows:)

To: All Federal Employees.

SMITHSONIAN INSTITUTION,

June 27, 1969.

Subject: Smithsonian Institution Merit Promotion Program Guidelines.

The Civil Service Commission recently issued a new Federal Merit Promotion Policy to strengthen promotion programs throughout the competitive service. An additional obiective of the new policy is to increase employee confidence in the promotion program by eliminating some aspects that were causing employee dissatisfaction.

The Smithsonian Institution's new Merit Promotion Program Guidelines, enclosed, are effective July 1, 1969. These Guidelines fully conform with the Federal Personnel Manual Chapter 335 and provide internal instructions and procedures. Following is a summary of the major changes in the Program:

MINIMUM AREA OF CONSIDERATION

As defined by the policy. the minimum area of consideration generally is the Washington, D.C. commuting area.

For positions at GS-11 and below, or the equivalent (Wage Grade), the area of consideration is Washington, D.C.

For positions GS-12 and above, or the equivalent (Wage Grade), the area of consideration is the entire Smithsonian Institution.

When there are fewer than three highly qualified candidates available in the minimum area of consideration, generally the area will be extended. .. Voluntary applications from employees outside the minimum area of consideration will be accepted.

METHOD OF LOCATING CANDIDATES

Referrals of employees by supervisors is one method of locating candidates. Supervisors, however, may not preselect candidates for promotion, nor make a name request, except for career promotions.

DETERMINING BASIC ELIGIBILITY

Minimum qualification standards are the standards prescribed by the U.S. Civil Service Commission.

...

A written test may not be given unless it is required by the Commission. All candidates who meet the minimum qualification standards are considered basically eligible for promotion.

EVALUATING CANDIDATES TO IDENTIFY THE BEST QUALIFIED

In addition to the minimum qualification standards, other position-related requirements will be used to distinguish between candidates who are basically qualified and those who are best qualified.

Employees may review supervisory appraisals of their past performances when the appraisals are used in a promotion action.

... Employees may not review Supervisory Appraisals of their potential. Length of service and length of experience may be used as evaluation criteria only when clearly related to quality of performance.

RANKING AND SELECTION

If highly qualified candidates cannot be identified within the Smithsonian Institution, they should be sought from outside before Smithsonian Institution employees are certified to the selecting official.

SUPERVISORY POSITIONS

Successful candidates for first-level supervisory positions must attend a comprehensive training course in supervisory responsibilities and practices within six months after selection for promotion.

TEMPORARY SERVICE AT A HIGHER GRADE

Supervisors should detail an employee to perform the work of a higher grade level only when there are compelling reasons. Except for brief periods, an employee normally should be given a temporary promotion when he has to perform at a higher grade level for a temporary period.

When an employee is given a temporary promotion for more than 120 days, the competitive procedures of these new guidelines must be used.

When a detail is used rather than a temporary promotion to assign an employee to a higher grade position or to a position with known promotion potential, the competitive procedures also must be used if the detail lasts longer than 60 days.

S. DILLON RIPLEY, Secretary.

Retention: Permanent. Cancellation: This memorandum supersedes SI Manual Section 460 which should be destroyed.

SMITHSONIAN INSTITUTION MERIT PROMOTION PROGRAM GUIDELINES

1. INTRODUCTION

a. This Program provides for Promotion Program Guidelines which cover policies and procedures governing promotion practices, establishes Merit Promotion Plans, and relates the Program to other personnel programs. The Merit

Promotion Plans are an integral part of the Program and are based on the policies and requirements of the Federal Merit Program Policy.

b. The Program is designed to assure that positions are filled by the best qualified candidates available and that Smithsonian employees have an opportunity to develop and advance to their full potential. To accomplish this the Program provides that:

(1) Selecting officials are informed, on a timely basis, of available highly qualified candidates.

(2) Employees are given an opportunity to receive fair and appropriate consideration for higher level positions.

(3) Employees are assured that their skills, abilities, and knowledge are used to the maximum within the Smithsonian.

(4) Employees are provided with appropriate incentives for their performance and for the development of their skills, knowledge, and abilities.

(5) Employees are offered attractive career opportunities.

2. COVERAGE

a. The Program covers promotions to all Federal positions in the competitive service. For the following groupings of employees and for other groupings as may be designated by both management and employees, detailed systems for promotion selection including tests, appraisal forms, other measurement devices, and evaluation methods and procedures will be developed :

(1) Supervisors, except guards and animal keepers.

(2) Positions covered by the Professional Accomplishments Evaluation Committee.

(3) Wage Grade and nonsupervisory Classification Act employees below GS-7. (4) Classification Act employees GS-7 and above.

(5) Guards and guard supervisors.

(6) Animal keepers and their supervisors.

3. GUIDELINES

a. Promotions will be made from among the best qualified candidates. First consideration wil be given to highly qualified Smithsonian employees. When the number of highly qualified employees is insufficient or, based on the uniqueness of the position, vacancies may be filled through concurrent consideration of persons outside the Smithsonian.

b. Promotions will be made without discrimination for any reason such as race, color, religion, sex, national origin, politics, marital status, physical handicap, age or membership or nonmembership in an employee organization. c. Selecting officials will discuss the candidate they propose to select for promotion with the Equal Employment Opportunity Officer before the Office of Personnel and Management Resources is requested to process an official promotion action.

d. Successful candidates for first-level supervisory positions will attend a comprehensive training course in supervisory responsibilities and practices within six months after selection for promotion.

e. Employees selected for promotion within the Smithsonian Institution normally shall be released from their positions within two weeks after selection. f. Employees are entitled to see upon their request, the Supervisory Appraisal(s) of past performance used for a current promotion opportunity. This entitlement does not extend to seeing supervisors' reports on potential.

g. Training given primarily to prepare employees for advancement and which is required for a specific promotion, will be given to employees selected by the procedures provided in the Merit Promotion Program.

4. PROMOTION PLANS AND PROCEDURES

a. Areas of Consideration

(1) For all Wage Grade (hourly compensated) positions and for vacancies at GS-11 and below, the area of consideration is limited initially to employees assigned in the commuting areas of the vacancy, i.e., Metropolitan Washington, D.C. or Cambridge, Massachusetts. When there are fewer than three highly qualified eligible candidates in these commuting areas, the area of consideration may be extended. Concurrent consideration of persons outside the Smithsonian Institution, but within the same commuting area is a logical extension.