Attachment C4 -Behavioral Checklists

Form Approved

OMB # ________

Expires ________

Attachment C4 – Phase C, Behavioral Checklists

Communication

While observing an individual communicate with someone else:

1) Did the communications occur with an external entity ___, a member of a different organizational unit ___, or a member of the same organizational unit ___?

2) If the communication occurred with an external entity, was the entity another member of the company (outside the immediate facility) ___, a regulatory agent ___, a labor union representative ___, or a member of the public ___? N/A ___

3) Was the communication between individuals at the same level within the organization ___ or at different levels ___? N/A ___

4) If the communication was between two individuals at different levels within the organization, was it initiated by the lower level ___ or upper level ____ person?

N/A ___

5) Was the communication formal ___ or informal ____?

6) Was the mode of communication face to face ___, telephone ___, electronic ___, or written ___?

7) Was the communication obviously strained ___, obviously pleasant ___, or was there no apparent affect ___?

8) Was the communication related to a safety issue ___, regulatory requirement(s) ___, production issue ___, personal conflict ___, or other ___?

9) If a conflict was brought up in the course of the communication, was it resolved?

Yes ___ No ___ N/A ___

10) Was the communication in reaction to some event ___ or not ___?

11) Did the communication include discussion of ways to improve the facility's operation?

Yes ___ No ___

Coordination of Work

When observing actual ongoing work or observing a work planning session:

1) If a change in personnel occurred (e.g., shift change) in the course of ongoing work, did the different individuals give/receive a status report? Yes ___ No ___ N/A ___

Did any overlap occur among personnel? Yes ___ No ___ N/A ___

2) Were contractor personnel involved in conducting the work kept appraised of the work in progress (e.g., any problems that arose, any changes in action or schedule) and/or did they participate (e.g., are their opinions and suggestions sought) in the daily planning associated with the work? Yes ___ No ___ N/A ___

3) Did the department managers of the different groups involved in the work keep each other appraised of the work in progress? Yes ___ No ___ N/A ___

Did these managers in turn keep their employees appraised of the actions of the personnel from other departments? Yes ___ No ___ N/A ___

4) If someone was busy with their own jobs, did they watch what other unit members were doing and offer assistance when it was needed? Yes ___ No ___ N/A ___

5) Did the employees performing the work plan together and coordinate their efforts?

Yes ___ No ___ N/A ___

6) If a significant problem or change in work schedule came up in the course of planning or performing work, was the facility manager contacted? Yes ___ No ___ N/A ___

Decision-making

While observing a decision-making process,

(1) was the setting formal ___ or informal ___?

(2) did the process involve multiple hierarchical levels ___ or a single hierarchical level ___?

(3) Did the decision revolve around technical ___ or policy ____ issues?

(4) Were alternatives generated ___ or not ___?

(5) Was resolution reached ___ or not ___?

If resolution was reached, was it a consensus seeking process ____ or was it a top-down process ___?

If resolution was not reached, was it decided to push the decision up the hierarchical chain ___ or not ___?

(6) If the decision concerned policies, rules, and goals, did managers consult immediate subordinates? yes ___ no ___ N/A ___

(7) If the decision concerned staffing, did managers consult with immediate subordinates?

yes ___ no ___ N/A ___

(8) If the decision concerned work-related matters, were superiors consulted? yes ___ no ___ N/A ___

(9) If observing during planned intensive activities (e.g., preventive maintenance or replacement of machinery parts, longwall moves), were individuals allowed to make decisions without the approval of immediate superiors? yes ___ no ___ N/A ___

(10) When making a decision, are decision support systems utilized? yes ___ no ___

(11) When making a decision that is based upon available information, is the input of others sought? yes ___ no ___ N/A ___

Formalization

While observing an activity for which formal procedures exist:

1) Were procedures used in performance of the activity? Yes ___ No ___

2) If procedures were used, were they conveniently located and easily accessible? Yes ___ No ___

3) Was verbatim compliance with the procedures achieved? Yes ___ No ___

4) If verbatim compliance with the procedures was not achieved, was a formal process followed to obtain formal sanctioning of the procedural circumvention? Yes ___

No ___

5) If verbatim procedural compliance was not achieved, was it because the procedures were not well understood or understandable? Yes ___ No ___

6) If verbatim procedural compliance was not achieved, was it because the activities described by the procedure could not be performed given the available conditions (e.g., time constraints, available personnel resources)? Yes ___ No ___

Goal Setting/Prioritization

When observing a planning or prioritization session:

1) Was the purpose of the work discussed? Yes ___ No ___

2) Was the relevance of the work discussed? Yes ___ No ___

3) Was the defined work prioritized? Yes ___ No ___

4) Was the work set and prioritized with input from the affected organizational units?

Yes ___ No ___

5) Was the work set with input from many organizational levels ___ or by upper-level management alone ___?

6) Were any target levels attached to the work? Yes ___ No ___

7) Was any formal methodology utilized to set priorities on the work? Yes ___ No ___

8) If the work was being set on a department level, was there any indication that overall organizational goals were being factored in? Yes ___ No ___ N/A ___

9) If the work was being set on an organizational level, was there any indication that corporate goals were being factored in? Yes ___ No ___ N/A ___

10) Was there overall agreement between the individuals setting the work on what the goals and priorities should be? Yes ___ No ___

11) Was there any indication that the goals of different departments were in conflict?

Yes ___ No ___

Performance Evaluation

While observing ongoing work activities:

1) Are the personnel performing the activities given specific job criteria that define organizational expectations prior to beginning the work? Yes ___ No ___

2) Do personnel performing the activities have performance feedback available so that timely performance correction can be achieved as necessary? Yes ___ No ___

3) Is the performance feedback available through facility indicators ___, verbal communication ___, or performance evaluation reports generated at a later date ___?

4) How do the personnel obtain the feedback? Automatically provided ___, performer must actively search environment to obtain ___

5) Is performance feedback available only to select individuals involved in the work activities ___, only to the group of individuals as a whole involved in the work ___ activities, or individually to all involved in the work activities ___?

Personnel Selection

While observing ongoing work activities:

1) If deviation from originally planned activities is necessary, did the personnel selected to perform the activities have the appropriate level of accountability and responsibility to make and approve the deviation? Yes ___ No ___

2) Did the personnel selected to perform the activities collectively have the required knowledges, skills, and abilities to successfully perform those activities? Yes ___

No ___

3) If in the course of performing the work activities, it is determine that additional expertise is necessary to successfully complete the work, are individuals with the required expertise made immediately available? Yes ___ No ___

4) If the work is being performed by a crew of individuals, does an obvious structure to the group exist such that there is a clearly identified group leader and specified roles and responsibilities for each of the other group members? Yes ___ No ___

5) Were the personnel selected to perform the activities familiar with the task requirements ___ or was there obvious uncertainty regarding tasks to be performed ___?

Problem Identification and Resolution

1) When a problem is identified, is there any evidence of a formal system through which employees can report potential problems? Yes ___ No ___ Is this system used? Yes ___

No ___ N/A ___ Does the system appear to be effective? Yes ___ No ___ N/A ___

2) When an employee is observed to report a potential problem, do they report it to their immediate supervisor ___, the supervisor in charge of the functional area the problem occurred in ___, or a safety manager ___? Does the supervisor make any reference to a future meeting in order to give feedback on how the input was addressed? Yes ___

No ___

3) Are information notices, vendor notices, and other types of current information bulletins circulated to affected personnel? Yes ___ No ___ Are they placed in prominent areas such as bulletin boards, entryways, employee locker rooms? Yes ___ No ___ Are any employees observed to be reading such notices? Yes ___ No ___

4) Are any committees in existence which are chartered to identify potential problems prior to their arising? Yes ___ No ___

Time Urgency

When observing ongoing work activities or a pre-job briefing is there evidence of the following:

1) Are there obvious time pressures for work completion? Yes ___ No ___

2) If time pressures exist for work completion do they appear reasonable given the activities to be performed? Yes ___ No ___

3) If time pressures for work completion exist, is there evidence that those pressures compromised the quality of the work performed in any way? Yes ___ No ___

4) Are the time constraints for work completion clearly communicated to all individuals involved in the activity? Yes ___ No ___

5) What is the reason for the time constraints associated with the work activity? Safety concerns ___, Limited personnel resources ___, Other scheduled work activities ___, Pressure to get coal running ___, or Other/Unknown ___

Training

When observing a training activity (either classroom, laboratory, or on-the-job)

1) Is the training being presented initial ___ or continuing ___ training?

2) Is the training being presented in a manner that is conducive to learning and retention? Yes ___ No ___

3) Is the training a result of an event or incident that occurred in the facility due to a personnel performance problem? Yes ___ No ___

4) Do the trainees appear hesitant to ask questions or clarify information? Yes ___ No ___

5) Are the trainees given an opportunity to provide feedback about the training? Yes ___ No ___

6) Are the trainees evaluated prior to the completion of the training? Yes ___ No ___

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