1. Compliance Checklist & Event Documentation
The observer’s role in compliance monitoring is to observe, inform and document. The observer’s course of action depends on the type of suspected violation and circumstances under which it occurred as well as the actions and demeanor of vessel personnel. Gathering facts and documenting a suspected violation in the observer logbook should be done as part of your routine duties. Remember, you are not on board to enforce any laws but if you witness a possible violation, you are expected to document the activities you observe.

2. Objectives
Describe 5 potential issues that could be documented on the Compliance checklist
Demonstrate your ability to describe an event
By the end of this talk you will be able to…
Describe 5 potential issues that could be documented using the Compliance Checklist
Demonstrate your ability to describe an event

3. Compliance Checklist Standard form in the Observer Logbook
Complete after your trip
Series of Yes/No questions to summarize issues you encountered
Refer to additional documentation as necessary
The compliance checklist is a standard form in the Observer Logbook
It should be completed after your trip
It consists of a series of Yes/No questions to summarize issues you encountered
Refer to additional documentation as necessary

4. Compliance Checklist
Highlight a few items relevant to the country where training is occurring.

5. Compliance Checklist
If you answered “Yes” to any of the questions, provide more detail in the spaces at the bottom. You can briefly summarize the event(s) and refer to pages in your daily notes if more detail is written there.

6. Documentation – manual 17.2.3
Any time there’s an event that seems noteworthy (ie violations)
Who
What
When
Where
Why
How
Make notes any time there’s an event that seems noteworthy (ie violations)
Include the answers to the Who, What, When, Where, Why and How?

7. Documentation
Who: Identify the vessel by name, permit number and vessel type.
Identify the individuals and witnesses involved by first and last name, position on the vessel and function/duties. Utilize the crew list compiled for the Trip Summary Form.
Identify who was notified and the nature of their reaction.

8. Documentation
What: Describe the event(s) and circumstances in narrative form.
Include what made you suspicious.
Detail what was discovered when you looked into the matter
Describe what occurred (or didn’t occur) as a result of your discussions with the captain and crew.
Use direct quotes whenever possible.
Record each instance of a suspected violation

9. Documentation
When: Identify the exact or approximate time of the suspected violation (i.e., time and date). Include the haul or delivery number if appropriate.
Where: Record the vessel’s position (latitude/longitude) or the plant location at the time of the suspected violation. Describe where on the vessel the suspected violation occurred. Draw a diagram if applicable.

10. Documentation
Why: Attempt to determine why the suspected violation occurred. Include your own observations and conversations with the crew members that substantiate why the violation may have occurred. Be as objective as possible and cite factors which may provide mitigating or aggravating information.

11. Documentation
How: describe the effect the possible violation had on your ability to perform your observer duties. If harassment or intimidation is involved, describe how these actions made you feel.

12. Example? Who What When Where Why How
Take out a piece of scratch paper. I’m going to read you a scenario and you need to record who, what, when, where, why & how…
Scenario
You are on the fishing vessel “Three Colors”. During the retrieval of haul 17 on 18 November 2011 you notice a very large shark stuck in the TED. At approximately 1300, the crew cuts an opening in the net in front of the TED to remove the shark which you identify as a common guitarfish (Rai-guitare commune) that was approximately 1.2 meters in length. The bosun proceeds to cut off the dorsal fins and top of the tail and puts them in a carton to sell. You don’t think much of it at the time but later you realize that shark finning is not allowed so you mention it to the captain. The time is ~ He appears genuinely surprised and says he didn’t realize this was happening. He also said he would discuss the situation with the bosun later.

13. Summary
What are the potential issues that could be documented on the Compliance checklist?