The objective of the Dockside Monitoring Program (DMP) is to provide accurate, timely, and independent third party verification of landings. DMP constitutes one of the primary sources of landing information on which the management of the fisheries is based. The fishing industry and the Department are therefore dependent on the accurate verification of landings by Dockside Monitoring Companies (DMCs).

Companies wishing to seek designation as a dockside monitoring company must comply with and adhere to the requirements of the Fishery (General) Regulations (F(G)R), the DMP Quality System Standard and the Department of Fisheries and Oceans Dockside Monitoring Program Policy and Procedures manual. Parties interested in seeking designation can access the required DMP information package upon request to DFO.

The DMC's delivery of dockside monitoring services will be audited to ensure the accurate and timely verification of landings and the supply of monitoring documents to DFO. DFO has contracted the Canadian General Standards Board (CGSB) to audit the DMP quality system. Conservation and Protection has responsibility for conducting field checks.

To further ensure that consistent and unbiased DMP services are delivered, DFO Fishery Officers administer routine on-site field checks of the DMC's and Dockside Observers, who are employees of the DMCs, during random off-loadings of fishing vessels.

These Policies and Procedures set out requirements of DFO and dockside monitoring companies delivering the DMP in addition to the obligations of other stakeholders in the program.

These Policies and Procedures apply to the Quebec, Gulf, Maritimes, Pacific and Newfoundland Regions.

A1. REGULATORY REGIME

The current provisions of the Fishery (General) Regulations relating to dockside monitoring, and which establish the DMP requirements, are set out in Annex I.

B. ROLES AND RESPONSIBILITIES - DFO

Overall accountability for the DMP will reside with the Conservation and Protection (C&P) Division.
Establish an ongoing inter-regional working group chaired by the NHQ DMP coordinator, to meet annually at a minimum, to address/resolve DMP issues.
Each region to establish a DMP working group, made up of representatives from all DFO organizations, to address all DMP related issues in the region.
Each region to establish a DMP industry consultation committee to ensure issues are addressed on at least an annual basis, to provide an opportunity for all DMP industry stakeholders to be consulted on program changes, issues and concerns.
Regional Directors General may designate as an observer pursuant to subsection 39(1) F(G)R, individuals who have met the requirements outlined in Section H of this document, and may revoke these designations pursuant to subsection 39(6) F(G)R where required as outlined in Section I.
Regional Directors General may designate as an observer (Dockside Monitoring Company) pursuant to subsection 39.1(1) of the Fishery (General) Regulations, any corporation who has met the requirements as outlined in Section C of this document, and may revoke these designations pursuant to subsection 39.1(2) where required as outlined in Section D.
Amend DMP Policies and Procedures as required (following 90 days notice of proposed changes to the DMCs and consultations with DMCs if required).
Ensure DFO/DMP responsibilities are implemented in a consistent manner.
Ensure amended DMP Policy and Procedures are communicated to and implemented by staff.
DFO shall, when requested by the DMC, report on the current status of incident reports and field checks. However, no information shall be provided in relation to an investigation in progress.
DFO shall conduct field checks of Dockside Observers, have discussions with end-users of data and have periodic meetings with DMC administrative personnel to verify compliance with the DMP.
Review and approve in writing, the training programs developed by DMCs and assist in the training of observers as required.
Draft conditions of licence as required, to enhance compliance with DMP.
On an annual basis, update and distribute the list of government employees who will be available to act as DMP contacts to all stakeholders.
Maintain a liaison with CGSB regarding the Dockside Monitoring Program.
Ensure DFO regional offices develop and approve, in consultation with the DMCs, procedures and protocols that aid in the effective determination of the landed weight and species of fish offloaded from vessels (refer to regional annex where applicable).
To ensure consistency all DFO regional offices will notify NHQ of any new systems or modifications to existing systems/technology used in the DMP.
When Dockside Observers are subpoenaed to testify for the Crown, DFO shall reimburse the amount required for the most cost effective means of travel and accommodation. Meal allowance will be paid in accordance with TB guidelines. Determination of the most cost effective means of travel and accommodation will be made by the detachment subpoenaing the witness, and will be communicated to the Observer prior to authorizing travel. DFO will not pay for any loss of income incurred by the observer as a result of being subpoenaed to testify.

C. DOCKSIDE MONITORING COMPANY DESIGNATION AS AN OBSERVER

All DMCs must be designated as an observer and issued a certificate by DFO as set out in the Fishery (General) Regulations. The Regional Director General authorizes the designation. To be eligible for designation, DMCs must meet the requirements set out in subsection 39.1(1) of the Fishery (General) Regulations and also meet and comply with the following:

1. Business Plan

A DMC seeking designation shall at a minimum, include the following in the business plan:

Incorporation papers
Evidence of the corporation's financial viability, or a performance bond guaranteeing three months operation.
A company organization chart listing principals, officers, and employees including job descriptions and responsibilities;
An operational plan setting out operational procedures and equipment requirements that demonstrate the capacity to operate dockside monitoring services on a 24-hour basis;
A human resources plan, including résumés and experience of staff, that demonstrates the capacity and expertise to provide dockside monitoring services; and
A detailed training plan for dockside observers that will be delivered by the DMC or an independent training organization that meets the requirements of Section G. DFO will require amendments to the plan when changes to legislation or policy dictate new DMP requirements.
All officers and employees must have security clearance to the reliability level.
deleted

2. Arms-Length Requirements for DMC Designation

Arms length criteria ensure that there are no actual or perceived conflicts of interest between DMCs and fishing entities, which are being monitored. Upon initial designation and each renewal, DMCs must provide affidavits attesting that they meet the arms length criteria as outlined in Section L.

3. Quality Control Requirements for Designation

Subsection 39.1(1) grants Regional Director's General the authority to designate a corporation as an observer, if that corporation has submitted a business plan, a training plan, and a quality assurance (QA) system. This QA system must ensure the integrity of the information collected and compiled, and must identify a person responsible for the system and his or her duties. It must also describe the operating system, the manner in which the records are kept, the control points, the verification procedures and the process for correcting deficiencies in the system. The QA system must also maintain a record of system failures detailing the event and corrective actions taken.

To assist corporations in meeting this requirement, DFO has established a DMP Quality System Standard (QSS). The DMP QSS is derived from selected elements of the ISO 9002:1994 model for quality assurance in production, installation, and servicing. DMCs must develop and implement their own QA system, which complies with the DMP QSS. Compliance with this standard will enable DMC's to consistently provide timely, accurate and independent dockside monitoring services.

DFO has engaged the Canadian General Standards Board (CGSB) to assess DMC's QA systems for compliance with the DMP QSS. When a DMC's quality system complies with the QSS, the CGSB will issue a listing number and place the DMC on its listing program. To obtain and maintain designation, a DMC must maintain this listing. More information on acquiring a CGSB listing is outlined in Section C.4 below.

The DMP QSS is contained in CGSB's Listing Program for Dockside Monitoring Companies - Program Manual, and is available upon request from the CGSB.

4. Steps Required to Obtain and Maintain CGSB Quality Standard Listing

DMCs will describe how they comply with the DMP QSS in a Quality System Manual (QSM), which will be submitted to CGSB for approval. This QSM will contain detailed operating procedures covering all processes that affect quality.
CGSB will review the QSM of each DMC to determine if the quality systems, as described in the DMC Quality Manuals, are compliant with the DMP QS Standard. A CGSB quality auditor will conduct an on-site audit of each DMC's operations to verify that DMC employees are following the approved procedures as set out in the DMC Quality Manual.
Once the CGSB verifies the suitability of a DMC's QSM, and verifies compliance with the procedures therein, through an on-site audit, a DMC will be issued a listing number and placed on CGSB's program list. Such a listing means that a DMC meets DFO's quality requirements for DMC designation.
DMCs are required to regularly monitor the operation of their quality systems, through internal quality audits, and take the necessary corrective action to rectify deficiencies in the system. Follow up audits by CGSB may be required, at the expense of the DMC, where their performance indicates the DMC is either not adhering to the QSM or DFO Policy and Procedures.
CGSB will conduct periodic quality system audits of DMC quality systems to verify continued compliance. The Director of Enforcement Operations, NHQ in consultation with the CGSB, will determine when audits will be conducted. If continued compliance is not maintained, the DMC will be required to remedy the problem. The CGSB listing number could be suspended or revoked if a DMC fails to comply with CGSB program requirements. Losing the CGSB listing number will trigger the Dockside Monitoring Company designation revocation process, as per section D.
The CGSB has an appeal process in place to allow DMCs to appeal CGSB decisions to revoke listing numbers.
The quality system registration process is explained in detail in CGSB's Listing Program for Dockside Monitoring Companies - Program Manual, and is available upon request from the CGSB.
Potential new DMCs, seeking CBSB listing in order to be designated as an observer, must pay for the initial CGSB audit costs to the point where they are listed, as must DMCs that have lost their designation and seek renewed designation. With respect to ongoing CGSB audits for existing DMCs and newly designated DMCs, DFO will pay for periodic audits. Should a DMC require additional audits due to failure to maintain compliance with the DMP QS Standard, the subsequent audits required re-establishing and maintaining compliance will be paid for by the DMC.

5. Maintenance of Dockside Monitoring Companies' Designation

Ongoing Assessments of DMCs

DMCs will be required to maintain their designation. DMCs must be re-designated within 12 months of their initial designation, and again within 12 months of their second designation and, thereafter, every two years. Assessment and ongoing designation will be based on fulfilling the requirements set out in the regulations, and in particular:

Maintaining the quality standards for DMP through ongoing listing by the Canadian General Standards Board;
Meeting the arm's length requirements; and
Maintaining good financial standing.

Failure to meet these requirements could result in the initiation of the Guidelines for Revoking Designation of a Dockside Monitoring Company (Section D).

DFO officials shall recommend that the Regional Director General re-designate a Dockside Monitoring Company unless the Department can establish through an audit, or through ongoing documentation, that the company is unwilling or unable to comply with the requirements for designation, or to effectively carry out the responsibilities set out in Section E of this document.

D. GUIDELINES FOR REVOKING DESIGNATION OF A DOCKSIDE MONITORING COMPANY

1. Purpose

These Guidelines are to assist the Regional Director General in making decisions on revoking designations of DMCs where the DMC has not addressed a problem or problems identified by DFO or the Canadian General Standards Board (CGSB), as required under this policy or the Fishery (General) Regulations.

2. Scope

These guidelines apply to DMCs that have failed to perform their duties, falsified information transmitted in the course of its duties, failed to maintain financial viability or failed to maintain a performance bond as described in paragraph 39.1(1)(c) of the Fishery (General) Regulations.

3. Failure to Perform Duties

DEFINITION: Failure to:

Transmit to DFO, in a timely manner, the information collected and compiled as part of the Dockside Monitoring Program;
disclose all conflicts of interest or explain how these conflicts of interest are to be resolved;
resolve any conflicts of interest disclosed;
comply with any of the following:
- Its program submitted, for collecting and compiling information obtained from individual observers, submitted by the DMC to DFO,
- Its business plan, submitted by the DMC to DFO,
- Its plan for the training and supervision of individual observers, submitted by the DMC to DFO,
- Its quality system for ensuring the integrity of the information collected, compiled and submitted by the DMC to DFO.
  Note: The quality system referred to herein is the quality system required by the Canadian General Standards Board (CGSB). Suspension or revocation of a CGSB listing indicates non-compliance with the quality system.
failure to adhere to applicable regional annexes

4. Authority

The Regional Directors General of DFO have the regulatory authority to revoke the designation of a DMC if the RDG determines that the DMC has failed to perform its duties or has otherwise affected the credibility and integrity of the DMP as described in subsection 39.1(2) of the Fishery (General) Regulations.

5. Procedures

CGSB Listing suspended or revoked
1. If a DMC's CGSB listing has been suspended or revoked, the DFO/DMP Coordinator will advise the Director of C&P or alternate. A letter signed by the Director of C&P or alternate will be sent to the DMC stating that if an explanation, sufficient to satisfy DFO that the suspension or revocation will be reinstated in a timely fashion, is not received within a specified time (this time period must be reasonable - minimum of 30 days), a recommendation will be sent to the Regional Director General to revoke the designation of the DMC.
2. If no response is received from the DMC in the specified time, C&P will forward a recommendation to the Regional Director General requesting the revocation of that DMCs designation.
3. If a response is received from the DMC within the specified time, C&P will review the response. If the DMC provides an acceptable explanation, the Director of C&P or alternate may grant the DMC up to a total of 3 months to reinstate their CGSB Listing. If the DMCs explanation is not reasonable, or if their CGSB listing is not reinstated within the specified time, C&P will forward a recommendation to the Regional Director General requesting revocation of that DMC's designation.
Minor Breaches
For minor breaches on the part of a DMC, a fishery officer or DFO/DMP Coordinator may elect to point out the problem to the DMC and attempt to resolve the breach through remedial measures
Other Breaches - failure to perform duties:
1. If the attempts made in (a) above are unsuccessful and the problem has not been addressed by the DMC, or for failure to perform duties, the DFO/DMP Coordinator will advise the Director of C&P or alternate. A letter signed by the Director of C&P or alternate will be sent to the DMC outlining the problem and seeking an explanation and a proposed resolution to this problem. The letter should specify that a response is required within a specified time (this time period must be reasonable - minimum of 30 days). The letter should include sufficient detail to allow the DMC to respond adequately. It should specify that if a response is not received within the specified time, a recommendation will be sent to the Regional Director General to revoke the designation of the DMC. The letter may also specify that if the DMC fails to provide to DFO an explanation that is satisfactory to DFO or fails to propose a resolution that is in DFO's opinion adequate or timely, a recommendation will be sent to the Regional Director General to revoke the designation of the DMC.
When a letter referred to in (b) or (c) above is sent and no response is received from the DMC in the specified time, C&P will forward a recommendation to the Regional Director General requesting revocation of that DMC's designation.
If a response is received from the DMC, C&P will review the response, will determine whether there is a reasonable explanation for the failure to perform duties, whether it can be resolved through remedial action or if a recommendation for the revocation of the designation is warranted.
All recommendations for revocation of designation sent to the RDG will include a description of the problem and any representations and explanations.
In all cases where a letter referred to in (b) or (c) above is sent to the DMC, a follow up letter shall be sent to the DMC by the RDG advising the DMC of the RDG's decision regarding revocation of designation and setting out if necessary, remedial action that the DMC is required to take. If a DMC's designation is revoked, the DMC shall return their “Certificate of Designation” to DFO.
If a corporation, who has had their designation revoked, later re-applies and meets all the requirements for designation as a DMC, the corporation may be re-designated as a DMC at the discretion of the Regional Director General. The RDG will use the recommended revocation period specified in section 6 below as a guideline for minor, serious and major breaches.

6 Types of Breaches

The following are examples of the types of breaches that may be classified as minor, serious or major. The severity or flagrancy may result in a breach being classified at a higher or lower level category than noted, depending on circumstances.

The examples are to be used as a guideline only and are non-exhaustive.

Examples of Minor Breaches

Incorrectly recorded data sent to DFO
Documentation not submitted within required timeframe
Observer not dispatched when required
Observers not rotated as per policy
Training not provided as required or testing done unfairly
Refusal to provide hail information to DFO
Allowing persons not employed by the DMC to deploy observers
Refusal to forward incident reports to DFO
Failing to provide observers with tools they need as per section F.17
Any other action that impacts on the integrity of the DMP

Examples of Serious Breaches

Falsifying information
Failure to maintain CGSB listing
Failure to notify DFO when it is determined that DO is not at Arm's Length
Any other action that impacts on the integrity of the DMP
Failure to keep all offloading data confidential, as per Privacy Act.

Examples of Major Breaches

Repetition of minor or serious breach
Accepting bribes
Any other action that impacts on the integrity of the DMP

E. DOCKSIDE OBSERVER REQUIREMENTS

All individuals wishing to work as observers for DMCs must be designated and issued a certificate by DFO as set out in the Fishery (General) Regulations. The Regional Director General authorizes designation. To be eligible for designation as an observer, an individual must meet the requirements set out in paragraphs 39(1)(a), (b), and (c) of the Fishery (General) Regulations and must:

Have successfully completed high school or have equivalent knowledge. DFO will consider candidates with experience in the fishing industry requiring a similar skill set.
Be a Canadian citizen or have Permanent Residence status;
Consent to a personal screening and obtain an enhanced reliability clearance.
Have no serious convictions under the Criminal Code or any act or legislation administered by Fisheries and Oceans Canada. The severity of any convictions of fisheries legislation will be taken into account when considering designation.
Once designated, Observers must notify the employer of any convictions, or charges that have been laid against them, under the Criminal Code or any act or legislation administered by Fisheries and Oceans Canada.
Be in compliance with the Arm's Length Criteria described in Section L of this document.
Be physically fit and able to meet the physical requirements of the job including but not limited to climbing ladders and boarding fishing vessels.
Have successfully completed a DFO-approved DMP training program with a pass mark of 75% in each module.
Unless previously approved by DFO, an observer, once designated must conduct a minimum of 5 off-loadings per year to in order to maintain designation.
An observer who is alleged to have committed a serious or major breach must, immediately upon receipt of a letter from the Director of C&P or alternate (referred to in I.5.b) alleging this breach, cease to carry out observer duties.

F. DMC OPERATIONAL RESPONSIBILITIES

Ensure that sufficient office staff, designated Dockside Observers, equipment and infrastructure, are in place to meet the reasonable requirements of DFO, the monitoring of fish landings, and data collection and entry. DMC's must take into account the turnover rate in the program and the seasonal nature of the fishery to ensure sufficient trained personnel are available for deployment.
When a DMC conducts the training of personnel, an independent DFO-approved examiner shall administer a DFO-approved exam. The DMC and DFO shall liaise to identify approved examiners and to develop a minimum of 3 versions of an exam, containing information from the current training manual. Exams shall be maintained and controlled by the DMC unless otherwise specified herein.
The DMC shall develop, maintain and ensure all company staff are aware of their “Code of Conduct” as outlined in the company's Quality System Manual and will be held accountable for the actions of their staff.
A DMC shall ensure Observers maintain eligibility for the position. The DMC must notify DFO immediately of any change in the Observer's qualifications that could impact on eligibility of the position.
The DMC is responsible for the discipline of its employees that do not adhere to the Duties of a Dockside Observer in Section J. In disciplining its employees, the DMC must ensure the integrity of the Dockside Monitoring Program is maintained. The DMC will notify DFO as soon as possible of any failure by an Observer to fulfill these duties, detailing the corrective action that has been taken, and will also maintain a file detailing the situation and it's resolution. C&P will also report problems with observers to DMC's that are detected through field checks.
When hail-in or hail-out information is received by the DMC, unless other arrangements have been made with DFO, the DMC is to provide a confirmation number to the fisher, which must be recorded and maintained on individual fisher files.
Current hail report information on a particular landing/departure of a fisher shall be provided to DFO upon request. This information may be made accessible to DFO through an automated system where the technology is available.
Requests by DFO for in-year or previous-year hail-report information for one or more fishers shall be provided in a timeframe and manner that is agreeable to DFO and the DMC.
Only a designated DMC may deploy Observers to monitor offloads.
Coverage levels shall be determined by DFO, after consultation with the DMCs. The DMC shall maintain records to show that coverage levels are in compliance with monitoring requirements as specified by DFO.
DMC's shall deploy Observers on a rotational basis, wherever possible.
Submit Dockside Monitoring information in the format and timeframe required by DFO. DFO and the DMC shall consult prior to implementation of changes to format and delivery of information.
Provide DMP-related information to DFO during business hours upon request. Where requested information is not available in electronic format, and depending on the volume of information requested, files will normally be made available within one working day or within a timeframe agreed to by the DMC and DFO.
Document and forward written incident reports to appropriate DFO contacts as instructed by DFO, as soon as possible, but no later than 24 hours following reception of the information by the DMC.
When a DMC receives an incident report from a Dockside Observer respecting the accuracy of scales, safety issues relating to a fish hold or any other incident involving the disruption of the monitoring process, the DMC must notify DFO immediately.
DFO and DMC concerns regarding the DMP shall be addressed on an ongoing basis. Unless an alternate time period is agreed upon, each party when requested will normally provide feedback to the other within one week.
On an annual basis, DFO and the DMC shall review the DMC's training program. During review it may be deemed necessary to add new training modules or amend aspects of the training program due to changes in DFO policy, management plans or license conditions.
Supply each Dockside Observer with the following:
- List of Dockside Observer Duties
- List of DFO contacts
- List of Potential Incidents
- DMP Protocols for calculating the weight of fish
- Other DMP protocols and directives
- Code of Conduct as outlined in the company's Quality System Manual.
To maintain designation a DMC must comply with protocols and directives implemented by DFO to manage the Dockside Monitoring Program. Failure to comply could result in revoking the designation of the DMC.
All revisions of forms used by a DMC must have a unique form number, distinguishing it from other forms and from other revisions of the same form. This will ensure that obsolete forms are not inadvertently used. When directed by DFO, certain revisions of a form will require sequential serial numbers to ensure proper tracking, and improve the integrity and accountability of the program. For example, if directed by DFO, all tally sheets used by monitors during a monitored landing shall require a unique serial number.
Regularly audit and document the performance of Dockside Observers to ensure compliance with the Duties of a Dockside Observer.
DMCs must notify DFO immediately when it is determined that a DO could be in a conflict of interest position and/or not operating at arm's length. The DMC will seek to immediately remedy the situation, and document the corrective action taken, in writing to the Regional DMC Coordinator within 24 hours of discovering the problem. If it is determined that the arm's length/conflict of interest issues cannot be resolved between DFO and the DMC, DFO shall request that the RDG revoke designation of the individual.
Prior to filing a renewal application, the DMC shall ensure the Dockside Observer designation requirements are met. Upon application for renewal of designation, the DMC shall attest that the Dockside Observer remains qualified in all respects for observer designation.
A DMC shall immediately notify DFO when a designated Dockside Observer from another DMC is hired.
Participate on a DMP-stakeholder consultation committee as described in Section B.4 of this document.
Ensure all information and data collected from fishers during DMP operations is handled and protected in accordance with the provisions of the Privacy Act. Information/data collected by DMCs from fishers during DMP operations is personal information as defined by the Privacy Act, and is the property of DFO. DMCs must protect this information/data from unauthorized release to any party other than DFO or the fishing licence holder from whom it was collected. Sharing or release of information/data collected during DMP operations with any other party requires written approval from the fisher and DFO.
Maintain all data and files related to DMP activities (including Hail Reports, Weigh-off Tallies and Summaries, Incident Reports and all other relevant documents) that take place in one calendar year, for two and one half subsequent years, and if required, provide data and files to DFO for archiving. A DMC shall notify DFO at least 30 days prior to the destruction of data obtained from the DMP.
When requested by DFO, collect the Department's copy of the logbook/landing reports for remittance to DFO (see regional annex for details where applicable).
Obtain and maintain CGSB listing.
If a DMC terminates the employment of a dockside observer for disciplinary reasons related to the performance of his/her dockside observer duties, DFO must be notified in writing within 24 hours of the termination and include all relevant details.
A DMC must not, after receipt of a letter from the Director of C&P or alternate notifying the DMC of an alleged serious or major breach of duties by one of its observers (referred to in I.5.b), assign that observer dockside monitoring duties until a decision is reached regarding the status of this observer.
DMCs must ensure that DFO has a current list of designated dockside observers in their employ at all times. The DMCs must advise DFO of any changes in personnel without delay, and also provide DFO with an updated list every 6 months. This list is to include the expiry dates of the designations, unless other arrangements have been made with DFO.
DMCs will provide a recent (within the month previous to date of application) passport-size photograph (25mm x 38mm) of each observer and affix it to the application for designation prior to submission to DFO. Photos must be in colour, with the subject facing the camera, with only head and shoulders in the photo. Once an observer is designated, a card number will be entered into a regional registry along with the name of the observer. The ID portion of the application will be laminated. The ID and a copy of Dockside Observer Duties will be sent to the DMC for delivery to the observer.

Additional reporting requirements for specific DFO Regions may be contained in Regional Annexes.

G. OBSERVER TRAINING

The primary function of the training program is to ensure observers have sufficient knowledge to meet the operational requirements of DMP. DFO staff may act as “training resource” personnel. A candidate for designation as an observer must successfully complete a training program approved by DFO. DMCs are responsible for training observers in their employ, including all the costs associated with the training. A DMC must design a training program, which incorporates the following:

The DMC or an independent training organization may deliver the training program. In the case of the former, independent testing and adjudication is a requirement. DFO reserves the right to audit the training program.
The DMC must ensure candidates have a thorough knowledge of the Duties of a Dockside Observer
To obtain designation a candidate must demonstrate knowledge and proficiency in the following:
1. Industry fish handling practices, off loading methods, and weigh-out methods and practices and related protocols
2. the role and purpose of data in fisheries management
3. fish species identification
4. DMP and observer operating practices
5. ethics and the implications of personal liability.
Minimum Training Requirements

Dockside observers shall receive training in the following areas:

The objective of DMP, its role in managing the fisheries, the importance of DMP integrity and data accuracy, and the dockside observer's code of conduct
The DMP regulatory and compliance framework
Dockside Observer Requirements (Part D)
Dockside Monitoring Program Policy and Procedures
Checking fishing logs for completeness and dockside monitoring documents for completeness.
Communication skills and the ability to handle difficult interpersonal situations.
DFO-approved weigh-out procedures
Recording and reporting procedures for offloading-related documentation
Weights and measures - basic operation of scales, testing for accuracy
Preparation of incident reports, including required note taking and information, proper procedures, and giving evidence
Species identification and the requirement to identify all species landed
The DMP quality control system and operational standards for dockside observers
The dockside observer's conditions of designation and employment, and rules relating to loss of designation and employment
The Privacy Act in relation to the confidentiality of personal information.

Practical Training Requirement

The Observer Training Program requires all candidates to monitor five offloadings in the company of an experienced and designated dockside observer.

H. RULES FOR DESIGNATION OF INDIVIDUALS AS DOCKSIDE OBSERVERS

Prior to commencing their duties, all Observers must be designated by the Regional Director General pursuant to subsection 39(1) of the Fishery (General) Regulations and be provided with a certificate pursuant to subsection 40(1) of said regulations. Observers are employees of DMCs who maintain all the obligations of providing timely and accurate verification of landings data.
The certificate of designation is valid until the expiry date unless the designation has been revoked. DMCs must submit requests for new certificates six weeks prior to expiration of the current certificate. DFO will assign a validation period beginning with the expiration date of the current certificate.
To be eligible for designation, a candidate must meet all of the requirements set out in paragraphs 39(1)(a),(b) and (c) of the Fishery (General) Regulations and the requirements set out in section D of this document.
An Observer must have a valid certificate of designation to monitor a landing.
An Observer's designation will be considered for re-designation upon receipt of documentation from a DMC, if it is received at least 6 weeks prior to expiry and confirms that the individual is in good standing and has conducted the minimum required landing verifications in the preceding 12 months. DFO must verify the observer is in good standing and continues to meet all the criteria of designation.

I. GUIDELINES FOR REVOKING DESIGNATION OF INDIVIDUAL DOCKSIDE OBSERVERS

1. Purpose

These Guidelines are to assist the Regional Director General in making decisions on revoking designations of Observers where the DMC has not addressed a problem with an Observer as required under this policy.

2. Scope

These guidelines apply to Observers who have been found to have breached the Duties of a Dockside Observer.

3. Breach of Duties

DEFINITION: Any act or omission that results in a failure to comply with the Duties of a Dockside Observer or impacts on the integrity of the program or where an observer becomes a party to a contravention of the Fisheries Act or the regulations made pursuant thereto.

4. Authority

The Regional Directors General of DFO have the regulatory authority to revoke the designation of an Observer, if it is felt that the observer's conduct impacts on the credibility and integrity of the DMP, as described in subsection 39(6) of the Fishery (General) Regulations

If at a later date, a person who has had his/her designation revoked, and who now meets all of the requirements for designation as an observer, and who reapplies, may be re-designated as an Observer at the discretion of the Regional Director General.

5. Procedures

For minor breaches on the part of an observer, a fishery officer may elect to point out the problem to the observer or the DMC that employs him/her and attempt to resolve the problem without the need for recommending revocation of the designation.
If the attempts made in (a) above are unsuccessful or for serious or major breaches that could affect an observer's designations status, the fishery officer will advise the DFO/DMP Coordinator who will in turn advise the Director of C&P or alternate. If the Director of C&P or alternate is of the view that the circumstances warrant action, a letter signed by the Director of C&P or alternate will be sent to the observer, and copied to the DMC outlining the problem, seeking an explanation and stating that if an explanation for the behaviour, sufficient to satisfy DFO that a problem does not exist, is not received within a specified time (this time period must be reasonable - usually 30 days), a recommendation will be sent to the Regional Director General to revoke the designation. A letter signed by the Director of C&P or alternate will also be sent to the DMC. The letter to the DMC must instruct the DMC to immediately retrieve the observers ID card and must also instruct the DMC to cease assigning duties to the observer, pending the outcome of the investigation. The letter may also recommend a course of action to immediately address the breach.
An observer who is alleged to have committed a serious or major breach must, immediately upon receipt of the letter from the Director of C&P or alternate referred to in b) above, surrender his/her ID card to the DMC and cease to carry out observer duties. A DMC must, after receipt of the letter from the Director of C&P or alternate referred to in b) above, retrieve the ID card of the observer and must cease to assign any observer duties to the observer referred to in that letter who is alleged to have committed a serious or major breach,
If no response is received from the observer in the specified time, C&P will forward a recommendation to the Regional Director-General requesting revocation of that observer's designation.
If a response is received from the observer, C&P will review the response and in consultation with the detachment that originated the report, will determine whether there is a reasonable explanation for the breach, whether it can be resolved through remedial action on the part of the DMC or if a recommendation for the revocation of the designation is warranted.
All recommendations for revocation of designation sent to the RDG will include a description of the problem and any representations made by the observer as to why the observer feels the designation should not be revoked.
If the designation is revoked, the decision of the RDG will be communicated in writing to the observer and the DMC. The DMC shall obtain and return the observer's “Certificate of Designation” to DFO.

6. Types of Breaches

The examples are to be used as a guideline only and are non-exhaustive.

Examples of Minor Breaches

Late to offloading station
Information recorded incorrectly
Documentation not submitted within required timeframe
Scales not checked for accuracy
Completed logbook not signed
Expired Designation
Any other action that impacts on the integrity of the DMP

Examples of Serious Breaches

Repetition of Minor Infractions
Logbook not checked
Hold not checked after offloading
All offloading not monitored
Offloading information incomplete
Incomplete documents signed
Required documentation not completed/submitted
Incident Report information not submitted
Falsifying information (not catch related)
Completing logbooks or other documents for fishers/buyers
Monitored offloading without direct line of sight from scales to fishing vessel
Any other action that impacts on the integrity of the DMP

Examples of Major Breaches

Repetition of minor or serious breach
Failed to monitor offloading
Falsifying catch-related information
Accepting bribes
Any other action that impacts on the integrity of the DMP

J. DUTIES OF A DOCKSIDE OBSERVER

PRE-OFFLOADING

Carry the Certificate of Designation (ID Card) when conducting the duties of a Dockside Observer.
Present themselves at the Fish Landing Station at least 15 minutes prior to scheduled offloading time.
Unless previously approved by DFO, an observer will not be permitted to monitor an offloading unless fish is offloaded and weighed at a fish landing station, government wharf, or fish-buying company wharf. A Site Plan must be provided if required by DFO. In situations where there is no buyer, someone other than the fisher must weigh catch.
Follow only the instructions of the Dockside Monitoring Company and the approved monitoring procedures.
Identify themselves to the master of the vessel and ask permission to come aboard.
Record all information in clear legible printed format only, except in cases where a signature is required.
Observers must sign the fishing logbook only if it is completed and signed by the fisher. Observers may, when required to do so by DFO, retrieve and retain the DFO copy of the documents.
OBSERVERS ARE NOT TO RECORD ANY INFORMATION IN THE FISHING LOGBOOK, OTHER THAN THEIR SIGNATURE, DATE AND TIME, UNLESS OTHERWISE DIRECTED BY DFO.
Record gear type, logbook weight by species, product type, and management area on the Weigh-out & Tally Sheet. The Observer must record the Vessel Registration Number (VRN) displayed on the vessel, and not the side number from the logbook. The observer shall record other information that may from time to time be required by DFO.
If there is reason to believe that scales are not functioning accurately the observer is not permitted to continue monitoring the offloading. The DMC must be notified immediately.
Prior to offloading, the Observer must establish that the captain will provide a safe method of entry into the hold. If there is no safe means to check the hold, the observer is not permitted to continue monitoring the offloading. The DMC must be notified immediately.
Ensure DFO-approved offloading protocols and/or directives (where required) are being followed. If the Observer is unable to verify compliance with the offloading protocols and/or directives, the Observer is not permitted to monitor the offloading, and is required to contact the DMC immediately.

OFFLOADING

Ensure the method of offloading for the species has been approved by DFO, for example but not limited to, dip method (herring, capelin & mackerel), direct weighing, random sampling, or average net weight methodology.
Unless a DFO approved protocol is in place, the Observer shall only monitor the offloading of one vessel at any time.
Verify or confirm, through visual inspection, the species and product form of all fish landed and offloaded, and ensure this information matches what is recorded in the fishers' logbook.
Follow established protocols where applicable, that are satisfactory to DFO, for bulk or packaged offloadings.
Where required by a condition of license, once an offloading begins, all fish must be offloaded and weighed, this includes fish kept for personal use, unless DFO has authorised alternate arrangements. If the fisher fails to offload all catch during the offloading process, unless DFO has authorised alternate arrangements, the observer will submit an incident report to the DMC immediately.
Unless previously approved by DFO, ensure unobstructed line-of-sight at all times between the vessel being offloaded and the scales. If at any time the line of sight is obstructed, the observer is not permitted to continue monitoring the offloading. The DMC must be notified immediately.
Personally verify and record weigh-out information.
Where applicable, ensure the Fish Landing Station Protocol or DFO approved Site Plan is adhered to at all times.
Do not unnecessarily delay, or otherwise interfere, with a vessel's off-loading. If the offloading process is not carried out in accordance with DMP requirements, the Observer must inform the license holder or designate, or if they are not available, the individual in charge of the weigh-out, that he/she is not permitted to continue the monitoring process. The DMC must be notified immediately.

POST-OFFLOADING

Conduct a thorough check of the fish holds and containers on deck to ensure all fish have been offloaded. If there is any catch left in the hold the observer must inform the license holder or designate that it must be offloaded and that the weight is to be verified. If DFO has authorised the offloading of portions of the catch at separate locations, all fish offloaded must be monitored at all locations in accordance with a DFO approved site plan or a DFO protocol to ensure nothing is added or removed on route.
All offloading documentation must be accurate, complete, and submitted to the DMC in a timely manner.
Provide Fishery Officers with any information relating to catch monitoring that may be requested.
Where required, complete and submit an incident report as soon as possible, but no later than 24 hours from time the problem is suspected or detected.

INCIDENT REPORTS

All information shall be written in a notebook at the time of the incident to ensure accurate information is recorded and reported. This will ensure consistency and serve as notes in the event of court action. Complete and submit a separate report for each incident.
All Incident Reports shall contain the following information in print format:
1. Date landed
2. Vessel Name and CFV number
3. Port of Landing
4. Name of Observer
5. Name of license holder or designate
6. Name of buyer
7. Species fished (as recorded in fishing logbook)
8. Area Fished (as recorded in fishing logbook)
9. Particulars of incident
Contact the DMC or the nearest DFO detachment, or the DFO/DMP Coordinator at any time when there is an immediate concern, or a need for clarification of an issue is required.

K. AMENDMENTS TO THIS DOCUMENT

DFO may amend this policies and procedures document as circumstances require. All DMCs will be notified of proposed amendments 90 days in advance of their proposed affective date. If DMCs wish to provide comments, they must do so in writing, to the department within 30 days of receiving the proposed amendments

L. ARM'S LENGTH CRITERIA

1. DEFINITIONS

DOCKSIDE MONITORING COMPANY (DMC)

An enterprise engaged in monitoring the landings of fishing entities according to methods established by the Department of Fisheries and Oceans. The enterprise may be an incorporated company, partnership, or sole proprietorship.

FISHING ENTITY

A licence-holder, quota-holder, vessel owner, vessel operator, or processing enterprise engaged directly or indirectly in any aspect of fishing industry operations including fish harvesting, processing, buying, selling, shipping and handling. Affiliated Fishing Entities would be considered a single Fishing Entity for purposes of these guidelines.

FISHING ORGANIZATION

A formally constituted association or organization representing particular Fishing Entity interests. These interests could run along several lines including fishery, fleet sector, gear sector, industry sector, geographic, or other interests. Affiliated Fishing Organizations would be considered a single Fishing Organization for purposes of these guidelines.

AFFILIATION

Enterprises are considered to be Affiliates or in Affiliation when one holds a significant Interest in the other. An incorporated DMC is considered an Affiliate of a Fishing Entity if the Fishing Entity or any of its owners or shareholders have a Significant Interest in that DMC. A Fishing Entity is considered an Affiliate of a DMC if the DMC or any of its owners or shareholders have a Significant Interest in that Fishing Entity. Fishing Entities are considered to be in Affiliation if one Fishing Entity or any of its owners or shareholders holds a Significant Interest in another. [Consequent and subsequent affiliations are included in this definition.]

A non-profit DMC is considered an Affiliate of a Fishing Organization if the DMC has a Significant Interest in that Fishing Organization. A Fishing Organization is considered an Affiliate of a non-profit DMC if the Fishing Organization has a Significant Interest in the DMC.

AGENT

A person acting for a DMC, Fishing Entity or Fishing Organization, including owners, shareholders, officers, managers or employees.

INTEREST

An individual is considered to have an Interest in a Fishing Entity if he or she has a beneficial, financial, or employment interest as an owner, shareholder, partner, creditor, employee, or some other capacity.

An individual is considered to have an Interest in a Fishing Organization if he or she is a member or employee of that Organization.

SIGNIFICANT INTEREST

An individual Fishing Entity is considered to have a Significant Interest in an incorporated DMC if it, or any of its owners, officers or employees, holds, directly or indirectly, more than 20 percent of the shares in the DMC.

Affiliated Fishing Entities are considered to have a Significant Interest in an incorporated DMC if they, or any of their owners, officers or employees, hold directly or indirectly more than 40 percent of the shares in the DMC.

An individual Fishing Organization is considered to have a Significant Interest in an incorporated DMC if it, or any of its members, holds directly or indirectly more than 20 percent of the shares in the DMC.

Affiliated Fishing Organizations are considered to have a Significant Interest in an incorporated DMC if they, or any of their members, hold directly or indirectly more than 40 percent of the shares in the DMC.

Involvement in a non-profit DMC is considered a Significant Interest if an individual Fishing Organization holds more than 20 percent of the seats on the DMC Board of Directors.

Involvement in a Fishing Entity is considered a Significant Interest if more than 20 percent of its shares are held directly or indirectly by a Fishing Entity or any of its owners, shareholders or employees, or by a DMC or any of its owners, shareholders or employees.

SIGNIFICANT COMMERCIAL RELATIONSHIP

A Significant Commercial Relationship is considered to exist when independent organizations enter into formal or informal contracts for goods and services, loan arrangements, leases or mortgages.

2. GUIDELINES

a) SHAREHOLDERS AND MEMBERS OF A DOCKSIDE MONITORING COMPANY

The Agents of a DMC must not have a Significant Interest in a Fishing Entity in circumstances, which could compromise, or be perceived as compromising, the Dockside Monitoring Program and the accuracy of landing data.

This means:

A DMC shall not provide monitoring services for a Fishing Entity in which any of the DMC's Agents have a Significant Interest.
A DMC shall not provide monitoring services for Affiliated Fishing Entities in which any of the DMC's Agents have a Significant Interest.
A DMC shall not provide monitoring services for a Fishing Organization in which any of the DMC's Agents have a Significant Interest.
A DMC may provide monitoring services for Umbrella Organizations in which the DMC or its Agents are involved, since, by definition, their involvement will be less than that necessary to constitute a Significant Interest.
A DMC shall not provide monitoring services in any fisheries involving Fishing Entities and Fishing Organizations in which the DMC's Agents have a Significant Interest.

b) AFFILIATIONS OF A DOCKSIDE MONITORING COMPANY

A DMC must not be an Affiliate of a Fishing Entity or Fishing Organization in circumstances that could compromise, or be perceived as compromising, the Dockside Monitoring Program and the accuracy of landings data.

This means:

An incorporated DMC shall not provide monitoring services for a Fishing Entity if there is an Affiliation between the DMC and that Fishing Entity.
A non-profit DMC shall not provide monitoring services for a Fishing Organization if there is an Affiliation between the DMC and the Fishing Organization.
A DMC shall not provide monitoring services for Affiliated Fishing Entities if any one of these holds a significant interest in the DMC.
A DMC shall not provide monitoring services in any fishery involving Fishing Entities or Fishing Organizations with which the DMC has an Affiliation.

c) DIRECTORS OF A DOCKSIDE MONITORING COMPANY

A DMC must have an independent board of directors, the majority of whose members have no connection with the fishing industry, thereby avoiding any conflicts of interest.

This means:

The majority of a DMC's board of directors must have no Interest in a Fishing Entity.
The majority of a DMC's board of directors must have no Interest in a Fishing Organization.

d) OFFICERS AND EMPLOYEES OF A DOCKSIDE MONITORING COMPANY

The officers and employees of a DMC must have no formal relationship with the fishing industry thereby allowing them to carry out their functions independently and without conflicts of interest.

This means:

The officers, managers and employees of a DMC must have no direct or indirect Interest in a Fishing Entity.
The officers, managers and employees of a DMC must have no direct or indirect Interest in a Fishing Organization.

e) COMMERCIAL RELATIONSHIPS OF A DOCKSIDE MONITORING COMPANY

To preserve the integrity of the Dockside Monitoring Program, a DMC must not have Significant Commercial Relationships with Fishing Entities in circumstances that could lead to perceptions of bias, or compromise the accuracy of landing data.

This means:

Neither a DMC nor its Agents shall make loans to, or accept loans from, the Fishing Entities or their Agents for which the DMC provides monitoring services.
Neither a DMC nor any Fishing Entity for which the DMC provides monitoring services shall hold mortgages on each other's property.
Neither a DMC nor its Agents shall have contracts to provide other professional services for Fishing Entities for which the DMC provides monitoring services.
Affiliates of DMCs shall not enter into contracts to provide other professional services to Fishing Entities for which the DMC provides monitoring services.
A DMC may lease property to, or from, a Fishing Entity for which it provides monitoring services, provided the leases are at fair commercial value.
Neither a DMC nor its agents shall participate in joint ventures, or as partners, in commercial activities with Fishing Entities for which it provides monitoring services.

This Policy and Procedures document comes into effect as per the date indicated below. All previous versions of the Department of Fisheries and Oceans Dockside Monitoring Program Policy and Procedures and roles and responsibilities documents, are hereby terminated.

Annex I - Regulatory Regime

Scan Regs. and put here.

REGULATORY REGIME
Regulations Governing the Dockside Monitoring Program
Fishery (General) Regulations

39.

The Regional Director-General may designate as an observer any individual who is qualified and trained to perform any of the duties described in subsection (2) and who:
1. does not hold a certificate of accreditation issued under the Professional Fish Harvesters Act, S.N. 1996, c. P-26-1, of a fisher's registration card;
2. does not purchase fish for the purpose of resale, and
3. is not an owner, operator, manager, or employee of an enterprise that catches, cultures, processes or transports fish.
The Regional Director-General shall assign to an observer designated under subsection (1) one or more of the following duties:
1. the monitoring of fishing activities, the examination and measurement of fishing gear, the recording of scientific data and observations and the taking of samples;
2. the monitoring of the landing of fish and the verification of the weight and species of fish caught and retained, and
3. conducting biological examination and sampling of fish.
Where an observer is assigned the duties set out in paragraph (2)(a), the observer shall perform the duties while on board a fishing vessel.
Where an observer is assigned the duties set out in paragraph (2)(b), the observer shall perform those duties while at a fish landing station.
Where an observer is assigned the duties set out in paragraph (2)(c), the observer shall perform the duties while at a fish landing station.
The Regional Director-General may revoke the designation of an observer designated under subsection (1) if the observer
1. no longer complies with the criteria set out in that subsection;
2. performs his or her duties in respect of a fisher with whom the observer is not dealing at arm's length;
3. falsifies any information transmitted in the course of his or her duties or fails to perform those duties; or
4. fails to perform his or her duties in a competent and professional manner. SOR/98-481, S 3.

Certificate of Designation

39.1

The Regional Director-General may designate as an observer any corporation that has submitted
1. A description of a program that is capable of accurately collecting and compiling information obtained by individual observers in the course of their duties under paragraph 39(2)(b) and that includes
  1. a business plan for the corporation that describes the organization of the corporation, its human resources and its plan of operations,
  2. plan for the training and independent examination of individuals who will be designated as observers to perform the duties described in paragraph 39(2)(b), and for the supervision of those observers, and
  3. a quality system for ensuring the integrity of the information collected and compiled that identifies a person responsible for the system and his or her duties, and that describes the operation system , the manner in which records are kept, the control points, the verification procedures and the process for correcting deficiencies in the system;
2. a statement that discloses all conflicts of interest that the corporation of any of its directors, officers or employees, or any shareholder having a significant interest in the corporation may have with the fishing industry, and that explains how those conflicts are to be resolved; and
3. evidence of the corporation's financial viability, or a performance bond guaranteeing three months of operations.
An observer designated under subsection (1) has the following duties:
1. to comply with the program submitted under paragraph (1)(a);
2. to transmit to the Department, in a timely manner, the information collected and compiled as part of the program;
3. to disclose all conflicts of interest that arise after the observer's designation and explain how they are to be resolved; and
4. to resolve any conflicts of interest disclosed under paragraph (c) or paragraph (1)(b).
The Regional Director-General may revoke the designation of an observer designated under subsection (1) if the observer
1. Falsifies any information transmitted in the course of its duties or fails to perform those duties; or
2. Fails to maintain the performance bond submitted under paragraph (1)(c).

39.2 The designation of an observer is valid for

six months for the first designation and 36 months for any subsequent designation, in the case of an individual; and
12 months for the first and second designation and 24 months for any subsequent designation, in the case of a corporation.

39.3

No person shall submit false information to the Regional Director-General for the purpose of obtaining his or her designation as an observer.
No observer shall falsify any information that they transmit in the course of their duties. SOR/98-481, S. 4.

The Regional Director-General shall provide each observer with a certificate that certifies the observer's designation as such and specifies the duties that have been assigned to the observer.
An observer shall, on entering any place to perform the observer's duties, on request, show the certificate of designation to the person in charge of the place.

Other regulatory amendments to the Fishery (General) Regulations affecting DMP are:

The definition "observer" in section 2 of the Fishery (General) Regulations[1] is replaced by the following:
"observer" means a person who is designated under section 39 or 39.1; (observateur)
The heading before section 47 of the Regulations is replaced by the following:
Monitoring Landing and Conducting Biological Examinations
The portion of section 47 of the Regulations before paragraph (a) is replaced by the following:
47. The master of a fishing vessel that is landing fish at a fish landing station shall
The heading before section 48 of the Regulations is repealed.
Paragraph 48(a) of the Regulations is replaced by the following:
at the request of an observer who is assigned the duties set out in paragraph 39(2)(b) or (c), provide the observer with access to the fish landing station

Annex II - Regional Annexes

[1] SOR/93-53

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Proactive Disclosure

National Dockside Monitoring Program - Policy and Procedures

Table of Contents

A. FRAMEWORK

A1. REGULATORY REGIME

B. ROLES AND RESPONSIBILITIES - DFO

C. DOCKSIDE MONITORING COMPANY DESIGNATION AS AN OBSERVER

1. Business Plan

2. Arms-Length Requirements for DMC Designation

3. Quality Control Requirements for Designation

4. Steps Required to Obtain and Maintain CGSB Quality Standard Listing

5. Maintenance of Dockside Monitoring Companies' Designation

D. GUIDELINES FOR REVOKING DESIGNATION OF A DOCKSIDE MONITORING COMPANY

1. Purpose

2. Scope

3. Failure to Perform Duties

4. Authority

5. Procedures

6 Types of Breaches

E. DOCKSIDE OBSERVER REQUIREMENTS

F. DMC OPERATIONAL RESPONSIBILITIES

G. OBSERVER TRAINING

Practical Training Requirement

H. RULES FOR DESIGNATION OF INDIVIDUALS AS DOCKSIDE OBSERVERS

I. GUIDELINES FOR REVOKING DESIGNATION OF INDIVIDUAL DOCKSIDE OBSERVERS

1. Purpose

2. Scope

3. Breach of Duties

4. Authority

5. Procedures

6. Types of Breaches

J. DUTIES OF A DOCKSIDE OBSERVER

PRE-OFFLOADING

OFFLOADING

POST-OFFLOADING

INCIDENT REPORTS

K. AMENDMENTS TO THIS DOCUMENT

L. ARM'S LENGTH CRITERIA

1. DEFINITIONS

2. GUIDELINES

Annex I - Regulatory Regime

Annex II - Regional Annexes