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Corporation Designation Policy and Procedures

Framework
Roles and Responsibilities - DFO
At-Sea Observer Corporation Designation
Guidelines for Revoking Corporation Designation
At-Sea Observer Requirements
At-Sea Observer Corporation Operational Responsibilities
Arm's-Length Criteria

Definitions
Guidelines
Amendments to this Document
Annex 1 - Regulatory Regime

FRAMEWORK

The objective of the Fisheries and Oceans Canada (DFO) At-Sea Observer Program is to provide accurate, timely, and independent third-party verification of harvesting activities at sea, as well as to provide scientific catch and sampling data to the Department. The fishing industry and the Department are dependent on the accurate provision of this information for all fisheries management, monitoring, and scientific research purposes.

Corporations wishing to seek designation as an at-sea observer provider must comply with, and adhere to, the requirements of the Fishery (General) Regulations, and make application and become qualified according to the Canadian General Standards Board Qualification Program Manual and these Fisheries and Oceans Canada Designation Policy and Procedures Manual. Parties interested in seeking designation can access the required information package upon request to DFO.

Companies will first apply to be nationally qualified by the Canada General Standards Board (CGSB).
CGSB will qualify corporations based upon the criteria contained in the CGSB Qualification Manual, including (where appropriate) elements of these Designation Policy and Procedures.
Companies will then apply to be regionally designated by the DFO Regional Director General of the Region where the application for designation is submitted.
DFO will designate corporations based upon the additional submission of a business plan, as per the requirements of these Designation Policy and Procedures, which describes the corporation's organization and experience, human resources, operational plan for recruitment, training, examination and deployment of at-sea observers, and data management and quality control. The business plan will also include certifications of financial viability, security and insurance requirements, as well as certification of arm's-length operating requirements.
DFO will designate corporations based upon all of the requirements contained in these Designation Policy and Procedures, including the DFO regional annex requirements specific to the region for which designation is being sought.
DFO regional annexes will include regional specific requirements including (but not limited to) data forms, data management systems, deployment management operations, hail-out systems, and observer equipment requirements.
Companies may apply for designation in any or all DFO regions.
In order to be designated for any DFO Region, the company must demonstrate its capability and agreement to provide service to all fishers in that region that may request service.
Designation applications will be evaluated by a DFO evaluation team consisting of representatives from Conservation and Protection, Resource Management, and Science Branches.

DFO has contracted CGSB to develop and implement the corporation qualification (listing) program.

DFO Conservation and Protection has responsibility for conducting corporation designation and audits against the designation criteria contained within these Designation Policy and Procedures, and for monitoring the accurate and timely provision of observer coverage to the fishing industry and of fishery data and management reports to DFO.

To further ensure that consistent and unbiased services are delivered, DFO Fishery Officers may administer routine on-site field checks of the at-sea observers who are employees of the corporations.

These Designation Policy and Procedures set out requirements of DFO and the corporations delivering the program in addition to the obligations of other stakeholders in the program. They apply to the DFO Newfoundland and Labrador, DFO Quebec, DFO Gulf, DFO Maritimes, DFO Central and Arctic, and DFO Pacific Regions.

Region of Licence-Based Deployments

The fishing industry will be required to engage the services of an at-sea observer service provider (corporation) that has been designated for service in the DFO Region which issues the (species) fishing licence.

Atlantic-Wide Based Fisheries

For fishing vessels >65' that are operating on licences that are issued and used on an Atlantic-wide basis, the licence holder may engage an at-sea observer corporation designated in any DFO Region, including either (i) the region of issuance of the fishing licence, (ii) the region of port of departure (iii) the region of vessel operation or (iv) another DFO Region.

For the purposes of DFO fisheries management and scientific requirements, including data management, the fishing industry and the observer corporation must follow the protocols established according to the respective DFO region which issues the (species) fishing licence, as described in the appropriate regional annex to these Designation Policy and Procedures.

In addition, the licence holder and the observer corporation shall advise the appropriate DFO manager in the region of licence issuance, on a deployment-by-deployment basis, of the observer deployment, the corporation from which the observer is deployed, and the name of the vessel. This shall be not less than 24 hours prior to the vessel departure. This will require a licence condition which will direct the licence holder to the appropriate hail time, DFO contact (regional specific) and number etc.

Regulatory Regime

The current provisions of the Fishery (General) Regulations and the Coastal Fisheries Protection Regulations relating to at-sea observation, and which establish the requirements, are set out in Annex I.

ROLES AND RESPONSIBILITIES - DFO

Overall accountability for the at-sea observer program will reside with the DFO Conservation and Protection (C&P) Division.
DFO shall maintain an ongoing inter-regional working group (national program coordinators committee) chaired by DFO C&P in National Headquarters, including regional representation from DFO C&P, Resource Management, and Science Branches, to address/resolve issues.
Each DFO region shall establish a working group, made up of representatives from all DFO organizations, to address all related issues in the region.
Fishing industry consultations will be included as part of the ongoing DFO regional fishery advisory committee processes.
Regional Directors General may designate as an observer, pursuant to subsection 39(1) Fishery (General) Regulations, individuals who have met the requirements outlined in this document, and may revoke these designations pursuant to subsection 39(6) Fishery (General) Regulations, where required.
Regional Directors General may designate as an observer, pursuant to subsection 39.1(1) of the Fishery (General) Regulations, any corporation who has met the requirements as outlined in this document, and may revoke these designations pursuant to subsection 39.1(2), where required.
The national DFO program coordinators committee may recommend amendments to the Designation Policy and Procedures as required.
DFO regions shall ensure the Department's responsibilities are implemented in a consistent manner.
DFO shall ensure amended Designation Policy and Procedures are communicated to and implemented by staff, observer service providers (corporations), and the fishing industry.
DFO shall, when requested by the corporation, 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 observers, have discussions with end-users of data, and have periodic meetings with corporations' administrative personnel and fishing industry representatives to verify compliance with the program.
DFO shall review and approve in writing, the training programs developed by corporations and assist in the training of observers, as required.
DFO shall draft conditions of licence, as required, to enhance compliance with program.
On an annual basis, DFO shall update and distribute the list of government employees who will be available to act as contacts to all stakeholders.
DFO shall maintain a liaison with CGSB regarding the program.
To ensure consistency, all DFO regional offices will notify National Headquarters of any new systems or modifications to existing systems or technology used in the program.
When observers are subpoenaed to testify for the Crown, DFO shall reimburse the amount required for the most reasonable and cost-effective means of travel and accommodation. Meal allowance will be paid in accordance with Treasury Board guidelines. Determination of the most reasonable and 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. (Per diems will be authorized as per DFO policy).
DFO will establish and maintain an audit function for the original corporation designation as well as for the regular and on-going audit of corporation status as a designated service provider.

AT-SEA OBSERVER CORPORATION DESIGNATION

All corporations that provide designated at-sea fisheries observer services 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 on a DFO management region basis.

To be eligible for designation, corporations must meet the requirements set out in subsection 39.1(1) of the Fishery (General) Regulations and also meet and comply with the requirements of these Policy and Procedures, including the requirements as specified in the appropriate regional annex to these Designation Policy and Procedures.

Business Plan

A corporation seeking designation shall submit a business plan that includes a description of the organization of the corporation, its human resources, and its plan of operations, including (but not necessarily restricted to):

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 at-sea observer services, on a continuous basis, to all licence holders that may request observer service.
A human resources plan, including language requirements, résumés, and experience of staff that demonstrates the capacity and expertise to provide at-sea observer services.
A detailed training and supervision plan for at-sea observers that will be delivered by the corporation or an independent training organization that meets the requirements of the Canadian General Standards Board standard Training and Certification of At-Sea Fisheries Observers, CGSB 190.1-97. DFO will require amendments to the plan when changes to legislation or policy dictate new program requirements.
A data quality system for ensuring the integrity of the information collected and compiled.
A statement of compliance with all conflict of interest and arm's-length guidelines as contained in these Designation Policy and Procedures.
All officers and employees must have security clearance as indicated in these Designation Policy and Procedures.

Experience Requirements

The applicant (corporation) must demonstrate that it has previous experience managing a minimum of two similarly technical projects or programs, of a minimum duration of three months each, where services were provided at geographic locations other than the location of its head office.

The applicant must demonstrate that the proposed Project Manager has a minimum of six months continuous and full-time experience in managing projects.

The applicant must demonstrate that each person identified for briefing and debriefing functions has a minimum of three complete years of experience in either an At-Sea Observer program or in a relevant or similar regulatory- or scientific-based program operation.

The applicant for designation must demonstrate that it has managed a project which had a training component, whereby training was given to groups of more than 20 participants.

The applicant must identify the individuals responsible for training and demonstrate that they have previous experience in delivering training programs to adults and that they meet the qualifications as specified, or similar to that specified, in Section 5.2(c) of the Canadian General Standards Board standard Training and Certification of At-Sea Fisheries Observers, CGSB 190.1-97.

The applicant must submit a Training Plan to the DFO regional program coordinator for review and approval prior to the commencement of any training, including a training course syllabus, sample lesson plans and other relevant material (such as a training schedule, quizzes, tests, assignments, etc.).

The applicant must identify the person responsible for data quality control and demonstrate that the individual has a minimum of six months experience in a position of responsibility for data management.

Insurance Requirements

The applicant must have Commercial General Liability insurance maintained in force throughout the duration of the designation period, in an amount for a limit of liability not less than $5,000,000 per accident or occurrence.

The applicant must maintain the required insurance coverage for the duration of the designation period. Compliance with the insurance requirements does not release the applicant from, or reduce its liability under, the designation.

The applicant is responsible for deciding if additional insurance coverage is necessary to fulfill its obligation under the designation and to ensure compliance with any applicable law. Any additional insurance coverage is at the applicant's expense, and for its own benefit and protection.

The applicant must provide to DFO a Certificate of Insurance evidencing the insurance coverage and confirming that the insurance policy complying with the requirements is in force. Coverage must be placed with an Insurer licensed to carry out business in Canada. The applicant must, if requested by DFO, provide a qualified true copy of all applicable insurance policies.

Financial Viability

The applicant must provide an affidavit on the financial viability of the corporation or in the case of a joint venture, of the parent companies. This should include evidence of viability through provision of financial statements of the organization or a performance bond guaranteeing three months of operation.

Security Requirements

Data collected by observers on board vessels and processed by the management team is PROTECTED information.

Each of the applicant's proposed individuals requiring access to PROTECTED information, assets or work site(s) must meet the security requirement at the requisite level of RELIABILITY STATUS.

The applicant must provide the name of all individuals who will require access to PROTECTED information, assets or sensitive work sites.

Arm's-Length Requirements for Corporation Designation

Arm's-length criteria ensure that there are no actual or perceived conflicts of interest between corporations and fishing enterprises. Upon initial designation and each renewal, corporations must provide affidavits attesting that they meet the arm's-length criteria as outlined further in these Designation Policy and Procedures.

Quality Control Requirements for Corporation Designation

Subsection 39.1(1) grants DFO (Regional Directors 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. The QA system must ensure the integrity of the information collected and compiled, and it 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 engaged CGSB to develop an At-Sea Observer Program (Qualification Program) and to assess the corporations' systems for compliance with these requirements. The qualification program is derived from selected elements of the ISO programs. Corporations must develop and implement their own quality system which complies with the qualification program.

When a corporation's quality system complies with the qualification program, the CGSB will issue a listing number and place the corporation on its listing program. To obtain and maintain DFO designation, a corporation must also maintain this CGSB listing. More information on acquiring a CGSB listing is outlined below.

The qualification program is contained in CGSB's Listing Program for At-Sea Observer Corporations - Program Manual, and is available upon request from CGSB.

Steps Required to Obtain and Maintain CGSB Qualification Listing

Corporations will describe how they comply with the qualification listing requirements 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 corporation to determine if the quality systems, as described in this QSM, are compliant with the qualification program. A CGSB quality auditor will conduct an on-site audit of each corporation's operations to verify that the corporation's employees are following the approved procedures as set out in the corporation's QSM.

Once the CGSB verifies the suitability of a corporation's QSM, and verifies compliance with the procedures therein through an on-site audit, a corporation will be issued a listing number and placed on CGSB's program list. Such a listing means that a corporation meets DFO's quality requirements for corporation designation.

Corporations 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 corporation, where their performance indicates the corporation is either not adhering to the QSM or these Designation Policy and Procedures.

CGSB will conduct periodic quality system audits of a corporation's quality systems to verify continued compliance. The DFO Conservation and Protection Director of Enforcement Operations at National Headquarters, in consultation with the CGSB, will determine when audits will be conducted. If continued compliance is not maintained, the corporation will be required to remedy the problem. The CGSB listing number could be suspended or revoked if a corporation fails to comply with CGSB program requirements. Losing the CGSB listing number may trigger the DFO corporation designation revocation process.

The CGSB has an appeal process in place to allow corporations to appeal CGSB decisions to revoke listing numbers.

The quality system registration process is explained in detail in CGSB's Listing Program for At-Sea Observer Corporations - Program Manual, and is available upon request from CGSB.

Potential new corporations seeking CBSB listing in order to be designated by DFO as an observer must pay for the initial CGSB audit costs to the point where they are qualified, as must corporations that have lost their designation and are seeking renewed designation. With respect to ongoing CGSB audits for existing corporations and newly designated corporations, DFO will pay for periodic audits. Should a corporation require additional audits, due to failure to maintain compliance with the qualification requirements,the subsequent audits required for re-establishing and maintaining compliance will be paid for by the corporation.

Maintenance of a DFO At-Sea Observer Corporation Designation

Ongoing Assessments of Corporations

Corporations will be required to maintain their designation. Corporations 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 these Designation Policy and Procedures and the Fishery (General) Regulations, including (but not limited to):

Maintaining the qualification listing for the program through ongoing listing by the Canadian General Standards Board;
Meeting the arm's-length requirements;
Maintaining good financial standing; and
Meeting DFO's operational requirements as specified in these Designation Policy and Procedures, including managing observer deployments, and data collection and management requirements.

Failure to perform the required duties as specified in these Designation Policy and Procedures could result in the initiation of the Guidelines for Revoking Designation of an At-Sea Observer Corporation (as described below).

DFO officials shall recommend that the Regional Director General re-designate an At-Sea Observer Corporation 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.

GUIDELINES FOR REVOKING CORPORATION DESIGNATION

1. Purpose

These Guidelines are to assist the Regional Director General in making decisions on revoking designations of corporations where the corporation has not addressed a problem or problems identified by DFO or CGSB, as required under these Designation Policy and Procedures and/or the Fishery (General) Regulations.

2. Scope

These guidelines apply to corporations that have failed to perform their duties as described and required under these Designation Policy and Procedures, including breaches as described herein, failure to maintain arm's-length relationships, failure to maintain CGSB listing/certification, and/or failure to maintain any of the security, insurance and financial viability criteria or language and experience requirements, or 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 At-Sea Observer Program;
disclose all conflicts of interest or explain how these conflicts of interest are to be resolved;
resolve any conflicts of interest disclosed; or
comply with any of the following:
- Its program for collecting and compiling information obtained from individual observers, as submitted by the corporation to DFO,
- Its business plan, as submitted by the corporation to DFO,
- Its plan for the training and supervision of individual observers, as submitted by the corporation to DFO,
- Its quality system for ensuring the integrity of the information collected, as compiled and submitted by the corporation to DFO.

Note: The quality system referred to herein is the quality system required by the Canadian General Standards Board. Suspension or revocation of a CGSB listing indicates non-compliance with the quality system.

4. Authority

The Regional Directors General of DFO have the regulatory authority to revoke the designation of a corporation if they determine that the corporation has failed to perform its duties or fails at any time to demonstrate it meets the arm's-length criteria as specified in these Designation Policy and Procedures or has otherwise affected the credibility and integrity of the program as described in subsection 39.1(2) of the Fishery (General) Regulations.

5. Procedures

CGSB Listing suspended or revoked
1. If a corporation's CGSB listing has been suspended or revoked, the DFO program coordinator will advise the Director of Conservation and Protection (C&P) or his/her alternate. A letter signed by the Director of C&P or his/her alternate will be sent to the corporation 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 corporation.
2. If no response is received from the corporation in the specified time, C&P will forward a recommendation to the Regional Director General requesting the revocation of that corporation's designation.
3. If a response is received from the corporation within the specified time, C&P will review the response. If the corporation provides an acceptable explanation, the Director of C&P or his/her alternate may grant the corporation up to a total of three months to reinstate their CGSB Listing. If the corporation's 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 corporation's designation.
Minor Breaches
For minor breaches on the part of a corporation, a DFO Fishery Officer or DFO program coordinator (C&P or Science program coordinator) may elect to point out the problem to the corporation and attempt to resolve the breach through remedial measures
Other Breaches - failure to perform duties:
1. If the attempts made in 3.(a) above (Failure to Perform Duties) are unsuccessful and the problem has not been addressed by the corporation, or for failure to perform duties, the DFO C&P program coordinator will advise the Director of C&P or his/her alternate. A letter signed by the Director of C&P or his/her alternate will be sent to the corporation 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 corporation 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 corporation. The letter may also specify that if the corporation 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 corporation.
When a letter referred to in 3.(b) or (c) above (Failure to Perform Duties) is sent and no response is received from the corporation in the specified time, C&P will forward a recommendation to the Regional Director General requesting revocation of that corporation's designation.
If a response is received from the corporation, C&P will review the response and 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 3.(b) or (c) (Failure To Perform Duties) above is sent to the corporation, a follow-up letter shall be sent to the corporation by the Regional Director General advising the corporation of his/her decision regarding revocation of designation and setting out, if necessary, remedial action that the corporation is required to take. If a corporation's designation is revoked, the corporation 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 corporation, the corporation may be re-designated as a corporation at the discretion of the Regional Director General. The Regional Director General will also 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

Late arrival of observer at port prior to sailing
Trip package not submitted within required timelines
Expired certificate of designation
Incorrectly recorded data sent to DFO
Observer not dispatched when required
Observers not rotated as per policy
Allowing persons not employed by the corporation to deploy observers
Refusal to forward irregularity reports to DFO
Failing to provide/deploy observers with required equipment
Any other action deemed to be unprofessional or that impacts on the integrity of the program

Examples of Serious Breaches

Repetition of minor breaches
Use of alcohol and/or drugs by observers while on duty
Any actions not respecting the confidentiality of information
Trip data package not meeting requirements
Submission of incomplete reports
Failure to document and submit irregularity information
Failure of corporation to maintain CGSB listing
Training not provided as required or testing done unfairly
Deployment of an un-designated observer
Any other action deemed to be unprofessional or that impacts on the integrity of the program.

Examples of Major Breaches

Ongoing repetition of minor and or serious breaches
Falsification of any data
Acceptance of gratuities and/or bribes
Breaches of the Statutes of Canada
Failure at any time to demonstrate meeting the conflict of interest and arm's- length criteria
Any other action deemed to be unprofessional or that impacts on the integrity of the program.

AT-SEA OBSERVER REQUIREMENTS

All individuals wishing to work as observers for at-sea observer corporations 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 at-sea observer, candidates must successfully complete the national certification training program (as per the Training and Certification of At-Sea Fisheries Observers National Standard, CAN/CGSB-190.1-97), 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.
Be legally eligible to work in Canada.
Consent to a personal screening and obtain a Government of Canada enhanced reliability security clearance.
Have no serious convictions under the Criminal Code or any act or legislation administered by Fisheries and Oceans Canada.
Once designated, at-sea 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 this document.
Sign the “Code of Conduct for At-Sea Fisheries Observers” as specified in Appendix A of the CGSB Training Standard 190.1-97.
Successful complete the basic offshore survival techniques training course required by Transport Canada.
Hold a valid first-aid certificate from a recognized training agency.
Hold a maritime radio-telephone operators restricted certificate or equivalent.
For deployments to vessels travelling in foreign waters, possess a valid passport.

AT-SEA OBSERVER CORPORATION OPERATIONAL RESPONSIBILITIES

Observer Safety

The safety of the observer is the responsibility of the observer and the corporation, as the employer, under federal regulatory authorities of Transport Canada for fishing vessel safety and with respect to the Canada Labour Code as applicable, and also pursuant to other provincial legislation which may be in effect in the jurisdiction where service is provided.

For the purposes of DFO designation as a corporation providing at-sea observer services, the corporation is required to have in place, and ensure the individual observer completes, the appropriate regional Observer Safety Checklist prior to deployment to a fishing vessel.

If an observer determines that the vessel is unsafe for deployment, as documented in the safety checklist, this should be immediately reported to the corporation and in turn to DFO for follow up as required.

Provision of safety equipment such as survival suits and other safety equipment is the responsibility of the corporation and arrangements between the corporation and the designated observers.

Project Management and Organization

The corporation must establish a Project Management Team to include one project manager (as applicable), a training team, a data quality control team, and a project team (consisting of briefers and de-briefers, deployment coordinators, and other support staff as required).

The corporation must also establish a main operational premises and assign an individual project manager on a full time basis for the duration of operations.

The corporation must enter into written arrangements (e.g., service agreements, contracts, etc.), on its own behalf, with fishermen or their representative associations for the provision of the required observer coverage.

The corporation must also issue a summary of these written arrangements (i.e., a listing of the names of the fishermen or their representative associations and date of entering into the arrangement) to DFO, and to those fishermen and associations contributing to the funding of observer coverage services.

At-Sea Observer Recruitment, Training, and Certification/Designation

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

Recruitment

A corporation must recruit observer candidates for training that have obtained, or undertake to obtain, the qualifications as specified in this document. A list of potential candidates with their qualifications must be submitted to the DFO program coordinator (for approval) prior to the start of the training course.

Training and Certification

A corporation must conduct training, as per the: Canadian General Standards Board National Standard of Canada, CGSB 190.1-97 (Training and Certification of At-Sea Fisheries Observers); the DFO Course Training Standard (1997); and the requirements of the regional annex of the DFO Region where designation is assigned to deliver training sessions, as required to maintain the necessary complement of observers.

A corporation must also conduct any special supplemental training to update or expand observer knowledge, at the request of DFO.

Certification/Designation of Individuals as At-Sea Observers

A corporation must prepare national certification examinations and re-certification examinations of all observers and any other written re-examinations which may be required as a result of any on-going or continual, remedial or special training required. These examinations must be submitted to the DFO program coordinator for approval.

A corporation must arrange for an independent examiner to administer and grade the referenced examinations specified in the previous paragraph. The name and qualifications of the proposed independent examiner must be submitted to the DFO program coordinator for approval.

A corporation must submit to DFO the names of those candidates who have passed the national certification examinations for approval and designation as At-Sea Observers by the Department.

Subsequent to the corporation submitting the names of candidates who have passed the national certification examination, DFO will review and ensure that the named candidates meet all other eligibility requirements before designating those candidates as observers pursuant to the Fishery (General) Regulations.

To be eligible for DFO 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 this document.

Initial designation as an at-sea observer is valid for six months for the first designation and 36 months for any subsequent designation.

The DFO-designation of individuals as observers shall not constitute an acceptance by the Crown of the competency of the corporation's workforce, in as much as the corporation shall not thereby be relieved from any of its obligations to produce a quality product.

The DFO Regional Director General shall provide each observer with an identification card that shall be the certificate that certifies the observer's designation as per the Fisheries (General) Regulations. The identification cards are the property of Canada and shall be returned upon expiry or upon revocation of the observer's designation by the Regional Director General. In the event that an observer identification card is lost or stolen, it shall be reported to DFO within 48 hours. Observers shall not use the identification cards for purposes other than the performance of their duties as observers.

Revocation of Certification

The Regional Directors General of DFO have the regulatory authority to revoke the designation of an at-sea observer, if they consider that the observer's conduct impacts on the credibility and integrity of the program, as described in subsection 39(6) of the Fishery (General) Regulationsor fails to meet therequirements set out in section 10.3 of the CGSB standard for Training and Certification of At-Sea Fisheries Observers.

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

At-Sea Observer Deployment

A corporation must manage the deployments of observers to meet DFO's requirements, including being able to respond to shifting priorities and short-notice deployment situations.

A corporation must also implement the deployment strategy specified by DFO, which will include the level of observer coverage to be applied to all fisheries.

In the event of new or unanticipated coverage requirements exceeding the standard requirement, the corporation may be provided consideration for additional training or alternative deployment scheduling to meet the requirement.

The overall monitoring of deployments to target coverage levels will be the responsibility of DFO, in cooperation with the corporations and the fishing industry, particularly where fishing industry associations are dealing as a group with an at-sea observer service-providing corporation.

Corporations will be required to provide regular and ongoing reporting to DFO, regarding the deployments carried out by the corporation.

Deployments may be achieved in a number of ways, including:

randomly (trips per vessel or per fleet);
random spatially (trips per area);
random temporally (depending on fishing seasons);
targeted to specific vessels selected by DFO; and
through the implementation of fishery specific deployment plans developed by DFO.

Corporations will be required to ensure that their at-sea observers record and report on all aspects of vessel activity and that observers adhere to the following responsibilities:

Record and report data and other relevant information, including (where directed by DFO) Global Positioning System (GPS) data recording and accuracy and, on vessels with Vessel Monitoring System (VMS), verification that the VMS unit is operational. Other relevant information may also include reporing on the activities of vessels and on possible infractions of Canadian fisheries legislation, particularly with regard to season, closed area and buffer zone management, catch and gear restriction, landing of prohibited species, discard and dumping information, logbook recordings, and reporting requirements of catch and effort limitations.
Record and report accurate catch information, set by set, catch weight by species, and fishing effort, including (but not limited to) rare species and species at risk.
Collect biological and fisheries data, including (but not limited to) length, size composition of catches, morphological measurements, examination of gonads and other body structures to determine sex and maturity, collection of body parts (including aging material, such as ear bones, scales, and spines).
Prepare an orderly documentation of information related to suspected infractions of Canadian fisheries legislation and present oral and documentary evidence as a witness in a Court of Law.
Record and report on the technological characteristics of the fishing gear being used, including all components. Gear likely to be encountered include: bottom, mid-water, off bottom, and pair trawls; longlines; purse seines; dredges and rakes; trolls; gillnets; and traps.
Determine the accuracy of data being collected through the observation of navigational and fishing aids onboard the vessel.
Collect data relating to the processing of the fish, including characteristics of the processing area, equipment, form of product, product weight analysis, conversion factors, market data, rates of processing, and freezing by product form and species.
Collect data relating to and report upon fishing patterns and what relation they have to catch, catch rate, feeding habits and diurnal behavior of the fish being caught.
Collect hydrological data (as required) and data related to biological observations of fish stocks found in Canadian and adjacent fisheries waters of interest to Canada, as well as to the fishing trends of foreign and domestic fleets in such waters.
Collect data related to research into fish habitat and, as required, record and report data and other relevant information on possible infractions of the habitat provisions of the Fisheries Act and Regulations.
At the request of DFO, observers may be required to monitor the offloading of vessels, including the monitoring of the landing of fish and the verification of the weight and species of fish caught and retained.
Collect, label, and preserve all specimens required by DFO.
Monitor and report on the dumping of harmful and polluting material into the ocean.
Report suspected infractions of vessel-safety regulations made pursuant to the Canada Shipping Act,
Develop a plan for the deployment of observers in specific areas near the areas of greatest activity. The assigned observers must have adequate access to appropriate communication services.
Maintain a roster to ensure: adequate numbers of observers are available to ensure responsive and cost-effective deployments from the key ports within each deployment location; responsiveness to short notice deployments; and minimal observer travel and living costs.
Brief observers prior to deployment according to the specifications required for the fishery.
Convene a debrief with the observer within three working days of the completion of each deployment to ensure that the tasks assigned to each observer have been completed, including: all portions of the data package are verified as complete and accurate, arranged in the proper order (refer to the appropriate Regional data collection forms), submitted to the observer corporation, and submitted for review by DFO, and that photocopies or scanned copies of data forms and trip reports are made and properly collated; all biological specimens are delivered to DFO in good condition and properly labelled; and all photographs, drawings and video recordings are delivered to DFO.
A trip refers to a single vessel sailing (leave port - return to port). A deployment may consist of a single observer trip or a series of trips within the deployment.
As requested by DFO, a member of the corporation's management team must attend any management meetings (at the corporation's expense) during the period in which service is being provided to the fishing industry.
Provide a duty officer available for contact during the time(s) when the corporation's offices are closed.
Utilize the respective hail-out system in those DFO Regions where hail-out systems are operational.
Monitor and report on the overall general performance of its observers and ensure that all requirements as specified by DFO are fulfilled accurately and consistently on each trip.
As requested by DFO, prepare observer summary data reports for individuals fisheries.

Data Quality Management

The regional annex for each DFO Region will specify the detailed data forms and processes to be followed for each region. In general, the requirements are as follows:

Deliver a fully completed data package including all handwritten (hard-copy forms) and electronic data package (key-entered data) for each deployment to DFO.
All diaries and materials previously issued to the observer, as well as a detailed written report of the vessel's activities and all data collected as related to the assigned tasks, must be submitted to DFO by the corporation.
The complete data package consists of two major data sets as follows: a) the OTIS (Observer Trip Information System) trip report summary forms used primarily for ongoing fisheries management purposes; and b) the (Science) Data Package which is a more detailed data set summarizing the fishing activities within a trip used primarily used for scientific analysis, including stock assessments. The forms comprising the data package are unique to each DFO Region.
Provide a hard copy summary of trip report data for the vessel to which the observer has been deployed at the request of the licence holder (or designated representative) and upon the approval of DFO to the requesting party.
Ensure that the person responsible for data quality control be readily available in the area of the main operational premises to address any issues which may arise concerning data management and quality, on an on-going basis.
Respond in writing within three working days to any written questions raised during the evaluation of the trip package by DFO.
Transmit to DFO situation reports from observers. These consist of the general situation report, the northern shrimp report, and the crab situation report. These three situation report forms must be entered into a database by the corporation, or otherwise forwarded to DFO as specified in the respective regional annex, in a secure manner, within 24 hours of the date of landing of a deployment. For deployments in excess of a seven calendar day duration, this information is required to be forwarded to DFO on a weekly basis. Both manual and electronic reports must be submitted to DFO.
Report on a daily basis to DFO fishery-specific issue reports (small fish capture and by-catch of sensitive species) when identified threshold levels are reached by the vessel at sea.
Monitor the status code portion of the situation reports and alert DFO where there are indications of problems aboard a vessel, such as suspected violations or for life threatening circumstances on board the vessel. The corporation shall immediately relay such information to DFO.
Ensure all information and data collected from fishers during at-sea observer deployment operations is handled and protected in accordance with the provisions of the Privacy Act. Information/data collected by observers and at-sea observer corporations from fishers is personal information, as defined by the Privacy Act, and is the property of DFO.
Observers and at-sea observer corporations 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 from fishers with any other party requires written approval from the fisher and DFO.

Other Obligations related to the Work

In the performance of the above tasks, the corporation must adhere to the following:

Language Requirements

The corporation providing observer coverage service must provide all aspects of the service at a level sufficient to meet the operational requirements of the program, as well as the fishing industry, based on the language requirements of the (client) fishing industry being serviced and the respective DFO Region.

Observer Equipment and Material

The corporation must provide all observer equipment and material to each designated observer and ensure that all equipment and material is in good condition for use by the observer. Regional equipment lists are detailed in each regional annex to these Designation Policy and Procedures.

As requested by DFO, the corporation must compile video, photographic or other electronic information materials during a deployment. All materials gathered (including photographs, videos, and other electronic data collections, such as from GPS recordings) must be submitted to DFO as part of the trip data package. The corporation must not retain any videos, photographs or other electronic information taken by observers in the performance of their duties.

In cases where specialized equipment may be required by DFO, beyond that which is contained in the regional annex equipment list, the Department will be responsible for providing such equipment.

Canadian Content Certification

The applicant represents and warrants that no less than 80 per cent of the application deliverable requirements consist of Canadian goods and Canadian services as defined in the Government of Canada (Public Works and Government Services Canada) standard procurement clause “Canadian Content Definition”.

The applicant acknowledges that the Minister relies upon such representation and warranty to evaluate the application for designation and to enter into any contract between the applicant and the Canadian fishing industry for provision of service.

Such representation and warranty of Canadian Content may be verified in such manner as the Minister may reasonably require. Should a verification by the Minister disclose a breach of such covenant, the Minister shall have the right to treat any designation resulting from this application as being in default, and to revoke the designation, pursuant to the authority of the Fishery (General) Regulations.

ARM'S-LENGTH CRITERIA

The corporation hereby represents and warrants that it, its subcontractors or agents and their respective personnel assigned to or engaged for the performance of the work, have not accepted and shall not accept any bribe, gift, benefit or other inducement that would, in any way, cause a real or apparent conflict of interest.

The corporation further represents and warrants that it, its subcontractors or agents and their respective personnel assigned to or engaged for the performance of the work, shall have no activities or relationships with any third parties, including fishing vessel owners and operators, that would render it or any of its subcontractors or agents unable to provide impartial assistance or advice to Canada or would affect or otherwise impair its or their objectivity in performing the work.

Should the corporation become aware of any such activity or relationship, bribe, gift, benefit or other inducement, the corporation would undertake to immediately report the matter, in writing, to DFO.

Failure to notify DFO within five days of the date on which the corporation first became aware of the potential conflict will permit Canada to terminate the CGSB qualification and DFO designation of the corporation.

Upon learning of any potential conflict of interest on the part of the corporation or any of its subcontractors or agents and their respective personnel assigned to or engaged for the performance of the work, Canada may direct the corporation, in writing, to take whatever steps that Canada, in its sole discretion, deems necessary and appropriate to resolve the potential conflict.

Corporations applying for DFO designation under these Designation Policy and Procedures must provide a notarized declaration that the corporation and its directors, principals, officers, shareholders, and employees, and those with any other financial interest in the corporation have no actual or perceived conflicts of interest with the fishing industry, and meet the arm's-length criteria as described in these Designation Policy and Procedures, and explains how any such conflicts will be resolved.

In addition, full disclosure including the names and affiliations of the corporation's board members as described above should be provided. Any modifications to the corporation's board (after initial designation) should be communicated to DFO in writing as they become effective.

DEFINITIONS

At-Sea Observer Corporation

A corporation is an entity that will be designated by DFO to become engaged in fisheries observation and scientific data collection from fishing enterprises, based on meeting the initial and ongoing requirements for CGSB qualification (listing) and DFO designation, in accordance with the Fishery (General) Regulations.

Fishing Enterprise

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 enterprises would be considered a single fishing enterprise for purposes of these Designation Policy and Procedures.

Fishing Organization

A formally constituted association or organization representing particular fishing enterprises. These enterprises could include 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

Fishing enterprises are considered to be affiliates or in affiliation when one holds an interest in the other's enterprise. A corporation is considered an affiliate of a fishing enterprise if the enterprise or any of its owners or shareholders has an interest in that corporation.

A fishing enterprise is considered an affiliate of a corporation if the corporation or any of its owners or shareholders has an interest in that fishing enterprise.

Fishing enterprises are considered to be in affiliation if one fishing enterprise or any of its owners or shareholders holds an interest in another fishing enterprise.

A non-profit corporation is considered an affiliate of a fishing enterprise if that corporation has an interest in the fishing enterprise. A fishing enterprise is considered an affiliate of a non-profit corporation if that fishing enterprise has an interest in the corporation.

Agent

A person acting for a corporation, fishing enterprise or fishing organization, including owners, shareholders, officers, managers or employees, is considered an agent.

Interest

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

An individual is considered to have an interest in a fishing organization if he or she is a member or employee of that organization.

Individual fishing enterprises, affiliated fishing enterprises, individual fishing organizations, affiliated fishing organizations, and non-profit corporations are considered to have an interest in an at-sea observer corporation if it, or any of its owners, officers or employees, holds (directly or indirectly) any shares in the corporation.

Involvement in a non-profit corporation is considered an interest if a fishing enterprise or an individual fishing organization holds anyseats on the corporation Board of Directors.

Involvement in a fishing enterprise is considered an interest if any of its shares are held directly or indirectly by a fishing enterprise or any of its owners, shareholders or employees, or by a corporation or any of its owners, shareholders or employees.

Commercial Relationship

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

GUIDELINES

SHAREHOLDERS AND MEMBERS OF AT-SEA OBSERVER CORPORATIONS

The agents of a corporation must not have an interest in a fishing enterprise in circumstances that could compromise (or be perceived as compromising) the At-Sea Observer Program and the accuracy of data collected.