ATLANTIC REGION DOCKSIDE MONITORING PROGRAM POLICIES AND PROCEDURES
TABLE OF CONTENTS
The objective of the Dockside Monitoring Program (DMP) is
to provide accurate, timely, and independent third party verification of
landings. DMP constitutes the primary source, and in some cases the sole source,
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, the DMP Quality
System Standard and this Atlantic Region Dockside Monitoring Program Policy and
Procedures manual. Parties interested in seeking designation can access the
required DMP information package upon request to DFO. There may be a fee
associated with provision of the documentation.
DMC's delivery of dockside monitoring services will be
audited to ensure the accurate and timely verification of landings. 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 selected 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, 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.
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- 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.
- May designate as Dockside Observers individuals who
have met the requirements outlined in Section G of this document, and may
revoke designations where required as outlined in Section H.
- As appropriate, notify DMCs and the observer of
suspected breaches by an observer of the Duties of a Dockside Observer. The
notification shall include the nature of the allegations, and status of the
observer during the investigation, and an estimate of the timeline for
investigation. An audit report must be filed in the Dockside Observer Checks
System (DOCS), with a reference to any investigation report.
- May designate as Dockside Monitoring Companies those
companies that have met the requirements as outlined in Section C of this
document.
- 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 distribute DMP incident reports in a timely
fashion for follow-up action as required, and 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 verify that the DMP is operating effectively
through field checks of Dockside Observers as well as discussions with
end-users of data and periodic meetings with DMC administrative personnel.
- Review/approve 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 a timely basis, provide the DMC with information on
the issuance of replacement licences "fishing license transfers" after the
replacement licence has been issued.
- 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.
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All DMCs must be designated 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:
- Business Plan
A DMC seeking designation shall at a
minimum, include the following in the business plan:
i) Incorporation papers
ii) An attestation from an
accountant or financial institution indicating that the company has good
financial standing, sufficient working capital to implement the business plan,
or the posting of a bond equal to three months of projected revenues.
iii) A company organization
chart listing principals, officers, and employees including job descriptions
and responsibilities;
iv) An operational plan
setting out operational procedures and equipment requirements that demonstrate
the capacity to operate dockside monitoring services on a 24-hour basis;
v) A human resources plan,
including résumés and experience of staff, that demonstrates the capacity and
expertise to provide dockside monitoring services; and
vi) A detailed training
plan for dockside observers that will be delivered by the DMC or an independent
training organization, and the names of independent adjudicators for the
purposes of examining dockside observers upon the completion of training. DFO
will require amendments to the plan when changes to legislation or policy
dictate new DMP requirements.
- 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 K.
- 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.
- 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.
- CGSB will conduct annual quality system audits of DMC
quality systems to verify continued compliance. The Director of Enforcement
Operations, NHQ in consultation with the CGSB, will determine if and when
audits will be conducted every second year. If continued compliance is not
maintained, the DMC will be required to remedy the problem. The CGSB listing
number could be revoked if a DMC disregards requests by CGSB to implement
corrective action. Losing the CGSB listing number could result in the loss of
a DMC's designation.
- 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 the CGSB Listing Program For Dockside Monitoring Companies, which
can be found in Annex III of this document.
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 one audit
per year. Should a DMC require more than one audit per year 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.
- 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:
i. Maintaining the quality
standards for DMP through ongoing listing by the Canadian General Standards
Board;
ii. Meeting the arm's length
requirements; and
iii. Maintaining good financial
standing.
Failure to meet these requirements
could lead to loss of designation.
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.
Falsification of any information
related to monitoring fish landings could lead to immediate loss of
designation.
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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 landed immigrant status;
- Produce a certificate of conduct from a police agency
or consent to a personal screening to obtain enhanced reliability clearance
- Must have no serious convictions of the Fisheries Act
or Regulations, unless a pardon has been granted. 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 laid against them.
- Be in compliance with the Arm's Length Criteria
described in Section K 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.
- Once designated, an observer must conduct a minimum of
5 off-loadings per year to in order to maintain designation.
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- 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 develop a minimum of 3 versions of an exam,
containing information from the current training manual. DFO will provide a
copy of the exam to the independent examiner for testing.
- The DMC shall ensure all company staff are aware of the
"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
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, the DMC is to provide a confirmation number to the fisher as required by
licence conditions or regional requirements, 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 can be made accessible to DFO through an automated system.
- 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.
- Deployment of Observers to monitor offloading is the
responsibility of the DMC. The DMC will not authorise processors, buyers,
fishers, or other parties not operating at arm's length from the fishing
industry, to contact observers for deployment.
- Monitoring levels for non-100% monitoring shall be
determined by DFO.
- DMC's should deploy Observers to the Fish Landing
Station (FLS) 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 soon as possible, but no later than 24 hours
following reception of the information by the DMC.
- DFO and DMC concerns regarding 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.
- The DMC shall maintain records to show that deployment
levels are in compliance. The DMC should work towards having these records
maintained in a DFO accessible database, however the information can be made
available to DFO in hard copy, upon request.
- 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.
- Where catch is offloaded in a bulk or packaged form,
protocols for examining the catch at intervals satisfactory to DFO must be
implemented and followed to ensure the accuracy of landings data.
- 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 could require a unique
serial number.
- Ensure Dockside Observers comply at all times with Designation
Requirements and 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 renewal, 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.
- The DMC shall conduct ongoing evaluation of its
Dockside Observers. Where deficiencies are identified, the DMC shall take the
necessary and appropriate action, possibly including but not limited to,
refresher training.
- A DMC shall immediately notify DFO when a designated Dockside Observer
from another region is hired.
- Participate on a DMP-stakeholder consultation committee
as described in Section B.3 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.
- Facilitate the collection of the Department's copy of
the logbook/landing reports for remittance to DFO, when requested by 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.
- 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 dates that
all observers were designated and the expiry dates of these designations.
- 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.
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The primary function of the training program is to ensure
observers 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
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:
i) Industry fish handling
practices, off loading methods, and weigh-out methods and practices and related
protocols
ii) the role and purpose of
data in fisheries management
iii) fish species identification
iv) DMP and observer operating
practices
v) ethics and the implications
of personal liability.
- Minimum Training Requirements
Dockside observers shall receive
training in the following areas:
i. 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
ii. The DMP regulatory and
compliance framework
iii. Dockside Observer
Requirements (Part D)
iv. Dockside Monitoring Program
Policy and Procedures
v. Checking fishing logs for
completeness and dockside monitoring documents for completeness and accuracy
vi. Communication skills and the
ability to handle difficult interpersonal situations
vii. DFO-approved weigh-out
procedures
viii. Recording and reporting
procedures for offloading-related documentation
ix. Weights and measures - basic
operation of scales, testing for accuracy
x. Preparation of incident
reports, including required note taking and information, proper procedures, and
giving evidence
xi. Species identification and
the requirement to identify all species landed
xii. The DMP quality control
system and operational standards for dockside observers
xiii. The dockside observer's
conditions of designation and employment, and rules relating to loss of
designation and employment
xiv. 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.
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- Prior to commencing their duties, all Observers must be
designated by the Regional Director General and provided with a certificate
pursuant to subsection 39(1) and 40(1) of the Fishery (General) Regulations.
Designation does not constitute the Crown's acceptance of the competency of
the Observers. 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 a minimum of five 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.
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- 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.
- Scope
These guidelines apply to Observers who
have been found to have breached the Duties of a Dockside Observer.
- 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.
- 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, re-applies for designation, the RDG may re-designate
this person.
- Procedures
(a) For minor shortcomings on the part of an
observer, The 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.
(b) If the attempts made in (a) above are
unsuccessful, or for more serious shortcomings that could potentially affect an
observer's designations status, the Fishery Officer and Detachment Supervisor
will advise RHQ who will in turn prepare a letter under the signature of the
Director of C&P to the observer outlining the problem and seeking an
explanation. It must be ensured that the observer receives the letter. The
letter should specify that if an explanation for the behavior, 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.
(c) 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.
(d) If a response is received from the
observer, RHQ will review the response and in consultation with the detachment
that originated the report, will determine whether there is a reasonable
explanation for the shortcoming, 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.
(e) 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.
(f) If the designation
is revoked, the decision of the RDG will be communicated in writing to the
observer and the DMC. The DMC shall attempt to obtain and return the observer's
"Certificate of Designation" to DFO.
(g) Any observer alleged
to have committed a serious or major breach of the duties of a Dockside Observer
must not carry out Observer duties upon notification to the DMC by the
Department of Fisheries and Oceans. DFO shall conduct an investigation and may
recommend a course of action to immediately address a breach of duties, pending
the outcome of the investigation. Upon completion of the investigation, DFO will
notify the DMC of its decision regarding the breach of duties.
- 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 to offloading station
Information recorded incorrectly
Documentation not submitted within required timeframe
Scales not checked for accuracy
Completed logbook not signed
Expired Designation
Not operating at arm's length from the fishing industry
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
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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.
- Not permitted to monitor an offloading unless fish is
offloaded and weighed at a fish landing station, government wharf, or
fish-buying company wharf. 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.
- Determine if there is a buddy-up/pooling arrangement in
place where two fishers have catch on the same vessel.
- In buddy-up/pooling arrangements there must be two
logbooks. Observers should 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
- Record gear type, logbook weight by species, product
type, and management area on the Weigh-out & Tally Sheet. The Observer must
record the side number 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.
- 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.
- Record the weight of fish only from scales that have
been certified for use in trade (Weights and Measures Act and regulations).
If there is reason to believe that certified scales are not functioning
accurately, all attempts must be made to acquire new scales or have the
existing scales adjusted.
- 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, Observers are not permitted to monitor the
offloading, and must contact the DMC immediately.
OFFLOADING
- Ensure the method of offloading for the species has
been approved by DFO, for example, dip method (herring, capelin & mackerel),
or direct weighing.
- Unless a DFO approved protocol is in place, the
Observer shall only monitor the offloading of one vessel.
- Verify or confirm, though 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 as soon as possible.
- 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.
- Ensure separate entries are made on the Tally Sheet for
each fisher in a buddy-up/pooling arrangement.
- Ensure DFO-approved sampling protocols are adhered to
at all times.
- 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 and/or a 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:
i) Date landed
ii) Vessel Name and
CFV number
iii) Port of Landing
iv) Name of Observer
v) Name of license
holder or designate
vi) Name of buyer
vii) Species fished (as
recorded in fishing logbook)
viii) Area Fished (as
recorded in fishing logbook)
ix) Particulars of
incident
- Contact the DMC or the nearest DFO contact or
office at any time when you have an immediate concern, or need clarification
of an issue.
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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 taking affect. If DMCs wish to provide comments,
they must do so in writing, to the department within 30 days of receiving the
proposed amendments
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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 should 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:
i) A DMC shall not provide
monitoring services for a Fishing Entity in which any of the DMC's Agents have a
Significant Interest.
ii) A DMC shall not provide
monitoring services for Affiliated Fishing Entities in which any of the DMC's
Agents have a Significant Interest.
iii) A DMC shall not provide
monitoring services for a Fishing Organization in which any of the DMC's Agents
have a Significant Interest.
iv) 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.
vi) A DMC should 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 should 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:
i) An incorporated DMC shall
not provide monitoring services for a Fishing Entity if there is an Affiliation
between the DMC and that Fishing Entity.
ii) 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.
iii) A DMC shall not provide
monitoring services for Affiliated Fishing Entities if any one of these holds a
significant interest in the DMC.
iv) 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 should 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:
i) The majority of a
DMC's board of directors should have no Interest in a Fishing Entity.
ii) The majority of a DMC's
board of directors should have no Interest in a Fishing Organization.
d)
OFFICERS AND EMPLOYEES OF A DOCKSIDE MONITORING COMPANY
The officers and employees of a DMC
should have no formal relationship with the fishing industry thereby allowing
them to carry out their functions independently and without conflicts of
interest.
This means:
i) The officers, managers and
employees of a DMC should have no direct or indirect Interest in a Fishing
Entity.
ii) The officers, managers and
employees of a DMC should 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 should 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:
i) Neither a DMC
nor its Agents should make loans to, or accept loans from, the Fishing Entities
or their Agents for which the DMC provides monitoring services.
ii) Neither a DMC nor
any Fishing Entity for which the DMC provides monitoring services should hold
mortgages on each other's property.
iii) Neither a DMC nor
its Agents should have contracts to provide other professional services for
Fishing Entities for which the DMC provides monitoring services.
iv) Affiliates of DMCs
should not enter into contracts to provide other professional services to
Fishing Entities for which the DMC provides monitoring services.
v)
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.
vi) Neither a DMC nor
its agents should participate in joint ventures, or as partners, in commercial
activities with Fishing Entities for which it provides monitoring services.
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Scan Regs. and put here.
REGULATORY REGIME
Regulations Governing the Dockside Monitoring Program Fishery
(General) Regulations
39. (1) 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:
a) 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;
b) does not purchase fish for the purpose of resale,
and
c) is not an owner, operator, manager, or employee of
an enterprise that catches, cultures, processes or transports fish.
(2) The Regional Director-General
shall assign to an observer designated under subsection (1) one or more of the
following duties:
a) the monitoring of fishing activities, the
examination and measurement of fishing gear, the recording of scientific data
and observations and the taking of samples;
b) the monitoring of the landing of fish and the
verification of the weight and species of fish caught and retained, and
c) conducting biological examination and
sampling of fish.
(3) 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.
(4) 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.
(5) 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.
(6) The Regional Director-General
may revoke the designation of an observer designated under subsection (1) if the
observer
a) no longer complies with the criteria set out
in that subsection;
b) performs his or her duties in respect of a
fisher with whom the observer is not dealing at arm's length;
c) falsifies any information transmitted in the
course of his or her duties or fails to perform those duties; or
d) fails to perform his or her duties in a
competent and professional manner. SOR/98-481, S 3.
Certificate of Designation
39.1 (1) The Regional Director-General may designate as an
observer any corporation that has submitted
a) 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
i) a business plan for the corporation
that describes the organization of the corporation, its human resources and its
plan of operations,
ii) 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
iii) 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;
b) 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
c) evidence of the corporation's financial
viability, or a performance bond guaranteeing three months of operations.
(2) An observer designated
under subsection (1) has the following duties:
a) to comply with the program submitted under
paragraph (1)(a);
b) to transmit to the Department, in a timely
manner, the information collected and compiled as part of the program;
c) to disclose all conflicts of interest that arise
after the observer's designation and explain how they are to be resolved; and
d) to resolve any conflicts of interest disclosed
under paragraph (c) or paragraph (1)(b).
(3) The Regional Director-General
may revoke the designation of an observer designated under subsection (1) if the
observer
a) Falsifies any information transmitted in the
course of its duties or fails to perform those duties; or
b) Fails to maintain the performance bond
submitted under paragraph (1)(c).
39.2 The designation of an observer is valid for
a) six months for the first designation and 36
months for any subsequent designation, in the case of an individual; and
b) 12 months for the first and second designation and
24 months for any subsequent designation, in the case of a corporation.
39.3 (1) No person shall submit false information to the
Regional Director-General for the purpose of obtaining his or her designation
as an observer.
(2) No observer
shall falsify any information that they transmit in the course of their duties. SOR/98-481,
S. 4.
40 (1) 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.
(2) 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
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L-1 Maritimes Annex
Dockside Monitoring Company
Performance Requirements:
-
Hail ins are to be entered into the MARFIS
system immediately but not more then 15 minutes after the issuance of the
confirmation number.
-
Hail outs are to be entered into the MARFIS
system immediately but not later then 1 hour after issuance of a confirmation
number.
-
Data collected for a monitored landing is to
be input into the MARFIS system immediately but not later then 6 days after
the landing.
-
Data for unmonitored landings are to be
forwarded to the dockside monitoring company, by the fisher, or as required by
license condition. Those documents are to be date stamped by the dockside
monitoring company upon receipt, and entered into the MARFIS system within 24
hours or within 14 days from the landing date, whichever is shorter.
-
All processed monitoring documents for all
landings ( monitored and unmonitored) are to be shipped to the Commercial Data
Division weekly and shipped in a manner that permits tracking of those
documents. The DMC is responsible for all documents until they are received by
the Commercial Data Division and a receipt is obtained.
-
All outstanding unmonitored documents that
have not been received by the DMC are to be listed and details of the actions
taken to obtain those documents are to be sent to the DMP Coordinator on a
monthly basis.
-
Any fisher with missing documents older then
30 calendar days is to be referred to the local C&P detachment for follow up.
A copy of this referral is to be sent to the DMP Coordinator who will follow
up with the Regional Director of Conservation and Protection.
- After March 15, 2005 all Dockside Observers, while on duty, are to wear a
dockside observer vest that clearly identifies them as a Dockside Observer and
their company affiliation.
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