twelfth regular session bali, indonesia 3 - 8 december 2015 wwf subm… · twelfth regular session...

TWELFTH REGULAR SESSION Bali, Indonesia

3 - 8 December 2015

ASSOCIATION FOR PROFESSIONAL OBSERVERS - INTERNATIONAL

OBSERVER BILL OF RIGHTS

WCPFC12-2015-OP04

13 November 2015

Paper submitted by World Wide Fund for Nature (WWF)

A s s o c i a t i o n f o r P r o f e s s i o n a l O b s e r v e r s

BestPracticeGuidelinesforResponsibleObserverProgrammes

MissionoftheAPOTheAssociationforProfessionalObservers(APO)isanon-profit,non-governmentalorganization

whosemissionistostrengthenobserverprogramsthroughadvocacyandeducation.Ourgoalistofacilitatetheexchangeoffisheriesinformationwhileprovidinganimportantsourceoffisheriesobserverprogramandfisheriesobserverdata-useinformation.Itisourintentionthattheresultsofouractivities

mayencouragetherecruitmentandretentionofprofessionalobserversandfosterthebestqualityobserverdataforthepurposesofconservationandtheresponsiblemanagementofmarineliving

resources.

2Version1.1,July2015(Formatted)

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Contents

INTERNATIONALOBSERVERBILLOFRIGHTS -AGUIDETOTHEHEALTH,SAFETY,WELFAREANDPROFESSIONALISMOFOBSERVERS.....................................................................4

Introduction...................................................................................................................................5ArticleI:EmploymentTerms...................................................................................................5ArticleII:FairandEquitableEmployment..........................................................................6ArticleIII:CompetitiveWagePackage..................................................................................6ArticleIV:HealthandSafety.....................................................................................................7ArticleV:RegulatoryAuthority,ObserverProgrammeandObserverEmployer

Support...................................................................................................................................................8ArticleVI:StakeholderIntegrity,ResponsibilityandProgrammeTransparency.8ArticleVII:ProfessionalDevelopment..................................................................................9References......................................................................................................................................9

CODEOFCONDUCTFORRESPONSIBLEOBSERVERPROGRAMMES–STAKEHOLDERRESPONSIBILITIES(CCROP-SR)..........................................................................................................10

Introduction.................................................................................................................................10SectionI:RegulatoryAuthority.............................................................................................11SectionII:ObserverProgramme...........................................................................................11SectionIII:ObserverEmployer..............................................................................................13SectionIV:MonitoredEntity...................................................................................................15SectionV:Observer...................................................................................................................17References....................................................................................................................................19

CODEOFCONDUCTFORRESPONSIBLEOBSERVERPROGRAMMES–OBSERVERHEALTHANDSAFETY(CCROP-HS)....................................................................................................20

Introduction.................................................................................................................................20SectionI:MedicalandPhysicalEmploymentCriteria...................................................211. Medicalcertificates........................................................................................................212. PreventiveMeasures.....................................................................................................21SectionII:MedicalTraining....................................................................................................221. BasicTraining..................................................................................................................222. AdditionalTraining........................................................................................................22SectionIII:HealthandSafetyTraining...............................................................................221. Traininglength................................................................................................................222. MinimumHealthandSafetyTrainingTopics(IMO1978)................................223. RequiredCompetencies................................................................................................244. SafetyduringHands-onComponentofTraining..................................................26SectionIV:WorksiteHealthandSafety...............................................................................261. Legalandprogrammaticpolicyframework...........................................................262. TransportationSafety...................................................................................................263. Embarkation/Disembarkation/TransferProtocols............................................264. Accommodation...............................................................................................................275. Access..................................................................................................................................276. Adequateassignmentnotice.......................................................................................277. Communication...............................................................................................................288. Mentalhealth...................................................................................................................289. Providedsafetyequipment.........................................................................................28References....................................................................................................................................28

Box1:SAMPLECHECKLIST FORVESSELS......................................................................................29Box2:MINIMUMSAFETYREQUIREMENTS...................................................................................30

GLOSSARY..........................................................................................................................................31


INTERNATIONAL OBSERVER BILL OF RIGHTS - A GUIDE TO THE HEALTH, SAFETY,WELFARE AND PROFESSIONALISM OF OBSERVERS

The original Observer Bill of Rights (OBR) was published in 2000 as the product of aworkshop and panel session held at the Canada - US Fisheries Observer ProgrammeWorkshop, St. John’s, Newfoundland, Canada (Anon. 2001), which was the secondconference in the International Fisheries Observer and Monitoring Conference (IFOMC)series. The original drafters included active and former observers who felt that themanaging agencies and employerswere in needof best-practice guidelines in order toenhance and maintain a professional corps of observers. The Observer ProfessionalismWorking Group (OPWG) was initiated at the 5th IFOMC in 2007 (McVea and Kennelly2007), using elements of theOBR for itsworkshops and resultingdocuments (Davis andQuelch 2008). The OBR was last modified in the 5th IFOMC proceedings (McVea andKennelly 2007). The current version widens the scope of the document to the ever-increasing corps of observers worldwide. The IOBR has been developed to clearlydelineate the employment and human rights of the observer. It is complemented by theprovisions of the Code of Conduct for Responsible Observer Programmes - ObserverHealth and Safety (CCROP-HS) and Stakeholder R es p on si b i li t i e s (CCROP-SR). Astandard list of definitions is used for referencing t hes e documents (CCROP-SR,Glossary).The two supplementalCCROP documentsdetailwhat is required to implementthe IOBR. These documents do not intend to supersede any existing international,regional, national, state/provincialor local law or observerprogramme requ ir emen t s ,w hi c h maybemoreextensiveor restrictive.Allobserverrights areequalandshallnotbeconstrued todenyordisparageotherrightsretainedbytheobservers.

ThisInternationalObserverBillofRights(IOBR)wasmodifiedincollaborationwithcurrentand former members from the Association for Professional Observers (APO) and the

OPWG, aswell as input received in associationwith the 7th IFOMC1(150 delegates from27 countries), held in Viña del Mar, Chile, April 8-12, 2013. These documents weredistributed for public comment to over 1200 stakeholders internationally from February2013 until August 2013. Venues for outreach were the APO Mail List, APO FacebookGroup, the 7th IFOMC Steering Committee, and targeted mail lists of additional publicstakeholders.

The APO has agreed to be custodian of this document2and associated CCROP-HS and CCROP-SR documents. These documents will be modified biennially with stakeholderinput. For enquiries, comments, contributions and updates, please contact the IOBRTeam:E-mail:[email protected];Web:http://www.apo-observers.org/billofrights.

1http://www.ifomc.com2Suggested citation: International Observer Bill of Rights (IOBR) [Internet]. Association for Professional Observers (APO): TheInternational Observer Bill of Rights and Codes of Conduct for Responsible Observer Programmes. Version 1.0. September 2013. Availablefrom: http://www.apo- observers.org/billofrights.


Introduction

An ‘observer’ is a person who is authorised by a regulatory authority to collectinformation in the field (either at sea or on shore) to support sustainable aquaticresourcemanagement.The observermust be financiallyindependentof the industrybeingmonitored(CCROP-SR,S ect i on V).Observersgenerally donothaveenforcementp ow ers buttheirdutiesoften involvethe collectionof enforcementrelated information.Therearemany titles associatedwith the observerprofession ,someofwhichdonothave theword“observer” inthe title(suchasmonitor, fisheries assistant, inspector, andsampler). Forthepurposesof thisdocument,the term“observer”is inclusiveof severalanalogouspositions under the monitoring, compliance and surveillance (MCS) umbrella (Flewwelling 1994,Flewwelling etal.2002).Observers are taskedwith awide range ofduties that areprimarily related tocommercialfishing, although other industries impacting the ocean environment may bemonitored aswell.Observer programmes typically have amultitude of objectivesranging fromscience to compliance an d frequently a combination of both (Davies and Reynolds 2002).Observersare typicallyeitherhiredby thirdpartycontractualagreementsor directlyby agovernmentregulatoryauthority.However,sometimes observers are hired as independentcontractors. Regardless of employer, observers generally work independently andunsupervised in an isolated and sometimes contentious environment and a variety ofentities may negatively impact their ability to complete their duties. The intent of thesedocuments is to establish internationalstandards that programmes can strive toward andto clarify and harmonise observer terms of reference. Standard terms of referencerelating toprofessional levelsofobserverswouldmake iteasierforanobserver totransfertheirexpertise andclarify the technological levelofdatacollected inaprogramme fordataend-users.

Article I: Employment Terms

I. Observers have theright toawritten contract thatclearlydefinesemploymentterms (CCROP-SR,Section III(9),including:

1. Position level as it relates to qualifications, competencies, responsibilities and typesofdatacollected;

2. Hiring,promotion,probation,demotionandfiringcriteria;3. Health, life,anddisability insurance terms(IOBRArticle III(3));4.Wagelinkedwithobserverexperience,performance,position,andlocation;segregated

bydifferentcomponentsofobserveremployment;5. Employment leave terms (including holiday/vacation, bereavement, medical and

employment re-entry terms);6. Retirementpackage terms;7.Protocols for deployment and field support of observers (e.g. travel logistics and

documents, cash, gear, food, accommodations and medical needs), in the field andduringbriefings,trainings,debriefings,andduringstandbyintervals;


8. Specify payment interval frequency and disclose any payroll deduction types (e.g.expenses,cashadvances,andtaxes);

9. Observergearandequipment requirements andmaintenance;10. Protocols thatensuresafeandhealthyworkingconditions (CCROP-HS Section IV);11. Communications andEmergency actionplan:protocols forhelping and/or rescuing

observers from emergency situations, including interference, harassment or assaultscenarios(CCROP-HS Section IV(7));

12. Performance evaluationcriteriaandfrequency;13. Employer’sPlanofActionforobserver’sprofessional development;14. ProfessionalstakeholderCodesofConduct (CCROP-SR).

Article II: Fair and Equitable Employment

II. Observers have a right to non-discriminatory, fair andequitableemployment, including:

1. Work environment freeofdiscriminationbasedon factors such asgender, ethnicity,race,spiritualbeliefs,age,class,sexualorientation,nationalityorpoliticalactivities;

2. Equalopportunitygrievanceprocedureavailableatnocosttotheobserver.Grievanceprocedures must be independent of observer programme and observer employerinfluence and include an appealprocess.Employers andobserverprogrammesmustspecifytheequalopportunitygrievanceproceduresaspartofa labouragreementandmustcomplywithnationallabourlaw;

3. Transparent and unbiased protocols used to select individual observers for a givendeployment;

4. Performanceevaluations that are transparent to theobserver,partof thedebriefingprocess and include criteria used by both the observer programme and employer.Observerprogrammes and employersshall afford a systemofwarningswithin theirperformanceevaluationsthatallowtheobservertheoptionofappealingtheevaluationormakethenecessarychangestoreturntogoodstandingwiththeprogrammeandtheemployer;

5. Fair labour standards for observers at both the observer programme and observeremployer level. Reviews of programme and observer employer adherence to fairlabourstandardsmustberegularlyperformed,betransparent,independentandeasilyaccessibletonewandformerobservers;

6. No employer may, without cause, fire, demote or restrict an observer fromemploymentopportunities.Theemployershallclearlysupportany terminationofanobserver’s employment with both observer programme and observer employerpolicies and documentation, stated in the observers’ employment contract and inaccordancewithnationallabourlaws.

Article III: Competitive Wage Package

III. Observers have a right to a competitive wage package commensurate withpositions requiring similar duties and educational background (IOBR Article I;


CCROP-SRSection III(9,10,11and14)).Financial independence from themonitoredindustry iscrucial.Acompetitivewagepackage includes,butisnotlimited to:

1. Step-based pay system that acknowledges different observer levels (defined byvariations in duties, responsibilities) and encourages experience and workperformancethatmeetsorexceedsexpectations;

2. Transferabilityofobservercredit(experience)forpurposesoffinancialcompensation fromoneprogrammetothenext,regardlessofemployer;

3. Insurancecoverage,withconsiderationforcoveragebeingequivalenttoobserverfield(sea)time,andconsiderationofanationalorgrouppooltodecreasecost,including:i. Basichealthcoverageprovidedforemploymentperiod;ii. Options for year round (comprehensive, beyond employment/during stand-by

periods)healthcoverage;iii. Life insurance, which provides compensation to a named beneficiary in case of

death;iv. Disability insurance; for long-term, cumulative injury arising from work related

injuries thatwerenotoriginallydetectedduring theworksuchasbackproblems,kneefailure,lungproblems;

4. Retirementpackageoptions;5. Shore-based work alternatives for older observers and those who experience

disabilitiesresultingfromtheirobservercareers;6. Leave remuneration including compensation options that acknowledge leave-time

needs(e.g.vacationsandholidays)betweendeployments;7. Payment for all time awaiting deployment, between deployments or waiting to be

debriefed.

Article IV: Health and Safety

IV. Observers have a right to a working environment with minimal health andsafetyrisks(SeeCCROP-HS),including:

1. Ability to conduct duties free from assault, harassment, interference or bribery(CCROP-HSSection III(2)(A)(xii)and(E)(iii)andSection IV(1);CCROP-SRSection I(2and3),SectionII(1)(E),(3)(B),(14,17and20),SectionIII(3)(AandB),(13,14,16and17),SectionIV,SectionV(10and11);

2. Righttorefuseanassignmentwithoutnegativerepercussions,withdocumentationofreason.Observerprogrammesoremployersshallnotrequireobserverstoaddressanyvesselinadequaciesthatcausevesselrefusal(CCROP-SRSectionIII(13)andSectionIV(7,8);CCROP-HSSectionIV);

3. National/international protocol developed for checkingminimum compulsory safetyand emergency-action equipment prior to each deployment (e.g. pre-deploymentchecklist, CCROP-HS, Box 2). Protocol must also include documentation of vesselrefusal, follow-up actions taken by appropriate regulatory authority and observeremployer (ifdifferent) to address any safety or accommodation issues and how anyshortfallswereresolvedpriortoplacementofsubsequentobserver;

4. Developmentandenforcementoflawsprotectingobserverhealthandwelfare;


5. Established minimum standards for adequate accommodation for an observerdeploymentappropriate to thesizeof themonitoredentityandequivalent to thatoftheofficersofthemonitoredentity(CCROP-HSSectionIV(4);CCROP-SRSection1(3),SectionII(3)(B),SectionIII(13and17)IV(13,14and17);

6. Transparency (especially available to observers) of safety andwelfare reports fromprevious observer deployments (especially on refused assignments). Includeaccountabilityreport,withfollow-upandactionstakentorectifyproblem;

7. Minimum health and safety training standards, safety protocols and that areprogramme-specific.(CCROP-HSSectionIIIandIV);

8. Communicationprotocolsandemergencyactionplan(CCROP-HSSectionIV(5and7)).

Article V: Regulatory Authority, Observer Programme and Observer Employer Support

V. Observers have the right to regulatory authority, observer programme,observeremployerandmonitoredentitysupport,including:

1. Regular communication between observer programme/employers and the observerwhile they are deployed (CCROP-HS Section IV(7); CCROP-SR Section II(1)(B) andSectionIV(11));

2. Assessmentandattendance toobservers’healthandwelfarestatus, includingmentalhealth (CCROP-HS Section I(2) and Section IV(8); CCROP-SR Section II(14 and 17),SectionIII(14,16and17),andSectionIV);

3. Face-to-facedebriefings(CCROP-SRSectionII(17);4. Adequate break time between deployments (CCROP-HS Section I(2)(C) and Section

IV(6and8);CCROP-SRSectionIII(14));5. Debriefingsandperformanceevaluationsbyobserverprogrammepersonnelwhoare

experienced in data collection from the resource they are monitoring (CCROP-SRSectionII(14).

Article VI: Stakeholder Integrity, Responsibility and Programme Transparency

VI. Observershave aright to stakeholder integrityandprogramme transparency(SeeCCROP-SR),includingbutnotlimitedto:

1. Financialindependenceofobserver,observeremployerandobserverprogrammefrommonitored entity is crucial (CCROP-SR Section I(1), Section, II(3)(A), Section III(4),SectionIV(15)and(16)(B)andSectionV(3,10and11);

2. Institutionalisedwhistle-blowerrightsforobserverswithathirdpartyforobserverstoaddressbothemployerandobserverprogrammeissues;

3. Minimum data collection and debriefing standards that ensure the objectives of theprogrammearemetandaccountedataprescribedlevelofquality;

4. EnforceableCodesofConductforstakeholdersthatsupporttheintegrityofalllevelsoftheobserverprogramme(CCROP-SRSection1(1));

5. Transparencyofobserverprogrammestatisticsthatallowcomparisonofprogramme,includingretentionratesandactualdeployment/employmentrates.


Article VII: Professional Development

VII.Observershavearighttoprofessionaldevelopment,includingbutnotlimitedto:1. Acknowledgmentofindividualobserversfortheircontributiontoscienceandresource

management through credit in publications and support of their attendance atobserverprogrammeconferencesandworkshops;

2. Inclusion of observers and observers’ perspective in observer programme decision-making processes that impact the observer’swork environment (CCROP-SR SectionI(1),II(1)(C),(6,17);

3. Connection with data users through workshops, presentations and programmelibraries of reports based on data collected by observers and make these easilyavailabletoobservers(CCROP-SRII(19);

4. Certificate or training endorsements that documents additional training and use ofspecial sampling equipment, skill level obtained and information about the project(CCROP-SRSectionII(18),SectionIII(3)(D),(5and15).

References

Anon.2001.ProceedingsoftheCanada-USFisheriesObserverProgramWorkshop,June26-29,2000,St.John'sNewfoundland.U.S.Dep.Commerce,SilverSpring,MD.

Davies, S.L.and J.E.Reynolds. 2002.Guidelines fordeveloping anat-sea fishery observerprogramme.FAOFish.Tech.PaperNo.414.:116pp.

Davis,K.G.andD.G.Quelch,editors.2008.ReportoftheObserverProfessionalismWorkingGroup(OPWG).5thInternationalFisheriesObserverConference,Victoria,BCCanada,May15-18,2007.

Flewwelling, P.1994.An introduction tomonitoring, controlandsurveillance systems forcapture fisheries.FAOTechnicalPaperNo.338,FAO,Rome.

Flewwelling,P.,C.Cullinan,D.Balton,R.P.Sautter, and J.E.Reynolds. 2002.Recenttrends inmonitoring,control andsurveillancesystems forcapturefisheries.FAOFisheriesTechnicalPaper.No.415,FAO,Rome.

McVea,T.A.andS.J.Kennelly, (Eds.),.2007.Proceedings ofthe5thInternational FisheriesObserverConference (IFOC),15-18May2007,Victoria,BCCanada.NSWDepartment ofPrimary Industries, Cronulla Fisheries Research Centre ofExcellence,Cronulla,Australia.


CODE OF CONDUCT FOR RESPONSIBLE OBSERVER PROGRAMMES – STAKEHOLDERRESPONSIBILITIES (CCROP-SR)

Introduction

Detailed, systematic and comparable fisheries information is important to strengtheningfisheries management schemes (DeYoung 2007). Observer programmes provide the bestsourceof independentdata in supportof sustainable fisheriesmanagement (Babcock etal.2003,WWFUK2006).Thisdocument isglobal inscope butdoesnot intend tosupersedeany existing international, regional, national, state / provincial or local law or observerprogramme requirementswhichmay bemoreextensiveorrestrictive.Observers have an important role to maintain as professional scientists. To become a'qualified' observer, one needs sufficient understanding of the science behind themanagementoftheresourcesbeingmonitoredandtimetolearntheirduties.Observersneedto develop good judgment in carrying out those duties, adhering to professionalstandards of conduct, and adapting to the rigors of a hazardous working environment.Multiple stakeholders are responsible for the various components of an observers' workenvironment. For the purposes of this document, observer programme stakeholders arecategorised by the titles Regulatory Authority, Observer Programme, Employer, MonitoredEntity, andObserver.The intentof thisdocument is toprovide explicit guidance regardingtheresponsibilities ofeachofthesestakeholder groups.Thisdocument supplements andcomplements theprovisions inthe InternationalObserverBillofRights (IOBR) andCode ofConduct for ResponsibleObserver Programs – ObserverHealth and Safety (CCROP-HS). A standard list of definitions isused for referencing thesedocuments (CCROP-SR, Glossary). These documents were distributed for public commenttoover1200stakeholdersinternationallyfromFebruary2013untilAugust2013.Venuesforoutreachwere the Association for ProfessionalObservers (APO) Mail List, APO FacebookGroup, the 7th International Fisheries Observer and Monitoring Conference (IFOMC)SteeringCommittee, andtargetedmaillistsofadditionalpublicstakeholders.

The APO has agreed to be custodianof this document3and associated IOBR and CCROP-HS. These documents will be modified biennially with stakeholder input. For enquiries,comments, contributions and updates, please contact the IOBR Team: E-mail: [email protected];Web:http://www.apo-observers.org/billofrights.

3Suggested citation: Code of Conduct for Responsible Observer Programmes – Stakeholder Responsibilities (CCROP-SR)[Internet]. Association for Professional Observers (APO): The International Observer Bill of Rights and Codes of Conduct forResponsible Observer Programmes. Version 1.0. September 2013. Available from: http://www.apo-observers.org/billofrights.


Section I: Regulatory Authority

I. Regulatoryauthoritiesmust:1. Have the power and ability to implement and enforce these stakeholder Codes of

Conduct,includingregularindependentreviewstoevaluatestakeholders’performancein terms of achieving programme goals, meeting objectives and implementingprotocols thatresult in theprogramme’s intendedpurpose.Evaluationsshall includeinputfromobservers;

2. ConsistentwiththeInternationalPlanofActiononIllegal,UnreportedandUnregulated(IPOAIUU)fishing(FAO2001),uphold(throughpolicy,procedure,andaccountability)thatanyMonitoredEntitythatengagesinIUUfishing,orengagesinbusinessortradinginfishor fishproductsderivedfromIUUfishing,which involves interferencewithanobserver, must be submitted for inclusion on IUU lists according to appropriateRegulatoryAuthority(e.g.RFMO)proceduresandcriteria(CCROP-SRSectionIV(15));

3. Ensure (through policy, procedure and accountability) that IOBR, CCROP-HS, andCCROP-SRareupheld.

Section II: Observer Programme

Note: ‘ObserverProgramme’and‘ObserverEmployer’maybethesame; insuchcases,considerbothSections IIandIII.

II. Observerprogrammeshall:

1. Clearlydefine, enforce,make transparent (to all observerprogramme stakeholders),andregularlyupdate:A. Theresponsibilities ofallprogrammestakeholders (DaviesandReynolds2002);B. A structure of inter-stakeholder communication protocols and stakeholder

accountability, including regular communications (e.g. radio, e-mail) betweenobserverandprogramme/employer(CCROP-HS Section IV(7);

C. Observer employer approval process (e.g. certification, permit, contract award),including: criteria for annual evaluation of observer employer performance, withinclusion of observers' grievances, input and evaluation; protocols for monitoringand reporting of observer employer performance; and, a system of fining orsuspending observer employer contracts for failing to meet observer employerperformance standards (U.S.Dept.ofCommerce2004);

D. Objectives, terms,andexpectationsofobservers’employment, includingbutnotlimitedto:i) Defineapplicanteligibilitycriteria(includingapplicable ‘waiver’criteria)forwho

a ‘qualifiedobserver’ is;competency testingstandards;professionalstandardsofconduct;and,indicatorsforevaluatingworkperformance;

ii) Whatfactorsdetermine ‘qualityobserverdata’;iii)Parameters forlevelsofobservers(e.g.‘junior’, ‘senior’; ‘level1’,‘level2’);


iv) How and when tools and strategies such as Electronic Monitoring (EM),Electronic Reporting (ER), industry self-monitoring (NMFS 2013) may beutilisedasanalternative toa‘qualified’ observer;

E. Termsof conductwithregards to reportingassault,harassment(e.g.sexual,racial),interference or bribery and enforcement of offenses; and associated trainings andemergencyactionprotocols,particularly inthecontextoftheremotenatureofmuchofobserverwork(e.g.aboardfishingvessels);

F. Criteriathatconstitutes a‘bribe’;a‘gift’vs.a‘provision’; andacceptable ‘gifts’exchangedbetweenstakeholders;

G. All activities among stakeholders that constitute a conflictof interestor perceivedconflict of interest, and the associated policies and procedures in place to guardagainstconflictofinterest;

2. Not engage in an activity thatmay give rise to the appearanceof a conflict ofinterest that could cause a reasonablepersontoquestion theimpartiality, fairnessorobjectivitywithwhichtheobserverprogramme isadministered;

3. Developpolicy,procedures, andaccountabilitymeasures to:A. Ensure that observers, observer employer staff and observer programme staff

maintain financial independence from monitored entities; that all interests in theemployment ofobservers are free from conflicting financial and personal intereststhat could jeopardise theobjectivity of observer services or the fair and equitabletreatment of observers; including a system for separating industry funding ofobserverprogrammesfromobserverpayment(MRAGAmericas Inc.2000);

B. Require theobservers’ righttoasafeandhealthyworkingenvironment (CCROP-HSandIOBRArticle IV);C.Upholdobservers’ rightto‘ObserverProgrammeSupport’(IOBRArticleV);D.Protect andsupport observers right toprofessionaldevelopment,such asaplanofaction thatoutlines how qualitydatacollectionandlong-term retentionofobservers isencouraged (IOBRArticleVII);

4. Developandimplementstatisticallyvalid,unbiasedmonitoredentityselectionprocedures;

5. Ensuredeploymentandpost-deploymentsupport(CCROP-HSSectionIV);6. Seekfeedbackfromobserverworkforceaftereveryassignment;describingtheir

evaluationofallstages(e.g.briefing,training,deployment,debriefing,stand-by)oftheiremployment,includinginformationonequityissuesthatmaybelinkedtospecificsocialgroups;and,produceannualreports(availabletoobservers)regardingobserverfeedback;

7. Explicitlyspecifywhatcompliancemonitoringdutiestheobserverhaswiththemonitoredentityandtheobserver;

8. Maintainawarenessofhowotherprogrammesdefineobserveremployment,theirsuccesses,limitationsandpitfalls;andshareinformationwithotherprogrammesonsuccessfulpractices,limitationsandpitfalls;

9. Harmoniseonprincipleswithotherprogrammeswhereverpossible;10. Guardagainsttheissuanceofeligibility‘waivers’andlikepracticesleadingtorealor

perceiveddouble-standards;


11. Unclearstandards(e.g.eligibility)canhavenegativeimpactsonthemoraleofanobserverworkforce,onthecredibilityoftheobserverdataandtheintegrityoftheprogramme;

12. Requireobservercandidatescompleteandpassanobservertrainingdemonstratingtheircompetencyofcoretrainingmodules(McVeaandKennelly2007)4andhands-onsafetycompetencycomponentsbeforebeingauthorisedtoworkasanobserver(CCROP-HSSectionIII(3));

13. Makecertainthatanyentityfacilitatingobservertraininghasthequalificationsandinfrastructuretoprovidetrainingatprescribedstandardsandevaluatecompetenciesandperformanceatprescribedlevelsofquality;

14. Ensuretrainingelementsaresupportedbytrainingmaterials(e.g.trainingmanual,speciesidentificationguides)thatdetailsubjectmatterandcanbefullyaccessedbyobserverswhileworking;

15. Ensurethatdebriefingsandperformanceevaluationsareconductedbyobserverprogrammepersonnelwhoareexperiencedindatacollectionfromtheresourcesbeingmonitored;

16. Ensureoptionsformentalhealthcounsellingareprovided,includingcrisisinterventionanddrugandalcoholcounselling,independentofobserverprogrammeorobserveremployerthatallowobserverstofreelyaddresspsychologicalstressesofthejob.Ifthereisindicationofamentalhealthoralcoholordrugproblem,counsellingisrequired(CCROP-HSSectionIV(8));

17. Developapre-deploymentsafetyinspectionchecklistappropriatetotheclassofvesselsorworksitestobemonitoredandestablishminimumrequirementsforassignmentrefusal(IOBRArticleIV(3)andCCROP-HSSectionIII(2)(E)(vi)andSectionIV(1)(B)and(2)(B));

18. Ensureobserversareprovidedwithsamplingandsafetygearappropriatetotheassignment(CCROP-HSSectionIV(9));

19. Ensureface-to-facedebriefingofobservers;20. Developobserverperformanceevaluationcriteriaandconductobserverperformance

evaluationsthatarereportedbacktoobservers(inwrittenform)aspartofthedebriefingprocessandpriortonextdeployment;

21. Ensureobservercollecteddataisaccessibletothepublicinausableformat;22. Ensure(throughpolicy,procedures,andaccountability)thatIOBR,CCROP-HS,and

CCROP-SRareupheldwithregardstodefiningandenforcingtheresponsibilitiesofObserverEmployer,MonitoredEntityandObserverstakeholders.

Section III: Observer Employer

Note: ‘ObserverProgramme’and‘ObserverEmployer’maybethesame; insuchcases,considerbothsections IIandIII.

4 See5thConferenceObserverTrainingWorkGroup‘core’and‘enhanced’trainingprogrammeelements.


III. ObserverEmployershould:1. Upholdandprotectobservers’rightto‘FairandEquitableEmployment’(IOBRArticle

II),withpolicyandaccountabilitymeasures;2. Enactpoliciestofostersocialequityinallstagesandlevelsofobserveremployment,

including:A. Ensureaccountable resourcesaresetasidetopromotesocialequity;B. Establishprotocols forincludingunderrepresented socialgroups inemployment

recruitment;C. Ensure genderbalance and sensitivity in: employee applicant screenings – such as,

medical examinations that determine aptitude for work; trainings (e.g. life at sea,conflict scenarios); and, deployment (e.g. competitive wage package;accommodations, includingbathing facilities);

3. Withpolicyandaccountabilitymeasures,protectandsupportobservers’rightto:A. Asafeandhealthyworkingenvironment(CCROP-HSandIOBRArticleIV);B. ‘ObserverEmployerSupport’(IOBRArticleV);C. Acompetitivewagepackage(IOBRArticle III);D.‘ProfessionalDevelopment’ (IOBR

ArticleVII);4. Notengageinanactivitythatmaygiverisetotheappearanceofaconflictofinterest

thatcouldcauseareasonablepersontoquestiontheimpartiality,fairnessorobjectivitywithwhichtheobserverprogrammeisadministered;

5. Onlydeployobserverswhohavebeentrainedandsupportedaccordingtoobserverprogrammestandardsofconduct.

6. Guardagainstdiscriminationduetoindustry’sselectionrequestsfororagainstindividualemployees;and,ensurethatselectionpreferencesacttoretainexperienceamongqualifiedemployees,andthatlessexperiencedemployeesarenotfavouredduetolesscompensationprojections;

7. Supportstatisticallyvalid,unbiasedobserverdeploymentproceduresformonitoredentities;

8. Developandimplementnon-discriminatoryobserverplacementprocedures;afterbeing‘selected’tohaveanobserver,ensurethatmonitoredentity(companyorpersonnel)cannotinfluenceobserver(s)selectionandthatobserver(s)cannotselectspecificmonitoredentity;

9. Clearlydefineobserveremploymenttermsbywayofwrittencontractwithobserveremployees(IOBRArticleI).

10. Providetransparentstandardsandproceduresforregularlyscheduledpaymentincludingitemiseddeductionswhereappropriate;

11. Provideformedicalexaminationsor‘physicals’pertinenttothespecificworkofobservers,tobecompletedbytheobserverpriortodeployment(CCROP-HSSectionI);

12. Whileprotectingemployeeprivacy,collectobserveremploymentdata(fromemployeerecruitmenttoexit)disaggregatedbysocialfactorssuchasgender,ethnicity,age,class,etc.,withpolicyandaccountabilitymeasures;

13. Upholdandprotectobservers’righttorefuseanassignmentwithdocumentationofreasonandwithoutnegativerepercussionsorrequirementthattheobserveraddress


theissue(IOBRArticleIV(2)andCCROP-HSSectionIV(2)(B)).Inanycasethatamonitoredentitybreachestheguidelinesofobserverprogrammeand/orobserveremployer(especiallywithregardstoobserverhealth,safetyandgeneralwelfare),theobserveremployershallremovetheobserver(s).Henceforth,theobserveremployershallsubmitafullreporttothatmonitoredentity.TheobserveremployershallonlyprovideareplacementObserverwhentheissue(s)surroundingobserverrefusalorremovaleventhasbeensatisfactorilyresolved;

14. Ensureadequatebreaktimebetweendeploymentsanddeploymentnotice(CCROP-HSSectionI(2)(C)andSectionIV(6)and(8));

15. Conductobserverperformanceevaluationsthatarereportedbacktoobservers(inwrittenform)aspartofthedebriefingprocessandpriortonextdeployment;

16. CommunicatewiththeObserverProgrammewithin24hoursanyreportsorinvestigationof:A. Violationsobserved;B. Refusalsofvesselsforanyreason;C. Assault,harassment, interferenceorbriberyattemptsreportedbyobserver;D. Injuries;E. Observermisconduct;

17. Ensure(throughpolicy,proceduresandaccountability)CCROP-SR,CCROP-HSandIOBRareupheldwithregardstodefiningandenforcingtheresponsibilitiesforMonitoredEntityandObserverstakeholders.

Section IV: Monitored Entity

IV. MonitoredEntityshall:1. Ensurethatmasters/managers,crewandownersofthemonitoredentitydonot

obstruct,intimidate,harass,assault,interferewith,influence,bribeorattempttobribeanassignedobserver(IOBRArticleIV(1));

2. Takeappropriatemeasureswithincompetencetoensuretotheextentpossiblethatanyobserverdesignatedbyobserveremployerand/orobserverprogrammewillbeallowedonboard/premisestoobserveandreportonmonitoredentityactivities,asagreedupon;

3. Ensurethatmaster/managerofmonitoredentityshallacceptdeploymentofobserverson-board/on-sitewithoutregardto,interalia,observergender,ethnicity,race,spiritualbeliefs,age,class,sexualpreference,nationality,orpoliticalactivities;

4. Whenoperatingavessel,ensurepersonnelcomplywiththestabilityreportorstabilityguidelines;

5. Takestepsasarenecessary,includingtheinstructionofitson-board/on-sitemaster(s)/manager(s)toassistintheprompt,efficientandsafeembarkationsanddisembarkationsofobservers(CCROP-HSSectionIV(3));

6. Acknowledgeandrespectobservers’righttorefuseanassignment(IOBRArticleIV(2)andCCROP-HSSectionIV(1)(B));


7. Acknowledgeandsupportthat,priortodeployment,observersshallconducta(pre-deployment)safetyinspectionsandafamiliarisationtourofmonitoredentity(CCROP-HSSectionIV(2)(B)andIOBRArticleIV(2and3);

8. Acknowledgeandsupportthattheobserveremployermayneedtorecovertheobserverfrommonitoredentityatanytimeduringthedeploymentperiod.Replacementofanobserverpriortothecompletionofdeploymentmaybecomenecessary,forexampleinthefollowingcircumstances(thislistisprovidedforguidanceonlyandisnotexhaustive)(ICCAT2007):A. Theobserverneedsurgentmedical attention that isunavailable onmonitored

entityor is injuredor illtotheextenttheyareprevented fromperforming theirdutiesfortheremainderoftheirintended/planned deployment;

B. As a resultof an unforeseenfamilyemergencyinvolvingtheObserver(e.g.deathorseriousillnessof a closememberoftheobserver’s family);

9. Allowobserversaccesstomonitoredentitypersonnelandtogearandequipmentpertinenttotheirdutiesormaintainingtheirsafety;

10. Allow,uponrequest,observeraccesstothefollowingequipment,ifpresentonmonitoredentitytowhichtheyareassigned,inordertofacilitatethecarryingoutoftheirduties:A. Satellitenavigationandcommunications equipment;B. Radardisplayviewingscreenswheninuse;C. Electronicmeansofcommunication (e.g.email,fax);

11.Amply inform observer(s)according to observer programmepolicy, of allmonitoredentity activity plans pertinent toperformance oftheirduties;

12.Provideobserver(s)withaccommodations,accordingto the minimumstandardslistedin CCROP-HSSectionIV(4)(IOBRArticleIV(5));

13. Provide observer(s) with adequate space for completing clerical work, as well asadequatespaceandaccommodationsforcarryingouttheirfieldduties(e.g.ondeck, infactory);

14.Notengage inanactivitythatmaygiverisetotheappearanceofaconflictof interestthatcouldcauseareasonablepersontoquestiontheimpartiality,fairnessorobjectivitywithwhichtheobserverprogrammeisadministered(Seeabove-SectionII(3)(A);

15.Acknowledgethat:A. AnyMonitoredEntitythatengagesinIUUfishingorengagesinbusinessortradingin

fish or fish products derived from IUU fishing involving interference with anobserver, must be submitted for inclusion on IUU lists according to appropriateRegulatoryAuthority(e.g.RFMO)proceduresandcriteria;and,

B. AMonitoredEntityispresumedto havecarriedoutIUUfishingactivities- consistentwith the IPOAon IUU fishing,when an observerprogramme stakeholder presentsdocumented information thatsuchactivityhasoccurred, includinghaving:i) Interferedin anyway with an observerthat preventsthe observerfrom

recordingor reportingaccordingto theobserver’sduties,consistentwithconservation andmanagementmeasures;


ii) Coerced,bribed,attempted tobribe,orotherwise influencedanobserver tomakefalsereports,or;

iii)Engagedin anyotheractivitiesthatunderminethe provisionsof the regulatoryauthority,convention,observerprogrammeoranyotherconservationmeasures;including theproperfunctionandengagementofobservers;

16. Acknowledge that in the event the monitored entity breaches agreements withobserver programme/observer employer, the observer employer shall remove theobserver.Insuchcircumstancesthemonitoredentitywilltakesuchstepsasnecessaryfortheprompt,efficientandsaferecoveryoftheobserver, includingcooperationwiththeobserveremployer. Insuch a situation, theobserver employershallsubmit a fullreporttothemonitoredentityandobserverprogramme.TheobserveremployershallonlyprovideareplacementObserverwhentheissue(s)surroundingtheeventhasbeensatisfactorilyresolved.

Section V: Observer

V. Observershall:1. Provide proof of medical and physical employment criteria as defined in CCROP-HS

SectionI;2.Maintain professionalism in work; attempt at all times to have a professional and

courteous relationship with industry and monitored entity personnel; and, avoid behavinginamannerthatcouldadverselyaffectthepublicconfidenceintheintegrityoftheobserverprogramme,theobserveremployer,thedataprovidedorotherobservers;

3.Maintain independence at all times andshall report anyattempt to compromise theirindependence; including attempts to assault, harass, bribe, or interfere with theirduties;

4.Adhere to all safety guidelines set forth by their observer programme; includingappropriateknowledgeanduseofsafetygearandperformanceofsafetychecksduringtheirdeployment(CCROP-HS);

5.Ensurethattheydonothinderorinterferewiththeproperfunctioningoftheirassignedmonitoredentity;observerswillrespectallpropertyandequipmentandlivingspaceonboard/atmonitoredentity, including documents, logbooksandactivityplansandshallrespect the safety, sanitary rules, chains of command, and regular functions of theirassignedmonitoredentity;

6.Recognise that observers arenot law enforcementofficers but shall be firm, fair andtactful in giving official notice of potential compliance issues to monitored entity.Observersdonotpossesstheauthoritytodirectanymonitoredentityfunction(Dietrichetal.2012);

7.Diligentlyperform assignedduties asdescribed by theirobserverprogramme and asdescribedinobserverprogrammeresources(e.g.manuals);

8.Accuratelyrecordtheirdata,writecompletereportsandreportaccuratelyandhonestlyany observations of suspected violations. Truthfully follow scientific protocols asprescribed;ifdataarenotknown,recordassuch;


9.Preserve the confidentialityof thecollecteddata andobservationsmadeduring theiremployment;Observersshallensurethatdataandinformationcollectedarekeptsecureandconfidentialatalltimes,andarenotdisclosedtoanypersonwhoisnotapprovedbytheirobserverprogramme;

10.Expresslyrefrainfromanyillegalactionsoractivities.Thisincludes,butisnot limitedto:A. Engagingintheuseordistributionofillegalsubstances;B. Soliciting or accepting, directly or indirectly, any bribes from anyone who has

interest(s) that may be substantially affected by the performance or non-performance of the observers' official duties. Soliciting or accepting, directly orindirectly,bribes inmoney orkind (e.g.gratuity, gifts, favours, loan, and future jobopportunities) from anyonewhohas interest(s) that may be substantiallyaffectedby performance or non-performance (neglect) of the observer’s official duties,beforeorafterdeployment;

11.Notengageinanactivitythatwouldcompromisetheirindependenceorgiverisetotheappearanceofaconflictof interestthatcould:causeareasonableapersontoquestionthe impartiality, fairness or objectivity with which the observer programme isadministered;significantly impair theobserver’s ability toperformhis/herduties;or,adversely affect the overall image observers, programme, employers, theiraccomplishmentsormissions.Observersmaynot:A. Selecttheirmonitoredentity;B. Have direct financial interest in themonitored industry, other than the provision

of observer services including, butnot limited to,monitored entity(s) involved inthe catching, processing, transport of the products of the industry; otherwiseimpacting living aquatic resources; companies selling supplies orservices to at-seaor dockside locations; or companies purchasing raw or processed products frommonitored entities;

C. Serve as observers of any monitored entity owned or operated by a person whopreviously employed theobserver inanycapacity;

D. Solicitor acceptemploymentas a crewmemberor anemployeeof themonitoredentityin anyfisherywhileemployedasanobserver;

E. Engage in physical or emotional relationships (includingbut not limited to sexualcontact)withmonitoredentitypersonnel;

F. Engage in drinking of alcoholic beverages while on duty or engaging in excessivedrinking of alcoholic beverages at any time (note: if the monitored entitymaintainsa stricter alcoholicbeveragepolicy for its employees,then theobserversshouldcomplywiththatpolicy);

G. Serveasanobserver forperiodsoftimethatwould leadtoexcessive familiaritywithamonitored entity.


References

Babcock, E. A., E. K. Pikitch, and C. G. Hudson. 2003. How much observer coverage isenough to adequately estimate bycatch? Oceana, Washington D.C., Pew Institute forOcean Science, Miami, FL.Davies, S. L. and J. E. Reynolds. 2002. Guidelines fordeveloping an at-sea fishery observer programme. FAO Fish. Tech.PaperNo.414.:116pp.

DeYoung,C. e. 2007. Reviewof the state of world marine capture fisheriesmanagement:Pacific Ocean. FAO FisheriesTechnicalPaper.No.488/1,FAO,Rome.170pp.

Dietrich, K., et al (Compiler). 2012. West Africa Regional Scientific Observer TrainingManual,Version1.2.Developed forNOAAFisheriesandICCATFisheriesCapacityBuildingFund.http://www.kimdietrich.com/WAfr-Manual/WAfr-Manual-v1.2.htm.

FAO. 2001. International Plan of Action to prevent, deter and eliminate illegal,unreportedand unregulated fishing. FAO.Rome. 24p.http://www.fao.org/fishery/ipoa-iuu/en.

ICCAT.2007.MemorandumofUnderstandingbetweenMarineResourcesAssessmentGroupand Capricorn Fisheries Monitoring and XXXX (Carrier Vessel Operator) - DraftTemplate. International Commission for the Conservation of Atlantic Tunas (ICCAT)RegionalObserverProgramme.http://www.iccat.int/Documents/Other/ROP_MOU.pdf.

McVea, T.A. and S. J.Kennelly (Eds.). 2007. Proceedingsof the 5th InternationalFisheriesObserver Conference,15-18May2007,Victoria,BCCanada.NSWDepartmentofPrimaryIndustries,CronullaFisheriesResearchCentreofExcellence,Cronulla,Australia.

MRAG Americas Inc. 2000. IndependentReview of theNorth Pacific GroundfishObserverProgram. Prepared for NMFSNorth Pacific Groundfish Observer Program, Tampa, FL.128pp.

NMFS. 2013. Electronic Monitoring and Electronic Reporting: Guidance & Best PracticesforFederally-ManagedFisheries.DiscussionDraft.August2013.58pp.

U.S. Dept. of Commerce. 2004. NMFS Observer Programs Should Improve Data Quality,PerformanceMonitoring andOutreach Efforts. Final Audit Report No. IPE-15721, Dept.ofCommerce,OfficeofInspectorGeneral,Washington D.C.64pp.

WWFUK. 2006. Observerprogrammes:best practice, fundingoptionsand NorthSea casestudy.A reporttoWWFbyMarineResourceAssessmentGroup (MRAG).


CODE OF CONDUCT FOR RESPONSIBLE OBSERVER PROGRAMMES – OBSERVER HEALTHAND SAFETY (CCROP-HS)

IntroductionObserver programmes are tasked with monitoring aquatic resources which provide avital source of food, employment, recreation, trade and economicwell-being for peoplethroughout theworld, both for present and future generations and should therefore beconducted inaresponsiblemanner.Thisdocument isglobal inscopebutdoesnotintendto supersede any existing international, regional, national, state / provincial or locallaworobserver programmerequirementswhichmaybemoreextensiveorrestrictive.Recognising that fishing is considered to be the world’s most dangerous occupation,withmore than24,000casualties peryear (InternationalLabourOrganisation1999)andobservers are deployed to a wide range of entities, the intent of this document is toprovide regulatory authorities and observer programmes with a set of internationalstandardsforresponsiblepractices with aview towardminimisingthehealth andsafetyrisks to observers during their employment.The concept of thisdocument draws fromprevious guidelines for the development of observer programmes (van Helvoort 1986;Davies and Reynolds 2002) and was further developed by the Observer SafetyWorking group in 2006 at the 5th InternationalFisheries Observer Conference (McVeaandKennelly 2007;NationalMarine Fisheries Service 2007a, b).Observer programmesare encouraged to apply this CCROP-HS to the maximum extent in order to advancehealth and safety training and increase health and safety awareness to the extentpracticable therebyminimising risks.This document supplements and complements the provisions in the InternationalObserverBill ofRights(IOBR)andCodeof Conductfor ResponsibleObserverPrograms-Stakeholder Responsibilities (CCROP-SR). A standard list of definitions is used forreferencing these documents (CCROP-SR, Glossary). These documents were distributedforpubliccomment toover1200stakeholders internationally fromFebruary2013untilAugust2013.Venuesforoutreachwere theAssociation forProfessionalObservers (APO)MailList,APOFacebookGroup, the7th International Fisheries ObserverandMonitoringConference (IFOMC) Steering Committee, and targeted mail lists of additional publicstakeholders.TheAPOhasagreedtobecustodianofthisdocument5andassociatedIOBRandCCROP-SR.These documents will be modified from time to time with stakeholder input. Forenquiries, comments, contributionsand updates, please contact the IOBRTeam:E-mail:[email protected];Web:http://www.apo-observers.org/billofrights .

5Suggested citation: Code of Conduct for Responsible Observer Programmes – Observer Health and Safety (CCROP-HS)[Internet]. Association for Professional Observers (APO): The International Observer Bill of Rights and Codes of Conduct forResponsible Observer Programmes. Version 1.0. September 2013. Available from: http://www.apo-observers.org/billofrights.


Section I: Medical and Physical Employment Criteria6

1. Medical certificates7

A. Observer shall possess a valid medical certificate issued by a qualified medicalexaminer stating theobserver isphysically fit for duty (CCROP-SR Section III(11)andSectionV(1)).

B. Medicalcertificatesshallautomatically expireafteroneyearorasrequiredbynationalstandards.

C. Observerprogrammeshallprovidemedicalexaminerwithwrittenguidanceontheprocedures fortheconductofobservermedical examinations; including applicablejob description, description of living / working conditions and psychologicalstressorsat the variouswork sites, an estimateof time itwouldtake for observerto seek medical attention, and list of physical expectations as defined by theprogramme.At aminimum, thephysicalexpectations shall include:i. Visionshallbecorrectable to20/30;ii. Hearing capacity for shall be at least 30dB (unaided) in thebetter ear and40

dB (unaided) in the less good ear within the frequencies500,1,000,2,000and3,000Hz (approximatelyequivalentto speech-hearingdistancesof3metersand2meters,respectively);

iii. Abilitytorepeatedly liftaminimumof25kg;iv. Abilitytofitthroughpassagewaysofasizeappropriate toassignment.

D.Medical examiners should understand their ethical position as examining medicalpractitioners acting on behalf of the observer programme, ensuring that anyconflictswiththisarerecognisedandresolved,andshouldobtaininformedconsentfromtheobserverpriortoanycommunicationwithothersaboutclinicalaspectsoftheobserver’shealth.

E. Medical examiners should enjoy absolute professional independence from themonitored industry, observers, and their representatives in exercising theirmedical judgment intermsofthemedicalexamination procedures.

2. Preventive Measures

A. Observers shall be vaccinated for tetanus and other communicable diseases asappropriate and determined by the observer programme. The World HealthOrganisation(WHO)InternationalTravelandHealthwebsite[www.who.int/ith/en/]shouldbeconsulted forregional recommendations.

B. Observers shall submit to an annual mental health evaluation or questionnaire.Results of this evaluation will be held confidential according to the laws of thecountryofthehiringoradministrating observerprogramme.

6Based on elements of (Transport Canada 2007, 2008, ILO 2011).7A medical certificate may be an official document or an informal summary of a physical examination as long as it states the observer isphysically fit for duty.


C. Observer programmes shall allow break time between deployments and work-leave options that allow observers to recover mentally and physically, includingclearprotocolswithestablished timeframes.

D. Observers shallhavebasic swimming skills.Ability toswim500meters and treadwaterfor30minutesishighlyrecommended.

Section II: Medical Training

1. Basic Training

Observersshallpossesscertification for:A. Elementary/Basic FirstAid.NMFS(2007a)providesathorough listof

competencies forFirstAidtraining;B. CPR(cardiopulmonary resuscitation);C. Preventing Disease Transmission (PDT; incl. Methicillin-resistant Staphylococcus

aureus (MRSA), hepatitis,tuberculosis, sexually transmitteddiseases (STDs)).

2. Additional Training

Recognising observers are sometimes themostwell trained person to providemedicaltreatment at a deployment site, observers are encouraged to seek the followingadditional certifications:

A. FirstAid-Offshore/Wilderness/Marine;B. CPR&AED(automatedexternaldefibrillator).

Section III: Health and Safety Training

1. Training length

The minimum recommended time allotted for the initial health and safety training(excluding medical training described in Article II) for new observers is 24 hours;however,itmay take up to 48 hours toadequatelycover thefulllistoftopics.Observersshouldcompleteanannualrefreshercourse(16-32hours).

2. Minimum Health and Safety Training Topics (IMO 1978)8

The following topics shallbe included inobservertraining:A. GeneralHealthandSafetyTopics

i. Appropriate clothingii. Nutritioniii. Hydrationanddehydrationiv. Fatigue/sleepdeprivationv. Seasicknessvi. Sanitation

8Many of these topics overlap modules of the STCW95 Personal Survival Techniques (PST) and Personal Safety and SocialResponsibilities (PSSR), as well as the Offshore Petroleum Industry Training Organisation (OPITO) Basic offshore survival inductionemergency training (BOSIET), Helicopter underwater escape training (HUET) and basic survival training (BST) courses


vii. Infections /communicable diseaseviii. Personalmedicationsix. Samplingsafety(ergonomics,proper location,safelifting technique)x. Psychological healthxi. Conflictresolution -definition, recognition,de-escalation, anddocumentationxii. Harassment (incl.assault, interference, bribery,sexualharassment)xiii. Drug/alcoholuse,abuseandhazardsxiv. Culturalawarenessxv. Communicating personalandworksitehealth&safetyconcerns toprogrammexvi. Assignment refusalpolicy forsafetyorotherreasons(See IOBRArticle IV(2)and

CCROP-SR SectionIII(13))B. Vessel/Shore-basedFacility/OffshoreInstallationHazardTopics

i. Embark/disembarkii. Transfersatseaiii. Vessel,deck&rigginghazardsiv. Fallsandslipsv. Onehandfortheboat(decksafety)vi. Stability - basic terminology, risk factors associated with different fisheries,

stability reports&guidelinesandgeneralrulesofthumb(largeandsmallvesselissues),importanceoffire/weather-tight andwatertightdoors

vii. Hazardousmaterials(e.g.CO,hydrogensulphide,ammonia)viii. Smallboathandling&outboardmotoroperation(programme dependent)ix. Gearhazards(fishery,worksitespecific)x. Hazardousmarineorganismsxi. [recommended]Helicopter safety,transportoperationsandrescue

C. SafetyEquipmentTopicsi. Personal floatation devices (PFD) - proper donning, inspect for wear, proper

storage, lights(checkbatteries)andmaintenanceii. Immersion suits (colder water fisheries) - proper donning, inspect for wear,

properstorage,strobes/PFDlights(checkbatteries)andmaintenanceiii. Otherfloatationandrescuedevices -lifering, lifeslingiv. Radio/Communicationequipment-location,emergency instructions,howtousev. Positioning equipment -location,howtoreadaGPSvi. Alarms(general,emergency, radar/watch, engine)vii. Survivalcraft–proper installation, location,capacity,expirationandrequired

equipmentviii. Hydrostatic releaseunitonraft–proper installation, expirationix. EPIRBS–models/designs, batteryexpirationdates,hydrostatic release

expirationdates,registrationdecalinformation, testingbyvesselpersonnelx. Fireextinguishers -differentstyles,reading labels,whichtypetousedepending

ontypeoffire,locationsandmaintenancexi. Signallingdevices(passiveandactive)xii. Pyrotechnics (flares)


xiii. Survivalkits-SOLASapprovedxiv. Survivalkits-personal&vesselxv. ManOverboard(MOB)devicesxvi. Floodcontrolkitxvii. Otherpersonalprotectiveequipment (e.g.hardhats,earprotection)xviii. DewateringpumpassemblyandoperationOptional:

xix. USCGDamageControlTrailerxx. Helicopterrescue/transport

D. SurvivalTrainingTopicsi. SevenStepstoSurvival(Recognition, Inventory,Shelter,Signals,Water,Food,

Play)ii. Stationbillsiii. MayDayiv. Manoverboard (MOB)v. Liferingorbuoys–numberonboardand locationvi. Observeroverboard (stayrules)vii. Escapeplan(egress -gettingtothemusterstation)viii. Abandonship(getting frommusterstationtoliferaft)ix. Floodingx. Fireandfirefightingxi. Hypothermia /hyperthermia (locationdependent)xii. Coldwaterneardrowning(locationdependent)xiii. Drills

E. RegulatoryTopicsi. InternationalConvention fortheSafetyofLifeatSea(SOLAS)ii. Safetyregulationspertaining tomonitoredentity(country specific)iii. Regulations/rules pertaining tothehealth,safety&welfareofobservers(e.g.

accommodation requirements,assault,harassment, interferenceandbribery)iv. Boardingbyenforcement entityv. Compliance reportingprocedures andenforcement follow-up expectationsvi. Howtocomplete thepre-deployment safetychecklist

Optional:vii. HACCPregulationsforworkingwithseafood

3. Required Competencies9

Thefollowingcompetenciesshallbe includedas part of observerhealthandsafetytraining:A. Participate inroleplaydemonstrating abilitytoresolveaconflictsituation;B. Demonstrateproper liftingtechniques10;

9 See NMFS (2007a) and Davies and Reynolds (2002) for more detailed lists of competencies.10 See Ajango et al. (2004), Appendix G, for more detailed steps for these items.


C. Complete apre-boarding safety checklist onboard avessel (orsimulate completionofachecklist ifavessel isnotavailable)which includes identifying thelocationandservicestatusofcritical lifesavingequipment;

D. Performand/orparticipateinavessel(orsimulated)orientationincludingidentificationofmusterandembarkation stationsandemergencyescape routes;

E. Demonstrateabilitycommunicatewithotherpersonson boardon elementarysafetymattersandunderstandsafety informationsymbols,signsandalarmsignals;

F. ReciteSevenStepstoSurvivalanddescribewhateachstepmeans;G. Demonstrate thecorrectuseandadjustthefitofaPFD;H. Demonstrate howtoinflateaTypeVPFD;I. Demonstrateproperdonningof an immersionsuit within60 seconds*includingthe

inflationof the flotationbladderandturningonlight;J. Demonstrateproper jumping techniques forentryintothewaterwearingaPFDor

immersion suit;K. Demonstrate theHELPpositionwithaPFDoninthewater;L. Demonstrate theHUDDLEpositionwithaPFDoninthewater;M. Demonstrate thechainswimwithaPFDorimmersionsuitoninthewater;N. Demonstrate thepropersecuringandreleaseofthehammer typehydrostatic release;O. Describestepstosafelydeployaliferaft;P. Boardaliferaftfromthevessel(ordock/poolside)(withorwithoutassistance);Q. Boardaliferaftfromthewater(withorwithoutassistance);R. Demonstrate rightingofacapsisedaliferaft;S. Demonstrate thefunctionofatleastonepieceofequipment inaSOLASAkit;T. Demonstrate thepropertechnique fortestinganEPIRB;U. Describe(orifpossibledemonstrate) thefivestepsintheproperuseofportable fire

extinguishers tofightafire*;V. Demonstrate thefivemostimportantcomponentsofaproperMAYDAY call;W. Demonstrate abilitytousesignalmirror&whistles;X. Demonstratepropertechnique fordeployingatleastonetypeofpyrotechnic device;Y. Assemblepersonalsurvivalkitandexplaincomponents toclassmates;Z. Demonstratecommunicationandwriting skills necessarytoproperly documentand

report potential violationsthatjeopardiseobserverhealthorsafety;AA. Describeappropriatestepstotakeifapersonfallsoverboard,fireorsmokeis

detected,orthefireorabandonshipalarmissounded;BB. Demonstrateabilitytotakeimmediateactionuponencounteringanaccidentorother

medicalemergencybeforeseekingfurthermedicalassistanceonboard;Optional:CC. DemonstrateabilitytoassembleandstartadewateringpumpDD. Demonstratebasicnavigationskills,abilitytostartanoutboardmotor,and

manoeuvreasmallboat/skiff.


4. Safety during Hands-on Component of Training

Eachprogrammewilldevelopprotocols toensure thesafetyofobservers during safetytraining suchasrequirementstobemetduringpooloropenwater exercises, flareexercisesandfirefightingexercises11.

Section IV: Worksite Health and Safety

(SeeCCROP-SRSectionIIandIII)Observerprogrammeand/oremployer shall:

1. Legal and programmatic policy framework

A. Establishpolicies,basedon lawsmadeby the regulatory authority, toreport incidentsconcerning the observer’s ability to conduct their duties free of assault, harassment,interferenceandbriberytotheappropriateenforcemententity.

B. Recognisean observer’srightto refusean assignmentand developguidelinesto assistobserversin makingdecisions regarding theirhealth,safetyandwelfare.

2. Transportation Safety

A. Developguidelines tobe followed ifobserver isexpected toutilisemotorvehicles(e.g.cars, motorbikes), aircraft or transport vessels in the course of completing duties.Specialised trainingmayalsoberequired.

B. Pre-deployment Safety Checklist - Develop a pre-deployment safety checklistappropriate to the class of vessels or worksites to be monitored and establishminimum requirements for assignment refusal. The purpose of the checklist is to aidin familiarising observerswithsafetyprocedures and equipment prior todeployment(See Box 1 for sample list). The checklist shall be completed and submitted to theobserverprogramme oremployer priorto each observer deployment.If theminimumrequirements of the checklist are not met, the observer may not embark until theyhave contacted and reported these to their observer programme or employer.Observersarenotofficialsafety inspectors;therefore,theminimumrequirements(Seeboxesbelow) consistof determining the presence/absence of certain pieces of safetyequipment.

3. Embarkation/Disembarkation/Transfer Protocols

Observerprogrammesoremployersshalldevelop embarkation/disembarkation/ transferprotocols tominimiseriskwhichrequiretheobserver to:

A. Not embark/disembark/transferto amonitoredentity ifobserverdeemsembarking/disembarkingto be unsafe(basedontrainingandexperience);

B. Notbeintoxicated (according tostateorinternational law)whenembarking/disembarking;

C. Ensure at least one person is aware the observer is embarking/disembarking amonitoredentityduringbadweatherscenariosandcanseetheobserverwellenoughto

11 See NMFS (2007b) for sample training checklists on each of these topics.


respond to an emergency. Other scenarios are at the discretion of the observerprogramme12;

D. Wherepossible,observerembarkation/disembarkationdirectlyontovesselsshalltakeplace in port by the quayside in order to ensure the safest means of transferringobservers to/fromvessels;

E. Adheretothefollowinggeneralprotocolsduringat-seavessel transfers:i. Transfers in daylight are preferred or with suitable lighting in areas without

daylight(e.g.polarregions);ii. Thetwovesselsmustbewithinareasonabledistance fromeachother(few

hundredMETRES,notkilometres);iii. TheobservershallwearaPFDandhardhat(safetyhelmet);iv. Jumping fromvesseltovessel isnotallowed;v. Ifalifeboat,rescuecraftorotherinflatablecraftisusedinthetransfer, the

operatorsandequipment shallpossesstheappropriate certifications forthoseactivities.Thevesselshallprovideapilotladder ingoodcondition -whenappropriate (smaller tolargervessels);

vi. Ifacargonetorbasket isused,makesurealineisattached tobothpointsforgreatercontrolandtoreduceswinging.Crouchdownaslowaspossible toloweryourcentreofgravity.Keepyourfingersandelbowsinsidethebasketornet.

4. Accommodation

EstablishminimumstandardsforadequateaccommodationforanobserverdeploymentappropriatetothesizeoftheMonitoredEntityandequivalenttothatoftheofficersoftheMonitoredEntity.Accommodation (withprogrammesupplementation, ifnecessary) includesbutisnotlimitedto:

A. Safedrinkingwaterandsafeandnutritiousfoodfortheobserver;B. Dry,relativelyquiet,unsharedbunkspacefortheobserver;C. Accommodationfreeofharmfulpests(especiallybitinginsectsormites)andaplanfor

theircontrol.D. Accommodationshallalsobefreefromharmfulpesticideexposurerelatedtoinsect

control.

5. Access

Unhinderedaccesstoemergency equipment (e.g.radios, immersion suits).

6. Adequate assignment notice

Provide adequatenotice and allow observerstime toprepare for and arrive at theassignmentport,especially inprogrammes thatrequireextensivedrivingorflyingtoarriveattheassignment.

12 For the purposes of this document, “bad weather scenarios” are defined as Beaufort Sea State 7 (28-33 knot, “near gale” winds) andabove (http://en.wikipedia.org/wiki/Beaufort_scale).


7. Communication

Develop communicationprotocols andemergency actionplanbetween theappropriatemaritimesafetyormarineenforcemententityandobserverprogrammes (ifseparate) that:

A. Clearlyoutlines thehierarchyofauthorityrelativetorectifyingobservedsafety issues;B. Usesemergencystatuscodesthatareonlyavailable totheobserverandobserver

programme.

8. Mental health

Provide options formental health counselling,includingcrisis interventionand drug andalcoholcounselling,independentofobserverprogrammeorobserveremployerthatallowobserverstofreelyaddresspsychological stressesofthejob.

9. Provided safety equipment

Provide (orcompensate observer for)safety equipment appropriate tothe assignmentwhichmay include the following:wearable PFD, immersion suits,personal locatorbeacon, hearingprotection, hardhat,foulweathergear,workbootsandsatellitephone.

References

Ajango,D.,P.Cullenberg, andJ.Dzugan.2004.ReviewandevaluationofNMFSobserversafetytraining -Finalreport.AlaskaMarineSafetyEducationAssociation (AMSEA),Sitka,AK.

AMSEA.2011.CommercialFishingVesselEmergency Instruction&DrillManual,4thEdition.AlaskaMarineSafetyEducationAssociation,Sitka,AK.

Davies,S.L.andJ.E.Reynolds.2002.Guidelines fordevelopinganat-seafisheryobserverprogramme.FAOFish.Tech.PaperNo.414.:116pp.

ICCAT.2007.Memorandum ofUnderstanding betweenMarineResourcesAssessmentGroupandCapricornFisheriesMonitoringandXXXX(CarrierVesselOperator) -DraftTemplate. InternationalCommission fortheConservation ofAtlanticTunas(ICCAT)RegionalObserverProgramme.http://www.iccat.int/Documents/Other/ROP_MOU.pdf.

ILO.1999.TripartiteMeetingonSafetyandHealth intheFishingIndustry,13-17December1999.International LabourOrganisation,Geneva.Seehttp://www.ilo.org/global/about-the-ilo/newsroom/news/WCMS_071324/lang--en/index.htm.

ILO.2011.ProposedrevisedGuidelinesonthemedicalexaminationsofseafarers.Reportfordiscussion attheJointILO/IMOMeetingonMedicalFitnessExaminations ofSeafarersandShips’MedicineChests(26–30September2011).ILO/IMO/JMS/2011,InternationalLabourOrganisation, Geneva.

IMO.1978.International Convention onStandards ofTraining, Certification andWatchkeeping(STCW) forSeafarers1978.InternationalMaritimeOrganization.

IOTC. 2010. IOTCRegionalObserver Scheme -DraftObserverManual. IndianOceanTunaCommission.McVea, T. A. and S. J. Kennelly, (Eds.). 2007. Proceedings of the 5thInternationalFisheriesObserverConference, 15-18May2007,Victoria,BCCanada.NSW


Department of Primary Industries, Cronulla Fisheries Research Centre of Excellence,Cronulla,Australia.

NMFS. 2007a. NMFS Observer Safety Training Standards. National Observer Program,OfficeofScienceand

Technology, SilverSpring,MD.NMFS.2007b.NOAAFisheriesObserverSafetyTrainingStandards.NationalMarine

FisheriesServiceProceduralDirective04-110-01.November16,2007.NationalObserverProgram,OfficeofScienceandTechnology, SilverSpring,MD.

TransportCanada.2007.MedicalExamination ofSeafarersPhysician’sGuide.TP11343E,MarinePersonnelStandardsandPilotage,Ottawa,Ontario.

TransportCanada.2008.Training Standards forMarineFirstAidandMarineMedicalCare(Rev.3).TP13008E,MarinePersonnelStandardsandPilotage,Ottawa,Ontario.

vanHelvoort,G.,1986Observerprogram operationsmanual.FAOFish.Tech.Pap. 275:207pp.

Box 1: SAMPLE CHECKLIST FOR VESSELS

Box 1: SAMPLE CHECKLIST FOR VESSELS (Ajango et al. 2004, ICCAT 2007, AMSEA 2011)

a. U.S. Coast Guard Exam Sticker valid two years from month issued in U.S. fisheries. For allother vessels, a current and valid Safety Certificate that does not expire for a period of at leastfour months from the date of embarkation of the observer;

b. Orientation tour of monitored entity provided within 8 hours of embarking or arriving:c. Station bill placard of emergency assignments for all on board including the observer - location,

emergency instructions and assembly locations (muster station);d. Life raft/survival craft - type, location, capacity including observer, service date valid,

hydrostatic release date not expired, raft assignment;e. Immersion suits, lifejackets (PFDs) for all personnel on board - types, stowage location,

accessibility in anemergency, proper size, light;f. Life rings or man overboard recovery device(s) – location;g. Flares - types, location, expiration dates;h. EPIRB(s) - location, battery expiration date, and hydrostatic release expiration date;i. Fire extinguishers - which types, location, last service date;j. First aid materials/medicine chest - location, first aid texts, trained crew;k. Radio - types, location, monitor distress channel, instructed how to use;l. Electronic position fixing devices: function, how to find position;m. Radar - Operational and alarm options;n. Stability report or guidance on board and current within 5 years;o. Presence of vessel hazards: Do hatches open/close? Do watertight doors properly seal? Are rails open

or potentially unsafe? Location of overhead or sharp objects;p. Personal risk management plan; Personal escape route clear; Find route in dark; Personal

survival equipment available and accessible at all times;q. [small vessels] Instructions to turn engine on/off and how to steer in case observer is only one

remaining on board.


Box 2: MINIMUM SAFETY REQUIREMENTS

Box 2: MINIMUM SAFETY REQUIREMENTS – Vessels >24m LOA

The observer shall check the following items as part of the “Pre-deployment Inspection” which shall be

considered as the minimum compulsory requirements. In the event a vessel does not meet theserequirements, the observer shall not board the vessel for deployment. Regulatory authorities have not yetestablished standards for vessels <24m LOA. However, stakeholders may consider the following standardsapplicable for vessels <24m LOA.

Safety Certificate (Safety Management Certificate)a. The vessel shall maintain onboard a current and valid safety certificate that does not expire for a

period of at least four months from the date of embarkation of the observer.b. Check that that the full complement including the observer onboard does not exceed the limit

for the number shown on the safety certificate.

Life Raftsa. The life rafts shall have the capacity to accommodate the full crew complement including the

observer.b. Life rafts shall be within their serviceable date, which shall cover the expected maximum

duration of observer deployment.c. All life rafts shall be fitted with a properly attached Hydrostatic Release mechanism.d. Life rafts shall be mounted in a float free location and be free of extraneous tie-downs.

Life Jacketsa. There shall be a total number of life jackets onboard, readily available at the emergency muster

stations to accommodate each of the complement onboard the vessel.b. All life jackets shall comply with IMO – SOLAS LSA standards.

Immersion Suitsa. There shall be a total number of immersion suits onboard, readily available at the emergency

muster stations to accommodate each of the complement onboard the vessel.b. All immersion suits shall comply with IMO – SOLAS LSA standards.

GMDSS Requirementsa. The vessel shall be GMDSS compliant in accordance to its tonnage and its area of operation.b. Any component of the GMDSS requirement that is out of date or unserviceable will render the

vessel as NOTbeing GMDSS compliant

Minimum safety requirements shall apply to all vessels onto which an observer is embarked;

including any vessels used to transfer observers from land to transhipment vessels. It is noted however,that a pre-deployment inspection will not be possible in the case of observers not embarked in port. Forthis reason, the observer programme requires all carrier vessels embarking an observer for the first time todo so in port. Subsequent observer changeovers may take place without the carrier vessel returning to port.


GLOSSARY

Thefollowingdefinitionsareincluded forthepurposeoftheIOBR,CCROP-HS, andCCROP-SR,withsourcedocuments inparentheses.

Active Observer – A person who has worked as an authorised

‘observer’withinthelastyear(IOBR).

Assault – Physical/verbal attack, threat of bodily harm, rape or attempt to destroypersonal orprofessionalproperty of theobserver(IOBR).

Assignment–Beginning thedayanobserver is first told theyare tobedeployed (SeeDeployment)onboardorataMonitoredEntityandendingthedaytheobserver leavestheMonitoredEntity,ortheassignment iscancelled(IOBR,CCROP-SR).

Atsea–Dayanobserver isrequiredbythevessel tobeonboardthevessel,regardlessifatsea,anchored, tiedupatthedockorintransittofishinggrounds (IOBR).

Bribery– The offering of a gift or other type of incentive to influence the observer’sconduct orperformance of their duties.Bribery comes in many forms and can oftenbesubtle,with smallgift giving,promiseof futureemploymentor special treatmentandcanbe with no explicit request to alter the observer’s duties, but may have the effect ofinfluencing the observer. Other forms of bribery of the observer aremore blatant,withactual requests to alterdataor influence theperformance of their duties (IOBR, CCROP-SR).

Briefing– A training prior todeployment that anobserver is required toparticipate,usually less time than initial training with thepurpose ofupdating theobservers on anyprotocol changes or changes in laws that affect the observer’s duties (IOBR).Conflict ofinterest - an observer, observer employer, or observer coordinator’sparticipation in anyactivity or relationship, whether pecuniary or social, that results in the impairment orperceived impairmentof theofficialresponsibilitiesorobjectivity of thatperson (CCROP-SR).

CrisisIntervention–Emergencycareaimedatassistingindividualsinacrisissituationtorestoreequilibrium to theirbiological andpsychological functioning and tominimise thepotential forpsychological trauma (IOBR).

Debriefer– observerprogrammeor contractedpersonnel that performs a face-to-facedebriefingwith the observer, using observer programme debriefing protocols, after theobserver’s deployment to ensure the data quality and integrity of their data collection methodsandthatobserverprogrammeprotocolswereproperly followed (IOBR).

Debriefing (dataqualityaccountability)– period when an observer is interviewed bythe debriefer to describe all aspects of their deployment, including data collectionmethods,protocols followedandproblemsencountered (IOBR).

Deployment– Beginning the day an observer starts travel to a MonitoredEntity andending theday theobserver leaves theMonitoredEntity(IOBR,CCROP-HS, CCROP-SR).


Direct financial interest - Any source of income to, or capital investment or other

interest held by, an individual, partnership, or corporation or an individual's spouse,immediate familymemberorparent (CCROP-SR).

DocksideLocation - shore-based sampling location where the observer collects catchinformationonaquaticresourcescomingoffavessel(retainedcatchonly)(IOBR,CCROP-SR).

Electronic Monitoring (EM) – The use of technologies, such as vessel monitoringsystemsorvideo cameras,tomonitorcommercial fishingoperations (CCROP-SR).

ElectronicReporting(ER) –The use of technologies,such as phones or computers, torecord, transmit,receive and storefisherydata(CCROP-SR).

Essential Observer Programme Data – Observer programme statistics that allow forcomparison with other programme, such as number of vessels, plants and docksidelocationscovered intheprogramme, thenumberofobserversutilised ineach, theaveragedeployment lengthbyvessel typeand fishery,observerattritionrates,violationsreportedand their outcome, estimated annual value of various target fisheries, unionised or not,desired vs. implemented coverage rates, and definition of fishing day for observercoveragepurposes (IOBR).

FairLabourStandards–Astandardestablishedandadhered toby theemployerwhichincludesthesafeguardingofemployeerightsundernationaland international labour laws,including non-discriminatory practices, freedom from abuse or harassment, rights tocollective bargaining (unions) and freedom of association, healthy and safe workenvironment,premiumpaymentfor overtimeand holidays.Most internationalfair labourconventions set standards of reasonable weekly hours worked at no more than 60hours/week.Manyobserversworkinexcessof100hoursperweek (IOBR).

Financial Independence – This term is used to denote a clear separation financiallybetween the observer or observer employer and the Monitored Entity, beyond that ofobserver service provisioning.Financial transactions should not include direct paymentfor salary, travel, transportation, food (between assignments), lodging (betweendeployments),andmedicalsupport(betweendeployments) (IOBR,CCROP-SR).

First-time Observer - an observer’s first-time embarking a Monitored Entity, duringhis/her first employed deployment as an observer (CCROP-SR).Former Observer – Aperson who has former work experience (equalling 90 days or more) as an authorisedobserver and has notworked as an observer within the last year. Also known as priorobserver (IOBR).

GrievanceProcedure–Anofficialprocesswherebyobserverscanregisteracomplaintorappealtoanactiontakenagainstthemorappealaperformance evaluation(IOBR).

Harassment – Harassment of an observer can include anything that creates anintimidating,hostile,oroffensive environment,withorwithouttheintentionofinterferingwith the observer’s duties. Sexual harassment is a type of harassment that involves“unwelcome sexual advances, requests for sexual favours, and other verbal or physicalconductofasexualnature […]whensubmission to,orrejectionof, thisconductexplicitly


or implicitly affect an individual’s employment, unreasonably interferes with anindividual’s work performance, or creates an intimidating, hostile, or offensive workenvironment.”(AFSC2011).Harassment issometimes subtle and requires special trainingby theobserver programme tohelp theobserver define, avoid,de-escalate, andproperlydocument instancesofharassment forprosecution (IOBR).

Industry Self-Monitoring-Refers to the collection of informationby representativesofthe industry being monitored. Any representative hired directly by the industry shouldnotbereferred toasanobserver.

Interference– Interference of an observer’s duties is any physical or circumstantialmanipulation thathas theeffectofpreventingor influencingany aspect of the observer’sduties in a way that prevents the observer from carrying out their duties according totheobserverprogramme’sprotocols(IOBR,CCROP-SR).

Monitored Entity – Vessel, processing plant, dockside location, research vessel oroffshore platform that is being monitored as part of an observer programme; may beinclusiveof any personnel(or company)responsiblefor themanagementoroperationoftheMonitoredEntity(IOBR,CCROP-SR).

Observer – An ‘observer’ is a person who is authorised by a regulatory authority tocollect information in the field (either atsea oron shore) to support sustainableaquaticresource management. The observer must be financially independent of the industrybeingmonitored (IOBR,CCROP-SR).

ObserverEmployer–Thisincludesanyemployeroftheobserver(observerprogrammeorprivatecompany). Ifaprivatecompany(sometimes referred toasan“observerprovider”), itisonethatiscontracted (orpermitted)bytheregulatoryauthority tocarryoutthepurposeofprovidingmonitoredentitieswithobservers(IOBR).

Observer Performance Evaluation – Observers should have ample opportunity toimprove theirperformance through regularevaluations. This isusuallydone in a face-to-facemeetingwithdebriefersafteranestablished amountoftime -forexample,aftereachtrip, contract, 6-month period, etc. Observer performance evaluations should havetransparent protocols that ensure against discrimination, be readily available toobservers, and include clear instructions required of the observer to reconcile anynegative evaluation. Performance evaluations should include an appeal process thatallows the observer to challenge a negative performance evaluation and this should beincludedwiththeperformance evaluation record(IOBR).

Observer Programme – Includes all personnel of an agency, organisation, and/orcontracted non-observer entity who are responsible for the direct management of themonitoring programme – including, trainers, briefers, debriefers, port coordinators,observercoordinators,andlogisticspersonnel.Mayormaynot includeobserveremployercompanystaff(IOBR,CCROP-SR).

ProcessingPlant– A facilitywhere vessels offload fish catch,where the fishareprocessedandpackaged (IOBR).

QualifiedObserver- AnobserverwhohascompletedacertificationcourseinaccordancewitharecognisedObserver


Programme. To become 'qualified', observers need sufficient time to learn theirduties, develop good judgment in carryingout those duties, adhering to professionalstandards of conduct, and adapting to the rigors of a hazardous working environment(CCROP-SR).

RegulatoryAuthority–Governingbodythatmandates,initiates,managesoroverseesthemanagementofanobserverprogramme (IOBR,CCROP-SR).

Standby–Daysobserver iswaiting fordeployment andunabletotakeanother job.Thisincludes:

•daysaftertraining,waitingtoreceivewordoftheirassignment;•daysobserver isexpected tocheck-inwiththeiremployerviaphoneorin

person;•daysassignedbutwaiting intheportofhiretotransittotheMonitoredEntity;•duringtransittoarriveattheMonitoredEntity,and;

•dayswhen residing in theportof theMonitoredEntity,waiting for instructionstoboardorarrive at theMonitoredEntity(IOBR,CCROP-SR).

Training – Days before deployment that are dedicated to training the observer in

sampling methods, species identification, education of aquatic resource regulations,andinforming the observer of any other aspect that they are likely to encounter duringtheirdeployment (IOBR)


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