Shanks independent review of Cape Sanctuary: Issues

Introduction

DOC has released a report by independent reviewer David Shanks, who was commissioned by DOC to consider complaints made about kiwi handling practices and a number of kiwi deaths at Cape Sanctuary in 2016/17, and how DOC managed Wildlife Act permits.

Date: 22 August 2023

Both DOC and Cape Sanctuary came under scrutiny for Cape Sanctuary’s management of kiwi, after 25 kiwi chicks died in the summer of 2016/17. Concerns were raised in 2017 of a higher-than-normal number of kiwi deaths. DOC worked with Cape Sanctuary staff who were undergoing staff changes with a new Sanctuary Manager and contractors.

An independent review of the details surrounding these events was commissioned by DOC in 2022, including analysis of the event and robust recommendations for both DOC and Cape Sanctuary.

The investigation found several factors contributed to the kiwi deaths in the summer of 2016/17, including staff turnover at Cape Sanctuary, a very dry summer, a period of inadequate monitoring, and predation. DOC continues to work closely with Cape Sanctuary.

DOC accepts the recommendations, is already implementing some and has a plan in place to implement the rest over the next one to two years.

This includes reviewing existing authorities, improving procedures and training for DOC staff in monitoring roles, and strengthening the framework for monitoring and auditing authorities.

Download the independent review (PDF, 1,443K)

The Director-General has also made a public apology to a person who complained to the Department regarding kiwi deaths at Cape Sanctuary.

Download a copy of the apology (PDF, 297K)

DOC’s organisational response

The Department accepts all the report’s recommendations and is committed to making the changes within DOC that are needed. We’re already implementing some recommendations and have a plan in place to implement the rest over the next one to two years.

They will become part of a broader programme of work to lift DOC’s performance and accountability, including systems and processes to ensure we are working effectively to get the best outcomes for nature and conservation.

We already have work underway on major areas that underpin our work focusing on asset management, fiscal discipline and processes and workflow improvements.

Our programme of work to lift performance, alongside the review findings, make it clear that significant effort must continue to focus on our regulatory function, which is essentially how we manage the rules for protecting wildlife.

DOC’s organisational structure was changed in late 2022, so we already have clearer reporting lines for administering permits. We have also taken steps to strengthen our work with iwi as honourable Treaty partners, including how we can support our people to do this more effectively.

We will make sure our wildlife permits have the right conditions up front, and we need to have a solid system in place enabling staff to monitor the permits and know when they need to be renewed.

We are also reviewing existing wildlife permits, starting with kiwi, to make sure they are being held correctly. This will give us information we can use to re-design of our permissions database and set clearer expectations with authority holders about their obligations in holding a wildlife permit.

We are trialling a new complaints process, and training will soon be rolled out to help build staff confidence identifying and responding to conflicts of interest and protected disclosures.

We know we must continue to lift our game to do the best for conservation and protect our taonga species for future generations.

It’s important the public has confidence in us and the systems we have in place to protect wildlife. Progress implementing the recommendations will be monitored through DOC’s audit programme.

Recommendations and DOC's responses
Recommendation		DOC’s response
1	DOC prioritises the replacement of its Permissions Database with a fit-for-purpose system.	We accept this is a priority and have work in train for this to happen. Detailed design options will be completed by mid-2024. The next steps will be implementation based on the preferred option. It will consider the findings of this review, and feedback from our people and stakeholders.
2	DOC undertakes a risk-based review of existing Authorities and Authority holders.	We are undertaking a risk-based review of authorities, and authority holders prioritising kiwi first and then will look at other species. All our kiwi permits will be checked by the end of this year (2023). These reviews will identify key issues and enable us to take proactive steps ahead of the permission system replacement. There are thousands of other wildlife permits. We will prioritise these according to the risk and anticipate this will be completed by the end of 2024.
3	DOC establishes a robust, fit-for-purpose framework for its approach to monitoring and auditing of Authority conditions	Work is underway on this. We will have a framework in place by the end of the year, and we will look to implement after that.
4	DOC to develop procedures, guidance and training support for DOC staff tasked with carrying out the monitoring role, along with appropriate resourcing.	We will improve procedures, guidance, and training. Once we have delivered on recommendations 2 & 3 we will development strong, clear operational guidance.
5	DOC to strengthen its internal assurance capability to ensure that this framework is working as it should.	We are strengthening our internal assurance capability within the regulatory services function. We are building a team to deliver. In addition, our central assurance function audits enterprise systems and frameworks and will develop an integrated assurance system to ensure they are operating as they should.
6	DOC to prioritise development and implementation of a new centralised complaint management system, with associated policies and guidance to ensure DOC responds effectively to complaints.	We were doing this work already and have been scoping what a system would look at. We are preparing to do a pilot to test this, which will start in the next few weeks. In the interim, complaints are being well managed through existing channels including through our Chief Assurance Officer. The public and our staff can contact us in these ways: 0800 DOC HOT – emergencies, concerns about sick or injured animals, reporting illegal or suspicious activity through our information centre – general inquiries, including complaints through the Official Information Act system visitor safety concerns – through our online form through a protected disclosure (via the Protection of Whistleblowers Act 2022) – following the process managed by the Conservation Assurance Team Speak Up – through Human Resources
7	DOC to develop and implement training for staff to ensure DOC identifies and responds to Protected Disclosures lawfully and appropriately.	We have well-embedded policies and guidance. Robust training processes are under development and will be rolled out to staff in September.
8	Develop policy on advocacy and commercialisation of protected wildlife alongside a broader review of the Wildlife Act.	We are considering this as part of the wider framework for regulating activities involving wildlife, which may be addressed as part of a review of the Wildlife Act. Decisions on scope and timing of any changes to legislation is for the Government to determine.
9	DOC carry out an analysis of how many Authorities are in place where advocacy and/or commercial activity is taking place involving protected wildlife, and conduct a risk-based review to determine whether there are any existing cases where further inquiry and action may be required by DOC ahead of the development of the overarching policy and guidance.	This is underway. The findings of the analysis will determine next steps. The framework to strengthen monitoring and the implementation of that will further enable this analysis.
10	DOC prioritises progress on iwi consultation and engagement workstreams, together with consideration of guidance and support to be provided to responsible DOC staff to develop and maintain effective relationships with relevant iwi and hapū.	Strengthening our work with iwi is an ongoing process. In order to make good decisions, we need to be well informed. This means working with iwi Māori to understand potential issues and opportunities, and ensuring local knowledge informs the decisions we make. We are rolling out guidance to our people to enable them to do this more effectively.
11	DOC develop a communications strategy and plan to ensure that Authority holders are clear about DOC’s role and responsibilities in issuing and overseeing Authorities, and the associated expectations upon the Authority holder.	We will develop a communications strategy and simplified resources to ensure the authority holders and DOC are each clear about roles and responsibilities. We have recruited someone to focus on this work.
12	DOC now commences work with the Sanctuary to review and update both the brown and little Spotted Kiwi Authorities currently held by the Sanctuary.	We are progressing this work. Since the kiwi deaths we have a much stronger relationship with Cape Sanctuary, who have made significant improvements in their management and operating systems, The Cape operate under clear rules regarding tours and handling of chicks. The current Brown Kiwi permit was approved in September 2018. The Little Spotted Kiwi permit is due to expire next year, and work has commenced on ensuring this permit reflects best practices regarding kiwi conservation management.
13	DOC to provide KRG (and other advisory group members) with clear email signature block forms to use in all cases where they are communicating in their capacity as advisory group members, along with training to support them in identifying and managing the potentially complex conflict of interest issues that can arise for these groups. Conflicts of interest registers should be maintained and regularly updated for the membership of all advisory groups.	We have provided all recovery groups email signature blocks to address this. We have also made resources available on the website for Boards to use as guidance on conflicts of interest, and we have material available to help guide Directors and Managers leading Advisory Groups. We have an ongoing programme to remind staff to update their conflict-of-interest declarations, and to inform incoming staff of their responsibilities. Our Conservation Assurance Unit holds and monitors these.
14	DOC develops and implements a training programme to ensure that all staff (including senior management) are fully aware of and up to date on the expectations of them in relation to disclosure and management of conflicts of interest and gifts and hospitality.	There is a comprehensive programme of improvements underway to the conflicts of interest processes. We will launch a training programme in September 2023.
15	DOC review its audit and assurance processes to ensure that it can be confident that staff and senior management are complying with policy expectations in this area to the high standard required.	All the recommendations of this report will be included in the audit programme and monitored regularly by the Chief Assurance Officer. In addition, conflicts of interest, gifts, and hospitality registers are regularly reviewed.
16	DOC to include its public communications assurance processes in its suite of regulatory improvement processes to address the risk of inaccurate or misleading public statements adversely impacting its regulation of Wildlife Authorities or its ability to impartially investigate complaints.	We have reiterated the importance of robust processes through training to check and approve information before it is sent out to media. We consult with regional and subject matter experts to prepare public statements. We also ensure senior managers review and sign out material.