TABLE OF CONTENTS
1. INTRODUCTION
2. MATTERS COVERED BY THE PROTOCOL
3. INTERACTION BETWEEN THE AGENCIES
4. PLANNING PROCESS
5. AGREEMENT TO LEGAL TESTS
5.1 Decision-making Process
5.2 Meaning of “undue”
5.3 Relevance of Threats and Risk to the Proposed Area
6. AGREED STANDARDS
6.1 Relationship with Tangata Whenua
6.2 Consultation
6.3 Technical Information Principles
6.4 Undue Interference on Fishing Interests
6.5 Assessment of Habitat and Biodiversity Values
7. AGREED PROCESSAPPENDIX: MARINE RESERVE PROCESS
Diagram: The Marine Reserves Process
Part A: Developing a Proposal (Non-Statutory)
Part B: Making a Formal Application (Statutory)
2 The Protocol outlines the process the Agencies will follow to process marine reserve applications. The collaborative efforts of the Agencies are not intended to be a substitute for the requirement for each Agency to provide independent advice to its Minister.
3 The Protocol has been devised to meet the process requirements of the Marine Reserves Act 1971 and will, from time to time, need to be modified to the extent required to give effect to any new legislative or policy requirements. In particular the implementation of an oceans policy and marine protected area strategy may require the protocol to be modified.
4 This Protocol conforms to the August 1997 Protocol Agreement between the Agencies. This new Protocol, as with the 1997 protocol, is designed to promote open and honest communication, integrity, and professionalism in each agency’s dealing with the other. It is designed for good faith and positive joint efforts to achieve the goals of the Government in marine protected areas.
2. MATTERS COVERED BY THE
PROTOCOL
5 The matters covered by the Protocol are:
7 Progress reports on any current applications are to be completed by the appropriate office staff of each Agency and communicated to designated head office/regional office officials of each Agency as agreed.
8 Staff will attempt to find a solution to differences in approaches and views by direct discussion and inter-agency meetings.
9 If there is uncertainty about of any part of the process developed to deal with marine reserve applications that uncertainty should be clarified as soon as possible. If agreement cannot be reached by any other means, the matter in dispute should be referred as soon as possible to the Ministry of Fisheries/Department of Conservation Officials Committee.
10 The Agencies acknowledge that resource and time constraints applicable to each Agency need to be taken into account when considering marine reserve applications.
11 The agencies will make a joint approach to Crown Law to resolve any critical legal issues that are not mutually agreed.
12 The Agencies retain their respective abilities to provide independent advice to their Ministers, keeping the other Agency informed of such advice.
4. PLANNING PROCESS
13 A project plan for each marine reserve application, where the Department
is the proponent/applicant (“the Project Plan”) must be developed by one
official from each Agency when each potential site is selected.
14 The Project Plan must include:
16 A six-monthly plan which identifies progress and upcoming work on current applications and the potential number and location of future Departmental and known external applications within the next six months will be presented at the planning forum.
17 To the extent possible, the Agencies shall agree to the level of resources that each Agency shall direct to each marine reserve proposal or application.
5. AGREEMENT TO LEGAL TESTS
18 The Agencies agree to apply a common understanding of the legal
tests used to assess marine reserve applications, based on statutory requirements
and judicial comment on:
21 Section 5(6) of the Act requires each Minister to satisfy him or herself that declaring the area a marine reserve would not interfere unduly with: any estate or interest in land in or adjoining the proposed reserve; any existing right of navigation; commercial fishing; or adversely affect any existing usage of the area for recreational purposes; or that the marine reserve would not otherwise be contrary to the public interest.
22 The agencies acknowledge that the Minister of Fisheries is primarily concerned with fishing matters.
5.2 Meaning of “undue”
23 The meaning of “undue” can be defined in the following ways:
6. AGREED STANDARDS
25 The Agencies have agreed to adopt common standards in respect of:
27 Tangata whenua should be given the opportunity to participate and be fully informed throughout the process.
28 The Agencies will work together to identify interested tangata whenua and also be guided by relevant iwi authorities.
29 Consultations are to occur with the recognised representatives of relevant iwi and hapu.
30 The Crown will consult with, and give serious consideration and weight to the views of tangata whenua who claim mana whenua over, and Maori who retain a fishing or other interest in, the area of the proposed marine reserve.
31 The Agencies agree that informing and obtaining the views of Maori about an application is distinct from seeking the support of tangata whenua to an application.
6.2 Consultation
32 The project plan for proposals or applications will identify the
scheduling of any planned public meetings.
33 The Agencies shall, where possible, ensure that officials from each agency shall attend any public meeting or hui with tangata whenua to discuss marine protection.
34 If conditions likely to be attached to the Order in Council creating the marine reserve are identified prior to notification of the application, then those conditions should be included in the notified application as notice of later recommendations to the Minister.
35 Any substantial changes made to the notified application, or proposed conditions, shall be devised with the involvement of tangata whenua and any other interested groups.
36 Neither Agency will release draft reports to interest groups without first consulting the other Agency.
6.3 Technical Information Principles
37 The principles below are accepted as being best practice in relation
to marine reserve applications.
38 The Agencies accept that appropriate principles to be taken into account by decision makers, include:
40 The Agencies shall whenever possible seek to reach agreement about the nature and extent of information and research to be obtained, and how such research should be commissioned, conducted and peer reviewed to an agreed process.
41 Each Agency is able to make such relevant enquiries as it deems fit, taking into account whether the information is indispensable for proper decisions and would not cause appreciable delay.
42 Additional surveys and assessments may be undertaken that are deemed warranted and practicable by the particular Agency, which would meet the costs involved, unless otherwise agreed.
43 The Agencies should share all information obtained, unless there are reasons for commercial or cultural confidentiality.
44 All notified applications should be supported by a site survey and investigation appropriate to the site circumstances, derived using personnel with appropriate training and experience, and with a summary of information made available to the public.
45 The Department will promote these information principles to external applicants, and will advise against proceeding with a formal application that is not based on a scientific appraisal of the merits of the site sufficient to satisfy the requirements of s 3 of the Act.
46 In the absence of a site survey and investigation having been undertaken by the applicant and the Department agrees that the application may have merit, it will arrange to have a site investigation undertaken.
47 Where a significant delay has occurred in the process, updated information, may be sought.
6.4 Undue Interference on Fishing Interests
48 Factors to be taken into account by Ministers when assessing the
extent of any interference on fishing interests should include, where available:
50 Customary fishing rights do not act as a veto over any decision to establish a marine reserve.
51 The process may result in customary fishing rights being:
53 Information should, where available, cover:
55 The characteristics of the site need to be compared to the surrounding area.
7. AGREED PROCESS
56 The Agencies agree to adopt the process attached to this document
as an appendix for consideration of marine reserve applications.
APPENDIX: MARINE RESERVE PROCESS
Outline of Steps
The process outlined below is applicable to a situation where the Department
of Conservation is the applicant?. It will be made specific to individual
proposals in the project plan.
Part A: Developing a proposal (non-statutory)Step A1:
Identify potential sites and gather information.
Step A2: Discussions held with tangata whenua
and other interested parties; preliminary assessment of site suitability.
Step A3: Commission site survey and investigation,
and review of site information.
Step A4: Draft proposal released for public
comment.
Step A5: Prepare a formal application.
Part B: Making a formal application (statutory)Step B1:
Notification of application.
Step B2: Consultation with interested parties.
Step B3: Answer to objections.
Step B4: Consideration of application and objections
by Department.
Step B5: Minister of Conservation considers objections
(s 5(6)), then substantive case (s 5(9)).
Step B6: Concurrence sought from Ministers of Transport
and Fisheries.
Step B7: Recommendation made for creation of marine
reserve by Order in Council.
PART A: DEVELOPING A PROPOSAL (NON-STATUTORY)
Step A1: Identify potential sites and gather information
Standards
a) Agencies are informed of potential sites identified by the proponent/applicant,
or through joint departmental processes.
b) Best available preliminary information to be provided by the Department
to other agencies:
Step A2: Discussions held with tangata whenua and other interested
parties; preliminary assessment of site suitability
Standards
a) Agencies should meet to:
Legal Requirements
a) Requirement to provide for input and participation of tangata whenua
to meet obligations under s 4 of the Conservation Act 1987, for and under
s 10 of the Treaty of Waitangi (Fisheries Claims) Settlement Act 1992,
and to kaitiakitanga (s 12(1)(b) Fisheries Act 1996).
Step A3. Commission site survey and investigation, and review of
site information.
Standards
a) Refer to section 6.3 ‘Information Principles’ in the main text of
this Protocol.
b) If it is assessed that the area does not meet the requirements of
s 3(1) of the Marine Reserves Act then the application will not proceed.
c) The requirements of administration and maintenance of the area are
to be considered. Potential conditions that would need to, or could apply
should be identified as soon as possible.
d) Tangata whenua should be provided an opportunity to be involved
in a review of the site information, potential boundaries and any considerations
by Agencies about any conditions that could apply.
Legal Requirements
a) Refer to s 3(1) of the Act.
Commentary on purpose of Act
a) An area can qualify on grounds of “distinctive quality”, “so typical”,
“beautiful”, or “unique” alone or in any combination.
b) An ordinary usage meaning is to apply to the terms “distinctive
quality”, “so typical”, “beautiful”, and “unique”.
c) There is no requirement that the establishment of a reserve must
be in the national interest. The “national interest” exists when
an area is “of distinctive quality”, “so typical”, “beautiful”, or “unique”.
d) Preservation for scientific study does not require that any study
is proposed at any given time.
e) The nature and extent of the relevant habitat may mean that it should
be protected even though it has been heavily modified.
f) Once established, a marine reserve must, as far as possible, be
preserved in a natural state, therefore consideration of factors that may
affect ability to maintain in a natural state may be relevant.
Step A4: Draft proposal released for public comment
Standards
a) The Department may publish a draft report about the proposed area
as a way of informing the public and gauging public support or opposition
prior to the formal application.
b) Standards observed here are to be the same as for steps A2 and A3
above.
c) Submissions and feedback will be shared with the Ministry and any
consideration of location of sites and their boundaries should be discussed.
Every effort should be made to reconcile differences of view on the values
of the site and any adverse effects of a marine reserve.
d) At any point in the process up to this one, a decision may be taken
that, because of overwhelming adverse public opinion or effect of the marine
reserve a proposal should not proceed. If there are important habitat
and biodiversity values associated with the site that warrant some protection,
consideration should be given to other tools available to achieve this.
These are outside the scope of this Protocol.
Step A5: Prepare a formal application
Standards
a) The applicant should ensure that the report which accompanies the
formal application notice (the Notice of Intention) provides full information
for tangata whenua, interest groups and parties and the public, including:
PART B: MAKING A FORMAL APPLICATION (STATUTORY)
Step B1: Notification of application
Standards
a) The Department will send a copy of the Notice of Intention and formal
application to the Ministry to the appropriate regional and local offices
of the Ministry for public viewing, and to the CEO of the Ministry.
b) Notice will also be released to parties identified by Government
agencies.
c) Government agencies will assist with identification of appropriate
parties.
Status of Applicant
a) The status of any external applicant in terms of s 5(1)(a) of the
Act will be checked by the Department.
Public Notification Procedure
a) The application must be notified in accordance with the requirements
of s 5 of the Act.
Step B2: Consultation with Interested Parties
Standards
a) Consultation with interested parties is not a statutory requirement
but may assist public understanding of applications. The process
under
the Act provides only two months to lodge objections. Consultations
should be held or arranged prior to formal notification of applications,
where that is possible, and scheduled in the project plan.
a) The Agencies are to consult on the scheduling of any meetings with
tangata whenua, interest groups and the public and if possible provide
representatives to attend.
b) The Agencies agree to advise tangata whenua of the consultation
and objection process and meet with representatives if requested to do
so.
c) The timing of meetings is to occur prior to conclusion of the objection
period (to allow sufficient time for persons to submit objection following
any meeting).
Step B3: Answer to Objections
Standards
a) All objections may be answered by the applicant.
b) The applicant should consult with the Ministry before answering
specific objections raised in respect of fisheries issues.
c) Objections are to be answered within three months of notification
of the application.
d) The Department will provide the Ministry with a copy of all answers
to objections.
Legal Requirements
a) Refer to s 5(4) of the Act.
b) The word “may” in this section means that the applicant is not required
to answer the objections. If the applicant chooses to do so, the
objections must be answered within three months and the Director General
must send those answers to the Minister for consideration.
Step B4: Consideration of application and objections by Department
Standards
a) Copies of all objections and responses (together with a summary)
are to be provided to the Ministries of Fisheries and Transport by the
Department.
b) The agencies agree to meet to discuss and clarify issues raised
in objections.
c) Consideration should be given by the agencies as to whether meetings
with tangata whenua should be held to discuss matters raised in objections.
d) Advice to the Minister about the status of any external applicant
is to be made. Note this will have been checked at step B1 to ensure
applicants comply.
e) The agencies are to undertake a gap analysis of the application
in relation to the matters contained in the protocol and legal tests.
f) The agencies should seek to obtain further information before submitting
advice to the Minister of Conservation if the information is critical to
the Minister’s decision.
g) If the agencies disagree that the information is critical to the
Minister’s decision, then the Department may elect to submit advice to
the Minister of Conservation.
Legal Requirements
a) Refer to s 5(6) of the Act.
Commentary
a) Recreational purposes are wider than recreational fishing.
b) Public interest includes customary rights and Treaty negotiations.
c) Navigational issues include safety/shelter for vessels (although
s 23(1) – (2) of the Act expressly provide freedom of passage and anchoring
in emergency).
d) Public interest is wider than effects on an individual unless they
are likely to be representative of effects on others.
e) Matters “otherwise ... contrary to the public interest” must be
something other than the matters referred to in the other four criteria
of s 5(6)(a) – (d).
f) The overall public advantages associated with the establishment
of the reserve are to be considered, as well as any adverse impacts.
Step B5: Minister of Conservation considers objections (s 5(6)) and
then the substantive case (s 5(9))
Standards
a) The Department’s advice to the Minister should include:
Legal Requirements
a) Refer to s 5(6), (8), and (9) of the Act.
Commentary on matters to be considered
a) A matter “otherwise contrary to the public interest” is something
different to that specified in s 5(6)(a)-(d).
b) The overall public advantages that will flow from the interference
to fisheries created by the reserve are to be considered (CRA 3 case, High
Court judgment, para 36).
c) In s 5(9), whether declaring an area to be a reserve will be in
the best interests of scientific study is a scientific question.
d) The term “for the benefit of the public” means that the declaration
itself will be for the benefit of the public. That determination
is additional to the issue of benefits from scientific study.
e) The term “expedient” involves “achieving a particular purpose”.
That “it is expedient” for the area to be declared a reserve must relate
to the purpose of the Act.
Step B6: Concurrence sought from Minister of Fisheries
Standards
a) The Minister of Conservation is to advise the Ministers of Fisheries
of his/her decision (including any proposed conditions) and the reasons
for that decision when requesting concurrence.
b) The Ministry’s draft concurrence report is to be provided to the
Department for comment.
c) A concurrence report is to be provided to the Minister within an
agreed time frame.
d) The advice should report on:
Legal Requirements
a) Refer to s 5(6) and (9) of the Act.
Step B7: Recommendation made for creation of marine reserve by Order
in Council
Standards
a) Agencies will act on the decisions of Ministers to approve/concur
with marine reserve applications, with or without conditions, and prepare
an appropriate draft Order in Council to reflect these decisions, sharing
the draft prior to submission for checking that legal and policy requirements
have been fully met.
b) In the event that decisions are taken not to concur or proceed with
an Order in Council, the Department will notify the applicant and interested
parties accordingly.
Legal requirements
a) Refer to s 5(9) of the Act.
b) The Minister of Fisheries may give concurrence subject to conditions.
The Minister of Conservation may or may not accept any of those conditions.
If the Minister of Conservation declines any conditions, concurrence may
be withheld and the application is declined.