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Management Audit of the Division of Conservation and Resources Enforcement A Report to the Governor and the Legislature of the State of Hawai`i Report No. 06-01 January 2006 THE AUDITOR STATE OF HAWAI`I Office of the Auditor The missions of the Office of the Auditor are assigned by the Hawai`i State Constitution (Article VII, Section 10). The primary mission is to conduct post audits of the transactions, accounts, programs, and performance of public agencies. A supplemental mission is to conduct such other investigations and prepare such additional reports as may be directed by the Legislature. Under its assigned missions, the office conducts the following types of examinations: 1. Financial audits attest to the fairness of the financial statements of agencies. They examine the adequacy of the financial records and accounting and internal controls, and they determine the legality and propriety of expenditures. 2. Management audits, which are also referred to as performance audits, examine the effectiveness of programs or the efficiency of agencies or both. These audits are also called program audits, when they focus on whether programs are attaining the objectives and results expected of them, and operations audits, when they examine how well agencies are organized and managed and how efficiently they acquire and utilize resources. 3. Sunset evaluations evaluate new professional and occupational licensing programs to determine whether the programs should be terminated, continued, or modified. These evaluations are conducted in accordance with criteria established by statute. 4. Sunrise analyses are similar to sunset evaluations, but they apply to proposed rather than existing regulatory programs. Before a new professional and occupational licensing program can be enacted, the statutes require that the measure be analyzed by the Office of the Auditor as to its probable effects. 5. Health insurance analyses examine bills that propose to mandate certain health insurance benefits. Such bills cannot be enacted unless they are referred to the Office of the Auditor for an assessment of the social and financial impact of the proposed measure. 6. Analyses of proposed special funds and existing trust and revolving funds determine if proposals to establish these funds are existing funds meet legislative criteria. 7. Procurement compliance audits and other procurement-related monitoring assist the Legislature in overseeing government procurement practices. 8. Fiscal accountability reports analyze expenditures by the state Department of Education in various areas. 9. Special studies respond to requests from both houses of the Legislature. The studies usually address specific problems for which the Legislature is seeking solutions. Hawai`i’s laws provide the Auditor with broad powers to examine all books, records, files, papers, and documents and all financial affairs of every agency. The Auditor also has the authority to summon persons to produce records and to question persons under oath. However, the Office of the Auditor exercises no control function, and its authority is limited to reviewing, evaluating, and reporting on its findings and recommendations to the Legislature and the Governor. THE AUDITOR STATE OF HAWAI`I Kekuanao`a Building 465 S. King Street, Room 500 Honolulu, Hawai`i 96813 The Auditor State of Hawai`i OVERVIEW Management Audit of the Division of Conservation and Resources Enforcement Report No. 06-01, January 2006 Summary As requested by the Legislature through House Concurrent Resolution No. 200, House Draft 1, Senate Draft 1, of the 2005 Regular Session, we conducted a management audit of the Division of Conservation and Resources Enforcement. We found that Hawai‘i’s resources have deteriorated through overuse or abuse and from factors such as agriculture, grazing, and urban and residential developments. Examples of deterioration include the decline in coastal water quality, decrease of inshore marine resources, endangerment of inshore ecosystems by alien seaweeds, decline of coral reefs, and increase in the number of impaired streams. Similarly, our cultural resources have also been abused and suffered deterioration. Although there are laws and rules to protect Hawai‘i’s resources and the public’s safety, the Department of Land and Natural Resources (DLNR) and the Division of Conservation and Resources Enforcement (DOCARE) have not provided the leadership necessary to provide for their effective and efficient enforcement. The department and division leaders have not achieved full and effective enforcement. DOCARE generally only has enough officers on duty in its various branches to patrol for about 18 hours a day, seven days a week. Officers provide only partial coverage of the lands and waterways. In fact, enforcement officers rarely patrol the State’s waterways in available boats, many of which are stored in parking lots several miles from the ocean. Growth of the enforcement division’s conservation enforcement workload over the past ten years—possibly by as much as 50 percent—along with a mission that has shifted away from protecting natural and cultural resources and towards deterring illegal and criminal activity has caused the enforcement workforce to be spread too thin. Further, leaders do not know how much enforcement capacity is enough because performance measures are not established to identify the degree of compliance with laws and rules or the overall health of natural and cultural resources. Branch officers who patrol the land and waterways spend too much time performing administrative duties due to cumbersome, archaic work methods. Their time would have been better spent in the field protecting Hawai‘i’s resources. While many officers assigned to the various branches are extremely productive and carry the bulk of the workload, about a quarter of the officers are very unproductive, accomplishing far fewer enforcement actions than other officers. Additionally, the Kaua‘i branch’s production per work year is far less than the other three branches on Hawai‘i, Maui, and O‘ahu. DOCARE leaders need to develop tighter controls over the activities of enforcement officers, many of whom patrol unsupervised and do not have to account for their whereabouts. Leaders also need to schedule work during late evening and early morning hours; automate manual processes; and ensure that there are enough trained officers, including volunteers, who have the necessary equipment.  Report No. 06-01 January 2006 Contrary to the intent of the Hawaii State Constitution, resources have not been used in a manner consistent with their conservation. Hawai‘i’s natural and cultural resources will continue to deteriorate unless the DLNR and its DOCARE aggressively address many of the weaknesses noted in this report. Recommendations and Response To improve the effectiveness of enforcement operations, we recommended that the DLNR develop a strategic plan and, as part of that plan, evaluate the enforcement division’s mission; develop performance measurement plans to determine whether progress is made on goals and objectives addressing the overall health of the natural resources; establish goals and objectives addressing the extent of compliance with laws and rules along with performance measurement plans to determine whether progress is made in achieving compliance; and establish cross-divisional working groups to develop strategies and action plans to encourage compliance. To enhance the efficiency of enforcement operations, we recommended that the DOCARE develop specific expectations for branch chiefs, field supervisors, and enforcement officers and hold them accountable for performance; require branch chiefs and field supervisors to maintain frequent contact with subordinates over the radio and cellular phones during work shifts and require mandatory responses within specified timeframes; have the branches periodically schedule field supervisors and enforcement officers to work evening and early morning hours to catch poachers and troublemakers off-guard; and acquire a management information system along with laptop computers or handheld computer devices for use in the field. Perhaps as a diversionary tactic, the DLNR responded to our draft report with a lengthy reply that sidesteps many of the issues presented in the report and instead highlights department initiatives that often do not relate to issues raised. Some initiatives, however, such as the proposal for placing uniformed security personnel at state parks and small boat harbors and shifting responsibility for cruise ship security, appear promising and align with our report recommendations. Marion M. Higa State Auditor State of Hawai`i Office of the Auditor 465 South King Street, Room 500 Honolulu, Hawai`i 96813 (808) 587-0800 FAX (808) 587-0830 Management Audit of the Division of Conservation and Resources Enforcement A Report to the Governor and the Legislature of the State of Hawai`i Submitted by THE AUDITOR STATE OF HAWAI`I Report No. 06-01 January 2006 Foreword This management audit of the Department of Land and Natural Resources, Division of Conservation and Resources Enforcement, was conducted in response to House Concurrent Resolution No. 200, House Draft 1, Senate Draft 1, of the 2005 Regular Session. Our audit focused on the effectiveness and efficiency of the Division of Conservation and Resources Enforcement in enforcing laws and rules relating to natural and cultural resources. We wish to express our appreciation for the cooperation and assistance extended to us by officials of the Department of Land and Natural Resources and others whom we contacted during the course of the audit. Marion M. Higa State Auditor Table of Contents Chapter 1 Introduction Background .................................................................... 1 Objectives of the Audit ................................................. 16 Scope and Methodology ............................................... 16 Chapter 2 Expanded Coverage and Improved Efficiency Are Needed To Better Protect Hawai‘i’s Resources Summary of Findings ................................................... 17 Department Leaders Have Allowed Mission Expansion To Divert Attention and Resources Away from Conservation Enforcement .................... 18 More Efficient Methods for Performing Enforcement Operations Are Needed To Maximize Limited Resources .................................................................. 45 Conclusion .................................................................... 59 Recommendations ........................................................ 60 Response of the Affected Agency ........................................ 69 List of Appendixes Appendix A Detailed Recommendations for Department Implementation ......................................................... 63 List of Exhibits Exhibit 1.1 Exhibit 1.2 Exhibit 1.3 Exhibit 1.4 Organizational Chart of the Department of Land and Natural Resources ....................................................... 3 Lands, Marine Areas and Facilities Under the Jurisdiction of the Division of Conservation and Resources Enforcement, Hawai‘i Branch ................... 7 Lands, Marine Areas and Facilities Under the Jurisdiction of the Division of Conservation and Resources Enforcement, Kaua‘i Branch ..................... 9 Lands, Marine Areas and Facilities Under the Jurisdiction of the Division of Conservation and Resources Enforcement, Maui Branch ...................... 11 v Exhibit 1.5 Exhibit 1.6 Exhibit 2.1 Exhibit 2.2 Exhibit 2.3 Exhibit 2.4 Exhibit 2.5 Exhibit 2.6 Exhibit 2.7 Exhibit 2.8 Exhibit 2.9 Exhibit 2.10 vi Lands, Marine Areas and Facilities Under the Jurisdiction of the Division of Conservation and Resources Enforcement, O‘ahu Branch .................... 13 Distribution of Personnel Assigned to the Division of Conservation and Resources Enforcement as of October 2005 ............................................................. 15 Map of Big Island With the Other Islands Inlaid ......... 20 Näpali Coastline ........................................................... 21 Boats Stored at the O‘ahu Branch’s Pearl City Base Yard ........................................................................... 23 Nihoa Island ................................................................. 26 Cruise Ship Security at Kailua-Kona Wharf ................ 27 Marijuana Cultivation ................................................... 29 Division of Conservation and Resources Enforcement Trends in Budgeted Positions .............. 31 Department of Land and Natural Resources Operating Budget FY1994-95 to FY2005-06 ........... 35 Enforcement Division Operating Budget FY1994-95 to FY2005-06 ............................................................ 36 Ka‘ena Point State Park ................................................ 43 Chapter 1: Introduction Chapter 1 Introduction During the 2005 legislative session, several measures were introduced calling for audits of the Department of Land and Natural Resources and several of its divisions. Supporters of the measures claimed the department possesses ineffective leadership, mismanagement, and an overall lack of accountability. After much testimony and debate, the Legislature focused on the department’s Division of Conservation and Resources Enforcement. Through House Concurrent Resolution No. 200, House Draft 1, Senate Draft 1, it requested the Auditor to conduct an audit of the division. The Legislature believed there were significant jurisdictional, procedural, and administration problems within the division. It noted that an audit of the division’s fiscal and management practices would objectively identify whether the division is being effectively administered or improvements need to be made. The Legislature also intended for the audit to clarify, augment, and improve the manner in which the division interacts with other department divisions and with state and county agencies. The resolution directed the State Auditor to submit a report with findings and recommendations to the 2006 Legislature. Background The Hawai‘i State Constitution recognizes the value of conserving and protecting Hawai‘i’s natural beauty and all natural resources, including land, water, air, minerals, and energy sources. All public natural resources are held in trust by the State for the benefit of the people. The state consitution requires the state and its political subdivisions to promote the development and use of these resources in a manner consistent with their conservation. Major budget programs: Environmental Protection and Culture and Recreation The State of Hawai‘i’s Department of Land and Natural Resources along with the departments of Agriculture and Health are the agencies responsible for protecting the State’s natural resources. The three agencies share the same objective: to protect, restore, and enhance where appropriate the State’s natural and man-made physical environment. The agencies are funded, in part, under the same major program, Environmental Protection. The Department of Land and Natural Resources, the University of Hawai‘i, and the Department of Accounting and General Services are agencies responsible for protecting and preserving natural and cultural 1 Chapter 1: Introduction resources and for their recreational use. The three agencies are all partially funded under the Culture and Recreation program, and share the objective of enriching the lives of people of all ages by providing and preserving opportunities and facilities for cultural and recreational activities. Department of Land and Natural Resources’ organization, mission, and resources The Department of Land and Natural Resources, headed by an executive Board of Land and Natural Resources, is responsible for managing, administering, and exercising control over public lands, water resources, ocean waters, navigable streams, coastal areas (except commercial harbors), minerals, and all interests therein. The department’s jurisdiction encompasses nearly 1.3 million acres of State lands, beaches, and coastal waters as well as 750 miles of coastline (the fourth longest in the country). It includes state parks; historical sites; forests and forest reserves; aquatic life and its sanctuaries; public fishing areas; boating, ocean recreation, and coastal programs; wildlife and its sanctuaries; game management areas; public hunting areas; and natural area reserves. Resources are managed by the department’s functional divisions, offices, and commissions. The department’s organization chart is depicted in Exhibit 1.1. For FY2005-06, the department had about 660 authorized positions with an operating budget of about $77 million. The following functional divisions, office, and commission have the most influence over conserving and protecting natural and cultural resources as well as developing and using resources in a manner consistent with conservation. Division of Aquatic Resources The Division of Aquatic Resources manages the State’s marine and freshwater resources through programs in commercial fisheries and aquaculture; aquatic resources protection, enhancement, and education; and recreational fisheries. The division oversees 750 miles of coastline, 410,000 acres of coral reef around the main Hawaiian Islands, and 3 million acres of state marine waters. To protect aquatic resources, the division has established 11 marine life conservation districts, 19 fishery management areas, nine fishery replenishment areas, two wildlife sanctuaries, and 18 bottom fish restricted areas. The division also comanages the Hawaiian Islands Humpback Whale National Marine Sanctuary covering about 900,000 acres. Most recently, the division created a marine refuge in the Northwestern Hawaiian Islands and eliminated all commercial and recreational fishing along the entire 1,000 mile island chain. 2