Volume 16 – Issue 1 – February 2020

FOCUS ON wellbeing Engaging Children and Young People in the Policy Process: Realising treaty-based protection in Aotearoa’s lessons learned from the development of the Child child welfare system – Claire Achmad 40 and Youth Wellbeing Strategy – Kelsey Brown, Luke Fitzmaurice, Kiri Milne and Donna Provoost 3 Enhancing long-term governance – Parliament’s vital Supporting Child Wellbeing: a health assessment oversight role tool for the Hamilton Children’s Team – Jonathan Boston, David Bagnall – Polly Atatoa Carr, Sneha Sadani, Jesse Whitehead, and Anna Barry 43 Deanne McManus-Emery, Tanya Parsonson and Jolanda Roe 10 Catastrophic Risk from Rapid Developments in Artificial Should Surrogate Pregnancy Arrangements be Enforceable Intelligence: what is yet to be addressed and how might in Aotearoa ? – Rhonda M. Shaw 18 New Zealand policymakers respond? – Matt Boyd and Nick Wilson Lessons from Child Welfare: why accountability 53 to ministers cannot meet the needs of public Sea Level Rise and Local Government: policy gaps legitimacy. – Len Cook 26 and opportunities – Vanessa James, Catherine Iorns and Patrick Gerard Four essays on the child welfare system 62 Child protection, capitalism and the settler state: Valuing Impacts – the contribution of CBAx to rethinking the social contract – Ian Hyslop 34 improved policy practices – Kirsten Jensen and The case for an inequalities perspective in Christopher Thompson 67 child protection – Emily Keddell 36 Towards a New Public Ethics Child welfare: a perfect storm? – Michael Macaulay 77 – David Hanna 39

Editorial In October 2017, the Labour party formed a coalition surrogate or egg donors. On the one hand, legislation government with a mandate to address child poverty should protect both the surrogates and future and with aspirations to make New Zealand the best parents in a arrangement. On the other, place in the world to be a child. Towards this aim, the the reasons why women volunteer to be surrogates or Volume 16 – Issue 1 – February 2020 ensuing Child Poverty Reduction Act (2018) legislated donate eggs may result in unintended consequences Policy Quarterly (PQ) is targeted at readers that current and future governments set child poverty from well-meaning policy. in the public sector, including politicians and rate targets and report on their progress, and a In terms of family disruption, the conversation their staff, public servants and a wide variety corresponding amendment to the Children’s Act over the role of the State in family reached a of professions, together with others interested (2014) required governments to devise and publish deafening level in 2019. As wha-nau and in public issues. Its length and style are intended to make the journal accessible to periodic child wellbeing strategies. released shocking videos of their babies being busy readers. In their article in this issue of Policy Quarterly, removed from maternity wards within hours and Submissions: The journal welcomes Kelsey Brown and Donna Provoost of the Office of the days of birth, was undergoing contributions of about 4,000 words, written Children’s Commissioner and Luke Fitzmaurice and another burst of change through amendments on any topic relating to governance, public Kiri Milne of Oranga Tamariki discuss the process passed under the Children’s and Young People’s policy and management. Articles submitted will be peer reviewed. Please submit articles by which children were included in the process of Well-being Act (1989)/Oranga Tamariki Act (1989). to the Editor: [email protected]. developing the nation’s first child and youth wellbeing These changes mandated Oranga Tamariki to Although issues will not usually have single strategy. Importantly, throughout this engagement ‘recognise and provide a practical commitment to themes, special issues may be published from process they discovered that children’s ideas around the principles of The Treaty of Waitangi’ and placed time to time on specific or general themes, their own wellbeing and the role of the government in wha-nau, hapu-ū, and iwi considerations at the centre perhaps to mark significant events. In such - cases, and on other occasions, contributions supporting them, rest on the wellbeing and support of of tamariki Maori wellbeing. These two factors shed may be invited from particular people. their family and wha-nau. light on the historical roots and current patterns of Subscriptions: The journal is available in A conundrum exists, however. Addressing ethnic inequity within the child welfare system and PDF format on the Institute for Governance the legislative mandate aimed at addressing them. and Policy Studies (IGPS) website: https:// child poverty is more publicly (and hence likely www.victoria.ac.nz/igps/policy-quarterly. more politically) acceptable than supporting family To that end, Len Cook discusses the crisis of Readers who wish to receive it by email wellbeing. While a large majority (80%) of citizens Ma-ori perception of the legitimacy of Oranga Tamariki should register as PQ subscribers igps@vuw. agree that child poverty is a problem in New Zealand, as a state actor and adjudicator of child risk. He does ac.nz. This service is free. opinions on the causes are split. An equal portion of so with an historical and current statistical portrait For all subscription and membership enquiries please email [email protected] or New Zealanders (40%) believe that child poverty is of inequities in the child welfare system, offering a post to Institute for Governance and Policy due to bad parenting and choices versus structural pathway forward through greater data transparency, Studies, P.O. Box 600, . factors, such as poor jobs, unaffordable housing, state accountability, and whānau partnership. Electronic Access: The IGPS directs and inequality (Child Poverty Action Group, 2014). Continuing the discussion and building off a interested individuals to its website: seminar series hosted by Victoria University of www.igps.victoria.ac.nz where details of the A perceived tension arises, then, when children Institute’s publications and upcoming events stress that their wellbeing rests on the support their Wellington’s School of Government in 2019, seminar can be found. family receives, yet supporting families (vs. children speakers Emily Keddell, Ian Hyslop, David Hanna, Permission: In the interest of promoting directly) may be less palatable to the general public. and Claire Achmad offer their reflections on the debate and wider dissemination, the Given this context, policies and programmes that are state of the child welfare system. While each brings IGPS encourages use of all or part of the articles appearing in PQ, where there is no child-centred, yet empower and benefit families and their unique perspective from academic disciplines, element of commercial gain. Appropriate wha-nau, may be particularly important in the policy practice, and advocacy, a current thread points to the acknowledgement of both author and source toolkit. historical roots of ethnic inequities prevalent today, should be made in all cases. The IGPS Polly Atatoa Carr and colleagues demonstrate one and a call for structural, systems-wide reform that retains copyright. Please direct requests such child-centred initiative that can lead to greater involves a wha-nau-centred approach to caring for for permission to reprint articles from this - publication to [email protected]. family and whanau wellbeing. The Hamilton Children’s and supporting children at risk of harm. Editor: Jonathan Boston Team was established to support early intervention The articles in this special issue, while heavily Guest Editor: Kate Prickett among families at-risk of involvement with Oranga focused on some of the most vulnerable tamariki Editorial Board: Maria Bargh, Cheryl Barnes, Tamariki. This cross-sector approach displayed the in Aotearoa New Zealand, highlight the centrality Roger Blakeley, David Bromell, Simon - Chapple, Jo Cribb, Girol Karacaoglu, Gerald power of constructing a multi-faceted response to of family and whanau wellbeing in stemming the Minnee, Gail Pacheco, Anneliese Parkin, children’s needs in ways that empowered families systemic inequities in child poverty and state care. Kate Prickett, Mike Reid, Tim Ng, Andrea and has potential to enhance their independence and Supporting children involves shifting the public and Schollmann, Conal Smith, Mämari Stephens wellbeing. Importantly, this programme was targeted policy discourse in ways that recognises the primacy and Julia Talbot-Jones ISSN: 2324-1098 (Print) at families with multiple, complex and oft-thought of family wellbeing. ISSN: 2324-1101 (Online) intractable challenges. Volume 16, Issue 1 – February 2020 A closely connected challenge for policy-makers Kate Prickett Guest Editor Copy Editor: Rachel Barrowman and programmes aimed at supporting families and February 2020 Design & Layout: Aleck Yee children centres around who constitutes family, and Cover Photography: Aleck Yee Production: Alltex Design the role the state plays in influencing both family Reference Proof Reader: Vic Lipski formation and disruption. Rhonda Shaw challenges Child Poverty Action Group, (2014). New Zealanders’ policy-makers to think carefully around how and attitudes to child poverty: Research report. when to legislate about family matters. She does Retrieved February, 2020 from https://www.cpag. so through the lens of surrogacy laws and a rich org.nz/assets/MMResearchReport _ CPAG _ description of women’s motivations to become (18.7.14).pdf Kelsey Brown, Luke Fitzmaurice, Kiri Milne and Donna Provoost

Engaging Children and Young People in the Policy Process lessons learned from the development of the Child and Youth Wellbeing Strategy Abstract Policy is improved when those most affected are involved in the policy development process. This article describes the approach taken by the Office of the Children’s Commissioner and Oranga Tamariki – Ministry for Children to engaging children and young people in the development of the Child and Youth Wellbeing Strategy, a cross-government initiative designed to drive action on child and youth wellbeing. It outlines key findings from the engagements and describes the impacts those insights had. It also identifies critical enablers of the project and key lessons learned. We found the legislative changes which required children to be consulted and broader attitudinal changes towards involving children and young people in policymaking processes were key enablers. We found the project had a tangible impact not only on the Child and Youth Wellbeing Strategy itself, but also for the children and young people involved and their communities, and on attitudes towards children and young people’s voices in general. We hope successive governments will continue to engage with children and young people to measure progress on child and youth wellbeing against what they have said matters most to them. Keywords children’s participation, youth participation, voice, wellbeing, engagement, children

Kelsey Brown is a Senior Advisor in the Office of the Children’s Manager, Voices of Children and Young People at Oranga Tamariki. Commissioner. Luke Fitzmaurice is a Senior Advisor in the Voices of Donna Provoost is Director of the Office of the Children’s Commissioner. Children and Young People team at Oranga Tamariki. Kiri Milne is General

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 3 Engaging Children and Young People in the Policy Process: lessons learned from the development of the Child and Youth Wellbeing Strategy

olicy is improved when those most 2018b) and both the previous minister affected are involved in the policy For the first time for children, Anne Tolley, and the current Pdevelopment process. For the Child in New Zealand minister, Tracey Martin, have shown a and Youth Wellbeing Strategy, this means commitment to listening to children and listening to the views of children and law, amendments young people. reflecting those views in the design of a This shift in political support was system that is focused on improving their in 2018 to the influenced by ongoing international outcomes. pressure from the The concept of wellbeing is a popular Children’s Act 2014 Committee on the Rights of the Child as issue in policy conversations at present, but well as advocacy within Aotearoa New it is an intangible concept and can be introduced a Zealand. The committee noted in its difficult to precisely define. When staff at concluding observations in both 2011 and the Office of the Children’s Commissioner requirement for 2016 that the views of children in New reviewed existing literature and heard from Zealand are not adequately respected, that children and young people to come up with children and young children do not have the means to express a working definition of child wellbeing in people to be their views in the public domain and that 2017, they concluded that child wellbeing their views are not systematically is dependent on the wellbeing of the child’s consulted in considered in the formulation of laws and family and whänau, that it is equally policies (United Nations Committee on the important for children’s lives in the present the development Rights of the Child, 2011, paras 26–7, 2016, as it is for their development into future para 18). The committee had repeatedly adults, and, critically, that it needs to be and ongoing urged New Zealand to pass a national considered in discussion with children and strategy for children, incorporating young people themselves (Office of the implementation of children’s views. Children’s Commissioner, 2017). From the In New Zealand, the children’s moment the a child and youth commissioner’s Expert Advisory Group on signalled its intent to develop a strategy to Solutions to Child Poverty included promote the wellbeing of children and wellbeing strategy ... children’s views within its 2012 report, and young people, it was clear that detailed one of the key messages was that children engagement with children and young and young people want to be involved in people would be required. the solutions to child poverty and can This article describes the project that Factors that led to children and young provide unique perspectives (Expert came about when the Department of the people’s views being included in the Advisory Group on Solutions to Child Prime Minister and Cabinet partnered with development of the strategy Poverty, 2012). The Office of the Children’s the Office of the Children’s Commissioner Two key shifts were significant in enabling Commissioner, in its submission on the and Oranga Tamariki to enable children and children and young people’s voices to Child Poverty Reduction Bill, advocated young people’s views and experiences to shape the strategy. strongly for children’s voices to be included inform the development of the Child and in the policy development process (Office Youth Wellbeing Strategy, a new cross- Increased political support for listening to of the Children’s Commissioner, 2018). government policy initiative designed to children The combination of direct advocacy to drive action on child and youth wellbeing. Attitudes towards children and young decision makers, the sharing of children’s In late 2018 more than 6,000 children and people’s involvement in policymaking views in public submissions and young people were asked for their views on processes have shifted significantly in international pressure led to increased what a good life means to them. These views recent years. The voices of children and support for children’s voices from decision were summarised in the report What Makes young people in care were a central part makers, and an environment supportive of a Good Life? Children and young people’s of the review of Child, Youth and Family children’s views being included in the views on wellbeing, released in February 2019 and the creation of Oranga Tamariki development of the strategy. (Office of the Children’s Commissioner and (Fitzmaurice, 2017). A youth advisory Oranga Tamariki, 2019). This article group was established by the minister Legislative change required consultation with describes the approach taken to engaging of education, , in 2017 to children with children and young people, key inform the reform of the education system The second key shift was a change in findings from the engagement, and the (Ministry of Education 2017). The prime legislation. For the first time in New impacts it had on policy, children and young minister, Jacinda Ardern, has spoken at Zealand law, amendments in 2018 to people and their communities. It also length about the importance of children the Children’s Act 2014 introduced a identifies critical enablers of the project and and young people having a voice in requirement for children and young key lessons learned. decisions that affect them (Ardern, 2018a, people to be consulted in the development

Page 4 – Policy Quarterly – Volume 16, Issue 1 – February 2020 and ongoing implementation of a child who are recent migrants, or who have and youth wellbeing strategy (s6D(1)(a)). Children and received a mental health diagnosis. The This provision, along with the requirement majority of children and young people we that the responsible minister consult young people spoke with in focus groups and interviews the Children’s Commissioner (s6D(1) told us that were Mäori. (b)), were the initial legislative impetus Overall, 6,053 children and young for this engagement project. As with the they want to be people participated in the project: 53% shift in attitudes towards children’s voices, identified as female and 41% as male; 1% this legislative change was influenced by accepted, identified as gender diverse and a further increased political support and sustained 5% preferred not to list their gender. Ages advocacy efforts by children’s rights valued and for survey respondents ranged from seven advocates, both internationally and within to 18 years, while face-to-face participants New Zealand. believed in included babies (with their parent(s)) and The combination of these factors pre-school children right through to created the environment where a project and they want young adults. Further details on like this was possible. The shift in attitudes people to participant characteristics, including towards children’s voices may not, on its ethnicity and locations, are included in own, have been enough to ensure children’s support their the full report. views were meaningfully included within Conversations with children and young the policy process. Similarly, legislative hopes for people were organised through the Office change may not have been possible without of the Children’s Commissioner’s the concurrent shift in attitudes. It was the the future. community partners (mostly NGOs, combination of these factors, more than including alternative education providers one of them alone, which influenced the and iwi social services) and Oranga shape, scope and impact of this project. Tamariki sites. Community partners and young people in New Zealand to have a Oranga Tamariki sites were involved from Engagement approach good life. Children were also able to share the outset, supporting us to engage with A mixed-methods research approach was their ‘big ideas’ directly with the prime children and young people in a way that used to engage with more than 6,000 minister by sending her a postcard. More would work for them. The project was children and young people across the than 1,000 children, young people and jointly resourced by the Office of the country. An online survey was completed adults sent postcards to the prime minister. Children’s Commissioner, Oranga by 5,631 children and young people in In addition to the survey, 423 children Tamariki and the Department of the Prime primary, intermediate and secondary and young people were spoken with face Minister and Cabinet. schools, as well as alternative education to face through a series of focus groups and providers. These schools were all part of the one-on-one and paired interviews. The Key findings from the engagement Office of the Children’s Commissioner’s face-to-face conversations explored in Through the online surveys we heard that Mai World network, a network of schools more depth what it means to have a good most children and young people are doing whose students regularly complete similar life, what gets in the way and what helps. well, but some are facing challenges surveys. The survey was also made Prompting questions and appropriate The survey asked children and young available on the Department of the Prime activities encouraged children and young people to respond to a series of 17 Minister and Cabinet website. Overall, the people to think about what having a good statements relating to their wellbeing, survey reached a diverse group of children life means to them personally, what it such as ‘I have a warm, dry place to live’, ‘I and young people across New Zealand, means for the people around them, and feel safe in my neighbourhood’ and ‘I can with a mix of urban/rural, socio-economic, what it means in relation to the places and cope when life gets hard’. The majority of ethnicity and age characteristics. communities they are part of. All were responses to all 17 statements were positive, The survey included closed-ended asked what they thought would make indicating that most children and young questions with defined choices (age, things better for children and young people people are doing okay. ethnicity etc.), open-ended free text now, and for their future. However, some children and young questions, questions that asked participants The face-to-face conversations were people indicated that they were facing to rank from a list, and questions that targeted to ensure that the participants challenges. Around 10% responded required participants to indicate their level included those likely to be experiencing negatively to four or more of the 17 of agreement with statements. It asked challenges in their lives. This included statements and around 2% responded children and young people what having a children and young people living in poverty, negatively to ten or more statements. This good life means to them, whether they are living in state care, with a disability, from group is growing up in very challenging experiencing a good life right now, and rural and isolated areas, with refugee circumstances. what can be done to help all children and backgrounds, who identify as LGBTIQ+,

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 5 Engaging Children and Young People in the Policy Process: lessons learned from the development of the Child and Youth Wellbeing Strategy When asked an open-ended question - How you support us matters just as much as about what a good life means, the most Whanau are what you do common responses related to having fun Efforts to support children and young and feeling contented, having supportive a critical factor people will not be effective if the sole family and friends and having basic needs in children focus is on what needs to be delivered. met. Other responses related to being How supports are delivered matters just healthy (including mentally healthy), and young as much. Services must accept children feeling safe, having a good education and and young people for who they are and feeling valued and respected.1 people’s respect their critical relationships with their whänau and communities. Being with your family, even if they’re wellbeing. annoying the heck out of you. They are Having a good life isn’t necessarily about immediate, speed dial no.1. – Rangatahi the materialistic things. I think having from Matamata strong friendships/relationships with people who genuinely care about you Being surrounded by loved ones and contributes better to a good life. – Life is really hard for some of us friends that support me and provide me Rangatahi from Taumarunui with opportunities. – 17-year-old New Many children and young people face significant challenges, such as racism, Zealand European, Mäori Impacts of the engagement bullying, discrimination, judgement, The project had a tangible impact not Money may not be the key to happiness violence, drugs and a feeling of continually only on the Child and Youth Wellbeing but it is the key to living and I know being let down. many people who struggle. – 17-year-old Strategy itself, but also for the children and young people we engaged with and their girl At our school people find mocking äM ori communities, and on broader attitudes culture to be a joke. ‘Mäoris go to prison’, towards inclusion of children and young When asked what they saw as the top or ‘Mäoris do drugs’. – Rangatahi from people in policymaking processes. three most important things for children Auckland and young people to have a good life, the items most frequently selected (from a Something I always have to deal with at Children and young people’s voices defined list) were: school is the stigma. When people find influenced the strategy • parents or caregivers have enough out you’re a foster kid they’re like ‘oh The impact of children and young people’s money for basic stuff like food, clothes you’re an orphan, whose house did you views on the Child and Youth Wellbeing and a good house to live in; burn down’. – 16-year-old girl living in Strategy can be traced by comparing the • children and young people have good state care outcomes proposed in the May 2018 relationships with family and friends; draft version of the strategy (Office of the - • children and young people are kept safe To help us, help our whanau and our support Minister for Child Poverty Reduction and from bullying, violence or accidents; crew Office of the Minister for Children, 2018, • children and young people are valued Whänau are a critical factor in children appendix B) with the final outcomes for and respected for who they are. and young people’s wellbeing. In general, the strategy confirmed in the August 2019 for children and young people to be well, strategy framework (Child and Youth There were five key messages from the focus their whänau, friends and communities Wellbeing, 2019b). For example, the final groups and interviews must also be well. Wellbeing is about version of the strategy has an additional From the children and young people we relationships, not just about having things. domain relating to children and young met with in person we heard five key people being accepted, respected and messages: If the parents are good then the kids are connected, reflecting the insight that was good. – Rangatahi from Rotorua heard from children, ‘Accept us for who we Accept us for who we are and who we want are and who we want to be’. to be We all deserve more than just the basics Key concepts within the strategy were Children and young people told us that they Children and young people want ‘the also broadened, or the language used to want to be accepted, valued and believed basics’, such as a home, an education and a describe those concepts modified, to better in and they want people to support their safe community. But they want more than reflect children and young people’s views. hopes for the future. just a minimum standard of living, and For example, in the draft framework one they want the systems that support them of the indicators under the ‘Safety’ domain To be accepted. To be understood and to be inclusive, accessible and affordable. was that ‘Whänau and homes are safe and taken seriously. It’s important because it nurturing’. In comparison, the equivalent gives you confidence in your uniqueness. Enough for the basics, plus a little bit indicator within the final strategy refers to – young person from Whangärei more. – young person from Dunedin ‘family/whänau wellbeing’. This better

Page 6 – Policy Quarterly – Volume 16, Issue 1 – February 2020 reflects what children and young people National engagement prompted community- said was important, as it was not just that Successive led conversations and actions they wanted to be safe within their whänau, The project prompted ongoing but that they wanted their whänau to be governments will conversations within communities in well also. The wording of this domain also need to continue some of the areas we visited. In Kaitaia, shifted from ‘Safety’ in the draft version to a group called Amazing Engagers was ‘Children and young people are loved, safe to engage with established after our visit, supported by the and nurtured’ in the final version, reflecting Kaitaia REAP (Rural Education Activities the message from children and young children and Programme) organisation.2 The Amazing people that feeling safe is not just about Engagers group put together a programme physical safety, and cannot be separated young people in inviting people into the classroom to hear from being loved and feeling emotionally young people’s stories. In Tairäwhiti the safe and supported. order to measure community groups we partnered with The processes used to engage with have recognised the need to listen to the children and young people influenced the progress in the voices of the young people they work with, development of the strategy more broadly. area of child and and ensure that those voices are heard by The approach taken to consultation with local decision makers. They are now in adults as part of the broader strategy youth wellbeing the process of establishing processes and development was influenced by the mechanisms to support this. These are just approach taken to engagement with against what small examples of initiatives prompted by children and young people, and the insights the project. Each is locally focused and from children and young people influenced children and locally led, but a national engagement the questions asked of adults in later parts project provided the impetus for their of the consultation (Department of the young people creation. Prime Minister and Cabinet, 2019). The influence of the child and youth have said Children and young people are increasingly engagement process on the subsequent seen as key stakeholders in the policy adult engagement process gave weight and matters most process credibility to the former and positioned to them. In addition to the impacts for the children children and young people’s voices at the and young people who took part in centre of the process. the project, the community groups we partnered with and the strategy itself, Children and young people benefitted from meant that the project team were able there were also impacts on broader the opportunity to participate to assure children and young people that attitudes to children and young people’s Previous research has identified that taking the time to share their opinions voices. Research has found that involving the benefits for children and young would be worthwhile. children and young people in decision people of involving them in decisions For some children and young people, making can contribute to a culture shift can include increased self-esteem and the focus groups organised as part of this which can legitimise children and young pride (Thomas and Percy‐Smith, 2012) project provided an impetus for ongoing people’s participation and change the way as well as enhanced sense of agency advocacy focused on effecting change in they are viewed (Thomas et al., 2017). and self-advocacy skills (Thomas et their communities. For example, one group Projects such as this one can also have al., 2017). This would appear to be the of young people in Taupö decided to impacts on children as a consumer group. case for children and young people who continue meeting after the initial This can include demonstrated evidence participated in this research, some of engagement event. They now meet of the value of hearing from children in whom told us that this was the first time regularly and have advocated for issues policy development and future changes they had been asked for their opinion such as awareness of mental health to legislation to better enable children’s on these sorts of issues by a group of challenges and suicide prevention participation (Kilkelly, 2019). adults. They appreciated the opportunity initiatives. Across government, children and young to share what they thought and said it Some young people appreciated the people are increasingly seen as key should happen more often. From the opportunity to come together with other stakeholders whose views are an important children and young people’s perspectives, young people in similar circumstances, aspect of policy development. This is the opportunity to share their views many for the first time. For example, a evidenced by ‘a marked increase in the directly with the prime minister was group of young people in care whom we interest of agencies in seeking out views of unique and valued. Knowing that met with in Dunedin shared that they children’ (Children’s Convention children and young people’s views would enjoyed meeting other young people facing Monitoring Group, 2019, p.19). It has been be taken seriously by decision makers similar challenges. suggested that a ‘participation ecosystem’

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 7 Engaging Children and Young People in the Policy Process: lessons learned from the development of the Child and Youth Wellbeing Strategy is required to make children’s participation young people have said matters most to in decision making meaningful Being able to them. (Fitzmaurice, 2017), and it is encouraging guarantee that that elements of this ecosystem seem to be Community relationships are an essential developing in New Zealand. It is hoped that children and part of seeking children and young people’s the experiences and outcomes of this views project will contribute to this participatory young people’s Perhaps the most crucial factor in the ecosystem, providing support for similar extent to which we were able to engage projects and initiatives in the future. voices would be with a wide range of children and young people was the involvement of community Lessons for engaging children and young heard at the partners and Oranga Tamariki sites. people in the policy process Community partners and sites helped Based on our experience, we have distilled highest level organise the workshops and focus groups, three key lessons for others interested in enabling the project to engage with those engaging children and young people in the added to the who might not otherwise have been policy process in the future. legitimacy of the able to participate and ensuring tailored engagement approaches that worked Children and young people’s views often project and well for the young people. In particular, challenge adult assumptions and ongoing the engagements through community engagement is required to measure progress created an partners were community led, which against what matters most to children and made a significant difference to who we young people enthusiasm for were able to speak with, how we were able The children and young people we to engage and the impact that the process spoke with offered views that challenged children and had afterwards. Reciprocity is key in these policymakers’ understandings and relationships, and it was important to articulations of wellbeing. For example, young people report back to the children, young people young people consistently talked about and communities we engaged with about their wellbeing being closely linked to to share views what we heard and the strategy itself. that of their family and whänau. Young with us. people also identified the importance of Buy-in at the highest level makes a big being accepted and respected for their difference to both successful engagements overall wellbeing, indicating that this was a and the impact of children and young necessary condition to achieve progress in example, the use of the percentage of people’s voices on policy decisions other areas. This wider view of relational young people enrolled to vote and voting In many projects seeking children and wellbeing and the high level of importance in the general election as a proxy for young people’s views it can be hard to attached to acceptance and respect did not measuring how well children and young guarantee exactly how their views will be always align with the narrow parameters people’s voices, perspectives and opinions taken into account. For those engaging initially proposed by policymakers. are listened to and taken into account with them, we can always promise that Children and young people’s different (Child and Youth Wellbeing, 2019a) we will do everything within our power views and understandings of key concepts provides a limited view of this ‘voice’ to ensure their voices are heard, but we such as wellbeing can present a challenge outcome, given that most of the children can never guarantee what other factors to policymaking processes, as these broader and young people for whom the strategy will influence final decisions. However, in understandings are not always easy to is intended aren’t old enough to vote and this case we knew that children and young articulate and measure (particularly where voting is only one way for young people to people’s views would be heard directly by there hasn’t been previous policy work). share their views and opinions. the prime minister and the minister for While it is positive to note changes made In one sense this is understandable, as children, as well as other senior decision to the strategy in response to children and the strategy must use the best measures makers. young people’s feedback, challenges remain currently available. However, it is also a Being able to guarantee that children for government in terms of how progress reminder of the importance of ongoing and young people’s voices would be heard against these more holistic concepts of engagement with children and young at the highest level added to the legitimacy wellbeing can be monitored. Some of the people in order to develop policy that truly of the project and created an enthusiasm current indicators identified in the strategy reflects their views. Successive governments for children and young people to share to measure progress on outcomes fall short will need to continue to engage with views with us. It also created buy-in from of capturing the nature of wellbeing children and young people in order to the community partners who helped us described by the children and young measure progress in the area of child and deliver the engagements, where the high people who took part in this project. For youth wellbeing against what children and profile of the strategy meant that the

Page 8 – Policy Quarterly – Volume 16, Issue 1 – February 2020 opportunity to support young people to with children and young people. This the success of this project by taking a more be involved in this project was well received means that large-scale engagements explicitly rights-based approach to in communities. Interestingly, it was the seeking children and young people’s including children’s views in policymaking assurance that children and young people’s views may become increasingly common (Byrne and Lundy, 2019). This will help views would be shared with the prime in future. Policymakers may wish to utilise enable children and young people to minister that appeared to drive enthusiasm the methods and tools used in this project meaningfully influence policy and help to be part of the project, rather than any for similar processes in the future. policymakers ensure that their views are specific assurance about exactly how The anecdotal examples we provide taken into account. Future iterations of the children and young people’s views would suggest that including children and young strategy will provide opportunities to test, affect the final decisions. people’s views in policymaking can have refine and build on what we’ve learned. impacts not just on policy but also on 1 All quotations in this section are from the ‘Findings’ section Conclusion children and young people themselves, on of the What Makes a Good Life? report (Office of the The Child and Youth Wellbeing Strategy their communities and on broader Children’s Commissioner and Oranga Tamariki, 2019). 2 REAP organisations are non-governmental organisations is expected to have a long-term impact attitudes towards children and young which deliver educational and family support programmes in on government policy for children, young people’s voices. Future projects of this type rural areas across the country. people and their families. Encouragingly, could attempt to measure these suggested the legislation that initiated the strategy impacts more systematically. Future includes an ongoing obligation to consult engagements should consider building on

References Ardern, J (2018a) ‘Speech to 9th annual Social Good Summit’, 24 Kilkelly, U. (2019) ‘The UN Convention on the Rights of the Child: September, http://www.scoop.co.nz/stories/PA1809/S00305/ incremental and transformative approaches to legal implementation’, jacinda-ardern-speech-to-9th-annual-social-good-summit.htm International Journal of , 23 (3), pp.323–37 Ardern, J. (2018b) ‘Child Poverty Reduction Bill and Children’s Ministry of Education (2017) ‘Strengthening young people’s voice in our Amendment Bill – third readings’, 18 December, https://www. education system’, 2 August, https://www.education.govt.nz/news/ parliament.nz/en/pb/hansard-debates/rhr/combined/ strengthening-young-peoples-voice-in-our-education-system/ HansDeb_20181218_20181218_12 Office of the Children’s Commissioner (2017) ‘Our understanding of child Byrne, B. and L. Lundy (2019) ‘Children’s rights-based childhood policy: a wellbeing’, https://www.occ.org.nz/wellbeing/what-have-we-learnt- six-P framework’, International Journal of Human Rights, 23 (3), about-wellbeing/ pp.357–73 Office of the Children’s Commissioner (2018) Moving from Child Poverty to Child and Youth Wellbeing (2019a) ‘Indicators’, https:// Child Well-being: submission from the Office of the Children’s childyouthwellbeing.govt.nz/measuring-success/indicators Commissioner on the Child Poverty Reduction Bill, https://www.occ.org. Child and Youth Wellbeing (2019b) ‘Overview: the framework’, https:// nz/assets/Uploads/OCC-submission-CPR-Bill-Apr-2018.pdf childyouthwellbeing.govt.nz/sites/default/files/2019-08/strategy-on-a- Office of the Children’s Commissioner and Oranga Tamariki (2019) What page-child-youth-wellbeing-Sept-2019.pdf Makes a Good Life? Children and young people’s views on wellbeing, Children’s Convention Monitoring Group (2019) Getting It Right: are we Wellington: Office of the Children’s Commissioner and Oranga listening? Children’s participation rights in government policy, June, Tamariki, https://www.occ.org.nz/publications/reports/what-makes-a- https://www.occ.org.nz/assets/Uploads/CMG2019-Online-FINAL-full2. good-life/ pdf Office of the Minister for Child Poverty Reduction and Office of the Minister Department of the Prime Minister and Cabinet (2019) Have Your Say: for Children (2018) ‘Child Wellbeing Strategy: scope and public summary report: national engagement of tamariki tu-, tamariki ora: New engagement process’, Cabinet paper, May Zealand’s first Child and Youth Wellbeing Strategy, Wellington: New Thomas, N., A. Crowley, D. Moxon, J. Ridley, C. Street and P. Joshi (2017) Zealand Government, https://childyouthwellbeing.govt.nz/sites/default/ ‘Independent advocacy for children and young people: developing an files/2019-08/summary-report-national-engagement-wellbeing.pdf outcomes framework’, Child and Society, 31 (5), pp.365–77 Expert Advisory Group on Solutions to Child Poverty (2012) Solutions to Thomas, N. and B. Percy-Smith (2012) ‘“It’s about changing services and Child Poverty in New Zealand: evidence for action, Wellington: Office of building relationships”: evaluating the development of Children in Care the Children’s Commissioner councils’, Child and Family Social Work, 17, pp.487–96 Fitzmaurice, L. (2017) ‘Children’s voices in system reform: a case study on United Nations Committee on the Rights of the Child (2011) ‘Concluding children and young people’s participation within the modernisation of observations on the fourth periodic report of New Zealand’ Child, Youth and Family’, Aotearoa New Zealand Social Work, 29 (1), United Nations Committee on the Rights of the Child (2016) ‘Concluding pp.41–52 observations on the fifth periodic report of New Zealand’

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 9 Polly Atatoa Carr, Sneha Sadani, Jesse Whitehead, Deanne McManus-Emery, Tanya Parsonson and Jolanda Roe

Supporting Child Wellbeing a health assessment tool for the Hamilton Children’s Team Abstract The Hamilton Children’s Team received its first referral in 2015, with dedicated lead professionals appointed for each child referred. The role of these lead professionals is to assess need, develop a plan for each child, and coordinate a cross-sector Child Action Network to improve care and wellbeing. Challenges were identified in Hamilton for the assessment, identification and coordination of health need within the Children’s Team, particularly for lead professionals from outside the health sector. Therefore, a health assessment package was developed in partnership with the Hamilton Children’s Team, the Waikato District Health Board and other relevant agencies. The use of a standardised and systematic approach, with training and relationship development, resources and referral pathways, resulted in identification of significant unmet need. A number of referrals to the health sector resulted from this assessment and there are implications that such a process can support ongoing attendance at health appointments, monitoring of outcomes from the Children’s Team process, and improvements to physical, emotional and mental wellbeing for families. This approach was well received by lead professionals and families, and future use is likely to enhance the Children’s Team programme and service delivery, and improve wellbeing outcomes. Keywords child health, child wellbeing, health, health assessment, social sector support

Page 10 – Policy Quarterly – Volume 16, Issue 1 – February 2020 round 230,000 children under the Children’s Teams are designed to identify age of 18 in Aotearoa New Zealand at One key early risk and assess the cross-sectoral Asome point during their childhood component of needs of children and their families, as well may experience harm as a consequence of as their strengths, and support the receipt their family environment and/or complex the Oranga of services to achieve improved outcomes. contexts and needs (Expert Advisory Panel The Children’s Team approach is on Modernising Child, Youth and Family, Tamariki reform intended to involve strengthened regional 2015a). The Children, Young Persons and (and national) governance with joint Their Families Act (now Oranga Tamariki process has responsibility and prioritisation; cross- Act) 1989 governs child protection in sector practitioners and professionals Aotearoa New Zealand and is noted for its been the operating together to address the needs of emphasis on family orientation and family children; and improved capability of the participation (Connolly, 1994). Since this development children’s workforce to work in a child- act was passed, however, several social policy centred way, in partnership with families changes have occurred, with detrimental of Children’s (Oranga Tamariki, 2019b). influence on family environments and Teams in order Ten Children’s Teams were established support structures for children and youth. from 2013, including in Rotorua, These have included the scaling back of to support early Whangärei, Counties Manukau, Hamilton, social and economic supports, a reduction Tairäwhiti, Eastern Bay of Plenty, of non-governmental organisation funding intervention Horowhenua/Ötaki, Marlborough and for preventative child welfare services, and Canterbury. Hamilton was announced as increasingly unaffordable housing leading or secondary a Children’s Team site in 2014, and the first to high child poverty rates (Hyslop, 2017; referrals (which come from across agencies, Keddell, 2018). Additional pressures on the prevention of including from Oranga Tamariki, education child and youth protection system have services and health services) to the resulted from: increased costs for children Oranga Hamilton Children’s Team were received in out-of-home care; inability to continue in September 2015. When a Children’s care for those beyond the age of 18; criticism Tamariki Team referral is accepted, a ‘lead of structural disadvantage for Mäori; involvement ... professional’ is appointed as the main point workforce concerns, including capacity and of contact for the child. The core roles of professional tensions; poor collaboration the Children’s Team lead professional are between government agencies; unequal to engage with children and families, assess distribution of responsibility between Plan 2012, the Vulnerable Children’s Act the current needs of the referred child, and government and non-government sectors; 2014, and the review of the Child, Youth develop a single multi-service plan for and attention to data for evidence-informed and Family Service (now Oranga Tamariki children and families that consent to the practice and evaluation (Katz et al., 2016; – Ministry for Children) (Keddell, 2018). process. All the community services and Keddell, 2018; Rouland et al., 2019). agencies that are needed to provide support Reforms of the child welfare system in Children’s Teams (described as the Child Action Network or Aotearoa New Zealand have attempted to One key component of the Oranga CAN) are then coordinated to respond and address such challenges, and most recent Tamariki reform process has been the deliver on the plan by the lead professional. reforms have been wide-ranging. The green development of Children’s Teams in and white papers for vulnerable children order to support early intervention or Health assessment in Children’s Teams (Ministry of Social Development, 2011, secondary prevention of Oranga Tamariki The current tool utilised by lead professionals 2012) and reports of the Expert Advisory involvement (Oranga Tamariki, 2019a). to assess need, and to demonstrate Panel on Modernising Child, Youth and The aim of Children’s Teams is to work improvement within the Children’s Family (Expert Panel Advisory on with children and youth (up to 18 years Team process, is the Tuituia Assessment Modernising Child, Youth and Family, old) who are at significant risk of harm Framework (Oranga Tamariki, 2013), which 2015a, 2015b) were key components of to their wellbeing, but who do not meet records the areas of need, strength and risk three recent reforms: the Children’s Action the statutory intervention threshold. for a child or young person, their parents

Dr Polly Atatoa Carr is a public health medicine specialist in child and Team. Jesse Whitehead is a PhD candidate and health geographer at youth health at Waikato District Health Board, and an Associate Professor the National Institute of Demographic and Economic Analysis (NIDEA) at of Population Health at the National Institute of Demographic and Economic the University of Waikato. Tanya Parsonson was team coordinator of the Analysis (NIDEA) at the University of Waikato. Dr Sneha Sadani is a Hamilton Children’s Team during the health assessment pilot and is currently paediatrician at Waikato Hospital and a Senior Lecturer in Paediatrics, Child the support manager for the Hamilton Children’s Team. Jolanda Roe was the and Youth Health, University of Auckland. Deanne McManus-Emery is the children’s team coordinator of the Hamilton Children’s Team, Services for Regional Manager, South Auckland Services to Children and Families for Children and Families, Oranga Tamariki during the health assessment pilot. Oranga Tamariki. Prior to this she was the director of the Hamilton Children’s

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 11 Supporting Child Wellbeing: a health assessment tool for the Hamilton Children’s Team

Table 1: Areas of health need included in the pilot assessment with the priorities to improve outcomes for Hamilton Children’s Team vulnerable children and families in Domain: Healthcare Housing Education and Broader Hamilton; and development wha-nau • establish whether a standardised tool experience for health need assessment improves Health General Practice Whare ora* Developmental Community lead professional capacity and supports need access and engage- eligibility and behavioural services card – the Children’s Team model of care. area ment; Well Child Housing tenure concerns eligibility and This article describes the health needs Tamariki Ora (WCTO) Perception of Early childhood access assessment tool which was piloted with access; Before School housing quality education and Material selected lead professionals involved in the Check access Oral Perception of care – access and resources – Hamilton Children’s Team in 2018-19. health; Vision; Hearing housing security enrolment NZiDep** Descriptive analysis of the health need Immunisation Experience(s) School attendance Financial that was identified during the piloting of Cigarette smoking of residential Education support support – this needs assessment is also provided. Pregnancy support mobility services and eligibility and Finally, recommendations for the future Other specific, Safe sleep funding – access access use of health assessment tools within a common health issues Home safety Children’s Team approach are outlined, *Whare Ora is Waikato District Health Board’s programme to support whänau to create healthier, warmer, drier, and safer homes. and the policy implications of this **NZiDep is an index of socio-economic deprivation for individuals (Salmond et al., 2005). research are discussed. Table 2: Levels of individual deprivation among children referred to the Hamilton Children’s Team Methods Number of Percentage of HCT The pilot health assessment tool was NZiDep Index HCT children children developed in August 2018 in partnership with the Hamilton Children’s Team No NZiDep characteristics described 2 4.3 director, Children’s Team support staff, One NZiDep characteristics described 2 4.3 lead professionals, and key experts at Two NZiDep characteristics described 6 12.8 Waikato District Health Board. The Three or four NZiDep characteristics described 13 27.7 lead professionals involved in this pilot Five or more NZiDep characteristics described 17 36.2 were those from agencies outside the Missing data 7 14.9 health sector (such as Kirikiriroa Family Services Trust). These lead professionals and/or caregivers across three dimensions: ultimately barriers to improving child and were predominantly full-time, and they Mokopuna Ora, Kaitiaki Mokopuna, Te Ao family outcomes. represented approximately 40-50% of Hurihuri (Oranga Tamariki, 2019c). This the full-time equivalent capacity of assessment framework is broad, with little The current study the Hamilton Children’s Team lead specific information gathered or recorded Through the establishment and evaluation professionals, providing the opportunity regarding health, and no opportunity to of the Hamilton Children’s Team, to involve up to 50 children in the health monitor access to eligible health services. In partnerships were established between the assessment pilot. the Hamilton Children’s Team, the majority University of Waikato, Oranga Tamariki and This tool was developed through an of lead professionals are employed in social the Hamilton Children’s Team, the Waikato iterative process involving subject matter sector organisations without specific health District Health Board, and community experts in child health and child assessment competencies, or health sector agencies involved in supporting children development, and was built from the connections. A recent evaluation of the role and families. Having identified the gaps in Harti Hauora Assessment Tool – a of lead professionals within the Hamilton health assessment competencies and health Whänau Ora-based assessment instrument Children’s Team (Atatoa Carr, 2017) found sector connections for lead professionals, designed to reduce health inequities for that Hamilton lead professionals were this project intended to develop and pilot inpatient children and families at Waikato requesting a specific, standardised health a standardised tool for non-health-sector hospital (Masters-Awatere and Graham, needs assessment as an add-on to the lead professionals to assess the health need 2019). Criteria for the inclusion of Tuituia framework that could be completed of children within the Hamilton Children’s assessment questions were determined in and monitored consistently. Without this Team. The objectives of this project were to: the development of the pilot assessment specific and standardised assessment of • build lead professional capability to tool. These criteria included: a suitable health need, lead professionals in Hamilton assess unmet health need, and support question can be asked by lead professionals described difficulties with determining the health system access for Children’s of children and families to gain service and resource requirements for their Team children and families; information about the particular health families, challenges with advocacy and • identify specific areas of health, and need; the area of health need is known to CAN engagement in the health sector, and broader wellbeing, that are likely have an important impact on child and

Page 12 – Policy Quarterly – Volume 16, Issue 1 – February 2020 whänau health outcomes; there are Results appropriate services available that can Training address the need identified. The tool The two-day training programme was an included questions to identify areas of Taking a important component of the support for potential need across four domains (see the lead professionals involved in this pilot. Table 1): healthcare access; housing; systematic and It was attended by the lead professionals, education and development; and broader standardised the Hamilton Children’s Team director whänau experience (including aspects of and support staff. The training focused on the Tuituia assessment which are not approach each specific aspect of the assessment tool, further discussed in this article). and was delivered by the referral partners The tool was developed as a paper- allowed lead from within the health sector. This based questionnaire so that lead provided the lead professionals with not professionals could complete it over several professionals only an improved understanding of the visits with the children and their families, measurement of health need, but also an and during the pilot period it replaced the without specific understanding of the services in Hamilton Tuituia assessment for those lead where they would be able to refer children, professionals involved in this project. health sector young people and their families, as well as Immunisation information for children an opportunity to foster relationships with was also confirmed using the National knowledge to people in those services. Complexities of Immunisation Register, where available. identify the eligibility criteria for each service and Children’s demographic information the relevant referral paths were described, and household composition were also unrealised gaps in addition to aspects of child development collected and recorded, and the following and health across the early years. additional resources were developed for the in service Hamilton Children’s Team to support the Pilot assessment of health need assessment tool: delivery (‘we The standard processes were followed • a two-day training package for the lead regarding referral of children to the professionals, involving relevant local don’t know what Hamilton Children’s Team in 2018. Of agencies; the children referred and accepted, 59 • referral pathways for each aspect of the we don’t know’). children were assigned to one of the lead assessment tool, including forms for This was professionals involved in this pilot and referral to further health services; were therefore eligible for an adapted • lead professional resources and particularly assessment utilising the health assessment information about health need and tool. All caregivers consented to the use health services in the Hamilton area; and evident in areas of the health assessment tool to identify • resource kits for families. specific health need, and consent for All the caregivers/parents of the of health need researchers to access anonymous data children who were referred to the lead from this assessment was obtained for 47 professionals during this health assessment that had typically children (80% of eligible children) from pilot period provided their written 29 households. informed consent to undertake this health not been assessment, and consent was also requested Sociodemographic information for their anonymous information on identified utilising Most households (66%) had a single child health need to be collated for research the broader referred to the Hamilton Children’s Team, purposes. Throughout the duration of this with the remaining households having pilot (including during training), the lead Tuituia approach, up to six children referred. At the time of researcher met regularly with the lead the study, 17% of children were five years professionals and Children’s Team staff to such as oral old or younger, 38% were aged 6–10 years discuss the utility of the tool, challenges and 45% were aged 11–18 years. Sixty per and barriers, and opportunities for health, housing cent of children were male. Thirty-eight improvement. per cent of children identified as äM ori, Ethical approval for this research was safety and health 34% as European/New Zealand European obtained from the University of Waikato and 13% as Middle Eastern. Other ethnic Human Research Ethics Committee service access. groups represented include Columbian, (Health) in January 2018. Afghani and Cook Islands. English was the most common first language spoken

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 13 Supporting Child Wellbeing: a health assessment tool for the Hamilton Children’s Team

Figure 1: The health needs of children referred to the Hamilton Children’s Team partially immunised. Just over half of all households (52%) contained smokers. Sore throats Other health issues among the children Scabies raised by their caregivers with their lead Head lice Soiling or wetting issues professional included mental health Concerns about hearing issues (23%), eczema (17%), other skin Skin conditions conditions (15%), issues with soiling or Eczema wetting (13%), head lice (6%), scabies Concerns about vision (4%) and sore throats (2%) (Figure 1). Mental health Not enrolled with a GP Not had recent health assessment Health outcomes Not fully immunised As a result of this assessment tool pilot, Not enrolled with WCTO lead professionals made several referrals Not enrolled with oral health service to health services for the families Smoking in household involved (Figure 2), representing various No recent oral health assessment proportions of the health need identified Not had B4SC (if eligible) 0 10 20 30 40 50 60 (Figure 3). Proportion of children involved in Children's Team health assessment pilot Two-thirds (65%) of children in need of oral health assessments were referred for Figure 2: Child and family health outcomes and referrals enrolment and treatment. Other services 12 with high levels of referrals included GP, vision and hearing services. These referrals 10 also addressed a very high proportion (more than 80%) of the need identified. 8 Referrals were made for all children not yet enrolled with a WCTO provider, and 6 one of the two children aged 4–5 years old who had not yet received the B4SC. There 4 were two homes with pregnant household Number of children referred members, and one was referred to the 2 Waikato-based kaupapa Mäori antenatal programme, Hapü Wänanga. 0 Although non-immunisation and Vision Hearing Oral health Wänanga Whare Ora GP enrolmenWCTO/B4SCt Immunisation ü smoking were relatively common health Smoking cessationHap Home safety checklist issues, the number of referrals to address these needs was low. Referrals were made (64%), followed by Arabic (13%) and with a primary care practice or general for 27% of unimmunised children, and Spanish (6%). practitioner (GP), and 66% had recently 27% of caregivers in smoking households The majority of children referred to had an assessment with their GP. Sixty were given advice or referrals. The majority the Hamilton Children’s Team experienced per cent of children eligible (by age) for of smoking caregivers and household one or more indicators of individual socio- Well Child Tamariki Ora (WCTO) services members of the Children’s Team children economic deprivation as measured by the were enrolled with a WCTO provider and indicated that they were not interested in NZiDep Index (Salmond et al., 2005) (see had completed their WCTO checks, up or yet ready to engage with smoking Table 2). Nearly two-thirds of children to (but not including) the Before School cessation services. (64%) experienced high levels of material Check (B4SC). One child aged four or Over half of households (55%) were deprivation (i.e., answering ‘yes’ to three five years of age (out of three in this age eligible for the Waikato District Health or more NZiDep questions), and a third of group) had received their B4SC. More Board’s housing assessment and children had very high levels of material than half (55%) of children were enrolled management programme, Whare Ora, and deprivation (answering ‘yes’ to five or more with oral health services, and only 47% 43% of eligible households were referred. NZiDep questions). had received an oral health assessment Home safety checklists were completed by or treatment in the last year. Caregivers the lead professionals for all houses that Health need, enrolment and access to health described concerns regarding their child/ were not eligible for referral to Whare Ora. services young person’s vision and/or hearing in Most children (77%) involved in the 19% and 15% of children respectively. Housing Hamilton Children’s Team health Nearly two-thirds of children (64%) were Twenty-eight per cent of households had assessment pilot were already enrolled fully immunised, with an additional 4% been living in their current accommodation

Page 14 – Policy Quarterly – Volume 16, Issue 1 – February 2020 for less than 12 months or were moving Figure 3: Percentage of child health need addressed through referrals between homes, and 48% of households were in private rental accommodation, 100% with a further 31% in social housing. Most families (59%) rated the condition of their 80% accommodation as excellent; considered their accommodation to be either very, or 60% quite stable and secure (79%); and thought that their current housing met their 40% needs (75%). However, 24% of families considered their accommodation to be in an average, poor or very poor state of 20% repair, and 10% of housing had obviously hazardous physical conditions noted by 0% the lead professional. Vision Hearing änanga Oral health Whare Ora GP enrolmentWCTO/B4SC Immunisation ü W Smoking cessationHap Home safety checklist Education and development More than 60% of caregivers highlighted Table 3: Health needs of Hamilton Children’s Team children compared to children in the developmental or behavioural concerns Waikato DHB region for their children. Common concerns were described as educational (32%), related to Health need HCT Waikato DHB disorders (32%) or intellectual disabilities Not had B4SC (eligible age) 66% 8% (16%), and behavioural (21%). Almost No recent oral health assessment or treatment* 53% 14% half (43%) of 0–5-year-olds were enrolled with an early childhood education Not enrolled with oral health service** 51% 25% provider, and most children (84%) aged Not fully immunised at five years old 36% 16% over five years were attending school, with No recent health assessment* 34% 24% one child stood down from school at the time of the study. Not enrolled with a GP*** 23% 30% Many children were already engaged *Waikato DHB indicator is for 0–14-year-olds, while HCT includes all children aged 0–18 years ** Waikato DHB indicator is for 4–5-year-olds, while HCT includes all children aged 0–18 years with services to support educational and ***Waikato DHB indicator is for newborn children, while HCT includes all children aged 0–18 years developmental needs, and a further nine referrals were made by the lead Taking a systematic and standardised Children’s Team would have complex needs, professionals as a result of this assessment. approach allowed lead professionals including in the health sector, the level of The most commonly used educational and without specific health sector knowledge need and the prioritisation of services developmental service was resource to identify unrealised gaps in service required has not previously been teachers learning and behaviour (RTLB) delivery (‘we don’t know what we don’t documented. Prior research nationally and support, for eight children, followed by know’). This was particularly evident in internationally is uncommon, and, when Ministry of Education behavioural areas of health need that had typically not conducted, has typically focused on the specialists, English as a second language been identified utilising the broader Tuituia health needs of children in ‘out-of-home’ support, teacher aides, speech and language approach, such as oral health, housing or state care (Duncanson, 2017; Szilagyi et therapy and educational support for high safety and health service access. Simple al., 2015). The four most common health health needs, each of which had two referral pathway information facilitated needs found in this pilot assessment of children using their services. better understanding of health service vulnerable children still in the care of their eligibility and access opportunities. Health families were each present in more than Discussion and implications needs in the families were indeed found to half of referred children: no B4SC (for The opportunity for lead professionals be common, and many of these needs those eligible by age); non-enrolment in from outside the health sector to assess and would have potentially remained oral health services; smoking in the support health needs for families referred unaddressed without the opportunity for household; and no recent oral health to the Hamilton Children’s Team was well lead professionals to ask specific and assessment or treatment. Noting the received. Families engaged in the pilot were standardised questions, and refer families different age ranges and eligibility, where happy to work through the process with the to health services that they had engaged it is possible to compare this level of need lead professionals, and lead professionals with through the training process of this to the total child population in the Waikato described the assessment as a very useful study. District Health Board region (Ministry of ‘conversation starter’ to ask about key health While it was not unexpected that the Health, 2018; Waikato District Health needs in early life and adolescence. families engaged with the Hamilton Board, 2017), it is clear that the Children’s

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 15 Supporting Child Wellbeing: a health assessment tool for the Hamilton Children’s Team

Team families are significantly underserved needed to support attendance at services (see Table 3). Every contact (such as clinics) and remain family Other healthcare needs were highlighted advocates throughout service delivery. The in the free text quotes collected on the with a supportive poor health sector engagement in the assessment questionnaire from families. professional Children’s Team process is also reflected in For example, while enrolment with GP the low proportion of referrals to the services was common, many described should be an Children’s Team from the health sector, and poor engagement with GPs, inconsistent has been previously described for other care provision, and a lack of preventative opportunity to work with Child, Youth and Family services care opportunities. Many families relied on (Rankin, 2011). a secondary care provider (rather than a enhance the This pilot demonstrated that a GP service) for the coordination of comprehensive assessment tool, with healthcare, such as child development health system so prescribed referral pathways, resources and services, paediatric services or mental training processes, provided an improved health services. This poor engagement with that we can approach to vulnerable children and GP services was also a challenge for lead deliver equitable families involved with the Hamilton professionals and there were a number of Children’s Team, particularly for health families where needs identified, such as and appropriate need. Understanding and recognising the immunisation, could be better addressed health need of these children and their through comprehensive and preventative care, and families is important in order to ensure that primary care. Previous collation of appropriate care is received and that our assessments conducted for children in the ultimately health services are reviewed for their care of Child, Youth and Family Services accessibility and appropriate service also found a high level of health need, improve family delivery. The tool provided an opportunity particularly with respect to learning to highlight some of the challenges in the support needs, emotional needs, wellbeing. health sector (such as appointment developmental support, mental health and arrangements and eligibility criteria) for oral health (Duncanson, 2017). Ongoing complex children and families needing to engagement and support of the health three or more NZiDep characteristics, engage and access resources. The tool also sector throughout service delivery within compared to 8.7% of children in the New supported lead professionals to have the Children’s Team is important to ensure Zealand population (Gunasekara and increased knowledge and trust in the health sustained improved outcomes for children Carter, 2012). Over one third of children sector and develop clear and specific action and effective early intervention. in this pilot experienced severe material points to remove barriers and improve The significant inequities in access to hardship, and insecure housing (including health outcomes. Health need for these healthcare experienced by families engaged emergency and motel accommodation) families are also cross-sectoral, and with the Hamilton Children’s Team is also was common. managing needs across the education, in part a consequence of the inequities in An important success of this pilot was housing, health and welfare sectors requires the determinants of wellbeing. Families the ability of this assessment tool to provide a complex local understanding of eligibility were more likely to have experienced high specific networks for the lead professionals, criteria, access systems and siloed structural levels of long-term disadvantage, such as knowledge of local services and their approaches. The funding framework for unemployment, low income, caregiver eligibility criteria, and key clinical and Children’s Team work needs to recognise health needs and constrained environments, service relationships. This success was the continuous involvement and as previously described for children in New described by the lead professionals and also commitment of lead professionals in child Zealand in out-of-home care (Duncanson, demonstrated through the high proportion advocacy and service engagement, over and 2017). Socio-economic strains on family of need that was able to be addressed above coordination, and the future use of stability and resources were significant, and through referrals to health and wellbeing a similar approach, with enhanced health in turn these would have an impact on the services. While the role of the lead sector engagement in the Children’s Team ability to access and engage with health professionals is intended to focus on the work, is recommended. services. Approximately 77% of the coordination of care through the Child Ongoing development of the tool children in this pilot experienced two or Action Network, in reality this pilot includes the possibility of support for more deprivation characteristics according demonstrated the need for the lead monitoring health outcomes of families to the NZiDep index, while Gunasekara professionals themselves to be able to involved with the Children’s Team, such as and Carter (2012) found the same level of engage with and navigate the health sector ongoing healthcare delivery (including any material deprivation in 17.6% of the child in order to get concerns met. Challenges waiting list delays and barriers that arise) population in New Zealand. Further, 64% were found relating to access criteria for and improvements to child and family of the children in this pilot had experienced different services, and lead professionals physical, emotional and mental wellbeing.

Page 16 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Further recommended modifications share) information to support families particularly Kirikiriroa Family Services include: opportunities to better address the who have ongoing complex needs that may Trust and the Ministry of Education. We needs of the adolescent population engaged require a lengthy intervention. Every also thank everyone who participated in with the Hamilton Children’s Team; contact with a supportive professional the lead professional training processes addressing specific gaps identified (such as should be an opportunity to enhance the involved, and the Harti Hauora Research mental health, kaupapa Mäori support and health system so that we can deliver Team for the support with the modification services for new migrants); online supports equitable and appropriate care, and and utilisation of the assessment tool for e-referrals and pathway management; ultimately improve family wellbeing. (particularly Drs Nina Scott and Amy better integration with other services and Jones). approaches such as Whänau Ora and the Acknowledgements Tuituia assessment; and a more ‘living’ We would like to acknowledge the lead document, particularly to document (and professionals and their home agencies,

References Atatoa Carr, P. (2017) Evaluation of Health Sector Lead Professional Ministry of Health (2018) ‘Regional results 2014–17: New Zealand Health Participation in Hamilton Children’s Team, Hamilton: National Survey’, https://www.health.govt.nz/publication/regional-results-2014- Institute of Demographic and Economic Analysis, University of Waikato 2017-new-zealand-health-survey Connolly, M. (1994) ‘An act of empowerment: the Children, Young Persons Ministry of Social Development (2011) Every Child Thrives, Belongs, and their Families Act (1989)’, British Journal of Social Work, 24 (1), Achieves: the green paper for vulnerable children, Wellington: pp.87–100, doi:10.1093/oxfordjournals.bjsw.a056042 Ministry of Social Development Duncanson, M. (2017) ‘Health needs of children in state care’, in J. Ministry of Social Development (2012) The White Paper for Vulnerable Simpson, M. Duncanson, G. Oben, J. Adams, A. Wicken, S. Morris and Children, Wellington: Ministry of Social Development, https://www. S. Gallagher (eds), The Health of Children and Young People with orangatamariki.govt.nz/assets/Uploads/white-paper-for-vulnerable- Chronic Conditions and Disabilities in the Northern District Health children-volume-1.pdf Boards 2016, Dunedin: New Zealand Child and Youth Epidemiology Oranga Tamariki (2013) ‘The Tuituia Assessment Framework’, https:// Service, University of Otago practice.orangatamariki.govt.nz/our-work/practice-tools/the-tuituia- Expert Advisory Panel on Modernising Child, Youth and Family (2015a) framework-and-tools/the-tuituia-framework-and-domains/ Investing in New Zealand’s Children and their Families: expert panel Oranga Tamariki (2019a) ‘Children’s Teams’, https://www.orangatamariki. final report, Wellington: Ministry of Social Development, https://www. govt.nz/working-with-children/childrens-teams/ msd.govt.nz/about-msd-and-our-work/work-programmes/investing-in- Oranga Tamariki (2019b) Oranga Tamariki Quarterly Performance Report: children/eap-report.html June 2019, Wellington: Oranga Tamariki Expert Advisory Panel on Modernising Child, Youth and Family (2015b) Oranga Tamariki (2019c) ‘Tuituia framework and tools’, https://practice. Investing in New Zealand’s Children and their Families: expert panel: orangatamariki.govt.nz/our-work/practice-tools/the-tuituia-framework- interim report, Wellington: Ministry of Social Development, https:// and-tools/the-tuituia-framework-and-domains/ www.msd.govt.nz/about-msd-and-our-work/publications-resources/ Rankin, D. (2011) ‘Meeting the needs of New Zealand children and young evaluation/modernising-cyf/modernising-child-youth-and-family.html people who have been abused and neglected’, Best Practice Journal, Gunasekara, F.I. and K. Carter (2012) ‘Persistent deprivation in New 37, pp.4–9 Zealand children: results from longitudinal survey data’, New Zealand Rouland, B., R. Vaithianathan, D. Wilson and E. Putnam-Hornstein (2019) Medical Journal, 125 (1362), pp.101–6 ‘Ethnic disparities in childhood prevalence of maltreatment: evidence Hyslop, I. (2017) ‘Child protection in New Zealand: a history of the future’, from a New Zealand birth cohort’, American Journal of Public Health, British Journal of Social Work, 47 (6), pp.1800–17 109, pp.1255–7 Katz, I., N. Cortis, A. Shlonsky and R. Mildon (2016) Modernising Child Salmond, C., P. King, P. Crampton and C. Waldegrave (2005) NZiDep: a Protection in New Zealand: learning from system reforms in other New Zealand index of socioeconomic deprivation for individuals, jurisdictions, Wellington: Superu Wellington: Department of Public Health, University of Otago Keddell, E. (2018) ‘The vulnerable child in neoliberal contexts: the Szilagyi, M.A., D.S. Rosen, D. Rubin and S. Zlotnik (2015) ‘Health care construction of children in the Aotearoa New Zealand child protection issues for children and adolescents in foster care and kinship care’, reform’, Childhood, 25 (1), pp.93–108 Pediatrics, 136 (4), e1142–66 Masters-Awatere, B. and R. Graham (2019) ‘Whänau Mäori explain how Waikato District Health Board (2017) ‘Early childhood health profile’, the Harti Hauora Tool assists with better access to health services’, Waikato DHB, https://www.waikatodhb.health.nz/assets/Docs/ Australian Journal of Primary Health, 25, pp.471–7 About-Us/Key-Publications/Health-Profiles/0fca8ba2a0/ECE-Health- Profile-2017.pdf

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 17 Rhonda M. Shaw

Should Surrogate Pregnancy Arrangements be Enforceable in Aotearoa New Zealand? Abstract from surrogate mothers and ovarian egg donors Aotearoa New Zealand has no unified regulatory about their experiences of donating reproductive system governing the ethical and legal issues that materials and services. The aim of the article is to arise with surrogate pregnancy arrangements. expand the conceptual toolkit of assisted human Accordingly, legal scholars and moral philosophers reproduction to better understand the donative have recently called for revision to parentage and acts of women who share their reproductive payment around surrogacy. Several academics have materials and services, and to critically examine additionally suggested making surrogate pregnancy calls to introduce a regulatory model that makes arrangements enforceable under New Zealand surrogacy enforceable in light of concerns about law. This discussion combines empirical research the relational complexities of these arrangements. with key informants and experts working in the Keywords surrogacy, relational gifting, adoption, field of assisted reproduction with interview data reproductive legislation

Rhonda M. Shaw is an Associate Professor in Sociology at Victoria feminist phenomenology, and empirical research on organ donation and University of Wellington. Her research interests include bioethics, transplantation, human milk sharing and assisted human reproduction.

Page 18 – Policy Quarterly – Volume 16, Issue 1 – February 2020 on-commercial surrogate not want the baby. Conversely, pregnancy is at one and the same ... ‘New Zealand enforceability of the arrangement would Ntime prohibited in numerous law, as it protect the intended parents if the jurisdictions around the world (Allan, surrogate decided they did not want to 2017) and regarded as a legitimate currently stands, relinquish the baby upon birth. pathway to family formation for people fails to A second recommendation concerns experiencing medical or social infertility legal parentage and calls to amend the (Berend, 2016; Imrie and Jadva, 2014; adequately Status of Children Act so that intended Teman, 2009). As a pathway, surrogacy may parents are automatically parents upon the be the last option for heterosexual couples address the baby’s birth. Under current law, the woman when other forms of fertility treatment complex issues who becomes pregnant is the legal mother have failed or a first step to creating a of the baby to whom she gives birth. Her family for gay couples and single men. around partner, if she has one and they have Surrogate pregnancy encompasses two consented to the donative procedure, is the types of arrangement. In traditional commercial other legal parent of the child. The intended surrogate pregnancy, a woman carries a surrogacy, parents, who may or may not have genetic foetus, as well as providing genetic material, links to the baby via gametes, have no legal for intended parents. These arrangements and surrogacy relationship to the child until it is can occur without fertility clinic intervention transferred to them through New Zealand and ethical review. In cases of gestational generally’ ... adoption legislation. surrogacy, the birth mother provides the Under section 10 of the Adoption Act, gestational services, but the gametes are which is used to transfer parentage from provided by others (usually, but not always, the surrogate (and her partner) to the the intended parents) through in-vitro the HART Act and supporting legislation, intended parents, the latter must apply for fertilisation techniques. In Aotearoa New in relation to the enforceability of and obtain an adoption order from the Zealand, gestational or clinic-assisted surrogate pregnancy arrangements. A key Family Court. The surrogate must sign a surrogacy is a regulated procedure under concern for these commentators is that consent statement in the form of an the Human Assisted Reproductive the HART Act provisions say very little affidavit to relinquish the baby, and a social Technology Act 2004 (HART Act) and must about surrogate pregnancy arrangements worker is required to provide a report for be approved via a process of ethical review and leave several issues unresolved. This the court regarding the suitability of the by the Ethics Committee on Assisted criticism is not new. In 1999, Anne Else intended parents in respect of the Reproductive Technology (ECART). referred to the legislation around AHR application (Casey, 2014). The body of legal and bioethical research at the time as ‘confused’ and ‘piecemeal’, on surrogacy in New Zealand is substantial saying, ‘a comprehensive new approach AHR vocabulary and growing (Alawi, 2015; Anderson, is urgently needed’ (Coney and Else, 1999, These issues have attracted a range of Snelling and Tomlins-Jahnke, 2012; Ceballos, p.56). More recently, Powell and Masselot recommendations for reform from 2019; Powell, 2017; Walker and Van Zyl, have commented that ‘New Zealand law, legal scholars, such as pre- or post-birth 2017; Wilson, 2018, 2019; Van Zyl and as it currently stands, fails to adequately parenting orders, the creation of a new Walker, 2015), but with very few social address the complex issues around Surrogacy Act, and amendment to the science studies of the lived experience of commercial surrogacy, and surrogacy Status of Children Act. My concern with surrogate pregnancy. This article presents generally’ (Powell and Masselot, 2019, enforcing surrogacy arrangements is empirical data from two qualitative studies p.vii). The point these commentators that it is out of step with the local and discussing the motivations of surrogate make is that the legislation, which is a institutional moralities that underpin the mothers and ovarian egg donors. The aim blend of the HART Act, Adoption Act 1955 promotion of donative acts and practices of the article is to expand the conceptual and Status of Children Act 1969, creates in New Zealand. A central problem is the toolkit of assisted human reproduction unnecessary stress for those involved, is term altruism, which is used in recruitment (AHR) to better understand the donative not purpose-built, and requires overhaul. and promotional literature around AHR. acts of women who share their reproductive A key recommendation for change Altruistic procurement of reproductive materials and services. A corollary aim of pertains to section 14(1) of the HART Act, materials and services is legally mandated the discussion is to examine the call to which states: ‘A surrogacy arrangement is under the HART Act. Although the term enforce surrogate pregnancy arrangements not of itself illegal, but is not enforceable altruism is not used in the act, it has been under New Zealand law. by or against any person.’ Commentators used in the Advisory Committee on who advocate reform want to enforce Assisted Reproductive Technology New Zealand legislation surrogacy arrangements to protect (ACART) guidelines and Oranga Tamariki New Zealand legal scholars and ethicists surrogates should the intended parents website information (Oranga Tamariki, have recently called for amendment to decide, for whatever reason, that they do 2019). The word altruism is also used by

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 19 Should Surrogate Pregnancy Arrangements be Enforceable in Aotearoa New Zealand?

the fertility clinic Repromed on their All the surrogate mothers and egg website. Fertility Associates, which has 18 ‘There are people donors in study 1 regarded their acts as clinics across New Zealand, does not use who want [a altruistic in some way, envisaging their the term on its website, but does refer to donations as symbolic of human egg donors giving ‘the ultimate gift’. The compensation] connection and empathy with people link to ‘Becoming a donor’ says: ‘Being a experiencing infertility. Additionally, as a donor is about giving the most amazing model and there’s New Zealand fertility counsellor in study gift to a family in need. A chance to have people who say 2 commented, attitudes about the a baby’ (Fertility Associates, 2019). importance of refusing payment for Unsurprisingly, the same phrase is not they’d be insulted surrogacy persist among the group of used in the link to ‘Sperm donors needed surrogate mothers and donors she sees. As – more info’. This may be due to the to be paid, as she put it: gendered labour required of sperm donors, it would have which does not conjure an image of It is perfectly reasonable if somebody selflessness or sacrifice in the same way as discouraged them is giving up their time and energy to egg donation. from being a carry a pregnancy for someone else that I have argued elsewhere that the they be given reasonable compensation, conflation of altruism with gift is surrogate.’ but I also think that it in some way misleading when used in relation to diminishes the altruistic nature of contemporary moral economies that doing something incredibly generous promote the donation of bodily cells, tissue and meaningful for other people. and organs, since the term gift is deployed … People who are being surrogates by stakeholders, donors and recipients recruited by convenience sampling and often say ‘oh no, I wouldn’t [take alike in a variety of different ways (Shaw, snowballing. The data was analysed money], you know that would tarnish 2015). Rather than relying solely on thematically (Braun and Clarke, 2013) and what I’m doing’ … and egg donors. So, altruism, I suggest expanding the documented participants’ views on policy not everybody receives the expenses conceptual toolkit of AHR to help explain and legislation around AHR, compensation payment, they refuse it, they do. why surrogate pregnancy arrangements and payment for surrogate mothers and should not be enforceable. gamete donors, information disclosure Several other experts in study 2 To do so, I draw on two studies. The around donor conception, donor–recipient corroborated the existence of this attitude. first study was designed to investigate the relationships, and access to fertility A New Zealand lawyer remarked that the motives of women who donate reproductive treatment. positions people take on surrogacy and materials and services, the kinds of payment are variable, saying: ‘There are relationship (if any) that resulted from Framing donative motivations people who want [a compensation] model their actions, and the relationship between To frame the experiences and social- and there’s people who say they’d be the moral experience of donors and the psychological motivations of surrogate insulted to be paid, as it would have vocabulary available to describe and mothers and egg donors, I draw on four discouraged them from being a surrogate.’ articulate their experiences (see Shaw, concepts that I have used in previous Relational gifting refers to dyadic 2008). This research involved fieldwork and research (Shaw, 2015) to talk about bodily relationships – of which the parent–child in-depth interviews with 14 women about donation: unconditional gift; relational relationship is paradigmatic – between their experiences of egg donation and gifting; gift exchange; and body project. intimates or people who are familiar to or surrogate pregnancy. Of the 14 women in The image of an unconditional gift is the become known to one another. Importantly, the study who donated ovarian eggs, three concept that often comes to mind when the term ‘relational’ emphasises how had also been involved in traditional people think of surrogate pregnancy and people’s sense of self is constructed in their surrogate pregnancy arrangements, and egg donation as an altruistic, other-oriented, relationships with others and in terms of one had been a gestational surrogate. selfless act. This kind of altruism refers to a their social roles. In relational gifting, the The second study draws on qualitative gift that is given freely (voluntarily), without donor presents their donation as a research undertaken from 2017 to 2020 remuneration or external reward. It is personalised gift which symbolically with key informants and experts about regarded as unidirectional (one-way) and connects them to their recipients (Gilman, their views on AHR.1 This project includes disinterested (offered without regard to the 2018). in-depth interviews with 45 New Zealand quality of the recipient). One of the This notion of the gift relation tends to and Australian legal scholars, lawyers, requirements of the unconditional gift is underpin the gendered practice of donating ethicists, social scientists, fertility clinic that the donor surrenders or ‘relinquishes’ ovarian eggs and surrogacy and is specialists, counsellors, ethics committee any idea of property rights or control over institutionally sanctioned in relation to members and representatives of stakeholder their bodily donation. AHR. For example, in New Zealand, fertility groups. The participants in this study were clinic egg donors and recipients meet for

Page 20 – Policy Quarterly – Volume 16, Issue 1 – February 2020 joint counselling sessions in line with - to donate ova and become surrogate ACART guidelines and the current Fertility ... for Maori who mothers as an assertion of individual agency Services Standard; in surrogacy subscribe to and a way to exercise autonomy and arrangements in which the relevant parties independence. Aside from symbolising are strangers, ECART expects them to form traditional views, moral connection with the donor, they a relationship over six months before donated reproductive services and materials making an application; and in online what is given in as projects of the self, or as events that surrogacy support groups, the social the process of marked new beginnings in their lives. One etiquette guiding prospective surrogates woman in study 1 had been left at the altar and intended parents’ interactions requires third-party by her fiancé; one had experienced a string that they get to know one another before of deaths in rapid succession and, broaching a surrogacy arrangement. The reproduction is recognising the inherent vulnerability of same approach to counselling and the not simply the human beings, felt compelled to reaffirm establishment of a relationship between a life; another woman had a pregnancy surrogate mother and intended parent(s) generous gift of termination. While these women did not is taken by the Patient Review Panel and shared body give the impression that they acted directly fertility clinics in Victoria, Australia. to resolve feelings of grief or assuage guilt Gift exchange is an anthropological tissue, but a at having lost a loved one or a child, such concept that emphasises the social life events were not discounted as irrelevant significance of giving, receiving, and different kind of to their decision making. reciprocating. The notion of gift exchange futurity for the Additionally, some studies indicate that draws on Mauss’s (1990) view that the women elect to be surrogate mothers giver’s identity, essence or spirit is inserted individual because they like being pregnant (Imrie or invested in the gift or donative act, and and Jadva, 2014). This was not a stated consequently requires reciprocation. Again, concerned and the motivation for the women I interviewed. like the gift relation, this is a relational groups to which However, although it is uncommon, there ontology. However, gift exchange goes are anecdotal accounts of childless/child- further: sharing biological matter such as they belong. free women in New Zealand becoming body parts and substances not only creates traditional surrogates because they want relationship responsibilities between to experience pregnancy. Additionally, donors and recipients; for some cultural several fertility clinics reported seeing groups, such as Mäori, gift exchange surrogates who have not been pregnant implicates entire kin networks (Mead, transferred between donors, recipients and before being approved by ECART. Some of 2003; Salmond, 2012). Where gift exchange the larger group, but also rights and these women donate their services to relationships exist, donors do not construe responsibilities, and, with that, the family members; others may find bodily gifts as alienable, and may not see importance of information sharing about themselves ‘childless by circumstance’ themselves as ever relinquishing control donor conception. rather than design (Cannold, 2005), and over the gift. Another key motivation for giving consider a surrogacy arrangement as an The idea that kinship is fixed by reproductive gifts or services is to establish opportunity to ‘try’ pregnancy. biological relatedness is a powerful people’s moral identities as pro-social. In Ragoné suggests that women who motivation for people to assist one these cases, surrogate pregnancy objectifies become surrogate mothers may also want another’s reproductive journeys. One of a person’s sense of self as good, kind or civic- to ‘transcend the limitations of their the surrogate mothers interviewed in study minded and can be conceptualised as a domestic and motherhood roles’ (Ragoné, 1 said that she agreed to be a traditional process of identity-construction that 1994, p.65). As an extreme example, some surrogate for her sister because they valued involves a body project. Sociologists have surrogates enjoy the public attention their keeping genetics and reproductive matters talked about people engaging in body acts elicit. In study 1, two surrogate within the family, as did several egg donors. projects by altering their bodies as part of mothers were equally generous about Likewise, Glover and Rousseau’s (2007) make-over culture and consumption disclosing their identities and stories as qualitative research shows that for Mäori practices (Shilling, 1993), but body projects surrogate mothers to the media, and later who subscribe to traditional views, what is are undertaken not simply by the self, for came to occupy roles as mentors in the New given in the process of third-party the self; some people also deliberately Zealand surrogacy community. A more reproduction is not simply the generous transform their bodies for the benefit of subtle example of this class of motivation gift of shared body tissue, but a different others, to objectify themselves as a particular is about doing something ‘special’, which kind of futurity for the individual kind of subject (Shaw, 2008). For instance, may be related to surrogate mothers’ view concerned and the groups to which they in addition to displaying maternal affect and of themselves as exceptional because not belong. It is not just bodily matter that gets care, some of the women in study 1 wanted everyone can be a surrogate (Berend, 2016).

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 21 Should Surrogate Pregnancy Arrangements be Enforceable in Aotearoa New Zealand?

An Australian psychologist from study Wilson’s online survey of 185 child and 2, who has counselled over 200 surrogates, ‘The main problem family lawyers asked participants whether said that she found surrogate mothers is, they’re all very surrogacy contracts should be enforceable. tended to score slightly lower on the Of those who responded to this question, median grandiosity scale in psychology close while 54 favoured the status quo as determined tests than non-surrogates. She thought this by the HART Act, and 75 thought surrogacy stemmed from, ‘a sense of having achieved the surrogate is arrangements should be enforceable and stuff; it’s that sense of “I want to be pregnant, helping (Wilson, 2018, p.72). Ethicists Walker and more than just a mum”, you know, “I want Van Zyl likewise want to enforce surrogacy to do something … for my children to be her out. Oh yes, and advocate radical reform of the current proud of me.”’ Likewise, several New they’re getting on system. It is worth outlining their approach, Zealand counsellors talked about egg as it has been influential in academia and donors and surrogate mothers wanting to with their children, the New Zealand media. be ‘special’. One commented: Walker and Van Zyl support a centrally you know, being controlled regulatory model to monitor Sometimes I think with surrogates it is close with their surrogacy. They present what they call their an attention thing – they like to be put ‘professional model’ as an alternative to on a pedestal and thanked and made to family, and we’re both commercial and altruistic surrogacy feel special. I wonder sometimes (Walker and Van Zyl, 2017, p.12). The whether money is changing hands in going to be close model is predicated on the idea of a some cases. … Maybe you get a trip after, and then professional, multi-disciplinary body somewhere or you get a holiday, or you tasked with facilitating surrogacy get a voucher. afterwards she arrangements. This body would offer a range of services, one of which would be One participant from study 1 described signs the adoption registering and licensing prospective her decision to become a surrogate mother paper and they run surrogates. The concept of licensing explicitly as a project. She was first an egg prospective surrogates is novel and would donor, and when that was unsuccessful she for the hills, you involve a regulatory body to oversee the decided to offer her services as a gestational screening and ‘selection’ of surrogate surrogate. This participant explained that never hear from mothers, who are paid a fee for service. she liked the idea of surrogacy as a project them. And This would mean that surrogates could not because it was ‘different’, enabling her to put themselves forward without being be ‘part of the technology of my day’. it’s extremely vetted for approval (Walker and Van Zyl, Unlike egg donation, which has ongoing 2017). social implications for genetic continuity, tough on a Licensing would also involve training gestational surrogacy represented a project surrogate.’ surrogates in the care of their bodies and with a finite end. Another AHR project was pregnancies. There would be additional reported to me by a key informant in study training in the assessment of values and 2 who said that one of their participants ethical standards, which Van Zyl and had set a goal of doing the most surrogate Walker claim is not sufficiently provided pregnancies in New Zealand (undertaking The question of enforcing surrogacy by current models in New Zealand. In their three thus far). The emphasis by ACART and fertility model, the authors understandably It is clear from the discussion of clinics on surrogate pregnancy emphasise the reproductive vulnerability participants’ motivations that there are arrangements as relational, and the of the intended parents, who go to great multiple reasons why women might be fact that parties are already encouraged lengths to get a baby and must rely on the interested in becoming surrogate mothers by fertility counsellors and lawyers to surrogate’s trustworthiness and generosity. and/or egg donors. Most of the women I think through and formalise agreements They comment that concern about the spoke with were not hard altruists, in that (Wilson, 2019), raises questions about surrogate relinquishing the baby causes they did not view their donative acts as the rationale for enforcing surrogacy uncertainty for the intended parents. unconditional, one-way and with no arrangements. Although advocates frame Van Zyl and Walker discuss their strings attached. They typically wanted their argument as protecting both parties position regarding the enforceability of their generosity to be recognised (and not should either renege on the agreement, surrogacy in several texts, stating that in necessarily in terms of payment). Most – enforcement creates an imagined their model intended parents would be except for the gestational surrogate in study contractual environment of competition unconditionally recognised as ‘the legal 1 – were interested in ongoing relationships and fear and could be construed as a lack parents from birth’ (Van Zyl and Walker, with the intended parents. of trust rather than cooperation. 2015, p.384). Their view is that ‘if a

Page 22 – Policy Quarterly – Volume 16, Issue 1 – February 2020 surrogate cannot make a promise in ... one of the a relationship with the child, but a advance to relinquish the baby, she cannot relationship with the parents.’ enter a surrogacy contract’ (Walker and reasons the Israeli Van Zyl, 2017, p.9). For them, ‘the intended Critiquing the professional model parents are automatically the baby’s legal system appears to Elsewhere I have argued that framing parents and no transfer is necessary. The work is because bodily donation in terms of a hard surrogate does not make a promise to altruism/commodity distinction stymies relinquish the baby because it is not hers the surrogate conversation around the social meaning to relinquish’ (ibid., p.18). They go on to of money and reciprocity for donors’ say that this is ‘the most significant benefit mother induces body work and affective labour (Shaw, of the professional model’ in ‘that it dissociation ... 2015). This perspective broadly concurs removes the prolonged uncertainty that with Walker and Van Zyl’s position on intended parents have to endure’ (ibid., from her body compensation. That said, I do have p.21). Additionally, they do not advocate reservations about other aspects of their that the surrogate has a ‘parent-like voice’ in order to model. in the new family formation, but do permit collaboratively The first concern is that, as part of the some presence of the surrogate in the story licensing of surrogates which Walker and of the family, and some level of contact if project the Van Zyl suggest, surrogates would be the surrogate so wishes (ibid., p.22). In screened and trained so that their values short, Walker and Van Zyl argue for the pregnancy onto are aligned with those of the intended intended parents to possess the rights and the intended parents (2017, p.17). I take this to mean obligations of legal parentage from the that surrogates’ motives must be birth of the baby, despite empirical mother, thereby compatible with the values that underpin evidence that ‘a large majority of surrogates the professional model Van Zyl and Walker relinquish the babies without difficulty and facilitating easy propose. While the authors are concerned have no regrets later on, regardless of relinquishment of to ensure that surrogates act according to whether they were gestational or genetic the right motivation to relinquish the baby, surrogates’ (ibid., p.2). the baby ... the idea of schooling surrogate mothers in In my empirical research, participants line with the values of the professional discussed whether they experienced model derogates their autonomy and bonding and emotional attachment with would remove surrogates’ right to rebut the the baby, and if they found it difficult to presumption of parentage in favour of the relinquish the baby after the birth. The intended parents, which evolve and change intended parents should the arrangement gestational surrogate I spoke with expressed over time. A stakeholder from study 2, who be enforced (see Ceballos, 2019). In a no connection to the baby when it was was also a traditional surrogate mother, pluralistic context such as New Zealand, born, saying that ‘it helped that it looked was mindful to represent both sides of the where people have a range of (cross-cutting so unlike [her]’. A traditional surrogate surrogate–intended parent story in a recent and sometimes contradictory) motivations mother remarked: interview with me. At the end of her for donating reproductive materials and account she commented: services, Walker and Van Zyl’s proposal I felt like I was babysitting a friend’s seems out of step with the way ordinary, child. I didn’t look at her and think, The main problem is, they’re all very albeit generous, people make real-life ‘Wow, that’s, that’s my daughter’. I’ve close while the surrogate is pregnant, moral decisions. never ever looked at [baby X] and helping her out. Oh yes, they’re getting Walker and Van Zyl stress the pregnant thought, ‘Wow, she’s my daughter’, and on with their children, you know, being surrogate’s right to self-determination and I’ve never looked at [baby Y] and close with their family, and we’re going bodily integrity (2017, p.147), yet they thought, ‘Wow, he’s my son’. Because to be close after, and then afterwards gloss over the corporeal investment the whole intent of the surrogate is to she signs the adoption paper and they involved in ‘hosting’ a child for the intended have a baby, have a child, for somebody run for the hills, you never hear from parent(s), discussing this dimension of else, so that child is never yours. And I them. And it’s extremely tough on a generosity in seven lines of their book think that’s why it’s quite hard for a lot surrogate. (ibid., pp.72–3). They claim that they do of people to understand. not support the commercial system in Confirming the significance of the Israel, in which the intended mother, not These comments convey that surrogate surrogate–intended parent relationship, an the surrogate, is positioned as the primary mothers are often clear in their own minds Australian stakeholder from study 2 stated: obstetrics patient (ibid., p.148). However, about what they are doing. At the same ‘the key motivation for surrogates … in the the unintended effects of the professional time, these women enter relationships with absence of payment is a relationship. Not model may result in similar circumstances

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 23 Should Surrogate Pregnancy Arrangements be Enforceable in Aotearoa New Zealand? to those they denounce in Israel. That is, be considered and treated with respect; and donor-conceived. That may or may not one of the reasons the Israeli system (g) the different ethical, spiritual, and happen, as the HART Act does not impose appears to work is because the surrogate cultural perspectives in society should be a statutory duty on parents to disclose this mother induces dissociation (called considered and treated with respect. information to donor-conceived children. ‘distancing’ by fertility psychologists) from While Mäori views are not Suggestions by legal scholars that birth her body in order to collaboratively project homogeneous, a child born from a certificates be annotated to include the the pregnancy onto the intended mother, surrogate pregnancy arrangement could child’s genetic and birth history (donors’ thereby facilitating easy relinquishment of still have ties to the whänau. They would and surrogates’ identities) could be of the baby (Teman, 2009). If New Zealand is retain their whakapapa and social identity benefit here, but Van Zyl and Walker are to adopt a similar system, a much greater and would be included in the iwi. Not only not advocating this as part of the emphasis on counselling support and is this spiritually significant; it may have professional model. therapy will be a necessary component of social and economic implications under the model. the Waitangi Tribunal settlement process, Conclusion A third criticism relates to the language as one fertility counsellor in study 2 This article offers a conceptual toolkit of enforceability, which is contrary to the commented: based on sociological analysis of research notion of relational gifting that governs findings to frame the motivations of For some Mäori who are, you know institutional ideas and conduct about surrogate mothers and the perspectives into their culture, or immersed in their altruistic surrogacy that influence the of various professionals who interact culture, it’s a difficult thing because it’s surrogate mother’s desire to elevate her with them. If New Zealand legislation like well, okay, so if you go down blunt relationship with intended parents beyond and policy around assisted human lines, this baby then whakapapa’s to the contractual (Berend, 2016). reproduction in relation to surrogacy these people, but if you’re talking Enforceability is based on a model of social is updated, this should be more than a socially well, then they whakapapa to relations that pivots around the concept of legal (and philosophical) matter, as one these people, and then you know, the ‘relinquishment’. This involves ‘giving up’ of Wilson’s lawyer participants points strange things that you end up talking and signing away a relationship with the out (Wilson, 2018, p.73). More empirical about, like well, what if they want a baby in the interests of the intended research, documenting qualitative scholarship? … You’ve got to have at parents. The idea of relinquishing the baby, information from participants and service least, I guess, two generations, you’ve as an individuated entity, does not account users occupying different perspectives got to know your parents, and you’ve for the surrogate mother’s guardianship of in this domain, needs to be undertaken. got to know your grandparents to be the baby at birth, her relationship with the Alongside surrogates and intended able to do it, and then it’s like, oh well, intended parents, or different cultural parents, the voices of donor-conceived what about … you know, what about views of bodily donation in relation to persons, counsellors, psychologists and land claims? social identity (Glover and Rousseau, social scientists need to be heard in these 2007). In line with the concept of gift exchange, debates. And any envisaged changes to Furthermore, the introduction of an relinquishment of the baby could not only legislation need to be flexible enough to enforceability clause does not align with symbolically sever the child’s relation to its accommodate multiple pathways to family the HART Act section 4, principles e, f, and birth mother, it could potentially break the formation without jeopardising cultural g. These principles state that: (e) donor child’s relationship to the kinship network. and situational diversity. offspring should be made aware of their While policy around donor registration is 1 This study received funding from the FHSS at Victoria genetic origins and be able to access enormously helpful in enabling offspring University of Wellington (#217783; #219294) and Human information about those origins; (f) the to contact their donor ‘progenitors’, this Ethics Committee approval (#24373). needs, values, and beliefs of Mäori should only works if a person knows they are

References

Alawi, S. (2015) ‘Highlighting the need to revisit surrogacy laws in New Cannold, L. (2005) What, No Baby? Why women are losing the freedom to Zealand’, New Zealand Law Journal, October, pp.352–5 mother, and how they can get it back, Fremantle: Curtin University Allan, S. (2017) ‘Governing transnational surrogacy practices: what role Books can national and international regulation play?’, in M. Davies (ed.), Casey, M. (2014) ‘Surrogacy in New Zealand: the current landscape’, in Babies For Sale?, London: Zed Books International Adoption and Surrogacy: family formation in the 21st Anderson, L., J. Snelling and H. Tomlins-Jahnke (2012) ‘The practice of century, Wellington: NZLS CLE Ltd surrogacy in New Zealand’, Australian and New Zealand Journal of Ceballos, M. (2019) ‘Parenthood in surrogacy agreements: a new model to Obstetrics and Gynaecology, 52, pp.253–7 complete the puzzle’, New Zealand Law Journal, 9, pp.123–37 Berend, Z. (2016) The Online World of Surrogacy, New York: Berghahn Coney, S. and A. Else (1999) Protecting our Future: the case for greater Braun, V. and V. Clarke (2013) Successful Qualitative Research: a practical regulation of assisted reproductive technology, Auckland: Women’s guide for beginners, London: Sage Health Action Trust

Page 24 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Fertility Associates (2019) ‘Becoming a donor’, http://fertilityassociates.co. Ragoné, H. (1994) Surrogate Motherhood: conception in the heart, nz/pathway/becoming-a-donor/ Colorado: Westview Press Gilman, L. (2018) ‘Toxic money or paid altruism: the meaning of payments Salmond, A. (2012) ‘Ontological quarrels: indigeneity, exclusion and for identity-release gamete donors’, Sociology of Health and Illness, 40 citizenship in a relational world’, Anthropological Theory, 12 (2), (4), 702–17 pp.115–41 Glover, M. and B. Rousseau (2007) ‘Your child is your whakapapa’: Mäori Shaw, R.M. (2008) ‘Rethinking reproductive gifts as body projects’, considerations of assisted human reproduction and relatedness’, Sites, Sociology, 42 (1), pp.11–28 4 (2), pp.117–36 Shaw, R.M. (2015) ‘Expanding the conceptual toolkit of organ gifting’, Imrie, S. and V. Jadva (2014) ‘The long-term experiences of surrogates: Sociology of Health and Illness, 37 (6), 952–66 relationships and contact with surrogate families in genetic and Shilling, C. (1993) The Body and Social Theory, London: Sage gestational surrogacy arrangements’, Reproductive Biomedicine Online, Teman, E. (2009) ‘Embodying surrogate motherhood: pregnancy as a 29 (4), pp.424–35 dyadic body-project’, Body and Society, 15 (3), pp.47–69 Mauss, M. (1990) The Gift: the form and reason for exchange in archaic Van Zyl, L. and R. Walker (2015) ‘Surrogacy, compensation, and legal societies, New York: W.W. Norton parentage: against the adoption model’, Bioethical Inquiry, 12, Mead, H.M. (2003) Tikanga Ma-ori: living by Ma-ori values, Wellington: Huia pp.383–7 Publishers Walker, R. and L. Van Zyl (2017) Towards a Professional Model of Oranga Tamariki (2019) ‘Adopting a child born via surrogacy’, https://www. Surrogate Motherhood, London: Palgrave Macmillan orangatamariki.govt.nz/adoption/surrogacy/ Wilson, D. (2018) ‘Reflecting on surrogacy: perspectives of family lawyers’, Powell, R. (2017) ‘International surrogacy and parenthood in New New Zealand Family Law Journal, 9 (5), pp.67–77 Zealand: crossing geographical, legal and biological borders, Child and Wilson, D. (2019) ‘The emerging picture of the role played by surrogacy Family Law Quarterly, 29 (2), pp.149–64 contracts in New Zealand’, in A. Masselot and R. Powell (eds), Powell, R. and A. Masselot (2019) ‘Introduction’, in A. Masselot and R. Perspectives on Commercial Surrogacy in New Zealand: ethics, law, Powell (eds), Perspectives on Commercial Surrogacy in New Zealand: policy and rights, Christchurch: Centre for Commercial and Corporate ethics, law, policy and rights, Christchurch: Centre for Commercial and Law Corporate Law

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 25 Len Cook

Lessons from Child Welfare why accountability to ministers cannot meet the needs of public legitimacy.

Abstract This article examines the factors that led to and It is an historical fact that tamariki Mäori are exacerbated the most recent crisis in Mäori views over-represented in Aotearoa New Zealand’s child of the legitimacy of the child welfare system, welfare system, with a recent disproportionate and details contextual factors both common increase in that over-representation. The recent among state actors and unique to New Zealand’s spotlight on the removal of babies and, in particular, child welfare system that influence systems of several highly visible examples in the media of accountability. I conclude by providing a set of attempted removals of babies, however, has once key factors that are imperative when moving again raised the issue of the legitimacy of state towards increased systemic accountability of the involvement in ensuring the care and protection child welfare system – factors that acknowledge of children among Mäori. Increased accountability and incorporate the historical legacy, current and transparency is one vital step towards restoring socio-economic position, and the significance of the public legitimacy of the child welfare system. whänau and family. Keywords child welfare, Mäori, families, public Len Cook has been Government Statistician and was the last Families Commissioner. He is experienced in evaluation, statistical analysis and sector, legitimacy methods of accountability, and is not a practitioner in any of the fields involved in providing child welfare services.

Page 26 – Policy Quarterly – Volume 16, Issue 1 – February 2020 I say: take no thought of the harvest, but only of proper sowing. — T.S. Eliot

äori reaction to the recent Systemic and institutional legacy and the implications of its obligations to disproportionate increase in complicates current public legitimacy the Treaty of Waitangi with respect to Mthe share of Mäori children The issues in disentangling the factors that tamariki Mäori. Systemic, policy and in state care has again put a spotlight on are behind the most recent questioning institutional change is voiced by Mäori the legitimacy to Mäori of how the state of the legitimacy of the child welfare as the way of bringing legitimacy and is involved in the care and protection of system in protecting and caring for transparency to the way Mäori view children. Specifically, this recent spotlight tamariki Mäori are multifaceted and the state’s role in ensuring the care and has been firmly fixed on the number of – complex. Compounding this complexity protection of children. and ways in which – babies are removed is the difficulty the state encounters in from their parents and whänau. There understanding and engaging with whänau, Systemic context were attempts by whänau and healthcare The historical legacy of a child protection professionals to prevent some of the nearly system which has now seen multiple 300 forced baby removals in 2018, and a In part, then, generations within families come in contact small share of these attempts have been with it has conditioned actors within the become highly visible to the public through because of these system to see these families as more ‘at risk’. first-hand videos and accounts (Kaiwai et For example, it is not clear how far practice al., 2020; Oranga Tamariki, 2019). two trends – today is informed by the long reach of In part, then, because of these two historical experience and its disparate trends – the historical legacy of over- the historical influence on communities, particularly representation and recent publicly visible legacy of over- Mäori. As the focus of child welfare has trauma when babies are taken from new shifted from the perceived delinquency of mothers – the legitimacy of the child representation and children to the perceived inadequacy of welfare system and fundamental elements parents, practices need to be challenged of these services have come into question recent publicly to ensure that come-at-ability1 and redress among Mäori. Thus, understanding the fit new obligations of legitimacy. Political role and restoration of public legitimacy visible trauma legitimacy needs to include openness of for public services has taken on greater the contemporary context within which importance, particularly in the context of when babies are the child welfare system as a whole New Zealand’s child welfare system. In this operates to care for children and connect article, the term legitimacy is used in the taken from new with family and whänau. When this sense of public acceptance, rather than openness is not provided institutionally by statutory compliance. Where there is mothers – the the state, then the state by default demands tension between these two aspects, or of legitimacy of the that its front-line staff provide resolution meeting te Tiriti o Waitangi obligations, of the doubts of those who question the enforcing statutory obligations requires child welfare absence of political legitimacy in some of either strong forms of accountability, or the communities in which they work. This further authority. system and is the role of the system, and this cannot be This article will explore the current substituted for by individuals. system complexities and historical legacies fundamental As another example, a much larger that complicate restoring the public share of Mäori adults have been through legitimacy of the child welfare system, elements of these state custody compared with any other provide a statistical portrait of tamariki ethnic group. Because whänau Mäori Mäori in care and their providers, and services have come involve a much larger ‘family circle’, point to aspects and conditions of the child into question historical contact by whänau members welfare system that can move towards a - with the state’s childcare and justice systems restoration of accountability and public among Maori. increases the possibility that young Mäori legitimacy. who wish to be mothers will be more likely

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 27 Why accountability to ministers cannot meet the needs of public legitimacy.

Table 1: State removal of babies from mothers, Ma-ori and total, 2012–18 resource shifts or shifts in policy direction. Year ended Removals Removals per 1,000 births Conflicting views on practice or June Total Mäori Non-Mäori Total Mäori Non-Mäori philosophical matters that are not properly confronted can affect trust within the wider 2012 225 3.7 family and whänau welfare system. As an 2013 216 3.6 example, and pertinent to the current crisis 2014 227 3.9 in legitimacy, resolution appears necessary 2015 211 110 101 3.5 6.7 2.3 on whether or not there are very different 2016 247 147 100 4.2 8.9 2.4 views held by midwives and social workers 2017 275 178 97 4.7 10.9 2.3 on the way a mother should connect with her baby immediately after birth in the 2018 281 179 102 4.7 10.3 2.4 event that a forcible removal of a baby has Source: Oranga Tamariki Official Information Act response 24/10/2017 and 19/10/2018: population rates calculated by the writer been planned. Table 2: Number of children taken into care (0–17 years) and deaths by intentional injury With this systemic and institutional among children (0–9 years) context in mind, I next provide a statistical Year 2007 2008 2009 2010 2011 2012 portrait of tamariki Mäori in child Children (0–17 years) in care 5,044 6,136 5,689 5,446 5,020 4,979 protection, and identify key features of Deaths of children (0–9 years) 3 4 11 4 6 4 public services that should be in focus for Source: Children in care of CYF: Oranga Tamariki; deaths of children: Health Quality and Safety Commission child mortality reports of a child welfare system concerned about children, including death resulting from intentional injury Mäori public legitimacy. to appear as a risk, even if the tests al., 2020; Keddell, 2019). It raises issues of A brief statistical overview of Ma-ori and themselves that focus on previous contact accountability and legitimacy when the child protection with the justice or child protection services accountabilities placed on public service The 2015 report Investing in New Zealand’s were designed to be administered without agencies become focused on the efficiency Children and their Families estimated that bias. The culmination of historical factors, of the agency rather than their impact on during their childhood, one in five children demographic and social structures and the wider communities they were set up overall would have had some experience of prearranged monitoring strengthen the to serve. the care and protection system by the time shadow cast by past bias and predetermine The Family Court provides independent they reached 17 years (Expert Advisory the outcome of selection criteria. Additions oversight through the need for its approval Panel on Modernising Child, Youth and to the selection criteria by the statutory of the most critical decisions involving Family, 2015, p.41). Since 2015 the number child protection and care system widen individual cases, particularly regarding of babies removed from mothers by the the gap between the opportunities of custody. The Office of the Children’s state has increased by one third, with all motherhood faced by Mäori and by other Commissioner has an oversight role that is except one of those 70 more babies being women even when they have the same systemic. We know little about how and Mäori (see Table 1). likelihood of being a good mother. when the parts of the state’s childcare and The past has a long reach, affecting trust Systemically, then, these dual factors protection system interact where it includes and attitudes to state custody today among have potentially established a structure that social workers, police, midwives, hospitals, older generations of Mäori men and both undervalues Mäori views of a just obstetricians, lawyers and non- women. The grandparents and even great- system and reinforces existing inequalities governmental organisations. Measuring grandparents of some of today’s tamariki in system contact that self-perpetuate in agency efficiency is not an effective means Mäori will have been subject to the closed practice. of assurance of system accountability. This adoptions enabled by the 1955 Adoption means that critical components of the Act, as teenage mothers, fathers or babies. Institutional context statutory childcare and protection system It is estimated that during the peak period Child welfare services are extensive in can escape effective scrutiny because of the between 1944 and 1980 some 87,000 babies reach, are diverse in organisational forms weak accountability for some other part. of mainly teenage unmarried mothers and and beliefs, and involve fundamental Moreover, the state child protection fathers were placed in adoption, with many contributions by citizens (rather than the system comprises different professional of those mothers placed under duress. The state). The characteristics that are needed and institutional structures and cultures. father was often not recorded on the birth to make any such complex system work are Each of these have embedded in them certificate (Haenga-Collins, 2017). a common focus, mutual trust and respect, attitudes to risk and these differ across Table 2 shows the most recent glaring strong collaboration, shared knowledge medical, legal and welfare cultures, police, example of escalation in removal into state and continuous improvement. A good different civil service groups, community care occurring during 2008, following the number of case studies report that too sector organisations and iwi Mäori, as well highly publicised deaths of the Kahui twins few of these characteristics are seen across as judges and politicians. Thresholds of risk (2006) and Nia Glassy (August 2007). child welfare services at present (Kaiwai et can become volatile after sentinel events, Deaths by intentional injury over the same

Page 28 – Policy Quarterly – Volume 16, Issue 1 – February 2020 period are presented as well. During 2008 Figure 1: Entry into care of MSD/Oranga Tamariki: number and incidence the number of children aged under 17 years rate by ethnicity taken into the care and protection of Child, 4000 9.00 Youth and Family increased by 1,092, a 21.6% jump from 2007. In the following 3500 8.00 three years the number in care fell back to 7.00 below its previous level, and it did not 3000 exceed the 2007 level again until 2014. 6.00 2500

Ethnic inequality in rates of care entries and 5.00 2000 in care 4.00 Although these numbers provide an 1500 illustrative picture of the historical role Number of tamariki 3.00 Rate per 1000 children of the child welfare system, they do not 1000 speak directly to how these patterns either 2.00 exacerbate or narrow ethnic inequalities 500 1.00 in the system. Complicating this picture is a lack of regular and consistent statistical 0 0.00 reporting over the long term.2 Furthermore, 2001 2003 2005 2007 2009 2011 2013 2015 2017 2019 June Year knowing what is being counted and what Mäori Mäori/Pacific Pacific Other (Pakeha+) the relationship of each statistic is to the others is critical in understanding trends Figure 2: Children in state care: number and incidence rate by ethnicity in disproportionate treatment of tamariki 7000 18.0 Mäori by the state. Counts of the number in care, of the number who enter care and 16.0 6000 of the number who exit care all provide different insights into the system. 14.0 5000 Since July 2017, information provided 12.0 by Oranga Tamariki on child care and protection has been dominated by entry to 4000 10.0 care counts (Figure 1), whereas almost all 8.0 counts published up to June 2017 by the 3000 Ministry of Social Development are of 6.0 Number of Children those in the custody of the state (Figure 2). 2000 Rate per 1000 children The different counts are neither proxies nor 4.0 substitutes for each other in deriving 1000 2.0 measures of disparity. Unless trends in entry to care are seen in the context of both 0 0.0 exits from care and the counts of those who 2000 2002 2004 2006 2008 2010 2012 2014 2016 2018 June Year remain in the care of the state, it is not Pakeha (+Other Children) in state care Pacific Children in state care possible to adequately examine trends in Tamariki Mäori in state care Mäori children in state care per 1,000 children the disproportionate number of tamariki Mäori being taken into care. For short- non-Mäori over the same periods changing (Figure 3) occurred from 2012 and this has term trend comparisons, having the three from 2.8 to 4.0 times. After several years of been sustained since. The trend increase in counts is essential, especially because they relative stability near those around year disproportionality as estimated by can easily move in different ways, as is 2000, from 2005 there has been a continuing comparing the rate ratios has occurred happening at present. expansion in the disproportionate rate with despite the fall in incidence of removals for Between 2001 and 2011, tamariki Mäori which tamariki Mäori compared to non- both tamariki Mäori and non-Mäori were 3.4 times more likely than non-Mäori Mäori are in state care. Although the actual children over the period from 2000 to 2018, to enter state care. Since 2012, the counts of care entries have declined over the because the incidence of state care for non- disproportionate entry of tamariki Mäori past decade, this provides no indication of Mäori declined faster than that for Mäori. into care has averaged 4.6 times that of non- current trends in disproportionality in State care accounts for one in 654 of all Mäori. The disproportionate increase in the either entry to care or the number now in Mäori children aged 17 and under in New number held in care has been similar to that the custody of the state for care and Zealand, compared with one in 400 of all of entries, with the comparable average level protection. A shift upward3 in the other children. State custody of children of disproportionality between Mäori and disproportionate removal of tamariki Mäori has disproportionately affected Mäori for

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 29 Why accountability to ministers cannot meet the needs of public legitimacy.

Figure 3: Entry to care of children/tamariki: incidence rate by ethnicity and Mäori which has long had a ethnic disproportionality ratio disproportionate effect on Mäori children. 9.00 6.0 It is the personal experiences with the agencies of the state which deal with 8.00 5.0 children of today’s mothers, grandmothers 7.00 and great-grandmothers, or their relatives and friends, that have the most relevance 6.00 4.0 at a local level in how the legitimacy of the state is judged. Current practices cannot 5.00 3.0 ignore the way that past racism and 4.00 colonialism will determine the response of ori Disproportionality Ratio

- many to the child welfare services of the 3.00 2.0 a

Rate per 1,000 children state. That history is also embedded in the evidence base that determines the nature

2.00 ori/No-M -

1.0 Ma and operation of the selection criteria now 1.00 and into the future.

0.00 0.0 2001 2003 2005 2007 2009 2011 2013 2015 2017 2019 Accountability June Year In New Zealand, giving an agency of the Mäori entry rate per 1,000 tamariki Non-Mäori entry rate per 1,000 children Disproportionality ratio state the power to break up families and to remove children in order to protect a child from continuing or anticipated some 70 years, most particularly in the means or resources by which to hold the harm is a dimension of family policy decade after 1972/73 but also since that childcare and protection system of the state that is embedded in statute. Where it has period. Between the late 1980s and 2000 to account for how whänau members enter reason, the state can choose to enforce its the disproportionality was lower than this statutory system or are treated in it. legal authority, systems and resources on before and after this period. During the Child welfare services have operated in the any individual family or whänau, usually period which lasted through to 1986, past in a wider environment where whänau subject to the approval of the Family Mäori girls experienced a similar rise in characteristics are not recognised in regular Court. Overseeing the nature of this being placed in custody at about one third statistics; nor has much of the history of authority, its reach and the potential for the rate of Mäori boys. research and scholarship played a part in disempowerment of families by the way policy or practice. When whänau are the authority is applied cannot be met The state and wha-nau recognised they are most often seen by any general means of accountability The wider family or whänau is the through an extended nuclear family lens. intended by Parliament for the oversight dominant means by which children are There has been little place for their of the executive. The place of retrospective cared for when the state removes them resourcefulness or distinctiveness to be as well as prospective testing of the from the care of their parents. Whänau recognised or valued, bringing a poorly trustworthiness of the means used to and families care for more than twice as recognised bias in service delivery. VOYCE act on this exceptional and potentially many (nearly 30,000) children in the child – Whakarongo Mai is a start to reversing severe use of a statutory authority has welfare system as do statutory services this. The Puao-te-Ata-Tu report of 1988 yet to be established by the Ministry of (Angus, 2014). These carers often give up (Ministerial Advisory Committee on a Social Development. Despite the absence jobs to do this through personal choice Maori Perspective for the Department of of such testing, it is a necessary basis for and obligation. In such situations there can Social Welfare, 1988) remains a major community acceptance of the legitimacy be support from the child welfare system, point of reference for assessing how of how such authority is applied. including families and whänau. Iwi and significant challenges by Mäori to the There are few means by which the state Mäori health and social service providers legitimacy of state action need to be is held to account once the Family Court also work alongside whänau to support addressed. The expert review of 2015 gives approval. Transparency is not enough, the directions they set (for example, the (Expert Advisory Panel on Modernising as the self-reporting of the practices of Whänau Ora model). Child, Youth and Family, 2015) was the operational activity limits scrutiny of Seeking a whänau voice in the child most recent of many to report on progress. decision-making processes, as well as of welfare services of the state has been The formalised processes by which how underlying models of care and obligatory in law since the Children, Young families and whänau can hold to account protection are evaluated and applied in Persons and Their Families Act (now the statutory childcare and protection practice. In New Zealand, the Independent Oranga Tamariki Act) 1989. Up until now, services have been shown to be weak. Police Complaints Authority originated however, this voice has been weakly heard Weakness in accountability is a consequence from how police responded to the Bastion or avoided, so that whänau have had few of and contributes to a cultural bias against Point and Springbok tour protests of 1978

Page 30 – Policy Quarterly – Volume 16, Issue 1 – February 2020 and 1981. The Independent Taxation and whänau, mothers and the science of Review Authority and the Health and In practice, in child development. The disproportionate Disability Commissioner both originated whatever way the intensity of state action on Mäori from a similar need to reinforce trust not collectively would be expected to challenge in policy, but in how public servants put it tensions between the fundamentals of the system and needs into practice. British philosopher Onora ongoing vindication. O’Neill has noted: responsiveness In deciding when the immediate safety and the sufficiency of children determines outcomes, it is To be accountable is not merely to carry Oranga Tamariki which chooses to seek a range of tasks or obligations, for of evidence are approval from the Family Court for a child example to provide medical treatment to be removed, but the court has little or to those in need, to make benefit balanced when no retrospective oversight of how the child payments to those entitled to them, or forming judgements, was removed and placed for their future to keep proper accounts. It is also to life course. It remains important that the carry a further range of second-order there are personal resources of whänau and families have a tasks and obligations to provide an place in informing decisions by all players, account of or evidence of the standard costs. On one especially the Family Court. to which those primary tasks and hand, death can Even when the legitimacy of actions obligations are discharged, typically to based on state authority is generally third parties, and often to prescribed result from failure accepted, retaining that trust can necessitate third parties. (O’Neill, 2009) transparency in how compliance with the to respond when rule of law has been ensured, with such Because of the different institutional circumstances justify actions being properly overseen or cultures and incentives of those who may reviewable by a judicial body independent play a part in determining the outcomes extreme actions. of executive government. For iwi Mäori, for any individual child, oversight needs On the other, the the state has long used its authority to take to be able to open a unique window on custody of Mäori children at a high rate bodies that have varying degrees of process of removal and this has periodically led to Mäori independence in how they meet their challenging the legitimacy of this state statutory obligations. This includes those itself has harmful action. When they have reason to challenge to whänau. The oversight of the state’s consequences for the the legitimacy of state actions, individuals childcare and protection system has to and groups in civil society will find ways extend beyond agency performance mothers, family and to withdraw trust in any or subsequent measures and strategic plans by bringing - actions by the state. Institutions and roles a genuine understanding of the workings whanau that are left outside executive government such as of the whole child welfare system. It must behind, in addition parliamentary officers, appeal courts and recognise the importance of parents, parliamentary petitions are vehicles family and whänau in the usual to the trauma provided by the state for this, but independent resolution of short-term or individuals need to have common access longer breakdown in the care of children. children experience to them. The children’s commissioner The science that influences thinking from separation. reported five years ago that what we have about child protection has seen major now does not provide citizens with an changes and significant reversals over the informed basis for granting or withdrawing past 70 years since the professionalisation trust (Office of the Children’s of social work began to evolve. The mother’s physical and mental health of any Commissioner, 2015).5 There are damaging transparency and validation of the such loss of a child (Dominick, 1988). and perverse effects on the welfare of application of science should be a matter parents and their children (including the of periodic scrutiny. In particular, this Multiplicity of agents unborn) when they individually withdraw concerns theories of child removal and The mix of bodies that have an increased their trust in institutions that exist adoption, trauma, social work training and statutory responsibility for the welfare primarily for their care, through avoiding methods of quality assurance. Early of children is now quite extensive. Child the help they exist to give. research by the Department of Social protection and care involves a mix of Welfare into the experiences of birth entities with a high degree of operational Accounting for the distinct characteristics mothers following adoption pointed to a independence, varied oversight and weak of Ma-ori high need for understanding and ensuring connections. The focus on the child The common rules, obligations and tests of ways of managing the impact on the cannot escape consideration of its family eligibility that are being applied to Mäori

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 31 Why accountability to ministers cannot meet the needs of public legitimacy. have been based on analysis and knowledge or able to be independently substantiated. dominated by the characteristics generally Child welfare Knowing what makes up the family, measured and modelled for Päkehä, services are wide- whänau or other most relevant relationship because of the limited scale of Mäori- group has become a statutory obligation specific statistical sources. In the application ranging, and they that requires cultural understanding and of policies developed in this way, this ethnic do not readily make sensitivity that is likely to challenge the bias inevitably leads to parts of the Mäori norms that were embedded in public policy population often being systematically up a coherent in the past. This is even more important at identified and treated as outliers in most this time of change when the threshold for sectors, rather than as a community whose system. Yet without harm has become more loosely defined and distinct characteristics need to be measured understanding their case law around applying new law is limited and reliably accounted for. A failure to or absent. account for, measure and treat as distinct many parts and The greater the chance that rare events the differences from cultural, social and can determine policy, the more vital it is demographic structures remains, as does complexity we can that responses to a rare event are seen in ignorance of the effect of the pathways undermine the the context of a strong, well-established experienced by earlier generations of evidence base, practices that are Mäori. The rules that bring mothers to protection of the demonstrably up to the task, and the the attention of the state’s childcare and existence of wide-ranging approaches that protection system need to be regularly rights of any child enable trust. In the justice sector or child audited by relevant professionals, including to the care and protection, rare events can influence law those with deep knowledge of whänau, to changes. In the healthcare sector this identify whether they are potential sources support of kin. occurs too, but with lower frequency. The of systemic bias against Mäori. For each power of a single event to influence public case, how whänau were involved in the Strengthening policy and practice can be stronger the process should be reported on by each of accountability is more horrific the case and greater the the key agencies and the whänau. These attention associated with it. Since 1994, no reports should be summarised in an annual just one step noticeable trends exist in recorded report that is independently audited by Te incidents of infant death by intentional Puni Kökiri or another appropriate entity in this. injury. These deaths involved an annual unaffiliated with the primary child welfare average of five–six deaths of a child under system actors. ten years old between 2003 and 2017, and ranging between two and 13 during those Reacting to uncertainty, risk and rare events shown a predisposition towards lowering years. Annual care and protection The childcare and protection system of the the threshold for child removal. notifications, however, have risen state will make a difference between life In practice, in whatever way the dramatically since 2004. and death for a small number of children, tensions between responsiveness and the while for many others it may bring the only sufficiency of evidence are balanced when Conclusion means of redress and response to situations forming judgements, there are personal Child welfare services are wide-ranging, of abuse. In the face of complexity in the costs. On one hand, death can result from and they do not readily make up a coherent system in its rules, practices and powers, for failure to respond when circumstances system. Yet without understanding their most people knowledge of what the state justify extreme actions. On the other, the many parts and complexity we can does comes from rare, highly visible cases. process of removal itself has harmful undermine the protection of the rights of These cases can involve the death of a baby consequences for the mothers, family and any child to the care and support of kin. by the intentional violence of a caregiver, whänau that are left behind, in addition to Strengthening accountability is just one or the contested removal of a baby at the trauma children experience from step in this. Moving towards strengthening birth from its mother. By how the public separation. The future life of the child, its this accountability and hopefully, in responds to such sentinel events, those mother, family or whänau must be a turn, increasing public legitimacy means who manage the operations of the state, in demonstrable part of consideration for acknowledging and incorporating the public administration as well as politicians, removal and consequent placement. In a following key factors. can predetermine their effect. There are fully functioning system, how the system • The care of children who are in a multiplicity of participants who could as a whole can manage risk is critical if its situations of concern is overwhelmingly seek to minimise the potential for their legitimacy is to be properly defended in provided by families and whänau. This association with a sentinel event. It is the difficult situations. reality needs to be reflected in policy children and their whänau who bear the The evidence that informs judgements and practice, and the application of the consequences when state responses have in complex cases will not always be strong

Page 32 – Policy Quarterly – Volume 16, Issue 1 – February 2020 powers of the state must support rather • The disproportionate impact of state regulation and monitoring of child than endanger this. custody on Mäori children, alongside protection has been in place since the • Accountability needs to be that for Pacific children, requires much Child Welfare Act of 1925, putting in comprehensive, have independent more transparency than exists at place this new oversight function ought elements and be focused on the present, to facilitate ongoing scrutiny to be accelerated before Oranga outcome for the child and their kin, as and inform the development and Tamariki ends its third year. well as the quality of the processes with support of alternative approaches. 1 Come-at-ability is a concept developed by British which they engage. • The nature of accountability should constitutional writer Anthony King to describe the ability of a • There needs to be good understanding depend on the impact when citizens citizen to challenge the state. 2 Because Oranga Tamariki has yet to establish a regular of what each type of administrative withdraw trust. statistical reporting process, this article was written using historical information drawn from the Ministry of Social count tells us, whether it be of entry to • Mäori who are great-grandparents, Development website and answers to Official Information care, exit from care or the number in grandparents and parents today were Act enquiries made of Oranga Tamariki. Ethnic definitions used by Oranga Tamaraki are not those in common use and custody. part of cohorts that experienced forms breaks in series have been pragmatically adjusted for by the • Disparity can increase if the rate ratios of discrimination and disproportionate author. 3 The excess number of tamariki Mäori removed into the care of Mäori are unchanged but those of involvement in earlier versions of the of the state has changed little from 2002 to 2019, although the excess has become a larger share of the number of Päkehä improve, or simply improve current state institutions. Proper tamariki Mäori removed since 2013. faster than those of Mäori. accountability makes it possible for the 4 Calculation made using population estimates. • Having wide-ranging accountability legitimacy of state action to be earned, 5 Specifically, the children’s commissioner report states: ‘In our view, CYF and MSD’s systems are not set up to measure and will not prevent harm, but lacking rather than just asserted. record the information that matters, and the integration of adequate means to hold the state to • For Mäori and Päkehä, their different data between MSD and other government agencies is poor. Better collection and analysis of data is essential for CYF to account leads to further harm. histories and pathways not only require improve its services and for the Government and the public • What happens to all children once in different processes, but also should to have confidence that CYF and other state agencies are improving outcomes for vulnerable children. We don’t have the care of the state brings different shape the nature of accountability. enough information to say conclusively whether children are better off as a result of state intervention, but the limited risks of neglect and harm to their • The independent oversight function in data we do have about health, education, and justice continuing welfare and life chances that the Office of Children’s Commissioner outcomes is concerning.’ need overseeing. needs more teeth. Given that the

References Keddell, E. (2019) ‘Harm, care and babies: an inequalities and policy Angus, J.H. (2014) Submission to the New Zealand Productivity discourse perspective on recent child protection trends in Aotearoa Commission, sub-109, 2 December, https://www.productivity.govt.nz/ New Zealand’, Aotearoa New Zealand Social Work, 31, pp.18–34 assets/Submission-Documents/e56565d613/Sub-109-John-Angus.pdf Ministerial Advisory Committee on a Mäori Perspective for the Department Dominick, C. (1988) Early Contact in Adoption: contact between of Social Welfare (1988) Puao-te-Ata-Tu (day-break): the report of the birthmothers and adoptive parents at the time of and after their Ministerial Advisory Committee on a Mäori Perspective for the adoption, Wellington: Department of Social Welfare Department of Social Welfare, Wellington Expert Advisory Panel on Modernising Child, Youth and Family (2015) Office of the Children’s Commissioner (2015) State of Care 2015: what we Investing in New Zealand’s Children and their Families: expert panel learnt from monitoring Child, Youth, and Family, Wellington: Office of final report, Wellington: Ministry of Social Development the Children’s Commissioner, https://www.occ.org.nz/assets/Uploads/ Haenga-Collins, M. (2017) ‘Closed stranger adoption, Mäori and race OCC-State-of-Care-2015.pdf relations in Aotearoa New Zealand, 1955–1985’, PhD thesis, O’Neill, O. (2009) ‘Holding accountability to account’, RSS Beveridge Australian National University Lecture 2009, 27 October, London Kaiwai, H., T. Allport, R. Herd, J. Mane, K. Ford, H. Leahy, G. Varona and Oranga Tamariki (2019) Practice Review: Professional Practice Group, M. Kipa (2020) Ko Te Wä Whakawhiti, It’s Time For Change: a Mäori practice review into the Hastings case, Wellington: Oranga Tamariki, inquiry into Oranga Tamariki, Wellington: Whänau Ora Commissioning https://www.orangatamariki.govt.nz/assets/Uploads/News/2019/ Agency Practice-Review/Practice-Review.pdf

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 33 Four essays on the child welfare system The year 2019 represented a watershed moment system, including leadership at Oranga Tamariki, for Aotearoa New Zealand’s child welfare system, within the family court, non-profit providers, as a public spotlight was shone on systemic ethnic commissioners and advocates, and academics. inequities during ongoing legislative changes aimed The following essays in this edition of Policy at centering Te Tiriti o Waitangi and whänau, hapü, Quarterly capture viewpoints from several of and iwi considerations in policy and practice. the seminar speakers. Despite their different In the midst of this dialogue, Victoria University perspectives, common threads unite them. A of Wellington’s School of Government hosted the greater recognition of the structural causes of the “Children, Families, and the State”– a seminar historical and current patterns of ethnic inequities series focused on the historical, current, and future in child welfare system contact, a commitment to role of the state in the lives of families and children. whänau, hapü, and iwi-centred policy, practice, and The seminars, and the discussion it generated, was partnership, the authors argue, are vital for a more due to the calls to action from speakers across the just and empowering system.

Ian Hyslop Child protection, capitalism and the settler state: rethinking the social contract hild protection is an emotive the imaginary ‘good Kiwi’ electorate of a problem which is linked with structurally and complex field which is mythical middle New Zealand. reproduced inequality – with class, race Cconstructed within a conflicted and relative poverty (Parton, 2019). The milieu: it does not sit outside the context of History, inequality and racism children who come into the care of the capitalist economics, the orthodox liberal The policy and practice of child protection state are disproportionately poor and political rubric, and our history of colonial social work has followed the twists and Mäori. In recent history, state welfare oppression (Stanley and de Froideville, turns of the political policy roller coaster systems have visited a painful legacy of 2020). The following is a necessarily broad- that has careened across Aotearoa New institutional abuses upon these children, brush analysis which aims to name some Zealand over the last 30 years. A focus on often culminating in incarceration and of the elephants – the uncomfortable the contested nature of policy prescriptions wider social damage, particularly for reality of discriminatory outcomes in a and practice development, however, whänau Mäori (Stanley, 2017). society divided by inequalities structured risks masking some of the underlying The germinal report Puao-te-Ata-Tu by relations of domination – that are realities of liberal capitalist societies such (day-break) (Ministerial Advisory skirted around in policies targeted at as ours. Child maltreatment is a social Committee on a Maori Perspective for the Department of Social Welfare, 1988)

Ian Hyslop is a senior lecturer with the School of Counselling, Human Services and Social Work, brought these concerns into the light, University of Auckland. Ian worked in child protection practice for 20 years and is passionate about explicitly naming racism as the key obstacle the reform of state social work. He is currently engaged in writing a critical history of child welfare in to the advancement of Mäori people. It was Aotearoa New Zealand. this message which fundamentally shaped

Page 34 – Policy Quarterly – Volume 16, Issue 1 – February 2020 the design of the Children, Young Persons, threat of a feral underclass which animated acted surprised when it came to pass (Hyslop, and Their Families Act 1989 (now the Victorian social science (Jensen and Tyler, 2019). Oranga Tamariki Act). The legal framework 2015). Effectively, the National-led The now infamous Hawke’s Bay uplift of the act pivoted around the belief that government proposed a watering down of video brought muscular child protection whänau, hapü and iwi could provide the commitment to whänau decision – state violence directed against a specific adequate care for their children if furnished making, a clearer focus on child-centric/ section of the population – into our living with respect, authority, information and trauma-informed care and early calls on rooms. In addition to the internal Oranga support in terms of financial and social out-of-home permanency to stop the Tamariki review and the promise of service assistance. This vision was never intergenerational transmission of social procedural reform, we have four inquiries adequately resourced and by 2015 the disadvantage: safe and loving homes at the in progress at the time of drafting this Expert Advisory Panel on Modernising earliest opportunity. The extremely narrow commentary piece. The fairground ride has, Child, Youth and Family had inverted this view of causation evident in this analysis of course, come full circle. The over- narrative, focusing on the cost visited upon is consistent with the neo-liberal representation of tamariki Mäori in the the state and wider society by dangerous imagination. Responsibility is state child protection system is, as it always families rather than the damage done to individualised and neatly divorced from has been, a product of how the historic Mäori by state violence (Hyslop, 2017). There is a deep whakapapa to this discursive shift. The 1990s blitzkrieg of The over-representation of tamariki public sector readjustment essentially - moved the focus from whänau Maori in the state child protection system empowerment to whänau responsibility is, as it always has been, a product of how with minimal state assistance. The below- subsistence-level benefit cuts devised by the historic legacy of colonisation, structural Ruth Richardson echo the less-eligibility framework of the 19th-century poor laws inequality and institutional racism plays out (Hyslop, 2016). The avalanche of neo- in the lives of children and families. liberal reform was stabilised by the social development agenda of the 2000s Labour- led governments, with an overriding policy emphasis on employment as the antidote the deep structural inequalities which legacy of colonisation, structural inequality to social exclusion (Lunt, 2010). This presently characterise social life in Aotearoa and institutional racism plays out in the economic prescription was closely aligned New Zealand (Hyslop and Keddell, 2019). lives of children and families. with the soft neo-liberal ‘hand-up’ ideology of Tony Blair’s New Labour in the United Resistant narratives Rethinking the social contract Kingdom (justified in part by the This neo-liberal construction of child Much needs to be done. Real change individuated social mobility sociology of maltreatment as a product of deviant, requires a radical redistribution of power Anthony Giddens). Benefit levels were not irresponsible individuals, divorced from the and resources. Social workers need to raised in the Labour-led years, but a wider context of austerity, poverty, inequality, get closer to the lived realities of whänau Working for Families tax relief package was racism and postcolonial history, has not gone living in hard times. We need to rediscover introduced to incentivise low-wage work, uncontested. The final shape of the Oranga discretion and compassion, hear survivor consistent with the demands of globalised Tamariki Act reflects conflicted agendas voices and engineer local responses. We capitalist economics. and interests, specifically Mäori voices, and need to transfer authority, means and The social investment agenda of the includes principles related to whakapapa, mana to Mäori, not just responsibility. recent three-term National-led whanaungatanga, mana tamaiti and te And beyond this we need to confront the governments ratcheted the policy needle a Tiriti o Waitangi alongside the injunction deficiencies of the capitalist social form. little further to the right with the adoption to ensure that: ‘where children and young The market functions to perpetuate and of an actuarial accounting focus on the persons require care under the Act, they have intensify uneven accumulation. Call me future cost generated by failing citizens – (i) a safe, stable, and loving home from the old-fashioned, but if we are to live in an (Baker and Cooper, 2018). The 2015 Expert earliest opportunity; and (ii) support to egalitarian society where a semblance Advisory Panel report posted a target of address their needs’ (Oranga Tamariki Act of real freedom is possible, people need reducing forward liability associated with 1989, s4(1)(e)). The writing was clearly on decent housing, income security, education poor outcomes for Mäori by 25–30% the wall from 2014 for more small children and health services as part of the universal within five years (Modernising Child, (disproportionately Mäori) to be brought social contract. Social protection is the Youth and Family Panel, 2016, p.22). There into the permanent care system. Although pathway to child protection. The current is, frankly, more than a hint of eugenics in most informed commentators predicted this social wellbeing agenda falls well short of this prescription: the perception of the outcome, the state agency Oranga Tamariki this objective.

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 35 Child protection, capitalism and the settler state: rethinking the social contract

References Baker, T. and S. Cooper (2018) ‘New Zealand’s social investment Ministerial Advisory Committee on a Maori Perspective for the Department experiment’, Critical Social Policy, 38, pp.428–38, doi: of Social Welfare (1988) Puao-te-Ata-Tu (day-break): the report of the 10.1177/0261018317745610 Ministerial Advisory Committee on a Maori Perspective for the Hyslop, I. (2016) ‘Where to social work in a brave new neoliberal Department of Social Welfare, Wellington Aotearoa?’, Aotearoa New Zealand Social Work, 28 (1), pp.5–12, Modernising Child, Youth and Family Panel (2016) Expert Panel Final doi:10.11157/anzswj-vol28iss1id111 Report: investing in New Zealand’s children and their families, Hyslop, I. (2017) ‘Child protection in New Zealand: a history of the Wellington: Ministry of Social Development, https://www.msd.govt.nz/ future’, British Journal of Social Work, 47 (6), pp.1800–17 documents/about-msd-and-our-work/publications-resources/corporate/ Hyslop, I. (2019) ‘Oranga Tamariki – some food for thought’, blog post, 1 expert-panel-cyf/investing-in-children-report.pdf April, http://www.reimaginingsocialwork.nz/2019/04/oranga-tamariki- Parton, N. (2019) ‘Addressing the relatively autonomous relationship some-food-for-thought/ between child maltreatment and child protection policies and Hyslop, I. and E. Keddell (2019) ‘Child protection under National: practices.’, International Journal on Child Maltreatment: research, reorienting towards genuine social investment or continuing social policy and protection, https://doi.org/10.1007/s42448-019-00022-9 neglect?’, New Zealand Sociology, 34 (2), pp.93–122 Stanley, E. (2017) The Road to Hell: state violence against children in Jensen, T. and I. Tyler (2015) ‘“Benefits broods”: the cultural and political post-war New Zealand, Auckland: Auckland University Press crafting of anti-welfare common sense’, Critical Social Policy, 35 (4), Stanley, E., and S.M. de Froideville (2020) ‘From vulnerability to risk: pp.1–22 consolidating state interventions towards Mäori children and young Lunt, N. (2010) ‘Winning hearts and minds for the competition state’, Policy people in New Zealand’, Critical Social Policy, Studies, 31(1), pp.23–37, doi: 10.1080/01442870903368124 doi:10.1177/0261018319895203

Emily Keddell The case for an inequalities perspective in child protection n 2014, children living in the most relationship between living in high contributor. Specifically, in child deprived 10% of neighbourhoods in deprivation areas and contact with the protection, ‘child welfare inequalities can IAotearoa New Zealand had 21 times child protection system. be defined as unequal chances, experiences the chance of having a substantiated finding and outcomes of child welfare that are of child abuse than children living in the An inequalities perspective on the child systematically associated with social least deprived 10%, were 35 times more protection system advantage/disadvantage’ (Bywaters, 2015, likely to have a family group conference This pattern can be usefully understood p.9, emphasis added). An inequalities held about them, and over nine times more using an inequalities perspective (Bywaters, perspective on the child protection system likely to enter foster care (Keddell, Davie 2015; Bywaters, Brady et al., 2016; Bywaters draws attention away from individual and and Barson, 2019). Each step increase et al., 2019). Where there appear historical family-level causes of system contact to in deprivation resulted in a sequentially and seemingly intractable patterns of consider structural contributors and their higher chance of child protection system disproportionate representation, social underlying inequities (Bywaters, 2015). contact, clearly illustrating the systematic inequalities are considered the underlying This perspective highlights – similarly to a health inequities approach – the inherently Emily Keddell is an academic at the University of Otago. She researches the child protection system, political nature of the fundamental particularly decision making, algorithmic tools, inequalities and policy. She is a registered social inequities contributing to the expression of worker and a member of the Re-Imagining Social Work blogging collective. inequalities in system contact; disparities

Page 36 – Policy Quarterly – Volume 16, Issue 1 – February 2020 in people’s experiences once in the child Barson, 2018). This resonates with findings further understand disproportionality protection system; and differences in the in other countries that show a reduction in related to class and ethnicity (Cram et al., outcomes of it. In doing so, an inequalities ethnic disparities as deprivation increases. 2015; Drake et al., 2011). Increases in true perspective draws attention to the policy, In some studies, ethnic group rates equalise risk may be due to over-exposure to family community, systems, cultural, institutional or even reverse in high deprivation areas stressors, especially poverty, the detrimental and historical contexts, and service- – that is, the majority (white) ethnic group effects of colonisation, and lack of access access related elements that mediate the has higher rates than minority groups to culturally responsive and well-matched relationships between macro political (Wulzcyn et al., 2013; Putnam-Horstein et services (Love, 2017). Interacting with this contexts and family life. al., 2013; Bywaters, Kwhali et al., 2016). risk is the effect of multiple types of bias, An inequalities perspective focuses on Third, the concept of demand and including exposure bias (poorer several key concepts. First, the concept of supply of services helps understand the neighbourhoods with higher Mäori social gradients as opposed to discrete system-related factors that can operate in populations are more exposed to notifiers differences or ‘gaps’ shows how differences tandem with demographic inequities to to the child protection system), surveillance between groups are graded, social position- shape contact in nuanced ways (Bywaters et bias (heavier surveillance and reporting of sensitive changes rather than dichotomised al., 2018). For example, does greater supply families), instrumental bias (differential categories (ibid.). If there is an angled line of child protection services result in more institutional responses that ratchet Mäori of increasing interventions in any system relating to an axis of inequity, this is suggestive of a systematic relationship with that factor. The opening example above Lack of adoption of an inequalities describes a social gradient based on perspective, and action on structural deprivation, with the relative differences between each end of the gradient described factors, is in part due to the policy (Keddell and Davie, 2018). Second, an inequalities perspective framing of the last four years. takes a strongly intersectional approach, recognising the interrelated nature of dimensions of inequality such as class, ethnicity, gender, age, location, disability children in care? Similarly to UK findings, into the system more than other groups) and others (Bywaters, Kwhali et al., 2016). there is some evidence of an ‘inverse and direct bias (referrers and practitioners A social gradient might exist based on a intervention’ rule in Aotearoa, as children in within the child protection system perceive single type of inequity, but add another and highly deprived small neighbourhoods in risk for Mäori to be higher than for non- it becomes more complicated, suggesting less deprived larger regions have a higher Mäori despite similar circumstances) interrelated structural or system factors. rate of placement than equally deprived (Keddell and Hyslop, 2019b). These biases For example, adding the intersectional children in high or mid-deprived regions are similar to those reported in health element of ethnicity to deprivation shows (Keddell, Davie and Barson, 2019). There settings, affecting pathways into and out of that increasing deprivation increases the are more subtle regional differences, as well. services (Harris et al., 2018). rates for all ethnic groups, but not equally, Northland has similar rates of substantiations and nor is the effect equal due to differences as Gisborne, but double the placement rate. New ‘child-focused’ legislation obscures in population share in different deprivation In Gisborne, placement rates are only 10% structural determinants quintiles. For example, the Mäori rate of substantiations, but they are over two Lack of adoption of an inequalities increases to the highest rate in the most times higher in Wellington (23%), Hawkes perspective, and action on structural deprived quintile. Population share for Bay (28%) and Canterbury (35%) (ibid.). factors, is in part due to the policy framing Mäori also increases as deprivation These location differences, even among of the last four years. This framing drew increases, while the Päkehä population areas with comparable demographics, on highly individualised ‘child-focused’ declines. Together, high deprivation and suggest that contact rate disparities are discourses, and, while well-intentioned, high population share together lead to high potentially associated, in part, with demand it made structural determinants invisible. Mäori rates overall. However, beneath this and supply factors, such as child protection For example, the policy direction broad-level finding, the gradient for non- services supplied per population, access to emanating from the ‘modernising child Mäori groups – especially Päkehä – is prevention services, and differences in protection reforms’ were laden with the steeper across deprivation levels than for notification norms and processes, site language of child trauma, being child Mäori, meaning that disparities between cultures and processes, and court responses focused, ensuring children have ‘safe and Mäori and other groups reduce as to applications (Keddell and Hyslop, 2019a). loving homes at the earliest opportunity’, deprivation increases, nearly equalising Finally, the concepts of the risk-bias and increasing resources for children in the between Mäori and Päkehä in the most debate provide a useful conceptual tool in permanent care system. These features are deprived quintile (Keddell, Davie and the Aotearoa New Zealand context to not bad per se, but as a package of policy

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 37 The case for an inequalities perspective in child protection

framings together they lead resource whänau, as much as individual trauma interconnections. Overall, an acceptance distribution and the nature of intervention inflicted on a child. of the social conditions and structures in a direction that reinforces a focus on shaping family life requires a government individual children, not the causes of Integrating an inequalities perspective to enact policy that addresses those factors. their contact with the system, leading to amplifies the importance of social policies an ‘ambulance at the bottom of the hill’ that prevent child protection contact This kind of political reorientation approach. Without an understanding of upstream involves a commitment to a meaningful the structural contributors, responses The politics of those reforms clearly politics of redistribution and the re- become targeted at children in a narrow promoted a view that the child protection building of family-centred social services and circumscribed way, excising children system should be residual in nature, … Struggling families have an equal from their social and familial contexts acting to assess risk and intervene once social right to meet their children’s both in services and in practice. The a certain threshold has been reached, but needs. Policies that provide for adequate reality is, however, that most children are not address the known causes of contact: basic income, housing and affordable reliant on their family and whänau well- poverty, institutional racism, and lack of quality child-care facilities are required. being to ensure their own. The increasing access to support services that promote A lack of integrated social policy and emphasis on psychological harm (trauma) community, social cohesion and humane, accessible community support services to children within a ‘child-focused’ relationship-based responses. They means that poorer families are funnelled discourse makes invisible the causes of disconnected the child protection project into the child protection system; poor outcomes as significantly related to from the policy drivers of inequities. An effectively as a social service of last social inequities affecting families and inequalities approach shows their deep resort. (Hyslop and Keddell, 2018, p.10)

References Bywaters, P. (2015) ‘Inequalities in child welfare: towards a new policy, Keddell, E. and G. Davie (2018) ‘Inequalities and child protection system research and action agenda’, British Journal of Social Work, 45 (1), contact in Aotearoa New Zealand: developing a conceptual framework pp.6–23, doi: 10.1093/bjsw/bct079 and research agenda’, Social Sciences, 7 (6), pp.89–100 Bywaters, P., G. Brady, L. Bunting, B. Daniel, B. Featherstone, C. Jones, K. Keddell, E., G. Davie and D. Barson (2018) ‘Building the evidence base: Morris, J. Scourfield, T. Sparks and C. Webb (2018) ‘Inequalities in child welfare inequalities in Aotearoa New Zealand’, paper presented English child protection practice under austerity: a universal at the Social Work and Social Policy, Dublin challenge?’, Child and Family Social Work, 23 (1), pp.1365–2206, Keddell, E., G. Davie and D. Barson (2019) ‘Child protection inequalities doi: 10.1111/cfs.12383 in Aotearoa New Zealand: social gradient and the “inverse intervention Bywaters, P., G. Brady, T. Sparks and E. Bos (2016) ‘Child welfare law”’, Children and Youth Services Review, doi: https://doi. inequalities: new evidence, further questions’, Child and Family Social org/10.1016/j.childyouth.2019.06.018 Work, 21 (3), pp.369–80, doi: 10.1111/cfs.12154 Keddell, E. and I. Hyslop (2019a) ‘Networked decisions: decision-making Bywaters, P., J. Kwhali, G. Brady, T. Sparks and E. Bos (2016) ‘Out of thresholds in child protection’, British Journal of Social Work, doi: sight, out of mind: ethnic inequalities in child protection and 10.1093/bjsw/bcz131 out-of-home care intervention rates’, British Journal of Social Work, Keddell, E. and I. Hyslop (2019b) ‘Ethnic inequalities in child welfare: the doi: 10.1093/bjsw/bcw165 role of practitioner risk perceptions’, Child and Family Social Work, 24 Bywaters, P., J. Scourfield, C. Webb, K. Morris, B. Featherstone, G. Brady, (4), pp.409–20, doi: doi:10.1111/cfs.12620 C. Jones and T. Sparks (2019) ‘Paradoxical evidence on ethnic Love, C. (2017) ‘Family group conferencing: cultural origins, sharing and inequities in child welfare: towards a research agenda’, Children and appropriation – a Maori reflection’, in G. Burford and J. Hudson (eds), Youth Services Review, 96, pp.145–54, doi: https://doi.org/10.1016/j. Family Group Conferencing: new directions in community centred child childyouth.2018.11.042 and family practice, Abingdon: Routledge Cram, F., P. Gulliver, R. Ota and M. Wilson (2015) ‘Understanding MartinJenkins (2019) Social Service System: the funding gap and how to overrepresentation of indigenous children in child welfare data: an bridge it, MartinJenkins for the Social Service Provider Association application of the Drake risk and bias models’, Child Maltreatment, 20 Putnam-Hornstein, E., B. Needell, B. King and M. Johnson-Motoyama (3), pp.170–82, doi: 10.1177/1077559515580392 (2013) ‘Racial and ethnic disparities: a population-based examination Drake, B., J.M. Jolley, P. Lanier, J. Fluke, R.P. Barth and M. Johnson-Reid of risk factors for involvement with child protective services’, Child (2011) ‘Racial bias in child protection? A comparison of competing Abuse and Neglect, 37 (1), pp.33–46, doi: http://dx.doi. explanations using national data’, Pediatrics, 127, pp.471–8 org/10.1016/j.chiabu.2012.08.005 Harris, R., D. Cormack, J. Stanley, E. Curtis, R. Jones and C. Lacey Wulczyn, F., R. Gibbons, L. Snowden and B. Lery (2013) ‘Poverty, social (2018) ‘Ethnic bias and clinical decision-making among New Zealand disadvantage, and the black/white placement gap’, Children and Youth medical students: an observational study’, BMC Medical Education, 18 Services Review, 35 (1), pp.65–74, doi: http://dx.doi.org/10.1016/j. (1), doi: 10.1186/s12909-018-1120-7 childyouth.2012.10.005 Hyslop, I. and E. Keddell (2018) ‘Outing the elephants: exploring a new paradigm for child protection social work’, Social Sciences, 7 (7)

Page 38 – Policy Quarterly – Volume 16, Issue 1 – February 2020 David Hanna Child welfare system: a perfect storm? The child welfare system: a canary in are processed through ‘co-design’ Post- through a major change process. They society’s coal mine? it forums. This results in a ‘new’ agency, wanted to ‘do better’ for children. This A ‘child welfare’ system is the canary new logo, new leadership, new approach, worthy aim led to more changes to the in the mine of society. All the failings all with a stated desire to be very different system: in particular, a revision of the child and stresses of our nation end up being from the old. But are they? wellbeing and welfare legislation and concentrated and reflected in this system. This very expensive process could creation of a child and youth wellbeing The compound effects of punitive policies, unintentionally be fuelling a perfect storm entity. While these initiatives do have the colonising practice, underinvestment, poor for an already stressed system. In addition potential to lift the game, they also risk housing, poverty, hyper-consumerism and to the issues mentioned above around bringing more confusion into an already relational deserts have all fuelled trauma poverty, colonisation and the resulting overcomplicated and struggling system. As in stress-saturated households. This toxic stress, a major restructuring can a simple example, removing the word trauma and abuse is passed down through amplify this storm, as we have seen with: ‘vulnerable’ from the Ministry of Children’s generations and the family pecking order, • an exodus of dedicated and skilled staff name raises confusion about which with the child becoming the final ‘dumping who had hung on in very challenging children Oranga Tamariki serves. ground’. A child welfare system has to situations (this knowledge is not It is a common view of people respond to the accumulated systemic quickly or easily replaced); experienced in working in child welfare failure. To say that the work is tough is an • lack of historical understanding of the that much of this new system is not new at understatement of epic proportions. factors that led to the situation; all. We are witnessing the same old mistakes I have worked for over 15 years as part • lack of learning from past initiatives: being made by a central state agency that of the Wesley Community Action team to for example, a royal commission set up is largely flying blind in many areas. This support and sustain a stable and vibrant after a new system; is happening at a time when the service that works with the ‘hard’ end of • over-reliance on external consultants compounding effect of negative social tamariki and their whänau in this system who lacked understanding of the issues statistics is moving whole communities (the top 3% in relation to complexity and and a long-term commitment to dangerously close to tipping points. Given need). Wesley also works, outside of change; how we have endured years of government contracts, alongside • an expert panel which lacked in-depth underfunding, seeing much of the precious marginalised communities, many of whom understanding of sound social work new investment being wasted by a are ‘products’ of the state welfare and practice and which adopted dangerous Wellington-centric system is highly justice systems and who understandably assumptions (e.g., in removing babies frustrating. To handle this pressured fear it. and children as a long-term solution); situation, the highly managed corporate • the disestablishment of the NGO (non- culture expands. This happens despite the Restructuring: the answer to complex issues? governmental organisation) and iwi rhetoric of partnership and at the expense This experience shapes my view of the advisory forum; of growing trusting and robust collective current state of our child welfare system. • imposition of a managerial regime that relationships across the sector. These Like the families and whänau we work lacked knowledge of New Zealand relationships are the foundation of effective with, we see the Wellington-centric linear cultural context and social work practice. policy solutions as another Groundhog practice; and Day. Restructuring is almost always the • an under-resourced NGO sector Solutions: is it all about relationships? preferred change lever for ministers through years of chronic underfunding. Ironically, the key to improving our system wanting to leave a legacy. Consultants are Enter the new Labour-led government, – from an NGO perspective – isn’t new engaged, experts are gathered and people which inherited a key department midway either. We are all actors in the one system and, as such, interdependent. The NGO David Hanna (fourth-generation tangata tiriti) has worked as a national youth director, a policy sector has valuable insights and wants to manager in central government and a consultant for the World Bank, and is now director of Wesley contribute to improvements, challenging Community Action. He led the development of the New Zealand Youth Suicide Prevention Strategy and Youth Development Strategy Aotearoa, championing community-led development in communities the assumption that we are mere ‘providers across New Zealand. of services’ to the government agency.

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 39 Child welfare system: a perfect storm?

A key starting point is understanding First and foremost, I have learnt over between all key players. Equally important how we adjust to working with complexity. the years that whänau-led is more effective is linking with other national policy fields To quote from a recent report on working than and very different from whänau- such as housing, income support and the with complexity: centred. Any change, to be sustainable, has like that have an impact on family stress. We are not lone rangers, and we to be owned by the person/group seeking Weaving through all these levels, we shouldn’t seek to be. Our strength lies in change. Given the power imbalance in the need to give life to te Tiriti o Waitangi. The positive collaboration, in honesty, openness relationship between a paid social worker whole system needs to appreciate that the and generosity in sharing what does and and whänau, unless the relationship is indigenous culture of Aotearoa holds doesn’t work – and in hearing, whänau-led, then the power remains with profound insight and strengths for how we acknowledging and responding to others’ the professional. Successful solutions are sustain positive relationships between views on this, too. (Davidson Knight et al., seldom imposed. peoples and our natural world. Instead of 2017) The next dimension of relationships is being viewed simply as something to be In short, this means relationships are a community and local one. This involves adhered to, te Tiriti is a potent, unique the lifeblood of the system. There are four mana whenua, neighbourhood actors, strength of our communities and child principal domains where healthy businesses, sports clubs, community welfare system in Aotearoa. A Tiriti o relationships are essential to sustain a organisations – the range of agencies that Waitangi informed-approach would cease vibrant system. Valuing the intervention have something to offer whänau under mining and remove the need for canaries logic between these domains in critical. stress. The Child Rich Communities to acts as beacons of risk. Primary are the relationships within the initiative supported by Barnardos, Plunket,1 whänau (encompassing connections UNICEF and Inspiring Communities is 1. https://www.youtube.com/watch?v=pG5pUkePNLg&t=4s between tamariki, whänau, hapü/extended highlighting the value of recognising and family), and next is the relationship with mobilising these community assets to Reference the key ‘professional’ worker (state or support positive outcomes for children Davidson Knight, A., T. Lowe, M. Brossard and NGO/iwi), then the network of under stress. J. Wilson (2017) A Whole New World: relationships at a community/regional Holding all these relationships is the funding and commissioning in complexity, level. Encompassing these is the national national domain. This entails monitoring, Newcastle: Centre for Knowledge, framework of legislation, policies and researching, resourcing and generally Innnovation, Technology and Enterprise, resources. The intervention logic of each supporting a healthy flow of relevant Newcastle University Business School and dimension is to enhance wellbeing within information across the whole system and Digital Civics the prior domain. helping maintain healthy relationships

Claire Achmad Realising treaty-based protection in Aotearoa’s child welfare system n 2020 in Aotearoa New Zealand it is but official statistics show that Mäori this must be done in ways that strengthen clear that a significant opportunity tamariki are disproportionately more the system to be holistic in its engagement Iexists to strengthen our child welfare likely to enter state care, and to experience with families and whänau. After all, it is system. Embracing this opportunity is abuse in state care. We must strengthen the children and their families and whänau imperative. Not only are the numbers of system in ways that prioritise the needs and who are the people that the system exists children in state care at an all-time high, rights of children and tamariki. Moreover, to serve. The child welfare system is there to Dr Claire Achmad is a children’s rights expert, having worked in legal and policy roles in protect the welfare of children and tamariki New Zealand and internationally across government, intergovernmental organisations and non- and to prevent harm in the short term. We governmental organisations. She is currently General Manager Advocacy at Barnardos, a member of the Children’s Convention Monitoring Group, and a steering committee member of Children’s Rights must never lose sight of the fact, however, Alliance Aotearoa New Zealand. The views expressed in this reflection piece are the author’s own. that the system can and should enable

Page 40 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Figure 1: The child welfare system and associated underpinning framework and structural forces

C. I. Achmad, 2020 positive long-term outcomes in children’s repercussions too. Without intentional and lives, and the lives of their families and Te Tiriti and the UN comprehensive counter-actions, this can whänau. For example, the child welfare Convention ... make end up creating a looping effect of system can help families and whänau to structural stressors. This leads to negative effectively process and manage the impacts ... clear that all shaping impacts coming from multiple of intergenerational trauma, supporting children and tamariki directions, leading to outcomes inconsistent family and whänau hauora. This is with children’s rights and positive family especially powerful if coupled together have inherent dignity and whänau outcomes. with preventative approaches. A rich evidence base illustrates that when families and mana, are Te Tiriti and the United Nations Convention and whänau are thriving, it is more than taonga who must on the Rights of the Child: complementary likely that their children and tamariki are protective frameworks that can provide thriving too. receive appropriate solutions Our efforts to strengthen Aotearoa’s An opportunity exists, however, to child welfare system so it effectively serves protection, and that make real the promise of the existing children, tamariki and their families and family and wha-nau underpinning protective frameworks in whänau need to pay attention to the the lives of children and tamariki and structural forces that shape our system. are the bedrock of their families and whänau in Aotearoa These structural forces also have a shaping New Zealand. Te Tiriti o Waitangi and the impact on the lives of children, tamariki, children’s and United Nations Convention on the Rights families and whänau at the day-to-day tamariki hauora and of the Child are two integral protective level. These forces can be cultural, frameworks in the context of Aotearoa economic, environmental, legal, political, holistic wellbeing. New Zealand’s child welfare system. They social and technological. They can, of are complementary instruments: both course, be shaping forces with positive and/ have at their heart the notion of collective or negative effects. In today’s context, the wellbeing. The texts of both te Tiriti negative effects of some of these structural resources are among those with a day-to- and the convention are protective of the forces are significant: inequality and day impact. The layering of such structural concept of children thriving best as part of poverty, abuse, neglect and family violence, stressors on children, families and whänau a collective – namely, a family or whänau. mental distress among families and flows on to impact the child welfare system, The convention takes a holistic view of the whänau, and restrictions on availability of triggering broader system-level child and their connections to family, and

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 41 Realising treaty-based protection in Aotearoa’s child welfare system te Tiriti makes clear the essential nature of To work, solutions need to be system that seeks to uphold and give life to connections among tangata whenua to the mana-enhancing te Tiriti and the Convention on the Rights wider collective – including hapü, iwi and Taken together, te Tiriti and the UN of the Child should lead to a system that innate whakapapa connections – and the Convention on the Rights of the Child holds the inherent dignity of each child, central importance of self-determination. make clear that all children and tamariki family and whänau central. This should The potential of both te Tiriti and the have inherent dignity and mana, that they create an approach that is mana-enhancing UN Convention to have a greater protective are taonga who must receive appropriate for all who engage with it. The experience effect in the lives of children and tamariki protection, and that family and whänau can be one that enables children, families and in the functioning of our child welfare are the bedrock of children’s and tamariki and whänau to experience a child welfare system is huge. The strengthening effect of hauora and holistic wellbeing. This is system where children’s rights are protected these frameworks within the child welfare a strong foundation for Aotearoa New and respected, families’ and whänau’s system remains untapped. To date, we Zealand’s child protection system to centre specific needs and experiences are central cannot say that either of these treaties has upon and build from. If implemented, in decision making, and all involved can been implemented in a manner that fulfils these protective frameworks can help to participate in ways in which their views are their true potential in the lives of Aotearoa’s address the structural forces influencing meaningfully heard. A system where help children and tamariki, including in the the lives of children, families and whänau is provided early to prevent child harm, and context of the child welfare system. There and shaping the child welfare system. where this is done in collaboration across are, however, some notable recent signals Such implementation can also help to the system, working proactively with that we are finally on the precipice of an ensure that the child welfare system itself families and whänau. To fulfil the promise age of implementation. This is observed in takes consideration of the holisitc rights of te Tiriti and the Convention in the child developments such as new sections 5(1)(b) and needs of children and their families welfare system would be to make real the (i) and 7AA of the Oranga Tamariki Act and whänau, to better prevent harm rights and obligations of these fundamental 1989; the Child and Youth Wellbeing and to be more responsive in protecting underpinning frameworks, for the benefit Strategy with its principles reflecting the and promoting their rights and needs in of Aoteroa’s children, tamariki, families and Convention and te Tiriti; and the enduring ways (see Figure 1). whänau. government’s pledge of recommitment to At its heart, taking an approach to the Convention in November 2019. Aotearoa New Zealand’s child welfare

Page 42 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Jonathan Boston, David Bagnall and Anna Barry

Enhancing long-term governance Parliament’s vital oversight role Abstract This article explores how the New Zealand Parliament scrutinises the quality of long-term governance and considers how such scrutiny could be made more systematic, proactive and rigorous. The analysis is based, among other things, on extensive interviews with current and former MPs and other active participants in the policy process. Interviewees were generally critical of the existing system of parliamentary scrutiny: it was variously described as ‘weak’, ‘inadequate’, ‘cursory’, ‘patchy’ and ‘unduly partisan’. Scrutiny of long-term matters – such as governments’ strategies, foresight, planning and risk management – was seen as inferior, on average, to other forms of scrutiny, especially the scrutiny of legislation. Drawing on the suggestions of interviewees and the experience of legislatures in several other parliamentary democracies, we outline and assess various options for parliamentary reform. Keywords Parliament, accountability, scrutiny, long-term governance, reform

David Bagnall is the Principal Clerk (Procedure) in the Parliamentary Wellington. Jonathan Boston is Professor of Public Policy in the Wellington Law and Practice Team in the Office of the Clerk of the House of School of Business and Government at Victoria University of Wellington, Representatives. Anna Barry has completed degrees in health sciences and a former Director of the Institute of Policy Studies and the Institute for and commerce and has recently been a research assistant and tutor in the Governance and Policy Studies. Wellington School of Business and Government at Victoria University of

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 43 Enhancing long-term governance – Parliament’s vital oversight role

arliament stands at the apex of New its triennial review of the standing orders, Zealand’s system of government Any analysis which provides an opportunity for P(Geddis, 2016; Harris and Wilson, of how Parliament to update its rules and practices. 2017). It performs four vital functions: Similarly, both the State Sector Act 1988 representing citizens, enacting legislation, legislatures and the Public Finance Act 1989 have been providing governments, and holding under review (State Services Commission, governments to account. This article scrutinise 2018; Treasury, 2018) and some of the focuses on the last one of these functions proposed changes have implications for – variously referred to as parliamentary the quality Parliament’s role in scrutinising the quality oversight, scrutiny and accountability. of long-term governance. These include Effective scrutiny of the executive branch of long-term requirements for: of government by the legislature is • Budget policy statements to explain the critically important. It serves to incentivise governance nature of the ‘wellbeing objectives that good governance, enhance public trust in will guide the Government’s Budget governmental institutions, and underwrite raises the question decisions’ and how those ‘objectives are the legitimacy of the democratic political of what the ‘long intended to support long-term system. wellbeing in New Zealand’; Much has been written over the years term’ means and • the Treasury to produce periodic about how legislatures, both in New reports that provide a comprehensive, Zealand and in other parliamentary what constitutes a balanced and accessible assessment of democracies, scrutinise the performance the state of wellbeing in New Zealand, of ministers and public agencies (i.e. ‘long-term policy with indicators being selected and the departments, Crown entities, state-owned reports prepared using the Treasury’s enterprises, etc.), the specific parliamentary matter’. ‘best professional judgements’; mechanisms that enable such scrutiny (e.g. • departments to prepare periodic ‘long- oral and written questions of ministers, term insights briefings’; select committee inquiries and formal • the public service to support ‘the debates) and the strengths and weaknesses climate change and cascading risks) Government to pursue the long-term of these mechanisms (Office of the (Frieling and Warren, 2018)? Is there public interest’; and Auditor-General, 2019; White, 2015). To sufficient public investment in cost- • departmental chief executives to date, however, most assessments of the effective preventative measures? More support their minister ‘to act as a good quality of parliamentary scrutiny have generally, are the interests of future citizens steward of the public interest’, including adopted a backward-looking, rather than being adequately protected and are by ‘providing advice on the long-term a forward-looking, perspective. That is to governments giving proper consideration implications of policies’ (see Public say, the primary focus has been on how to well-established principles of Finance (Wellbeing) Amendment Bill well legislatures hold ministers and public intergenerational justice (Brown Weiss, and Public Service Legislation Bill). agencies to account for their past 1989)? Finally, are such matters being Our analysis proceeds as follows. First, performance. By contrast, little attention properly monitored and investigated by we briefly outline the research on which has been given to how legislatures hold legislators? If not, what reforms might be our analysis is based. Second, we comment ministers and public agencies to account needed? briefly on the politics of time, noting for the quality of their long-term To date, these questions, particularly especially the presentist bias that governance – or what can be termed when viewed through a parliamentary lens, characterises democratic systems of ‘anticipatory governance’ (Boston, 2016; have received remarkably little attention in governance and its implications for Fuerth and Faber, 2013). For instance, how the relevant international literature. For parliamentary oversight. Third, we discuss well are governments planning for the instance, while the literature on fiscal and the current methods, and assess the quality, future? Are ministers and their officials environmental sustainability is vast, of parliamentary scrutiny in New Zealand, exercising sufficient foresight and prudent assessments of how – and the effectiveness with particular reference to long-term stewardship (Menzies, 2018)? Are with which – legislatures hold governments matters of policy and governance. Fourth, important societal and environmental to account for the sustainability of their we briefly survey how legislatures in several trends being actively monitored, reported strategies and policies are few and far other parliamentary systems scrutinise the and investigated (Parliamentary between. The situation in New Zealand is quality of long-term governance. Finally, Commissioner for the Environment, no exception. based on our research, we outline how our 2019)? Are known risks and looming The purpose of this article is to help Parliament’s systems, structures and problems being effectively mitigated and redress the balance. It is a timely exercise, procedures might be amended to ensure managed? Is vital public infrastructure not least because Parliament’s Standing better scrutiny of long-term matters and sufficiently resilient (e.g. in the face of Orders Committee is currently undertaking that intergenerational issues are embedded

Page 44 – Policy Quarterly – Volume 16, Issue 1 – February 2020 firmly within Parliament’s day-to-day societal or environmental impacts are operations. It is no relatively hidden or distant (e.g. a decade surprise that or more in the future) tend to receive a low Research methods political priority. Indeed, sometimes they This article draws primarily on the governments are ignored altogether until their impacts findings of a report published in mid- become so widespread and visible that a 2019 by the Institute for Governance and prioritise governmental response is politically Policy Studies at Victoria University of unavoidable. Wellington (Boston, Bagnall and Barry, matters of It is no surprise that governments 2019). The report, in turn, was based on prioritise matters of immediate public a partnership between the Office of the immediate public concern, as this reflects the structure of Clerk of the House of Representatives and political incentives in contemporary the institute during 2018–19. In preparing concern, democracies. Human temporal horizons our report, we undertook a thorough are often limited: voters tend to be review of the relevant international as this reflects impatient, and governments want to be re- and domestic literature on long-term the structure elected. Hence, democracies display a governance, parliamentary scrutiny and short-termist or presentist bias (Healy and related issues, and conducted close to 60 of political Malhorta, 2009; Thompson, 2005, 2010). semi-structured interviews with current Democratically elected legislatures are and former MPs, government officials, incentives in naturally and inescapably influenced by parliamentary staff and other researchers, such forces. In seeking to hold governments both in New Zealand and overseas (ibid., contemporary to account, parliamentarians have strong pp.28–32). Those interviewed in New incentives to focus on governments’ recent Zealand included 14 current MPs (five democracies. mistakes and misdemeanours rather than National, five Labour, three Green and two the rigour or adequacy of their strategising, New Zealand First MPs), and six former foresight, forward planning or risk MPs from a range of parties, including assessments. Likewise, MPs have powerful former ministers and backbenchers. A violence, illnesses and accidents. In other reasons to concentrate on the politically particular effort was made to secure the cases, policy problems come and go, or salient matters of today, rather than the views of a representative sample of MPs their impacts wax and wane; in some cases critical, but seemingly distant, challenges at different stages of their parliamentary their scale or seriousness may diminish, of tomorrow. careers, from different ethnic and perhaps because policy interventions Fortunately, these myopic propensities professional backgrounds, and with have become more effective (e.g. due to in democratic processes, along with their experience on a range of select committees. better treatments for chronic diseases). In causes, are well understood. Knowing of Additionally, we hosted a workshop with yet other cases, policy problems increase the risks, governments have not been government officials and other relevant over time: so-called ‘creeping problems’, inactive. Indeed, across the OECD multiple stakeholders, undertook exploratory case like climate change, ocean acidification, remedies have been proposed and many studies, conducted a survey of legislatures micro-plastic pollution, and the increasing implemented (Boston, 2017a, 2017b; in Commonwealth jurisdictions, and threats to privacy from public and González-Ricoy and Gosseries, 2016). For received detailed feedback on our initial private surveillance fall into this category. instance, in some cases important decisions findings and proposals from numerous Such problems tend to emerge slowly, have been deliberately delegated to people. incrementally and often imperceptibly; independent bodies – ones that are they are thus largely ‘out of sight and out expected to be less influenced than elected The politics of time of mind’ until certain ‘tipping points’ are officials by short-term political pressures. Any analysis of how legislatures scrutinise reached. The transfer of key decisions on the the quality of long-term governance raises While dividing time into neat bundles implementation of monetary policy to the question of what the ‘long term’ means or defining ‘long term’ presents problems, central banks in most OECD countries is and what constitutes a ‘long-term policy several matters are relatively a good example. Alternatively, governments matter’. In practice, it is hard to draw tidy uncontroversial. To start with, there are have instituted substantive and procedural lines between different time periods (e.g. strong political pressures for governments ‘commitment devices’ (Reeves, 2015): these short-term, medium-term and long-term). and legislatures to focus on urgent issues, aim to protect long-term interests by Similarly, it is difficult to divide policy notably those which generate significant requiring governments to make decisions issues neatly according to their temporal public concern (e.g. because of their that they might otherwise prefer to avoid relevance or impacts. After all, many policy serious near-term economic, social or (e.g. setting long-term targets) or making issues – and their effects – are enduring: environmental effects) (Jacobs, 2011, 2016). it harder politically for them to abandon think of crime, substance abuse, family As a result, policy issues where the main prudent policy settings (e.g. by embodying

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 45 Enhancing long-term governance – Parliament’s vital oversight role

Table 1: Multiple layers of parliamentary scrutiny accountability system, which is mandated Public through the statutory framework for public Public Media sector management and provides the vital scrutiny Expert commentators supply of information that makes scrutiny possible. This includes the various regimes Members Ministers of financial management and performance Political Select commitees Cabinet committees scrutiny management, and the related monitoring House Cabinet and reporting requirements, and internal controls within public agencies. The Officers of Parliament Monitoring agencies parliamentary commissioner for the Institutional Parliamentary agencies Cabinet rules and environment’s recent (2019) report on New layer Rules and procedures requirements Zealand’s environmental reporting regime has highlighted the critical importance of Statutory and administrative reporting requirements such mechanisms for good long-term Formal governance. accountability Internal agency controls and business performance processes All four layers of scrutiny are vital for a healthy parliamentary democracy. Overall, Key: Legislative Executive our research indicated that while most of Source: Boston et al., 2019, p.63. these layers in New Zealand are relatively effective, the scrutiny provided by the principles of fiscal responsibility or reinforcing each other. Collectively, within political layer is generally regarded as ecological sustainability within legislation). a parliamentary democracy, they generate superficial or lacking in impact, and rarely These efforts are based on a crucial and multiple layers of scrutiny. In other words, engages with long-term matters. Certainly not unreasonable assumption, namely that the performance of ministers and their this was the assessment of many, if not political incentives are not immutable; they officials is scrutinised through a range of most, interviewees. And their views were can be tweaked and redirected. Hence, mechanisms. At least four distinct layers largely confirmed through our case studies myopia need not be triumphant: the long can be delineated (see Table 1). and other investigations. Our findings can term can be brought into sharper political First, governments face ongoing, and be summarised as follows. focus and the temporal horizon of decision often intense, public scrutiny. This includes First, many interviewees maintained makers can be stretched. Bear in mind, too, the activities of interest groups, businesses, that parliamentary scrutiny in New Zealand that most citizens and those who represent researchers, think tanks, the courts, the compares unfavourably with that in other them care deeply about the future – among media and social media. Second, there is advanced democracies. The scrutiny of other things, they desire a safe prospect for the political layer of scrutiny. This is the legislation was regarded as a notable themselves and their offspring. The persistent – and sometimes merciless – exception. Interviewees variously described challenge is how to design our political questioning of ministers and their officials existing oversight arrangements as ‘weak’, institutions so that these ethical norms by MPs, whether through questions and ‘inadequate’, ‘cursory’, ‘patchy’ and ‘unduly receive the attention they deserve. Our debate in the House, select committee partisan’. Such assessments were shared by focus in what follows is on the parliamentary processes or other forums. Much of this both current and former MPs, and by MPs dimension of this challenge. political scrutiny is driven by constant from across the House. Their views were inter-party competition for electoral also consistent with the evaluations of Parliamentary scrutiny in New Zealand: success. Third, there is an institutional layer numerous officials and outside observers. a brief assessment of scrutiny. This complements and assists This is not to suggest that the scrutiny Accountability, in the sense of being the political scrutiny conducted by MPs. It activities of select committees (e.g. via their answerable to someone for something, includes the work of: a) the three officers review of the Estimates or the conduct of takes many forms (Mulgan, 2000; Office of Parliament (i.e., the Office of the inquiries) are generally poor. But by of the Auditor-General, 2019). For Auditor-General, the parliamentary comparison with their counterparts in instance, useful distinctions can be made commissioner for the environment and the many other jurisdictions (e.g. Australia and between political (electoral or democratic) ombudsman; b) the two parliamentary Britain), our select committees undertake accountability, administrative (bureaucratic agencies (i.e., the Parliamentary Service, relatively few substantial inquiries. or organisational) accountability, legal which includes the Parliamentary Library, Landmark investigations which generate accountability, financial accountability and and the Office of the Clerk, which includes strong public interest or significant policy professional accountability. In the political Select Committee Services and the reforms are few and far between. arena all these forms of accountability Parliamentary Law and Practice team); and Second, and related to this, we are operative to one degree or another, c) the formal rules and procedures of the undertook a review of 30 select committee and with varying levels of effectiveness. House, which trigger and facilitate scrutiny inquiries conducted between late 2011 and Invariably, they overlap and interact, often processes. Finally, there is the formal late 2018. A key aim was to investigate the

Page 46 – Policy Quarterly – Volume 16, Issue 1 – February 2020 extent to which such inquiries gave approach should be to shape the substantive consideration to long-term It is no institutional layer that provides policy issues, including assessments of opportunities for and supports political major government strategies, significant surprise that scrutiny, so that expectations of good societal or environmental trends, or the governments scrutiny can influence and improve mitigation and management of risks. The governance. results were unambiguous: consideration prioritise In all likelihood, the political layer of of such matters was limited, ad hoc and scrutiny in our governmental system unsystematic. Equally, the use of foresight matters of would be stronger if there were significantly techniques (e.g. horizon scanning and more MPs (e.g. 150+ rather than 120), an scenario analyses) by select committees has immediate influential upper house, and a longer been rare, and questions of inter- parliamentary term (e.g. four or five years). generational fairness typically receive little public concern, But constitutional reforms of this nature attention. are not possible without the support of the Third, we undertook several case as this reflects majority of voters (e.g. via a referendum). studies to investigate how much attention the structure Currently, the prospects of such support select committees give to major long-term are low. Realistically, therefore, any reforms government strategies (e.g. protecting of political to improve parliamentary scrutiny of the biodiversity) and future-focused reports quality of long-term governance must (e.g. dealing with fiscal, demographic and incentives in occur within the bounds of existing environmental trends). Again, the results constitutional arrangements. indicated a lack of ongoing and rigorous contemporary parliamentary scrutiny of ministerial Lessons from other parliamentary systems decisions and agency performance. Matters democracies. With that in mind, how do other are not helped by the fact that, unlike in parliaments scrutinise the quality of long- some other jurisdictions, governments are term governance within their respective not legally obliged to produce regular jurisdictions and what lessons are there reports on future societal trends (see Welsh • the high workload of select committees for New Zealand? Government, 2018), national risk and the tendency for urgent and higher- To investigate such questions we assessments or social outcomes. Significant priority business, most notably the conducted a survey of parliaments in other long-term strategies, such as the Sustainable scrutiny of legislation, to crowd out Commonwealth countries and reviewed Development Goals, receive only other scrutiny functions, such as the the available academic and other literature perfunctory attention by Parliament. conduct of in-depth inquiries into the on scrutiny arrangements. The results were Overall, the incentives for, and capacity performance of government agencies not unexpected: overall, parliamentary of, our parliamentarians to undertake and the effectiveness of current policies; systems do not address matters of long- systematic, rigorous and effective oversight • the lack of procedural triggers to ensure term governance in a comprehensive, of the executive branch are significantly that systematic scrutiny of long-term systematic and rigorous manner. While constrained. Notable limitations include: matters takes place; scrutiny arrangements differ across the • the relatively small size of the House of • the absence of one or more permanent Commonwealth (and beyond), it is hard Representatives by comparison with select committees with a primary to identify what might be called ‘best legislatures in most other OECD mandate to scrutinise governmental practice’, particularly in relation to long- countries, which restricts the availability performance, including in relation to term matters. Equally important, the of MPs to sit on select committees and long-term matters; and evidence suggests that many factors affect encourages strong party discipline; • select committees’ modest use of the quality of parliamentary scrutiny that • the absence of a second chamber, such independent expert advice, including have little to do with specific legislative as the Australian Senate or the British that available via the officers of structures, procedures or support services. House of Lords, with a particular focus Parliament and the academic These include the nature of a country’s on scrutiny activities; community. party system, political culture, civil society • the relatively short parliamentary term These limitations signal that several institutions, quasi-governmental (among the shortest in the democratic approaches can be taken to improve institutions, public management systems world, where the average electoral cycle parliamentary scrutiny. It would be and regulatory frameworks. for unicameral and lower houses is 4.7 misguided to try to moderate the political Be that as it may, various parliamentary years); nature of parliamentary life directly, systems have sought over the years to • the political dominance of the House because political motivations are inherent improve the institutional settings that by the executive, even in the context of in representative democracy and provide underpin political scrutiny, including in minority governments; its fundamental driving force. Instead, the relation to long-term governance. Four

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 47 Enhancing long-term governance – Parliament’s vital oversight role

Table 2: Indicators for evaluating parliamentary scrutiny of long-term governance main approaches are evident, none of Type of Indicator Example of measure which are mutually exclusive: indicator • the implementation of new procedural triggers (and other kinds of Political 1. Active committee scrutiny of long- Select committee meeting commitment devices) that require and public term issues hours spent on long-term legislatures to undertake specific forms engagement scrutiny of long-term scrutiny; Connection of Number of substantive select • the establishment of permanent or ad MPs and the committee reports public with 2. Inquiries into long-term issues Number of inquiries initiated hoc parliamentary committees with a long-term 3. Regular plenary debate of long- Number of debates mandate to address long-term matters; issues term issues • the establishment of future-focused 4. Public awareness of parliamentary Parliamentary engagement bodies that include parliamentary scrutiny of long-term issues data representation; and 5. Public participation in framing Number of participation • efforts to enhance the independent long-term issues and outcomes opportunities analytical resources available to MPs Robustness 6. Parliamentary rules embedding Parliamentary rules adopted and parliamentary committees. Examples of such approaches include: Empowerment procedural triggers for scrutiny of of effective long-term issues • requirements for legislatures to review scrutiny 7. Parliamentary rules requiring Parliamentary rules adopted governmental reports on long-term through regular cycles for scrutiny of policy issues (e.g. in Finland) or for opportunities progress against long-term legislatures to approve the long-term objectives and capability plans and strategies of governments; 8. Work programmes of committees Committee work programmes include in-depth inquiry into long- • the creation of permanent term issues parliamentary committees to conduct 9. Adequate workload capacity of Overall committee meeting major policy inquiries, some of which committees or other scrutiny hours have significant long-term implications; bodies • the creation of parliamentary 10. Use of criteria for assessing Accessible set of criteria for committees specifically dedicated to anticipatory governance parliamentary use 11. Dedicated research and advisory Data about support provided exploring long-term or future-focused support for MPs and committees by Officers of Parliament and matters, including the conduct of parliamentary agencies foresight exercises or the scrutiny of 12. Ready access to, or ongoing Availability of independent governments’ long-term strategies (e.g. partnership with, independent advisors the Committee for the Future in expert advice about long-term Established partnerships Finland and the House of Lords ad hoc issues Committee on Intergenerational Impact 13. Strong government expectation of Parliamentary rules adopted Fairness and Provision); Effect on parliamentary scrutiny • the creation of future-focused bodies quality of 14. Coherent statutory commitment Statutory commitment devices bringing together legislators and long-term devices in place representatives of major civil society governance 15. Measurable long-term policy Framework adopted for setting organisations and research institutions, objectives, targets and monitoring, objectives and targets, and such as Scotland’s Futures Forum reported to House reporting (Wilson, 2016); and 16. Clear accountability for Identifiable accountability stewardship mechanism • the creation or strengthening of 17. Impact on policy outcomes Evidence of impact independent institutional 18. Follow-up mechanisms as part of Follow-up mechanisms in arrangements to provide advice to scrutiny model place legislators on major policy issues or help legislators to undertake their long- Durability 19. Broad political support for scrutiny Explicit cross-party support for term scrutiny functions. These model scrutiny model Continued arrangements include providing effectiveness 20. Scrutiny without frustration of Analysis of parliamentary rules additional analytical and research of scrutiny governance model 21. Public confidence in scrutiny Public engagement data support for parliamentary committees model (e.g. via the Parliamentary Office for 22. Certainty of resources for scrutiny Funding decision-making Science and Technology in the UK model process Parliament) and establishing new 23. Ongoing relevance of scrutiny Mechanism to review and parliamentary institutions dedicated to model update scrutiny model future-oriented issues (e.g. the Office

Page 48 – Policy Quarterly – Volume 16, Issue 1 – February 2020 of Budget Responsibility at Westminster Select committee structures and the Commissioner for Future ... New Zealand By comparison with many other Generations in Wales) (Davies, 2016). legislatures, the New Zealand Parliament It is difficult to assess the relative merits Parliament lacks select committees that are dedicated of these different approaches. For one lacks select primarily or exclusively to the scrutiny thing, detailed independent analyses of the of governmental policies, activities and various approaches are few and far between, committees that performance. There is, for instance, no and the methodological issues surrounding Public Accounts Committee or specialist attribution and causality are formidable. are dedicated Governance Committee. Instead, most For another, while a specific approach committees have multiple roles and might be relatively effective in a particular primarily or spend much of their time on scrutinising parliamentary system, its applicability government bills. Without creating one or elsewhere might be limited by contextual exclusively to more specialist committees with a strong factors. focus on non-legislative scrutiny (or For instance, the creation of the the scrutiny of allocating specialist scrutiny functions to Committee for the Future in the Finnish governmental particular committees), it will be difficult Parliament in the early 1990s is often cited to enhance the quality of non-legislative as an example of a successful reform. It is policies, scrutiny. claimed, among other things, to have Our report outlines various options for enhanced the quality of debate in Finland activities and establishing one or more committees with on major long-term policy issues, the specialist function of scrutinising long- encouraged the use of foresight in performance. term governance. One of these would be governmental policymaking, and ensured to create a Committee for the Future – that the Finnish government’s periodic fashioned, at least in part, on the Finnish reports on the future are properly model. Other options would involve scrutinised (Boston, 2017a, pp.401–17; automatically brought to the fore; they creating a specialist function of long-term Groombridge, 2006; Tiihonen, 2011). But must no longer be treated as optional governance and/or requiring select to the extent that the committee has been extras, or nice-to-have, but non-essential, committees to undertake designated tasks, effective, part of the reason probably lies appendages. such as outcome reviews, wellbeing reviews, in a strong multiparty commitment to Finally, there is merit in devising stewardship reviews or sustainability evidence-informed decision making and a criteria to assess any new framework for reviews in their specific areas of political culture that values scientific parliamentary scrutiny of long-term responsibility. inquiry and the exercise of foresight. governance. Table 2 outlines four such Creating new committees poses a Without these ingredients, the committee criteria – political and public engagement, problem. As it stands, there are barely may well have struggled to gain traction. robustness, impact and durability – enough MPs to service the existing Nevertheless, based on the available together with a series of performance structure of select committees. The current international evidence, several conclusions indicators and possible ways to measure system can only operate because some MPs can be proffered. First, there are no ‘silver impacts. Plainly, some of the suggested (especially government backbenchers) bullets’ for improving the quality of indicators will be difficult to evaluate, serve on two or even three committees. On scrutiny provided by the political layer. partly because of data gaps. Nonetheless, the other hand, most select committees are This applies equally to scrutiny in general the proposed framework represents a good now larger than was envisaged when the and to the scrutiny of long-term governance. place to start. Parliament first adapted to the MMP Second, and related to this, an integrated electoral system. In 1996, the rules package of reforms is likely to be best. Bringing the long term into short-term indicated that committees should have Ideally, this should include structural parliamentary focus eight members. But in the present term of changes, new procedural triggers (i.e. Given these considerations, what reforms Parliament the committees generally have commitment devices), and the provision should our Parliament consider in the between eight and 11 members, with one of additional analytical resources and interests of better scrutiny, and especially (the Finance and Expenditure Committee) independent advice for select committees better oversight of long-term matters? Our that has 13 members. There is scope for (i.e. advice that is independent of the report canvassed a wide range of options. reducing the average size of select executive branch). Third, a key goal must Most, but not all, were concerned with the committees, thereby freeing up capacity for be to integrate and embed long-term structure, role, conduct and resourcing a specialist-function committee dedicated matters in normal day-to-day of select committees, and most of our to governmental and/or long-term scrutiny. parliamentary routines and practices. suggestions will entail changes to the A further issue with the current Intergenerational issues, creeping problems standing orders – some minor, but others structure and functions of select and long-term risks must be constantly and more significant. committees is that, while the subject select

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 49 Enhancing long-term governance – Parliament’s vital oversight role committee structure was designed in 1985 commitments, and progress towards them, to enable the robust examination of Given the and generally for reviewing the government policies and performance government’s approach to the prudent through inquiries, this has not been a many serious management of the country’s long-term strong feature of committee work in recent global and local interests. times. This is partly because committees While a specialist-function select are generally preoccupied with considering threats to committee would be a useful addition to legislation, annual financial cycles and the House’s capacity for examining long- petitions, and also perhaps because the wellbeing term issues, other options are available. For committees no longer place great priority instance, existing financial scrutiny on inquiry work. A rejig of the committee of future procedures could be adjusted to include structure to reduce competing demands specific reference to the alignment of on the time and attention of subject select generations, government spending and performance committees could provide renewed with long-term outcomes. Committees impetus to carry out inquiries into long- better could also be given the task of reviewing term matters. parliamentary the stewardship of the public service as a whole, and of particular departments, Select committee processes and procedural scrutiny of based on the proposed stewardship triggers responsibilities set out in the Public Service Aside from issues of structure, long- long-term matters Legislation Bill (see clauses 10 and 50). term matters will receive systematic Finally, committees could find ways to parliamentary attention only if is vital. improve the effectiveness of their practices specific requirements to this effect are aside from making changes to the standing incorporated into the standing orders. orders. Committees could focus the terms Rules that trigger specific procedures are of reference for inquiries on long-term already dotted throughout the standing take advantage of this new mechanism by matters, and could form a strong orders in respect of, say, financial scrutiny, placing the briefings before select convention of following up on the and these could be augmented with committees for consideration. The recommendations in their reports. Another provisions that generate examinations proposal is for the briefings to be relatively mechanism would be to ensure that long- of long-term governance. There are two intermittent – that is, at least once every term issues raised in reports of officers of such triggers already – the presentation of three years – but they could provide a Parliament – that is, the Office of the the government’s statement on the long- valuable basis for select committees to Auditor-General, parliamentary term fiscal position and the investment consider possible forward-looking commissioner for the environment and the statement – but each of these is activated inquiries. This would especially be the case ombudsman – are vigorously pursued and, very infrequently: only once every if the briefings were available during the where appropriate, result in committee four years. Effective scrutiny requires a first year of each term of Parliament. A recommendations to the government. more regular regimen of reporting and further potential statutory mechanism Other changes to practice could include parliamentary examination. could be the proposed provision for four- the allocation of more time for financial Our report therefore suggested yearly wellbeing reports to be prepared by scrutiny hearings, to enable more in-depth introducing new procedural triggers to the Treasury, under the Public Finance exploration of targets and performance. ensure that select committees give greater (Wellbeing) Amendment Bill. Committees could combine for joint attention to particular oversight functions, The House can adopt scrutiny consideration of cross-sector programmes. such as the scrutiny of government procedures without needing them to be And when considering legislation, strategies and issues with major long-term based on statutory reports. For example, a committees could make a point of implications. Ideally, such procedures new specialist-function committee could reviewing the long-term implications of would be based on formal accountability be given an explicit remit to examine the bills. These are just a few ways committees requirements set out in statutes. A government’s progress in relation to long- could more actively scrutinise the detail proposed requirement along these lines has term strategies, plans and targets. and outcomes of the government’s actions, been included in the recently introduced Objectives for long-term outcomes are especially in relation to long-term matters. Public Service Legislation Bill, in the form signalled in a number of laws and public of long-term insights briefings prepared undertakings – for example, targets relating Select committee resources by departmental chief executives (see to child poverty reduction, the protection Select committees have ready access to schedule 6, clause 8). Clearly, if the bill of biodiversity and the Sustainable advice from the officers of Parliament, were passed with the provision for long- Development Goals. The specialist- especially the Office of the Auditor- term insights briefings retained, then the function committee could be given General and parliamentary commissioner House’s procedures should be updated to responsibility for examining such for the environment, but do not seek this

Page 50 – Policy Quarterly – Volume 16, Issue 1 – February 2020 very frequently, except during the financial between Parliament and the wider scientific Such special debates would be similar to scrutiny procedures. Also, committees community (e.g. via the Royal Society of adjournment debates in the British House can seek advice from other independent New Zealand) (Jeffares et al., 2019). Our of Commons. The timing of these special experts, which would usually be funded by report offers a number of options for debates could be stipulated in the standing the Office of the Clerk on request; again, progressing such arrangements. orders, as occurring on a periodic basis, or this avenue of support is underutilised. left to the discretion of the Business There is undoubtedly scope for select Enhancing consideration of long-term Committee. While it is already within the committees to make greater use of such matters by the House gift of the Business Committee to arrange independent advice, and it would be useful Aside from changes to the structure, such debates, this does not happen often to find ways to facilitate such input. operations and resourcing of select because there is no expectation that such Another issue relates to scientific advice. committees, there are various ways debates will be held with any regularity. A high proportion of policy issues, to ensure that long-term matters are especially those of a long-term nature, have considered more systematically by the Conclusion a scientific dimension and thus require a House. One option would be to require Robust and systematic parliamentary good understanding of the latest scientific the prime minister’s statement on the scrutiny of the executive is critically evidence. Currently, few staff in the Office first sitting day of each calendar year important for ensuring good governance of the Clerk, Parliamentary Library or (except at the beginning of a term of and protecting the public interest. But Office of the Auditor-General have Parliament) to include information about current arrangements in New Zealand are scientific training. Likewise, relatively few long-term matters (e.g., the government’s unsatisfactory. This applies particularly MPs have postgraduate qualifications (or strategies for addressing major long- to the scrutiny of long-term governance: even undergraduate degrees) in a scientific term challenges). Additionally, standing oversight of such matters is generally ad hoc, discipline, and at any rate the robustness order 354 could be amended so that the limited, reactive and unsystematic. Given of scrutiny should not depend on the statements are referred to the Governance the many serious global and local threats technical qualifications that happen to be and Administration Committee (or a to the wellbeing of future generations, held by people elected to Parliament. There Governance Committee) for consideration better parliamentary scrutiny of long- is no equivalent in the New Zealand of the long-term aspects. term matters is vital. The quest, in other Parliament of the Parliamentary Office of Another option would be to revise the words, must be for more forward-looking, Science and Technology (POST) in the UK current arrangements for oral questions in systematic and proactive legislative (Clark and Morton, 2008; Kenny et al., the House to provide for periodic, oversight. This article has outlined some 2017; Kumar and Cope, 2008). For such additional question sessions focusing on of the ways that such oversight might reasons, our MPs and select committees long-term matters. Potentially, this be secured. A wider range of options is are heavily dependent for their scientific question session could be followed by a canvassed in our report. advice on scientists employed by debate on an issue with significant long- government departments and agencies. term implications. Yet another possibility While there is no reason to question the would be to require additional debates on Acknowledgements capability, expertise or professionalism of government reports that focus on long- The authors would like to thank the many such staff, the fact that they are employed term matters. Currently, standing order people who assisted with the preparation to serve the elected government is bound 336(5) requires a debate on the statement of our report Foresight, Insight and to affect the nature, range and independence on the long-term fiscal position and on the Oversight: enhancing long-term governance of the advice they offer to MPs, not to investment statement, each of which occurs through better parliamentary scrutiny mention their being made available to at four-yearly intervals. Other current or (Wellington: Institute for Governance committees in the first place. Our report future documents, such as the proposed and Policy Studies), on which this article notes that the prime minister and many long-term insights briefings and wellbeing is largely based. Thanks, in particular, government departments now have their reports, could be added to this list. to Tui Head, Gabor Hellyer and Pavan own designated chief science advisors. Establishing a procedure for regular Sharma, and also to Alex Brocklehurst for Arguably, there is a case for the appointment debates on major issues would provide a his helpful comments on an earlier version of a chief parliamentary science advisor, as mechanism for matters of long-term of the article. well as fostering much stronger links importance to be discussed in the House.

References Boston, J. (2016) ‘Anticipatory governance: how well is New Zealand Boston, J., D. Bagnall and A. Barry (2019) Foresight, Insight and safeguarding the future?’ Policy Quarterly, 12 (3), pp.11–24 Oversight: enhancing long-term governance through better Boston, J. (2017a) Governing for the Future: designing democratic parliamentary scrutiny, Wellington: Institute for Governance and Policy institutions for a better tomorrow, Bingley: Emerald Publishing Limited Studies Boston, J. (2017b) Safeguarding the Future: governing in an uncertain world, Wellington: Bridget Williams Books

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 51 Enhancing long-term governance – Parliament’s vital oversight role

Brown Weiss, E. (1989) In fairness to Future Generations: international Kumar, A. and D. Cope (2008) ‘20 years of the parliamentary office of law, common patrimony, and intergenerational equity, Tokyo: United science and technology (POST)’, Science in Parliament, 65 (4), Nations University pp.20–1 Clark, M. and M. Norton (2008) ‘20 years of the parliamentary office of Menzies, M. (2018) ‘A partial history of futures thinking in New Zealand’, science and technology (POST): part 1: the first 10 years’, Science in Policy Quarterly, 14 (1), pp.18–26 Parliament, 65 (3), pp.14–16 Mulgan, R. (2000) ‘“Accountability”: an ever-expanding concept?’, Public Commission on Parliamentary Reform (2017) Report on the Scottish Administration, 78 (3), pp.555–73 Parliament, Edinburgh Office of the Auditor-General (2019) Public Accountability: a matter of trust Davies, H. (2016) ‘The Well-being of Future Generations (Wales) Act and confidence: a discussion paper, Wellington: Office of the Auditor- 2015: duties or aspirations?’, Environmental Law Review, 18 (1), General pp.41–56 Parliamentary Commissioner for the Environment (2019) Focusing Frieling, M. and K. Warren (2018) Resilience and Future Wellbeing: the Aotearoa New Zealand’s Environmental Reporting System, Wellington: start of a conversation on improving the risk management and Parliamentary Commissioner for the Environment resilience of the living standards capitals, Wellington: The Treasury Reeves, R. (2015) Ulysses Goes to Washington: political myopia and policy Fuerth, L. and E. Faber (2013) ‘Anticipatory governance: winning the commitment devices, Washington, DC: Center for Effective Public future’, The Futurist, 47 (4), pp.42–9 Management at Brookings Geddis, A. (2016) ‘Parliamentary government in New Zealand: lines of State Services Commission (2018) Reform of the State Sector Act 1988: continuity and moments of change’, International Journal of directions and options for change, Wellington: State Services Constitutional Law, 14 (1), pp.99–118 Commission González-Ricoy, I. and A. Gosseries (eds) (2016) Designing institutions for Thompson, D. (2005) ‘Democracy in time: popular sovereignty and future generations, Oxford: Oxford University Press temporal representation’, Constellations, 12 (2), pp.245–61 Groombridge, B. (2006) ‘Parliament and the future: learning from Finland’, Thompson, D. (2010) ‘Representing future generations: political Political Quarterly, 77 (2), pp.273–80 presentism and democratic trusteeship’, Critical Review of International Harris, M. and D. Wilson (eds) (2017) Parliamentary Practice in New Social and Political Philosophy, 13 (1), pp.17–37 Zealand, 4th edn, Auckland: Oratia Media Ltd Tiihonen, P. (2011) Revamping the Work of the Committee for the Future, Healy, A. and N. Malhorta (2009) ‘Myopic voters and natural disaster Helsinki: Finnish Parliament policy’, American Political Science Review, 103 (3), pp.387–406 Treasury (2018) Embedding Wellbeing in the Public Finance Act 1989, Jacobs, A. (2011) Governing for the Long-term, Cambridge: Cambridge discussion document, Wellington: The Treasury University Press Welsh Government (2018) Future Trends Report 2017, Cardiff: Welsh Jacobs, A. (2016) ‘Policymaking for the long term in advanced Government democracies’, Annual Review of Political Science, 19, pp.433–54 White, H. (2015) Parliamentary Scrutiny of Government, London: Institute Jeffares, B., J. Boston, J. Gerrard, S. Hendy and W. Larner (2019) for Government ‘Science advice in New Zealand: opportunities for development’, Policy Wilson, S. (2016) Scotland’s Futures Forum: a guide and legacy report for Quarterly, 15 (2), pp.62–71 the 2011–2016 parliamentary session, Edinburgh, Scottish Parliament Kenny, C. et al. (2017) The Role of Research in the UK Parliament, vol.1, London: Houses of Parliament Victoria Professional and Executive Development High quality professional and executive development courses for the public sector:

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Page 52 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Matt Boyd and Nick Wilson

Catastrophic Risk from Rapid Developments in Artificial Intelligence what is yet to be addressed and how might New Zealand rtificial intelligence (AI) is not one policymakers respond? technology but many and includes Amachine learning applications and a number of types of advanced algorithms. Abstract The development and deployment of This article describes important possible scenarios in which rapid these technologies promises to advance advances in artificial intelligence (AI) pose multiple risks, including economies, wellbeing and sustainability (AI Forum New Zealand, 2019). However, to democracy and for inter-state conflict. In parallel with other AI is both a general purpose technology, countries, New Zealand needs policies to monitor, anticipate and and a dual use technology of concern. This means that AI has a diverse set of uses both mitigate global catastrophic and existential risks from advanced new beneficial and harmful. This technology is technologies. A dedicated policy capacity could translate emerging now widely distributed in a world full of research and policy options into the New Zealand context. It could complex interacting threats. In the longer term, AI could plausibly even pose an also identify how New Zealand could best contribute to global existential threat to humanity. solutions. It is desirable that the potential benefits of AI are realised, In a previous issue of Policy Quarterly we outlined the emerging risks posed by while the risks are also mitigated to the greatest extent possible. AI and presented broad options for a New Keywords artificial intelligence, catastrophe, governance, Zealand policy response (Boyd and Wilson, international cooperation, risk analysis, risk mitigation 2017). In the two years since that publication a lot has changed. Many of the Matt Boyd researches health, technology and catastrophic risk, has a PhD in philosophy, and is the developments are summarised in a major owner of Adapt Research Ltd. Nick Wilson is a research professor of public health at the University of report by the Australian Council of Learned Otago, Wellington. The authors declare no competing interests. Matt Boyd received funding from the AI Forum of New Academies (ACOLA), which notes that AI Zealand in 2019 to contribute research work and writing of AI Forum publications. has global impact and that an international

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 53 Catastrophic Risk from Rapid Developments in Artificial Intelligence: what is yet to be addressed and how might New Zealand policymakers respond? response is needed (Walsh et al., 2019). data and the importance of transparency, New Zealand focus. In addition to those Cédric O, the secretary of state for the explainable algorithms and the right to mentioned above, the Royal Society of digital sector of France, highlighted this review are helpful early steps. New Zealand’s report The Age of Artificial shared international concern when he said, Employment prospects and economic Intelligence in Aotearoa (Royal Society of ‘An international platform will be necessary stability in an automated world are the New Zealand, 2019) accompanied the in order to ensure a sustainable focus of work by the New Zealand major report by ACOLA. development of artificial intelligence and Productivity Commission (Productivity Most national AI strategies focus on serve humanity as a whole’ (Marrs, 2019). Commission, 2019) and the Prime research, talent and industrial strategies In what follows we resurvey the Minister’s Business Advisory Council (Dutton, 2018). Finland and the emerging AI landscape from a New Zealand (Business Advisory Council, 2019). There Netherlands have started to systematically perspective, identify potential catastrophic is a Future of Work Tripartite Forum, and educate their populace on AI (Delcker, risks from AI, and argue for policies and also a New Zealand Digital Skills Forum. 2019; University of Amsterdam, 2019). The United States and China also have a substantial focus on developing AI (Future The AI Forum identifies risks due to of Life Institute, 2019; Select Committee on Artificial Intelligence, 2019). the domination of AI technology by a Although many of these publications mention well-known and near-term risks handful of advanced corporations and (such as job displacement, bias and the potential for an economy enabled by injustice), other reports have an explicitly upbeat tone. Economic analyses by AI that results in wider inequality. PricewaterhouseCoopers (PwC, 2018) and McKinsey (McKinsey Global Institute, 2018) trumpet the boon AI will bring to profit and productivity. action to anticipate and mitigate these risks Ensuring growth in a world enabled by AI Towards Our Intelligent Future is the in order that AI might predominantly is being taken seriously and policy most comprehensive report on AI in New benefit New Zealand society. approaches are proposed. Zealand to date. The AI Forum identifies With respect to AI and media discourse, risks due to the domination of AI technology Recent advances in AI and the policy the threat that recommendation algorithms by a handful of advanced corporations and response are serving up harmful content has reached the potential for an economy enabled by AI Our previous article outlined four AI risk global awareness through such initiatives that results in wider inequality. Issues of domains: bias and injustice; economic as the New Zealand-initiated ‘Christchurch algorithmic bias, injustice, transparency, chaos and the transformation of work; Call’ (Ministry of Foreign Affairs and Trade, fairness, autonomy, privacy, inclusiveness AI dominance of media discourse; and 2019). and safety are all touched on. So too are the security and existential risks. Public sector The risks of physical harm, use of risks of citizen manipulation, cyber-attack work (internationally and in New Zealand) technology as a weapon, and risks of and totalitarian practices. Some of these has focused on addressing some of these accidental technological catastrophe are risks may have an impact on only a small issues over the last two years. probably growing. A number of proportion of the population, but others For example, the risk of algorithmic international researchers see the catastrophic could be the seeds of greater problems. The injustice due to biased data, explicit or risks of AI as the most likely near-term AI Forum provides a policy map, but in what implicit algorithmic rules, and even threat to humanity (Turchin and follows we move beyond these day-to-day unjustifiably neutral algorithms (Susskind, Denkeberger, 2018b). This is especially so policy needs and focus on the larger-scale 2018) has entered mainstream thought. when use of AI might enhance the threats risks of AI. The AI Forum of New Zealand’s report posed by nuclear weapons and advanced Towards Our Intelligent Future (AI Forum biotechnology. While many measures of The growing AI risk New Zealand, 2019) discusses these; an human wellbeing, such as life expectancy, AI could cause large-scale harm if it is Algorithm Assessment Report (Statistics infant mortality, murder rates and tolerance, programmed to do something devastating, New Zealand, 2018) assesses government have all been trending for the better (Pinker, or if it develops a destructive method algorithm use; and there is a forthcoming 2011), the risk that we cause great harm to to achieve its goals (Bostrom, 2014). Digital Government Strategy currently (as ourselves with advanced technology is Deployment of AI could also create of late 2019) at consultation stage. Statistics probably growing (Bostrom, 2019). structural risks that might lead to, or New Zealand has also released a draft exacerbate, other threats (Zwetsloot and Algorithm Charter for consultation The AI discussion takes centre stage DaFoe, 2019). Structural threats will often (Statistics New Zealand, 2019). Related There has been an explosion of AI-related require collective action to counter. work on the safe and appropriate use of publications, including reports with a

Page 54 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Risks from AI have been outlined in a systemic risks, including: mass labour erratic, non-representative outcomes. In number of recent papers (Brundage et al., displacement, unemployment and the wake of the Cambridge Analytica 2018; The Workshop, 2019; Turchin and inequality; of AI as a key strategic industry, scandal, the concept of ‘weaponised Denkeberger, 2018a; Yampolskiy and with monopolistic frontrunners; that advertising’ emerged, where big data helps Spellchecker, 2016). The Malicious Uses of AI surveillance could empower suppressive to target individuals and sway opinions. report catalogues these as threats to digital regimes and robotic repression could Non-legitimate powers are using AI and security, physical security and political circumvent any human reluctance to fire campaigns of disinformation in strategic security (Brundage et al., 2018). The upon protestors; of AI undermining global efforts to bypass the democratic process probability and seriousness of catastrophic strategic stability by allowing for a successful (Mazarr et al., 2019; Polyakova, 2018). AI failures will likely increase with time pre-emptive nuclear strike (for example, if The ACOLA report on AI in Australia and (Yampolskiy and Spellchecker, 2016). satellite image analysis and ocean sensors New Zealand notes that platforms have Recent technical developments could reliably reveal the location of the been hijacked and websites, social media underscore this growing risk. For example, Google DeepMind has made very rapid progress in mastering strategic games AI is emerging as a threat to the (AlphaStar Team, 2019). The significance of this is that DeepMind’s AI applications functioning of democracy, which may are now exhibiting strategic capability that was until recently considered an result in a broken system that produces engineering challenge. DeepMind also erratic, non-representative outcomes. developed AlphaFold to predict the three- dimensional structure of biological proteins from their primary amino acid sequence. This is a very difficult problem nuclear-capable submarines necessary for a accounts and links created and inserted in biology, and AlphaFold won the annual retaliatory strike) (DaFoe, 2018). in connection with the Brexit referendum protein-folding prediction contest on its and the 2016 United States presidential first attempt (Evans et al., 2018). Global catastrophic risks election (Walsh et al., 2019). Open AI has developed an application Global catastrophic risks are those which There is some evidence that it is difficult for generating text content, which was would bring crippling damage to human to convince people to change their minds. deemed ‘too dangerous to make public’ and wellbeing on a global scale (Bostrom However, clouding the argument with so only a partial version as open source has and Cirkovic, 2008). Such events may misinformation can inhibit political been released (Radford et al., 2019; currently be of low probability, but they discourse, thereby advancing strategic ends Whittaker, 2019). Deepfake technology can are potentially high impact and warrant (Bridle, 2018). Synthetic text and deepfake now produce realistic video content attention because even a small decrease media are likely to increase the cloudiness. depicting events that never occurred with in the probability of their occurring has Algorithmic content recommendations convincing resemblance to actual subjects. large pay-offs. Some of the risks from amplify these effects. Also, modelling studies This technology is now easily accessible and AI fall within this category. In addition, demonstrate that these algorithms can widely deployed (Barnes and Barraclough, several scenarios show that AI could prevent populations converging on agreed 2019): for example, the video of Mark pose an existential threat to the survival beliefs (Sirbu et al., 2019). In this increasingly Zuckerberg describing how he was of humanity or to the continuation of a chaotic information environment, it is influenced by fictional villainous entity flourishing technological civilisation. Such almost impossible to distinguish actors, Spectre (O’Neill, 2019). Deepfake threats are identified in the work of Nick motives, fake news, paranoid fiction and technology was also used to impersonate Bostrom (Bostrom, 2014), and have been state propaganda (Bridle, 2018). the voice of a CEO for economic gain catalogued (Turchin and Denkeberger, A New Zealand perspective on digital (Stupp, 2019). 2018a). We now examine six persisting threats to democracy has been taken by one In sum, the ability of AI to produce risks associated with AI for which there group, The Workshop, which has identified synthetic text and multimedia, generate does not yet appear to be an adequate three core problems: platform monopolies, insights in domains such as biotechnology, policy response. opaqueness of the algorithms, and business and engage in strategic activity is rapidly models that reward amplification of progressing. The risk that democratic processes erode engagement without regard for wellbeing Even this present AI technology gives Access to clean information and tracking (The Workshop, 2019). The Perception reason to be concerned. Allan DaFoe of the actual states of affairs in the real world Inception report on synthetic media Centre for the Governance of AI at the underpins all well-functioning democratic (Barnes and Barraclough, 2019) examines Future of Humanity Institute has argued processes. AI is emerging as a threat to the these threats but recommends that no new that even if we stopped scientific functioning of democracy, which may law is needed in New Zealand at present. improvement in AI now, there are extreme result in a broken system that produces However, even if laws were to be changed,

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 55 Catastrophic Risk from Rapid Developments in Artificial Intelligence: what is yet to be addressed and how might New Zealand policymakers respond? this won’t prevent illegal activities. Better society beyond those of the individual. For across the military (Department of Defense, content moderation might be a step in the example, when privacy is absent, dissenting 2018); and China has a very ambitious AI right direction, but the scale of the problem thought is suppressed. This has implications development plan with a focus on civil– demands a wider and more effective for the ability of individuals to form activist military fusion (Johnson, 2019). response (The Workshop, 2019). groups and hold employers, or public Among the catastrophic risks from AI New Zealand society will need to decide institutions, to account (for example, identified in one review is the ‘wrong to what degree we accept machines through whistle-blowing). command sent to a robot army’ (Turchin inferring psychological information about Erosion of civil liberties through and Denkenberger, 2018a). But a wrong us in order to manipulate our beliefs (Burr automated censorship or manipulation command is not necessary. A significant and Cristianini, 2019), and whether could slowly emerge as the new normal. threat is not that lethal systems obey content targeting interferes with the Monopolistic corporates could squeeze commands, but that they run amok. In human right to free belief formation (UN morality into their products, such as an 2010 financial algorithms caused a flash Special Rapporteur, 2018). We may need in-home digital device such as Alexa that crash of the US stock market, wiping 9% to act to avoid a future political sphere could ‘snitch’ to parents (or authorities) off the Dow Jones in 30 minutes (Bridle, where intelligent algorithmic code enables about adolescents’ drug use, for example. 2018). A ‘flash crash’ event involving autonomous weapons, such as a massive AI-coordinated swarm of drones or New forms of attack do not just steal ‘slaughter bots’, could be catastrophic. The European Parliament has called for a ban information, but aim to shut down on LAWS (European Parliament, 2018), public infrastructure, cause physical but at the September 2019 meeting on the Convention on Certain Conventional damage and erase data. Weapons, Russia and the US continued to resist the requirement for ‘human control’ of weapon systems. AI could also be harnessed for a digital those with vested interests to exert power Digital code can force us to act a certain attack by states or by terrorists. The World through ubiquitous surveillance and the way and transgressions can be instantly Economic Forum sees the threat of AI- control of perception (Susskind, 2018). logged and punished. Taken to the limit, enabled cyber-attack as a major concern increasing surveillance could become a (World Economic Forum, 2019). Cyber- The risk of totalitarianism societal panopticon where everyone is attacks posing a catastrophic threat include It is one thing for democracy to degrade and surveilled all the time, without the ability ransomware attacks on cloud-computing cease functioning as intended; it is another to watch the watchers. Imbalances in providers, attacks on electricity suppliers, and for surveillance and control systems power such as this are easily entrenched attacks directed at weapons systems. New to incrementally push a functioning and, without vigilance, human societies forms of terrorism could attempt to disrupt democracy towards totalitarianism. could sleepwalk into AI-facilitated automated global markets by manipulating The increasing business use of totalitarianism. algorithmic processes (Bridle, 2018). intelligent surveillance systems, such as Differential adoption of such New forms of attack do not just steal facial recognition, coupled with state technologies by powerful regimes and information, but aim to shut down public surveillance approaches, including the corporations could lead to profound infrastructure, cause physical damage and array of Chinese social credit scoring disruptions in the world order, which New erase data (Greenberg, 2019). The stakes systems (Kobie, 2019), along with rogue Zealand policymakers should be concerned are high when attacks have successfully apps harvesting massive caches of user about. This is particularly so given this penetrated nuclear power stations that are data means there may be very little that country’s extreme dependence on the rest not connected to the internet. Often, remains private in the ‘age of surveillance of the world for trade, tourism and the witting or unwitting humans are used as capitalism’ (Zuboff, 2019). Especially exchange of new ideas and technologies. attack vectors. A worrying risk would be concerning is the ability of AI systems to cyber-attacks escalating to real-world detect emotions, identified by the World The risk of violence and conflict attacks (Das, 2019). New Zealand will need Economic Forum as a tool by which Fully autonomous vehicles and drones to ensure that robust cyber security is a ‘oppressive governments could … exert raise the possibility of a wide range of priority moving forward. control or whip up angry divisions’ near-future lethal autonomous weapon (World Economic Forum, 2019, p.73). systems (LAWS). Russia has opened The risk of AI in combination with other These trends will potentially change a ‘technopolis’ hub to pursue advanced threats human behaviour on a mass scale. military technologies, including AI As a general purpose technology, like the Privacy can be waived by an informed (Bendett, 2019); the 2018 US Department steam engine, electricity or the internet, individual, but privacy has benefits for of Defense strategy calls for AI to be pushed AI has the potential to enhance other

Page 56 – Policy Quarterly – Volume 16, Issue 1 – February 2020 catastrophic risks. For example, AI is theoretical. However, if successfully Potential New Zealand policy response integral to many advances in genetic developed, AGI would pose additional options technologies and other biotechnologies. risks, in part because it could be used AI is a diverse technology touching every Building on AlphaFold, AI could be by one organisation or state to achieve branch of government and society. We used in ways that increase the risk of a an unassailable strategic advantage. therefore reason that AI risk mitigation biotechnological catastrophe, such as But AGI could also be problematic if should be seen as one component of an accidental or intentional extreme its goals are poorly specified or not a general catastrophic risk mitigation pandemic (from genetically-engineered aligned with those of human wellbeing. strategy. The scale of global catastrophic biological agents), or catastrophic This is a serious risk in part because of risks, their uncertain probability, and disruption to critical ecosystems or food the technical difficulties in designing the long time frame across which risks supplies. One survey estimates a 2% risk-free systems (Amodei et al., 2016; may emerge mean that individual probability of human extinction from Bostrom, 2014). Concerns about AGI governments and groups of like-minded engineered pandemics by the year 2100 are not particularly pressing now, but ones contributing to global governance is (Sandberg and Bostrom, 2008). estimates for the arrival of human-level really the only place from which to mount AI is also a concern for nuclear weapons intelligence, which might then exhibit an an effective response. and fissile materials safety. A 2019 report on the impact of AI on nuclear threats and strategic stability finds that AI could Increased multilateralism may be a amplify risks (Boulanin, 2019). Key productive response to a range of threats vulnerabilities include brittle nuclear systems, the threat of AI-driven cyber- and New Zealand diplomats should join attack, and misperceptions about the activities and intent of rival states with and advance New Zealand and other respect to AI and nuclear capability. initiatives. Quantum computing in conjunction with AI could plausibly pose new risks. Google has recently published a paper claiming that its quantum computers can explosion of very rapid self-improvement, The Cambridge Centre for the Study of outperform standard computers on a sit at 50% by 2040 (Muller and Bostrom, Existential Risk (CSER) has published a list particular problem (Arute et al., 2019). 2016). Policymakers therefore need to at of policy options for governments to Known as ‘quantum supremacy’, this new least agree on a timetable for when we consider with regard to global catastrophic advance could be the first step towards start to think about this issue, and what risks (CSER, 2019). This identifies five vulnerabilities in encryption and other signals would trigger earlier action. barriers to effectively dealing with high-stakes systems. catastrophic risks such as those posed by Bostrom has advanced a ‘vulnerable Unknown risks AI. These are: world hypothesis’, which contemplates Rapid technological progress, and • lack of incentives for long-termism in technological discoveries that could the associated interactions between national policy; threaten humanity (Bostrom, 2019). It is technology, society and the environment, • lack of government agility to respond possible that five scientists tinkering in a could lead to dynamic, difficult-to- to new perspectives on risk; lab for a year, with the aid of machine predict threats – ‘technological wildcards’ • insufficient risk management culture learning and a digital–biological converter (Ó hÉigeartaigh, 2017). We know that the in government; (Boles et al., 2017), could accidentally or history of the world is partly driven by • lack of technical expertise; and intentionally bring about Bostrom’s ‘black swans’, rare and hard-to-predict • failure of imagination. ‘moderately easy bio doom’, thereby proving events that change everything (Taleb, We believe that these problems all apply his vulnerable world hypothesis correct 2007). Without further analysis we don’t in New Zealand and see five key areas – (Bostrom, 2019). Potential strategies have know which risks from AI will become described below – where New Zealand been advanced to mitigate some of these most salient, and we don’t know if AI is policy could help mitigate the catastrophic combination threats, and New Zealand the most salient risk (it could well be) risks from AI. A key obstacle, as Tom policymakers should become familiar with in the near term or at later stages of AI Barraclough, co-author of the Perception them. maturity. The large number of failure Inception report, notes, is that ‘It’s not clear modes described above, and elsewhere, who is responsible in government for The risks of artificial general intelligence suggests that we haven’t yet contemplated anticipating these issues’ (Kenny and Artificial general intelligence (AGI) that all of them (Turchin and Denkeberger, Livingston, 2019). possesses human-level capability, or 2018a). In light of these unknowns, an It is true that there are many imme- superintelligence that vastly outperforms agile, broad and adaptable policy response diately pressing demands on the public humans in all tasks, are as yet only to the future of AI appears warranted. sector, but there is enormous value in the

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 57 Catastrophic Risk from Rapid Developments in Artificial Intelligence: what is yet to be addressed and how might New Zealand policymakers respond? future which may be put at risk if we do nations, including Australia, Finland policy and safety, a dedicated unit is not take time for big-picture thinking and the United Kingdom, met in Ireland required to evaluate risks and possible (Boyd and Wilson, 2018). For this reason, in November 2019 (Houses of the responses. This necessarily ongoing an imperative first step is to designate Oireachtas Communications Unit, 2019). process (for AI and other technologies) responsibility for investigating and Increased multilateralism may be a should be institutionalised through the advocating on these issues. Some productive response to a range of threats creation of enabling structures in the New mechanism for distilling the information and New Zealand diplomats should join Zealand public sector. ‘Small government’ and advising various key decision makers and advance New Zealand and other thinking is inappropriate when a nation is necessary to ensure comprehensive initiatives. faces major threats and needs to support coverage and avoid redundant analysis (or In a number of precedents New Zealand getting global governance working. omission). Furthermore, risks need to be has taken a key role in global coordination Whatever form this specialist unit takes, evaluated as a portfolio so that prioritisation around threat, such as the anti-nuclear it could logically reside in the Department can occur. We should focus on the most stance. The country’s recent lead role in of the Prime Minister and Cabinet, or the important, not the merely important, risks. the Christchurch Call shows that the Ministry for Foreign Affairs and Trade, or Ministry of Foreign Affairs and Trade is even the Ministry of Business, Innovation and Employment. The unit will need some level of independence, and a broad Given the specialist nature of and mandate for long-term thinking across a range of AI risks (and opportunities). This rapidly growing international literature would allow the catastrophic risks from AI on AI policy and safety, a dedicated unit to be studied and managed with input from NGOs and academic institutions not is required to evaluate risks and possible constrained by legacy and near-horizon political thinking. responses. Given the rapidly advancing risks in the field, this unit must be formed now, and be flexible and agile. Its success will depend on the quality of thinking it harbours. This Advocate for international cooperation well placed to progress such initiatives. means that a competent multidisciplinary It is clear that the threats described There are currently insufficient team must be involved, including above could have global impact and that coordinating and monitoring mechanisms exceptional AI technical experts and a global response is needed. There have to prevent an AI catastrophe should it arise. engineers, experts from other dual-use been some steps in this direction. In July A general ability to stabilise a world technology disciplines, such as 2018 the United Nations secretary general vulnerable to technological risk might biotechnology, and historians, social appointed a High-level Panel on Digital require greater capacities for preventive scientists and ethicists with knowledge of Cooperation to support ‘cooperative and policing and global governance (Bostrom, social and political transformations interdisciplinary approaches to ensure a 2019). Ironically, some degree of intrusive underpinned by technology. The personnel safe inclusive digital future for all taking surveillance (for example, in certain risk recruited will be key to determining the into account relevant human rights norms’ domains around AI such as military success of this task. (Walsh et al., 2019). With respect to AI, applications and biotechnology) might be The future value of free and flourishing the Canadian and French governments required to effectively monitor risks and New Zealand lives justifies at least a modest have instigated an International Panel eliminate serious threats. As well as investment in protection (Boyd and Wilson, on Artificial Intelligence. This body is advocating for international cooperation, 2018), and even more so if New Zealand is modelled on the Intergovernmental Panel New Zealand could take action beyond the particularly well placed as an island nation on Climate Change and aims to bring Christchurch Call and set a standard for to survive some existential threats (Boyd together policy experts and researchers other nations to follow. and Wilson, 2019). In the context of in AI, the humanities and social catastrophic risks, it seems reasonable to sciences to ensure that AI development The need to structure and resource public apportion perhaps 0.01% of GDP is grounded in human rights (Marrs, institutions so that solutions are possible (approximately $25 million in the first 2019). At meetings associated with Any diplomatic response by New Zealand year) to analysing the threats of AI and the G7 summit in 2019, New Zealand must be well informed. It is important to other potential catastrophic risks to New expressed interest in joining this panel, be clear who is responsible for this advice Zealand. This kind of approach provides and this would seem highly desirable. and to ensure they are well resourced, or something of an insurance policy against There also exists an International Grand quality advice will not be forthcoming. future risks. After the initial scoping, future Committee on Disinformation and Given the specialist nature of (and rapidly investment needs, and options, will be ‘Fake News’: representatives from 12 growing international literature on) AI clearer.

Page 58 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Understand the risks and take a risk associated principles. Preserving human ‘mentally out of breath all the time management approach rights should be the benchmark for all risk from dealing with the present, there is A number of global research institutes mitigation pertaining to AI. no energy left for imagining the future’ have examined the risks posed by AI: these Beyond ensuring that human rights (Boulding, 1978). Government has a deep include the Future of Humanity Institute, obligations are met, mitigation strategies responsibility to future generations and the Machine Intelligence Research should ensure that we can benefit from AI for long-term incentives that transcend Institute, Open AI and CSER, among without suffering the harms. Strategies individual interests. Even if some risks are others. However, research publications are might include regulating certain far distant, our experience with climate not effective unless used to inform policy. technologies, certifying developers, change is telling. It takes a long time The initial investment outlined above banning some practices (such as to mount a coordinated national and must ensure that the outputs of these impersonating humans), monitoring international response. It is helpful to global institutions are digested to inform developments in AI, performing safety remember that the Kyoto Protocol was local policy; the investment could also research, and other activities specific to signed in 1997, yet the threat posed by fund secondments of government staff particular threats. AI itself might form part climate change is still very far from being (and from New Zealand-based NGOs and of the solution to some of the risks posed solved. universities) to centres such as the Future of Humanity Institute, Open AI and CSER in order to bolster local capability to think Government has a deep responsibility productively in this space. When managing risks, the priority of to future generations and for long-term action depends on the likelihood that the incentives that transcend individual risk will transpire, the magnitude of the resulting harm, and the ability to mitigate interests. the risk. Even if the probability is low, if the potential harm is very great, and a solution possible, then some resources should rationally be allocated (even if this by AI. This could be the case for the risk of This call for futures thinking has come is a collective action problem requiring cyber-attack, or the dissemination of from a number of quarters. NZ Tech has coordination of multiple countries). Initial dangerous information. called for a ‘Ministry for the Future’ work could focus on deducing the Overall, a focus on risk and reliability (Muller, Carter and Matthews, 2017). The probabilities and magnitudes of the risks is important. ‘Concrete problems in AI Environmental Defence Society suggests we have outlined. Monitoring needs to safety’ are already known (Amodei et al., a Futures Commission (Environmental occur so that these values can be updated 2016) and guidelines for responsible AI Defence Society, 2019). Boston, Bagnall regularly over time. A scenario-based systems are being produced, such as the and Barry have argued at length for approach along with signal monitoring Alan Turing Institute’s ‘responsible design improved foresight and oversight to make could determine which scenarios are of AI systems in the public sector’ (Leslie, government more accountable to eventuating. Table-top simulation exercises 2019). The aim should be to accelerate this Parliament for the quality of its long-term would help identify legislative and policy safety research. decision making. While noting that there gaps requiring closer examination. is no obvious single best approach, these Consider the longer term authors list a number of specific options Implement mitigation strategies Although there is a need to move quickly for reform (Boston, Bagnall and Barry, Government inaction and the hope that to address AI risks, we note that AI risks 2019). Some futures ideas are not new in the ‘ethics policies’ of the developers are situated within a suite of emerging New Zealand or overseas. Indeed, the of technology will mitigate risk is not global catastrophic risks and there is Muldoon government disestablished a sufficient (Nemitz, 2018). Humans may also need for this work to feed into Commission for the Future in the early now have the power to rapidly destabilise an aggregating mechanism that can 1980s. Sweden created a Ministry for the and destroy institutions and assets that we prioritise risk response across a range Future in 2014 (Ma-Dupont, 2016). have built incrementally over centuries. of threats. We therefore argue that the AI is a heterogeneous package of Sustaining life and civilisation are New Zealand government should invest technologies that pose risks unequal in inherently valuable projects and therefore in futures analysis and horizon scanning, probability and scale, and which do not essential. When any issue is ‘essential’, the to increase its capability for foresight and stand alone. But we also need to place AI principle of essentialism dictates that this shed light on the possible consequences in a coordinated portfolio of interdependent issue must be dealt with by law (ibid.). We of the choices humans make today. We global catastrophic risks. Institutionalised already have a set of agreed law that must agree with sociologist Elise Boulding systematic assessment and response to all be adhered to globally: the International that modern society is suffering from major catastrophic risks will be needed in Declaration of Human Rights, and other ‘temporal exhaustion’: because we are New Zealand to ensure a thriving future.

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 59 Catastrophic Risk from Rapid Developments in Artificial Intelligence: what is yet to be addressed and how might New Zealand policymakers respond?

Conclusion possible catastrophic risks of AI, which the risks from AI and planning for their New Zealand has a number of important include threats to democracy, the risk of mitigation within the New Zealand public assets, including people, culture and the totalitarianism, threats to physical and sector. Mitigation of catastrophic risks environment, to protect over the very digital safety, and as yet unknown risks. should be a critical component of public longest time horizons. This is particularly These risks need to be evaluated within policy, and is an undertaking that only true when one takes a perspective of the set of related global catastrophic risks. governments are positioned to perform, guardianship consistent with a te ao One way to achieve this is to advocate for in conjunction with other like-minded Mäori world view. Such a perspective a coordinated international response and governments. mandates that we understand the to designate responsibility for evaluating

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(2019) ‘Artificial intelligence and future warfare: implications Technical Report #1 2008–1, Oxford: Future of Humanity Institute for international security’, Defense and Security Analysis, 35 (2), Select Committee on Artificial Intelligence (2019) The National Artificial pp.147–69 Intelligence Research and Development Strategic Plan: 2019 update, Kenny, K. and T. Livingston (2019) ‘Can Kiwis tell fact from fake news in Washington, DC: National Science and Technology Council the leadup to the 2020 elections?’, Stuff, 5 September, https://www. Sirbu, A., D. Pedreschi, F. Giannotti and J. Kertesz (2019) ‘Algorithmic stuff.co.nz/national/politics/115518413/can-kiwis-tell-fact-from-fake- bias amplifies opinion fragmentation and polarization: a bounded news-in-the-leadup-to-the-2020-elections confidence model’, PLoS ONE, 14 (3), doi.org/10.1371/journal. Kobie, N. (2019) ‘The complicated truth about China’s social credit pone.0213246 system’, Wired, 7 June, https://www.wired.co.uk/article/china-social- Statistics New Zealand (2018) Algorithm Assessment Report, Wellington: credit-system-explained Statistics New Zealand Leslie, D. (2019) Understanding Artificial Intelligence Ethics and Safety: a Statistics New Zealand (2019) Algorithm Charter, Wellington: Statistics guide for the responsible design and implementation of AI systems in New Zealand the public sector, London: Alan Turing Institute Stupp, C. (2019) ‘Fraudsters used AI to mimic CEO’s voice in unusual Ma-Dupont, V. (2016) ‘Sweden: a “Ministry of the Future” to think about cybercrime case’, Wall Street Journal, 30 August, https://www.wsj. tomorrow’s public policy’, Responsive Public Management, 82, pp.1–2 com/articles/fraudsters-use-ai-to-mimic-ceos-voice-in-unusual- Marrs, C. 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Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 61 Vanessa James, Catherine Iorns and Patrick Gerard Sea Level Rise and Local Government ew Zealand is already the third- most vulnerable country to policy gaps and Nnatural disasters as a percentage of GDP (, 2017, p.16) before climate change impacts are taken into account. Sea level rise opportunities due to climate change will increase this vulnerability: even a small amount of sea level rise will substantially increase damage Abstract from flooding, storm surges and landslips Local authorities in New Zealand have a significant responsibility (Parliamentary Commissioner for the Environment, 2015). Some locations have to their communities for managing the effects of sea level rise due already become uninhabitable, due to either to climate change. However, while most local authorities are well sudden-onset disasters, or a series of smaller engaged and have a clear understanding of issues arising from events that accumulate to large losses, with coastal residents forced to relocate. sea level rise, 73% report that their organisations do not receive Responding to climate change is a new enough direction from central government on how to respond. and evolving area for local government. Our work has demonstrated that managing Territorial authorities in particular are seeking a stronger lead, such the broad range of complex issues required as legislative reform, clearer and more directive policy, clarification to respond to the effects of sea level rise of responsibilities, or a national environmental standard on coastal can be incredibly challenging, and high- level direction on key issues would support hazard management. Central government direction is seen as critical local authorities to make the significant to achieve a nationally consistent and equitable approach for coastal decisions they face. Work undertaken to inform this article communities. This article summarises how this could be addressed, includes research, engagement and policy and identifies key challenges facing local government in adapting to analysis commissioned by the Deep South sea level rise and climate change. National Science Challenge Impacts and Implications research programme which Keywords sea level rise, local authorities, New Zealand, policy was undertaken over a two-year period, challenges with findings tested in a survey of local authorities with coastal interface (territorial Vanessa James is a PhD candidate at Victoria University of Wellington. Catherine Iorns is a Professor authorities) or whose authority included of Law at Victoria University of Wellington. Patrick Gerard is a law clerk at Mahony Horner Lawyers. He was a research assistant and summer scholar undertaking work on these climate adaptation law coastal marine area (regional and unitary projects. councils).1 The survey identified differing

Page 62 – Policy Quarterly – Volume 16, Issue 1 – February 2020 levels of preparedness between regional than local authorities may be used to and unitary councils and territorial The most undertaking; it is resource intensive and authorities, with the former generally requires a different skill set from a local having more targeted resourcing and common authority’s ‘business as usual’ consultation specific expertise.2 While regional and adaptation and information dissemination. Territorial unitary councils have a primarily regional authorities are not currently resourced or planning and environmental role, mechanisms equipped to undertake this engagement. territorial authorities own most of the Local authorities reported undertaking assets that will be affected, manage building identified in our active consultation (rather than engagement) and development at the coast, and are through public meetings, submissions and generally more closely connected to their research were education, along with passive consultation communities of interest. (social media, newspapers, mail drops, online those which seek databases, mapping and public reports). Only Central government direction a small number reported being in the process The most prominent message from our to reduce future of designing and implementing strategic work is the desire of local authorities for risk by avoiding community adaptation/management plans, more direction and leadership from central which will involve targeted consultation with government to support local government further stakeholders (James, Gerard and Iorns, 2019). to respond to the effects of climate change Local authorities reported that the most and sea level rise, and in particular: development in common requests from their communities • clear directives from central government were for hard protection structures and to improve national consistency and areas of coastal provision of hazard information (ibid., legal certainty; and p.22). The expectation for hard protection • regularly updated and authoritative hazard risk. structures puts local authorities in a scientific information to inform difficult position. On the one hand, the development of appropriate coastal New Zealand Coastal Policy Statement zoning policies and plans. directs local authorities to avoid hard Guidance provided by the Ministry for exercise of decision-making powers, in protection structures. On the other, public the Environment (Ministry for the Australia it has been found that fear of expectations are defensive of private Environment, 2018) and by the Department liability is a principal reason for local property rights and uses. of Conservation (Department of authorities avoiding action on climate Although many local authorities are Conservation, 2017) is utilised and valued change (see Peel and Osofsky, 2015; operating on a reactive basis, some have by local government; the perceived gap is Australian Productivity Commission, 2012, strategies or plan provisions in place which in relation to clearer and more directive pp.166–9; Iorns and Watts, 2019, pp.37–40). assist with responding to community policy to improve national consistency and National direction in key areas would demands, such as policies to only protect clarify responsibilities, potentially through address this, if only by clarifying best public assets and not private land. The legislative reform, a national environmental practice and thus the standards that councils most common adaptation mechanisms standard on coastal hazard management, should be upholding, thereby leaving less identified in our research were those which and/or other policy levers. Most of our room for uncertainty and challenge. seek to reduce future risk by avoiding survey respondents considered that central further development in areas of coastal government intervention should be already Community engagement hazard risk (ibid., p.23). happening and should at least begin Sea level rise and its impacts create a immediately. One said:3 significant additional engagement burden Funding for increased costs for councils. One council commented: All local authorities involved in our [T]he apparent absence, to date, of research had coastal land within their central government in leading a vital Staff and elected members [are in the] boundaries, and it is anticipated that all discussion around the cost shares – or process of deciding how to have will face increased infrastructure costs in this context, the broader issue of how courageous conversations about retreat due to sea level rise. However, only 73% responsibility for addressing the issue options with vulnerable communities reported that their organisations were should be shared – associated with once appropriate risk assessments and facing increased costs (ibid., p.25). While [how] climate change will play out, in mapping has been completed. some participants considered they could practice, is a critical failure on the part meet these costs through general and/ of the government. Determining how to respond to sea or targeted rates, and others had disaster level rise and working alongside relief funds or had already budgeted for While rights of appeal are a fundamental communities that are directly affected increased infrastructure costs, many check and balance on local authorities in the requires more, and different, engagement participants were unsure of what the costs

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 63 Sea Level Rise and Local Government: policy gaps and opportunities would be and how they would be met, This is consistent with a lack of and a significant proportion called for a ... legal barriers awareness of wider Treaty of Waitangi national climate change adaptation fund duties, as discussed in another of our that they could draw on to meet these make it more reports (Iorns, 2019). costs (ibid., p.8). A territorial authority difficult for responded to the question of how they Specialist knowledge would meet increased costs as follows: [councils] to A high level of specialist knowledge and scientific expertise is required to manage We currently have no idea … we are respond to the the effects of sea level rise. At least some doing our best with current budgets, of this may be employed or contained and … working closely with [the effects of sea within larger councils, but the level of regional council] to help get the specialisation more often requires outside information we require to accurately level rise ... consultants. For example: assess risks to communities and large rural areas which are the economic We have in-house flood modelling backbone of this district … Unless expertise and have engaged external there is a central government fund or public benefit (ibid., p.26). Managed consultant support for sea water subsidy we will have to prioritise retreat was more divisive, with some local inundation, coastal erosion and ground projects and communities [and as] we authorities considering that the entire cost water changes in relation to sea level are a district of mainly lower socio should be met by property owners and rise. We have also recently engaged economic areas … we will be facing a insurance companies, and others suggesting some external planning support with a mass exodus of low-lying at-risk the costs should be shared between owners special interest in natural hazards communities to other locations which and local and central government (ibid.). management. We are currently seeking the council cannot afford to help Lack of a consistent approach to cost a more detailed level of analysis for sea financially. allocation could lead to inconsistencies water inundation to provide a better between districts, lack of clarity for basis for planning provisions. Clearer cost apportionment communities, and an inability to plan There are significant differences as to ahead effectively due to the need to assess Territorial authorities are not all readily what local authorities consider to be the each situation as it arises. At a national level, able to access the level of specialist most effective and equitable methods of this could also lead to inequities for knowledge and advice required. Resourcing allocating costs relating to the effects of communities, and increased risk of emerged as a significant issue from different sea level rise. While most agreed that the opposition and legal pressure. National perspectives: staffing structures in smaller owner/operator should take responsibility direction on the options and responses local authorities do not support specialised for infrastructure costs, a third of the available in different situations, and resourcing; and while access to scientific organisations we surveyed considered preferably on the most suitable for knowledge and expertise can be addressed that central government should assist with particular situations, would assist local through partnerships between territorial infrastructure funding (James, Gerard and government adaptation by decreasing authorities and regional councils (as the Iorns, 2019, p.25); for example: challenges that are due to uncertainty. latter often provide specialised support and advice to the former), the expertise New Zealand’s cities and towns have Consistent processes for climate adaptation required by territorial authorities with traditionally been built on government decision making for Ma-ori land significant coastline to appropriately subsidies for infrastructure. It is unlikely There are significant differences in manage the effects of sea level rise warrants that local government and local approach to climate adaptation decision more targeted resourcing (James, Gerard communities will have the financial making for Mäori land. While 55% of and Iorns, 2019, p.9). capacity to fund future infrastructure respondents to our survey were aware of changes required because of sea-level specific loss or damage to Mäori coastal Preventing new development rise and other climate change-related land occurring in their district (ibid., Councils have a range of tools to prevent factors and continue to provide current p.9), they did not identify any targeted and control new development in coastal levels of service. guidelines, processes or policies for climate hazard zones. These exist under both the adaptation measures appropriate for that Resource Management Act 1991 (RMA) Similar views were held for the costs of land either in place or under development. (in relation to planning and to subdivision coastal protection works, which were seen For example: and resource consents) and the Building as primarily the responsibility of the Act 2004 (in relation to the issuance of beneficiaries of the works, but with We focus on the risk and options to building consents).4 assistance from local and central manage/mitigate in a particular area, government depending on the level of and Iwi are part of those conversations.

Page 64 – Policy Quarterly – Volume 16, Issue 1 – February 2020 There is a need for better guidance for offend the plan rules (consistent with the councils to enable them to justify There is classic conception of real property rights) restrictions being adopted in their areas: (Resource Management Act 1991, s10(2)). currently no The starting point, therefore, is that a high Planning tools are considered by legal mechanism threshold is required to justify an officers to be a core mechanism for infringement of landowner rights. responding to climate change by specifically In the context of proactive adaptation limiting new risks from new to sea level rise, ‘perpetual’ land use rights developments, and starting to provide designed to are problematic. Sea level rise is an the basis for managing staged retreat inherently dynamic phenomenon. over the longer period. The district allow managed Retreating shorelines and associated coastal planning process (and other similar hazard risks are forcing local authorities to mechanisms) needs to be able to retreat from reconsider the appropriateness of in situ carefully consider what areas are development. suitable for development through the coastal hazards Although territorial authorities cannot lens of what science is suggesting is extinguish existing use rights, section 10(4) likely to happen in the long term. We (a) of the RMA appears to allow a regional are some way away from this and as a council to do so through changing regional result our current planning strategies Ministry for the Environment DAPP plan rules. This may be a possible … arguably don’t give enough guidance that already exists). mechanism to facilitate managed retreat. consideration for climate change. However, it is noted that this may not be a Managed retreat and existing use rights valid interpretation of the law, and legal Such guidance could be by way of The option of managed retreat requires clarity on how councils may better national environmental standards and/or a more coordinated approach, ideally undertake this is essential (Iorns and Watts, the type of non-binding guidance currently supported by legislation, to enable this 2019, pp.185–91). provided by the Ministry for the to be utilised by local authorities where Section 128 of the RMA allows a Environment (2018) and the Department appropriate. There is currently no legal consent authority to review conditions of of Conservation (2017). mechanism specifically designed to allow an existing consent in a variety of Some law reform could also help, such managed retreat from coastal hazards circumstances. We considered if this could as by making it easier to adopt prohibited (Iorns and Watts, 2019, p.182). be used to support managed retreat, and activity status for certain developments on while this may be possible in theory, it is the coast (e.g., section 32 of the RMA). A [I]n the long term there are likely to be unlikely to be available in practice (ibid., national policy statement on hazards and few viable adaptation responses in pp.191–3). risk could help by providing higher-level some areas other than managed retreat We therefore suggest that legal methods rules and standards for decision making. – this will be extremely disturbing to to achieve managed retreat be given more There should also be law reform work done many in these areas and funding such attention by central government. Our other on compensation provisions, including responses will be beyond the reports provide more information on the section 85 of the RMA. This would help community’s ability to pay. Local existing legal methods, gaps and barriers local authorities to avoid being subject to government will be in the invidious in relation to adaptation, and possible law compensation litigation. position of having to present such reform needed (see Iorns and Watts, 2019; There is room for national guidance on scenarios to their constituents without Iorns, 2018, 2019; James, Gerard and Iorns, specific topics, such as how local authorities necessarily having a palatable or even 2019). should best identify relevant risks to be practicable solution. placed on LIMs and/or PIMs (land/project Adaptive response ability information memorandums), and how to The lack of ability for local authorities Two-thirds of local authorities in our better utilise particular tools, such as to effectively extinguish existing use rights survey considered that legal barriers make consent conditions and liability covenants. is a key barrier to implementing managed it more difficult for their organisation to Local authorities are currently left to figure retreat. At a territorial level, the general respond to the effects of sea level rise it out on their own, which is a more rule is that lawfully established land uses (James, Gerard and Iorns, 2019, p.30). expensive and time-consuming process continue to be lawful, even if the activities This included the issues of preventing than if they were provided with more contravene subsequently modified plan new development, facilitating managed comprehensive decision-making guidance. rules (Resource Management Act 1991, retreat and dealing with existing use rights, Mandatory spatial planning for the future s10).5 This rule also allows the land users as discussed above. Local authorities also has been suggested, but this would also be to re-establish activities that have been consider that the Building Act 2004 and unfair to impose without more guidance discontinued for 12 months or less if they the RMA create two sets of inconsistent on how to implement it (i.e. more than the do not increase the degree to which they standards, with the Building Act allowing

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 65 Sea Level Rise and Local Government: policy gaps and opportunities landowners to develop in high-risk areas attitudes towards the climate change and compensation for their impairment of existing titles with minimal deterrence, and preferred courses of action. … For and extinguishment. and the RMA creating overly litigious any traction to be achieved central Other amendments needed are to the processes by conferring rights of appeal government must provide guidance, Building Act 2004 and standards relating (ibid., p.31). The Local Government Act incentives, and tangible resources for to natural hazards. And further research is 2002 was also cited as making service local government to start implementing needed on mechanisms for managed withdrawal difficult, even when it is climate change adaptation. retreat, on the meaning of ‘significant risks’ required for the purposes of adaptation in section 6(h) of the RMA, and on liability to sea level rise (ibid., p.32). A key finding in our larger paper, under the Building Act. These issues led to a call for stronger Adaptation to Sea-level Rise: local If the key issues of community decision-making powers for local government liability issues, is that central engagement, funding, specialist resourcing, authorities, such as the ability to establish government ought to cover a greater share climate adaptation decision making for red zones and make non-contestable of the costs of information creation and Mäori land, cost apportionment and decisions in certain circumstances (ibid., dissemination because of the clear resource managed retreat are addressed at a national p.29). constraints upon local government (Iorns level, local authorities would be much These legal barriers add to the political and Watts, 2019, p.9). We also propose better placed to manage the effects of sea barriers and result in desires to leave the specific solutions for additional guidance level rise at a local level. hard decisions to someone else, later: on precise mechanisms for adaptation, 1 Sixty-three regional and unitary councils and territorial such as the use of activity status, consent authorities with authority adjoining or including the coastal Our political cycle makes it very easy conditions and hazard information marine area were invited to be part of the survey. Eleven opted out or did not respond, and of the remaining 52, 33 for decision makers to kick the can provision on LIMs. Our suggested responses were received, from seven regional and three unitary councils and 23 territorial authorities. down the road. Although the trend amendments to better enable the adoption 2 For a description of the survey and its findings, see James, (climate change) seems apparent, the of adaptation policies are: Gerard and Iorns, 2019. 3 The quotes in this article are obtained from the survey likelihood of something cataclysmic • amendment of section 32 of the RMA responses. They are not attributed to individual councils for occurring in the next three years to provide an explicit direction to apply reasons of confidentiality. 4 These are discussed in detail in one of the other reports remains small, so [they] can avoid and the precautionary principle, and to undertaken for this Deep South National Science Challenge work: see Iorns and Watts, 2019. ignore the need for a tough decision. consider altering the ‘most appropriate’ 5 See Iorns and Watts, 2019, pp.182–93 for a discussion of standard for evaluating activity status; the legal implications of this section. Conclusion • amendment of section 128 of the RMA While local government responsiveness to better enable review of consent Acknowledgements to the effects of sea level rise is improving, conditions; The material for this article was produced there is still considerable variability • greater clarity on potential council through work undertaken pursuant to between organisations, particularly in liability and/or on their obligations, funding from the Deep South National assessment of risk exposure, level of whether in relation to the use of consent Science Challenge via a research contract expertise and maturity of thinking within conditions, or via a liability shield akin with Victoria University of Wellington. organisations, and practical responses. to that in the Building Act 2004; The views expressed here are those of the • clarification of compensation for the authors and cannot be attributed to any We recognise the ongoing effects of extinguishment of existing use rights employers. climate change will vary considerably in the adaptation context; across New Zealand, as will different • a fundamental rethink of the communities’ levels of understanding, protections given to existing use rights

References Australian Productivity Commission (2012) Barriers to Effective Climate James, V., P. Gerard and C. Iorns (2019) Sea-level Rise and Local Change Adaptation, report 59, Canberra: Australian Productivity Government: policy gaps and opportunities, Wellington: Deep South Commission National Science Challenge Department of Conservation (2017) NZCPS 2010 Guidance Note: coastal James, V., C. Iorns and J. Watts (2019) The Extent of EQC’s Liability for hazards, Wellington: Department of Conservation Damage Associated with Sea-level Rise, Wellington: Deep South Earthquake Commission (2017) Briefing to the Incoming Minister National Science Challenge Responsible for the Earthquake Commission Ministry for the Environment (2018) Coastal Hazards and Climate Change: Iorns, C. (2018) Case Studies on Compensation after Natural Disasters, guidance for Local Government, Wellington: Ministry for the Wellington: Deep South National Science Challenge Environment Iorns, C. (2019) Treaty of Waitangi Duties Relating to Adaptation to Coastal Parliamentary Commissioner for the Environment (2015) Preparing New Hazards from Sea-level Rise, Wellington: Deep South National Science Zealand for Rising Seas: certainty and uncertainty, Wellington: Challenge Parliamentary Commissioner for the Environment Iorns, C.J. and J. Watts (2019) Adaptation to Sea-level Rise: local Peel, J. and H. Osofsky (2015) ‘Sue to adapt?, Minnesota Law Review, 99, government liability issues, Wellington: Deep South National Science pp.2177–250 Challenge

Page 66 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Kirsten Jensen and Christopher Thompson

Valuing Impacts the contribution of CBAx to improved policy practices

Abstract introduction of CBAx. In this article, we provide Policymaking involves trade-offs to ensure the some context to CBAx developments and share best possible use of limited resources. Identifying insights from agencies’ practical experiences. We and measuring the impacts – for example, health focus on the perspective of policy advisors using gains – of different policy alternatives helps CBAx to undertake cost-benefit analysis, and touch decision makers with these trade-offs, and is a key on the application of the results to decision making. component of policy analysis. The New Zealand We conclude by outlining potential developments Treasury’s approach to cost-benefit analysis and inviting colleagues to make use of the CBAx includes CBAx, which is a toolkit for estimating toolkit to enhance cost-benefit analysis practices the societal value of alternative policy options. to better value policy impacts for New Zealanders. A 2018 review showed increased quality of cost- Keywords cost-benefit analysis, CBAx, policy benefit analysis in budget proposals following the impacts, wellbeing, value, ethics

Kirsten Jensen is a principal advisor economist at the New Zealand Treasury. He is also a visiting scholar at Victoria University of Wellington, and Treasury. Her work focuses on public finance, public policy, value and a research associate of the LSE. The bulk of his contribution to this article public sector reform. She leads CBAx and is responsible for the design and was completed while an Associate Professor of Philosophy at the University implementation, working with policy advisors. She teaches cost-benefit of Tromsø, Norway. analysis. Christopher Thompson is a senior analyst at the New Zealand

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 67 Valuing Impacts – the contribution of CBAx to improved policy practices

Figure 1: Trends in mean score by CBAx status, Budgets 2015 - 2018 impacts, long-term implications and cross-

10.0 sector solutions, and which is based on better use of data and evidence on what 9.0 difference interventions make to New 8.0 Zealanders’ lives. Measurement capability

7.0 within agencies is weak (Productivity Commission, 2018); we are not 6.0 underestimating the challenges that 5.0 agencies face.

4.0 Ethical assumptions 3.0 Before introducing CBAx, we set out here 2.0 three of the major ethical assumptions underlying cost-benefit analysis. We do 1.0 so to provide some context. Cost–benefit 0.0 analysis is not ethically neutral or value 2015 2016 2017 2018 free. This is not a criticism; the ethical with CBAx w/o CBAx overall assumptions underlying cost-benefit Source: NZIER, 2018 analysis should be considered as ‘features’, Cost–benefit analysis in New Zealand sector). For other agencies, their practice not ‘bugs’. But appreciating this context improved with CBAx in recent years has changed with the helps with interpreting the results of cost- Cost–benefit analysis is a standard introduction in 2015 of CBAx, a toolkit for benefit analysis. economic technique used internationally estimating the societal value of policy First, cost-benefit analysis is necessarily for assessing policy options (see Weimer options. A 2018 review showed that the normative in the sense that it addresses the and Vining, 2005; Boardman et al., 2018). quality of cost-benefit analysis in Budget issue of what course of action we should In essence, cost-benefit analysis involves initiatives increased following the take. In particular, cost-benefit analysis is comparing alternative courses of action introduction of CBAx (NZIER, 2018). The consequentialist: it assumes that the course by identifying the expected societal review investigated the quality of the cost- of action we should take depends on the impacts of the alternatives over time, and benefit analysis in a stratified random consequences (or outcomes or impacts) of estimating the value of these impacts. In sample of 50 Budget initiatives over four that course of action. the New Zealand public sector, agencies are Budgets, 2015–18, giving each analysis a Second, evidence and data have a expected to undertake ex ante cost-benefit score out of 10 (see Figure 1). central role in cost-benefit analysis, given analysis in a regulatory impact assessment The review showed that the main the importance of outcomes for for legislative change, a business case, a contribution of CBAx is not the modelling determining the recommended course of budget funding proposal, and as required and monetisation in and of itself, but that action. But gathering this evidence and by governing legislation (such as for CBAx requires agencies to be more data is not a purely empirical or positive resource management policies). systematic and robust in their policy exercise. The decision over what to measure, Views vary about the usefulness of thinking. The review saw improvements in and what metrics to use, implies a particular doing cost-benefit analysis, and there are the initial cost-benefit analysis steps, such view of ‘good’ and ‘bad’, or more generally many challenges, as outlined in this article. as identifying a broader range of impacts, a particular view of value. Reasons in favour of undertaking cost- better problem definition, better Third, cost-benefit analysis is often benefit analysis include that it ‘forces the quantification and more transparent silent on the issue of distribution. To infer decision-maker to look at who the assumptions. The review also raised a from this that the best alternative is the one beneficiaries and losers are in both the number of challenges, such as a need to that maximises the aggregate benefits over spatial and temporal dimensions … and improve the quality of the evidence costs would be to take a substantive [insists] on all gains and losses of “utility” provided for impacts and to not over-focus position on justice in distribution. or “well-being” being counted [which] on the summary metrics. Again, bringing attention to these three means that it forces the wider view on Agencies doubled the quality of their particular underlying ethical assumptions decision-makers’ (OECD, 2018 p.32). cost-benefit analysis advice over just a few should not be interpreted as a criticism. Cost–benefit analysis in New Zealand years – a remarkable achievement (though There are, however, alternative ethical is not new. But, as with overseas experience, admittedly this comes from a low base). assumptions that could be made. For the lack of consistent usage, capability and This improvement in agency practice example, it may seem obvious that the standardisation are challenges (Dobes, deserves acknowledgement. And it is correct course of action depends on the Argyrous and Leung, 2015). Some agencies encouraging, given the political context in impacts of that action. Consequentialism have undertaken cost-benefit analysis for which ministers increasingly seek policy is certainly a prominent normative ethical many years (for example, in the transport advice that covers multidimensional theory, but it is by no means the only view.

Page 68 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Figure 2: CBAx cost-benefit analysis steps

1. Clarify the 2. Identify possible 3. Evaluate the policies, 4. Check skills & budget problem or policies, projects projects, or solutions. for procurement and opportunity. or solutions. project management.

Policy evaluation using CBA Undertake CBA on each of the feasible policy options

Step 1: Define policy and counterfactual Inputs Step 2: Identify the people who gain and those who lose to CBAx Step 3: Identify the benefits and costs: allocate to time periods

Analysis Step 4: Quantify the benefits and costs within ranges in CBAx Step 5: Discount to a common period, compare benefits and costs

Outputs Step 6: Is the result clear enough? If not, consider whether it is worth investing in more research, from and repeat above steps CBAx Step 7: Write report

Source: The Treasury (2015), and with CBAx additions in The Treasury (2019) Consequentialism’s most prominent rival analysis practice. In principle, cost-benefit international guidelines, to ‘provide is deontology. Deontological normative analysis is simply a matter of providing an high quality, readable and practical ethical theories claim that we can determine evaluation of policy alternatives. However, guidance’ (Abelson, forthcoming, p.27); what course of action we should take in practice, estimating the value of impacts • the CBAx wellbeing domains template, directly, independently of the expected can be challenging. to set out a wide range of societal consequences of our action. According to CBAx is distinctive in that CBAx impacts of policy alternatives, whether deontology, the correct course of action is provides policy practitioners with a these impacts can be monetised or not; the one that conforms to certain norms, database of some New Zealand values, and and and often these norms are couched in standardises modelling – for example, • additional resources, including applied terms of the rights and duties of individuals. standardising discounting of impacts over CBAx examples and the Australian For example, a proposal for compulsory time. CBAx makes it easier and faster to do Social Value Bank (Social Value organ donation might have more benefits a cost-benefit analysis of options, and International, 2019). than costs, but we might reject the proposal makes analysis more consistent, transparent on the grounds that it violates a and comparable for decision makers. Evaluating impacts fundamental right to bodily integrity (and At the core of CBAx is a spreadsheet to CBAx provides a systematic approach to so rule out a proposal before we even begin model benefits and costs: i.e., the positive cost-benefit analysis, with defined steps to consider the impacts). Such reasoning and negative societal impacts, such as that can be applied in a fit-for-purpose way involves deontological normative ethical income and loneliness. But CBAx is more for a specific policy decision (see Figure theories. than a cost-benefit analysis spreadsheet. 2). However, CBAx is not intended to be We revisit some of these underlying The CBAx approach involves the Treasury a comprehensive toolkit to cover all of ethical assumptions of cost-benefit analysis working alongside agencies to build the steps in the policy cycle, from agenda later in this article. A lot of attention is capability and improve cost-benefit setting to monitoring and evaluation. Cost– given to the second ethical assumption analysis practice – for example, through benefit analysis can be used alongside noted above – the issue of value – and the the CBAx community of practice. In other policy tools, such as multi-criteria challenge of capturing it. We turn to that addition to the spreadsheet model, the decision analysis and distributional issue in the next section. CBAx toolkit1 includes: analysis.2 CBAx is particularly relevant • the CBAx Tool User Guidance, with tips when appraising the impacts of policy What is CBAx? for measuring fiscal and wider societal alternatives. (Thinking about impacts CBAx is a cost-benefit analysis toolkit impacts based on agencies’ practical is also useful when identifying policy developed by the New Zealand Treasury experiences (Treasury, 2019); problems and potential policy options for for considering a wide range of impacts • the Treasury’s Guide to Social Cost intervening.) Policy advisors choose the across time and multiple dimensions. Benefit Analysis (Treasury, 2015). This analytical approaches, including whether It is designed to improve cost-benefit was assessed, alongside Australian and to undertake cost-benefit analysis, and, if

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 69 Valuing Impacts – the contribution of CBAx to improved policy practices

doing this, whether to use CBAx. • Quantify impacts to the extent possible, analysis tends to be iterative. Impacts The Treasury expects agencies to relative to the counterfactual. This is should be identified and quantified to the provide fit-for-purpose cost-benefit usually resource intensive and the extent possible. It is not necessary (or analysis to support policy proposals. We evidence base is often variable. An indeed possible) to monetise every impact. think of this as ‘pragmatic rigour’. So, what initial run of the CBAx model and However, to forego a cost-benefit analysis does a fit-for-purposecost-benefit analysis sensitivity analysis can be helpful for when evidence of impacts is relevant and cover? We start with dispelling potential adjusting efforts, so that effort focuses available would be to forego an opportunity misconceptions and set out what it is not. on impacts that matter. This starts with to achieve a good outcome, and itself a • It is not about monetising all the available information, and then goes potential ethical lapse. impacts. Ideally, all significant impacts are monetised, but that may not be Beyond fiscals to wellbeing possible. Indeed, only a subset of the Many values The Treasury released the first CBAx impacts are expected to be monetised. version in October 2015, and agencies A reverse analysis, to identify the in the CBAx first applied CBAx to funding proposals assumptions needed to break even, may in the 2016 Budget. At the time, ministers, be the best that can be done; for database are including the minister of finance, took example, due to weak evidence (covered fiscal impacts a ‘social investment approach’, which later in the article). sought better outcomes from policies and • It is not a one-size-fits-all approach. for government, spending.4 While cost-benefit analysis was The CBAx steps are adaptable. The a widely accepted technique for measuring approach can be varied to reflect the reflecting the impacts, views varied about what impacts nature and significance of the options fact that these to include. For example, as Boston and Gill as well as the available policy resources, note: including common constraints of time values are easier and information. Also, in some cases, At the heart of these concerns [about simpler cost-effectiveness analysis may to access and are the social investment model] is the be sufficient, or more complex already in dollar failure, at least thus far, of ministers and modelling may be warranted. their advisers to incorporate an • It is not just for economists or terms. But CBAx appropriately broad range of costs and consultants. CBAx aims to empower benefits into their evaluation of specific agency policy advisors and make cost- goes beyond fiscal policy interventions. While fiscal benefit analysis practicable. Agencies impacts. objectives are unquestionably can use the comparable CBAx model important, they are not a sufficient for free, rather than pay for bespoke measure of overall performance. models. (Boston and Gill, 2017, p.24) A simple way to approach CBAx is to work through the ‘IQM’ steps (Jensen, on to fill information gaps for This comment reinforces the point 2019): significant impacts. made above, that the choice over what to • Identify impacts widely. At a minimum, • Monetise the significant impacts where measure is an assumption of what is this involves developing the intervention possible. It can be useful in the policy valuable, and a substantive ethical and logic, establishing a clear counterfactual3 development process to monetise a policy choice. and identifying the main impacts. Many wide range of impacts to clarify and test Concerns such as a too-narrow focus different people may be involved in assumptions and sensitivities. After on fiscal impacts shaped the design of identifying a range of impacts, including thinking widely about the impacts and CBAx from the start. Many values in the external stakeholders. Taking a longer- ways of measuring these, agencies can CBAx database are fiscal impacts for term perspective brings into view choose the most appropriate impact government, reflecting the fact that these preventive and intergenerational measures. For the final results, it is values are easier to access and are already impacts. Thinking broadly about the better to be selective and focus on in dollar terms. But CBAx goes beyond impacts and interconnections can monetising the significant impacts, to fiscal impacts. For example, the Australian include consideration of path avoid double counting and avoid Social Value Bank social impact values are dependency and irreversibility (for reduced confidence in the results from available (outside the CBAx database) example, the loss of species or entire the inclusion of tenuous, weakly under a sub-licence.5 In 2018 CBAx ecosystems). Policy advisors’ sound evidenced impacts that boost the included Housing New Zealand subjective professional judgement is needed to overall ratios. wellbeing values. The subjective wellbeing decide what to include and what to leave The IQM steps build on each other and values offer opportunities to value wider out. This is a key policy skill. increase in difficulty. In reality, cost-benefit impacts, and could be further expanded

Page 70 – Policy Quarterly – Volume 16, Issue 1 – February 2020 using New Zealand data such as the New constitutes the good impacts is an ethical impacts, measurement or valuation Zealand General Social Survey and Te assumption that ought to be borne in mind methodology. It does, however, require the Kupenga (Grimes, 2019). Subjective when interpreting the results; it is plausible user to be transparent about these and the wellbeing could contribute to policy in a that good and bad consequences are assumptions. Users can freely add other number of ways (O’Donnell et al., 2014). broader than just the impact on human impacts to those already included. For example, it could potentially be used wellbeing. For example, the preservation The Treasury updated CBAx in 2018 to as a common measure across a wide variety of an endangered species might be an support Budget wellbeing analysis by of impacts (Layard, 2016). Associate intrinsically good impact, irrespective of categorising specific impacts, such as Professor Jan-Emmanuel De Neve at the any implications for human wellbeing. changes in income, within the wellbeing University of Oxford has developed policy domains, such as ‘jobs and earnings’, from tools to apply subjective wellbeing the Treasury’s Living Standard Framework.7 weightings for different wellbeing The requirement New Zealand hosted the Third International domains.6 Conference on Wellbeing and Public Policy Users need to be aware that different in CBAx for in September that year, and has gained CBAx values monetise different types of broader international attention through the prime impacts and are derived from different minister’s and the minister of finance’s methodologies: fiscal savings to the consideration of emphasis on wellbeing, with much government from avoided costs of diabetes attention being given to the 2019 Wellbeing ($4,075 per year), for example, or the impacts using Budget.8 The OECD’s OECD Economic subjective wellbeing value to an individual a societal Surveys: New Zealand 2019 provided a of living in a cold house for every point wellbeing focus and included information change on a 0–3 point scale (–$6,991 per perspective on CBAx as a mechanism for including year – the more often a house is cold, the wellbeing analysis in policy development more subjective wellbeing is reduced). In encourages (OECD, 2019, p.103). Durand and Exton early 2019 the CBAx impact values, and the agencies to work covered CBAx in the Global Happiness and robustness of these, attracted public debate Well-being Progress Report (Durand and (Jensen, 2019). Users should review the with others outside Exton, 2019, p.159). Measurement is one source data that can be accessed through of the challenges for New Zealand links in the database. their immediate becoming the leading light in the wellbeing For many government interventions, sector, putting approach to public policy. As Weijers and there is no market value for the relevant Morrison note, ‘The critical issues in the impacts. We therefore need to use non- people – not measurement of wellbeing are what to market valuation methodologies to derive measure, how to measure and how to a value. The a range of methodologies agencies or sectors – construct a model of wellbeing out of those include: revealed preferences (estimating at the centre of the measures’ (Weijers and Morrison, 2018, implicit value through related market p.6). prices and travel costs); contingent analysis. valuation (survey stated preferences of Co-design – the discount rate example willingness to pay); discrete choice Since its introduction, the role of the CBAx experiments; value transfer (from other toolkit has evolved and the government’s primary studies); and subjective wellbeing requirements to use it for Budget (life satisfaction regressions) (Boardman The view that human wellbeing should purposes have changed. Initially there et al., 2018; OECD, 2018). There is no ‘one be interpreted as the satisfaction of were structural changes to the model. The right’ valuation methodology; each has preferences (measured, for example, by model is now structurally stable and the strengths and weaknesses (Fujiwara, 2016). willingness to pay for benefits or to avoid changes are mainly to the database. The Surveys to estimate individuals’ willingness costs) is a further ethical assumption. The CBAx toolkit, while led by the Treasury, to pay can have a number of biases, and preference-satisfaction view of wellbeing is collaborative and co-designed with good survey design and practice are critical. is just one of three standard views of agencies. The CBAx database is an example Confidence increases when a value is wellbeing, the other two being the hedonist of this partnership. All of the values in estimated similarly using different view (wellbeing consists in a certain mental the database are supplied from publicly methodologies. However, sometimes policy state) and the objective list view (there is a available agency information. These are advisors will be fortunate to have even one list of certain things such as health and not Treasury values, but the Treasury has valuation. education that make an individual’s life go a system enabler role, making it easier for In general, cost-benefit analysis values well). users to access these values, standardising impacts on human wellbeing. The view Note, though, that CBAx is pluralistic the values to a common year, and allowing that human wellbeing exhausts what and does not constrain the user’s choice of for consistent assumptions across

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 71 Valuing Impacts – the contribution of CBAx to improved policy practices initiatives (for example, by using the same know the most about, or that are the policy agencies to use these, and to think beyond assumption about the value of a GP visit). aim, are the most important impacts. Some sector-specific frameworks. The Treasury’s The partnership has not been without agencies, for example Pharmac, are tasked Living Standard Framework covers 12 tensions. For example, the discount rate9 with delivering outcomes within a multidimensional wellbeing domains was a point of disagreement early on. particular domain (health) and have (such as health, housing, safety, Agencies, and ministers, were concerned focused their perspective accordingly environment). CBAx categorises specific that the Treasury public sector discount (Alsop and Crausaz, 2017). But impacts on impacts according to these 12 wellbeing rate was too high (8% real at the time, now employment or social services may be the domains (there is also an ‘other’ category, 6%), rendering longer-term impacts most significant impact from a particular as there may be impacts that are not inconsequential. The tensions led to a health policy. These are not traditionally captured by the 12 domains). Total review of the approaches to setting the considered when undertaking a cost- economic value is another framework that discount rate. The Treasury working paper people can apply in combination with concluded that there is no completely sector outcomes and the wellbeing objective way of determining public sector While many domains. It distinguishes use values discount rates; value judgements and (including direct use, indirect use and assumptions are inevitable (Creedy and challenges remain, option value) and non-use values Passi, 2017). The discount rate reflects (including existence, bequest and altruistic three separate things: time preference, risk there has been a value). Non-use values can be relevant for and the opportunity cost of capital. The strong drive environmental policies (OECD, 2018). appropriate choice of discount rate to Policy practitioners often raise concerns reflect these three factors is still subject to towards better that the evidence base for impacts is weak. considerable disagreement amongst The 2018 review highlighted this problem. theorists and cost-benefit analysis data, evidence and In spite of this limitation, practitioners can practitioners. To address the concerns, the quantification at least do the first step of identifying the Treasury changed the design of CBAx to expected impacts and the intervention automatically produce a sensitivity analysis in recent years. logic, and it can be useful to apply the including the standard rate and an CBAx model to undertake a reverse analysis alternative rate. Jonathan Boston welcomes (see Treasury, 2019). This looks at what CBAx sensitivity analysis, and proposes a assumptions are necessary for the option lower discount rate ‘especially for periods benefit analysis from a health sector to be worthwhile; the plausibility of these exceeding thirty years and when there are perspective, and may be overlooked assumptions can then be considered and risks of catastrophic or irreversible (Neumann et al., 2017). The requirement sensitivity tested. Reverse analysis focuses consequences’ (Boston, 2017, p.129). CBAx in CBAx for broader consideration of on one, or maybe two, key expected is designed so that agencies are able to impacts using a societal perspective impacts. Often people have enough change the discount rate (though for encourages agencies to work with others experience to draw on to assess how comparability reasons agencies are outside their immediate sector, putting reasonable or unreasonable those expected to retain the two CBAx rates of people – not agencies or sectors – at the assumptions would be. Usually, this can 6% and 3% respectively).10 The Treasury centre of the analysis. also provide a basis for developing an ex reviews the CBAx models submitted as part CBAx encourages agencies to identify post evaluation of the policy if it goes of Budget proposals to assess whether the impacts comprehensively, including fiscal ahead, thereby building a better evidence relative ranking of different Budget impacts for government, such as hospital base over time, as well as an ability to initiatives would change under different cost savings, and wider wellbeing impacts, change approach if the assumptions turn discount rate assumptions. To date, the such as less physical pain. While the costs out not to hold. relative ranking of initiatives on their ‘50- and benefits to government tend to be the While many challenges remain, there year return on investment’ is insensitive to easiest to quantify (because they are often has been a strong drive towards better data, 3% or 6% rates. already measured in monetary terms), they evidence and quantification in recent years. may not be the most important impacts New Zealand can use international Lessons learned from practice based on the intervention analysis. evidence, such as the Environmental The collaborative approach to developing A variety of frameworks can help Valuation Reference Inventory,12 the United CBAx also includes the sharing of user agencies identify the relevant wellbeing Kingdom What Works centres13 and the experiences and troubleshooting. We share impacts. Some agencies, such as Sport New Washington State Institute of Public Policy some of the lessons here, which all relate Zealand, have outcome frameworks for benefit–cost studies.14 Statistics New to the central themes of what to measure their policy area; other agencies, including Zealand and agencies have made significant and how to measure it. the , provide progress in developing the Integrated Data A common problem is for policy population-based frameworks, such as Infrastructure,15 which is a large research advisors to think that the impacts they ‘Bringing Gender In’.11 CBAx encourages database that holds microdata about

Page 72 – Policy Quarterly – Volume 16, Issue 1 – February 2020 people and households. The Hub16 provides options within a policy or across different money judgements (including access to social science research and helpful initiatives, and helping decision makers unmonetised impacts) and considered this guidance on how to assess evidence make trade-offs. The CBAx results include: alongside a range of decision factors. (Superu, 2017). The CBAx guidance • the standard cost-benefit analysis The Treasury encourages consideration includes links to such sources. summary metrics, such as net present of all impacts, whether these are monetised The monetisation of impacts – valuing value for five, ten and 50 years and the or not, and factors the evidence base into of impacts in dollar terms – can be benefit–cost ratio using two standard the judgement about the relative value of challenging. In many situations agencies methods (Abelson, forthcoming), with options. This is a broader value-for-money will not have the time or resources to automatic sensitivity analysis of the judgement than the summary metrics. For develop values. This is where the CBAx discount rate (6% and 3% currently); example, option A with a return on database can be particularly helpful. The investment of ‘2’ (i.e., $2 net societal database aims to: benefits for every $1 invested) may be • make New Zealand values publicly Issues of preferred over an option B with a return available and easily accessible for users; of ‘3’, if option A’s evidence base gives • standardise the values used for distributive greater confidence in the return or if the particular impacts: for example, the justice should unmonetised impacts are significant. value used for the statistical value of life In many cases there is a default and ($5,000,000); be considered implicit equal weighting of all impacts. • make the values consistent: for example, This can be changed. There may be various by adjusting all values to a common alongside the reasons for greater emphasis and weight year, including values that users add results of cost- on some impacts than on others. Previously themselves; we shared the example of using subjective • increase the monetisation of impacts benefit analysis. ... wellbeing information to weight wellbeing and thereby the comparability across domains (Government of Dubai, 2018). multiple dimensions of wellbeing; and Different theories Decision makers may weight impacts for • make undertaking a cost-benefit of distributive different people differently: for example, analysis more efficient by reducing the place higher weight on impacts for children research costs and time. justice may be or disadvantaged groups (see distribution The CBAx database helps with below). A third possibility could be greater standardising; however, policy advisors relevant. weighting on catastrophic or irreversible need to use their professional judgement impacts (Boston, 2017). Impact weightings of what the most appropriate values are are best as a distinct step; they should be and make any variation transparent, transparent, include sensitivity analysis including the basis for the variation. If the • impacts for government (mainly fiscal and inform (not make) political CBAx database misses values relevant for impacts) and for society overall; judgements. a particular proposal, agencies can add in • a chart of the present value of impacts In addition, there are a range of decision values that they have found outside CBAx. across the wellbeing domains; factors and criteria, other than value for These may be values from agency statistics • the strength of the evidence base for money, that inform policy advice. or adapted from overseas studies. In using specific impacts (qualitative contextual Consequently, a good or bad cost-benefit the values, agencies need to look at the information that does not affect the result is not deterministic and does not quality and nature of the source data, make calculations); preclude decision making on other grounds. any adjustments for the particular proposal, • the present value for specific impacts, The nature and magnitude of the impacts and document the rationale and method which is helpful for focusing on the can be overshadowed by other factors, such for making adjustments. impacts and assumptions that matter as: Acknowledging the practical challenges the most; • affordability (for government and and imperfections, the question is whether • qualitative indication of the users) – often scaling is considered; the policy practices and advice, and unmonetised impacts, and key • evidence strength and planned ex post ultimately the decisions, are better with, or assumptions. evaluation; without, CBAx. In the words of one agency The simplest and most visible way to • collaboration or fit within a package of policy advisor: ‘If you care about outcomes, use the results of cost-benefit analysis initiatives; get comfortable with this discipline.’ would be to assess and rank the options • implementation readiness and according to their performance against the practicality; Applying CBAx results to decision making (monetised) summary metrics, such as net • alignment with ministerial priorities – a The purpose of undertaking a cost-benefit present value, benefit–cost ratio and return key driver in practice; analysis using CBAx is to inform decisions on investment. However, the Treasury has • rights, if not considered earlier in the by measuring the impacts of different used CBAx results to inform value-for- policy process;

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 73 Valuing Impacts – the contribution of CBAx to improved policy practices

• distributional effects – who is affected benefits equally (luck egalitarianism) agencies, both on the agency analysis and matters. (see Dworkin, 1981a, 1981b). on how this has been used by the Treasury. The last two factors – rights and If it is not clear to agencies what they can distribution – may be considered as Conclusion – incentivising better practices do better, or it is unclear if their analysis separate steps from the cost-benefit CBAx can contribute to better valuing of influences Treasury advice, they lack analysis. Regarding the last factor, as noted impacts and better policy practices. CBAx incentives to undertake and improve their earlier, cost-benefit analysis is often silent challenges the view that cost-benefit use of CBAx. on the issue of distribution. analysis is too difficult and time consuming Agency policy leaders play several Cost–benefit analysis does not for policy advisors to do. It offers a practical important roles. First, they set the (necessarily) require recommending the way forward to make cost-benefit analysis expectations for staff of what analysis to alternative that maximises the sum total easier and less resource intensive. It takes undertake in support of policy advice. of benefits over costs – i.e., overall net Internal agency expectations for when to benefits (the ‘efficient’ policy alternative); use CBAx may need to be explicit. Second, to do so would be to make a substantive [CBAx] takes they are responsible for the capability build ethical choice. Kaldor-Hicks potential that is needed to make staff well placed to Pareto improvements occur when the a broad undertake quantitative analysis. Third, they benefits of a proposal outweigh the costs perspective can support the change agents in their so that it is theoretically possible for the organisations. Often one or two key people winners to compensate the losers such on impacts and drive the change in practice, and they need that no one is worse off and at least support to challenge the accepted practices someone is better off (see Hausman, makes different and to build the capability to adopt new McPherson and Satz, 2017; Boardman et initiatives practices. al., 2018). Note, though, that a Kaldor- Agency behaviour is strongly driven by Hicks potential Pareto improvement does comparable, ministers. Ministers set expectations, for not imply that the compensation is example via Cabinet circulars. Ministerial actually paid. To recommend the policy thereby facilitating demand for, and use of, advice incentivises option that maximises the aggregate net trade-off officials (Productivity Commission, 2018). benefits (with or without weights applied Demand for advice on the nature and value to individuals) is to apply the ethical discussions. of the impacts, and on the comparable theory of utilitarianism. Utilitarianism value across wider policy options, provides ignores what Rawls (1973) terms the incentives for agencies to make use of ‘moral separateness of persons’. While it CBAx. may be permissible for an individual to One possible scenario is that CBAx, trade off costs and benefits in their own a broad perspective on impacts and makes while useful and supportive of the strategic life, it is illegitimate (so it is claimed) to different initiatives comparable, thereby direction in the public sector, dies from aggregate costs and benefits across facilitating trade-off discussions. lack of demand and use. Another scenario individuals.17 Mandatory cost-benefit analysis is that New Zealand policymakers (and Issues of distributive justice should be requirements have provided impetus and others) embrace CBAx and take up the considered alongside the results of cost- practical insight for the development of the challenge to build capability and benefit analysis. And consideration of CBAx toolkit, using a ‘learning-by-doing’ continually improve the toolkit and policy issues of distributive justice are compatible approach. The Treasury and agencies have practices. One practical action could be for with the CBAx framework. Different invested in the development and use of the public sector, academia, the community theories of distributive justice may be CBAx. Agencies have demonstrated that sector and the private sector to contribute relevant, depending on the policy case.18 they can do better cost-benefit analysis to the publicly available CBAx database Policymakers could, for example, with CBAx than without CBAx. CBAx with robust values, measures and recommend the policy option that: allows for more robust, transparent and methodologies, thereby building a public • allocates the greatest benefits to the comparable evaluation of the broader asset. This could include subjective worst-off members of society impacts of policy options. So, where to wellbeing measures, as encouraged by (prioritarianism) (see Parfit, 1997); from here? User feedback matters – it Arthur Grimes. Officials and academics • allocates some minimum level of incentivises public sector behaviours and could work together to contribute to this benefits to each individual policy practice. fast-growing area in wellbeing economics, (sufficientarianism) (see Frankfurt, The Treasury has a key role, one not just and to apply wellbeing economics to public 1987); limited to providing the CBAx toolkit and policymaking (Grimes, 2019). As with • ensures people receive the costs and setting requirements. Importantly, the neural pathways, so with CBAx – use it or benefits they are personally responsible Treasury has a role in making use of agency lose it. We invite policy practitioners and for, and allocates all other costs and CBAxs and in providing feedback to decision makers to use CBAx to value

Page 74 – Policy Quarterly – Volume 16, Issue 1 – February 2020 impacts and improve cost-benefit analysis 9 The public sector discount rate reflects how the government Acknowledgements values outcomes that occur in the future relative to those practice, strengthening policymaking in that occur in the present (Creedy and Passi, 2017). Many colleagues, from the Treasury, 10 The Treasury recommends that specified real, pre-tax the service of New Zealanders. discount rates be used, unless a project-specific discount partner agencies and beyond, provided rate can be determined on objective grounds. The Treasury’s generous and insightful comments on a 1 https://treasury.govt.nz/information-and-services/state-sector- approach is that the discount rate reflects long-term leadership/investment-management/plan-investment-choices/ investment opportunities as set out at https://treasury.govt. draft of this article, and their comments cost-benefit-analysis-including-public-sector-discount-rates/ nz/information-and-services/state-sector-leadership/guidance/ substantially improved it. We are grateful treasurys-cbax-tool. financial-reporting-policies-and-guidance/discount-rates. The 2 For a range of policy tools, see Scott and Baehler, 2010, Treasury recommends that agencies do sensitivity analysis. for comments from: Peter Alsop, Jean- and the Policy Project resources at https://dpmc.govt.nz/ That can include different discount rates. Pierre Andre, Jonathan Ayto, Christopher our-programmes/policy-project/policy-methods-toolbox-0. 11 Sport NZ published an outcomes framework to articulate 3 The counterfactual is the impacts estimated to happen in the the contributions play, active recreation and sport make to Ball, Simon Brown, Peter Clough, Ramon absence of the proposed intervention. the wellbeing of all New Zealanders (Sport NZ, 2019). The 4 See Boston and Gill, 2017, for a range of perspectives on Ministry for Women launched the ‘Bringing Gender In’ policy Das, David Eng, Ben Fergusson, Dieter Katz, social investment. Developments included a moving from a tool in 2019 to help agencies explore gender policy impacts: Geoff Kerr, Todd Krieble, Joanne Leung, fiscal focus on reducing the Crown’s future fiscal liabilities, see https://women.govt.nz/gender-tool. such as welfare benefit payments, to a broader consideration 12 New Zealand contributes to the Environmental Valuation Bryan McDaniel, Tim Ng, Chris Parker, of impacts. Reference Inventory: see http://evri.ca/en. 5 The Treasury paid for a New Zealand government licence to 13 See https://www.gov.uk/guidance/what-works-network and David Rea, Carsten Schousboe, Graham the Australian Social Value Bank values when these were What Works Network, 2018. Scott and Ben Temple. Comments from launched in 2017. Due to licence conditions, these values 14 See http://www.wsipp.wa.gov/BenefitCost. cannot be publicly included in CBAx. However, under a sub- 15 See Statistics New Zealand https://www.stats.govt.nz/ professors Arthur Grimes and Jonathan licence, agencies can use these values in their specific CBAx integrated-data/integrated-data-infrastructure/. Boston further improved the final article. models. 16 See https://thehub.sia.govt.nz/about-the-hub/. 6 Weights for each wellbeing domain can be derived from a 17 Note that this is the case even if we were to add weights The authors take full responsibility for regression analysis of subjective wellbeing, indicating the – for example, to give greater emphasis to the costs (the relative importance of the domains in driving wellbeing. The harms, misery, pain etc.) of those who are worse off. This the views expressed, including any mistakes Policy to People (P2P) Impact Assessment Tool adjusts still allows for aggregating costs and benefits across or omissions, and note especially that the domain ratings with the relative wellbeing importance individuals, and for some individuals to face costs so that weights (Government of Dubai, 2018, pp.214–23). Domain other individuals may enjoy benefits. Indeed, this criticism article does not represent the views of the weights could potentially be developed and included in CBAx. applies to any form of public policy that involves policy 7 See the Living Standards Framework: https://treasury.govt.nz/ trade-offs. Treasury or any other government agency. information-and-services/nz-economy/living-standards/our- 18 For a useful overview and introduction to the basic theories living-standards-framework. Cost–benefit analysis estimates of distributive justice see Arneson, 2013. Note that there is the societal impacts across the wellbeing domains over time: ongoing debate among philosophers regarding the correct i.e., the specific impacts for a particular policy option, not theory of justice. It is appropriate for government to consider the high-level national indicators such as the Dashboard a range of theories of distributive justice. indicators. 8 See the Wellbeing Budget: https://www.budget.govt.nz/ budget/2019/wellbeing/index.htm.

References Abelson, P. (forthcoming) ‘A partial review of seven official jurisdictional Dworkin R. (1981a) ‘What is equality? Part 1: equality of welfare’, guidelines for cost-benefit analysis’, Journal of Benefit–Cost Analysis Philosophy and Public Affairs, 10, pp.228–40 Alsop, P. and S. Crausaz (2017) ‘Implementing social investment: Dworkin, R. (1981b) ‘What is equality? Part 2: equality of resources’, Pharmac’s experience’, in J. Boston and D. Gill (eds), Social Philosophy and Public Affairs, 10, pp.283–345 Investment: a New Zealand policy experiment, Wellington: Bridget Frankfurt, H.G. (1987) ‘Equality as a moral ideal’, Ethics, 98, pp.21–43 Williams Books Fujiwara, D. (2016) ‘Social impact valuation’, Simetrica, https://treasury. Arneson, R. (2013) ‘Egalitarianism’, in N. Edward and E.N. Zalta (eds), govt.nz/sites/default/files/2016-07/tgls-fujiwara-slides.pdf The Stanford Encyclopaedia of Philosophy, https://plato.stanford.edu/ Government of Dubai (2018) Public Policy Guide, http://tec.gov.ae/ entries/egalitarianism/ media/6791/pg-en.pdf Boardman, A., D. Greenberg, A. Vining and D. Weimer (2018) Cost– Grimes, A. (2019) ‘Wellbeing economics and policy: past, present, future’, Benefit Analysis: concepts and practice, 4th edn, Cambridge: inaugural lecture, Victoria University of Wellington, https://www. Cambridge University Press victoria.ac.nz/about/news-events/victoria-public-lecture-series/ Boston, J. (2017) Safeguarding the Future: governing in an uncertain wellbeing-economics-and-policy-past,-present,-future world, Wellington: Bridget Williams Books Hausman, D., M. McPherson and D. Satz (2017) Economic Analysis, Boston, J. and D. Gill (eds) (2017) Social Investment: a New Zealand Moral Philosophy, and Public Policy, New York: Cambridge University policy experiment, Wellington: Bridget Williams Books Press Creedy, J. and H. Passi (2017) Public Sector Discount Rates: a comparison Jensen, K. (2019) ‘What is the value of a policy proposal?’, https:// of alternative approaches, working paper 17/02, Wellington: The treasury.govt.nz/publications/research-and-commentary/rangitaki-blog/ Treasury, https://treasury.govt.nz/publications/wp/public-sector- what-value-policy-proposal discount-rates-comparison-alternative-approaches-wp-17-02 Layard, R. (2016) Measuring Wellbeing and Cost-effectiveness Analysis: Dobes, L., G. Argyrous and J. Leung (2015) Social Cost–Benefit Analysis using subjective wellbeing, Measuring Wellbeing discussion paper, in Australia and New Zealand: the state of current practice and what London: What Works Centre for Wellbeing, https:// needs to be done, Acton: ANZ Press, http://dx.doi.org/10.22459/ whatworkswellbeing.files.wordpress.com/2016/08/common-currency- SCBAANZ.04.2016 measuring-wellbeing-series-1-dec-2016.pdf Durand, M. and C. Exton (2019) ‘Adopting a wellbeing approach in central Neumann, P., G. Sanders, L. Russell, J. Siegel and T. Ganiats (eds) (2017) government: policy mechanisms and practical tools’, in Global Cost-effectiveness in Health and Medicine, 2nd edn, Oxford: Oxford Happiness Council, Global Happiness and Well-being Policy Report, University Press http://www.happinesscouncil.org/

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 75 Valuing Impacts – the contribution of CBAx to improved policy practices

New Zealand Transport Agency (2013) Economic Evaluation Manual, Sport New Zealand (2019) Outcomes Framework: creating a Sport NZ https://www.nzta.govt.nz/resources/economic-evaluation-manual/ outcomes framework, Sport New Zealand and New Zealand NZIER (2018) Review of CBA Advice to Support Budget Initiatives: the Government, https://sportnz.org.nz/managing-sport/search-for-a- impact of CBAx and lessons for future budget processes, Wellington: resource/tools-and-resources/sport-nz-outcomes-framework New Zealand Institute of Economic Research for The Treasury, https:// Superu (2017) ‘An evidence rating scale for New Zealand: understanding treasury.govt.nz/publications/review-cba-advice-support-budget- the effectiveness of interventions in the social sector: using evidence initiatives-nzier-report-treasury for impact’, https://thehub.sia.govt.nz/resources/evidence-rating-scale/ O’Donnell, G., A. Deaton, M. Durand, D. Halpern and R. Layard (2014) Treasury (2015) Guide to Social Cost Benefit Analysis, Wellington: The Wellbeing and Policy, Legatum Institute report Treasury, https://treasury.govt.nz/publications/guide/guide-social-cost- OECD (2018) Cost–Benefit Analysis and the Environment: further benefit-analysis developments and Policy Use, Paris: OECD Publishing, https://doi. Treasury (2019) CBAx Tool User Guidance: guide for departments and org/10.1787/9789264085169-en agencies using Treasury’s CBAx tool for cost benefit analysis, https:// OECD (2019) OECD Economic Surveys: New Zealand 2019, Paris: OECD treasury.govt.nz/publications/guide/cbax-tool-user-guidance Publishing, https://doi.org/10.1787/b0b94dbd-en Weijers, D. and P.S. Morrison (2018) ‘Wellbeing and public policy: can Parfit, D. (1997) ‘Equality and priority’, Ratio, 10 (3), pp.202–21 New Zealand be a leading light for the “wellbeing approach”?’, Policy Productivity Commission (2018) Improving State Sector Productivity, final Quarterly, 14 (4), pp.3–12 report of the measuring and improving state sector productivity inquiry, Weimer, D.L. and A.R. Vining (2005) Policy Analysis: concepts and vol.1, Wellington: New Zealand Productivity Commission practice, 4th edn, New Jersey: Pearson/Prentice Hall Rawls, J. (1973) A Theory of Justice, London: Harvard University Press What Works Network (2018) The What Works Network: five years on, UK Scott, C. and K. Baehler (2010) Adding Value to Policy Analysis and Government, https://www.gov.uk/government/publications/the-what- Advice, Sydney: UNSW Press works-network-five-years-on. Social Value International (2019) The Australian Social Value Bank and the Social Value Principles, Australian Social Value Bank and Social Value International, https://asvb.com.au/ School of Government Brown Bag seminars – open to all Join lively, topical presentations • Strategic public procurement: a and discussions in an informal research agenda setting at the School of • What role(s) for Local Government. These Brown Bag Government: ‘roads, rates sessions are held the first Monday and rubbish’ or ‘partner in of most months, over lunchtime. governance’? Past topics have included: • Human capital theory: the end • Intergenerational wellbeing and of a research programme? public policy • How do we do things? • A visual exploration of video We would welcome your surveillance camera policy attendance and/or guest and practice presentation, if you are interested. • The role of financial risk in the New Zealand Primary Health Care Strategy Contact us to go on the mailing list for upcoming sessions at [email protected]

Page 76 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Michael Macaulay

Towards a New Public Ethics Abstract This article is a very slightly modified version of Michael Macaulay’s I am now privileged to live in beautiful Victoria University of Wellington inaugural professorial lecture, of Aotearoa, where we are consistently ranked among the top two or three least corrupt the same title, which was delivered on 5 November 2019. It offers countries in the world, and whose prime an overview of misconduct issues in the New Zealand public sector, minister is globally recognised as possibly the best example of an ethical, responsible and an explanation over the causes of toxic workplace cultures. It leader currently working in modern ends with a plea to develop a more specifically care ethics approach, politics. Only last week former FBI director to augment current public ethics perspectives. The lecture draws on James Comey revealed himself as yet another prominent US citizen who wants seven years of accumulated research but foregrounds results from to move to New Zealand. No wonder that the three-year, ARC-funded Whistling While They Work 2 research many colleagues in the UK assumed I was project, for which Michael was the New Zealand lead. moving to New Zealand for some form of pseudo early retirement, as there is so little Keywords New Zealand, ethics, misconduct, organisational culture, to research. care But of course that’s not really the case. Only within the last few weeks a new he last time I gave an inaugural in the UK and disagreed with many of our inquiry has been launched into bullying in lecture was in 2011, when I was findings. At the time I was taken aback by the New Zealand Police, which follows TProfessor of Public Management these claims, not least because about two fairly hot on the heels of a damning report at Teesside University in the UK. At that weeks after sending us his critique came into the same behavioural issues in time I had recently been involved in a the first of his government’s ministerial Parliament. The prime minister’s party is minor spat with then-Prime Minister resignations precisely on the grounds of still embroiled in a sexual harassment David Cameron over a major piece of corruption. I think history has shown scandal which, in classic tradition, has research my team and I had published on that it wasn’t the last time that Cameron become much worse due to the perception corruption in the UK for Transparency miscalculated a response to perceived of cover-ups surrounding it. My own International (Macaulay, 2011). Cameron criticism. research, which obviously I will be touching flatly denied that there was any corruption upon this evening, reveals what the key issues facing the New Zealand public Michael Macaulay is Professor of Public Administration at the Wellington School of Business and Government. service are.

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 77 Towards a New Public Ethics

This lecture will explore such themes exist but in relatively isolated incidents. are overwhelmingly New Zealand public in three ways. First, it will offer a diagnosis They are issues of behaviour. Our research servants who are still working in important of the ethics issues facing the public service on misconduct and internal reporting leadership roles. Every year we begin with (and, more broadly, public life). Second, it shows these problems very clearly. Our a self-reflective essay on an ethics issue they will outline an explanation for many of work shows conclusively that bullying is either face or have recently had to contend these issues, although time probably won’t the single most observed and reported with. Nearly every essay has been about enable me to look at all of them. Third, it form of misconduct in the New Zealand bullying in varying forms: psychological, will argue for some ways forward for us to public service. This is probably the least always emotional, occasionally even reconsider these issues; not necessarily to surprising observation of the lecture. physical. My students have been crying out solve them, but to begin to resolve them. for years on this issue. The idea that such solutions can come from one person, or a small group of Our work shows Explanation people, is in itself part of the problem. Why does it happen? The answer is simple Ethics problems are socially experienced conclusively to understand and, of course, deceptively and understood; they can only be properly difficult to counter. It is a combination of resolved through social interaction and that bullying individual, cultural and systemic issues. meaningful conversations. They are not is the single The vast majority of work in this field owned by academics; nor are they owned – both academic and in various inquiries, by public servants alone. Hence the title of most observed consultancies, etc. – focuses on the first two this lecture: there can be no new public elements. It is often unhelpful to make ethics without a public. and reported predictions, but I am sure that the new Before getting to the heart of the form of inquiry into the New Zealand Police will discussion it may be useful to add a couple do so too. This is because so much work of caveats. The first is that the observations misconduct in has already been done on police cultures tonight are the product of research and around the world, and in New Zealand in evidence and are not simply critique.1 To the New Zealand particular as has already been shown to be reiterate, New Zealand’s reputation for public service. the case, over and over again. Very little is having a high-trust, high-integrity public unknown about this area. service is entirely deserved. It is a shame, in Toxic workplace cultures allow poor a sense, to have to add this caveat but it is behaviour to thrive. As we can see from our important to emphasise. Many times in my recent research in New Zealand and near-seven years in New Zealand I have In just the past few days an inquiry has Australia, but also from decades of research observed research being diminished and been launched into bullying in the New preceding it, these always have a rejected as being negative, when it is only Zealand Police, headed by Debbie Francis. combination of the same specific factors. trying to illuminate genuine problems. Francis, let’s not forget, only published her • Ineffective leadership. For the purposes So please do not misunderstand my report into bullying in the New Zealand of this lecture, the following may seem intent this evening. I will not be critiquing Parliament in May. Over the years my slightly unscientific so please don’t raise any agency, nor the public service generally. friend and colleague Geoff Plimmer has your hands, but how many people here And I must stress that every single issue that produced significant evidence of the have experienced serious issues at work is being discussed tonight applies equally prevalence and harmful effects of bullying. that have simply been either managed if not more so to the world of academia. I The Public Service Association has away, or where the person who has am not speaking from a position of moral produced much research which has created chaos has even rewarded? It superiority. In fact, I am willing to wager reinforced this view. In 2013 the State could be a passive reward (for example, that what I discuss is neither more nor less Services Commission’s own Integrity and other people picking up the mess that than the experiences that a majority of Conduct survey found the same. And, of they have caused), or it can be an active people in this very room have experienced. course, it is not just the public sector. In reward: there are no small number of In fact, I am going to go further. For much June this year we learned that New Zealand cases of people being promoted out of of this discussion the voice you will hear is has the second highest rate of school a problem. Again, I’m very willing to not mine – it is yours, the voice of the New bullying among all OECD countries. wager that many of you have witnessed Zealand public service, being reflected back What has brought this home to me on this at first hand. This is done because onto itself. a much more personal level, however, are leaders can’t or won’t make decisions the public servants I teach. Over the last that will confront an issue. I would Diagnosis seven years I have run a course on public hesitate to suggest that this behaviour What, then, are the main integrity issues integrity for students doing Victoria’s is due to a lack of moral courage, and facing New Zealand? They are not issues Master of Public Policy and Master of very often the decision makers are of hard corruption or bribery, which do Public Management degrees. The students themselves in a bind. But such

Page 78 – Policy Quarterly – Volume 16, Issue 1 – February 2020 behaviour isn’t helpful. Our research nearly every speaker and the message unique. It is all nonsense. They are all also shows that leadership issues can be was largely the same. Agencies of all very different, for sure, but difference exacerbated as leaders tend to sizes and shapes are working tirelessly isn’t uniqueness and there are far more overestimate their own ethical to promote public trust. Too many unifying factors than differentials. judgement and abilities, compared to agencies are overlooking the trust of Exclusivity is the one area that I the perceptions of their followers. the teams within. That is where the respectfully disagree on within the • Poor processes. There is a lack of process, fault line is, my friends, and it needs to magisterial report on parliamentary or at least an unclear process that makes be healed by not losing the public focus bullying (Francis, 2019). The report accountability very difficult to follow. (never do that), but not allowing that concluded that the institutional context New Zealand did not rate as highly in to morph into protectionism. within Parliament was so different that its terms of robust processes as Australian very uniqueness promoted its poor jurisdictions (Brown and Lawrence, behaviours. I cannot agree because the 2017) report found the same combination of • External reputation above everything. Some factors outlined above (plus a few more I Organisations will go through all sorts generalisations don’t have time to mention). Far from of moral wriggling to ensure that their being unique, the bullying in Parliament is reputations are protected in the outside can be so bad the same old combination of toxicity. world. Again without wishing to be too • Internal silence. Closely linked with the that they work speculative, I am sure the New Zealand above, when a person finds out on the basis of the Police report will find these same factors something has happened without them too. It will also find that there is no single knowing it makes them feel isolated Forer effect – the police culture but a network of subcultures and disempowered. Again, I ask that cross location, rank and levels of members of the audience to think of psychological bias behaviour, just as in all other police forces your own experiences to see how much that enables people across the globe. this may resonate. In more extreme What is pernicious about the misguided cases it can lead to perceived cover-ups, to read into belief in exclusivity are the cumulative non-disclosure agreements and ‘quiet effects of its logic. If we are unique then words’ with people. There may be good statements nobody can understand us. If nobody can reasons for any of this behaviour, but whatever understand us, then they have to become if there is silence around it, the person one of us to do so. In order to become one most affected does not know. And we they wish. of us, they must follow our codes, rules and all know that huge stress is created from ‘the way we do things around here’. In order not knowing. As a result, even if leaders to do that you must effectively become think this is the best course of action, initiated. Those who won’t or don’t become the outcome is usually the opposite: • Myth of exclusivity. Finally, I would initiated are ostracised, explicitly or tacitly. people who come forward do not feel argue that the other common Outsiders are neither trusted nor welcome. protected or supported. Silence denominator in toxic cultures is an And on it goes. overwhelmingly protects the obsession with exclusivity. Every agency We have seen these patterns time and organisation. believes it is unique. Agencies within time and time again, throughout history • Trust. It is absolutely true, and it is agencies believe that they are unique. and across both sectors and jurisdictions. completely justified in my view, that Look at the building we are in. To a People have been writing about this for levels of public trust in New Zealand non-academic there might be a belief years. It doesn’t change. You know what I’m are very high, particularly for the public that academic culture is unique. To talking about because it has happened to service in general, but also in specific academics outside the university there you. It might be happening to you right institutions such as the Police. People may be a perception that Victoria has now. It is crucial to reiterate: difference is work very hard to build and maintain its own unique culture. Each faculty not exclusiveness. More things unite us that trust relationship and it should be may believe it has a unique culture. And, than separate us. both celebrated and cherished. within those faculties, each school Conversely, however, trust within an usually considers itself to have its own Systemic solutions organisation can become neglected. I culture. And, in fact, within each school The individual and cultural aspects of was honoured a couple of months ago there can be subcultures. So, within a organisational and/or public ethics are to offer a summary of the third IPANZ single institution – this very university thus very well understood and are an public sector conference. I don’t know – we cannot talk about a ‘culture’ but extremely lucrative business opportunity how conscious it was, but trust was the really a cultural pyramid scheme, each for consultants and, to a slightly lesser issue that came up again and again with part fuelled by a conviction that it is financial extent, academics. Solutions are

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 79 Towards a New Public Ethics

very often couched in generalisations that problem of the ethical orientation of how create abstract principles that we can border on platitudes. One recent report for we visualise the public service. apply across situations, care ethics the Australian public service concluded As a broad rule I’m sure we are all aware looks at specific, concrete situations that ethical leadership is important and of the five major ethical orientations. In that rely solely on context. is needed. Can there be a more obvious class I usually call them our five ethical In any given situation we usually – even truism? Respectfully, that is not a very senses, as they correspond to the way we subconsciously – apply a number of these valuable conclusion. perceive ethical issues. As in biology there perspectives. It is interesting, too, to see Some generalisations can be so bad that how they are applied in commentaries on they work on the basis of the Forer effect others. For a few years virtue theory was – the psychological bias that enables people ... some of the quite unfashionable, but with the rise of to read into statements whatever they wish. Trump, Johnson and other recent political A very general statement can have almost issues that leaders it is almost exclusively used as a mystical significance, simply because means of denigration. Praise for our own people have attributed their own meaning we may see in prime minister also frequently focuses on to it. Go into any airport bookshop and New Zealand are the perceived quality of her character. you can find reams of such work. I would argue, however, that decades of Deeper and more nuanced solutions not ‘New Zealand thought on public administration – which are far less popular and they are more includes here public policy, public difficult to sell, and that is because they are issues’ at all, but management, and the relations between far more difficult to implement. I’m very a lasting legacy politicians and public servants – has been proud to be part of the Whistling While geared towards universalist principles. How They Work 2 project because it has offered of systemic can it not be? It is not easy to create public practical guidance throughout: towards policy on an individual basis. I would legislation; organisational improvements thinking about further argue that in terms of such (Brown et al., 2019). It does not rely on bureaucracies, principles, the principle orientation has generalities or promote something that been around two of these perspectives: would be nice to achieve. We say what democracies obligations and justice. works and tell you how to do it. But even All of the cultural factors that I that only attends to one set of organisational and what the mentioned earlier in this lecture pivot cultural aspects. public service is. around these two principles. When we look That is because we need to collectively specifically at bullying we see this time and work on much deeper, more systemic again. The principle organisational solutions. These are by their nature reaction is to protect the organisation and extremely complex and so ingrained that ensure fair process. These are it is impossible to approach, or even discuss, are, of course, more than five senses, but understandable aims and I’m not arguing them as individuals or small groups. In this these will do for now: against fair process. But, as in real life, level age of climate justice, though, I believe that • consequentialism – looking at the playing fields are actually tipped heavily in we are moving towards a much broader outcomes of our actions, which favour of those at the stronger end of and more caring social consciousness, includes various forms of utilitarianism power differentials. which will continue to be fuelled by (greatest good for greatest number, The most horrendous downside to environmental necessity, so I am very etc.); these perspectives is a descent into what optimistic. My two boys are here tonight. I • deontology – what are we obliged to do Guy Adams and Danny Balfour (1998) hope they will be part of positive change. and to whom, which includes the have identified as ‘administrative evil’. The When I use the word systemic I mean promises we make, either explicit or concept of administrative evil develops deeper political, economic, social and tacit; Hannah Arendt’s seminal observations value-based ideas. And obviously we could • virtue – what are the characteristics that about the dehumanising power of discuss so many of these, but not only does make us ‘good’ people and enable us to bureaucracy and its tendency to enable time not permit me to do so; it inevitably attain the good life, for ourselves and people to do terrible acts. The Milgram will lead us into too expansive a terrain. for others?; experiments put that theory into action: a Bringing it back directly to public service • justice – what makes a decision fair, and faceless authority figure is all it takes for ethics, the systemic issue I’d like to highlight for whom?; people to do terrible things. Arendt was is one that definitely affects New Zealand, • care – which is not only about talking principally about the Holocaust, but is also equally not a ‘New Zealand considering the human side of an ethics but there is no shortage of recent examples: problem’. It is an issue that affects all issue, but a different orientation Trump’s concentration camps along the jurisdictions, though perhaps more so altogether: whereas the previous four southern US border; the UK’s treatment of developed democracies, because it is the are universalist in outlook, looking to the Windrush generation. The people who

Page 80 – Policy Quarterly – Volume 16, Issue 1 – February 2020 Figure 1: Ethical stewardship

• What are our sources/levels • What is the intended of power to take a decision? outcome of the • What is the bases of our authority decision? (e.g. legal; moral; organisational)? • For whom are the goals • Do we have the resources Care Consequences worthwhile? to enact the decision? • Is the action Achievable? • What are the impacts on • Do potential cost our rights and the rights of outweigh the benefits? those affected? Future- focussed interventions Virtue Obligations • How does the decision affect • Is the action consistent the people involved? with values? • Who is impacted? How? • What are the guiding • Are we causing any harm? values behind the decision? Does the action meet these • How do we mitigate against criteria? any negative impacts? Justice • If we need to deviate from • Do we promote mutual benefit out values can we justify for as many people as possible? our approach?

implement these things are almost certainly Conclusion been a rush to slap the words ‘new public’ lovely in most respects, yet through the Obviously this is just one set of issues, on just about everything. mask of loyalty to the organisation and the but it is one that, I hope, you will agree is For those who did notice, then you are sense that it’s fair because it’s an order to central to the idea of public service ethics. absolutely correct – I did that deliberately be followed they can engage in acts that It also shows that some of the issues that as a nod to that tradition. I also did it, shock and repel other people. we may see in New Zealand are not ‘New however, because I really do think we need Is there a New Zealand equivalent? Yes; Zealand issues’ at all, but a lasting legacy new approaches at systemic levels, lots. You know them and unless we of systemic thinking about bureaucracies, particularly to expand our orientation humanise public administration we will democracies and what the public service is. away from obligation and justice, and continue to face these issues. And on that note I leave with a note of towards a greater orientation of care. And Systemic issues can and do improve, optimism and a challenge. The optimism I also did it because – ironically – there is however. This future generation is showing is simply that the power to make changes nothing at all new in this idea. that a change in social values leads to so is ours to use, but in order to do so we need The final challenge is to what seems to many changes to the world. What I suggest to work together. I genuinely believe that me to be the unending desire to keep we need to think about at this level – and the New Zealand public service may have rebranding very well-known ideas as ‘new’. again I say think about because I believe issues, but that these are very similar to New Public Management wasn’t this needs to be a collective set of decisions those in just about every other walk of life. particularly new, and I would argue wasn’t – is the basic orientation of public service And I also believe that the people who even an actual thing. The history of thought ethics. Here is one such framework that make up the public service are noble and in public policy, management and students and I put together collectively in aspirational people who are committed to administration is one of evolution and one of my master’s courses, which we improving well-being. My only concern is emergence. That we craft labels for different denoted ethical stewardship (Figure 1). that they are hidebound by thinking that phases of this thought is fine, but it’s not The framework can be used as a is 700 years old. real. heuristic device: as rules of thumb that are Which brings me to my challenge, I respectfully suggest that it is easily recalled, rather than as anything which is primarily directed towards my symptomatic of what I call ‘imperial deeply philosophical. The model is in a fellow academics. It cannot have escaped thinking’ – the idea that because something well-mined tradition of ethical decision- some people’s attention that I have cheekily is new to us then it must be new to all, in making frameworks, but this one titled this lecture ‘Towards a New Public the same way that discovering a piece of specifically entails different ethical senses Ethics’. My colleagues will recognise this as land that has been inhabited for hundreds and also looks to a longer-term perspective. a branding issue: ever since New Public or even thousands of years suddenly makes It is as strategic as it is reactive. Management became a thing there has that a new country. We can take all of the

Policy Quarterly – Volume 16, Issue 1 – February 2020 – Page 81 Towards a New Public Ethics modern frameworks and thinking we have As for my role, I continue to be need to exercise a care perspective towards and see how they have been used for honoured to try and help create and those with whom we are trying to share centuries. If anybody really wants to disseminate knowledge in this area, which our ideas. And we do so by listening to the understand why Trump’s chaotic leadership I can do only through my own learning. My public, in all its myriad and glorious is sadly effective in its own way, just read future research plans include collaborating manifestations. There can be no new public chapter 17 of The Prince by Machiavelli; with some of my colleagues in this room ethics without the public. although I’m sure he hasn’t. If anybody to continue work on improving processes 1 It should be noted that although this lecture draws on wants to understand concepts such as around internal reporting, and identifying an accumulated seven years’ worth of work, much of it is servant leadership, upon which entire the strategic value that anti-corruption and being taken from the Whistling While They Work 2 suite of research. This is the largest project of its kind ever reputations and careers have been built in pro-integrity work can bring. But all of it undertaken, and looks at internal reporting and misconduct in public, private and not-for-profit sectors across Australia the last few decades, I suggest talking to any will be done collectively. and New Zealand. I would like to acknowledge the support of our Samoan sisters and brothers about Instead of trying to colonise knowledge of the State Services Commission and the New Zealand ombudsman for the New Zealand work, and the leadership tautua, which has been around for ever. as a branding opportunity to sell ourselves of Professor A.J. Brown at Griffith University who devised The list goes on. as great thinkers, we perhaps ourselves and led the project.

References Adams, G.B. and D.L. Balfour (1998) Unmasking Administrative Evil, New Whistle: a five step guide to better whistleblowing policy and practice in York: Sage business and government, Brisbane: Griffith University Brown, A.J. and S. L. Lawrence (2017) Strength of Organisational Francis, D. (2019) Bullying and Harassment in the New Zealand Whistleblowing Processes: analysis from Australia and New Zealand, Parliamentary Workplace, Wellington: New Zealand Parliament Brisbane: Griffith University Macaulay, M. (2011) Corruption in the UK, vols 1–3, London: Brown, A.J., S. Lawrence, J. Olsen, L. Rosemann, K. Hall, E. Tsahuridu, C. Transparency International UK Wheeler, M. Macaulay, R. Smith and P. Brough (2019) Clean as a IGPS NEWSLETTER “Across the world, biodiversity is plummeting. The numbers very fortnight the IGPS sends out a free newsletter, are unprecedented and they are terrifying: estimates are Ewith editorials by IGPS research staff offering that we are now losing species at 1,000 to 10,000 times accessible expert analysis of topical issues. The newsletter the background or natural rate. Nowhere is the loss of highlights our upcoming events, as well as those run by biodiversity more pronounced than here in New Zealand.” Victoria University’s School of Government and others our Mike Joy, IGPS newsletter editorial, April 2019 subscribers might find interesting. “The current tax and transfer system does not achieve Recent events have featured Sir David Skegg, the fairness and justice the Tax Working Group was asked epidemiologist, public health physician, and former Vice- to consider. Nor does it promote economic efficiency or Chancellor of the University of Otago, Sophie Handford, environmental sustainability.” organiser of New Zealand’s involvement in the School Michael Fletcher, IGPS newsletter editorial, August 2019 Strike 4 Climate movement, His Excellency Seung-bae Yeo,

“Given its constitutional importance, this bill reforming the ambassador to New Zealand from the Republic of Korea, public sector is not the product of a sufficiently high quality, and Peter Fraser, economist and a leading authority on the considered and rigorous process. The failure of process dairy industry. is evident in the quality of the bill, which falls short of the To subscribe to the newsletter, send an email highest standards.” to [email protected] with subject line “subscribe to Simon Chapple, IGPS newsletter editorial, January 2020 newsletter”.

Page 82 – Policy Quarterly – Volume 16, Issue 1 – February 2020 New from Victoria University Press

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