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Item The interface between ethical leadership and food safety culture in Aotearoa New Zealand food businesses : a thesis presented in partial fulfilment of the requirements for the degree of Doctor of Philosophy, School of Management, Massey University, Palmerston North, New Zealand(Massey University, 2025-05-20) Newport-Smith, WendyMeasuring, evaluating and improving food safety culture is a priority for Aotearoa New Zealand food businesses. This is driven by the desire to produce food of the highest quality that safeguards consumers, protects the reputation of New Zealand Inc., and meets the requirements of international standards and regulations. This is the first in-depth qualitative investigation into food safety culture and ethical leadership in Aotearoa New Zealand food businesses, including some of this country’s largest food exporters. Using a mixed methods approach this research has provided unique, contemporary understanding and insights, while simultaneously providing a novel contribution to the body of knowledge. Two research workstreams were used; the first a quantitative workstream involving a voluntary survey of manufacturing and distribution employees in New Zealand’s largest food business; a dataset of responses to food safety and ethical leadership questions from 1181 individuals. Using Principal Component Analysis (PCA) applied to Lickert-scale variables, combined with multivariable modelling, this research found a positive relationship between food safety culture and ethical leadership and evidence for differences in responses according to several respondee characteristics. These included associations between PCA coordinates that captured variation in individual responses to food safety and ethical leadership questions, and the supplementary variables: role (e.g. staff or supervisor), site and gender. Ethical leadership has been shown to improve effectiveness, performance and safety at an organisational and individual level. Therefore strategies to improve ethicality across Aotearoa New Zealand food businesses in order to improve food safety culture and ensure safer food outcomes are suggested: consultatively developing organisational values which are well communicated and lived; ensuring ethical considerations when hiring staff; ethical considerations when setting expectations, and in training and mentoring staff and managing performance processes including the use of consequences; and modelling good behaviour, making fair decisions, ensuring open, clear communication and giving employees a voice. While largely positive, the quantitative strand did reveal a level of dissatisfaction with both ethical leadership and food safety culture, suggesting room for improvement. Further research is needed to better understand management’s, supervisors’ and workers’ perspectives on both aspects. The second workstream involved one-on-one semi-structured interviews with 32 founders, owners and senior food safety and quality personnel from 31 Aotearoa New Zealand food companies with thematic data analysis resulting in five key themes: Values; Responsible Stewardship of Natural Resources; Māori Worldview; Ecosystem Pressures and Leadership. The issues identified to be important to Aotearoa New Zealand food businesses include: individual, managerial and organisational values; leadership and management commitment in influencing organisational, food safety and ethical climate and culture; inter-generational value-creation, sustainable practice and acting as kaitiakitanga meaning guardianship or protection. This research has also provided insight into the drivers for and primary challenges related to food safety for Aotearoa New Zealand food businesses. This research has contributed to an up-to-date understanding of the characteristics of ethical leaders in Aotearoa New Zealand, who, according to this study, are humble, honest, respect indigenous Māori values, and are not corrupt. They have a degree of relatedness, care about our natural environment, have a strong sense of identity or place, are collaborative, are fair, and are accountable. Our size, Indigenous Māori worldview, and our geographical isolation contribute to the unique interpretation and application of these leadership characteristics in Aotearoa New Zealand. Several limitations are acknowledged, not the least of which was the context for this research which began at the outset of the global pandemic, with both positive and negative consequences. The use of one, albeit large food business in the quantitative workstream is noted, as is the focus of the participants in the qualitative workstream. Broadening this research to all hierarchical levels in several food businesses would be of benefit, and this is one of a number of research recommendations for the future. The positive correlation between ethical leadership and food safety culture found in this research suggests that maintaining and improving the ethicality of leaders within Aotearoa New Zealand food businesses may positively influence food safety culture and therefore, the production of safer food.Item Quality improvement interpreted as a complex adaptive system : implications and opportunities : a thesis submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy at Massey University, Palmerston North, New Zealand(Massey University, 2024-11-01) Wilson, WilliamThe effectiveness of quality improvement (QI) methods in healthcare has been challenged, especially under circumstances of high complexity. This thesis examines the implications for quality improvement if complex socio-technical systems such as healthcare are interpreted as complex adaptive systems (CAS). The research followed a mixed-method design. Informed by the complex systems and quality management literature, a conceptual model for quality improvement within CAS was developed — the complex quality improvement network (CQIN). An agent-based simulation model was then used to establish the plausibility and face validity of the model constructs and their interaction. Thematic analysis and crisp-set qualitative comparative analysis (QCA) were then used to examine the evidence for CQIN constructs within published quality improvement case studies. One applied case study was also conducted for deeper insight into the practical difficulties of interpreting a real-world quality improvement project as a CAS. Finally, the findings of the simulation modelling and the secondary data analysis were integrated into a Bayesian network model. Empirical evidence, in the form of consistency across cases and coverage within cases, was found for eleven of the twelve CQIN constructs. Multiple sets of sufficient conditions for reported improvement success were identified across cases. These sets were minimised to four strategies for successful quality improvement; i) strengthening agent network communication paths; ii) building shared understanding of problem and context amongst networked agents; iii) increasing problem-solving effectiveness; and iv) improved system signal integration. If the evolutionary foundations for CAS are in some way inhibited, the likelihood of quality improvement success is reduced. Healthcare quality improvement can be plausibly simulated using fundamental CAS principles. The first contribution to quality improvement discourse is the CQIN model, a CAS model of change applied specifically to quality improvement. A second contribution of this research is a complex quality improvement risk assessment model, the CQIN Bayesian Network. Practitioners can use this model to examine and test identified CAS-informed improvement strategies. The individual CQIN constructs make a third contribution by providing new categories of causal factors for the comparison of disparate quality improvement case studies.Item The key factors driving successful improvement in primary care : a mixed methods investigation of the determinants of quality improvement success in Aotearoa New Zealand : a thesis with publication presented in partial fulfilment of the requirements for the degree of Doctor of Philosophy, Massey University, Palmerston North, Aotearoa New Zealand(Massey University, 2023-11-30) Cullen, JanePrimary care is where the population receives most of their health care and where successful quality improvement (QI) can have the biggest impact on health, wellbeing, equity, and health system performance. A better understanding of the factors that influence QI in primary care is urgently needed to support a high-performing primary healthcare system. Most prior studies into the determinants of effective QI have focused on secondary care organisations and large-scale collaborative efforts. Primary care services such as general practice present a different set of challenges. Various key contextual factors have been identified in the literature, but few studies explain how they relate to each other and QI success. This study sought to answer the following questions: 1. What are the contextual factors influencing primary care improvement interventions? 2. How do the contextual factors, improvement content (topic and planned changes) and the implementation process influence each other and the improvement outcomes in primary care? 3. How applicable for primary care assessment is the Model for Understanding Success in Quality (MUSIQ), a tool for assessing modifiable contextual factors developed in secondary care? This research was an explanatory sequential mixed methods study based in the Aotearoa, New Zealand (NZ) primary care setting of general practice and Primary Health Organisations (PHOs). Amulti-case mixed methods approach was followed in the first stage. Mainly qualitative data were collected from primary care interviews guided by the Consolidated Framework for Implementation Research (CFIR). This was compared with quantitative data from the MUSIQ survey. The second stage consisted of a national survey where emerging theory was tested by partial least squares structural equation modelling (PLS-SEM). The findings revealed that most teams did not use formal QI methods, instead relying on their people-centred relationship skills and networks to drive QI via distributed leadership. Teams were intrinsically motivated by community and patient need and drew on strengths developed within the complexity and uncertainty of the primary care settings to drive QI. The collaborative skills which are increasingly required in the modern primary care setting support the shared social processes of sensemaking for enacting change. The key success factors driving QI in primary care are identified and how they relate to each other explained. A primary care adaptation of MUSIQ has been proposed that may aid improvement practitioners and researchers to assess primary care contexts. The key strengths should be developed and supported across primary care services and capability, capacity and resources supported centrally to increase the ability of primary care to improve services more easily and effectively.Item Validating the theoretical underpinnings of the ISO 9001:2015 quality management system standard : a multi-country study : a thesis presented in partial fulfilment of the requirements for the degree of Doctor of Philosophy in Engineering at Massey University, Manawatu, New Zealand(Massey University, 2020) Pallawala, NisansalaISO 9000 family of quality management system (QMS) standards — particularly ISO 9001, which stipulates QMS requirements for compliance — have received a great deal of attention by academia and practitioners. Every year, thousands of organisations obtain ISO 9001 certification worldwide, and a plethora of studies have examined the effectiveness of ISO 9001 implementation, empirically or otherwise. One existing knowledge gap is the absence of a comprehensive study that examines the theoretical validity of ISO 9001. Another is ascertaining how ISO 9001 compliance requirements are accepted across countries and regions, given that ISO 9001 is meant for sociotechnical systems. Using responses received from 240 ISO 9001 certified manufacturing companies in five countries, this study empirically examined the theoretical validity of ISO 9001:2015, which is claimed to underpin Plan-Do-Check-Act (PDCA) at the overall QMS level. The theoretical model of the study which posited that “Leadership Driven QMS Planning (LDQMSP) (reflected via clauses 04 through to 07 of the standard) leads to implementing the planned processes (reflected via clause 08), and checking the effectiveness of these processes (reflected via clause 09) and taking appropriate action (reflected via clause 10) leads to QMS Results” was found to be a good fit to data, based on goodness of fit criteria used in partial least squares structural equation modelling. As regards national culture effects and regional effects (Australasia, South Asia, and Greece), the empirical test results found that national culture (or region) plays only a very minor role in making ISO 9001 based continual improvement (PDCA) of the QMS being more acceptable to certain cultures than to others; power distance (PDI) and individualism (IDV) showed positive and negative effects (but small) respectively on Plan (LDQMSP), Do, Check, Act, and QMS Results as hypothesised. However, uncertainty avoidance (UAI) failed to show a significant effect (α = 0.05). Similarly, the mean scores of Plan (LDQMSP), Do, Check, Act, and QMS Results of South Asia were found to be higher than those of Australasia, although these effects were small. Thus, the findings support the universal relevance and acceptance of the standard, although the study was limited to ISO 9001 certified manufacturing firms of five selected countries. Contributions of the findings were highlighted, and further research directions were suggested.Item Auditor rotation and audit quality : a thesis submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy at Massey University, Palmerston North, New Zealand(Massey University, 2020) Uthayapong, ThanidaThe thesis investigates the effect of mandatory audit partner rotation (MAPR) on audit quality of listed companies that underwent three rotation periods in the Thai capital market. MAPR is one of the requirements that regulators in many countries impose on auditors in order to enhance audit quality. The benefit of MAPR is in the incoming audit partner enhancing auditor independence and offering fresh insights to a client, which is expected to improve audit quality as evidenced by greater financial statements quality. On the other hand, the new lead audit partner can lack client-specific knowledge, which may impair audit quality. There are ongoing discussions about the benefits of MAPR in a number of countries but only a few studies have been conducted on the effects of MAPR in developing countries. This thesis therefore aims to fill this gap by examining the impact of MAPR on audit quality in a developing country, Thailand. This thesis is framed within the Agency Theory framework and also uses the IAASB (2014) framework for audit quality to identify the factors which have an impact on audit quality. A total of 417 firm-year observations between the years 2006 and 2017 are made of 286 non-financial Thai listed companies, all of which with experience of MAPR. The sample also includes multiple numbers of MAPR. The performance-matched discretionary accruals (DA) developed by Kothari, Leone, and Wasley (2005) are used to measure DA as a proxy for audit quality. The results in this thesis suggest that MAPR does not significantly improve audit quality and the relationship between MAPR and audit quality is weak. It is possible that an incoming lead audit partner lacks client-specific information, is disadvantaged by the gradual learning curve in understanding a client’s businesses, and may face challenges in communication within the audit team, all of which may not positively impact on audit quality. There is no strong evidence of an association between audit quality and other impacting factors, such as Big 4 audit firms, the audit firm industry specialist, the audit partner industry specialist, and the audit partner busyness. Results also present no evidence of significant improvement in audit quality in the first MAPR subsequent to voluntary rotation. However, MAPR does seem to improve audit quality under certain conditions, i.e. audit quality is improved depending on the number of rotation times, audit firm size and companies’/ clients’ size. Only listed companies with three MAPR audited by Big 4 audit firms and only larger listed companies with three MAPR have higher audit quality within the MAPR framework. Further, only listed companies with three MAPR that have a positive DA, are associated with higher audit quality. The overall results of this thesis suggest that MAPR requirement does not immediately lead to an improvement in audit quality, at least not in the Thai capital market.Item Contributions to improve the power, efficiency and scope of control-chart methods : a thesis submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy in Statistics at Massey University, Albany, New Zealand(Massey University, 2019) Adegoke, Nurudeen AdedayoDetection of outliers and other anomalies in multivariate datasets is a particularly difficult problem which spans across a range of systems, such as quality control in factories, microarrays or proteomic analyses, identification of features in image analysis, identifying unauthorized access in network traffic patterns, and detection of changes in ecosystems. Multivariate control charts (MCC) are popular and sophisticated statistical process control (SPC) methods for monitoring characteristics of interest and detecting changes in a multivariate process. These methods are divided into memory-less and memory-type charts which are used to monitor large and small-to-moderate shifts in the process, respectively. For example, the multivariate χ2 is a memory-less control chart that uses only the most current process information and disregards any previous observations; it is typically used where any shifts in the process mean are expected to be relatively large. To increase the sensitivity of the multivariate process control tool for the detection of small-to-moderate shifts in the process mean vector, different multivariate memory-type tools that use information from both the current and previous process observations have been proposed. These tools have proven very useful for multivariate independent normal or "nearly" normal distributed processes. Like most univariate control-chart methods, when the process parameters (i.e., the process mean vector or covariance parameters, or both) are unknown, then MCC methods are based on estimated parameters, and their implementation occurs in two phases. In Phase I (retrospective phase), a historical reference sample is studied to establish the characteristics of the in-control state and evaluate the stability of the process. Once the in-control reference sample has been deemed to be stable, the process parameters are estimated from Phase I, and control chart limits are obtained for use in Phase II. The Phase II aspect initiates ongoing regular monitoring of the process. If successive observed values obtained at the beginning of Phase II fall within specified desired in-control limits, the process is considered to be in control. In contrast, any observed values during Phase II which fall outside the specified control limits indicate that the process may be out of control, and remedial responses are then required. Although conventional MCC are well developed from a statistical point of view, they can be difficult to apply in modern, data-rich contexts. This serious drawback comes from the fact that classical MCC plotting statistics requires the inversion of the covariance matrix, which is typically assumed to be known. In practice, the covariance matrix is seldom known and often empirically estimated, using a sample covariance matrix from historical data. While the empirical estimate of the covariance matrix may be an unbiased and consistent estimator for a low-dimensional data matrix with an adequate prior sample size, it performs inconsistently in high-dimensional settings. In particular, the empirical estimate of the covariance matrix can lead to in ated false-alarm rates and decreased sensitivity of the chart to detect changes in the process. Also, the statistical properties of traditional MCC tools are accurate only if the assumption of multivariate normality is satisfied. However, in many cases, the underlying system is not multivariate normal, and as a result, the traditional charts can be adversely affected. The necessity of this assumption generally restricts the application of traditional control charts to monitoring industrial processes. Most MCC applications also typically focus on monitoring either the process mean vector or the process variability, and they require that the process mean vector be stable, and that the process variability be independent of the process mean. However, in many real-life processes, the process variability is dependent on the mean, and the mean is not necessarily constant. In such cases, it is more appropriate to monitor the coefficient of variation (CV). The univariate CV is the ratio of the standard deviation to the mean of a random variable. As a relative dispersion measure to the mean, it is useful for comparing the variability of populations having very different process means. More recently, MCC methods have been adapted for monitoring the multivariate coefficient of variation (CV). However, to date, studies of multivariate CV control charts have focused on power - the detection of out-of-control parameters in Phase II, while no study has investigated their in-control performance in Phase I. The Phase I data set can contain unusual observations, which are problematic as they can in uence the parameter estimates, resulting in Phase II control charts with reduced power. Relevant Phase I analysis will guide practitioners with the choice of appropriate multivariate CV estimation procedures when the Phase I data contain contaminated samples. In this thesis, we investigated the performance of the most widely adopted memory-type MCC methods: the multivariate cumulative sum (MCUSUM) and the multivariate exponentially weighted moving average (MEWMA) charts, for monitoring shifts in a process mean vector when the process parameters are unknown and estimated from Phase I (chapters 2 and 3). We demonstrate that using a shrinkage estimate of the covariance matrix improves the run-length performance of these methods, particularly when only a small Phase I sample size is available. In chapter 4, we investigate the Phase I performance of a variety of multivariate CV charts, considering both diffuse symmetric and localized CV disturbance scenarios, and using probability to signal (PTS) as a performance measure. We present a new memory-type control chart for monitoring the mean vector of a multivariate normally distributed process, namely, the multivariate homogeneously weighted moving average (MHWMA) control chart (chapter 5). We present the design procedure and compare the run length performance of the proposed MHWMA chart for the detection of small shifts in the process mean vector with a variety of other existing MCC methods. We also present a dissimilarity-based distribution-free control chart for monitoring changes in the centroid of a multivariate ecological community (chapter 6). The proposed chart may be used, for example, to discover when an impact may have occurred in a monitored ecosystem, and is based on a change-point method that does not require prior knowledge of the ecosystem's behaviour before the monitoring begins. A novel permutation procedure is employed to obtain the control-chart limits of the proposed charting test-statistic to obtain a suitable distance-based model of the target ecological community through time. Finally, we propose enhancements to some classical univariate control chart tools for monitoring small shifts in the process mean, for those scenarios where the process variable is observed along with a correlated auxiliary variable (chapters 7 through 9). We provide the design structure of the charts and examine their performance in terms of their run length properties. We compare the run length performance of the proposed charts with several existing charts for detecting a small shift in the process mean. We offer suggestions on the applications of the proposed charts (in chapters 7 and 8), for cases where the exact measurement of the process variable of interest or the auxiliary variable is diffcult or expensive to obtain, but where the rank ordering of its units can be obtained at a negligible cost. Thus, this thesis, in general, will aid practitioners in applying a wider variety of enhanced and novel control chart tools for more powerful and effcient monitoring of multivariate process. In particular, we develop and test alternative methods for estimating covariance matrices of some useful control-charts' tools (chapters 2 and 3), give recommendations on the choice of an appropriate multivariate CV chart in Phase I (chapter 4), present an efficient method for monitoring small shifts in the process mean vector (chapter 5), expand MCC analyses to cope with non-normally distributed datasets (chapter 6) and contribute to methods that allow efficient use of an auxiliary variable that is observed and correlated with the process variable of interest (chapters 7 through 9).Item Fractional nonconformance assessment : this dissertation is submitted for the degree of Doctor of Philosophy in Statistics, Massey University, New Zealand(Massey University, 2020) Zhou, XinFood quality and safety are important due to the very nature of the product and the potentially severe consequences of a fault in the manufacturing process. Statistical tools are widely used in food quality assurance. However, measurement error, which is inevitable in food manufacturing due to the variation and inaccuracy of the measurement system, affects the performance of statistical quality control activities. The concept fractional nonconformance was recently proposed to assess the probability of nonconformance for error-prone individual measurements. This thesis presents five pieces of work for fractional nonconformance assessment mainly suitable for food quality assurance and other applications. The new statistical methods developed pertain to control charting, acceptance sampling, and conformity testing areas. The application of the proposed methods is illustrated with real data from a leading New Zealand dairy product manufacturer. Interactive web-based Shiny apps providing step-by-step guidance to implement fractional nonconformance analytic tools are developed for practitioners.Item Plasma-arc cutting control : investigations into machine vision, modelling and cutting head kinematics : a thesis presented in partial fulfilment of the requirements for the degree of Doctor of Philosophy in Engineering at Massey University, Manawatu, New Zealand(Massey University, 2018) Flemmer, MathewPlasma-arc cutting (PAC) is widely used in industry, but it is an under-researched fabrication tool. A review of the literature reveals much study is needed to improve the PAC process regarding efficiency, quality, stability and accuracy. This research investigated a novel control method for PAC. The PAC process was investigated to identify the gaps, and develop feasible methods, methodologies and systems to improve the PAC cutting quality and process control using machine vision. An automated, visual-inspection algorithm was successfully developed. The algorithm uses NC code to path plan and perform kerf width measurement. This visual inspection facilitated research into several aspects of PAC such as the extent of radiative heat transfer, the significance of kerf asymmetry, and a model describing the slope of the leading edge of the kerf-with respect to feed rate and material thickness. A kinematic investigation was conducted on 3 bevel capable plasma heads to complete the elements of a novel control method. An automated, visual-inspection (AVI) system for PAC was designed that consists of a vision unit and a mounting rig. This system is able to perform real-time, kerf width measurement reaching an accuracy of 0.1mm. The methodology was validated by experiment, testing cuts on parts with varying size, shape and complexity. The outcomes of this research were published in the International Journal of Mechanical and Production Engineering and the proceedings of the 2017 Mechatronics and Machine Vision in Practice (M2VIP) international conference. With this developed vision rig, further research was conducted such as an empirical investigation into the relationship between kerf angle and kerf width with respect to torch height, feed rate and material thickness. This investigation was comprised of 35 combinations of the process parameters with 9 replicates for each. A relationship between the process parameters and quality measures was developed, and the magnitudes of kerf asymmetries were quantified. The understanding of the phenomenology of PAC is deficient in several areas. An experimental study was undertaken that reduced the effects of heat transfer by conduction and convection in order to estimate the contribution by radiative heat transfer. This experimental study maintained an arc between a water-cooled anode and plasma torch for 15 seconds. A test piece was specifically designed with imbedded, resistance-temperature-device thermometers positioned around the transferred arc and the temperature was measured. This investigation was able to estimate the effects of radiation from the plasma-arc. The study found radiative heat transfer is less than 3% of the total power input. Another experimental study obtained information on the shape of the leading edge of the kerf. For this study slots were cut into steel plates of 6, 8 and 10mm thickness, at feed rates between 350 and 2000mm/min with a torch height of 1.5mm. Edge points for the centre axis of the leading profile were obtained. A relationship between surface angle and material thickness and feed rate was established and is validated through the test range. A study on obtaining cutting profile data on the front face of the kerf was also undertaken. Slots were cut into plates of 6 and 10mm thickness. Edge points were obtained for the front 180 degrees of the kerf face at sections in 2mm increments. A 3D representation of the shape of the face was then able to be presented. Finally, the kinematics for 3 bevel capable PAC heads was developed. Two of the heads are existing industrial heads, and the third head is being developed by Kerf Ltd. The kinematics investigation produced the DH parameters and transformation matrices for the forwards kinematics. These were validated using MATLAB®. The resulting dynamics were also produced. In conclusion, PAC is a complicated process. This research carried out several studies and has addressed several literature gaps with the proposed methods, methodologies and systems, developed through machine vision and PAC head kinematic study. This research was funded by Callaghan Innovation PhD research funding and received financial support from Kerf Ltd. Callaghan Innovation is a New Zealand government research funding body. Kerf Ltd. is a New Zealand PAC machine manufacturer and distributor.Item The impact of military culture on the embedding of continuous improvement methodologies within the New Zealand Army : a thesis presented in partial fulfilment of the requirements for the degree of Master of Quality Systems at Massey University, Manawatu, New Zealand(Massey University, 2017) Richards, Mark BryanThis thesis explores the impact of military culture on the ability for the New Zealand Army to successfully embed continuous improvement methodologies; namely Lean Six Sigma, and whether NZ Army Culture is supportive of the methodology. Current literature discusses both culture and the ability for organisations to change, and this is used as the basis for informing this research. Although the military is representative of the culture from where its members are selected, Military organisations themselves represent a specific occupational culture which is relatively isolated from society. It is this difference that makes the military an interesting organisation to study, and the research will examine whether the traditional norms of military service, the beliefs, ideals and regulations, impact the NZ Army’s ability to successfully grow a culture of continuous improvement. A mixed methods research is used to analyse the relationship between Military Culture, and the New Zealand Army’s effectiveness in embedding continuous improvement, with a five part questionnaire/survey being the selected data gathering method. The survey gathers specific information on; • the training and experience of respondents with Continuous Improvement, and • the cultural environment that exists in the NZ Army and how this impacts on continuous improvement. I draw on the findings of the survey and the literature to answer four questions about NZ Army Culture and their journey with continuous improvement, the results of which will be of value to both the NZ Army and academics who are interested in the impact that culture has on making change within organisations such as Military forces.Item Revisiting the adoption of the Philippine Good Agricultural Practices (PhilGAP) Certification Programme : a case study of Cavendish banana plantations : a thesis prepared in partial fulfillment of the requirements for the degree of Master of AgriScience at Massey University, New Zealand(Massey University, 2017) Secretario, SpencerIn Philippine Cavendish banana plantations, pesticides are applied to produce “perfect bananas” with unblemished peel and uniform maturity as required by the export markets. The increased use of pesticides has resulted in a number of food safety and sustainability problems such as excessive pesticide residues and environmental contamination. The Philippine government introduced a PhilGAP certification programme, a type of quality management system (QMS), for fruit and vegetables in 2005 to address these problems. A study initiated in 2011 revealed that there was no Cavendish banana plantation certified with PhilGAP. The study also identified the barriers to, and drivers of, the adoption of the PhilGAP certification programme. Five years after the initial study in 2011, there are only two out of more than 700 Cavendish banana plantation growers that had been certified with PhilGAP. This study aims to investigate if the barriers to, and drivers of, the adoption of the PhilGAP certification programme have changed since the initial study in 2011. A qualitative case study approach was used in this study. Data were collected through an in-depth interview, field observation and sourcing of relevant documents. The study used Rogers’ (2003) adoption process as a tool to investigate the barriers to, and drivers of adoption. The data were analysed through qualitative data analysis using Nvivo 11 Pro software. The results show that the barriers to the adoption of the PhilGAP certification programme in the Cavendish banana plantations identified in 2011 remain a problem. These barriers include: (1) knowledge, (2) cost, (3) processes, (4) rewards or incentives, (5) scale of farm operations, and (6) trade issues within the banana industry, particularly the practice of pole-vaulting. The emerging barriers identified by this research include sub-types of these barriers, namely: (1) the processes involved in the audit, particularly the disagreements on the concept of quality, the perceived lack of coordination, and the perceived lack of independence in the audit process; and (2) the trade issues in the industry, specifically the presence of splinter groups or non-accredited groups of banana growers, packing facilities, traders and exporters. A new category of barrier has also emerged which is the competition with the GlobalGAP certification programme, a competing technology and the gold standard QMS. Despite these barriers, the two PhilGAP-certified Cavendish banana plantations continue to participate in the programme because the drivers of adoption outweighed these barriers. The results also show that the drivers of the adoption of the PhilGAP certification programme identified in 2011 has led to the adoption of the programme. These drivers include: (1) the requirements of the international market; and (2) the presence of a quality-focused corporate culture being forward-looking and open to change. The emerging drivers identified by the research include: (1) serves as a repository that satisfies other types of government policies; and (2) the government subsidy that includes the provision of free certification services, and chemical residue analysis. Previously identified barriers were overcome by the adopters, but remain to be a barrier for non-adopters. However, new barriers have emerged which continue to limit the adoption of the programme. On the other hand, previously identified drivers have led to the adoption of the programme, and newly identified drivers of adoption have motivated the continued participation in it. This research argues that the adoption rate of the PhilGAP certification programme for the Cavendish banana plantations remains low because many of the barriers to adoption have not been properly addressed by the government, and the benefits from adoption have not been properly communicated to the intended adopters.