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    Risk identification and allocation in public-private partnerships : a New Zealand perspective : a thesis submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy in Construction Management, Massey University, Auckland, New Zealand
    (Massey University, 2024-06-13) Rasheed, Nasir
    Public-Private Partnerships (PPPs) have become a prevalent solution for funding infrastructure projects amid declining public reserves. Despite their widespread adoption, not all PPP projects prove successful, often due to inadequate risk management. Recognizing the expertise of the private sector, including the New Zealand government, PPPs are increasingly utilized. However, there is a scarcity of specific research on PPPs in the local context, particularly in social infrastructure using the Design-Build-Finance-Maintain-Operate (DBFMO) delivery method. This thesis aims to address this gap by establishing a framework for improving risk management outcomes in New Zealand's PPP infrastructure projects, focusing on critical success factors, empirical investigations into risk identification, and the development and validation of a Fuzzy based risk allocation model to inform stakeholders' decisions. This research employed two distinct questionnaire surveys targeting industry experts from both public and private sectors, all possessing relevant experience in the local industry and PPP procurement. Given the absence of a precise population, a combination of convenience and judgment sampling, was utilized. A total of 43 and 58 PPP experts provided valid responses to two questionnaires. The sample size was considered appropriate, especially considering the relatively recent adoption of PPP in New Zealand. Additionally, comparisons were made with similar studies that employed questionnaire surveys to ensure validity. The collected data underwent various statistical analyses, including mean score analysis, Cronbach's alpha reliability analysis, independent sample t-test, and factor analysis. Subsequently, the fuzzy synthetic evaluation (FSE) method was applied to model risk allocation. In addition, the study included a set of semi-structured interviews to provide a practical and policy-making context for the research. Critical success factor rankings established through mean scores revealed approval and negotiation process, innovation and project complexity, client’s brief, project’s technical feasibility and strong private consortium to be five top ranked factors out of the 27 identified. Similarly, the top three risk allocation criteria (RAC) having very high importance (mean score greater than 4 on a scale of 5) were risk foresight, response to risk and minimise risk loss. Furthermore, factor analysis showed that the 9 identified RAC can be classified into three component groups namely risk management expertise, core risk management capability and risk management strategy. Recognizing the importance of principle of risk allocation, the proposed fuzzy based risk allocation model took into account the risk management capability of public and private sector. FSE was chosen for its adeptness in handling intricate multi-faceted challenges, particularly in the context of risk distribution decisions that involve the inherent vagueness within human cognitive processes. Due to their contentious nature in literature and different PPP projects, 16 risk were carefully chosen to be allocated via the model from a list of 35 risks initially identified. The findings indicate that for 12 of the risks, the distribution proportions between the government and the private sector are comparable. Risks associated with land acquisition and public opposition are predominantly assigned to the public sector, while risks linked to unforeseen geotechnical conditions and financing are predominantly allotted to the private sector. The results were validated using six interviews with highly experienced professionals within the New Zealand PPP scene. The outcomes of this study are anticipated to guide policymakers in formulating effective strategies for assigning risks and devising well-balanced risk sharing arrangements within PPP contracts, to achieve outcomes mutually agreeable to both the public and private sectors, ultimately enhancing the uptake of PPP projects.
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    Public value creation : exploring partnerships in value capture projects in China : a thesis presented in partial fulfilment of the requirements for the degree of Doctor of Philosophy in Resource and Environmental Planning at Massey University, Manawatu, New Zealand
    (Massey University, 2022) Wang, Xinning
    The urban planning literature has identified a positive relationship between public transport investment and the land value of adjacent properties. In many cities worldwide, the increase in land value has been captured (called value capture (VC)) to fund public transport infrastructure and services. However, the key issue for the planning and implementation of VC is the complexity of the multiple stakeholders’ collaboration and coordination in the process, and few studies have investigated this complexity. This research aimed to fill this gap and explore how different stakeholders have worked together to plan and implement VC policies and projects in China. This research developed a theoretical framework based on public value and partnership theories. These theories provide a comprehensive strategic triangle framework to explore interdependent processes of enabling environment, operational capabilities, and goals to create public value of VC development. Based on the framework, this research proposed three types of partnerships for investigating the VC process. The political–institutional partnership analysed how government organisations and local transport agencies create an enabling political and institutional environment to take the initiative and plan for VC projects. The financial partnership focused on how local transport agencies develop partnerships with other public and private organisations to share the risks, responsibilities, and benefits of developing real estate in VC projects. The social partnership examined what role culturally sensitive communication and trust play in building relationships between local government and local communities. This research used a qualitative research approach by applying the case study method. Two Chinese VC projects, the Qianhai project in Shenzhen and the Luxiao project in Chengdu, were selected as case studies in this research. Data were collected from 55 semi-structured interviews with relevant stakeholders, and from policy and planning documents produced at the central, provincial, and local government levels, supplemented by enterprise reports, media information, and research papers. Firstly, the research found that stable and sustained political–institutional support is crucial to the initiation planning, and implementation of a VC project. Because of continuous political support, Shenzhen initially adopted the Hong Kong model but later developed its own model and institutional capacity for VC projects. In contrast, VC projects in Chengdu suffered as a result of uncertain political support, a fragmented planning framework, an insufficient land exchange market, and a lack of experience and knowledge of VC projects. Both case studies showed that creating a partnership between local government and local transport agency is vital for mobilising land resources, sharing planning power, and generating institutional innovation in land transactions. Secondly, the research illustrated that a financial partnership between local transport agencies and developers is fundamental for implementing VC projects. In Shenzhen, the local transport agency established proactive working relationships with developers, creating a flow of the resources necessary for implementing the projects. In contrast, the local transport agency in Chengdu ignored developers and worked directly with the district-level government without a competitive selection process. This process created concerns for real estate development in the later stages of implementation. Thirdly, the research identified that developing a trustworthy social partnership between the local government and the local communities is beneficial for enhancing the legitimacy of VC projects. Shenzhen adopted both top-down and bottom-up public participation processes to engage local communities. In comparison, weak communication in Chengdu led to limited community involvement and a lack of public awareness of the VC project. Both case studies showed a strong emphasis on expert opinions and little contact with non-governmental organisations in China’s VC projects. This research concluded that political–institutional, financial, and social partnerships have contributed significantly to VC planning and implementation in China. These partnerships worked together and developed an enabling environment, promoted legitimacy, and established operational capacities to deliver the VC projects. However, these partnerships were not developed in a vacuum, and macro and contextual factors played an essential part in the planning and implementation of the VC projects.
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    A study of the industry/university/government (UIG) collaborative project organisation : a thesis presented in partial fulfilment of the requirements for the degree of Doctor of Philosophy in Management at Massey University, Albany, New Zealand
    (Massey University, 2020) Skelton, Lorraine
    Research projects are a subset of project management that is gaining attention. Primarily driven by the need for innovation to boost economic growth. This need has brought with it an impetus for researchers to work together between enterprises and gain the benefits of cross-sector collaboration. The surge of interest has been attributed to the increased importance of collaboration between university, industry and government, theorized by Etzkowith and Levdesdorff (1995) and termed the Triple Helix. Their work led to the recognition that successful innovation depends upon the effective selection and management of the research project portfolio and the research partners. Studies in this area largely focus on how well the relationships are either working or not working, and there is little published literature that seeks to understand what is particular to each of these environments that causes difficulties when working together across the ‘cultural gap’ (Kirkland, 2010). Existing studies have identified several key differentiators that create barriers to effective collaboration. The present study aims to develop these areas into a more complete framework and contextualise the factors (in the present research called ‘differentiating themes’) for each of the three sectors. A multilevel approach was taken to understand the areas of difference between team member and key informant participant levels, while incorporating a project approach across the traditional project components of phases and constraints. The findings of this research are based on a thematic analysis of the current literature. Nine broad themes of: funding, project, leadership, teamwork, completion, scientific endeavor, intellectual property, ethics and career, were further divided into sixteen subthemes. These describe the main areas of difference – or tensions between the sectors involved in the collaboration. The data collection was guided by a data collection model developed for this study. The study also measured the perceived outcomes of the collaborative effort, using the Strategic Alliance Formative Assessment Rubric (SAFAR), developed by Gajda (2004), which seeks to capture growth in a collaboration over time, and is used to measure both the inputs and outputs of the collaboration. The survey yielded 94 responses. Semi-structured interviews focussed on how both context and individual experience influence the themes, using a representative sample of team members and key informants from each sector, with twenty interviews conducted in both New Zealand and Australia. New differentiating themes were identified through the interviews and added to the original framework: main themes of collaboration, project management method, communication, internationalism and project mishaps, and subthemes of trust, contract management, task segregation, profitability and influencing. The study explored the impact of the differentiating themes as either contributors or influencers to the collaboration, as well as their impact on pre-project, project, and post-project phases in a framework for use by all parties involved in the UIG. The study has added to our current understanding of this project type through the development of a more encompassing framework, taking in multiple themes within the UIG collaborative style project. It has produced findings that consider the influencing dynamics of the sectors and participants addressed, from the perspective of both collaboration and project level determinants including the importance of collaborative outcomes. The study highlights the formation of collaborations, ongoing influences, and the differences found which account for many of the barriers to both start-up and ongoing collaborative development. This study also highlights the need to develop strategies for collaboration including between sector strategies to advance the benefits of collaboration, performance measures that reward collaboration, and the necessity to understand and accommodate the outcomes needed by all participants. The study has also increased the understanding of the complexity of the processes involved in UIG collaboration.
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    Using cause-related events to fulfil the strategic objectives of social partnerships : a thesis presented in partial fulfilment of the requirements for the degree of Master of Business Studies in Marketing at Massey University, Albany, New Zealand
    (Massey University, 2014) Lyes, Amy
    This aim of this research is to investigate how and why cause-related events fulfil the strategic objectives of social partnerships, thereby creating value for stakeholders. Strategic collaboration between corporate and not-for-profit firms has received widespread practitioner and academic interest in recent years. These collaborations, termed ‘social partnerships’ are formed to achieve corporate and not-for-profit strategic objectives via the implementation of various cause-related marketing activities. Cause-related events can be implemented by a social partnership as part of a cause-related marketing campaign. Such events are becoming progressively common in social partnership practice, and have emerged as a versatile strategic marketing platform. Limited research has examined social partnerships in the context of cause-related events, and this research addresses this gap with an exploratory study. A qualitative study was conducted using case study and ethnographic methodologies. Two case studies were examined using multiple sources of evidence for data collection and analysis. The findings from this research generate insight into the use of cause-related events as a strategic marketing platform for social partnership implementation. The findings suggest that sharing valuable experiences through cause-related events contributes to a sense of camaraderie and togetherness amongst partners, mutual understanding between partners, and a focus on the cause. It also demonstrates how the shared risks and rewards of cause-related events promote a focus on furthering the collective interests of the partnership. Finally, it considers how the tangible and transparent elements of cause-related events encourage firms to be selective when choosing a partner to collaborate with, and to pay close attention to detail. These findings highlight cause-related events as a versatile strategic marketing platform for promoting a more successful social partnership in terms of relationship building, organisational learning, passion and commitment towards the cause, mutual benefit, legitimacy, and the quality of collaborative outcomes. Overall, this research contributes towards a better understanding of the dynamics of social partnerships, and the value of cause-related events in fulfilling the strategic objectives of social partnerships. This understanding can assist corporate and NFP partners to deepen their relationships with each other, and develop more influential CRM campaigns using the cause-related event as a strategic marketing platform.
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    The role of the private sector in public education : a Manawatu region based case study : a thesis submitted to the Massey University of Palmerston North in fulfilment of the requirements for the degree of Master of Philosophy in Education
    (Massey University, 2011) Rutherford, Liam
    This thesis analyses the role of the private sector in public education. It uses a Case Study based on a questionnaire of primary Principals in the Manawatu Region of New Zealand to generate its findings. This study identifies the extent to which Principals are pressurised into filling the funding gap created by the lack of Government funding to cover the full cost of running a school. Policy changes in education initially started by the Labour Government in 1984 and continued by the National Government in 1990 have been based on values that promote individualism, personal responsibility, and a belief in the market as a way of allocating resources in society. This thesis argues that the forms of alternative funding schools have been forced to enter into are a deliberate move to normalise school/business relationships. Promotion of these relationships severally disadvantages low socio-economic schools and families and will only lead to wider disparity between rich and poor and thus a less fair and equal education system.