Doctoral Theses
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The Doctoral Theses collection contains digital copies of AUT doctoral theses deposited with the Library since 2004 and made available open access. All theses for doctorates awarded from 2007 onwards are required to be deposited in Tuwhera Open Theses unless subject to an embargo.
For theses submitted prior to 2007, open access was not mandatory, so only those theses for which the author has given consent are available in Tuwhera Open Theses. Where consent for open access has not been provided, the thesis is usually recorded in the AUT Library catalogue where the full text, if available, may be accessed with an AUT password. Other people should request an Interlibrary Loan through their library.
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- ItemGeneral Equilibrium Techniques for Environmental Policy Analysis(Auckland University of Technology, 2024) White, DominicInput-output datasets and economy-wide modelling have been widely used to investigate environmental externalities and policies. This thesis uses both to investigate plastic use by sector, the economy-wide impacts of tax on clothing produced from plastics, and the land use and broader economic impacts of including forestry in an emissions trading scheme. To stop plastic pollution, policymakers and consumers should have an understanding of which industries are using a high value of plastic inputs. To estimate this, in the first paper of this thesis, I use an input-output database to calculate the plastic intensity (direct and indirect plastic use per dollar of output) of 415 industries in the USA across 13 types of plastic. I find that clothing and fabric related industries use a relatively high intensity of both aggregate plastics and polluting plastics, especially plastic fibres and filaments. Given the high plastic use in the clothing industry, in the second paper of this thesis, I investigate the potential economic and land use change impacts from a shift to plastic and synthetic chemical free clothing. I do this using a bespoke global computable general equilibrium (CGE) model which represents both conventional clothing and plastic and synthetic chemical free clothing. In the policy scenarios for the model, a tax on conventional clothing sectors is introduced until all clothing production in taxed regions is plastic and synthetic chemical free. The results indicate that an increase in conventional clothing production in untaxed regions could have a negative impact on the effectiveness of a plastic clothing policy. They also indicate that there could be a significant amount of land use change from this policy, with land used for traditional plastic and chemical alternatives such as cotton, flax, natural rubber, and oleaginous fruits increasing at the expense of food-based agriculture. Land use change should be an important consideration for environmental policies. Especially when those policies are directly related to farmer decision making, like the New Zealand Emissions Trading Scheme (NZ ETS). Accordingly, in the third paper of this thesis, I explore the economic and land use change impacts of production and permanent exotic forestry permits in the NZ ETS. I link a forestry model, a CGE model, and land use change functions to measure the expected proportion of foresters who will change land use from production to permanent forests at harvesting age from 2014 to 2050. The modelling analysis shows that this land use change increases carbon sequestration in New Zealand from 11 to 28 percent by 2050 (relative to the baseline), depending on farmers’ responsiveness to the carbon price. Any increase in carbon sequestration, driven by the expansion in land used for permanent forests, increases both GDP and welfare relative to the baseline.
- ItemPreserving Perseverance: The Reception of John Owen’s Treatment of Hebrews 6:4–6 within the History of Reformed Interpretation(Auckland University of Technology, 2024) Northcott, Christopher S.Hebrews 6:4–6 is regularly identified as a challenge to the doctrine of perseverance. This study presents a history of Reformed interpretation of Hebrews 6:4–6 with particular focus on the question of the doctrine of perseverance and the identity of those described in this passage. It also traces the reception of John Owen and his interpretation of that passage within the English history of interpretation. Owen (1616–1683) is significant to this history because he stands as a prominent early figure of the Reformed tradition, and his Exposition on Hebrews is a massive and thoughtful contribution to the body of interpretive literature on Hebrews in the English-speaking world. Later Reformed biblical interpreters are grouped and analysed within their hermeneutical, theological, and exegetical contexts. Critically adopting the methodology of reception history as presented by Parris and Evans, these later interpretations of Hebrews 6:4–6 are examined with the intent of discerning to what extent Owen’s interpretation of this passage is formative on later readings in terms of continuity, rebuttal, and modification, and for how long and in what ways. This is the first study to examine the influence of John Owen’s work on Heb 6:4–6 on later Reformed exegetes. It finds that within the history of interpretation, most Reformed interpreters have declined to see the descriptive markers of Heb 6:4–5 as denoting genuine Christians. Earlier interpreters instead tended to regard the markers in a negative light and to emphasise how they fell short of describing a state of salvation. However, a trend began with Owen to see these markers in a positive light. While not denoting salvation, these were instead understood to be designed to demonstrate how much these people had experienced. This broad position characterised all Reformed interpretations until the early nineteenth century. From this point, a consistent minority tradition of dissent began which held that Heb 6:4–6 did indeed describe true Christians, and adopted different strategies which nevertheless left the doctrine of perseverance intact. Much of Owen’s influence on this interpretive history has been concentrated around the interpreters who have foregrounded the theological and pastoral purposes of Scripture. This itself has been aligned with acceptance of the majority Reformed position on Heb 6:4–6 and with the fortunes of theologically-oriented interpretation through the past three centuries. Owen’s influence has been uneven, with varied redeployment of his exegetical choices and interpretive moves found within the work of appreciative interpreters. Reasons for any of these interpreters adopting, rejecting, or ignoring any given feature(s) of Owen’s interpretation cannot usually be known for certain. However, explanations for his irregular reception are likely linked to the shifting expectations of biblical interpretation, the changing importance given to the question of perseverance, and to the onerous size of Owen’s Exposition. This study concludes that while Owen’s work on Hebrews, including 6:4–6 specifically, has retained a substantial amount of general esteem, his actual impact on later interpretations of Heb 6:4–6 has been more limited.
- ItemThe Effectiveness, Acceptability and Practicality of a CBT-Sensory Modulation Intervention for Children 4-7 Years Old Presenting with Anxiety(Auckland University of Technology, 2024) Mavhunga, TafadzwaBackground Childhood anxiety is associated with long-term consequences, including the development of mood disorders and functional challenges, if not treated early. However, literature shows that young children do not receive timely interventions due to long waiting lists, a shortage of psychologists, and an inability to complete interventions that are between 9 and 20 sessions, due to their parents’ competing commitments. Cognitive Behavioural Therapy (CBT) is the main non-pharmacological intervention used for the treatment of anxiety. CBT is a talking-based therapy which helps people explore and manage unhelpful thoughts to reduce distressing emotions or problematic behaviours. While often recommended, CBT alone may not be effective in treating childhood anxiety and is not always developmentally appropriate for younger children. Sensory modulation is a clinical intervention that uses sensory-based strategies to help with emotion regulation and can be adapted for young children. To address a gap in early intervention for younger children with anxiety, a modified CBT plus sensory modulation intervention was developed, which could potentially be delivered by a wide range of clinicians. Study Design The current study tested the effectiveness, acceptability, and practicality of a 6-session modified CBT plus sensory modulation anxiety intervention developed for children aged 4 to 7 years old presenting with anxiety. The study used a multiple baseline single case experimental design. Six children with clinically significant anxiety were admitted to the study. Four therapists delivered the intervention with the children and their mothers (n=6) at a Child, Adolescent, and Family Service and a Child and Family Care Trust. The six children received the intervention during the study phase, where the intervention was delivered in a staggered fashion. Data, including the levels of each child’s anxiety and functioning, were collected at multiple baseline points, then during and post-intervention and 1-month follow-up. Visual and statistical analyses of data were completed to determine the effectiveness of the intervention. Subjective feedback from the mothers and therapists were also collected. Content analysis was used to analyse the subjective feedback to determine the acceptability and practicality of the intervention. Results Quantitative findings and visual analysis of data provided evidence supporting the effectiveness of the intervention in treating childhood anxiety. Subjective feedback data showed that the intervention was received as an acceptable and practicable intervention for younger children with anxiety. One month post-intervention data showed that gains were maintained, with four children not meeting the threshold for a primary diagnosis of anxiety with which they were diagnosed upon entering the study. Implications This study was the first to combine CBT and sensory modulation for younger children presenting with anxiety. The study findings provide preliminary evidence that the intervention was effective, acceptable, and practicable. However, larger randomised clinical trials are required to confirm the effectiveness of the intervention. The results contribute to the further understanding of how to develop age-appropriate interventions for the management of childhood anxiety, including the use of sensory-based strategies for younger children. The manualised intervention has the potential to help address childhood anxiety by providing non-psychology professionals, with a framework for supporting younger children early.
- ItemDeveloping and Evaluating a Fall Prevention Exercise Programme for Older Adults Living in Aged Residential Care(Auckland University of Technology, 2024) Binns, ElizabethIntroduction Falls in aged residential care (ARC) pose a major health problem with up to 70% of residents falling each year. Whilst there is strong evidence for effective falls prevention exercise programmes for community dwelling older adults the same cannot be said for older adults living in ARC. The populations are dissimilar and the different fall risk factors for older adults living in ARC are important to consider when designing fall prevention interventions for older adults living in ARC. High proportions of ARC residents have cognitive dysfunction and physical impairments, resulting in a population at high risk of falls. Despite the high incidence of falls in this population, fall prevention exercise programmes have not included components that target cognition. This thesis addresses both fall prevention exercise programmes and the potential for such programmes to be delivered in the context of ARC. A programme of cognitive exercise (Cognitive Stimulation Therapy) has been found to improve cognition in older adults and is delivered to ARC residents in New Zealand (NZ). This programme is manualised and structured by activities such as discussions around news topics, singing and word games. As this was an established programme in ARC it had the potential to be explored as a possible vehicle to deliver physical fall prevention exercises in addition to its focus on cognitive exercise. On this basis, the first objective of this thesis was to develop and evaluate a fall prevention exercise programme that could be combined with Cognitive Stimulation Therapy that addressed the fall risk factors of cognitive dysfunction and decreased balance and lower limb weakness for older adults living in ARC. The ARC environment can be viewed as a complex adaptive system. Characterised by uncertainty, emergence and unpredictability, the system responds to anything new by flexing, adjusting and adapting to a new way of working. When viewed this way, a fall prevention intervention programme is an event in the system and impacts on the interactions of the person-place-time network which changes relationships, displaces current activities and redistributes resources. On this basis, the second objective of this thesis was to understand the complexities around the delivery of a fall prevention exercise programme in the complex context of ARC. Methods A programme that combined Cognitive Stimulation Therapy and physical fall prevention exercises (CogEx) was developed along with training manuals to support programme delivery. Physical exercises were incorporated into the CST. Existing CST facilitators were trained to deliver the physical exercise as part of CogEx. A feasibility randomised controlled trial was used to evaluate the CogEx in two ARC facilities. The plan was to undertake a fully powered randomised controlled trial to test the effectiveness of CogEx in decreasing fall in people living with dementia in ARC. However, the learnings from the CogEx study led us to pivot and explore some of the complexities that impacted the successful implementation of CogEx. To explore these complexities a qualitative sub-study was undertaken on a falls prevention exercise trial that was underway in ARC. This study was a type 1 hybrid effectiveness-implementation design exploring factors influencing the maintenance of a fall prevention programme in ARC as usual practice. For the qualitative component, Interviews and focus groups were held with stakeholders at different levels of ARC organisation (senior management, onsite management, exercise group facilitators) who were involved with the program. Results The feasibility study demonstrated that physical exercises could be combined with the CST session to form CogEx; however, the fidelity of the combined programme was poor. Due to the feasibility issues identified a decision was made to stop further work on the CogEx intervention and move to understanding the complexities around delivery of falls prevention in ARC. The qualitative study identified that the factors influencing the embedding of a falls prevention exercise programme into ARC could be categorised as: the influence of business models and philosophies; requirements for evidence; and valuing the contribution of physiotherapy in falls prevention. Conclusion A fall prevention exercise programme was developed that incorporated physical and cognitive exercise for ARC residents (CogEx). However, the fidelity of the programme was poor. The factors that impacted the fidelity of fall prevention exercise programmes and the decision to embed them into routine practice reflected the complex context of ARC. Any future research into implementing falls prevention in ARC should use co-design with all ARC stakeholders. As they know the contextual minutiae that external researchers do not. This may result in interventions that are sustained beyond the availability of research funding and translate to become part of routine practice.
- ItemDo Responsible Investment Funds (RIFs) Really Invest Responsibly? Evidence from US RIFs(Auckland University of Technology, 2024) Tang, HuiqiongResponsible Investment Funds (RIFs) are managed funds that consider Environmental, Social and Governance (ESG) objectives in their investment process. In 2022, it was estimated that approximately 12.6% of total US assets under professional management were classified as responsible (Forum for Sustainable and Responsible Investment [US SIF], 2022). With the growing popularity of RIFs, investors are increasingly seeking greater transparency regarding how responsibly their money is being invested (Amel-Zadeh & Serafeim, 2018). Academic scholars document a wide variety of responsible investing strategies that result in varying levels of responsible investing intensity and by extension, non-financial outcomes, which raise concerns about the authenticity of the RIF (Revelli, 2017). Furthermore, the US government oversight agency, the Securities and Exchange Commission (SEC) has noted potentially misleading marketing practices, known as greenwashing, within US funds and issued an alert to address these concerns (Chin, 2021). These lines of inquiry, in origin, are all related to a fundamental question, “Do RIFs invest in a responsible way?” My thesis aims to contribute to the literature in this field and examine the ESG performance of US domestic equity RIFs from various angles in three empirical studies. In the first manuscript, I examine the existence of window dressing, a deceptive practice where managers manipulate portfolio holdings prior to a reporting date to mislead investors and the market. Using fund holdings information, I find that some RIFs alter their holdings towards higher ESG-score firms close to reporting dates. Such clustered end-of-quarter rebalancing is more likely to be window dressing than routine holding adjustments. Additionally, I also find that RIFs with poor past performance, higher tracking errors, or those managed by companies with less assets committed to sustainable investment are more likely to engage in ESG window dressing behaviours. The second manuscript investigates the potential impact of Fund Management Companies (FMCs, also referred to as ‘fund families’) on funds’ ESG performance based on their ESG commitment level. I proxy the FMCs’ commitment level using their proportion of Assets Under Management (AUM) engaged in responsible investment, with the assumption that it represents the importance of responsible investment to an FMC’s overall benefit. The findings suggest that improvement of the fund’s ESG score is more like the ‘icing on the cake’ and will be sacrificed quickly if the fund suffers outflows. Furthermore, I find that funds managed by FMCs with either the lowest (≤20%) or the highest (>80%) ESG commitment levels are more likely to put extra effort into enhancing funds’ ESG scores. Additionally, I observe that investors who choose FMCs with the highest ESG commitment level tend to exhibit lower sensitivity to financial returns when controlling for ESG performance. The final manuscript focuses on how a responsible investment fund manager’s past career path impacts their funds’ ESG performance. My results suggest that when solely considering ESG performance, RIFs tend to exhibit better ESG performance when managed by a team containing all members with conventional fund management work experience. When considering joint ESG and financial performance, the proportion of managers with exclusive RIF work experience positively impacts funds’ joint efficiency. Additionally, I also find insignificant differences in financial performance between funds with pure RIF managers and those where all the managers have conventional experience. This thesis aims to bring greater transparency to an important and rapidly developing segment of the finance industry, which currently requires investors to simply trust that managers are fulfilling their statements on responsible investment. By providing additional insight into fund ESG performance, my findings may benefit “true believer” responsible investors when making asset allocation decisions. It may also be helpful for regulators (e.g., the SEC) in their efforts to monitor and promote transparency within capital markets.