ASU Electronic Theses and Dissertations
This collection includes most of the ASU Theses and Dissertations from 2011 to present. ASU Theses and Dissertations are available in downloadable PDF format; however, a small percentage of items are under embargo. Information about the dissertations/theses includes degree information, committee members, an abstract, supporting data or media.
In addition to the electronic theses found in the ASU Digital Repository, ASU Theses and Dissertations can be found in the ASU Library Catalog.
Dissertations and Theses granted by Arizona State University are archived and made available through a joint effort of the ASU Graduate College and the ASU Libraries. For more information or questions about this collection contact or visit the Digital Repository ETD Library Guide or contact the ASU Graduate College at gradformat@asu.edu.
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- Creators: Ahn, Gail-Joon
- Creators: Shen, Wei
Description中国律师制度自“文化大革命”结束后恢复至今，已有近四十年。中国律师行业伴随着中国改革开放的进程，得到了飞速的发展，当然，同时也面临着诸多的问题。重要的问题之一便是，中国律师事务所采用“加盟制合伙人”模式和采用“权益制合伙人”模式之争。本文试图从回顾企业边界的三大理论出发，提出“加盟制合伙人”模式和 “权益制合伙人”模式与合伙人律师的业务专业化程度、业务复杂化程度以及大客户和律师事务所规模关系的四个假设，通过实证分析的方式，试图以企业边界三大理论解释前述四个假设中的关系，并以此期望对律师行业的发展有所启发。
ContributorsChu, Xiaoqing (Author) / Pei, Ker-Wei (Thesis advisor) / Cheng, Shijun (Thesis advisor) / Shen, Wei (Committee member) / Arizona State University (Publisher)
Created2019
Description中国水环境行业当前正处在以质量驱动、效率提升为主导的发展阶段，为积极响应国家政策以及环境发展导向，平衡公众日益增长的公共品需求同公共品短缺、低效之间的矛盾，抓住市场发展机遇，提高企业市场竞争中的核心能力，水环境行业必须要明确资本驱动、效率导向、服务标准提高要求下的价值流方向，加快行业发展动力的创新改革。因此，本文立足政府充分授权下的水环境企业战略联盟模式（具体体现为BOT模式）影响因素研究，包括如下几部分内容：
第一，界定政府充分授权下水环境企业战略联盟内涵，分析其形成的理论基础、水环境企业战略联盟的类型、发展差异性及战略联盟动因。通过梳理战略联盟理论国内外研究现状回顾及评述，提出政府充分授权下水环境企业战略联盟模式研究的主要问题。
第二，探索政府充分授权下水环境企业战略联盟模式的影响因素。通过对水环境基础设施战略联盟项目合同关键内容的深入分析，识别出政府充分授权下水环境企业战略联盟模式的关键影响因素。
第三，实证分析各关键因素对政府充分授权下水环境企业战略联盟模式效果的影响。运用回归分析方法对项目规模、政府政策、监督管理、激励机制、风险分配和投资回报对联盟模式效果的影响进行实证检验，验证了各影响因素对政府充分授权下水环境企业战略联盟模式效果的正向作用。
最后，对政府充分授权下水环境企业战略联盟模式影响因素及作用研究的结论进行总结。
第一，界定政府充分授权下水环境企业战略联盟内涵，分析其形成的理论基础、水环境企业战略联盟的类型、发展差异性及战略联盟动因。通过梳理战略联盟理论国内外研究现状回顾及评述，提出政府充分授权下水环境企业战略联盟模式研究的主要问题。
第二，探索政府充分授权下水环境企业战略联盟模式的影响因素。通过对水环境基础设施战略联盟项目合同关键内容的深入分析，识别出政府充分授权下水环境企业战略联盟模式的关键影响因素。
第三，实证分析各关键因素对政府充分授权下水环境企业战略联盟模式效果的影响。运用回归分析方法对项目规模、政府政策、监督管理、激励机制、风险分配和投资回报对联盟模式效果的影响进行实证检验，验证了各影响因素对政府充分授权下水环境企业战略联盟模式效果的正向作用。
最后，对政府充分授权下水环境企业战略联盟模式影响因素及作用研究的结论进行总结。
ContributorsLi, Zhensheng (Author) / Pei, Ker-Wei (Thesis advisor) / Yu, Xiaoyun (Thesis advisor) / Shen, Wei (Committee member) / Arizona State University (Publisher)
Created2019
Description中医药是中华文明的瑰宝，中药材是中医药文化和产业的核心。随着近年来国家相关政策出台，中药材产业的发展备受瞩目。由于中药材产业链条长，层级多，各层级间信息不对称，因而中药材市场普遍具有“假”、“乱”、“杂”的问题。
A公司的中药材全产业链服务商模式，通过对上游各主要专营商的整合，形成一定的平台综合集采能力，并开始得到下游医药厂家、药店认可，在市场逐步形成品牌号召力。本文实证研究A公司商业模式的转型对中药材市场价格的影响，进而分析中药材全产业链服务商模式在中药材行业健康发展中所发挥的积极作用。研究结果表明，上下游产销结合的中药材全产业链服务商模式，只有在形成一定收购规模，对市场价格产生一定影响的时候，才能充分释放药材质量的信号，润滑药材交易市场，提高收购价格，增加市场波动率，发挥价格发现作用。由于中药材市场的信息不对称程度较高，如果产销结合模式仍处于初级开创阶段，产销结合模式释放的药材质量信号则不足以全面改善信息不对称的状况。
A公司的中药材全产业链服务商模式，通过对上游各主要专营商的整合，形成一定的平台综合集采能力，并开始得到下游医药厂家、药店认可，在市场逐步形成品牌号召力。本文实证研究A公司商业模式的转型对中药材市场价格的影响，进而分析中药材全产业链服务商模式在中药材行业健康发展中所发挥的积极作用。研究结果表明，上下游产销结合的中药材全产业链服务商模式，只有在形成一定收购规模，对市场价格产生一定影响的时候，才能充分释放药材质量的信号，润滑药材交易市场，提高收购价格，增加市场波动率，发挥价格发现作用。由于中药材市场的信息不对称程度较高，如果产销结合模式仍处于初级开创阶段，产销结合模式释放的药材质量信号则不足以全面改善信息不对称的状况。
ContributorsYin, Xiaowei (Author) / Shen, Wei (Thesis advisor) / Yan, Hong (Thesis advisor) / Gu, Bin (Committee member) / Arizona State University (Publisher)
Created2019
Description
Recognizing that CEOs are less capable of diversifying their employment risks than shareholders who could diversify their investment risks through portfolio investments, agency theory assumes that CEOs tend to be risk averse compared with shareholders. Based on this assumption, agency theory scholars suggest that to align the risk preference of CEOs with that of shareholders, CEOs need to be closely monitored and have less power. SEC regulators have been adopting the suggestion and accordingly CEO power has been reduced in the past decades. However, the empirical results are mixed and cannot provide solid support for the suggestion that reducing CEO power could lead the CEO to take more risks.
Considering that managerial risk taking is an important issue in strategic management research and agency theory has been widely adopted in academia and business worlds, it is imperative to clarify the mechanism behind the relationship between CEO power and risk taking. My study aims to fill this research gap. In this study I follow agency theory to take an employment security perspective and fully consider how CEOs’ concern about employment security is affected by their power and ownership structure to enrich the understanding of the effects of CEO power and ownership structure on risk taking. I fine-tune the key concept CEO power into the CEO power over board and introduce a key aspect of ownership structure - nontransient investor ownership. I further suggest that CEO power over board and nontransient investor ownership affect CEOs’ employment security and the resulting CEO risk taking. In addition, I consider a set of industry and firm characteristics as the boundary conditions for the effects of CEO power and nontransient investor ownership on CEO risk-taking. This set of industry and firm characteristics include industry complexity, industry dynamism, industry munificence and firm slack.
I test my theory using a large-scale, multi-year sample of U.S. publicly listed S&P 1500 firms between 2001 and 2017. My main hypotheses about the effects of CEO power over board and nontransient investor ownership on CEO risk taking receive strong support.
Considering that managerial risk taking is an important issue in strategic management research and agency theory has been widely adopted in academia and business worlds, it is imperative to clarify the mechanism behind the relationship between CEO power and risk taking. My study aims to fill this research gap. In this study I follow agency theory to take an employment security perspective and fully consider how CEOs’ concern about employment security is affected by their power and ownership structure to enrich the understanding of the effects of CEO power and ownership structure on risk taking. I fine-tune the key concept CEO power into the CEO power over board and introduce a key aspect of ownership structure - nontransient investor ownership. I further suggest that CEO power over board and nontransient investor ownership affect CEOs’ employment security and the resulting CEO risk taking. In addition, I consider a set of industry and firm characteristics as the boundary conditions for the effects of CEO power and nontransient investor ownership on CEO risk-taking. This set of industry and firm characteristics include industry complexity, industry dynamism, industry munificence and firm slack.
I test my theory using a large-scale, multi-year sample of U.S. publicly listed S&P 1500 firms between 2001 and 2017. My main hypotheses about the effects of CEO power over board and nontransient investor ownership on CEO risk taking receive strong support.
ContributorsZhu, Qi (Author) / Shen, Wei (Thesis advisor) / Zhu, David (Thesis advisor) / Certo, Trevis (Committee member) / Arizona State University (Publisher)
Created2019
Description
This dissertation studies three classes of combinatorial arrays with practical applications in testing, measurement, and security. Covering arrays are widely studied in software and hardware testing to indicate the presence of faulty interactions. Locating arrays extend covering arrays to achieve identification of the interactions causing a fault by requiring additional conditions on how interactions are covered in rows. This dissertation introduces a new class, the anonymizing arrays, to guarantee a degree of anonymity by bounding the probability a particular row is identified by the interaction presented. Similarities among these arrays lead to common algorithmic techniques for their construction which this dissertation explores. Differences arising from their application domains lead to the unique features of each class, requiring tailoring the techniques to the specifics of each problem.
One contribution of this work is a conditional expectation algorithm to build covering arrays via an intermediate combinatorial object. Conditional expectation efficiently finds intermediate-sized arrays that are particularly useful as ingredients for additional recursive algorithms. A cut-and-paste method creates large arrays from small ingredients. Performing transformations on the copies makes further improvements by reducing redundancy in the composed arrays and leads to fewer rows.
This work contains the first algorithm for constructing locating arrays for general values of $d$ and $t$. A randomized computational search algorithmic framework verifies if a candidate array is $(\bar{d},t)$-locating by partitioning the search space and performs random resampling if a candidate fails. Algorithmic parameters determine which columns to resample and when to add additional rows to the candidate array. Additionally, analysis is conducted on the performance of the algorithmic parameters to provide guidance on how to tune parameters to prioritize speed, accuracy, or a combination of both.
This work proposes anonymizing arrays as a class related to covering arrays with a higher coverage requirement and constraints. The algorithms for covering and locating arrays are tailored to anonymizing array construction. An additional property, homogeneity, is introduced to meet the needs of attribute-based authorization. Two metrics, local and global homogeneity, are designed to compare anonymizing arrays with the same parameters. Finally, a post-optimization approach reduces the homogeneity of an anonymizing array.
One contribution of this work is a conditional expectation algorithm to build covering arrays via an intermediate combinatorial object. Conditional expectation efficiently finds intermediate-sized arrays that are particularly useful as ingredients for additional recursive algorithms. A cut-and-paste method creates large arrays from small ingredients. Performing transformations on the copies makes further improvements by reducing redundancy in the composed arrays and leads to fewer rows.
This work contains the first algorithm for constructing locating arrays for general values of $d$ and $t$. A randomized computational search algorithmic framework verifies if a candidate array is $(\bar{d},t)$-locating by partitioning the search space and performs random resampling if a candidate fails. Algorithmic parameters determine which columns to resample and when to add additional rows to the candidate array. Additionally, analysis is conducted on the performance of the algorithmic parameters to provide guidance on how to tune parameters to prioritize speed, accuracy, or a combination of both.
This work proposes anonymizing arrays as a class related to covering arrays with a higher coverage requirement and constraints. The algorithms for covering and locating arrays are tailored to anonymizing array construction. An additional property, homogeneity, is introduced to meet the needs of attribute-based authorization. Two metrics, local and global homogeneity, are designed to compare anonymizing arrays with the same parameters. Finally, a post-optimization approach reduces the homogeneity of an anonymizing array.
ContributorsLanus, Erin (Author) / Colbourn, Charles J (Thesis advisor) / Ahn, Gail-Joon (Committee member) / Montgomery, Douglas C. (Committee member) / Syrotiuk, Violet R. (Committee member) / Arizona State University (Publisher)
Created2019
Description
On Android, existing security procedures require apps to request permissions for access to sensitive resources.
Only when the user approves the requested permissions will the app be installed.
However, permissions are an incomplete security mechanism.
In addition to a user's limited understanding of permissions, the mechanism does not account for the possibility that different permissions used together have the ability to be more dangerous than any single permission alone.
Even if users did understand the nature of an app's requested permissions, this mechanism is still not enough to guarantee that a user's information is protected.
Applications can potentially send or receive sensitive information from other applications without the required permissions by using intents.
In other words, applications can potentially collaborate in ways unforeseen by the user, even if the user understands the permissions of each app independently.
In this thesis, we present several graph-based approaches to address these issues.
We determine the permissions of an app and generate scores based on our assigned value of certain resources.
We analyze these scores overall, as well as in the context of the app's category as determined by Google Play.
We show that these scores can be used to identify overzealous apps, as well as apps that do not properly fit within their category.
We analyze potential interactions between different applications using intents, and identify several promiscuous apps with low permission scores, showing that permissions alone are not sufficient to evaluate the security risks of an app.
Our analyses can form the basis of a system to assist users in identifying apps that can potentially compromise user privacy.
Only when the user approves the requested permissions will the app be installed.
However, permissions are an incomplete security mechanism.
In addition to a user's limited understanding of permissions, the mechanism does not account for the possibility that different permissions used together have the ability to be more dangerous than any single permission alone.
Even if users did understand the nature of an app's requested permissions, this mechanism is still not enough to guarantee that a user's information is protected.
Applications can potentially send or receive sensitive information from other applications without the required permissions by using intents.
In other words, applications can potentially collaborate in ways unforeseen by the user, even if the user understands the permissions of each app independently.
In this thesis, we present several graph-based approaches to address these issues.
We determine the permissions of an app and generate scores based on our assigned value of certain resources.
We analyze these scores overall, as well as in the context of the app's category as determined by Google Play.
We show that these scores can be used to identify overzealous apps, as well as apps that do not properly fit within their category.
We analyze potential interactions between different applications using intents, and identify several promiscuous apps with low permission scores, showing that permissions alone are not sufficient to evaluate the security risks of an app.
Our analyses can form the basis of a system to assist users in identifying apps that can potentially compromise user privacy.
ContributorsGibson, Aaron (Author) / Bazzi, Rida (Thesis advisor) / Ahn, Gail-Joon (Committee member) / Walker, Erin (Committee member) / Arizona State University (Publisher)
Created2015
Description
In this study I investigate the factors that may influence consumer preference and choice in China’s home interior decoration industry. With the fast development of information technology such as the internet in China, it becomes increasingly important to have a more precise understanding of consumer preference and choice in home interior decoration decisions so that companies in this industry can provide better services to meet customer needs. Using survey data from a sample of potential customers and a sample of existing customers of a large home interior decoration company, I find that (1) internet has become the mostly used channel by consumers to gather information about home interior decoration, (2) design style is the most influential factor in consumers’ choice of home interior decoration company, and (3) consumers are more likely to choose home interior decoration companies to provide full services when they are between 35 to 45 years old or above 55 years old, when it is the first time for them to purchase a real estate property, and when they are located in the Eastern region of China. Findings of this study can help home interior decoration companies better understand customer needs and preferences, facilitate changes in their marketing and sales strategies, and consequently strengthen their competitive advantage．
ContributorsYang, Jin (Author) / Shen, Wei (Thesis advisor) / Zhang, Anmin (Committee member) / Gu, Bin (Committee member) / Arizona State University (Publisher)
Created2015
Description
This study investigates three issues that are relevant for the development of multinational investment banks in China. The first is about the domestic market conditions that are necessary for a country to develop multinational investment banks. The second issue is about the degree to which China has met these conditions. The last issue focuses on the potential strategies Chinese investment banks can undertake to become multinational corporations.
To address the first issue, I draw an important distinction between international investment banks and multinational investment banks. For an international investment bank to be regarded as a multinational, I propose that it must have a strong presence (i.e., holding at least one percent of the market share) in at least two of the seven major capital markets in the world. Using this criterion, I identify 25 multinational investment banks. I then analyze their home countries’ domestic market conditions and propose that the following six factors are important to the development of multinational investment banks: the size of the home country’s gross domestic product (GDP), the total capitalization of its domestic security market, the number of its Global 500 firms, the volume of its foreign direct investment (FDI), the internationalization of its currency, and the openness of its capital market to foreign investors.
By comparisons, I find that China’s domestic market conditions are comparable to the home countries of multinational investment banks with respect to the size of GDP, total market capitalization, the number of Global 500 firms, and the volume of FDI. What China lags behind are the internationalization of currency and the openness of capital market to foreign investors. Given the current trends of development, it is very likely that China will be able to catch up on the latter within ten years, thus meeting all the conditions necessary for the development of multinational investment banks.
Based on the above findings, I suggest that Chinese investment banks seize this historical opportunity, speed up the internationalization of their businesses, and learn from the experiences of global industry leaders to become truly multinational corporations.
To address the first issue, I draw an important distinction between international investment banks and multinational investment banks. For an international investment bank to be regarded as a multinational, I propose that it must have a strong presence (i.e., holding at least one percent of the market share) in at least two of the seven major capital markets in the world. Using this criterion, I identify 25 multinational investment banks. I then analyze their home countries’ domestic market conditions and propose that the following six factors are important to the development of multinational investment banks: the size of the home country’s gross domestic product (GDP), the total capitalization of its domestic security market, the number of its Global 500 firms, the volume of its foreign direct investment (FDI), the internationalization of its currency, and the openness of its capital market to foreign investors.
By comparisons, I find that China’s domestic market conditions are comparable to the home countries of multinational investment banks with respect to the size of GDP, total market capitalization, the number of Global 500 firms, and the volume of FDI. What China lags behind are the internationalization of currency and the openness of capital market to foreign investors. Given the current trends of development, it is very likely that China will be able to catch up on the latter within ten years, thus meeting all the conditions necessary for the development of multinational investment banks.
Based on the above findings, I suggest that Chinese investment banks seize this historical opportunity, speed up the internationalization of their businesses, and learn from the experiences of global industry leaders to become truly multinational corporations.
ContributorsLiu, Xin (Author) / Chang, Chun (Thesis advisor) / Shen, Wei (Thesis advisor) / Chen, Hong (Committee member) / Arizona State University (Publisher)
Created2015
Description
The current study combines field study, survey study, and public financial reports, and conducts an in-depths comprehensive study of the cost of the global tire industry. By comparing the price and the total cost structure of standardized tire products, we investigate Chinese tire industry’s global competitiveness, especially in light of China’s fast increasing labor cost. By constructing a comprehensive cost index (CCI), this dissertation estimates the evolution and forecasts the trend of global tire industry’s cost structure. Based on our empirical analysis, we provide various recommendations for Chinese tire manufacturers, other manufacturing industries, and foreign trade policy makers.
ContributorsZhang, Ning (Author) / Zhu, Ning (Thesis advisor) / Shen, Wei (Thesis advisor) / Chen, Hong (Committee member) / Arizona State University (Publisher)
Created2015
Description
This study seeks to develop a framework that can help firms in China’s guarantee industry to better identify and prevent risk when they offer guarantee services to small and medium-sized enterprises (SME). With the continuously increasing demands of SME financing, the guarantee industry has developed rapidly in China. Meanwhile, the turmoil in global financial markets and the significant slowdown of global economy have started to have a negative impact on China’s economy, increasing the risk exposure of China’s guarantee industry. In this context, risk identification and prevention becomes the core competence of a guarantee company. Based on a review of the existing research, two in-depth case studies, and the author’s personal experiences in this industry, this paper does not only provide a comprehensive list of the risks that guarantee firms face in China but also measures for risk identification and prevention.
This thesis is organized as follows. First, I provide a brief description about the emergence and development of China’s guarantee industry, as well as its current status. Next, I explain what kinds of risks faced by guarantee firms in China that influence their performance and survival, and summarize the various external and internal risk factors. I also conduct one in-depth case analysis to illustrate how a guarantee firm can better identify the risks it is exposed to. Next, on the basis of another in-depth case analysis, I develop a framework that can help guarantee firms to systematically develop effective measures of risk identification and prevention. I conclude with a discussion of this study’s implications for guarantee firms and the regulatory governmental agencies in China.
This thesis is organized as follows. First, I provide a brief description about the emergence and development of China’s guarantee industry, as well as its current status. Next, I explain what kinds of risks faced by guarantee firms in China that influence their performance and survival, and summarize the various external and internal risk factors. I also conduct one in-depth case analysis to illustrate how a guarantee firm can better identify the risks it is exposed to. Next, on the basis of another in-depth case analysis, I develop a framework that can help guarantee firms to systematically develop effective measures of risk identification and prevention. I conclude with a discussion of this study’s implications for guarantee firms and the regulatory governmental agencies in China.
ContributorsWu, Daorong (Author) / Shen, Wei (Thesis advisor) / Liu, Jun (Thesis advisor) / Chang, Chun (Committee member) / Arizona State University (Publisher)
Created2016