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: Jiao, Yang
- Creators: Shen, Wei
Description
Extensive efforts have been devoted to understanding material failure in the last several decades. A suitable numerical method and specific failure criteria are required for failure simulation. The finite element method (FEM) is the most widely used approach for material mechanical modelling. Since FEM is based on partial differential equations, it is hard to solve problems involving spatial discontinuities, such as fracture and material interface. Due to their intrinsic characteristics of integro-differential governing equations, discontinuous approaches are more suitable for problems involving spatial discontinuities, such as lattice spring method, discrete element method, and peridynamics. A recently proposed lattice particle method is shown to have no restriction of Poisson’s ratio, which is very common in discontinuous methods. In this study, the lattice particle method is adopted to study failure problems. In addition of numerical method, failure criterion is essential for failure simulations. In this study, multiaxial fatigue failure is investigated and then applied to the adopted method. Another critical issue of failure simulation is that the simulation process is time-consuming. To reduce computational cost, the lattice particle method can be partly replaced by neural network model.First, the development of a nonlocal maximum distortion energy criterion in the framework of a Lattice Particle Model (LPM) is presented for modeling of elastoplastic materials. The basic idea is to decompose the energy of a discrete material point into dilatational and distortional components, and plastic yielding of bonds associated with this material point is assumed to occur only when the distortional component reaches a critical value. Then, two multiaxial fatigue models are proposed for random loading and biaxial tension-tension loading, respectively. Following this, fatigue cracking in homogeneous and composite materials is studied using the lattice particle method and the proposed multiaxial fatigue model. Bi-phase material fatigue crack simulation is performed. Next, an integration of an efficient deep learning model and the lattice particle method is presented to predict fracture pattern for arbitrary microstructure and loading conditions. With this integration, computational accuracy and efficiency are both considered. Finally, some conclusion and discussion based on this study are drawn.
ContributorsWei, Haoyang (Author) / Liu, Yongming (Thesis advisor) / Chattopadhyay, Aditi (Committee member) / Jiang, Hanqing (Committee member) / Jiao, Yang (Committee member) / Oswald, Jay (Committee member) / Arizona State University (Publisher)
Created2021
Description
Accurate knowledge and understanding of thermal conductivity is very important in awide variety of applications both at microscopic and macroscopic scales. Estimation,however varies widely with respect to scale and application. At a lattice level, calcu-lation of thermal conductivity of any particular alloy require very heavy computationeven for a relatively small number of atoms. This thesis aims to run conventionalmolecular dynamic simulations for a particular supercell and then employ a machinelearning based approach and compare the two in hopes of developing a method togreatly reduce computational costs as well as increase the scale and time frame ofthese systems. Conventional simulations were run using interatomic potentials basedon density function theory-basedab initiocalculations. Then deep learning neuralnetwork based interatomic potentials were used run similar simulations to comparethe two approaches.
ContributorsDabir, Anirudh (Author) / Zhuang, Houlong (Thesis advisor) / Nian, Qiong (Committee member) / Jiao, Yang (Committee member) / Arizona State University (Publisher)
Created2021
Description
Damage and failure of advanced composite materials and structures are often manifestations of nonlinear deformation that involve multiple mechanisms and their interactions at the constituent length scale. The presence and interactions of inelastic microscale constituents strongly influence the macroscopic damage anisotropy and useful residual life. The mechano-chemical interactions between constituents at the atomistic length scale play a more critical role with nanoengineered composites. Therefore, it is desirable to link composite behavior to specific microscopic constituent properties explicitly and lower length scale features using high-fidelity multiscale modeling techniques.In the research presented in this dissertation, an atomistically-informed multiscale modeling framework is developed to investigate damage evolution and failure in composites with radially-grown carbon nanotube (CNT) architecture. A continuum damage mechanics (CDM) model for the radially-grown CNT interphase region is developed with evolution equations derived using atomistic simulations. The developed model is integrated within a high-fidelity generalized method of cells (HFGMC) micromechanics theory and is used to parametrically investigate the influence of various input micro and nanoscale parameters on the mechanical properties, such as elastic stiffness, strength, and toughness. In addition, the inter-fiber stresses and the onset of damage in the presence of the interphase region are investigated to better understand the energy dissipation mechanisms that attribute to the enhancement in the macroscopic out-of-plane strength and toughness. Note that the HFGMC theory relies heavily on the description of microscale features and requires many internal variables, leading to high computational costs. Therefore, a novel reduced-order model (ROM) is also developed to surrogate full-field nonlinear HFGMC simulations and decrease the computational time and memory requirements of concurrent multiscale simulations significantly.
The accurate prediction of composite sandwich materials' thermal stability and durability remains a challenge due to the variability of thermal-related material coefficients at different temperatures and the extensive use of bonded fittings. Consequently, the dissertation also investigates the thermomechanical performance of a complex composite sandwich space structure subject to thermal cycling. Computational finite element (FE) simulations are used to investigate the intrinsic failure mechanisms and damage precursors in honeycomb core composite sandwich structures with adhesively bonded fittings.
ContributorsVenkatesan, Karthik Rajan (Author) / Chattopadhyay, Aditi (Thesis advisor) / Liu, Yongming (Committee member) / Jiao, Yang (Committee member) / Yekani Fard, Masoud (Committee member) / Stoumbos, Tom (Committee member) / Arizona State University (Publisher)
Created2021
Description
Special thermal interface materials are required for connecting devices that operate at high temperatures up to 300°C. Because devices used in power electronics, such as GaN, SiC, and other wide bandgap semiconductors, can reach very high temperatures (beyond 250°C), a high melting point, and high thermal & electrical conductivity are required for the thermal interface material. Traditional solder materials for packaging cannot be used for these applications as they do not meet these requirements. Sintered nano-silver is a good candidate on account of its high thermal and electrical conductivity and very high melting point. The high temperature operating conditions of these devices lead to very high thermomechanical stresses that can adversely affect performance and also lead to failure. A number of these devices are mission critical and, therefore, there is a need for very high reliability. Thus, computational and nondestructive techniques and design methodology are needed to determine, characterize, and design the packages. Actual thermal cycling tests can be very expensive and time consuming. It is difficult to build test vehicles in the lab that are very close to the production level quality and therefore making comparisons or making predictions becomes a very difficult exercise. Virtual testing using a Finite Element Analysis (FEA) technique can serve as a good alternative. In this project, finite element analysis is carried out to help achieve this objective. A baseline linear FEA is performed to determine the nature and magnitude of stresses and strains that occur during the sintering step. A nonlinear coupled thermal and mechanical analysis is conducted for the sintering step to study the behavior more accurately and in greater detail. Damage and fatigue analysis are carried out for multiple thermal cycling conditions. The results are compared with the actual results from a prior study. A process flow chart outlining the FEA modeling process is developed as a template for the future work. A Coffin-Manson type relationship is developed to help determine the accelerated aging conditions and predict life for different service conditions.
ContributorsAmla, Tarun (Author) / Chawla, Nikhilesh (Thesis advisor) / Jiao, Yang (Committee member) / Liu, Yongming (Committee member) / Zhuang, Houlong (Committee member) / Jiang, Hanqing (Committee member) / Arizona State University (Publisher)
Created2020
Description
Atmospheric water extraction (AWE) is an emerging technology to tackle water resource shortage challenges. One such approach to provide fresh water utilizes stimuli-responsive hydrogel-based desiccants to capture the moisture from the air and release it into the liquid form. Typical gel desiccants are composed of a hygroscopic agent for capturing and a hydrophilic gel matrix for storage. The desorption process can be completed by elevating the temperature above the upper or lower critical solution temperature point to initiate the volume phase transition of either thermo-responsive or photothermal types. This thesis focuses on investigating the structural effect of hydrogels on moisture uptake. Firstly, the main matrix of gel desiccant, poly(N-isopropylacrylamide) hydrogel, was optimized via tuning synthesis temperature and initial monomer concentration. Secondly, a series of hydrogel-based desiccants consisting of a hygroscopic material, vinyl imidazole, and optimized poly(N-isopropylacrylamide) gel matrix were synthesized with different network structures. The moisture uptake result showed that the gel desiccant with an interpenetrating polymeric network (IPN) resulted in the best-performing moisture capturing. The gel desiccant with the best performance will be used as a primary structural unit to evaluate the feasibility of developing a light-responsive gel desiccant to materialize light-trigger moisture desorption for AWE technology in the future.
ContributorsZhao, Xingbang (Author) / Dai, Lenore (Thesis advisor) / Westerhoff, Paul (Committee member) / Jiao, Yang (Committee member) / Arizona State University (Publisher)
Created2021
Description
In this study I investigate the organizational mechanisms (pathways) through which strategic investors can help a firm improve performance. Many commercial banks in China have recently invited foreign banks as strategic investors since China’s entry into the World Trade Organization (WTO), hoping to gain managerial and technological knowhow from the foreign banks. Using Shanghai Pudong Development Bank as a representative example, I conduct an in-depth qualitative analysis about how the joining of Citi Bank as a strategic investor has helped the local Chinese bank improve its financial performance. On the basis of a comprehensive review of the relevant literature, I first develop a theoretical model that describes the organizational mechanisms (pathways) through which foreign strategic investors can influence the local bank’s performance. Specifically, by participation in corporate governance, the foreign strategic investor can have a positive influence over the local bank’s strategy development, operational targets, incentive systems, and organizational culture, which consequently lead to improvements in the local banks operations and financial performance. I then use a case study method to substantiate the logic and the pathways of the model with the detailed information collected from the Shanghai Pudong Development Bank and Citi Bank strategic alliance. The results are consistent with the model’s descriptive validity.
ContributorsLiu, Xinyi (Author) / Pei, Ker-Wei (Thesis advisor) / Chen, Hong (Committee member) / Shen, Wei (Committee member) / Arizona State University (Publisher)
Created2015
Description
This study investigates the performance effects of cross-industry mergers and acquisitions (M&A) using a sample of firms listed in China’s Growth Entrepreses Market (GEM). Compared to firms listed in the Shanghai and Shenzhen Stock Exchanges, firms listed in the GEM are much smaller and tend to derive the majority of their revenues from a single industry. I first analyze the motives for firms listed in the GEM to engage in M&As and propose a set of factors that may influence their likelihood of M&A activities. Using data on 55 cross-industry M&As between January 1, 2012 and December 31, 2016, I find that investor generally responded positively in short-term, as indicated by the positive accumulated abonormal returns over the first five trading days following the announcements. Meanwhile, I found no evidence that investors benefited from cross-industry M&As in long-term over three years after the event. Further analysis suggests that the short-term effects of cross-industry M&As by GEM listed firms were influenced by the target firm’s market valuation, whether the M&A was paid by cash, the amount of the payment, and the degree of difference between the acquiring firm’s and the target firm’s industries. These findings have important implications for the investors and senior executives of firms listed in the GEM.
ContributorsZhou, Wei (Author) / Shen, Wei (Thesis advisor) / Yu, Xiaoyun (Thesis advisor) / Jiang, Zhan (Committee member) / Arizona State University (Publisher)
Created2018
Description
This thesis aims to investigate the impacts of foreign banks’ management model on their degree of localization and operating efficiency. I decompose their management model into five major factors, including two formative factors and three reflective factors. The two formative factors are (1) strategic orientation and (2) target customers, and the three reflective factors are (1) top management team composition, (2) organizational structure, and (3) managerial authority and incentives. I propose that the formative factors influence foreign banks’ degree of localization, as demonstrated by the reflective factors, which subsequently influence foreign banks’ operating efficiency in China.
To test the above proposition, I conduct the empirical analysis in three steps. In the first step, I investigate foreign banks’ management model by surveying 13 major foreign banks locally incorporated in Mainland China. The results suggest that these 13 foreign banks can be categorized into three distinct groups based on their management model: intergrators, customer-followers, and parent-followers. The results also indicate that intergrators have the highest level of localization while parent-followers have the lowest level of localization.
In the second step, I conduct DEA (Data Envelope Analysis) and CAMEL (Capital Adequacy, Asset Quality, Management, Earnings, Liquidity Analysis) to assess the operating efficiency of these 13 foreign banks. The assessment is conducted in two ways: 1) the inter-group comparison between foreign banks and local Chinese banks; 2) the intra-group comparison between the three distinct groups of foreign banks identified in the first step. The results indicates that the principal factor driving the operating efficiency of both local Chinese banks and foreign banks is the comprehensive technical efficiency, which includes both the quality of management and the quality of technical elements. I also find the uptrend of technical efficiency of the integrators is more stable than that of the other two groups of foreign banks.
Finally, I integrate the results from step one and step two to assess the relevance between foreign banks’ localization level and operating efficiency. I find that foreign banks that score higher in localization tend to have a higher level of operating efficiency. Although this finding is not conclusive about the causal relationship between localization and operating efficiency, it nevertheless suggests that the management model of the higher performing integrators can serve as references for the other foreign banks attempting to enhance their localization and operating efficiency. I also discuss the future trends of development in the banking industry in China and what foreign banks can learn from local Chinese banks to improve their market positions.
To test the above proposition, I conduct the empirical analysis in three steps. In the first step, I investigate foreign banks’ management model by surveying 13 major foreign banks locally incorporated in Mainland China. The results suggest that these 13 foreign banks can be categorized into three distinct groups based on their management model: intergrators, customer-followers, and parent-followers. The results also indicate that intergrators have the highest level of localization while parent-followers have the lowest level of localization.
In the second step, I conduct DEA (Data Envelope Analysis) and CAMEL (Capital Adequacy, Asset Quality, Management, Earnings, Liquidity Analysis) to assess the operating efficiency of these 13 foreign banks. The assessment is conducted in two ways: 1) the inter-group comparison between foreign banks and local Chinese banks; 2) the intra-group comparison between the three distinct groups of foreign banks identified in the first step. The results indicates that the principal factor driving the operating efficiency of both local Chinese banks and foreign banks is the comprehensive technical efficiency, which includes both the quality of management and the quality of technical elements. I also find the uptrend of technical efficiency of the integrators is more stable than that of the other two groups of foreign banks.
Finally, I integrate the results from step one and step two to assess the relevance between foreign banks’ localization level and operating efficiency. I find that foreign banks that score higher in localization tend to have a higher level of operating efficiency. Although this finding is not conclusive about the causal relationship between localization and operating efficiency, it nevertheless suggests that the management model of the higher performing integrators can serve as references for the other foreign banks attempting to enhance their localization and operating efficiency. I also discuss the future trends of development in the banking industry in China and what foreign banks can learn from local Chinese banks to improve their market positions.
ContributorsSun, Minjie (Author) / Shen, Wei (Thesis advisor) / Qian, Jun (Thesis advisor) / Pei, Ker-Wei (Committee member) / Arizona State University (Publisher)
Created2016
Description
This study investigates the impact of a specific organizational form – partnership – on employees’ awareness of risk control and job engagement in securities companies. Given that their organizational performance relies heavily on the performance of individual employees, it is critical for securities companies in China to adopt appropriate organizational forms so that they can better captalize on their employees’ human capital to cope with the increasingly intense market competition. Partnership, as one of the few organizational forms, has been widely adopted in industries that rely on the performance of individuals, such as law, auditing, consulting, and investment banking, around the world. In the context of China’s emerging economy, it has also been adopted as an incentive system by market leaders across several industries, including Alibaba in online shopping, Vanke in real estate, and Fosun in investments. In contrast, partnership has not been adopted or implemented by securities companies in China as most of them are still state-owned enterprises.
Based on my review of the corporate governance literature and qualitative analysis of partnership adoption in China, I propose that partnership can help better alighn the interests of employees with owners in securities companies as well. Specifically, the prospect of becoming a partner in the future can improve employees’ awareness of risk control and increase their job engagement. Taking advantage of partnership adoption at a Chinese securities company as a natural field experienment, I surveyed its employees about their awareness of risk contrl and job dedication before and after the adoption. The results from 505 matched surveys showed an increase in the average scores of both awareness of risk control and job dedication after the company adopted partnership as a new organizational form. Findings of this study have important implications for organizational and incentive design for securities companies in China.
Based on my review of the corporate governance literature and qualitative analysis of partnership adoption in China, I propose that partnership can help better alighn the interests of employees with owners in securities companies as well. Specifically, the prospect of becoming a partner in the future can improve employees’ awareness of risk control and increase their job engagement. Taking advantage of partnership adoption at a Chinese securities company as a natural field experienment, I surveyed its employees about their awareness of risk contrl and job dedication before and after the adoption. The results from 505 matched surveys showed an increase in the average scores of both awareness of risk control and job dedication after the company adopted partnership as a new organizational form. Findings of this study have important implications for organizational and incentive design for securities companies in China.
ContributorsSha, Changming (Author) / Shen, Wei (Thesis advisor) / Li, Feng (Thesis advisor) / Gu, Bin (Committee member) / Arizona State University (Publisher)
Created2018
Description
China's city commercial banks were reorganized by the urban credit cooperatives in the same city in the 1990s. Although they are allowed to open branches outside the registered city, the location and the number of their branches have been strictly restricted. It is fatal to them to increase the competitiveness of their branches. Based on the diversity theory and its mechanism, in this study I examined the impact of source diversity of the senior management in the branches of the city commercial bank on the branches’ productivity and their asset yield. Invoking the resource-based theory and the social capital framework, the source diversity lead to the organization resources diversity and the organization knowledge diversity. The results demonstrate that the source diversity contribute to the branches’ competitiveness advantage. Both internal trained personnel and external introduction personnel are important for the branches’ top management team. But one of the two kinds of personnel is more suitable to their middle management team.
ContributorsZhang, Xiande (Author) / Gu, Bin (Thesis advisor) / Wang, Tan (Thesis advisor) / Shen, Wei (Committee member) / Arizona State University (Publisher)
Created2017