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: Shen, Wei
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
Collective cell migration in the 3D fibrous extracellular matrix (ECM) is crucial to many physiological and pathological processes such as tissue regeneration, immune response and cancer progression. A migrating cell also generates active pulling forces, which are transmitted to the ECM fibers via focal adhesion complexes. Such active forces consistently remodel the local ECM (e.g., by re-orienting the collagen fibers, forming fiber bundles and increasing the local stiffness of ECM), leading to a dynamically evolving force network in the system that in turn regulates the collective migration of cells.
In this work, this novel mechanotaxis mechanism is investigated, i.e., the role of the ECM mediated active cellular force propagation in coordinating collective cell migration via computational modeling and simulations. The work mainly includes two components: (i) microstructure and micromechanics modeling of cellularized ECM (collagen) networks and (ii) modeling collective cell migration and self-organization in 3D ECM. For ECM modeling, a procedure for generating realizations of highly heterogeneous 3D collagen networks with prescribed microstructural statistics via stochastic optimization is devised. Analysis shows that oriented fibers can significantly enhance long-range force transmission in the network. For modeling collective migratory behaviors of the cells, a minimal active-particle-on-network (APN) model is developed, in which reveals a dynamic transition in the system as the particle number density ρ increases beyond a critical value ρc, from an absorbing state in which the particles segregate into small isolated stationary clusters, to a dynamic state in which the majority of the particles join in a single large cluster undergone constant dynamic reorganization. The results, which are consistent with independent experimental results, suggest a robust mechanism based on ECM-mediated mechanical coupling for collective cell behaviors in 3D ECM.
For the future plan, further substantiate the minimal cell migration model by incorporating more detailed cell-ECM interactions and relevant sub-cellular mechanisms is needed, as well as further investigation of the effects of fiber alignment, ECM mechanical properties and externally applied mechanical cues on collective migration dynamics.
In this work, this novel mechanotaxis mechanism is investigated, i.e., the role of the ECM mediated active cellular force propagation in coordinating collective cell migration via computational modeling and simulations. The work mainly includes two components: (i) microstructure and micromechanics modeling of cellularized ECM (collagen) networks and (ii) modeling collective cell migration and self-organization in 3D ECM. For ECM modeling, a procedure for generating realizations of highly heterogeneous 3D collagen networks with prescribed microstructural statistics via stochastic optimization is devised. Analysis shows that oriented fibers can significantly enhance long-range force transmission in the network. For modeling collective migratory behaviors of the cells, a minimal active-particle-on-network (APN) model is developed, in which reveals a dynamic transition in the system as the particle number density ρ increases beyond a critical value ρc, from an absorbing state in which the particles segregate into small isolated stationary clusters, to a dynamic state in which the majority of the particles join in a single large cluster undergone constant dynamic reorganization. The results, which are consistent with independent experimental results, suggest a robust mechanism based on ECM-mediated mechanical coupling for collective cell behaviors in 3D ECM.
For the future plan, further substantiate the minimal cell migration model by incorporating more detailed cell-ECM interactions and relevant sub-cellular mechanisms is needed, as well as further investigation of the effects of fiber alignment, ECM mechanical properties and externally applied mechanical cues on collective migration dynamics.
ContributorsNan, Hanqing (Author) / Jiao, Yang (Thesis advisor) / Alford, Terry (Committee member) / Zhuang, Houlong (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
Advanced material systems refer to materials that are comprised of multiple traditional constituents but complex microstructure morphologies, which lead to their superior properties over conventional materials. This dissertation is motivated by the grand challenge in accelerating the design of advanced material systems through systematic optimization with respect to material microstructures or processing settings. While optimization techniques have mature applications to a large range of engineering systems, their application to material design meets unique challenges due to the high dimensionality of microstructures and the high costs in computing process-structure-property (PSP) mappings. The key to addressing these challenges is the learning of material representations and predictive PSP mappings while managing a small data acquisition budget. This dissertation thus focuses on developing learning mechanisms that leverage context-specific meta-data and physics-based theories. Two research tasks will be conducted: In the first, we develop a statistical generative model that learns to characterize high-dimensional microstructure samples using low-dimensional features. We improve the data efficiency of a variational autoencoder by introducing a morphology loss to the training. We demonstrate that the resultant microstructure generator is morphology-aware when trained on a small set of material samples, and can effectively constrain the microstructure space during material design. In the second task, we investigate an active learning mechanism where new samples are acquired based on their violation to a theory-driven constraint on the physics-based model. We demonstrate using a topology optimization case that while data acquisition through the physics-based model is often expensive (e.g., obtaining microstructures through simulation or optimization processes), the evaluation of the constraint can be far more affordable (e.g., checking whether a solution is optimal or equilibrium). We show that this theory-driven learning algorithm can lead to much improved learning efficiency and generalization performance when such constraints can be derived. The outcomes of this research is a better understanding of how physics knowledge about material systems can be integrated into machine learning frameworks, in order to achieve more cost-effective and reliable learning of material representations and predictive models, which are essential to accelerate computational material design.
ContributorsCang, Ruijin (Author) / Ren, Yi (Thesis advisor) / Liu, Yongming (Committee member) / Jiao, Yang (Committee member) / Nian, Qiong (Committee member) / Zhuang, Houlong (Committee member) / Arizona State University (Publisher)
Created2018
Description
Nanolaminate materials are layered composites with layer thickness ≤ 100 nm. They exhibit unique properties due to their small length scale, the presence of a high number of interfaces and the effect of imposed constraint. This thesis focuses on the mechanical behavior of Al/SiC nanolaminates. The high strength of ceramics combined with the ductility of Al makes this combination desirable. Al/SiC nanolaminates were synthesized through magnetron sputtering and have an overall thickness of ~ 20 μm which limits the characterization techniques to microscale testing methods. A large amount of work has already been done towards evaluating their mechanical properties under indentation loading and micropillar compression. The effects of temperature, orientation and layer thickness have been well established. Al/SiC nanolaminates exhibited a flaw dependent deformation, anisotropy with respect to loading direction and strengthening due to imposed constraint. However, the mechanical behavior of nanolaminates under tension and fatigue loading has not yet been studied which is critical for obtaining a complete understanding of their deformation behavior. This thesis fills this gap and presents experiments which were conducted to gain an insight into the behavior of nanolaminates under tensile and cyclic loading. The effect of layer thickness, tension-compression asymmetry and effect of a wavy microstructure on mechanical response have been presented. Further, results on in situ micropillar compression using lab-based X-ray microscope through novel experimental design are also presented. This was the first time when a resolution of 50 nms was achieved during in situ micropillar compression in a lab-based setup. Pores present in the microstructure were characterized in 3D and sites of damage initiation were correlated with the channel of pores present in the microstructure.
The understanding of these deformation mechanisms paved way for the development of co-sputtered Al/SiC composites. For these composites, Al and SiC were sputtered together in a layer. The effect of change in the atomic fraction of SiC on the microstructure and mechanical properties were evaluated. Extensive microstructural characterization was performed at the nanoscale level and Al nanocrystalline aggregates were observed dispersed in an amorphous matrix. The modulus and hardness of co- sputtered composites were much higher than their traditional counterparts owing to denser atomic packing and the absence of synthesis induced defects such as pores and columnar boundaries.
The understanding of these deformation mechanisms paved way for the development of co-sputtered Al/SiC composites. For these composites, Al and SiC were sputtered together in a layer. The effect of change in the atomic fraction of SiC on the microstructure and mechanical properties were evaluated. Extensive microstructural characterization was performed at the nanoscale level and Al nanocrystalline aggregates were observed dispersed in an amorphous matrix. The modulus and hardness of co- sputtered composites were much higher than their traditional counterparts owing to denser atomic packing and the absence of synthesis induced defects such as pores and columnar boundaries.
ContributorsSingh, Somya (Author) / Chawla, Nikhilesh (Thesis advisor) / Neithalath, Narayanan (Committee member) / Jiao, Yang (Committee member) / Mara, Nathan (Committee member) / Arizona State University (Publisher)
Created2018
Description
With the growth of global population, the demand for sustainable infrastructure is significantly increasing. Substructures with appropriate materials are required to be built in or above soil that can support the massive volume of construction demand. However, increased structural requirements often require ground improvement to increase the soil capacity. Moreover, certain soils are prone to liquefaction during an earthquake, which results in significant structural damage and loss of lives. While various soil treatment methods have been developed in the past to improve the soil’s load carrying ability, most of these traditional treatment methods have been found either hazardous and may cause irreversible damage to natural environment, or too disruptive to use beneath or adjacent to existing structures. Thus, alternative techniques are required to provide a more natural and sustainable solution. Biomediated methods of strengthening soil through mineral precipitation, in particular through microbially induced carbonate precipitation (MICP), have recently emerged as a promising means of soil improvement. In MICP, the precipitation of carbonate (usually in the form of calcium carbonate) is mediated by microorganisms and the process is referred to as biomineralization. The precipitated carbonate coats soil particles, precipitates in the voids, and bridges between soil particles, thereby improving the mechanical properties (e.g., strength, stiffness, and dilatancy). Although it has been reported that the soil’s mechanical properties can be extensively enhanced through MICP, the micro-scale mechanisms that influence the macro-scale constitutive response remain to be clearly explained.
The utilization of alternative techniques such as MICP requires an in-depth understanding of the particle-scale contact mechanisms and the ability to predict the improvement in soil properties resulting from calcite precipitation. For this purpose, the discrete element method (DEM), which is extensively used to investigate granular materials, is adopted in this dissertation. Three-dimensional discrete element method (DEM) based numerical models are developed to simulate the response of bio-cemented sand under static and dynamic loading conditions and the micro-scale mechanisms of MICP are numerically investigated. Special focus is paid to the understanding of the particle scale mechanisms that are dominant in the common laboratory scale experiments including undrained and drained triaxial compression when calcite bridges are present in the soil, that enhances its load capacity. The mechanisms behind improvement of liquefaction resistance in cemented sands are also elucidated through the use of DEM. The thesis thus aims to provide the fundamental link that is important in ensuring proper material design for granular materials to enhance their mechanical performance.
The utilization of alternative techniques such as MICP requires an in-depth understanding of the particle-scale contact mechanisms and the ability to predict the improvement in soil properties resulting from calcite precipitation. For this purpose, the discrete element method (DEM), which is extensively used to investigate granular materials, is adopted in this dissertation. Three-dimensional discrete element method (DEM) based numerical models are developed to simulate the response of bio-cemented sand under static and dynamic loading conditions and the micro-scale mechanisms of MICP are numerically investigated. Special focus is paid to the understanding of the particle scale mechanisms that are dominant in the common laboratory scale experiments including undrained and drained triaxial compression when calcite bridges are present in the soil, that enhances its load capacity. The mechanisms behind improvement of liquefaction resistance in cemented sands are also elucidated through the use of DEM. The thesis thus aims to provide the fundamental link that is important in ensuring proper material design for granular materials to enhance their mechanical performance.
ContributorsYang, Pu (Author) / Neithalath, Narayanan (Thesis advisor) / Kavazanjian, Edward (Committee member) / Rajan, S.D. (Committee member) / Mobasher, Barzin (Committee member) / Jiao, Yang (Committee member) / Arizona State University (Publisher)
Created2018
Description
Fracture phenomena have been extensively studied in the last several decades. Continuum mechanics-based approaches, such as finite element methods and extended finite element methods, are widely used for fracture simulation. One well-known issue of these approaches is the stress singularity resulted from the spatial discontinuity at the crack tip/front. The requirement of guiding criteria for various cracking behaviors, such as initiation, propagation, and branching, also poses some challenges. Comparing to the continuum based formulation, the discrete approaches, such as lattice spring method, discrete element method, and peridynamics, have certain advantages when modeling various fracture problems due to their intrinsic characteristics in modeling discontinuities.
A novel, alternative, and systematic framework based on a nonlocal lattice particle model is proposed in this study. The uniqueness of the proposed model is the inclusion of both pair-wise local and multi-body nonlocal potentials in the formulation. First, the basic ideas of the proposed framework for 2D isotropic solid are presented. Derivations for triangular and square lattice structure are discussed in detail. Both mechanical deformation and fracture process are simulated and model verification and validation are performed with existing analytical solutions and experimental observations. Following this, the extension to general 3D isotropic solids based on the proposed local and nonlocal potentials is given. Three cubic lattice structures are discussed in detail. Failure predictions using the 3D simulation are compared with experimental testing results and very good agreement is observed. Next, a lattice rotation scheme is proposed to account for the material orientation in modeling anisotropic solids. The consistency and difference compared to the classical material tangent stiffness transformation method are discussed in detail. The implicit and explicit solution methods for the proposed lattice particle model are also discussed. Finally, some conclusions and discussions based on the current study are drawn at the end.
A novel, alternative, and systematic framework based on a nonlocal lattice particle model is proposed in this study. The uniqueness of the proposed model is the inclusion of both pair-wise local and multi-body nonlocal potentials in the formulation. First, the basic ideas of the proposed framework for 2D isotropic solid are presented. Derivations for triangular and square lattice structure are discussed in detail. Both mechanical deformation and fracture process are simulated and model verification and validation are performed with existing analytical solutions and experimental observations. Following this, the extension to general 3D isotropic solids based on the proposed local and nonlocal potentials is given. Three cubic lattice structures are discussed in detail. Failure predictions using the 3D simulation are compared with experimental testing results and very good agreement is observed. Next, a lattice rotation scheme is proposed to account for the material orientation in modeling anisotropic solids. The consistency and difference compared to the classical material tangent stiffness transformation method are discussed in detail. The implicit and explicit solution methods for the proposed lattice particle model are also discussed. Finally, some conclusions and discussions based on the current study are drawn at the end.
ContributorsChen, Hailong (Author) / Liu, Yongming (Thesis advisor) / Jiao, Yang (Committee member) / Mignolet, Marc (Committee member) / Oswald, Jay (Committee member) / Solanki, Kiran (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