Supply chain exchange relationships are complex and sometimes chaotic sociological and organisational phenomena. This complexity is compounded by the boundary spanning necessity of forming supply chain partnerships that are further exacerbated by goal divergence and asymmetric information. One of the main questions for consideration is how these dyadic exchange relationships are maintained and develop over time in response to the various channel behaviours of the actors (the buyer and seller)? In particular, exchange relationships are theorised to be sensitive in some degree to attempts at economic appropriation, and conversely coordinative efforts. Such efforts manifest themselves into the mutually opposing forces broadly labelled as opportunistic and collaborative behavioural paradigms. Drawing from the concepts of Systems and Chaos/Complexity theories, it is theorised that the movement from one form of relational arrangement to another is enacted in a non-linear and dynamic manner with periods of relational equilibrium disrupted by bifurcations resulting in the emergence of new levels of relationship. However, not all exchange relationships are susceptible to constant change, rather, there should be some threshold barrier or relationship inertia that must be overcome before a bifurcation occurs. Yet what is not known is how strong these bonds are to the enactment of opportunistic and collaborative partner behaviours. Hence, 189 manufacturing supply chain relationships were survey-interviewed in order to determine the impact that collaborative and opportunistic behaviours have on supply chain relational movement. The results show that generally exchange relationships do in fact change in response to these enacted behaviours, and that actual levels of supply chain behaviour over a range of 12 variables could be measured. Indeed, the level of opportunistic behaviour experienced by the sample was disturbing. In addition, the level of tolerance (zone of tolerance) for specific behaviours was measured for the first time in the field. Overall, it was found that supply chain exchange relationships do indeed evolve in a non-linear dynamic manner in response to opportunistic and collaborative manoeuvres by the dyadic actors. Finally, these ideas were summarised in the Dynamic Relational Development (DRD) concept that explains how supply chain relationships dynamically change. In addition, the dualistic nature of the collaborative versus opportunistic behaviour choice for exchange actors is tentatively reconciled by the deontological approach of the Supply Chain Citizen theory offered in this research.

本研究基於文獻探討發現品牌權益內涵看法分歧，且缺乏理論背景。因此以交易成本理論為基礎，提出一具基礎理論(Microfundation)的交易成本觀點之顧客基礎品牌權益模型。說明消費者購買產品時，是處於Williamson所稱的市場失靈情況，除了要考慮商品的實際售價外，另外必須對市場不完全下產生的交易成本納入考量。品牌可視為一種能夠降低消費者購買產品時產生之交易成本的機制。而品牌權益來自於顧客對不同品牌認知交易成本差異而反應於財務上的價值。 交易成本的高低取決於資訊搜尋成本、道德危機成本、遲滯成本；當顧客面對某品牌所投注的資訊搜集成本及購買後面對的道德危機成本相對其他品牌愈少，交易成本即愈低。若顧客與品牌間產生之資產專屬性愈高，則其被遲滯的程度愈大，欲轉換至其他品牌的轉換成本愈大，相對於其他品牌而言，繼續使用資產專屬性較高的品牌，顧客所須付出的成本較低。綜合資訊收集成本、道德危機成本與遲滯成本形成顧客面對的交易成本。顧客知覺交易成本高的品牌，品牌權益較低。反之顧客知覺交易成本相對較低的品牌，則反應出較高的品牌權益。 研究發現品牌策略的典範移轉情形大致為創造品牌知識、至品牌信任、再到品牌依賴。品牌知識由品牌形象及品牌知名度構成；品牌信任則由消費者知覺品牌的品質、創新、關懷三者所組成；品牌依賴則由消費者對產品實體利益、品牌心理認同、與社會規範形成。籍由對品牌知識、信任、依賴的建立可以減少消費者的交易成本，增加品牌權益。 本研究並由品牌權益理論發展與模型建構，輔以文獻整理與佐證，發展了19項品牌權益內涵的命題，且就行銷組合、市場與競爭情況、次要聯想、消費者面等因素，探討對品牌權益的影響。 最後提出對理論與實務的涵意，對學術界，本研究統整了複雜且眾多的品牌權益構面，有助於了解品牌權益的意義及內涵全貌，並可作為品牌權益研究的基礎。對實務界，建議行銷人員應減少消費者購買產品所產生的交易成本，增加品牌權益。透過思考品牌權益發生的根本原因，可以清楚的掌握品牌權益建立的重心。另從品牌管理重心的演變觀之，追求品牌依賴是可見的趨勢。因此本研究對企業界有極大的幫助，可以建立起行銷人員品牌權益管理的架構。 目錄 第一章 緒論 1 第一節 研究背景 1 第二節 研究動機 2 第三節 研究問題與目的 4 第四節 研究架構 8 第二章 品牌權益與交易成本理論之文獻探討 12 第一節 品牌權益 13 一、品牌權益的定義 13 二、品牌權益研究的發展 21 三、品牌權益的構面 26 第二節 交易成本理論 40 一、交易成本簡介 40 二、交易與交易成本 42 三、交易成本的主要內涵 43 四、投機主義的介紹 49 五、交易的特性 51 節三節 文獻探討評論 54 第三章 交易成本理論觀點之品牌權益模型 56 第一節 品牌權益模型 56 第二節 交易成本與品牌權益 62 第四章 品牌權益內涵之探討 69 第一節 品牌知識與資訊成本 70 第二節 品牌信任與道德危機成本 75 第三節 品牌依賴與遲滯成本 81 第四節 品牌權益內涵比較 92 一、與Keller 架構之比較 92 一、與Aaker 架構之比較 92 第五章 影響品牌權益內涵相關因素之探討 95 第一節 行銷組合策略對品牌權益的影響 95 一、產品策略 95 二、價格策略 96 三、通路策略 96 四、促銷組合策略 97 第二節 市場與競爭情況 98 一、競爭品牌數目 98 二、產品間的品質差異程度 99 節三節 次要聯想對品牌權益的影響 99 第四節 消費者因素對品牌權益的影響 100 第六章 結論與建議 105 第一節 研究結論 105 一、品牌權益理論發展與模型建構 105 二、品牌權益內涵命題發展 106 第二節 理論與實務涵意 110 一、對學術界的涵意 110 二、對實務界的涵意 110 第三節 研究限制 113 第四節 後續研究建議 114 參考文獻 117 一、中文部份 117 二、英文部份 120 表次 表2-1 品牌權益定義彙整 19 表2-2 品牌權益分涵分類彙整表 39 表4-1 交易成本觀點下品牌權益命題彙整 88 表6-1 品牌權益內涵命題發展結果 107 圖次 圖 1-1 本研究架構圖 11 圖 2-1 Aaker之品牌權益架構 30 圖 2-2 Keller之品牌權益架構 33 圖 2-3 Magajan、Rao & Srivastava 之品牌權益架構 35 圖 2-4 組織失靈架構 46 圖 3-1 品牌權益內涵與交易成本關係圖 58 圖 3-2 交易成本理論觀點之品牌權益模型 61 圖 3-3 交易成本與品牌權益之關係 62 圖 4-1 顧客基礎品牌權益內涵 69 圖 2-4 本研究品牌權益模式與Aaker、Keller 架構之比較 94 圖 5-1 品牌在不同消費者決策階段扮演之角色 101

La presente Tesis Doctoral profundiza en el estudio de las relaciones comerciales establecidas entre los miembros del canal de distribución, con especial atención a la relación fabricante-distribuidor. El tema elegido responde a la evolución de escenarios competitivos y empresariales dentro del canal de distribución. El trabajo efectuado parte de una revisión teórica del estado de la cuestión de la investigación en canales de distribución, incluyendo los enfoques teóricos aplicados a canales de distribución, la naturaleza de los intercambios comerciales entre fabricantes y distribuidores, y las variables clave de las relaciones comerciales entre fabricantes y distribuidores. Sobre la base de la revisión teórica efectuada, se propone el modelo teórico y se establecen las hipótesis de investigación. Con objeto de dar respuesta a estas cuestiones se realiza una investigación cualitativa y cuantitativa en el sector de la panadería y repostería industrial. La fase de investigación cuantitativa utiliza un nivel de análisis diádico fabricante-distribuidor y la recogida de información se realiza mediante encuestas personales y postales.

Le concert européen est souvent perçu, du moins pour les années 1871 à 1890, comme l’œuvre indéniable du Chancelier allemand Otto von Bismarck et des grands hommes politiques de son temps. La politique dite bismarckienne a effectivement connoté la plupart des interactions entre pays rivaux de l’époque, particulièrement entre la France et l’Allemagne. Son incidence sur la politique française est telle qu’elle en affecte les politiques intérieure et extérieure. Les républicains opportunistes adopteront vis-à-vis de la politique bismarckienne une attitude pragmatique leur permettant, de 1878 à 1885, de recouvrer leur rôle d’antan, ainsi que d’encadrer un fort sentiment nationaliste. S’il est souvent reproché aux opportunistes d’avoir préféré le momentané au planifié, il nous semble que la politique des gouvernements Ferry, Gambetta, Waddington et Freycinet réussit au contraire à tirer habilement son épingle du jeu bismarckien. Familiers du caractère éphémère de ce jeu, les opportunistes ont su y trouver des avantages, assurer à la France le recouvrement d’une position diplomatique de choix et l’acquisition de nouveaux territoires coloniaux, tout en préservant une certaine indépendance face au Chancelier. / The European concert is often perceived, at least from the 1871s to 1890, as the unmistakable work of the German Chancellor Otto von Bismarck and the major politicians of his time. The said Bismarckian policy effectively influenced most of the interactions between opposing parties, particularly between France and Germany. Its bearing on the French policy is such that it affects home and foreign policies. The opportunist republicans will personify this ambiguous reaction to new German giant. A pragmatic attitude allows them, between 1878 and 1885, to recover their former role as well as to guide a strong nationalist feeling. If the opportunists are often blamed for having preferred the short term, the governments of Ferry, Gambetta, Waddington and Freycinet governments managed to handle Bismarckian policy skilfully. Familiar with its ephemeral character, opportunist governments knew how to find advantages, insure that France recover its diplomatic position and acquire new colonial territories while protecting a certain independence vis-à-vis the Iron Chancellor.

The concept of commitment has emerged recently in international business literature especially in explaining importer behaviour as a counterpart of the process of internationalisation. Importer commitment often plays a dominant role as one of the major factors influencing relationships in the exporter-importer dyad and facilitates the process of internationalisation by imparting access to the international market. This critical importer and supplier relationship and its animating factors are, however, overlooked and largely neglected in the literature. Accordingly, it is inconclusive as to which factors influence importer commitment and how they influence it. Drawing on the literature, this study strived to investigate the spectrum of importer commitment and has explicitly examined eight factors influencing importer commitment to a foreign supplier by integrating the factors in a comprehensive model. Cultural similarity between importer and overseas supplier, knowledge and experience of the importer, the supplier's competencies, communication between importer and supplier, the supplier's opportunism, the importer's trust, importer transaction-specific investment, and environmental volatility of the import market have been identified as possible antecedents of importer commitment. Theoretical foundations are drawn basically from transaction cost economics, internationalisation process theory and resource-based theory of the firm to design a basic framework for quantitative investigation. Further, the study endeavors to gain important insights into the phenomena related to the trust and commitment building process through qualitative in-depth interviews. In addition, to validate the qualitative reasoning, a competing quantitative model is developed where trust plays a mediating role for some of the predictor variables in the model. Primary data were collected from a sample of 232 industrial and commercial importers in a developing country for empirical verification of the quantitative models using Structural Equation Modeling. As reported in this thesis, the proposed model with minor modifications fit better with the data compared to the competing model, and it explained 56% of the variance of importer commitment. However, the analysis of the modified proposed structural model revealed that ten out of fourteen hypotheses are significant including five direct paths as antecedents of importer commitment. The mediating role of trust and opportunism in the model is also supported. Twelve interviews were conducted to add in-depth richer insights into the study for further verification of the knowledge development, and trust and commitment building process in the importer-supplier relationship. The findings support most conceptual links in the qualitative model and lend support to most of the hypothesised relationships in the modified competing quantitative model. These findings extend the application of the underpinned theories and their tenets in explaining the importersupplier commitment relationship and contribute to the body of knowledge. Implications of the findings are discussed and future research directions are recommended.

Submitted by Marcia Regina Sá de Sousa Meirinho (meirinho.marcia@hotmail.com) on 2016-12-20T13:20:38Z No. of bitstreams: 1 dissertação versão final 201216.pdf: 1729948 bytes, checksum: 955b08e81fd36b2999a858c9adb32606 (MD5) / Approved for entry into archive by Janete de Oliveira Feitosa (janete.feitosa@fgv.br) on 2016-12-21T18:51:08Z (GMT) No. of bitstreams: 1 dissertação versão final 201216.pdf: 1729948 bytes, checksum: 955b08e81fd36b2999a858c9adb32606 (MD5) / Made available in DSpace on 2017-01-04T16:56:13Z (GMT). No. of bitstreams: 1 dissertação versão final 201216.pdf: 1729948 bytes, checksum: 955b08e81fd36b2999a858c9adb32606 (MD5) Previous issue date: 2016-11-28 / This study aimed to identify the governance failures that allow the occurrence of fraud, embezzlement as well as financial and reputational losses in listed companies. Therefore, a study of multiple cases was conducted involving five public companies, from which four are traded on the São Paulo Stock Exchange (BOVESPA). Data was obtained from interviews with experienced stock market professionals and other secondary sources that were confronted in the light of the Theory of Agency, which examined the relationship between owner and agent or managers. Two critical points were addressed in the interviews: primarily the work of the Board of Directors, which requires higher skills and willingness to deal with strategic issues relevant to the company. The second point was the motivation of agents who at times apply opportunistic practices to benefit themselves at the expense of the company's interests, which in turn creates the need for instruments and mechanisms for monitoring and control of the manager's performance. Corporate governance is not only related to the implementation of good practices and rules, but rather to the most efficient way to enhance decision making in business, so that managers, shareholders and Board of Directors have a voice and unify efforts to bring better results for the company. / Este estudo teve como objetivo identificar as falhas de Governança que possibilitam a ocorrência de fraudes, desvios e perdas financeiras e de reputação em empresas listadas. Para tanto, foi realizado um estudo de casos múltiplos envolvendo cinco empresas de capital aberto, sendo quatro com ações negociadas na Bolsa de Valores de São Paulo (BOVESPA). Os dados foram obtidos a partir de entrevistas realizadas com experientes profissionais do mercado de capitais e outras fontes secundárias, que foram confrontados sob a luz da teoria da agência, que analisou a relação do proprietário e do agente ou gestores. Nas entrevistas, dois pontos críticos foram abordados, primeiramente a atuação do Conselho de Administração, que requer maior qualificação e disponibilidade para tratar dos assuntos estratégicos pertinentes à empresa. O segundo ponto foi a motivação dos agentes, que em alguns momentos se utilizam de práticas oportunistas para benefício próprio em detrimento dos interesses da empresa. Este fato, por sua vez, gera a necessidade de criar instrumentos e mecanismos de monitoramento e controle da atuação do gestor. A Governança Corporativa não está relacionada apenas à aplicação de boas práticas e regras, mas sim à maneira mais eficiente encontrada para a tomada de decisão nas empresas, de modo que gestores, acionistas e Conselho de Administração tenham voz e unifiquem os esforços para trazer melhores resultados para a empresa.

Este estudo trata da informação que permeia os contratos e de sua aplicação ao contrato de seguro, da perspectiva do Direito e da Economia, ciências sociais que se complementam, porque aplicadas à mesma realidade, que será mais fielmente retratada se analisada sob ângulos diferentes, mas correlatos. Perquirindo a função da informação no contrato, constata que, se concernente a elemento essencial deste, a ele adere, passando a integrá-lo, o que determina sua importância nesse contexto e indica o regime jurídico que lhe deve ser aplicado. A investigação da distribuição da informação entre os contratantes e dos efeitos eventualmente nocivos da assimetria informacional, como o incentivo ao oportunismo, o aumento dos custos de transação e a obtenção de ganhos indevidos do contrato, induz à discussão dos critérios orientadores da disciplina jurídica da informação no âmbito contratual. A despeito da utilidade dos padrões para disciplinar condutas não alcançadas pelas regras, este estudo aponta que a boa-fé, em razão de suas idiossincrasias, não é padrão eficiente para reger a informação nos contratos, devendo ficar relegada à função residual. A aplicação do dever de informar com o objetivo de impor às partes transparência e veracidade conferiria mais objetividade e operacionalidade ao regime da informação nos contratos. Mas, a despeito da questionável eficiência da boa-fé como indutora da troca de informações entre as partes, foi o padrão de conduta escolhido pelo sistema jurídico para balizar a interação dos contratantes. Devido às peculiaridades do contrato de seguro, e à nocividade dos efeitos da assimetria informacional neste contexto, exige-se dos contratantes a máxima boa-fé. Se a regra é a máxima transparência e a absoluta veracidade, deverá ser restritiva a interpretação de eventuais exceções. Como a informação se prende ao cerne da operação econômica subjacente, afetando o cálculo do risco e a fixação do prêmio, e consequentemente, a mutualidade, diz respeito à função e à finalidade do instituto. Por isso, a interpretação condescendente de eventuais omissões ou distorções de informação relevante afrontaria o princípio da máxima boa-fé, que não pode ser mitigado, sob pena de comprometer o equilíbrio do contrato e afetar sua finalidade sócio-econômica. O estudo demonstrou a inadequação do tratamento da informação em relação ao substrato econômico do contrato de seguro, especialmente no que concerne à exigência de comprovação da má-fé nas omissões e distorções da verdade pelo segurado. Criticou também a aplicação dogmática da presunção da boa-fé, que reverte ao segurador o ônus da prova da má-fé do segurado, anulando o efeito sancionador da imposição do dever de informar. / The purpose of this dissertation is to analyze the importance of information in contract law, the disclosure duties and its application to insurance contracts, from legal and economic perspectives. Since Law and Economics are social sciences applied to the same environment and are mutually complementary, this bifocal approach leads to a more accurate portrait of reality seen from different but correlated points of view. The analysis of the role of information reveals that if it concerns the contract essential element, it becomes part of it and determines the legal rules that should be applied to it. The inquiry of information distribution patterns shows that it can eventually bring about detrimental effects which induce the discussion of the criteria underlying the legal regime of information in contract law. Asymmetric information can be harmful if it encourages opportunism, increases transaction costs and grants one party undue gains from the contract. In spite of the usefulness of standards to regulate conducts not reached by rules, this study shows that good faith, due to its idiosyncrasies, is not an efficient standard to govern information in contracts. Thus, it should be assigned a residual function. The application of the duty to inform with the purpose of imposing full disclosure and accuracy to the parties ensures more objectivity to the information regime in contracts. However, good faith was the standard chosen by the legal system to rule the parties interaction, despite its recognized inefficiency to induce information exchange among agents. Due to the particular features of the insurance contract, and to the harmful effects of informational asymmetry in this context, law imposes the parties a higher standard of good faith. If the legal standard is the utmost good faith, eventual exceptions to this pattern should be restrictively interpreted. Since information is connected with the economic mechanism of the insurance contract because it affects risk and premium evaluation, it is strictly related to the function and purpose of the contract. Therefore, condescending interpretation of nondisclosure, misrepresentation and fraud would violate the principle of utmost good faith. Its mitigation will affect the contract balance and its economic and social purposes. This dissertation demonstrates the inadequacy of the information legal regime, especially regarding the requirement of proving bad faith related to nondisclosure, misrepresentation or fraud. It also criticizes the dogmatic application of the presumption of good faith that lays upon the insurer the burden of proving bad faith of the insureds conduct, nullifying the sanctioning effect of the imposition of the duty to inform.

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Upphandling är en central del för att styra statliga resurser och hur de allokeras. Syftet är att förklara avtalsprecision av komplexa byggentreprenader. För att uppnå syftet kommer vi att studera byggprojekt där upphandlingar är utvecklade. Studie 1 besvarar en teoretisk hypotes om att stora projekt skapar fler ÄTA-arbeten. Hypotesen testas med registerdata från en offentlig myndighets interna projektdatabas. Studie 2 söker förklaringar till varför stora projekt driver ÄTA-arbeten. Förklaringar kommer från intervjuer med projektledare och entreprenörer. Studie 3 testas sex olika förklaringar vi benämner post-hoc hypoteser (PHH) som bygger på etablerade begrepp. Testet bygger på enkätdata för beställare och entreprenörer. Den interna projektdatabasen innehöll 486 infrastrukturprojekt (Studie 1). Baserad på projektdatabasen valdes fyra projekt ut för vidare analys. Totalt intervjuades fyra beställare och två entreprenörer kopplat till de utvalda projekten (Studie 2). Totalt deltog 208 respondenter i enkäten varav 87 beställare, 116 entreprenörer och 5 underentreprenörer som kompletterades av två externa entreprenörer (Studie 3).  Resultatet från Studie 1 ger indikation på att dokumentationen, uppföljningen och redovisningen är bristfällig. Detta bekräftades av intervjuerna i Studie 2. I Studie 3 fann vi att projekteringen är bristfällig i stora projekt där parterna agerar missvisande. Resultatet visar på att ÄTA-arbeten drivs av ofullständig projektering, person och ledarskap och av en medveten affärsmodell. Genom bättre dokumentation, uppföljning och redovisning skapas bättre avtalsprecision i upphandlingar och bidrar till meningsfulla processer och en träffsäkrare resursallokering. / Procurement is a key part of controlling government resources and how they are allocated. The purpose of this thesis is to explain the contractual precision of complex construction contracts. In order to achieve our objective, we will study construction projects where the procurement is well developed. We pursue this objective based on three studies. Study 1 answers a theoretical hypothesis that large projects create more cost overruns/error. The hypothesis is tested on a project database which is an internal register data from a public bureau. Study 2 seeks explanations as to why large projects drive cost overruns. Explanations come from interviews with project managers and contractors. Study 3 tests six different explanations we refer to post-hoc hypotheses (PHH) based on established concepts. The test is based on survey data for clients and contractors. The project database contained 486 infrastructure projects (Study 1). Based on the project database, four projects were selected for further analysis. A total of four clients and two contractors were interviewed in connection with the selected projects (Study 2). A total of 208 respondents participated in the survey, of which 87 clients, 116 contractors and 5 subcontractors were supplemented by two external contractors (Study 3). The result from study 1 indicates that the documentation, follow-up and reporting are inadequate and confirmed much of the findings in Study 2. In Study 3 we found that the planning is inadequate in large projects and often misleading. The result shows that cost overruns/error is driven by person and leadership, incomplete planning and a conscious business model. Through better documentation, follow-up and accounting, better contractual precision is created in procurement and contributes to meaningful processes and more accurate resource allocation.