Web site - UC Davis Graduate School of Management...research on relating financial performance to...

SHANNON W. ANDERSON

University of California, Davis Graduate School of Management, 3414 Gallagher Hall

Davis, CA 95616-8609 Office: 530.752.3871, Fax: 530.752.2924, e-mail: [email protected]

Web site: http://gsm.ucdavis.edu/faculty/shannon-w-anderson http://ssrn.com/author=62748

EDUCATION

Harvard University Ph.D. (1993) and A.M. (1991), Business Economics. concentrations: Management Accounting, Operations Management, and Industrial Organization. Dissertation Advisors: Richard Caves, Bruce Chew, Robert Kaplan and Steven Wheelwright (chair)

University of Michigan MBA evening program. 1986-7. Degree not completed.

Princeton University BSE (1985), cum laude Civil Engineering, Operations Research Area.

RESEARCH INTERESTS Field-based research analyzing archival, survey and interview data to study:

- Performance management and cost accounting within and at the boundaries of the firm (e.g., lean production, supplier and alliance partner performance management, customer profitability and lean consumption)

- Integration of strategy, operations management and management accounting practices

- Development and implementation of cost accounting and performance measurement systems

EXPERIENCE

University of California, Davis; Graduate School of Management 7/10-present Professor of Management

Rice University, Jesse H. Jones Graduate School of Business 7/01-6/10 Associate Professor of Management 7/01-7/04 Academic Director, Action Learning Project Program

University of Michigan Business School 7/93-6/01 Assistant Professor of Accounting and Arthur Andersen Faculty Fellow 6/92-6/93 Lecturer in Accounting

8/85-9/87 General Motors, Pontiac Motor Division, Pontiac Pressed Metal, Pontiac, MI. Industrial Engineer. 6/84-8/84 Shearson Lehman/ American Express New York, NY. Financial analyst intern.

INTERNATIONAL VISITING APPOINTMENTS

University of Melbourne, Faculty of Business and Economics, Dept. of Accounting 9/07- 9/13 Professorial Fellow, Professor of Accounting 9/07- 6/08 Visiting Professor of Accounting, sabbatical leave 10/04- 8/07 Principal Fellow, Associate Professor of Accounting

The Chartered Institute of Management Accountants (CIMA) Visiting Professor. London, October 2009. University of New South Wales, Australian School of Business. June 2008. Hong Kong University. February 2008. London School of Economics, Arthur Andersen Visiting Professor. April 2000.

Updated 9/2014

mailto:[email protected]

http://gsm.ucdavis.edu/faculty/shannon-w-anderson

SCHOLARSHIPS, AWARDS AND RECOGNITION

2012 Notable Contribution to the Management Accounting Literature Award, Annual award presented by the American Accounting Association’s Management Accounting Section, for the work: “An Empirical Examination of Goals and Performance-to-Goal Following the Introduction of an Incentive Bonus Plan with Participative Goal-setting.” Management Science (with H. Dekker and K. Sedatole).

2012 UC Davis Graduate School of Management, Teacher of the Year awarded annually by the graduating MBA class to one professor.

2010 Greatest Influence on Practice Award, Annual award presented by the American Accounting Association’s Management Accounting Section for a piece of research published in the last five years that is most likely to influence the practice of management accounting. Received for: “Management Control for Market Transactions: The relation between transaction costs, incomplete contract design and subsequent performance.” Management Science. (with H. Dekker).

2007 Jones Student Association, Class of 2007 Teaching Excellence Award awarded annually by the graduating MBA class to one professor.

2006 Notable Contribution to the Accounting Literature Award, Annual award presented by the American Accounting Association for the work: Implementing Management Innovations: Lessons Learned from Activity Based Costing in the U.S. Automobile Industry (with M. Young).

2006 Notable Contribution to the Management Accounting Literature Award, Annual award presented by the American Accounting Association’s Management Accounting Section, for the work: “Using Electronic Data Interchange (EDI) to Improve the Efficiency of Accounting Transactions.” The Accounting Review (with W. Lanen).

2006 Distinguished Faculty Associate, Wiess College. An annual honor conferred by the President of Rice University for distinguished service to an undergraduate college.

2006 IBM Best Paper Award, Service Operations track of POMS Annual Research Conference. Honorable Mention (1 winner and 2 honorable mentions awarded) for “Customer Satisfaction during Service Operations Failures: The role of attributions of blame.” (with S. Baggett and S. Widener).

2006 Best Paper Award (one winner each year) at the American Accounting Association’s Management Accounting Section Annual Research Conference for “Negotiated Goals and Pay-for-Performance: A field study investigation of how incentive compensation and goal negotiation affect financial performance” (with H. Dekker and K. Sedatole).

2003 Notable Contribution to the Management Accounting Literature Award, Annual award presented by the American Accounting Association’s Management Accounting Section, for Implementing Management Innovations: Lessons Learned from Activity Based Costing in the U.S. Automobile Industry (with M. Young).

1999 MBA Teaching Award, nominee

1999 Doctoral Program Teaching Award, nominee

1996 Eugene B. Power Junior Faculty Early Career Achievement Award

1995 Career Development Award, awarded by the President of the University of Michigan

1994 Arthur Andersen Faculty Fellowship

1994 Best Dissertation Award presented annually by the American Accounting Association’s Management Accounting Section.

1994 George B. Dantzig Dissertation Award, honorable mention, presented by INFORMS

1991 Dissertation Grant awarded by the Institute of Management Accountants 2

SCHOLARSHIPS, AWARDS AND RECOGNITION (continued)

1991 State Farm Companies Doctoral Dissertation Award in Business

1990 European Accounting Association Doctoral Consortium, selected representative of the American Accounting Association

1989 American Accounting Association Doctoral Consortium, selected representative of Harvard Business School

1988 Peat Marwick Foundation Doctoral Fellowship

COMPETITIVE RESEARCH FUNDING

Research Grants Council of Hong Kong, China: 2009-10, “The use of management controls in buyer supplier partnerships,” HK$524,630; co-investigators N. O’Connor and A. Wu.

AICPA Research Grant: 2008, $7,000 to support research on cost management and restructuring, co-investigator A. Lillis.

Australian Research Council Discovery Grant: (project ID DP 0880031, “An empirical analysis of structural cost management decision making”) A competitive national grant program in which our proposal ranked in the top third of accepted grants and only 21.8% of applications were accepted. 2007-8: $17,000AUD, 2008-9: $27,000AUD, 2009-10: $10,000AUD, co-investigator A. Lillis

AICPA Research Grant: 2006, $22,000 to support research on the use of financial and nonfinancial performance measures in supply chain management, co-investigator K. Sedatole.

Institute of Internal Auditors Research Foundation: 2004, $54,000, to support research on management control practices in strategic alliances and interfirm collaborative relationships, co-investigator K. Sedatole.

KPMG and University of Illinois Business Measurement Research Program: 2003, $89,000, to support research on relating financial performance to customer satisfaction and operating performance in the U.S. domestic airline industry, co-investigators S. Widener and L. Pearo.

KPMG and University of Illinois Business Measurement Research Program: 2003, $69,000 to support research on performance measurement at Southwest Airlines, co-investigator M. Young.

Mitsui Life Foundation: 2000-2001, $5000 to fund travel associated with research on the use of financial and nonfinancial measures of operating performance in a major chemical firm.

Joel Tauber Manufacturing Institute: 1998-2001, $120,000 to support research on the use of accounting data to improve product and process design decisions in the auto industry, co-investigator S. Pollock, University of Michigan School of Engineering.

National Science Foundation, Transformations to Quality Program: 1997-2000, $300,000, “A Bayesian Decision Model for Process Development Based on Cost and Quality Outcomes”, co-investigator, S. Pollock University of Michigan School of Engineering.

Joel Tauber Manufacturing Institute: 1996-9, $120,000 to support research on the impact of product mix complexity on manufacturing performance, co-investigator I. Duenyas, University of Michigan School of Engineering.

International Motor Vehicle Program at the Massachusetts Institute of Technology: 1994-5, $10,000 grant to study implementation of activity based costing at General Motors and Chrysler Corporation, 1995-6 $17,000 continuation grant, 1996-7 $10,000 continuation grant.

Institute of Management Accountants, Montvale, NJ: 1994-5, $27,500 grant to study the implementation of activity based costing at General Motors and Chrysler Corporation; co-investigator, M. Young.

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PUBLICATIONS

Research Publications: http://ssrn.com/author=62748

Anderson, S.W., M.H. Christ, H.C. Dekker and K.L. Sedatole. (forthcoming 2015) Do extant management control frameworks fit the alliance setting? A descriptive analysis. Industrial Marketing Management.

(special issue on: Accounting and Marketing Perspectives on Value Creation in Inter-firm Collaboration in Industrial Markets)

Anderson, S.W. and H.C. Dekker. (forthcoming 2014) The Role of Inter-firm Management Controls in Transforming Firm Boundaries and Sustaining Hybrid Organizational Forms. Foundations and Trends in Accounting. (8): .

Anderson, S. and H. Dekker. (forthcoming 2014) “From make-or-buy to coordinating collaboration: Management control in strategic alliances” in Otley, David T. and K. Soin (Eds.) Management Control and Uncertainty. (Hampshire, UK: Palgrave Macmillan). ISBN 9781137392107.

Anderson, S.W., M.H. Christ, H.C. Dekker and K.L. Sedatole. (2014) The Use of Management Controls to Mitigate Risk in Strategic Alliances: Field and Survey Evidence. Journal of Management Accounting Research. 26 (1): 1-32. http://papers.ssrn.com/abstract=1509461

Anderson, S.W. and K.L. Sedatole. (2013) Evidence on the Cost Hierarchy: The Association between Resource Consumption and Production Activities. Journal of Management Accounting Research. 25: 119-141. http://papers.ssrn.com/abstract=2137134

Anderson, S.W. and A.M. Lillis. (2011) Corporate Frugality: Theory, Measurement and Practice. Contemporary Accounting Research. 28 (4): 1349-1387. http://papers.ssrn.com/abstract=1742115

Anderson, S.W. and H.C. Dekker. (2010) Accounting in Networks: The Transaction Cost Perspective. In Hakansson, H., Kalle, K. and J. Lind (Eds.) Accounting in Networks. (London, UK: Routledge, Taylor and Francis). 235-268. ISBN10: 0-415-80647-X http://ssrn.com/abstract=1360793

Anderson, S.W., H. Dekker and K.L. Sedatole. (2010) An Empirical Examination of Goals and Performance-to-Goal Following the Introduction of an Incentive Bonus Plan with Participative Goal-setting. Management Science. 56 (1): 90-109. http://ssrn.com/abstract=975465

(Winner of Best Paper Award, 2006 AAA Management Accounting Section Midyear Research Conference)

(Winner of the 2012 Notable Contribution to the Management Accounting Literature Award).

Anderson, S.W. and H.C. Dekker. (2009) Strategic Cost Management in Supply Chains, Part 2: Executional Cost Management. Accounting Horizons. 23 (3): 289-305. http://ssrn.com/abstract=1357747

Anderson, S.W. and H.C. Dekker. (2009) Strategic Cost Management in Supply Chains, Part 1: Structural Cost Management. Accounting Horizons. 23 (2): 201-220. http://ssrn.com/abstract=1357746

Anderson, S.W., L.S. Baggett and S.K. Widener. (2009) The Impact of Service Operations Failures on Customer Satisfaction: Evidence on How Failures and Their Source Affect What Matters to Customers. Manufacturing and Service Operations Management. 11 (1): 52-69. http://ssrn.com/abstract=975832

(Honorable Mention, IBM Best Paper Award, Service Operations 2006 POMS Annual Conference)

Anderson, S.W., L. K. Pearo and S.K. Widener. (2008) Drivers of Service Satisfaction: Linking Customer Satisfaction to the Service Concept and Customer Characteristics. Journal of Service Research. 10 (4): 365-381. http://ssrn.com/abstract=62748

Anderson, S.W. (2007) Managing Costs and Cost Structure throughout the Value Chain: Research on Strategic Cost Management. In C.S. Chapman, C.; A.G. Hopwood, and M.D. Shields (Eds.). Handbook of Management Accounting Research. Oxford: Elsevier. (2): 319-341. http://ssrn.com/abstract=869070

(Edited volume won the 2008 Notable Contribution to the Management Accounting Literature Award).

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http://papers.ssrn.com/abstract=1509461



http://ssrn.com/abstract=1360793







PUBLICATIONS

Research Publications (continued)

Anderson, S.W. and S.K. Widener. (2007) Doing Quantitative Field Studies in Management Accounting. In C.S. Chapman, C.; A.G. Hopwood, and M.D. Shields (Eds.). Handbook of Management Accounting Research. Oxford: Elsevier. (1): 481-506. http://ssrn.com/abstract=833124

(Edited volume won the 2008 Notable Contribution to the Management Accounting Literature Award)

Anderson, S.W., Christ, M.H. and K.L. Sedatole. (2006) Managing Strategic Alliance Risk: Survey Evidence of Control Practices in Collaborative Inter-Organizational Settings. Institute of Internal Auditors Research Foundation. Altamonte Springs. FL.

Anderson, S.W. and H.C. Dekker. (2005) Management Control for Market Transactions: The relation between transaction costs, incomplete contract design and subsequent performance. Management Science. 51 (12): 1734-1752. http://ssrn.com/abstract=477361

(Lead article of issue, featured on journal web site) (Winner of the 2010 Paper with Greatest Influence on Management Accounting Practice Award)

Anderson, S.W. and K.L. Sedatole (2003) Management Accounting for the Extended Enterprise: Performance Management for Strategic Alliances and Networked Partners. In Bhimani, A. (Ed.) Management Accounting in the Digital Economy. (Oxford, UK: Oxford University Press). http://ssrn.com/abstract=457600

Anderson, S.W. and W.N. Lanen. (2002) Using Electronic Data Interchange (EDI) to Improve the Efficiency of Accounting Transactions. The Accounting Review. 77 (4): 703-729. http://ssrn.com/abstract=310068

(Winner of the 2006 Notable Contribution to the Management Accounting Literature Award).

Anderson, S.W., Hesford, J. and S.M. Young. (2002) Factors Influencing the Performance of Activity-based Costing Teams: A Field Study of ABC Model Development Time in the Automobile Industry, Accounting, Organizations and Society. 27 (3): 195-211.

Anderson, S.W. and S.M. Young. (2001) Implementing Management Innovations: Lessons Learned from Activity Based Costing in the U.S. Automobile Industry. Kluwer Academic Publishers. (ISBN 0792374371)

(Winner of the 2003 Notable Contribution to the Management Accounting Literature Award). (Winner of the 2006 Notable Contribution to the Accounting Literature Award).

Anderson, S.W. (2001) Direct and Indirect Effects of Product Mix Characteristics on Capacity Management Decisions and Operating Performance, International Journal of Flexible Manufacturing Systems. 13(3): 241-265.

Anderson, S.W., D. Glenn and K.L. Sedatole, (2000) Sourcing Parts of Complex Products: Evidence on Transactions Costs, High-powered Incentives and Ex Post Opportunism, Accounting, Organizations and Society. 25 (8): 723-749.

Anderson, S.W. and S.M. Young. (1999) The Impact of Contextual and Process Factors on the Evaluation of Activity Based Costing Systems, Accounting, Organizations and Society.24 (7): 525-559.

Anderson, S.W. and W.N. Lanen. (1999) Economic Transition, Strategy and the Evolution of Management Accounting Practices: The Case of India, Accounting, Organizations and Society. 24 (5/6): 379-412.

Anderson, S.W., Daly, J.D. and M.F. Johnson. (1999) Why Firms Seek ISO 9000 Certification: Regulatory Compliance or Competitive Advantage? Production and Operations Management. 8 (1): 28-43. http://ssrn.com/abstract=55443

Anderson, S.W. and K.L. Sedatole. (1998) Designing Quality into Products: The Use of Accounting Data in New Product Development. Accounting Horizons. 12 (3): 213-133. http://ssrn.com/abstract=144792

Anderson, S.W. (1995) Measuring the Impact of Product Mix Heterogeneity on Manufacturing Overhead Cost, The Accounting Review. 70 (3): 363-87.

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PUBLICATIONS

Research Publications (continued)

Anderson, S.W. (1995) A Framework for Assessing Cost Management System Changes: the Case of Activity Based Costing Implementation at General Motors, 1986-93, Journal of Management Accounting Research. 7: 1-51.

Other Publications

Anderson, S.W., Christ, M.H. and K.L. Sedatole. (December 2006) Risky Business. Internal Auditor. 47-52.

Anderson, S.W. (2011) Book Review of: Chapman, C.S., D.J. Cooper and P.B. Miller, Eds. (2009) Accounting Organizations, and Institutions: Essays in Honour of Anthony Hopwood. (Oxford: Oxford University Press). The Accounting Review. 86 (5): 1835-1839.

Textbooks

Lanen, W., S.W. Anderson, and M. Maher (2014) Fundamentals of Cost Accounting, 4ed. McGraw-Hill/ Irwin.



Teaching Cases

A. Wu, N.G. O’Connor, S. Anderson and Y. Chen (2011) Strategic Performance Measurement of Suppliers at HTC. (product 11/482C) Asia Case Research Center. University of Hong Kong. http://www.acrc.org.hk/search/case_showlist.asp?ct=search&criteria=Htc&submitButton=Search Available through Harvard Case Services as case #HKU950.

A. Wu, N.G. O’Connor, S. Anderson and Y. Chen (2011) Strategic Performance Measurement of Suppliers at HTC (teaching note, product 11/482TN). Asia Case Research Center. University of Hong Kong. Available through Harvard Case Services as case # HKU951.

A. Wu, N.G. O’Connor, S. Anderson and G. Loo. PQI: Management of Suppliers. (product 10/481) Asia Case Research Center. University of Hong Kong. 2011. http://www.acrc.org.hk/search/case_showlist.asp?ct=search&criteria=Pqi&image.x=25&image.y=4

A Wu, N.G. O’Connor, S. Anderson and G. Loo. PQI: Management of Suppliers (teaching note, product 10/481TN). Asia Case Research Center. University of Hong Kong. 2011.

Anderson, S.W. and W.N. Lanen. Procter and Gamble Polska (A) November 1996 Anderson, S.W. and W.N. Lanen. Procter and Gamble Polska (B) November 1996 Anderson, S.W. and W.N. Lanen. Procter and Gamble Polska (Teaching Note) November 1996.

Cooper, R. and S. Weems (1988) Digital Communications, Inc. Harvard Business School case #N9189083, reprinted in Cooper, R. and R. Kaplan (eds.). 1991. The Design of Cost Management Systems. Prentice-Hall.

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http://www.acrc.org.hk/search/case_showlist.asp?ct=search&criteria=Htc&submitButton=Search

WORKING PAPERS

Anderson, S.W., H.F. Chang, M.M. Cheng and Y.S. Phua. Getting to Know You: Trust Formation in New Buyer-Supplier Relationships and the Investment Consequences for Management Control and Collaboration.

Anderson, S.W., H. Dekker and A. Van den Abbeele. Costly control: An examination of the tradeoff between incomplete control design and residual risk in interfirm transactions.

Anderson, S.W., H. Dekker, K. Sedatole and E. Wiersma. Field Evidence of Bias in Subjective Ratings.

Anderson, S.W. and A. Kimball. The Decision-Facilitating Role of Performance Measures: Teachers’ use of Learning Diagnostic Tools to Improve Student Performance.

Anderson S.W. and A.M. Lillis. Adjustment Costs: The unrecorded costs of organizational adaptation and inertia.

WORK IN PROGRESS

Anderson, S.W., N. O’Connor and A. Wu. The impact of supplier performance measures on purchasing decisions.

EDITORIAL BOARDS & REVIEWING ACTIVITIES

The Accounting Review Editor, 2008 – 2011 Editorial Board, 1999 – 2008

Accounting and Finance Editorial Board, 2012 – present

Accounting Organizations and Society Editorial Board, 1997 – present

Cost Management Editorial Advisory Board, 2013 – present

Journal of Management Accounting Research Associate Editor, 1998-2001 Editorial Board, 1995–1997; 2002–2007; 2010–present

Journal of Accounting Auditing and Finance Associate Editor, 2001 – 2014

Management Science Associate Editor, Accounting Section, 2003 – 2008 Associate Editor, Operations Management Section, 2003 – 2007

Management Accounting Research Editorial Board, 2001 – present

Manufacturing and Service Operations Management Editorial Board, 1999 – 2002

Production and Operations Management Senior Editor, Interdisciplinary Research Department, 2006 – 2008 Senior Editor, Other Topics Coverage, 2003 – present

Ad Hoc Reviewer: Journal of Accounting Research, Contemporary Accounting Research, Accounting Horizons, Journal of Accounting and Public Policy, Behavioral Research in Accounting, European Accounting Review, Journal of Operations Management.

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PROFESSIONAL MEMBERSHIPS & ACTIVITIES

American Accounting Association, member 1988-present. Notable Contributions Award Screening Committee, Member, 2000-1; 2002-3. Research Advisory Committee, Member, 1998-9; 1999-2000. Doctoral Consortium Committee, Member, 1998-9.

Management Accounting Section of the American Accounting Association, member 1990- present Committee to select Notable Contribution to the Literature Award winner: Member 1993-4, 2014-5. Publications Committee: Member 2013-2014. Committee to select MAS Conference Best Paper Award: Member 2007. Executive Committee: Member 1996-7, 2002-3, 2003-4. Doctoral Consortium: Co-chair 2002-3 and 2003-4; Resident faculty member 2015. Committee to select the Annual Dissertation Award winner: Chair 1997; Member 1996. Research Committee: Member 1995-6.

Chartered Institute of Management Accountants, Advisory Panel, invited expert on Management Accounting Principles Project. 2013-present

PROFESSIONAL MEMBERSHIPS & ACTIVITIES (continued)

European Accounting Association, member 2003-2008. Institute of Management Accounting, member 2002-2008. IMA Campus Advocate for UC Davis GSM

2013- present INFORMS (formerly The Institute of Management Science), member 1992-2011. The Production and Operations Management Society, member 1992-2011.

Nominating Committee, Member 2004-5. SCHOOL SERVICE

University of California, Davis University

Standing Committees: Executive Council of the Davis Division of the Academic Senate, Member, 2011-12. Executive Council Subcommittee on the 2020 Initiative, Member 2011-12. Council of School and College Faculty Chairs – Committee of the Academic Senate. Member, 2011-12. Representative Assembly, Ex-Officio Member, 2011-12.

Graduate School of Management Standing Committees:

GSM Faculty Personnel Committee Representative, 2014-16. Masters of Professional Accountancy, Graduate Program Group, Elected Representative, 2013-14. Education Policy Committee, Member 2013-14. Diversity Committee, Chair 2012-13, Member 2011-12. Executive Committee, Chair 2011-12. Admissions Committee, Member 2010-11.

Ad Hoc Committees: Electives Curriculum Task Force: 2012-3. Personnel Action Committees: 2010-11 (3), 2011-12 (2), 2012-13 (2), 2013-14 (2). Curriculum Review: Facilitator, Subcommittee on projects course; Member, Subcommittee on OM course Recruitment Advisory Committee for Suran Chair in Technology Management, Chair 2010-11.

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SCHOOL SERVICE (continued) University of California, Davis Graduate School of Management

Other School Service: Faculty Advisor to Student Case Competition Teams:

2014 Alpha Kappa Psi Case Competition, Reno, NV: team of 4 UC Davis undergraduates took first place

2014 Nespresso MBA Challenge: team of 4 UC Davis MBA students selected from field of 59 competitors as one of 15 international semifinalists

School of Education

Graduate Group of Education (GGE), Member 2010- present. Rice University University

Standing Committees: Management Studies Committee, 2001-2.

Ad Hoc Committees: Search Committee for the position of Dean, Jones Graduate School of Business, 2004-5. President’s Health Care Task Force, advising member, 2002.

Other Service: Faculty Associate of undergraduate residential colleges: Wiess (2002-2010), Martel (2001-2).

Jesse H. Jones Graduate School of Business Standing Committees:

Promotion and Tenure Committee, Member 2002-4. MBA Curriculum Committee, Chair 2003-4, Member 2009-10, 2001-2. Research Committee, Member 2008-9, 2006-7, 2005-6. MBA Program Oversight Committee, Chair 2006-7. MBA Core Teaching Committee, Member 2006-7, 2005-6. EMBA Core Teaching Committee, Member 2006-7, 2005-6.

Ad Hoc Committees: MBA Program Review Committee, Member 2004-5, 2005-6. Committee on Undergraduate Engineering and Business Curriculum, Member 2004-5. Committee for Faculty Recruitment in Operations Management, Chair 2005-6, Member 2006-7. Steering Committee for the Strategic Planning Process, Member 2006.

Other School Service: Faculty Advisor to the Operations Club, 2009-2010. Faculty Advisor to the Black Business Students Association, 2005-2007. Faculty Recruitment Coordinator for Accounting Group, 2002-3; 2003-4. Coordinator for Accounting Group Research Workshop Series, 2002-3.

University of Michigan Business School, Tauber Manufacturing Institute Advisor to student summer internship team, 1994, 1997, 1998, 1999, 2000; guest speaker in student seminar, 1994, 1995.

University of Michigan Business School, William Davidson Institute Research Fellow (1996-2002); Advisor to MBA summer internship teams in the Czech Republic, (1994), and in Romania (1995); Faculty participant in executive development program, summer 1993, 1994, 1995.

University of Michigan, Undergraduate Research Opportunity Program Project sponsor for undergraduate minority students (1995-6: 6 students; 1997-8: 6 students; 1998-9: 15 students; 1999-2000: 6 students.

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TEACHING EXPERIENCE

MBA Degree Program MGT/P/B 271 Strategic Cost Management: one quarter, MBA elective course at UC Davis. MGT/P/B 299 Independent Study: Advised individual students in one quarter independent studies on

various cost management topics. 2011-12 (2), 2012-13 (2). Mgmt 598 & 599 Academic Director of the Action Learning Project at Rice University, 2001-2004.

Students work in teams to analyze and develop solutions to systemic business problems in participating firms. As Academic Director, I coordinated the activities of approximately 20 faculty members who taught in the program, facilitated relationships with participating companies and had oversight of the course syllabus, policies and procedures.

Mgmt 502 Cost Management: half-semester MBA core course at Rice University. Mgmt 602 Strategic Cost Management: offered alternately as a full and a half semester MBA elective

at Rice University A551 Management Accounting: 14-week core evening MBA course at University of Michigan A552 Management Accounting: seven-week core full time MBA course at University of Michigan BA553 Multi disciplinary Action Project (MAP): seven-week core MBA course at University of Michigan.

Students work in teams to analyze business processes in participating firms. As a faculty project advisor, I worked with five faculty members from other core disciplines to advise and evaluate 20 teams, each with 5-7 student members.

Executive MBA Degree Program Mgmt 802 Cost Management: half-semester EMBA core course

Masters of Professional Accountancy Program ACC 251 Managerial Accounting and Controls: one quarter required course at UC Davis.

Undergraduate Business Education MGT 170 Managing Costs and Quality: one quarter course in the Technology Management Minor

Program at UC Davis.

Non-degree Executive Education Genentech Program: two-day course on measuring and managing productivity and cost. Feb. 2012. J.D. Power Voice of the Customer Summit: taught one module on integrated performance measurement to

support open enrollment program on customer satisfaction management. Daewoo Executive Program at University of Michigan - faculty advisor for student projects Strategic Quality Management Program: module on cost of quality in one-week seminar at U. Michigan. New Products Management Program: one-week executive education seminar at U. Michigan, offered twice

yearly. I taught a module on using cost data in product and process design decisions.

Doctoral Program Teaching University of Melbourne, Faculty of Business and Economics, Dept. of Accounting

- Various doctoral workshops on management accounting research topics - MGMT 472/672 – semester length survey course for doctoral students and honors students

(M.Acc.) on contemporary empirical research in management accounting and control

University of Hong Kong, February 2008 – doctoral workshop on inter-organizational management accounting research

Vrije University, Amsterdam. November 2000. EUROMARS doctoral conference. Co-taught 3-day course on research in management accounting to approx. 50 doctoral students from European universities.

American Accounting Association Annual Conference, New Orleans, LA, August 1998.Instructor, CPE course on Field Research Methods in Management Accounting Research

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TEACHING EXPERIENCE (continued) Doctoral Student Advising and Placement

Ashok Mukherjee, (Ph.D. operations management, University of Michigan) dissertation committee member (1995-7), placed at Case Western Reserve.

J. Daniel Daly, (Ph.D. accounting, University of Michigan) primary faculty advisor and dissertation chair (1993-1997), placed at Boston College.

Margaret Shackell-Dowell, (Ph.D. accounting, University of Michigan) dissertation committee member (1997 -1999), placed at Notre Dame.

Karen Sedatole, (Ph.D. accounting, University of Michigan) primary faculty advisor and dissertation chair (1996-2000), placed at University of Texas - Austin.

David Glenn, (Ph.D. engineering, University of Michigan) dissertation committee member (1998- 2000), placed at University of Illinois.

Henri Dekker, (Ph.D. accounting, Vrije Universiteit Amsterdam, The Netherlands) dissertation reading committee member (2002-3), placed at Vrije Universiteit Amsterdam, The Netherlands.

Ginger Davis, (Ph.D. statistics, Rice University) dissertation committee member and faculty advisor (2002-5), placed at the University of Virginia.

Alexandra Van den Abbeele, (Ph.D. accounting, Katholieke Universiteit Leuven, Belgium) dissertation committee member and external examiner (2006), placed at Katholieke Universiteit Leuven, Belgium.

Martijn Schoute (Ph.D. accounting, Vrije Universiteit Amsterdam, The Netherlands) dissertation reading committee member and external examiner (2008-9).

INVITED RESEARCH WORKSHOPS

2014 Naval Post-Graduate School, University of Pittsburgh, Southern Methodist University (scheduled Oct.)

2012 University of Central Florida, Australian National University, Australian School of Business at UNSW

2011 Arizona State University, Georgetown University, University of Melbourne 2010 University of California Davis, Macquarie University 2008 York University, Free University Amsterdam, London School of Economics, University of Illinois,

Southern Methodist University, University of Hong Kong, University of Auckland, University of Western Australia, University of Queensland

2007 Australian School of Business at UNSW; University of Melbourne 2006 Washington University; Southern Methodist University 2005 Harvard Business School; University of Melbourne; Vanderbilt University 2004 University of Texas- Austin; Texas A&M; University of Texas- Dallas; Georgia State University;

University of Utah 2003 Stanford University 2000 University of Southern California; University of Virginia; London School of Economics and Political

Science; Emory University; Rice University 1999 University of Pennsylvania; University of Colorado at Boulder 1998 Harvard Business School; University of Texas – Austin 1997 University of Washington;

Michigan State University; Memphis University; University of Southern California 1996 Washington University; University of Rochester; Harvard Business School 1994 Indiana University; University of Georgia; Stanford University (Summer Camp) 1993 Stanford University 1992 University of Pennsylvania; University of Chicago; University of Michigan; Massachusetts Institute

of Technology; Northwestern University; Carnegie Mellon University; Duke University; Vanderbilt University; University of Virginia

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CONFERENCE PRESENTATIONS Invited Addresses

AAA Management Accounting Section Annual Doctoral Colloquium, Invited Panelist in discussion of writing strategies for transforming a dissertation into a published paper. Huntingdon Beach, CA Jan. 2015 (scheduled).

AOS Research Conference on Management Accounting from the Field. Beijing China. Invited Panelist speaking on Quantitative Methods and Field Research. June 2013

Management Accounting Research Conference, Houston, TX. Invited Panelist in discussion of Integrating Research and Teaching. January, 2012.

Management Accounting Research Conference, Seattle, WA. Invited Panelist in discussion of the Future of Management Accounting Departments. January, 2010.

Management Accounting Research Conference, St. Petersburg, FL. Invited Panelist in discussion of Publishing in Accounting Research Journals. January, 2009.

Plenary Address, Global Management Accounting Research Symposium, Sydney, Australia June 2008. AAA Management Accounting Doctoral Colloquium. one of three invited research presentations, “Inter-

organizational Management Accounting and Control.” Long Beach, CA. January 2008. Invited presentation, Harvard Business School accounting conference. May 2006. Plenary Address, American Accounting Association Management Accounting Section Annual Research

Conference, Tampa, FL. January 2006. “Integrating Research in Operations Management and Management Accounting.”

Plenary Address, European Institute of Advanced Studies of Management, 7th Manufacturing Accounting Research Conference. Tampere, Finland. May 2005.

Plenary Speaker, Advances in Management Accounting Conference. Monterey, CA. May 2005. KPMG conference on Business Performance Measurement, Orlando, FL. August 2004. AAA Management Accounting Section Annual Doctoral Colloquium, one of four invited research

presentations “Field Research Methods in Management Accounting Research.” Mesa AZ Jan. 2000. Plenary Address, European Institute of Advanced Studies of Management, Workshop on New Directions in

Management Accounting: Innovations in Practice and Research, Brussels, Belgium, December 1998. AAA Annual Conference, New Orleans, LA, August 1998. Invited speaker, panel discussion on “Changes in

Corporate Accounting Practice and Implications for Classroom Teaching.” Management Accounting Research Conference, Memphis, TN. Invited speaker, panel discussion on “Field-

based methods in Accounting Research”. October 1997. Plenary Address, European Institute of Advanced Studies of Management, 3rd International Seminar on

Manufacturing Accounting Research, Edinburgh, Scotland, June 1997. AAA New Faculty Consortium, invited speaker, February 1997 AAA Conference on “Teaching Japanese Cost Management Techniques”, invited speaker. Boston, MA.

November 1994.

12

CONFERENCE PRESENTATIONS (continued)

Research Paper Presentations and Discussions

AAA MAS Research Conference, Orlando, FL. January, 2014. Paper Presentation. AOS Research Conference on Management Accounting from the Field. Beijing China. One of five invited

discussants. June 2013 EIASM. Performance Measurement and Management Control. Nice, France, Sept. 2011. Paper Presentation. Global Management Accounting Doctoral Symposium, Sydney, Australia June 2011. Discussant. Contemporary Accounting Research Conference, Kingston Ontario. November 2010. Paper presentation. AAA MAS Research Conference, St. Petersburg, FL. January, 2009. Discussant. AAA MAS Research Conference, Miami, FL. January, 2008. Discussant. Global Management Accounting Doctoral Symposium, Sydney, Australia June 2008. Discussant. Global Management Accounting Research Symposium, Lansing, MI June 2007. Discussant. POMS 2006 Annual Meeting, Boston, MA. April 2006. Paper presentation and session moderator. Global Management Accounting Research Symposium, Lansing, MI June 2004. Paper Presentation. AAA MAS Research Conference, Miami, FL. January, 2004. Paper Presentation. EIASM. Performance Measurement and Management Control. Nice, France, Sept. 2003. Paper Presentation. William Davidson Institute, Conference on Accounting in Transition and Emerging Economies, Ann Arbor,

MI April 2000. Paper Presentation and Discussant. Accounting Organizations and Society conference on “Accounting, Organizational Transformation and New

Organizational Forms,” Los Angeles, CA, November 1999. Paper Presentation. AAA MAS Research Conference, Orlando, FL. January 1999. Paper Presentation. Accounting Organizations and Society conference on “Comparative Management Accounting Practices,”

Siena, Italy, November 1996. Paper Presentation. AAA MAS Research Conference, Vancouver, Canada. October 1995. Paper Presentation. Sixth Annual Tokyo Keizai University International Symposium “The Evolution of Management Accounting

in a Changing Environment,” Tokyo, Japan. November 1994. Paper Presentation. AAA 1994 Annual Meeting, August 1994. Discussant. TIMS/ORSA Joint National Conference, Boston, MA. April 1994. Paper Presentation. AAA MAS Research Conference, San Diego, CA. April 1994. One of seven papers selected for presentation. University of Minnesota. Empirical Research Conference on Management Accounting in the New

Manufacturing Workforce Environment. October 1992. Paper Presentation. TIMS/ORSA Joint National Conference, San Francisco, CA, October 1992. Paper Presentation.

INVITED PRESENTATIONS TO BUSINESS AUDIENCES

Birkett Lecture, CPA Australia Annual Congress, Sydney, Australia, October 2012 CIMA Visiting Professor Lecture and Webcast. London. October 2009. Voice of the Customer Leadership Summit, JGSM & JD Power, Houston, TX. September 2006. Institute of Internal Auditors conference on Risk and Control, West Palm Beach, FL. August 2006. 65th Annual CPA Australia/ University of Melbourne Research Lecture, October 2004. Young Entrepreneurs Organization, luncheon talk, April 2004. Jones Partners, Thought Leadership Series, presentation of research. March 2004. Jones Partners, breakfast meeting, presentation about the ALP program. November 2003. Plenary speaker, Management Accounting Research Group Conference sponsored by CIMA and ICAEW,

London, England. April 2000. Institute of Management Accountants, Foundation for Applied Research, August 1998. Chrysler, Activity Based Costing Conference, November 1994. General Motors, Manufacturer's Management Council, November 1994. International Motor Vehicle Project at MIT, Annual Sponsor’s Conference; Berlin, Germany June 1994. International Motor Vehicle Project at MIT; Annual Sponsor’s Conference, Cape Cod, MA June 1993.

13

Joseph P. DiNunzio

PO Box 72521 • Davis CA 95617 [email protected] 818-521-5300

Senior executive with more than two decades of business leadership creating new ventures and building successful organizations. Extensive experience as a management consulting practice leader, Fortune 100 senior operating executive, founding CEO, board member, and educator. President, FIDO Management, LLC, Davis, CA 2001-Present Founded and run management consultancy partnership. • Provide strategic counsel and develop business initiatives for corporate, venue, and early stage

clients; help identify and develop key organizational capabilities • Work across the business lifecycle: define strategy, create products / experiences, develop business

and operating plans, build organizations, and implement go-to-market initiatives • Deliver solutions through combination of internal team leadership resources and partnerships with

an extensive network of functional experts • Strategy clients include: Procter & Gamble, Sony, Disney, Fox, Miramax, Microsoft, Motorola,

Johnson & Johnson, Gap, Vulcan, Ravensburger, Educational Testing Service, The Gates Foundation • Venue clients include: Walt Disney World, Westfield, CapitaLand, Fox Studios, Chicago Museum of

Science & Industry, Ghirardelli, Experience Music Project, Science Fiction Museum, Oakland Zoo • Early-stage clients include: Barobo Robotics (Board Member), Go Go Kiddo (Board Chair),

Harebrained Schemes (Board Member/CFO), Kvantum (Advisory Board Member)

Lecturer in Management, UC Davis Graduate School of Management, Davis CA 2008-Present Serve on adjunct faculty for the business school. • Co-lead second-year core IMPACT class where we embed six-person MBA student teams in 20-week

strategic consulting projects with client sponsors such as AT&T, Chevron, Mars, and J&J • Taught New Product Development; Corporate Social Responsibility Director, Davis Roots, Davis, CA 2012-Present Co-founded and provide leadership for regional business accelerator that is a partnership between UC Davis and the City of Davis. • Serve as an advisor for in-residence companies in technology, Internet, and consumer products • Mentor start-ups at the UC Davis Child Family Institute for Innovation & Entrepreneurship Chairman & CEO, 42 Entertainment, LLC, Pasadena, CA 2003-2008 Co-founded and led digital marketing and entertainment company. • Established 42 as a market leader by developing an approach that seamlessly integrates online,

mobile, and physical world narrative content with user-content-driven communities • Built and directed leadership team across three regional offices; led business development, concept

development, and partner relationships; set-up and implemented leadership succession plan • Earned awards including: Cannes Gran Prix (2), Webby (2), Clio, and GDC Innovation • Clients include Microsoft (Vista, Xbox, MSN), Warner Brothers, Sony, Activision, Yahoo, CBS, Toyota,

Procter & Gamble, Coca-Cola, and Nine Inch Nails

Page 1 of 2

Joseph P. DiNunzio

CEO & Board Member, Z.com, Burbank, CA 1999-2001 Co-founded and led online and mobile content studio and network. • Raised three rounds of venture capital totaling $15mil; secured strategic technology and advertising

partnerships for own and syndicated distribution • Directed the development and production of forty original digital content series • Drove platform development for optimized ad serving, content publishing, and video multi-casting

Senior Vice President, Walt Disney Imagineering, Glendale, CA 1993-1999 Led Walt Disney Imagineering New Concept / Business Development efforts worldwide. • Built and managed joint creative / technical / business teams in concept and business development

for theme parks, regional entertainment centers, retail stores, and digital media enterprises • Led creative concept, planning, development, and construction of DisneyQuest, five-story “digital”

theme parks in Orlando and Chicago; won multiple THEA awards for venue and attractions • Led development / assessment teams for international theme parks, retail / dining / entertainment

centers, and live / traveling shows • Created and managed production organization to drive innovation across digital media, technology

development, systems testing, strategic partnerships, and cost effective deployment • Directed development of strategic plans for Disney’s regional entertainment centers, corporate

R&D, online entertainment, digital media, and mobile

Principal, Booz Allen & Hamilton, San Francisco, CA 1988-1993 Sold and led management consulting assignments for global Fortune 500 clients. • Co-founded the company’s Service Operations Practice; held joint leadership role in Operations

Management Group and Marketing Intensive Group • Directed strategic and operational assignments in brand positioning, product strategy, customer

service, manufacturing and logistics optimization, cost and staff reduction • Advised clients in the entertainment, consumer products, technology, financial services, health care,

transportation industries

Assistant Brand Manager, Procter & Gamble, Cincinnati, OH 1984-1986 Developed and sold marketing programs for Procter & Gamble Paper Division brands. • Led team that managed the national rollout of Always Plus • Developed product test market plan and moved to the field to support implementation

Education

MBA, Stanford University 1986-1988 Editor-in-Chief, GSB Reporter. Sun Microsystems Production Supervisor, Summer/Fall 1987.

A.B. Psychology, Harvard University 1980-1984 Cum Laude General Studies. Hearst Scholarship; Radcliffe Presidential Commendation.

Selected Professional Organizations

Procter & Gamble Digital Advisory Board; Academy of Television Arts and Sciences; International Academy of Digital Arts and Sciences; IEEE; Davis Schools Foundation Board; DJUSD Tech Advisory Board

Page 2 of 2

CurriculumVitaeDanielKennedy606VillanovaDriveDavis,[email protected]‐501‐3352(cell)GSMHistoryasaLecturerManagementCommunications;WritingforLeadership;Mergers&Acquisitions*;Marketing*1986–2011 *Taughtin1980sEducationalQualificationsM.A.,AmericanandContinentalLiterature,UniversityofToronto,1970B.A.,EnglishLiterature,BostonUniversity,1969BergenCatholicHighSchool,1964OutsideEmploymentPublisher,SacramentoBusinessJournal,1985–2007FoundingSacramentoBranchManager,U.S.SmallBusinessAdministration,1983–1985DirectorofInformationServices,U.S.SmallBusinessAdministration,WashingtonD.C.1980–1983MarketingOperationsManager,1980U.S.Census,WashingtonD.C.1978–1980Editor/JournalistatweeklynewspapersintheEast,1972–1978ProductionEditor,College‐LevelBusinessTextbooks,Prentice‐Hall,1971AwardsRecipientofthefirstDistinguishedServiceAwardfromtheGSM,recognizingoutstandingsupportbyabusinesspersonfortheschool’seffortsRecipientofthefirstDistinguishServiceAwardfromValleyVision,recognizingabusinessleader’scontributionstotheregionaleconomyBoardsMember,Dean’sAdvisoryCouncil,15yearsBoardMember,SacramentoRegionalUnitedWay,fiveyearsSacramentoMakeAWishFoundation,sixyears

NumerousotherboardmembershipsinSacramentoovertwodecadesOtherProfessionalBackgroundDeliveredapproximately1,000publicpresentationsintheSacramentoregion,includingeconomicforecasts,emceeduties,panelist,regionaldevelopmentanalysesandinspirationaltalks.On‐airexperienceincludedtwice‐weeklybusinesssegments,KXTV(ABCaffiliate),11p.m.news,twoyears;weekdaylocalbusinessreportsonCapitalPublicRadio,15years;co‐hostofaweeklyregionalbusinessaffairsshow,KVIEpublictelevision,oneyear.CreatedtheannualSacramentoRegionalEarly‐BirdEconomicForecastwiththeGSMasapartner,13yearsPersonalBorninBrooklyn,NewYorkMarriedtoDianeKennedy,41yearsThreegrownchildrenActivelocallywiththeShort‐TermEmergencyActionCommittee(STEAC)asafoodclosetvolunteer,andasanAdvisoryBoardMemberwiththeDavisFarmersMarket

Marc Lowe 80 Hillbrook Drive Portola Valley, CA 94028-7934 +1.650.283.8100 office +1.650.851.8338 home [email protected] EXPERIENCE ADAPTEC, INC., Milpitas, California. 7/2005 to Present ; 8/1992 to 3/1998. Senior Vice President + General Manager, Data Protection Solutions

• Returned to Adaptec after 7½ years as key member of management turnaround team.

• 16B officer responsible for $300M+ P&L and 330 employees. • Responsible for all aspects of strategy development, marketing, product

development for existing product lines and new ventures.

General Manager, Fibre Channel Products Group

• Charged with commercializing Adaptec’s engineering investments in emerging Fibre Channel technology by identifying key short and mid-term market opportunities, and driving industry and customer acceptance.

• Managed start-up division comprised of sixty engineers in ASICs design, add-in card development, software engineering, and test & quality assurance, in addition to, building marketing and sales functions.

• Revamped engineering organization and instituted processes to improve performance to schedule. Developed business priorities framework to maintain engineering focus and dynamically re-allocate available resources.

• Developed business plan, marketing strategies and product roadmap to achieve revenues of $50+M in CY98 and over $100+M in CY99.

• Architected investment positions and strategic alliances with key Fibre Channel partners to achieve revenue, product development, interoperability goals.

• Closed Fibre Channel deals with major U.S.-based and international enterprise system OEMs.

General Manager, Desktop Products Group

• P&L responsibility for Adaptec’s Desktop Products Group. Grew revenues from $200M to $500M between CY1995 and CY1997. Group accounted for over 50% of Adaptec’s CY1997 sales and 75% of operating profit. Business results represent 33% revenue growth and 40% profit growth year over year.

• Oversaw both direct OEM and distribution channel business. Top OEM customers included Dell, Compaq, and HP. Top distributors included Ingram Micro and Tech Data, in addition to a worldwide network of value-added distributors. Sales channel split was approximately 50% channel and 50% OEM.

• Managed 250-person division and $64 million annual operating budget with technology centers in Milpitas, Irvine, and Singapore.

• Provided leadership as change agent in developing aggressive, coordinated, on-strategy intra- and inter-divisional teams.

• Responsible for all aspects of strategic planning, product development, product support, marketing, in addition to, overseeing corporate channel marketing function.

• Developed and implemented strategies for growing core SCSI business while plotting strategies for developing new revenue streams in Personal RAID and applications software.

• Drove launch of Adaptec products into the retail channel. Captured #1 market share position and posted 200% increase in revenues within 12 months of launch.

Director of Marketing, SCSI Products

• Drove growth of Adaptec SCSI products from $50M to over $200M in annual revenues by broadening market coverage and building Adaptec’s interoperability brand franchise.

• Built and actively managed 40-person marketing department. Responsible for all aspects of product planning, product marketing, market development, sales development, and marketing communication.

• Lead strategic planning efforts, developed customer-focused segmentation scheme, and formulated long range product vision and two year product plan. Planning process used as the template for all corporate and divisional planning. Championed “inclusive” strategic planning process to improve planning quality while accelerating buy-in.

PRAXIS VENTURES, Portola Valley, CA. 3/1998 to 1/2000; 3/2004 to 7/2005. Managing Partner and Founder

• Founded business strategy consultancy focusing on high potential start-ups. • Successfully completed consulting engagements with more than 30 technology

companies in the Internet, e-commerce, data communications, semiconductors, enterprise software, data center systems, wireless, security appliances, system integration, and graphics, and storage.

• Representative engagement objectives and results include: • Advised on the $40 million sale of Emuzed Inc. to a Global 100 company.

Emuzed is an enabler of rich media features in personal computers, mobile phones, and media adapters.

• Consulted to and invested in Newport Systems (fiberoptics tranceiver manufacturer sold to Broadcom for $1 billion) and Cyras Systems (fiberoptics backplane manufacturer sold to Ciena for $2 billion), Louth Automation (infrastructure software; acquired by Harris Corporation for $200 million), Stream Machine (ASICS development; acquired by Cirrus Logic for $110M), and iManage (enterprise software; IPO in July 1999, NASDAQ: IMAN, acquired by Interwoven)

• Served as interim CEO/COO for multiple companies – clarified/re-vamped strategies, established organizational focus, built team, assisted in CEO search

• Developed business strategies, plans, and funding presentations for multiple early stage start-ups – materially contributed to the closing of over $150 million in early-stage venture financing

• Developed achievable operating plan and repeatable planning process for multiple later stage start-ups

• Sucessfully positioned late-stage companies for IPO and M&A – identified Internet-based market expansion opportunities, developed business strategies, lead business development activities

NEW MOON SYSTEMS INC., San Jose, CA. 1/ 2000 to 3/2004. Acquired by

Tarantella Inc. (NASDAQ: TTLA)

President and CEO

• Lead all aspects of corporate strategy and implementation for data center infrastructure software start-up

• Raised over $30 million in venture financing • Developed and oversaw the execution of a comprehensive enterprise go-to-market

strategy: product road map, distribution channel, support, training, and compelling market positioning

• Forged deep strategic alliance with Microsoft • Recruited and developed effective executive team and implemented control

processes for functional teams • Managed product development teams based in San Jose, California, and Pune,

India. Delivered beta-quality product in three months for early evangelism and customer previews. General release of production-quality product in eight months.

• As primary company spokesperson, established New Moon as an acknowledged leader in the server-based computing space with top financial analysts, industry analysts, and international press.

• Solely responsible for sales and business development initiatives in China, Japan and North and Southeast Asia.

• Created highly leveraged, indirect sales channel consisting of six distributors and 250 value-added resellers in 29 countries within four quarters

• Generated over $1 million in revenue with an additional $3 million in follow-on commitments from over 100 customers in first three quarters of commercialization

• Successfully negotiated and closed company merger with Tarentella Inc.

HEWLETT-PACKARD COMPANY, Personal Information Products Group,

Sunnyvale, CA. 8/1984 to 8/1992. Vectra Personal Computer, North American Marketing Manager

• Managed market development department charged with planning and executing programs, promotions, introduction strategy, sales training, and channel strategy.

• Architected major overhaul of HP Vectra PC distribution channel. • Built "crack" team focused on the marketing of the Vectra Personal Computer family.

Created processes for the marketing and brand management of existing products adopted by divisions throughout Hewlett-Packard.

• Managed a variety of products including HP-150 presentation graphics software, HP’s Vectra 286 line, and the Vectra RS - HP’s first entry into the PC server market.

EDUCATION UNIVERSITY OF CALIFORNIA LOS ANGELES, Anderson School of

Management, MBA, June 1984. Areas of study: Marketing and Finance. Dean's List. President, Asian Management Students Association. Vice-President, UCLA Marketing Club. Graduate Advisor, Minority Student Admissions.

UNIVERSITY OF CALIFORNIA DAVIS, Bachelor of Science, June 1978. Major:

Genetics. Dean's List. Resident Advisor, Upper Division Dormitory. Peer Advisor. Health Science intern.

OTHER University of California at Davis, Graduate School of Management, Adjunct EXPERIENCE Professor of Management. Teach MBA-level course on New Venture. Davis GSM is

among the Top 30 U.S. business schools.

University of San Francisco, McClaren School of Business, Adjunct Professor of Management. Teach senior symposium on Creativity and Innovation in Business. Course explores the creative process and the application of ideation to the business environment. Revamped course syllabus to incorporate a pragmatic approach to innovation.

Robert S. Marquez

Graduate School of Management University of California, Davis

3410 Gallagher Hall One Shields Avenue

Davis, CA 95616 (530) 752-9022

[email protected] EDUCATION

Ph.D., Economics, 1998, Massachusetts Institute of Technology A.B., Economics, 1990, University of California, Berkeley ACADEMIC EXPERIENCE

Professor of Finance, University of California at Davis (2012 – Present) Associate Professor of Finance, Boston University (2009 – 2012) Craig and Rhonda Cerny Associate Professor of Finance, Arizona State University (2006 – 2009) Visiting Assistant Professor of Finance, Wharton School of Business (Fall 2003 – Spring 2004) Assistant Professor of Finance, University of Maryland (1998 - 2006) Visiting Scholar, CEMFI (Madrid, Spain), Summer 2000

OTHER EXPERIENCE

Visiting Scholar, Board of Governors of the Federal Reserve (Summer and Fall 2005) Visiting Scholar, Federal Reserve Bank of New York (November 2003, June 2005) Visiting Scholar, Federal Reserve Bank of San Francisco (October 2004) Visiting Scholar, Federal Deposit Insurance Corporation (Spring 2003) Senior Research Associate, Federal Reserve Bank of San Francisco (1991-1994)

PROFESSIONAL AFFILIATIONS

Associate Editor, Management Science (from Sept 2010) Associate Editor, Quarterly Journal of Finance (from January 2011) Co-Editor, Journal of Financial Services Research (Sept 2007 – Sept 2012) Fellow, Financial Institutions Center, Wharton School (2005 – Present) Extramural Fellow, European Banking Center (2009 – Present) American Society of Hispanic Economists (ASHE) American Finance Association (AFA) American Economics Association (AEA)

REFEREED PUBLICATIONS

1. “Specialization, Productivity and Financing Constraints” (with Deniz Yavuz), forthcoming, Review of Financial Studies.

2. “Real Interest Rates, Leverage, and Bank Risk-Taking” (with Giovanni Dell’Ariccia and Luc Laeven), accepted subject to minor revisions at the Journal of Economic Theory.

3. “The Economics of Club Bidding and Value Creation” (with Rajdeep Singh), Journal of Financial Economics, 2013, Vol. 108, pp. 493-505.

4. “Takeover Bidding and Shareholder Information” (with Bilge Yilmaz), Review of Corporate Finance Studies, 2012, Vol. 1, No. 1, pp. 1-27.

5. “Credit Market Competition and Capital Regulation” (with Franklin Allen and Elena Carletti), Review of Financial Studies, 2011, Vol. 24, No. 4, pp. 983-1018.

6. “Informed Lending as a Deterrent to Predation,” Finance Research Letters, 2010, Vol. 7, No. 4, pp. 193-201.

7. “Risk and the Corporate Structure of Banks” (with Giovanni Dell’Ariccia), Journal of

Finance, 2010, Vol. 65, No. 3, pp. 1075-1096. 8. “Regulating Securities Analysts” (with Mark Chen), Journal of Financial Intermediation,

2009, Vol. 18, No. 2, pp. 259-283. 9. “Information and Efficiency in Tender Offers” (with Bilge Yilmaz), Econometrica, 2008,

Vol. 76, No. 5 (September), pp. 1075-1101. 10. “Can cost increases increase competition? Asymmetric information and equilibrium prices”

(with Giovanni Dell’Ariccia), RAND Journal of Economics, Spring 2008, Vol. 39, pp. 144-162.

11. “Lending Booms and Lending Standards” (with Giovanni Dell’Ariccia), Journal of Finance,

2006, Vol. 61, No. 5, pp. 2511-2546.

- Reprinted in Macrofinancial linkages: trends, crises, and policies, ed. by C. Crowe, S. Johnson, J. Ostry, and J. Zettelmeyer, International Monetary Fund, Washington, DC, 2010.

12. “Competition and Strategic Information Acquisition in Credit Markets” (with Robert

Hauswald), Review of Financial Studies, 2006, Vol. 19, No. 3, pp. 967-1000. 13. “Competition among Regulators and Credit Market Integration” (with Giovanni

Dell’Ariccia), Journal of Financial Economics, 2006, Vol. 79, pp. 401-430.

- Reprinted in Handbook of Liquidity and Crises, ed. by F. Allen, E. Carletti, J.P. Krahnen, and M. Tyrell, Oxford University Press, 2011.

14. “Information and Bank Credit Allocation” (with Giovanni Dell’Ariccia), Journal of Financial

Economics, 2004, Vol. 72, No. 1, pp. 185-214. 15. “Information Technology and Financial Services Competition” (with Robert Hauswald),

Review of Financial Studies, 2003, Vol. 16, No. 3, pp. 921-948. 16. “Competition, Adverse Selection, and Information Dispersion in the Banking Industry,”

Review of Financial Studies, 2002, Vol. 15, No. 3, pp. 901-926. 17. “Adverse selection as a barrier to entry in the banking industry” (with Giovanni Dell’Ariccia

and Ezra Friedman), RAND Journal of Economics, Autumn 1999, Vol. 30, No. 3, pp. 515-534.

18. “A note on Bertrand competition with asymmetric fixed costs,” Economics Letters, November 1997, Vol. 57, pp. 87-96.

OTHER PUBLICATIONS

19. “Interest Rates and the Bank Risk-Taking Channel” (with Giovanni Dell’Ariccia), Annual Review of Financial Economics, forthcoming.

20. “Security Analysts and Regulatory Reform,” FRBSF Economic Letter, Number 2006-07, April 14, 2006.

21. “Credit Market Competition and the Role of Regulation” (with Franklin Allen and Elena

Carletti), in Proceedings from the 41st Annual Conference on Bank Structure and Competition, 2005, Federal Reserve Bank of Chicago.

22. Discussion of “Corporate Reorganizations and Non-cash Auctions,” Journal of Finance,

2000, Vol. 55, No. 4, pp. 1850-1854. 23. “Relationship Banking, Loan Specialization, and Competition” (with Robert Hauswald), in

Proceedings from the 36th Annual Conference on Bank Structure and Competition, 2000, Federal Reserve Bank of Chicago.

WORKING PAPERS

“Stakeholder Capitalism, Corporate Governance, and Firm Value” (with Franklin Allen and Elena Carletti), being revised for resubmission to the Review of Finance “Private Equity Fund Returns and Performance Persistence” (with Vikram Nanda and Deniz Yavuz) “Targeting Target Shareholders” (with Dan Bernhardt and Tingjun Liu) “Conditional versus Unconditional Offers in Takeovers” (with Bilge Yilmaz) “Governance Mechanisms and Corporate Transparency” (with Robert Hauswald) “Financial Contracting and the Specialization of Assets” (with Deniz Yavuz)

WORK IN PROGRESS “Auctions with entry: Are sellers better off with better bidders?” (with Rajdeep Singh)

HONORS AND AWARDS

Judy Olian Research Award, 2004 National Science Foundation Graduate Fellowship, 1993-1996

Phi Beta Kappa TEACHING

FE 820/449 (BU): Corporate Financial Management (MBA and undergraduate) FE 722 (BU): Financial Management (MBA core, evening program) FIN 502 (ASU): Financial Management (MBA core, full time and evening) BMGT 445/722 (Maryland): Banking and Financial Institutions (MBA and undergraduate) BMGT 741 (Maryland): Advanced Financial Management (MBA) BMGT 440 (Maryland): Financial Management (undergraduate)

FNCE 238/738 (Wharton): Funding Investment (MBA and undergraduate) Introductory Microeconomics (MIT - undergraduate) PRESENTATIONS

Invited Presentations: 1998: NYU (Stern), Stanford (GSB), Wharton, Maryland, UC at Santa Cruz, CEMFI (Madrid, Spain), Federal Reserve Board of Governors, FRB: San Francisco and New York 2000: CEMFI (Madrid, Spain), Birkbeck College 2002: McGill University, Washington University in Saint Louis, Cornell (Economics), Maryland (Economics), Wisconsin, Freddie Mac 2003: University of Virginia (Economics), McIntire School of Business, FRB New York, FDIC, American University, Minnesota, North Carolina, Tilburg 2004: Wharton, University of British Columbia, US DOJ, Columbia, FRB San Francisco, Mannheim, Munich, ECB 2005: Michigan, Georgia, Arizona, Penn State, Wisconsin, UCLA, Notre Dame, Minnesota, Indiana, Wharton, SMU, NYU, Washington University, FRB New York 2006: Texas A&M, Rice, ASU, McGill, Norges Bank, NHH (Bergen, Norway) 2007: FRB San Francisco and Saint Louis, IMF, Stanford GSB, UC Berkeley 2008: UT Austin, FRB San Francisco, Rice, Northwestern Law School, Boston College, Boston University 2009: Northwestern Law School, Minnesota, European University Institute, Rotterdam, Tilburg 2010: Toronto, USC, UC San Diego, Boston University, HBS, UC Davis, UC Berkeley, NYU 2011: Northeastern, Warwick, Vienna, FRB San Francisco, Norway, Copenhagen, UC Davis, Houston, Oxford (Said), LSE, Cambridge (Judge), Temple University 2012: Aalto University, Universitat Pompeu Fabra, Cass Business School, Michigan State Presentations at conferences – Competitive (presented by author or coauthor): Southeast Economic Theory Conference, Georgetown University, 1999. Conference on “Competition among Banks: Good or Bad?” organized by the Wharton Financial Institutions Center and the Center for Financial Studies, 2000. Bank Structure Conference, Federal Reserve Bank of Chicago, 2000, 2005. LACEA Conference, Rio de Janeiro, Brazil, 2000. Econometric Society Summer Meetings, University of Maryland, 2001. European Finance Association, 2001, 2002, 2006. Western Finance Association, 2002, 2006. Econometric Society Meetings, Venice, Italy, 2002. Conference on “Information and Credit Allocation,” European University Institute, Italy, 2002. American Finance Association, 2003, 2007, 2009. Conference on “Competition in Banking Markets,” University of Leuven, Belgium, 2003. Financial Intermediation Research Society Conference, 2004, 2006, 2008, 2010. Conference on “Accounting, Transparency and Bank Stability,” organized by the BIS, the CEPR, and the Journal of Financial Intermediation, Switzerland, 2004. Conference on the “Micro-Structure of Credit Contracts,” EUI, Italy, 2004. UNC – Duke Corporate Finance Conference, 2006. Conference on “The Changing Geography of Banking,” Ancona, Italy, 2006. NY Fed / Wharton / RFS Conference on “Corporate Finance of Financial Intermediaries”, 2006. NBER Corporate Governance Conference, Boston, MA, July 2007. Washington University Corporate Finance Conference, November, 2007. Entrepreneurial Finance and Innovation Conference, Cambridge, MA, June 2010. Presentations at conferences - Invited:

Bank Supervision and Regulation Conference, European University Institute, Italy, 2000. Innovation in Financial Services Conference, Federal Reserve Bank of Philadelphia, 2002. Conference on “Liquidity Concepts and Financial Instabilities,” organized by the Wharton Financial Institutions Center and the Center for Financial Studies, Frankfurt, Germany, 2003. ECB Symposium, “Capital Markets and Financial Integration in Europe,” Frankfurt, Germany, 2002. (Presented by coauthor.) Conference on “Finance and Banking: New Perspectives,” organized by the FDIC/JFSR, 2003. (Presented by coauthor.) Rising Star Conference, Rensselaer Polytechnic Institute, 2008.

SERVICE Professional

Organized Third Theory Workshop on Corporate Finance and Financial Markets at Boston University, October 2011 Referee for Econometrica, American Economic Review, Review of Economic Studies, Review of Financial Studies, Journal of Finance, Journal of Financial Economics, RAND Journal of Economics, Journal of Economic Theory, Journal of Financial Intermediation, Journal of Money, Credit and Banking, European Economic Review, Economic Journal, International Economic Review, Economic Theory, Journal of Financial Services Research, Journal of Banking and Finance, Journal of Institutional and Theoretical Economics, International Journal of Industrial Organization, Review of Finance, National Science Foundation

Discussant: Washington Area Finance Conference, 1998, FMA, 1999, AFA/AFE, 2000, 2010, 2012, Econometric Society, 2012, Fourth Maryland Finance Symposium, 2000, EFA, 2001, FIRS, 2004, 2009, 2010, CEPR/CFS Conference on Competition, Stability and Integration in European Banking, 2005, JFI Conference on Bank Relationships, Credit Extension, and the Macroeconomy, 2005, WFA, 2006, 2007, 2010, 2011, 2012, NY Fed / Wharton / RFS Conference on “Corporate Finance of Financial Intermediaries,” 2006, FRA, 2007, Kaufmann Center Entrepreneurial Finance Conference, 2010, 2011 Program committee: FIRS, 2004, 2006, 2008, 2009, 2010, 2011, 2012, FMA European Meeting, 2006, NY Fed / Wharton / RFS Conference on “Corporate Finance of Financial Intermediaries,” 2006, EFA, 2007, 2008, 2009, Wash U Corporate Finance Conference, 2007, 2008, 2009, 2010, 2011, 2012, WFA, 2010, 2011, 2012, 2013 Session Chair: Washington University Corporate Finance Conference, 2006, WFA, 2007, SFS Finance Cavalcade, 2011, AFA 2013 University Boston University Recruiting Committee, 2009-2010 and 2010-2011 (Chair in 2010-2011) Arizona State University Departmental Personnel Committee, 2006-2009. Recruiting Committee, 2006-2009 (Chair in 2008-2009). MBA Committee, 2006-2008. PhD Committee, 2006-2009.

LANGUAGES

English, Spanish

Jim Olson, Founder and CEO – WestShore Management Group Jim Olson founded the WestShore Management Group in April of 2007, continuing a distinguished career after leading several high technology businesses for two Fortune companies and serving for nine years as CEO of SkyStream Networks, the top rated IPTV video head-end provider worldwide. WestShore Management Group provides Interim CEO, corporate consulting, and executive development services for both public, and private, venture-financed companies. Jim recently helped start up the Engineering Translational Technology Center (ETTC) at the University of California, Davis (http://news.engineering.ucdavis.edu/coe/index.html?display_article=760). ETTC is a technology development center established by the UC Davis College of Engineering to accelerate the transition of high-impact innovative research from the college to technology development and commercialization. As a “Business Specialist” in ETTC, Jim advises participating companies in all aspects of company formation, strategy, and financing. Most recently, Jim was executive vice president of video compression systems at TANDBERG Television. He became part of the company’s senior management team in April 2006 following TANDBERG’s acquisition of SkyStream, where he was president and chief executive officer. At TANDBERG, his global role was focused on building and marketing the TANDBERG Television video compression offering to ensure that the company was in the pole position to enable operators and content owners to meet consumer needs in an all digital, on-demand, interactive, and personalized world. Jim left TANDBERG in early 2007, when ERICSSON acquired TANDBERG for $1.4 billion. Jim joined SkyStream as its first and only CEO in 1997, bringing with him two decades of success in the broadcast video, data communications, Internet, and media industries. During his time at SkyStream, the company built a very profitable, leadership position in IP video head-end equipment. Jim oversaw the development and launch of SkyStream’s

award-winning products, the Mediaplex-20 video head-end, the iPlex video head-end, the Source Media Router, and the Edge Media Router. In 1999, Jim drove the acquisition of Varuna Software, resulting in SkyStream’s expansion into the video software market with zBand Content Distribution Software, now a leading PUSH Video-on-Demand solution. Under Jim’s direction, the company earned many high profile customers and partners, including EchoStar Communications (DISH Network), Reuters Group PLC, Disney Inc., CNN, Comcast, NTT, TDS Telecom, Fairpoint Communications, SiTV – the first IPTV deployment in China, Shanghai Stock Exchange, and China Central Television; as well as many leading Telco and Cable service providers in the Americas, Europe, and Asia. While at SkyStream, Jim raised money from some of the top venture capital investors in the world. These include, IVP, Mayfield Fund, Norwest Ventures, Integral Capital, 3i, AOL-Time Warner, Comcast Ventures, and Shaw Communications. From 2000 through 2003, Jim led SkyStream through the steepest technology spending downturn in history and in early 2003, raised an additional $29M from these investors returning 2X their invested capital in early 2006. SkyStream grew year over year every year from inception through exit. Before joining SkyStream, Jim was senior vice president and general manager of Wide Area Network Operations at 3Com Corporation, a multi-billion dollar supplier of advanced data networking products, where he led five operating divisions. Prior to 3Com, Jim spent 22 years at Hewlett-Packard Company. As General Manager of the Stanford Park Division, HP’s oldest business, he led a successful business transformation into the Video Communications Division, and was responsible for the company’s award-winning video server business and strategy. He oversaw the launch of a series of new products including the industry’s first plain paper video printer and the award-winning MediaStream video server product family. Jim’s leadership in this successful turnaround was featured in several business management books including, among others: “Reengineering Management”, by James Champy; “How to Drive Your Competition Crazy”, by Guy Kawasaki; and “Megamedia Shakeout”, by Kevin Maney. This remarkable business transformation was also featured in USA Today, Fortune, Business Week, the Financial Times, and Silicon Valley’s own San Jose Mercury. Jim is an active angel investor. Recent investments include Advanced Cardiac Therapeutics (http://www.actmed.net), Dysonics Corp. (http://www.dysonics.com) and VinPerfect (http://www.vinperfect.com), where he serves as Chairman. Jim also serves as Chairman of Ennetix (http://www.ennetix.com), as Interim-CEO at Stratovan Corp. (http://www.stratovan.com), and at Dysonics Corp.

A valued member of the industry, Jim has been a featured speaker at the Business Week Telecom Summit, Vortex, the Economist’s 21st Century Internet Summit, Digital Media Outlook and DBS’ Five Burning Questions, among others. He is a guest lecturer at Stanford University’s Graduate School of Business and Executive Education program, where he lectures on leadership, entrepreneurship, and creating and sustaining growth. Three Stanford case studies on Jim’s leadership at SkyStream Networks and Hewlett-Packard are taught in their Graduate School of Business. Jim is also a guest lecturer at the University of California, Davis, Graduate School of Management, and was recently named the 2013 Robert A. Fox Executive-in-Residence (http://gsm.ucdavis.edu/executives-residence). At UC Davis, he teaches Teams and Technology, Negotiations, and Technology Management. Jim is an accomplished motivational speaker, and author. Jim holds a BSEE degree from the University of California, Davis, and MSEE and MBA degrees from Santa Clara University.

CV Prof. Dr. Kay Peters (03/2014) page 1 / 6

Curriculum Vitae

Prof. Dr. Kay Peters

University Affiliation

SVI Endowed Chair for Marketing and Dialog Marketing Institute of Marketing and Media and Hamburg Center for Health Economics (HCHE) University of Hamburg Esplanade 36 20354 Hamburg, Germany

Residence

Alsterdorfer Straße 278, 22297 Hamburg, Germany Tel. +49 (40) 2780 7294 Cell. +49 (171) 285 4735

e-Mail

[email protected] [email protected]

Marital Status

Married, 3 Children

Hamburg, March 11, 2014


Background

Academic Career

Since 01/2012 Full Professor of Marketing and Dialog Marketing Institute of Marketing and Media and Hamburg Center for Health Economics (HCHE) University of Hamburg

Fall 2010 Best Paper Award, Journal of Interactive Marketing

Since2010 Visiting (Assistant) Professor Graduate School of Management University of California Davis, USA Teaching Quarters: Winter 2010, Spring 2011, Winter 2012, Winter 2013, Summer 2013, Winter 2014, Summer 2014

2009-2012 Habilitation Institute for Marketing, Marketing Center Muenster (MCM) Westfälische Wilhelms-University of Muenster Habilitation committee: Prof. Dr. M. Krafft, Prof. Dr. Dr. h.c. K. Backhaus, Prof. Dr. J. Becker, Prof. h.c. Prof. Dr. M. Trede, Prof. Dr. D. van den Poel

2005 - 2009 Managing Director Center for interactive Marketing and Media Management (CIM) c/o Institute for Marketing Marketing Center Muenster (MCM) Westfälische Wilhelms-University of Muenster

2003 – 2005 Research Associate Prof. Dr. Manfred Krafft Institute for Marketing Marketing Centrum Muenster (MCM), Westfälische Wilhelms-University of Muenster

2003 – 2008 1995 – 1996

PhD in Marketing (summa cum laude)

Advisor: Prof. Dr. Dr. h.c. Sönke Albers, CAU Kiel

Fellow of the German National Research Foundation Collegiate “ Business Aspects of Loosely Coupled Systems and Electronic Business”

European Marketing Academy (EMAC) & EIASM Award for best dissertation proposal

1986 - 1995 MBA (Diplom-Kaufmann) (1.6, among Top 3 in class), Christian-Albrechts-University Kiel Award for best Master Thesis in Business Administration

Full-Time Work (no study) between 11/1988 – 03/1992


Business Experience

Since 2003 Founder and CEO DMC Dialogmarketing Consulting GmbH, Hamburg

2001 – 2011 Founder and Partner Peters, Bona & Partner GbR, Hamburg

1997 – 2001 Founder and CEO of a Software Company in Hamburg, taken over by international public company end of 2001

1995 – 1997 Accenture GmbH, Frankfurt, Consultant Strategic Services, Western Europe Specialist for Marketing Strategy in Telecommunications & eCommerce Sector

1992 - 1994 AMCON Analytical Marketing Consulting GmbH, Kiel/Bremen Consultant for Marketing & Business Planning Cellular and Fixline TelCo Services

1991 – 1992 Marketing-Controller for BASF AG, Caracas, Venezuela

1988 – 1991 Student Organization AIESEC Full-Time Engagement for the German National and International Committee (Cologne/Brussels)

Awards

2010 Best Paper Award 2010, Journal of Interactive Marketing

1996 European Marketing Academy (EMAC) & EIASM “Award for the best thesis proposal”

1994 GfB „Award for best diploma thesis“, Christian-Albrechts-University of Kiel

Reviewer

Adhoc Reviewer International Journal of Research in Marketing, Journal of Interactive Marketing, Wirtschaftsinformatik, Zeitschrift für Betriebswirtschaft

Since 2010 Member of the panel “IT Innovation Award for Small and Medium-Sized Businesses” in the the categories “Online Marketing” and “Business Intelligence“

2004 – 2009 Assistant to the Dept. Editor „Marketing“, Prof. Dr. M. Krafft, Zeitschrift für Betriebswirtschaft


Publications (see separate publication list)

Academic Memberships

American Marketing Association (AMA), USA

German Direct Marketing Association (DDV), Germany

Direct Marketing Association of America (DMA), USA

Direct Marketing Education Foundation (DMEF), USA

European Marketing Academy (EMAC), Belgium

German Business Professors Association (VHB), Germany

German University Association (DHV), Germany

INFORMS, USA

Schmalenbach - Association for Business Administration, Germany

Transfer

TV, Radio, & Press Interviews in leading TV channels (e.g., NDR, ARD, ZDF, DLF).

Publications in leading Practitioner Journals (e.g., Harvard Business Manager, Dialog, Direktmarketing, Fischer’s Archiv).


Lectures and Seminars

Year University Veranstaltung

2013 summer

University of California,

Davis

New Product Development Part-time MBA

2013 summer

University of Hamburg

Customer Centricity Master (Lecture & Tutorial)

2013 summer


Advances in Integrated Marketing Communications Master (Seminar)

2013 summer


Customer Relationship Management Bachelor (Seminar)

2013 winter


Davis

International Marketing Part-time, Daytime, & Professional MBA Program, Visiting Assistant Professor

2012/13 winter


Integrated Marketing Communications Master (Lecture)

2012/13 winter


Integrated Marketing Communications Master (Tutorial)

2012/13 winter


Principles of CRM (Lecture) Bachelor

2012/13 winter


Principles of CRM Bachelor (Tutorial)

2012/13 winter


International Marketing Bachelor (Seminar)

2012 summer


Entrepreneurship and Business Plans in eCommerce Master (Seminar)

2012 summer


International Marketing Bachelor (Seminar)

2012 winter


Davis

International Marketing Part-time MBA Program Visiting Assistant Professor (rating: 4.8 out of 5.0; Instructor: 4.9)

2011 fall

University of Muenster

International Marketing Master (grade: 2.3 – best 1.0)


2011 spring


Davis

International Marketing Executive MBA Program Visiting Assistant Professor (rating: 4.4 out of 5.0; Instructor: 4.8)

2011 spring


Davis

International Marketing Daytime MBA Program Visiting Assistant Professor (rating: 3.5 out of 5.0; Instructor: 3.8)

2011 spring


Davis

International Marketing IAD Program Visiting Assistant Professor (rating: 4.2 out of 5.0; Instructor: 4.7)

2010 fall


International Marketing Master (grade: 2.1 – best grade 1.0))

2010 winter


Davis

International Marketing Executive MBA Program Visiting Assistant Professor (rating: 4.0 out of 5.0; Instructor: 4.6)

2009

winter


Seminar on Direct Marketing Master

2008

winter


Direct Marketing Master (grade: 1.4 – best 1.0)

2007

winter


Direct Marketing Master (grade: 1.5 – best 1.0)

Supplemented by many guest lectures at the University of California Davis, University of Hamburg, University of Kiel, University of Muenster and the University of Koblenz in the fields of Marketing (CRM, Communication, Marketing Operations, Market Research) and IT/MIS (CRM systems).

Scientific Presentations (selected from more than 25)

Marketing Science Conference 1996, 1998, 2003, 2004, 2005, 2006, 2009, 2012

Marketing Dynamics Conference 2007, 2009, 2010

Scientific Congress of the German Direct Marketing Association 2007, 2008, 2009

SANJAY SAIGAL 327 Oakwood Place [email protected]

Menlo Park, CA 94025, USA +1 650 283 1985

SUMMARY

Recent experience teaching analytics and supply chain management to professional MBA

students and working executives

Active consulting practice in roles including: strategic planning, BU operations, sales and

operations planning, vendor relationship management, and supply chain analytics

Global management experience in settings including: boutique consulting firm, successfully

acquired start-up, mid-market software and services, and for-profit management education

EMPLOYMENT

ST. STEPHEN’S INST Management development school partnered with St. Stephen’s College Delhi, India

2011-2010 Executive director and Professor

UC DAVIS GSM San Ramon professional campus Silicon Valley

2009-2010 Adjunct faculty, MGB 206 and 282

INTECHNÉ Start-up specializing in robust, risk-aware decision-making Silicon Valley

2007-2010 Founder

ILOG INC. World-leading decision-making software and services vendor Silicon Valley

1999-2007 Director, Business Development, Supply Chain Management (& others)

COMPASS Optimization software and services startup acquired by ILOG Inc. Reno, Nevada

1995-1999 Director of Technical Services

DECISION FOCUS Analytics-driven consultancy focused on Environment, Power & Transport Silicon Valley

1991-1995 Associate

TEACHING

Analytics UC Davis GSM, St. Stephen’s Institute for Management Excellence

SCM UC Davis GSM (Summer 2013)

Specialized Compass Modeling Solutions (software), Ilog Inc. (software and custom tools)

CONSULTING

Energy Bechtel, Duke Power, EPRI, Shell, Southern Company

Manufacturing Intel, Land O’Lakes, Nestlé

Retail Hallmark Cards, Lillian Vernon, Wallmart.com

Others Netflix, NFL, NYSE, Northrop Grumman, Sungard, United Airlines

EDUCATION

1991 RICE UNIVERSITY Houston, Texas

Ph.D. Mathematical Sciences

1984 ST. STEPHEN’S COLLEGE Delhi, India

B.A. (Honors) Mathematics

1

Hollis A. Skaife January 2014

Professor

Graduate School of Management

University of California – Davis

One Shields Avenue, Davis, CA 95616

Cell phone: 608-692-1082

e-mail: [email protected]

Papers available at: http://papers.ssrn.com/sol3/cf_dev/AbsByAuth.cfm?per_id=232305

Google scholar: http://scholar.google.com/citations?user=JWiM5dgAAAAJ&hl=en

Education

Doctor of Philosophy University of Iowa

Major: Accounting

Minor: Finance

Master of Arts University of Iowa

Major: Accounting

Bachelor of Arts Central College

Academic Appointments

2013 – current Professor of Accounting – University of California - Davis

2010 – 2013 David Lesar Professor of Business – University of Wisconsin-Madison

2010 – 2011 Associate Dean for Research and Ph.D. Programs

2005-2010 Associate Professor of Accounting - University of Wisconsin-Madison

Spring 2007 Visiting Scholar – Sloan School of Business, MIT

1998-2005 Assistant Professor of Accounting - University of Wisconsin-Madison

1997-1998 Visiting Professor - University of Wisconsin-Madison

1995-1997 Lecturer – University of Northern Iowa

1991-1995 Teaching Assistant – University of Iowa

Professional Appointments

IFRS Advisory Council of the International Accounting Standards Board 2009 – 2011

Deloitte CFO Scholar 2011

Director, Racine Railroad Products 2012- 2013

Professional Certifications

Certified Public Accountant (inactive)

Certified Management Accountant

mailto:[email protected]

http://papers.ssrn.com/sol3/cf_dev/AbsByAuth.cfm?per_id=232305

http://scholar.google.com/citations?user=JWiM5dgAAAAJ&hl=en

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Referred Publications

Clinton, S., A. Pinello, and H. Skaife. 2014. “The Implications of Ineffective Internal

Control and SOX 404 Reporting for Financial Analysts.” forthcoming Journal of

Accounting and Public Policy July/August.

Skaife, H., D. Veenman, and D. Wangerin. 2013. “Ineffective Internal Control and

Managerial Rent Extraction: Evidence from Insider Trading.” Journal of Accounting and

Economics 55 (1): 91-110.

Skaife, H. and D. Wangerin. 2013. “Target Financial Reporting Quality and M&A Deals

that go Bust.” Contemporary Accounting Research 30(2): 719-749.

Gordon, E., A. Greiner, M. Kohlbeck, S. Lin, and H. Skaife. 2013. “Challenges and

Opportunities in Cross-country Accounting Research.” Accounting Horizons 27: 141-

154.

Liao, Q., T. Sellhorn, and H. Skaife. 2012. “The Cross-Country Comparability of IFRS

Earnings and Book Values: Evidence from France and Germany.” Journal of

International Accounting Research 11(1): 155-184.

Gassen, J. and H. Skaife. 2009. “Can Audit Reforms Enhance the Informational Role of

Auditing? Evidence from the German Market.” Contemporary Accounting Research 26:

867-898.

Ashbaugh-Skaife, H., D. Collins, W. Kinney, and R. LaFond. 2009. “The Effect of SOX

Internal Control Deficiencies on Firm Risk and Cost of Equity Capital.” Journal of

Accounting Research 47: 1 – 43.

Ashbaugh-Skaife, H., D. Collins, W. Kinney, and R. LaFond. 2008. “The Effect of SOX

Internal Control Deficiencies and Their Remediation on Accrual Quality.” The

Accounting Review 83: 217-250.

Ashbaugh-Skaife, H., D. Collins, and W. Kinney. 2007. “The Discovery and Reporting of

Internal Control Deficiencies Prior to SOX-Mandated Audits.” Journal of Accounting

and Economics 44: 166-192.

AAA Financial Accounting Standards Committee (H. Skaife, Chair). 2007. “Response to

the FASB Exposure Draft, “The Fair Value Option for Financial Assets and Financial

Liabilities, Including an Amendment of FASB Statement No. 115.” Accounting Horizons

21: 189-200.

AAA Financial Accounting Standards Committee (H. Skaife, Chair). 2007. “Response to

FASB Exposure Draft: Employers’ Accounting for Defined Benefit Pension and Other

Postretirement Plans: An Amendment of FASB Statements No. 87, 88, 106, and 132 (R).”

Accounting Horizons 21: 201-213.

3

Referred Publications continued

AAA Financial Accounting Standards Committee (H. Skaife, Chair and Principle Co-

Author). 2007. “Response to FASB Exposure Draft: Accounting for Uncertain Tax

Positions: an Interpretation of FASB Statement No. 109.” Accounting Horizons 21: 103-

112.

Ashbaugh-Skaife, H., D. Collins, and R. LaFond. 2006. “The Effects of Corporate

Governance on Firms’ Credit Ratings.” Journal of Accounting and Economics 42: 203-243.

AAA Financial Accounting Standards Committee. 2006. “Financial Accounting and

Reporting Standards for Private Entities.” Accounting Horizons 20: 179-194.

AAA Financial Accounting Standards Committee. 2005. “Response to the FASB's

Exposure Draft on Fair Value Measurements.” Accounting Horizons 19: 187-196.

AAA Financial Accounting Standards Committee. 2005. “Response to FASB’s Exposure

Draft on Share-Based Payment: An Amendment of FASB Statements No. 123 and No. 95.”


Ashbaugh, H. 2004. “Ethical Issues Related to the Provision of Audit and Non-Audit

Services: Evidence from Audit Research.” Journal of Business Ethics 52: 143-148.

AAA Financial Accounting Standards Committee. 2004. “Response to FASB’s Exposure

Draft, Accounting Changes and Error Corrections.” Accounting Horizons 18: 255-261.

Ashbaugh, H., R. LaFond, and B. Mayhew. 2003. “Do Non-Audit Services Compromise

Auditor Independence? Further Evidence.” The Accounting Review 78: 611- 639.

Ashbaugh, H. and T. Warfield. 2003. “Audits as a Corporate Governance Mechanism:

Evidence from the German Market.” Journal of International Accounting Research 2: 1-21.

Ashbaugh, H. and P. Olsson. 2002. “An Exploratory Study of the Valuation Properties of

Cross-listed Firms’ IAS and US-GAAP Earnings and Book Values.” The Accounting

Review 77: 107-126.

Ashbaugh, H., K. Johnstone, and T. Warfield. 2002. “Outcome Assessment of a Writing-

Skill Improvement Initiative: Results and Methodological Implications.” Issues in

Accounting Education 17: 123-148.

Johnstone, K., H. Ashbaugh, and T. Warfield. 2002. “Effects of Repeated Practice and

Contextual-Writing Experiences on College Students’ Writing Skills.” Journal of

Educational Psychology 94: 305-315.

4

Referred Publications continued

Ashbaugh, H. and M. Pincus. 2001. “Domestic Accounting Standards, International

Accounting Standards, and the Predictability of Earnings.” Journal of Accounting Research

39: 417-434.

Ashbaugh, H. 2001. “Non-US Firms’ Accounting Standard Choices.” Journal of

Accounting and Public Policy 20: 129-153.

Ashbaugh, H. and K. Johnstone. 2000. “Developing Students’ Technical and Professional

Skills: A Sequence of Short Cases in Intermediate Financial Accounting.” Issues in

Accounting Education. 15: 67-89.

Ashbaugh, H., K. Johnstone, and T. Warfield. 1999. “Corporate Reporting on the Internet.”


Other Publications

Skaife, H. and D. Wangerin. 2013. “CFO Insights: Deal or No Deal: Can Busted M&A

Deals be Avoided?” Deloitte.

Ashbaugh, H. 2002. “Discussion of ‘Are recent segment disclosures of Japanese firms

useful?: views of Japanese financial analysts’”. The International Journal of Accounting 37:

1-4.

Working Papers

Feng, M., C. Li, S. McVay, and H. Skaife. “Ineffective Internal Control over Financial

Reporting and Firm Operations.” (under second round review at The Accounting Review).

Daly, A. and H. Skaife. “Accounting for Biological Assets: A Study of IAS 41.” (being

revised for resubmission to the Journal of International Accounting Research).

Skaife, H., L. Swenson, and D. Wangerin. “Classification Shifting of R&D Expense.”

Skaife, H. and T. Werner. “The Effects of Corporate "Free Speech" on Firm Value.”

Skaife, H., D. Veenman, and T. Werner. “Corporate Lobbying and CEO Pay.”

Convery, A., Q. Burke, and H. Skaife. “Government Contracting and the Continuation as

a Going Concern.”

5

Editorial Review Boards

Contemporary Accounting Research, 2008- current

Journal of International Accounting Research, 2001-2004, Associate Editor, 2004 – current

Journal of Accounting and Public Policy, 2011-current

Auditing: A Journal of Practice and Theory, 2008 - current

Accounting Horizons, 2006-2012

The Accounting Review, 2005 – 2011

The International Journal of Accounting, 2000 - 2011

Ad-Hoc Reviewer

Journal of Accounting and Economics, Journal of Accounting Research, Review of

Accounting Studies, Management Science, Journal of Corporate Finance, European

Accounting Review, Canadian Accounting Perspectives.

Grants and Awards

2013 AAA Auditing Section Notable Contributions to the Auditing Literature Award for

“Do Nonaudit Services Compromise Auditor Independence? Further Evidence.”

2012 PwC INQuiries $5,000

2011 Deloitte CFO Program Fellows &Scholars: “Internal Use of GAAP and the Quality of

Financial Reporting.” $25,000

2008 University of Wisconsin WARF Grant $26,800


Journal of International Accounting Research 2005 Outstanding Manuscript Award for

“Audits as a Corporate Governance Mechanism: Evidence from the German

Market”.

2004 Evening MBA Teaching Excellence Award

2004 Mabel W. Chipman Excellence in Teaching Award

2002 Best Paper Award at the 9th IAAER World Congress for “The Implications of Cross

Country Differences in Accounting for the Book-to-Market Factor”.

2001-2005 University of Wisconsin, School of Business – CIBER Grants $10,100

2001 University of Wisconsin, WAGE Grant $8,000

2000 William J. Nasgovitz Innovation in Teaching Award $25,000

1999 University of Wisconsin School of Business Summer Research Grant $15,000


1994 Ernst & Young Dissertation Grant $20,000

Teaching

Introductory Financial Reporting and Analysis (MBA/Enterprise MBA/Corporate MBA)

Financial Statement Analysis (MBA/Enterprise MBA/Masters of Accounting)

Intermediate Financial Reporting (Undergraduate, MBA)

Advanced Financial Reporting (Undergraduate/Masters of Accounting)

International Accounting (Executive MBA)

6

Ph.D. Committees

Date Candidate Initial Placement

1999 Victoria Krivogorsky Morgan State

2001 Jane Weiss Arizona State University

2004 Changling Chen University of Waterloo

2004 Matthew Magilke University of Utah

2005 Kofi Okyere University of Syracuse

2005 Ryan LaFond Sloan School of Management, MIT

2006 Victoria Dickinson University of Florida

2006 Jae Yong University of Illinois

2007 Ting Lao Tsinghua University

2007 Pamela Murphy Queen’s University

2008 Wenjuan Xie University of New Hampshire (Major: Finance)

2009 Tim Werner Grinnell College (Major: Political Science)

2010 Sabrina Chi University of Arkansas (External Member)

2011 Dan Wangerin Michigan State University

2012 Vivian Xu Zheng City University of Hong Kong (Major: Marketing)

2012 Laura Michalski Georgia State

2013 Qing Liao University of Miami of Ohio

2014 Abbie Daly University of Wisconsin-Whitewater

2015 Amanda Convery expected graduation

Recent Professional Service

IAS AAA Publications Committee – 2002-2003, 2010- 2012

FARS AAA Mid-year Meeting track coordinator – 2009 - 2011

AAA Doctoral Consortium – Faculty, 2009

AAA New Faculty Consortium – Team leader 2006, 2007, Presenter 2008, 2009

FARS Research Committee - AAA Annual Meeting, 2009

Napa Conference on Financial Market Research Advisory Committee – 2009-current

University of Iowa - Professional Accounting Council, 2007-2011.

KPMG Audit Committee Roundtable, June 2008, June 2009

Outstanding Dissertation Committee of the IAS of AAA, 2008

FARS Doctoral Consortium, 2007, 2008

Humboldt University Summer Camp, Berlin Germany, July 2006, August 2013

Research Review Panel Member for the Deutsche Forschungsgemeinschaft (DFG), 2006, 2010

Chair of the Financial Accounting Standards Committee of the AAA, 2007

Chair of the International Section of the AAA Doctoral Consortium, 2005, 2006

Financial Accounting Standards Committee of the AAA 2003 – 2005

7

Select Presentations

2013 European Accounting Association, Erasmus University (Rotterdam, Netherlands),

WHU (Koblenz, Germany), UC-Davis, University of Waterloo, Louisiana State

University

2012 University of Maryland, Georgia State University, University of Illinois –

Chicago, CLSA Conference (Hong Kong), HKUST (Hong Kong)

2011 American Accounting Association (Denver, CO), Journal of International

Accounting Research Conference (Xiamen, China), CIBER Conference

(Madison, WI), International Accounting Standards Board (London, UK)

2010 University of Amsterdam, University of California Irvine,

American Accounting Association (San Francisco,CA) Humboldt University

(Berlin, Germany) ESSEC University (Paris, France) Edinburgh University

(Edinburgh Scotland)

2009 University of Tilburg (Tilburg Netherlands), UC-Davis, University of

Connecticut, NAREIT Conference (San Francisco, CA), American Accounting

Association Doctoral Consortium, LSE (London UK), American Accounting

Association New Faculty Consortium (Washington D.C.)

2008 Financial Accounting Reporting Section 2008 Doctoral Consortium , AAA 2008

New Faulty Consortium, University of Colorado, Boston Area Research

Colloquium, University of Iowa Winter Lecture Series

2007 Chinese University of Hong Kong, Queens University, European Accounting

Association Annual Congress, Brigham Young University, Southern Methodist

University, Financial Accounting Reporting Section 2007 Doctoral Consortium

2006 University of Texas-Austin, Georgia State University, Emory University, Global

Issues in Accounting Conference-University of North Carolina, Federated Schools

of Accountancy-Chicago IL, Valuation in Financial Markets Conference-U.C.

Davis, Singapore Management University, Nanyang Technology University,

University of Houston, International Accounting Section 2006 Doctoral Consortium

2005 University of Kentucky, Sloan School of Business MIT, 2005 Journal of Accounting

& Economics Conference, International Accounting Symposium-Columbia

University, European Accounting Association Annual Congress, University of North

Carolina, Baruch College, IAS Section of AAA Mid-year Meeting-Discussant

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