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MICHAL HERZENSTEIN,SCOTT SONENSHEIN,and UTPAL M.DHOLAKIAThis research examines how identity claims constructed in narrativesby borrowers influence lender decisions about unsecured personal loans.Specifically,do the number of identity claims and their content influ-ence lending decisions,and can they predict the longer-term perfor-mance of funded loans?Using data from the peer-to-peer lending website,the authorsfind that unverifiable information affects lendingdecisions above and beyond the influence of objective,verifiable informa-tion.As the number of identity claims in narratives increases,so doesloan funding,whereas loan performance suffers,because these borrow-ers are less likely to pay back the loan.In addition,identity content playsan important role.Identities focused on being trustworthy or successfulare associated with increased loan funding but ironically are less predic-tive of loan performance than other identities(i.e.,moral and economichardship).Thus,some identity claims aim to mislead lenders,whereasothers provide true representations of borrowers.Keywords:identities,narratives,peer-to-peer lending,decision makingunder uncertainty,consumerfinancial decision making Tell Me a Good Story and I May Lend Y ou Money:The Role of Narratives inPeer-to-Peer Lending DecisionsThe past decade has witnessed a growing number of business models that facilitate economic exchanges between individuals with limited institutional mediation. Consumers can buy products on eBay,lend money on peer-to-peer(P2P)loan auction sites such as , and provide zero-interest“social loans”to entrepreneurs through .In all these cases,strangers decide whether to engage in an economic exchange and on what terms,using only information provided by the borrowers. *Michal Herzenstein is Assistant Professor of Marketing,Lerner College of Business and Economics,University of Delaware(e-mail: michalh@).Scott Sonenshein is Assistant Professor of Man-agement,Jones Graduate School of Business,Rice University(e-mail: scotts@).Utpal M.Dholakia is Professor of Management, Jones Graduate School of Business,Rice University(e-mail:dholakia@ ).The authors thank Rick Andrews,Richard Schwarz,and Greg Hancock for their statistical assistance.They further thank the editor John Lynch,the associate editor,and the two JMR reviewers for their insight-ful comments.Financial support from the Lerner College of Business and Economics at the University of Delaware and the Jones Graduate School of Business at Rice University is greatly appreciated.David Mick served as associate editor for this article.Objective quantitative data about exchange partners often are difficult to obtain,insufficient,or unreliable.As a result, decision makers may turn to subjective,unverifiable,but potentially diagnostic qualitative data(Michels2011). One form of qualitative data useful to decision makers in such economic exchanges are the narratives constructed by potential exchange partners.A narrative is a sequentially structured discourse that gives meaning to events that unfold around the narrator(Riessman1993).For example,a narra-tive might explain a person’s past experiences,current sit-uation,or future hopes(e.g.,Thompson1996;Wong and King2008).By providing an autobiographical sketch that explains the vicissitudes of their life,the narrative authors provide a window into how they conceptualize themselves (Gergen and Gergen1997)and a portrait of how they con-struct their identity.However,as a result of either ambiguity or the strategic use of the medium to influence others(e.g., Schau and Gilly2003),narratives offer only one of several possible interpretations of self-relevant events(Sonenshein 2010).As a result,narrators can relay interpretations of their circumstances that convey the most favorable identities (Goffman1959).©2011,American Marketing AssociationISSN:0022-2437(print),1547-7193(electronic)S138Journal of Marketing ResearchV ol.XLVIII(Special Issue2011),S138–S149Role of Narratives in Peer-to-Peer Lending Decisions S139RESEARCH MOTIVATIONS AND CONTRIBUTIONS The idea that narratives may involve the construction of a favorable identity poses two key questions for research. First,whereas narratives can provide diagnostic informa-tion to a decision maker who is considering an economic exchange,the veracity of the narrator’s story is difficult to determine.Because a narrative offers the possibility of describing either an authentic,full,true self or a partial, inauthentic,misleading self,potential exchange partners are left to intuit the truth of the presentation.Accordingly a key question to consider is,given their potential for diagnostic and misleading information,to what extent do narratives influence economic exchange transactions?Previous con-sumer research has largely focused on narratives of con-sumption experiences(Thompson1996)or consumption stories(Levy1981),but scholars have not examined the role of narratives in economic exchanges.We believe that narratives may be a particularly powerful lens,in that they allow the consumer to attempt to gain better control over the exchange and thus can provide a means to help con-summate the exchange.Second,to what extent do narratives affect the perfor-mance and outcomes of an economic exchange?Narrative scholars claim that the construction and presentation of a narrative can shape its creator’s future behavior(Bruner 1990)but rarely examine the nature of this influence empir-ically.Such an examination would be critical to understand-ing how a mixture of quantitative and qualitative factors shapes outcome quality(e.g.,Hoffman and Yates2005). We examine these two questions using data from the online P2P loan auctions website,,by studying borrower-constructed narratives(particularly the identities embedded in them),the subsequent decisions of lenders, and transaction performance two years later.We define identity claims as the ways that borrowers describe them-selves to others(Pratt,Rockmann,and Kaufmann2006). Borrowers can construct an identity based on a range of ele-ments,such as religion or success.The elements become an identity claim when they enter public discourse as opposed to private cognition.With this framework,we make several contributions.First,by developing and testing theory around how nar-ratives supplement more objective sources of information that decision makers use when considering afinancial trans-action,we draw attention to how narrators can intentionally exploit uncertainty and favorably shape circumstantial facts to obtain resources,such as access to money in unmediated environments.The narrative,as a supplementary,yet some-times deal-making or deal-breaking,information source for decision makers is predicated on compelling stories versus objective facts.It thus offers a means for people to recon-struct their pasts and describe their futures in positive ways. Second,by linking narratives to objective performance measures,we show how narratives may predict the longer-term performance of lending decisions.Because the deci-sion stakes are high in this unmediated and unsecured financial arena,lenders engage in highly cognitive pro-cessing(Petty and Wegener1998).The strong disincen-tive of potentialfinancial loss leads to cognitive process-ing,which tends to produce accurate attributions about a person and the probabilities of future events(Osborne and Gilbert1992).Because of this motivation for accuracy,we suspect lenders use narratives to help them make invest-ment decisions.Third,from a practice perspective,the recentfinancial crisis has exposedflaws in the criteria used to make lend-ing decisions.Quantitativefinancial metrics,such as credit scores,have proven unreliable for predicting the ability or likelihood of consumers to repay unsecured loans(Feldman 2009).A narrative perspective on the consummation and performance offinancial transactions offers the promise of improving systems for assessing borrowers.RESEARCH SETTINGWe conducted our research on (hereinafter, Prosper),the largest P2P loan auction site in the United States,with more than one million members and$238mil-lion in personal loans originated since its inception in March2006(as of June2011).On Prosper,borrowers and lenders never meet in person,so we can assess the role of narratives in overcoming the uncertainty that arises during financial transactions between unacquainted actors.The process of borrowing and lending money through a loan auction on Prosper is as follows:Before posting their loan request,borrowers give Prosper permission to ver-ify relevant personal information(e.g.,household income, home ownership,bank accounts)and access their credit score from Experian,a major credit-reporting ing this and other information,such as pay stubs and income tax returns,Prosper assigns each borrower a credit grade that reflects the risk to lenders.Credit grades can range from AA, which indicates that the borrower is extremely low risk(i.e., high probability of paying back the loan),through A,B,C, D,and E to HR,which signifies the highest risk of default. Borrowers then post loan requests for auction.When post-ing their loan auctions,borrowers choose the amount(up to $25,000)and the highest interest rate they will pay.They also may use a voluntary open-text area,with unlimited space,to write anything they want—that is,the borrower’s narrative(see Michels2011).After the listing becomes active,lenders decide whether to bid,how much money to offer,and the interest rate. A$1,000loan might befinanced by one lender who lends $1,000or by40lenders,each lending$25for example. Most lenders bid the minimum amount($25)on individual loans to diversify their portfolios(Herzenstein,Dholakia, and Andrews2011).After the auction closes,listings with bids that cover the requested amount are funded.If a list-ing receives bids covering more than its requested amount, the bids with the lowest interest rates win.If the auc-tion does not receive enough bids,the request remains unfunded.Prosper administers the loan,collects payments, and receives fees of.5%to3.0%from borrowers,as well as a1%annual fee from lenders.We employed three dependent variables in our study. First,loan funding is the percentage of the loan request to receive a funding commitment from lenders.For exam-ple,if a loan request for$1,000receives bids worth$500, loan funding is50%.If it receives bids worth$2,000,loan funding equals200%.A higher loan funding value signi-fies greater lender interest.Second,percentage reduction infinal interest rate captures the decrease in the inter-est rate between the borrower’s maximum specified rate and thefinal rate.For example,if a borrower’s maximumS140JOURNAL OF MARKETING RESEARCH,SPECIAL ISSUE 2011T able 1DEFINITIONS OF IDENTITIES AND EXAMPLES FOR DATA CODINGIdentityDefinitionExamplesTrustworthy (Duarte,Siegel,and Young 2009)Lenders can trust the borrower to pay back the money on time.“I am responsible at paying my bills and lending me funds would be a good investment.”(Listing #17118)Successful (Shafir,Simonson,and Tversky 1993)The borrower is someone with a successful business or job/career.“I have [had]a very solid and successful career with an Aviation company for the last 13years.”(Listing #18608)Hardworking (Woolcock 1999)The borrower will work very hard to pay the loan back.“I work two jobs.I work too much really.I work 26days a month with both jobs.”(Listing #18943)Economic hardship (Woolcock 1999)The borrower is someone in need because of hardship,as a result of difficult circumstances,bad luck,or other misfortunes that were,or were not,under the borrower’s control.“Unfortunately,a messy divorce and an irresponsible ex have left me with awful credit.”(Listing #20525)Moral (Aquino et al.2009)The borrower is an honest or moral person.“On paper I appear to be an extremely poor financial risk.In reality,I am an honest,decent person.”(Listing #17237)Religious (Weaver and Agle 2002)The borrower is a religious person.“One night,the Lord awaken me and myspouse our business has been an enormous success with G-d on our side.”(Listing #21308)interest rate is 18%and the final rate is 17%,the per-centage reduction in interest rate is 18−17 /18=5 56%.rate decreases only if the loan request receives full greater lender interest results in greater reduc-of the interest rate.Third,loan performance is the payment status of the loan two years after its origination.We further classify the types of identity claims made by prospective borrowers.Borrowers in our sample employed six identity claims in their narratives:trustworthy,economic hardship,hardworking,successful,moral,and religious.In Table 1,we provide definitions and illustrative examples of each identity claim.Borrowers provided an average of 1.53 SD =1 14 identity claims in their narratives.RESEARCH HYPOTHESESWho Is Likely to Provide More Identity Claims in Their Narratives?Narratives,when viewed as vehicles for identity work,provide opportunities for people to manage the impres-sions that others hold of them.Impression management the-ory posits that people want to create and maintain specific identities (Leary and Kowalski 1990).Narratives provide an avenue for impression management;through discourse,people can shape situations and construct identities that are designed specifically to obtain a desired outcome (Schlenker and Weigold 1992).Some scholars argue that people use narratives strategically to establish,maintain,or protect their desired identities (Rosenfeld,Giacalone,and Riordan 1995).However,the use of impression manage-ment need not automatically signal outright lying;people may select from a repertoire of self-images they genuinely believe to be true (Leary and Kowalski 1990).Nevertheless,strategic use of impression management means that,at a minimum,people select representations of their self-image that are most likely to garner support.In economic exchanges involving repeated transactions,each party receives feedback from exchange partners thateither validates or disputes the credibility of their self-constructions (Leary and Kowalski 1990),so they can determine if an identity claim has been granted.Prior transactions also offer useful information through feedback ratings and other mechanisms that convey and archive rep-utations (Weiss,Lurie,and MacInnis 2008).However,in one-time economic exchanges,such feedback is not avail-able.Instead,narrators have a single opportunity to present a convincing public view of the self,and receivers of the information have only one presentation to deem the presen-ter as credible or not.We hypothesize that in these conditions,borrowers are strategic in their identity claims.Borrowers with satisfac-tory objective characteristics are less likely to construct identity claims to receive funding;they feel their case stands firmly on its objective merits alone.In contrast,borrowers with unsatisfactory objective characteristics may view narratives as an opportunity to influence the attribu-tions that lenders make,because in narratives,they can counter past mistakes and difficult circumstances.In this scenario,borrowers make identity claims that offset the attributions made by lenders about the borrower being fundamentally not a creditworthy person.These disposi-tional attributions are often based on visible characteristics (Gilbert and Malone 1995).The most relevant objective characteristic of borrowers is the credit grade assigned by Prosper,derived from the borrower’s personal credit history (Herzenstein,Dholakia,and Andrews 2011).With more than one identity claim,borrowers can present a more com-plex,positive self to counteract negative objective informa-tion,such as a low credit grade.Thus:H 1:The lower the borrower’s credit grade,the greater isthe number of identities claimed by the borrower in the narrative.Role of Narratives in Peer-to-Peer Lending Decisions S141Impact of the Number of Identity Claims onLenders’DecisionAlthough economists often predict that unverifiable information does not matter(e.g.,Farrell and Rabin1996), we suggest that the number of identity claims in a bor-rower’s narrative play a role in lenders’decision making, for at least two reasons.First,borrower narratives with too few identities may fail to resolve questions about the borrower’s disposition.If a borrower fails to provide suf-ficient diagnostic information for lenders to make attri-butions about the borrower(Cramton2001),lenders may suspect that the borrower lacks sufficient positive or dis-tinctive information or is withholding or hiding germane information.Second,the limited diagnostic information provided by fewer identity claims limits a decision maker’s ability to resolve outcome uncertainties.Research on perceived risk supports this reasoning;decision makers gather informa-tion as a risk-reduction strategy and tend to be risk averse in the absence of sufficient information about the decision (e.g.,Cox and Rich1964).In the P2P lending arena,the loan request and evaluation process unfold online with-out any physical interaction between the parties.Further-more,on Prosper,borrowers are anonymous(real names and addresses are never revealed).This lack of seemingly relevant information is especially salient,because many decision makers view unmediated online environments as ripe for deception(Caspi and Gorsky2006).To the extent that the identity claims presented in a narrative reduce uncertainty about a borrower,lenders should be more likely to view the listing favorably,increase loan funding,and decrease thefinal interest rate.Therefore,the number of identity claims in a borrower’s narrative may serve as a heuristic for assessing the borrower’s loan application and lead to greater interest in the listing.Although we suggest that the number of identities bor-rowers claim result in favorable lending decisions,we also argue that these identity claims may persuade lenders erroneously,such that lenders fund loans with a lower likelihood of repayment.Borrowers can use elaborate multiple-identity narratives to craft“not-quite-true”stories and make promises they mightfind difficult to keep.More generally,a greater number of identity claims suggests that borrowers are being more strategic and positioning them-selves in a manner they believe is likely to resonate with lenders,as opposed to presenting a true self.Therefore,we posit that,consciously or not,borrowers who construct sev-eral identities may have more difficulty fulfilling their obli-gations and be more likely to fall behind on or stop loan repayments altogether.Thus,despite the high stakes of the decision,lenders swayed by multiple identities are more likely to fall prey to borrowers that underperform or fail (Goffman1959).H2:Controlling for objective,verifiable information,the more identities borrowers claim in their loan requests,the morelikely lenders are to(a)fund the loan and(b)reduce itsinterest rate,but then(c)the lower is the likelihood of itsrepayment.Role of the Content of Identity Claims onLender Decision Making and Loan PerformanceWe also examine the extent to which select identities affect lenders’decision making and the longer-term per-formance of loans.With a limited theoretical basis for determining the types of identities most likely to influ-ence lenders’decision making,this part of our study is exploratory.Research on trust offers a promising starting point(Mayer,Davis,and Schoorman1995),because it sug-gests that identities may reduce dispositional uncertainty and favorably influence lenders.Trust is a crucial element for the consummation of an economic exchange(Arrow 1974).Scholars theorize that trust involves three compo-nents:integrity(borrowers adhere to principles that lenders accept),ability(borrowers possess the skills necessary to meet obligations),and benevolence(borrowers have some attachment to lenders and are inclined to do good)(Mayer, Davis,and Schoorman1995).We theorize that trustworthy,religious,and moral iden-tities increase perceptions of integrity because they lead lenders to believe that borrowers ascribe to the lender-endorsed principle of fulfilling obligations,either directly (trustworthy)or indirectly by adhering to a philosophy (religious or moral).Specifically,a moral identity tells potential lenders that the person has“a self-conception organized around a set of moral traits”(Aquino et al.2009, p.1424),which should increase perceptions of integrity.A religious identity signals a set of role expectations to which a person is likely to adhere,and though religions vary in the content of these expectations(Weaver and Agle 2002),many of them include principles oriented against lying or stealing and toward honoring contractual agree-ments.A hardworking identity should increase perceptions of integrity,because hardworking people are determined and dependable,which often makes them problem solvers (Witt et al.2002),meaning that they will do their best to meet their obligations,a disposition likely to resonate with lenders.We also reason that the religious and moral identities invoke in lenders a sense of benevolence,which is a foun-dational principle of many religions and moral philoso-phies.Similarly,the economic hardship identity may invoke benevolence,because the borrower exhibits forthrightness about his or her past mistakes and thus suggests to lenders that the borrower is trying to create a meaningful relation-ship based on transparency.We theorize that an identity claim of success can increase perceptions of ability and the belief that the narrator is capable of fulfilling promises(Butler1991).Lenders are more likely to lend money to a borrower if they perceive that the person is capable of on-time repayment(Newall and Swan2000).A successful identity likely describes the past or present,but it also can serve as an indication of a probable future(i.e.,the borrower will continue to be successful),which helps“fill in the blanks”about the bor-rower in a positive way.In contrast,economic hardship likely constructs the borrower as someone who has had a setback,which ultimately undermines perceptions of ability and thus negatively affects lenders’decisions.We have offered some preliminary theory in support of these specific relationships between identity content and loan funding/interest rate reductions,but this examinationS142JOURNAL OF MARKETING RESEARCH,SPECIAL ISSUE2011remains exploratory,so we pose these relationships as exploratory research questions(ERQ):ERQ1:Which types of identity claims influence lending deci-sions,as indicated by(a)an increase in loan fundingand(b)a decrease in thefinal interest rate?We also explore the impact of the content of identity claims on loan performance.We envision two potential sce-narios.In thefirst,identities are diagnostic of the borrower or serve as self-fulfilling prophecies.Examining the ability aspect of trustworthiness,we anticipate a negative relation between an economic hardship identity and loan perfor-mance(borrowers validate their claim of setbacks)but a positive relation between a successful identity and loan per-formance(borrowers prove their claim of past success). Moreover,we expect the four integrity-related identities—trustworthy,hardworking,moral,and religious—to indicate better loan performance.After a self-presentation as having integrity,the borrower probably has a strong psychological desire for consistency between the narrative and his or her actions(Cialdini and Trost1998).That is,in their narra-tives,borrowers may make an active,voluntary,and public commitment that psychologically binds them to a partic-ular set of beliefs and subsequent behaviors(Berger and Heath2007).Because these four identities speak to funda-mental self-beliefs versus predicted outcomes(e.g.,success or hardship),they can strongly motivate borrowers to live up to their claims.Thus these identities,regardless of their accuracy,can become true and predict the performance of the lending decision.In the other scenario,however,identities improve the lender’s impression of the borrower,thereby allowing bor-rowers to exert control over the provided impressions (Goffman1959).Borrowers(or narrators,more generally) construct positive impressions and may misrepresent them-selves and send signals that may not be objectively war-ranted.Despite the belief that self-constructing identities are helpful for a lending decision,they actually may have no impact or even be harmful to lenders.These mixed pos-sibilities lead to another exploratory research question: ERQ2:How are the content of identity claims and loan perfor-mance related?STUDYDataOur data set consists of1,493loan listings posted by borrowers on Prosper in June2006and June2007.We extracted this data set using a stratified random sampling ing a web crawler,we extracted all loan listings posted in June2006and June2007(approximately5,400 and12,500listings,respectively).A significant percentage of borrowers on Prosper have very poor credit histories, and most loan requests do not receive funding.To avoid overweighting high-risk borrowers and unfunded loans,we sampled an equal number of loan requests from each credit grade.To do so,wefirst separated funded loan requests from unfunded ones,then divided each group by the seven credit grades assigned by Prosper.We also eliminated all loan requests without any narrative text,for three reasons. First,including loan requests without narratives could con-found the borrower’s choice to write something other than narratives in the open text box with the choice to write nothing at all.Second,the vast majority of listings lack-ing a narrative do not receive funding.Third,loan requests without text represent only9%of all loans posted in June 2006and4%of those posted in June2007.We nevertheless used the“no text”loans in our robustness check.We randomly sampled posts from the14subgroups (2funding status×7credit grades).In2006,we sampled 40listings from each subgroup(until data were exhausted) to obtain513listings;in2007,we sampled70listings from each subgroup to obtain980listings,for a total of 1,493listings.Each listing includes the borrower’s credit grade,requested loan amount,maximum interest rate,loan funding,final interest rate of funded loans,payback sta-tus of funded loans after two years,and open-ended text data.Before combining the data from2006and2007,we tested for a year effect but found none,which supports their combination.Dependent VariablesThefirst dependent variable,loan funding,ranges from 0%to905%in our data set,but requiring an equal inclu-sion of all credit ratings skews these statistics.The mean percentage funded(including all listings)is105.74%(SD= 129 2)and that for funded listings is205.45%(SD=119 6). Because it was skewed,we log-transformed loan fund-ing as follows:Ln(percent funded+1).The second depen-dent variable,percentage reduction in thefinal interest rate, ranges from0%to56%in our data set.The mean per-centage reduction in interest rate for all listings is6.4% (SD=10 7)and for funded listings is11.88%(SD=12 75). Because the distribution is skewed,we log-transformed it (we provide the distributionfigures in the Web Appendix, /jmrnov11).The third dependent variable is loan performance,mea-sured two years after loan funding.For each funded loan in our data set,we obtained data about whether the loan was paid ahead of schedule and in full(31.1%of funded list-ings),was current and paid as scheduled(40.5%),involved payments between one and four months late(7.1%),or had defaulted(21.3%).This dependent variable may appear ordered,but the likelihood ratio tests reveal that a multino-mial logit model fares better than an ordered logit model for analyzing these data(for both the number and content of identities).Thus,in the following analysis,we employ a multinomial logit model.Independent VariablesWe read approximately one-third of all narratives and developed our inductively derived list of six identity claims (Miles and Huberman1994):trustworthy,economic hard-ship,hardworking,successful,moral,and religious,as we define in Table1.Two research assistants examined the same data and determined these six identities were exhaustive.Next,five additional pairs of research assistants (10total)coded the entire data set.We coded each iden-tity as a dichotomous variable that receives the value of1 if the identity claim was present in a borrower’s narrative and0if otherwise.A pair of research assistants read each listing in the data set,independently atfirst,then discussed them to determine the unified code for each listing.Accord-ing to20randomly sampled listings from our data set,used。

Macroeconomics R. GLENN HUBBARD COLUMBIA UNIVERSITY ANTHONY PATRICK O’BRIEN LEHIGH UNIVERSITY MATTHEW RAFFERTY QUINNIPIAC UNIVERSITY Boston Columbus Indianapolis New York San Francisco Upper Saddle RiverAmsterdam Cape Town Dubai London Madrid Milan Munich Paris Montreal Toronto Delhi Mexico City So Paulo Sydney Hong Kong Seoul Singapore Taipei TokyoAbout the AuthorsGlenn Hubbard Professor Researcher and Policymaker R. Glenn Hubbard is the dean and Russell L. Carson Professor of Finance and Economics in the Graduate School of Business at Columbia University and professor of economics in Columbia’s Faculty of Arts and Sciences. He is also a research associate of the National Bureau of Economic Research and a director of Automatic Data Processing Black Rock Closed- End Funds KKR Financial Corporation and MetLife. Professor Hubbard received his Ph.D. in economics from Harvard University in 1983. From 2001 to 2003 he served as chairman of the White House Council of Economic Advisers and chairman of the OECD Economy Policy Commit- tee and from 1991 to 1993 he was deputy assistant secretary of the U.S. Treasury Department. He currently serves as co-chair of the nonpar-tisan Committee on Capital Markets Regulation and the Corporate Boards Study Group. ProfessorHubbard is the author of more than 100 articles in leading journals including American EconomicReview Brookings Papers on Economic Activity Journal of Finance Journal of Financial EconomicsJournal of Money Credit and Banking Journal of Political Economy Journal of Public EconomicsQuarterly Journal of Economics RAND Journal of Economics and Review of Economics and Statistics.Tony O’Brien Award-Winning Professor and Researcher Anthony Patrick O’Brien is a professor of economics at Lehigh University. He received a Ph.D. from the University of California Berkeley in 1987. He has taught principles of economics money and banking and interme- diate macroeconomics for more than 20 years in both large sections and small honors classes. He received the Lehigh University Award for Distin- guished Teaching. He was formerly the director of the Diamond Center for Economic Education and was named a Dana Foundation Faculty Fel- low and Lehigh Class of 1961 Professor of Economics. He has been a visit- ing professor at the University of California Santa Barbara and Carnegie Mellon University. Professor O’Brien’s research has dealt with such issues as the evolution of the U.S. automobile industry sources of U.S. economiccompetitiveness the development of U.S. trade policy the causes of the Great Depression and thecauses of black–white income differences. His research has been published in leading journals in-cluding American Economic Review Quarterly Journal of Economics Journal of Money Credit andBanking Industrial Relations Journal of Economic History Explorations in Economic History andJournal of PolicyHistory.Matthew Rafferty Professor and Researcher Matthew Christopher Rafferty is a professor of economics and department chairperson at Quinnipiac University. He has also been a visiting professor at Union College. He received a Ph.D. from the University of California Davis in 1997 and has taught intermediate macroeconomics for 15 years in both large and small sections. Professor Rafferty’s research has f ocused on university and firm-financed research and development activities. In particular he is interested in understanding how corporate governance and equity compensation influence firm research and development. His research has been published in leading journals including the Journal of Financial and Quantitative Analysis Journal of Corporate Finance Research Policy and the Southern Economic Journal. He has worked as a consultantfor theConnecticut Petroleum Council on issues before the Connecticut state legislature. He has alsowritten op-ed pieces that have appeared in several newspapers including the New York Times. iii Brief Contents Part 1: Introduction Chapter 1 The Long and Short of Macroeconomics 1 Chapter 2 Measuring the Macroeconomy 23 Chapter 3 The Financial System 59 Part 2: Macroeconomics in the Long Run: Economic Growth Chapter 4 Determining Aggregate Production 105 Chapter 5 Long-Run Economic Growth 143 Chapter 6 Money and Inflation 188 Chapter 7 The Labor Market 231 Part 3: Macroeconomics in the Short Run: Theory and Policy Chapter 8 Business Cycles 271 Chapter 9 IS–MP: A Short-Run Macroeconomic Model 302 Chapter 10 Monetary Policy in the Short Run 363 Chapter 11 Fiscal Policy in the Short Run 407 Chapter 12 Aggregate Demand Aggregate Supply and Monetary Policy 448 Part 4: Extensions Chapter 13 Fiscal Policy and the Government Budget in the Long Run 486 Chapter 14 Consumption and Investment 521 Chapter 15 The Balance of Payments Exchange Rates and Macroeconomic Policy 559 Glossary G-1 Index I-1ivContentsChapter 1 The Long and Short of Macroeconomics 1WHEN YOU ENTER THE JOB MARKET CAN MATTER A LOT ........................................................ 11.1 What Macroeconomics Is About........................................................................... 2 Macroeconomics in the Short Run and in the Long Run .................................................... 2 Long-Run Growth in the United States ............................................................................. 3 Some Countries Have Not Experienced Significant Long-Run Growth ............................... 4 Aging Populations Pose a Challenge to Governments Around the World .......................... 5 Unemployment in the United States ................................................................................. 6 How Unemployment Rates Differ Across Developed Countries ......................................... 7 Inflation Rates Fluctuate Over Time and Across Countries................................................. 7 Econo mic Policy Can Help Stabilize the Economy .. (8)International Factors Have Become Increasingly Important in Explaining Macroeconomic Events................................................................................. 91.2 How Economists Think About Macroeconomics ............................................. 11 What Is the Best Way to Analyze Macroeconomic Issues .............................................. 11 Macroeconomic Models.................................................................................................. 12Solved Problem 1.2: Do Rising Imports Lead to a Permanent Reductionin U.S. Employment. (12)Assumptions Endogenous Variables and Exogenous Variables in EconomicModels ........................................................................................................ 13 Forming and Testing Hypotheses in Economic Models .................................................... 14Making the Connection: What Do People Know About Macroeconomicsand How Do They KnowIt .............................................................................................. 151.3 Key Issues and Questions of Macroeconomics ............................................... 16An Inside Look: Will Consumer Spending Nudge Employers to Hire................................ 18Chapter Summary and Problems ............................................................................. 20 Key Terms and Concepts Review Questions Problems and Applications Data Exercise Theseend-of-chapter resource materials repeat in all chapters.Chapter 2 Measuring the Macroeconomy 23HOW DO WE KNOW WHEN WE ARE IN ARECESSION ........................................................... 23Key Issue andQuestion .................................................................................................... 232.1 GDP: Measuring Total Production and Total Income ..................................... 25 How theGovernment Calculates GDP (25)Production and Income (26)The Circular Flow of Income (27)An Example of Measuring GDP (29)National Income Identities and the Components of GDP (29)vvi CONTENTS Making the Connection: Will Public Employee Pensions Wreck State and Local Government Budgets.................................................................... 31 The Relationship Between GDP and GNP........................................................................ 33 2.2 Real GDP Nominal GDP and the GDP Deflator.............................................. 33 Solved Problem 2.2a: Calculating Real GDP . (34)Price Indexes and the GDP Deflator (35)Solved Problem 2.2b: Calculating the Inflation Rate ..........................................................36 The Chain-Weighted Measure of Real GDP ....................................................................37 Making the Connection: Trying to Hit a Moving Target: Forecasting with “Real-Time Data” .................................................................................. 37 Comparing GDP Across Countries................................................................................... 38 Making the Connection: The Incredible Shrinking Chinese Economy ................................ 39 GDP and National Income .............................................................................................. 40 2.3 Inflation Rates and Interest Rates ....................................................................... 41 The Consumer Price Index .............................................................................................. 42 Making the Connection: Does Indexing Preserve the Purchasing Power of Social Security Payments ................................................................ 43 How Accurate Is theCPI ............................................................................................... 44 The Way the Federal Reserve Measures Inflation ............................................................ 44 InterestRates .................................................................................................................. 45 2.4 Measuring Employment and Unemployment .. (47)Answering the Key Question ............................................................................................ 49 An Inside Look: Weak Construction Market Persists.......................................................... 50 Chapter 3 The Financial System 59 THE WONDERFUL WORLD OFCREDIT ................................................................................... 59 Key Issue and Question .................................................................................................... 59 3.1 Overview of the Financial System ...................................................................... 60 Financial Markets and Financial Intermediaries ................................................................ 61 Making the Connection: Is General Motors Making Cars or Making Loans .................... 62 Making the Connection: Investing in the Worldwide Stock Market . (64)Banking and Securitization (67)The Mortgage Market and the Subprime Lending Disaster (67)Asymmetric Information and Principal–Agent Problems in Financial Markets...................68 3.2 The Role of the Central Bank in the Financial System (69)Central Banks as Lenders of Last Resort ..........................................................................69 Bank Runs Contagion and Asset Deflation ....................................................................70 Making the Connection: Panics Then and Now: The Collapse of the Bank of United States in 1930 and the Collapse of Lehman Brothers in2008 (71)3.3 Determining Interest Rates: The Market for Loanable Funds and the Market forMoney .......................................................................................... 76 Saving and Supply in the Loanable Funds Market ........................................................... 76 Investment and the Demand for Loanable Funds ............................................................ 77 Explaining Movements in Saving Investment and the Real Interest Rate (78)CONTENTS .。

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美国是世界上公司法、证券法研究最为发达的国家之一，在美国法学期刊（Law Review & Journals）上每年发表400多篇以公司法和证券法为主题的论文。

自1994年开始，美国的公司法学者每年会投票从中遴选出10篇左右重要的论文，重印于Corporate Practice Commentator，至2008年，已经评选了15年，计177篇论文入选。

以下是每年入选的论文列表：2008年（以第一作者姓名音序为序）：1.Anabtawi, Iman and Lynn Stout. Fiduciary duties for activist shareholders. 60 Stan. L. Rev. 1255-1308 (2008).2.Brummer, Chris. Corporate law preemption in an age of global capital markets. 81 S. Cal. L. Rev. 1067-1114 (2008).3.Choi, Stephen and Marcel Kahan. The market penalty for mutual fund scandals. 87 B.U. L. Rev. 1021-1057 (2007).4.Choi, Stephen J. and Jill E. Fisch. On beyond CalPERS: Survey evidence on the developing role of public pension funds in corporate governance. 61 V and. L. Rev. 315-354 (2008).5.Cox, James D., Randall S. Thoma s and Lynn Bai. There are plaintiffs and…there are plaintiffs: An empirical analysis of securities class action settlements. 61 V and. L. Rev. 355-386 (2008).6.Henderson, M. Todd. Paying CEOs in bankruptcy: Executive compensation when agency costs are low. 101 Nw. U. L. Rev. 1543-1618 (2007).7.Hu, Henry T.C. and Bernard Black. Equity and debt decoupling and empty voting II: Importance and extensions. 156 U. Pa. L. Rev. 625-739 (2008).8.Kahan, Marcel and Edward Rock. The hanging chads of corporate voting. 96 Geo. L.J. 1227-1281 (2008).9.Strine, Leo E., Jr. Toward common sense and common ground? Reflections on the shared interests of managers and labor in a more rational system of corporate governance. 33 J. Corp. L. 1-20 (2007).10.Subramanian, Guhan. Go-shops vs. no-shops in private equity deals: Evidence and implications.63 Bus. Law. 729-760 (2008).2007年：1.Baker, Tom and Sean J. Griffith. The Missing Monitor in Corporate Governance: The Directors’ & Officers’ Liability Insurer. 95 Geo. L.J. 1795-1842 (2007).2.Bebchuk, Lucian A. The Myth of the Shareholder Franchise. 93 V a. L. Rev. 675-732 (2007).3.Choi, Stephen J. and Robert B. Thompson. Securities Litigation and Its Lawyers: Changes During the First Decade After the PSLRA. 106 Colum. L. Rev. 1489-1533 (2006).4.Coffee, John C., Jr. Reforming the Securities Class Action: An Essay on Deterrence and Its Implementation. 106 Colum. L. Rev. 1534-1586 (2006).5.Cox, James D. and Randall S. Thomas. Does the Plaintiff Matter? An Empirical Analysis of Lead Plaintiffs in Securities Class Actions. 106 Colum. L. Rev. 1587-1640 (2006).6.Eisenberg, Theodore and Geoffrey Miller. Ex Ante Choice of Law and Forum: An Empirical Analysis of Corporate Merger Agreements. 59 V and. L. Rev. 1975-2013 (2006).7.Gordon, Jeffrey N. The Rise of Independent Directors in the United States, 1950-2005: Of Shareholder V alue and Stock Market Prices. 59 Stan. L. Rev. 1465-1568 (2007).8.Kahan, Marcel and Edward B. Rock. Hedge Funds in Corporate Governance and Corporate Control. 155 U. Pa. L. Rev. 1021-1093 (2007).ngevoort, Donald C. The Social Construction of Sarbanes-Oxley. 105 Mich. L. Rev. 1817-1855 (2007).10.Roe, Mark J. Legal Origins, Politics, and Modern Stock Markets. 120 Harv. L. Rev. 460-527 (2006).11.Subramanian, Guhan. Post-Siliconix Freeze-outs: Theory and Evidence. 36 J. Legal Stud. 1-26 (2007). (NOTE: This is an earlier working draft. The published article is not freely available, and at SLW we generally respect the intellectual property rights of others.)2006年：1.Bainbridge, Stephen M. Director Primacy and Shareholder Disempowerment. 119 Harv. L. Rev. 1735-1758 (2006).2.Bebchuk, Lucian A. Letting Shareholders Set the Rules. 119 Harv. L. Rev. 1784-1813 (2006).3.Black, Bernard, Brian Cheffins and Michael Klausner. Outside Director Liability. 58 Stan. L. Rev. 1055-1159 (2006).4.Choi, Stephen J., Jill E. Fisch and A.C. Pritchard. Do Institutions Matter? The Impact of the Lead Plaintiff Provision of the Private Securities Litigation Reform Act. 835.Cox, James D. and Randall S. Thomas. Letting Billions Slip Through Y our Fingers: Empirical Evidence and Legal Implications of the Failure of Financial Institutions to Participate in Securities Class Action Settlements. 58 Stan. L. Rev. 411-454 (2005).6.Gilson, Ronald J. Controlling Shareholders and Corporate Governance: Complicating the Comparative Taxonomy. 119 Harv. L. Rev. 1641-1679 (2006).7.Goshen , Zohar and Gideon Parchomovsky. The Essential Role of Securities Regulation. 55 Duke L.J. 711-782 (2006).8.Hansmann, Henry, Reinier Kraakman and Richard Squire. Law and the Rise of the Firm. 119 Harv. L. Rev. 1333-1403 (2006).9.Hu, Henry T. C. and Bernard Black. Empty V oting and Hidden (Morphable) Ownership: Taxonomy, Implications, and Reforms. 61 Bus. Law. 1011-1070 (2006).10.Kahan, Marcel. The Demand for Corporate Law: Statutory Flexibility, Judicial Quality, or Takeover Protection? 22 J. L. Econ. & Org. 340-365 (2006).11.Kahan, Marcel and Edward Rock. Symbiotic Federalism and the Structure of Corporate Law.58 V and. L. Rev. 1573-1622 (2005).12.Smith, D. Gordon. The Exit Structure of V enture Capital. 53 UCLA L. Rev. 315-356 (2005).2005年：1.Bebchuk, Lucian Arye. The case for increasing shareholder power. 118 Harv. L. Rev. 833-914 (2005).2.Bratton, William W. The new dividend puzzle. 93 Geo. L.J. 845-895 (2005).3.Elhauge, Einer. Sacrificing corporate profits in the public interest. 80 N.Y.U. L. Rev. 733-869 (2005).4.Johnson, . Corporate officers and the business judgment rule. 60 Bus. Law. 439-469 (2005).haupt, Curtis J. In the shadow of Delaware? The rise of hostile takeovers in Japan. 105 Colum. L. Rev. 2171-2216 (2005).6.Ribstein, Larry E. Are partners fiduciaries? 2005 U. Ill. L. Rev. 209-251.7.Roe, Mark J. Delaware?s politics. 118 Harv. L. Rev. 2491-2543 (2005).8.Romano, Roberta. The Sarbanes-Oxley Act and the making of quack corporate governance. 114 Y ale L.J. 1521-1611 (2005).9.Subramanian, Guhan. Fixing freezeouts. 115 Y ale L.J. 2-70 (2005).10.Thompson, Robert B. and Randall S. Thomas. The public and private faces of derivative lawsuits. 57 V and. L. Rev. 1747-1793 (2004).11.Weiss, Elliott J. and J. White. File early, then free ride: How Delaware law (mis)shapes shareholder class actions. 57 V and. L. Rev. 1797-1881 (2004).2004年：1Arlen, Jennifer and Eric Talley. Unregulable defenses and the perils of shareholder choice. 152 U. Pa. L. Rev. 577-666 (2003).2.Bainbridge, Stephen M. The business judgment rule as abstention doctrine. 57 V and. L. Rev. 83-130 (2004).3.Bebchuk, Lucian Arye and Alma Cohen. Firms' decisions where to incorporate. 46 J.L. & Econ. 383-425 (2003).4.Blair, Margaret M. Locking in capital: what corporate law achieved for business organizers in the nineteenth century. 51 UCLA L. Rev. 387-455 (2003).5.Gilson, Ronald J. and Jeffrey N. Gordon. Controlling shareholders. 152 U. Pa. L. Rev. 785-843 (2003).6.Roe, Mark J. Delaware 's competition. 117 Harv. L. Rev. 588-646 (2003).7.Sale, Hillary A. Delaware 's good faith. 89 Cornell L. Rev. 456-495 (2004).8.Stout, Lynn A. The mechanisms of market inefficiency: an introduction to the new finance. 28 J. Corp. L. 635-669 (2003).9.Subramanian, Guhan. Bargaining in the shadow of takeover defenses. 113 Y ale L.J. 621-686 (2003).10.Subramanian, Guhan. The disappearing Delaware effect. 20 J.L. Econ. & Org. 32-59 (2004)11.Thompson, Robert B. and Randall S. Thomas. The new look of shareholder litigation: acquisition-oriented class actions. 57 V and. L. Rev. 133-209 (2004).2003年：1.A yres, Ian and Stephen Choi. Internalizing outsider trading. 101 Mich. L. Rev. 313-408 (2002).2.Bainbridge, Stephen M. Director primacy: The means and ends of corporate governance. 97 Nw. U. L. Rev. 547-606 (2003).3.Bebchuk, Lucian, Alma Cohen and Allen Ferrell. Does the evidence favor state competition in corporate law? 90 Cal. L. Rev. 1775-1821 (2002).4.Bebchuk, Lucian Arye, John C. Coates IV and Guhan Subramanian. The Powerful Antitakeover Force of Staggered Boards: Further findings and a reply to symposium participants. 55 Stan. L. Rev. 885-917 (2002).5.Choi, Stephen J. and Jill E. Fisch. How to fix Wall Street: A voucher financing proposal for securities intermediaries. 113 Y ale L.J. 269-346 (2003).6.Daines, Robert. The incorporation choices of IPO firms. 77 N.Y.U. L. Rev.1559-1611 (2002).7.Gilson, Ronald J. and David M. Schizer. Understanding venture capital structure: A taxexplanation for convertible preferred stock. 116 Harv. L. Rev. 874-916 (2003).8.Kahan, Marcel and Ehud Kamar. The myth of state competition in corporate law. 55 Stan. L. Rev. 679-749 (2002).ngevoort, Donald C. Taming the animal spirits of the stock markets: A behavioral approach to securities regulation. 97 Nw. U. L. Rev. 135-188 (2002).10.Pritchard, A.C. Justice Lewis F. Powell, Jr., and the counterrevolution in the federal securities laws. 52 Duke L.J. 841-949 (2003).11.Thompson, Robert B. and Hillary A. Sale. Securities fraud as corporate governance: Reflections upon federalism. 56 V and. L. Rev. 859-910 (2003).2002年：1.Allen, William T., Jack B. Jacobs and Leo E. Strine, Jr. Function over Form: A Reassessment of Standards of Review in Delaware Corporation Law. 26 Del. J. Corp. L. 859-895 (2001) and 56 Bus. Law. 1287 (2001).2.A yres, Ian and Joe Bankman. Substitutes for Insider Trading. 54 Stan. L. Rev. 235-254 (2001).3.Bebchuk, Lucian Arye, Jesse M. Fried and David I. Walker. Managerial Power and Rent Extraction in the Design of Executive Compensation. 69 U. Chi. L. Rev. 751-846 (2002).4.Bebchuk, Lucian Arye, John C. Coates IV and Guhan Subramanian. The Powerful Antitakeover Force of Staggered Boards: Theory, Evidence, and Policy. 54 Stan. L. Rev. 887-951 (2002).5.Black, Bernard and Reinier Kraakman. Delaware’s Takeover Law: The Uncertain Search for Hidden V alue. 96 Nw. U. L. Rev. 521-566 (2002).6.Bratton, William M. Enron and the Dark Side of Shareholder V alue. 76 Tul. L. Rev. 1275-1361 (2002).7.Coates, John C. IV. Explaining V ariation in Takeover Defenses: Blame the Lawyers. 89 Cal. L. Rev. 1301-1421 (2001).8.Kahan, Marcel and Edward B. Rock. How I Learned to Stop Worrying and Love the Pill: Adaptive Responses to Takeover Law. 69 U. Chi. L. Rev. 871-915 (2002).9.Kahan, Marcel. Rethinking Corporate Bonds: The Trade-off Between Individual and Collective Rights. 77 N.Y.U. L. Rev. 1040-1089 (2002).10.Roe, Mark J. Corporate Law’s Limits. 31 J. Legal Stud. 233-271 (2002).11.Thompson, Robert B. and D. Gordon Smith. Toward a New Theory of the Shareholder Role: "Sacred Space" in Corporate Takeovers. 80 Tex. L. Rev. 261-326 (2001).2001年：1.Black, Bernard S. The legal and institutional preconditions for strong securities markets. 48 UCLA L. Rev. 781-855 (2001).2.Coates, John C. IV. Takeover defenses in the shadow of the pill: a critique of the scientific evidence. 79 Tex. L. Rev. 271-382 (2000).3.Coates, John C. IV and Guhan Subramanian. A buy-side model of M&A lockups: theory and evidence. 53 Stan. L. Rev. 307-396 (2000).4.Coffee, John C., Jr. The rise of dispersed ownership: the roles of law and the state in the separation of ownership and control. 111 Y ale L.J. 1-82 (2001).5.Choi, Stephen J. The unfounded fear of Regulation S: empirical evidence on offshore securities offerings. 50 Duke L.J. 663-751 (2000).6.Daines, Robert and Michael Klausner. Do IPO charters maximize firm value? Antitakeover protection in IPOs. 17 J.L. Econ. & Org. 83-120 (2001).7.Hansmann, Henry and Reinier Kraakman. The essential role of organizational law. 110 Y ale L.J. 387-440 (2000).ngevoort, Donald C. The human nature of corporate boards: law, norms, and the unintended consequences of independence and accountability. 89 Geo. L.J. 797-832 (2001).9.Mahoney, Paul G. The political economy of the Securities Act of 1933. 30 J. Legal Stud. 1-31 (2001).10.Roe, Mark J. Political preconditions to separating ownership from corporate control. 53 Stan. L. Rev. 539-606 (2000).11.Romano, Roberta. Less is more: making institutional investor activism a valuable mechanism of corporate governance. 18 Y ale J. on Reg. 174-251 (2001).2000年：1.Bratton, William W. and Joseph A. McCahery. Comparative Corporate Governance and the Theory of the Firm: The Case Against Global Cross Reference. 38 Colum. J. Transnat’l L. 213-297 (1999).2.Coates, John C. IV. Empirical Evidence on Structural Takeover Defenses: Where Do We Stand?54 U. Miami L. Rev. 783-797 (2000).3.Coffee, John C., Jr. Privatization and Corporate Governance: The Lessons from Securities Market Failure. 25 J. Corp. L. 1-39 (1999).4.Fisch, Jill E. The Peculiar Role of the Delaware Courts in the Competition for Corporate Charters. 68 U. Cin. L. Rev. 1061-1100 (2000).5.Fox, Merritt B. Retained Mandatory Securities Disclosure: Why Issuer Choice Is Not Investor Empowerment. 85 V a. L. Rev. 1335-1419 (1999).6.Fried, Jesse M. Insider Signaling and Insider Trading with Repurchase Tender Offers. 67 U. Chi. L. Rev. 421-477 (2000).7.Gulati, G. Mitu, William A. Klein and Eric M. Zolt. Connected Contracts. 47 UCLA L. Rev. 887-948 (2000).8.Hu, Henry T.C. Faith and Magic: Investor Beliefs and Government Neutrality. 78 Tex. L. Rev. 777-884 (2000).9.Moll, Douglas K. Shareholder Oppression in Close Corporations: The Unanswered Question of Perspective. 53 V and. L. Rev. 749-827 (2000).10.Schizer, David M. Executives and Hedging: The Fragile Legal Foundation of Incentive Compatibility. 100 Colum. L. Rev. 440-504 (2000).11.Smith, Thomas A. The Efficient Norm for Corporate Law: A Neotraditional Interpretation of Fiduciary Duty. 98 Mich. L. Rev. 214-268 (1999).12.Thomas, Randall S. and Kenneth J. Martin. The Determinants of Shareholder V oting on Stock Option Plans. 35 Wake Forest L. Rev. 31-81 (2000).13.Thompson, Robert B. Preemption and Federalism in Corporate Governance: Protecting Shareholder Rights to V ote, Sell, and Sue. 62 Law & Contemp. Probs. 215-242 (1999).1999年（以第一作者姓名音序为序）：1.Bankman, Joseph and Ronald J. Gilson. Why Start-ups? 51 Stan. L. Rev. 289-308 (1999).2.Bhagat, Sanjai and Bernard Black. The Uncertain Relationship Between Board Composition and Firm Performance. 54 Bus. Law. 921-963 (1999).3.Blair, Margaret M. and Lynn A. Stout. A Team Production Theory of Corporate Law. 85 V a. L. Rev. 247-328 (1999).4.Coates, John C., IV. “Fair V alue” As an A voidable Rule of Corporate Law: Minority Discounts in Conflict Transactions. 147 U. Pa. L. Rev. 1251-1359 (1999).5.Coffee, John C., Jr. The Future as History: The Prospects for Global Convergence in Corporate Governance and Its Implications. 93 Nw. U. L. Rev. 641-707 (1999).6.Eisenberg, Melvin A. Corporate Law and Social Norms. 99 Colum. L. Rev. 1253-1292 (1999).7.Hamermesh, Lawrence A. Corporate Democracy and Stockholder-Adopted By-laws: Taking Back the Street? 73 Tul. L. Rev. 409-495 (1998).8.Krawiec, Kimberly D. Derivatives, Corporate Hedging, and Shareholder Wealth: Modigliani-Miller Forty Y ears Later. 1998 U. Ill. L. Rev. 1039-1104.ngevoort, Donald C. Rereading Cady, Roberts: The Ideology and Practice of Insider Trading Regulation. 99 Colum. L. Rev. 1319-1343 (1999).ngevoort, Donald C. Half-Truths: Protecting Mistaken Inferences By Investors and Others.52 Stan. L. Rev. 87-125 (1999).11.Talley, Eric. Turning Servile Opportunities to Gold: A Strategic Analysis of the Corporate Opportunities Doctrine. 108 Y ale L.J. 277-375 (1998).12.Williams, Cynthia A. The Securities and Exchange Commission and Corporate Social Transparency. 112 Harv. L. Rev. 1197-1311 (1999).1998年：1.Carney, William J., The Production of Corporate Law, 71 S. Cal. L. Rev. 715-780 (1998).2.Choi, Stephen, Market Lessons for Gatekeepers, 92 Nw. U. L. Rev. 916-966 (1998).3.Coffee, John C., Jr., Brave New World?: The Impact(s) of the Internet on Modern Securities Regulation. 52 Bus. Law. 1195-1233 (1997).ngevoort, Donald C., Organized Illusions: A Behavioral Theory of Why Corporations Mislead Stock Market Investors (and Cause Other Social Harms). 146 U. Pa. L. Rev. 101-172 (1997).ngevoort, Donald C., The Epistemology of Corporate-Securities Lawyering: Beliefs, Biases and Organizational Behavior. 63 Brook. L. Rev. 629-676 (1997).6.Mann, Ronald J. The Role of Secured Credit in Small-Business Lending. 86 Geo. L.J. 1-44 (1997).haupt, Curtis J., Property Rights in Firms. 84 V a. L. Rev. 1145-1194 (1998).8.Rock, Edward B., Saints and Sinners: How Does Delaware Corporate Law Work? 44 UCLA L. Rev. 1009-1107 (1997).9.Romano, Roberta, Empowering Investors: A Market Approach to Securities Regulation. 107 Y ale L.J. 2359-2430 (1998).10.Schwab, Stewart J. and Randall S. Thomas, Realigning Corporate Governance: Shareholder Activism by Labor Unions. 96 Mich. L. Rev. 1018-1094 (1998).11.Skeel, David A., Jr., An Evolutionary Theory of Corporate Law and Corporate Bankruptcy. 51 V and. L. Rev. 1325-1398 (1998).12.Thomas, Randall S. and Martin, Kenneth J., Should Labor Be Allowed to Make Shareholder Proposals? 73 Wash. L. Rev. 41-80 (1998).1997年：1.Alexander, Janet Cooper, Rethinking Damages in Securities Class Actions, 48 Stan. L. Rev. 1487-1537 (1996).2.Arlen, Jennifer and Kraakman, Reinier, Controlling Corporate Misconduct: An Analysis of Corporate Liability Regimes, 72 N.Y.U. L. Rev. 687-779 (1997).3.Brudney, Victor, Contract and Fiduciary Duty in Corporate Law, 38 B.C. L. Rev. 595-665 (1997).4.Carney, William J., The Political Economy of Competition for Corporate Charters, 26 J. Legal Stud. 303-329 (1997).5.Choi, Stephen J., Company Registration: Toward a Status-Based Antifraud Regime, 64 U. Chi. L. Rev. 567-651 (1997).6.Fox, Merritt B., Securities Disclosure in a Globalizing Market: Who Should Regulate Whom. 95 Mich. L. Rev. 2498-2632 (1997).7.Kahan, Marcel and Klausner, Michael, Lockups and the Market for Corporate Control, 48 Stan. L. Rev. 1539-1571 (1996).8.Mahoney, Paul G., The Exchange as Regulator, 83 V a. L. Rev. 1453-1500 (1997).haupt, Curtis J., The Market for Innovation in the United States and Japan: V enture Capital and the Comparative Corporate Governance Debate, 91 Nw. U.L. Rev. 865-898 (1997).10.Skeel, David A., Jr., The Unanimity Norm in Delaware Corporate Law, 83 V a. L. Rev. 127-175 (1997).1996年：1.Black, Bernard and Reinier Kraakman A Self-Enforcing Model of Corporate Law, 109 Harv. L. Rev. 1911 (1996)2.Gilson, Ronald J. Corporate Governance and Economic Efficiency: When Do Institutions Matter?, 74 Wash. U. L.Q. 327 (1996)3. Hu, Henry T.C. Hedging Expectations: "Derivative Reality" and the Law and Finance of the Corporate Objective, 21 J. Corp. L. 3 (1995)4.Kahan, Marcel & Michael Klausner Path Dependence in Corporate Contracting: Increasing Returns, Herd Behavior and Cognitive Biases, 74 Wash. U. L.Q. 347 (1996)5.Kitch, Edmund W. The Theory and Practice of Securities Disclosure, 61 Brooklyn L. Rev. 763 (1995)ngevoort, Donald C. Selling Hope, Selling Risk: Some Lessons for Law From Behavioral Economics About Stockbrokers and Sophisticated Customers, 84 Cal. L. Rev. 627 (1996)7.Lin, Laura The Effectiveness of Outside Directors as a Corporate Governance Mechanism: Theories and Evidence, 90 Nw. U.L. Rev. 898 (1996)lstein, Ira M. The Professional Board, 50 Bus. Law 1427 (1995)9.Thompson, Robert B. Exit, Liquidity, and Majority Rule: Appraisal's Role in Corporate Law, 84 Geo. L.J. 1 (1995)10.Triantis, George G. and Daniels, Ronald J. The Role of Debt in Interactive Corporate Governance. 83 Cal. L. Rev. 1073 (1995)1995年：公司法：1.Arlen, Jennifer and Deborah M. Weiss A Political Theory of Corporate Taxation,. 105 Y ale L.J. 325-391 (1995).2.Elson, Charles M. The Duty of Care, Compensation, and Stock Ownership, 63 U. Cin. L. Rev. 649 (1995).3.Hu, Henry T.C. Heeding Expectations: "Derivative Reality" and the Law and Finance of the Corporate Objective, 73 Tex. L. Rev. 985-1040 (1995).4.Kahan, Marcel The Qualified Case Against Mandatory Terms in Bonds, 89 Nw. U.L. Rev. 565-622 (1995).5.Klausner, Michael Corporations, Corporate Law, and Networks of Contracts, 81 V a. L. Rev. 757-852 (1995).6.Mitchell, Lawrence E. Cooperation and Constraint in the Modern Corporation: An Inquiry Into the Causes of Corporate Immorality, 73 Tex. L. Rev. 477-537 (1995).7.Siegel, Mary Back to the Future: Appraisal Rights in the Twenty-First Century, 32 Harv. J. on Legis. 79-143 (1995).证券法：1.Grundfest, Joseph A. Why Disimply? 108 Harv. L. Rev. 727-747 (1995).2.Lev, Baruch and Meiring de V illiers Stock Price Crashes and 10b-5 Damages: A Legal Economic, and Policy Analysis, 47 Stan. L. Rev. 7-37 (1994).3.Mahoney, Paul G. Mandatory Disclosure as a Solution to Agency Problems, 62 U. Chi. L. Rev. 1047-1112 (1995).4.Seligman, Joel The Merits Do Matter, 108 Harv. L. Rev. 438 (1994).5.Seligman, Joel The Obsolescence of Wall Street: A Contextual Approach to the Evolving Structure of Federal Securities Regulation, 93 Mich. L. Rev. 649-702 (1995).6.Stout, Lynn A. Are Stock Markets Costly Casinos? Disagreement, Mark Failure, and Securities Regulation, 81 V a. L. Rev. 611 (1995).7.Weiss, Elliott J. and John S. Beckerman Let the Money Do the Monitoring: How Institutional Investors Can Reduce Agency Costs in Securities Class Actions, 104 Y ale L.J. 2053-2127 (1995).1994年：公司法：1.Fraidin, Stephen and Hanson, Jon D. Toward Unlocking Lockups, 103 Y ale L.J. 1739-1834 (1994)2.Gordon, Jeffrey N. Institutions as Relational Investors: A New Look at Cumulative V oting, 94 Colum. L. Rev. 124-192 (1994)3.Karpoff, Jonathan M., and Lott, John R., Jr. The Reputational Penalty Firms Bear From Committing Criminal Fraud, 36 J.L. & Econ. 757-802 (1993)4.Kraakman, Reiner, Park, Hyun, and Shavell, Steven When Are Shareholder Suits in Shareholder Interests?, 82 Geo. L.J. 1733-1775 (1994)5.Mitchell, Lawrence E. Fairness and Trust in Corporate Law, 43 Duke L.J. 425- 491 (1993)6.Oesterle, Dale A. and Palmiter, Alan R. Judicial Schizophrenia in Shareholder V oting Cases, 79 Iowa L. Rev. 485-583 (1994)7. Pound, John The Rise of the Political Model of Corporate Governance and Corporate Control, 68 N.Y.U. L. Rev. 1003-1071 (1993)8.Skeel, David A., Jr. Rethinking the Line Between Corporate Law and Corporate Bankruptcy, 72 Tex. L. Rev. 471-557 (1994)9.Thompson, Robert B. Unpacking Limited Liability: Direct and V icarious Liability of Corporate Participants for Torts of the Enterprise, 47 V and. L. 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Complexity and the EconomyW. Brian ArthurCitibank Professor, Santa Fe InstitutePaper appeared in Science,2 April 1999, 284, 107-109Common to all studies on complexity are systems with multiple elements adapting or reacting to the pat-tern these elements create. The elements might be cells in a cellular automaton, or ions in a spin glass, or cells in an immune system, and they may react to neighbor-ing cells’ states, or local magnetic moments, or concen-trations of B and T cells—“elements” and the “patterns”they respond to vary from one context to another. But the elements adapt to the world—the aggregate pat-tern—they co-create. Time enters naturally here via ad-justment and change: as the elements react, the aggre-gate changes, as the aggregate changes, elements react anew. Barring some asymptotic state or equilibrium reached, complex systems are systems in process, sys-tems that constantly evolve and unfold over time.Such systems arise naturally in the economy. Eco-nomic agents, be they banks, consumers, firms, or in-vestors, continually adjust their market moves, buying decisions, prices, and forecasts to the situation these moves or decisions or prices or forecasts together create. But unlike ions in a spin glass which always react in a simple way to their local magnetic field, economic “elements”—human agents—react with strategy and foresight by considering outcomes that might result as a consequence of behavior they might undertake. This adds a layer of complication to economics not experi-enced in the natural sciences.Conventional economic theory chooses not to study the unfolding of the patterns its agents create, but rather to simplify its questions in order to seek analytical so-lutions. Thus it asks what behavioral elements (actions, strategies, expectations) are consistent with the aggre-gate patterns these behavioral elements co-create? For example, general equilibrium theory asks: what prices and quantities of goods produced and consumed are con-sistent with—would pose no incentives for change to—the overall pattern of prices and quantities in theeconomy’s markets. Game theory asks: what strategies, moves, or allocations are consistent with—would in-duce no further reactions to—the potential outcomes these strategies, moves, allocations might imply. Ra-tional expectations economics asks: what forecasts (or expectations) are consistent with—are on average vali-dated by—the outcomes these forecasts and expectations together create. Conventional economics thus studies consistent patterns—patterns in behavioral equilibrium, patterns that would induce no further reaction. Econo-mists at the Santa Fe Institute, Stanford, MIT, Chi-cago, and other institutions, are now broadening this equilibrium approach by turning to the question of how actions, strategies, or expectations might react in gen-eral to—might endogenously change with—the aggre-gate patterns these create [1]. The result, complexity economics, is not an adjunct to standard economic the-ory, but theory at a more general, out-of-equilibrium level.The type of systems I have described become espe-cially interesting if they contain nonlinearities in the form of positive feedbacks. In economics positive feed-backs arise from increasing returns [2] [3]. To ensure a unique, predictable equilibrium is reached, standard eco-nomics usually assumes diminishing returns. If one firm gets too far ahead in the market, it runs into higher costs or some other negative feedback and the market is shared at a predictable, unique equilibrium. When we allow positive feedbacks, or increasing returns, a differ-ent outcome arises. Consider the market for online serv-ices of a few years back, in which three major compa-nies competed: Prodigy, Compuserve, and America On-line. As each gained in membership base it could offer a wider menu of services as well as more members to share specialized hobby and chatroom interests with—there were increasing returns to expanding the membership base. Prodigy was first in the market, but1by chance and strategy American Online got far enough ahead to gain an unassailable advantage. Today it domi-nates. Under different circumstances, another rival might have taken the market. Notice the properties here: a multiplicity of potential “solutions”; the outcome actu-ally reached is not predictable in advance; it tends to be locked in; it is not necessarily the most efficient eco-nomically; it is subject to the historical path taken; while the companies may start equal, the outcome is asymmetrical. These properties have counterparts in non-linear physics where similar positive feedbacks are present. What economists call multiple equilibria, non-predictability, lock-in, inefficiency, historical path de-pendence, and asymmetry; physicists call multiple meta-stable states, unpredictability, phase- or mode-locking, high-energy ground states, non-ergodicity, and symmetry breaking [3].Increasing returns problems have been discussed in economics for a long time. A hundred years ago, Alfred Marshall [5] noted that if firms gain advantage as their market share increases, “whatever firm first gets a good start will obtain a monopoly.” But the conventional, static equilibrium approach gets stymied by indetermi-nacy: If there is a multiplicity of equilibria, how might one be reached? The process-oriented, complexity ap-proach suggests a way to deal with this. In the actual economy, “small random events” happen—in the on-line-services case “random” interface improvements, new offerings, word-of-mouth recommendations. Over time increasing returns magnifies the cumulation of such events to “select” the outcome randomly. Thus increasing returns problems in economics are best seen as dynamic processes with random events and natural positive feedbacks—as nonlinear stochastic processes. This shift from a static outlook into a process orienta-tion is common to complexity studies. Increasing re-turns problems are being studied intensively in market allocation theory [3], international trade theory [6], the evolution of technology choice [7], economic geogra-phy [8], and the evolution of patterns of poverty and segregation [9]. The common finding that economic structures can crystallize around small events and lock in is beginning to change policy in all these areas to-ward an awareness that governments should avoid both extremes of coercing a desired outcome or keeping strict hands off, and instead seek to push the system gently toward favored structures that can grow and emerge natu-rally. Not a heavy hand, not an invisible hand, but a nudging hand.Once we adopt the complexity outlook, with its em-phasis on the formation of structures rather than their given existence, problems involving prediction in the economy look different. The conventional approach asks what forecasting model (or expectations) in a particular problem, if given and shared by all agents, would be consistent with—would be on average validated by—the actual time series this forecasting model would in part generate. This “rational expectations” approach is valid.But it assumes that agents can somehow deduce in ad-vance what model will work, and that everyone “knows”that everyone knows to use this model (the common knowledge assumption.) What happens when forecast-ing models are not obvious and must be formed indi-vidually by agents who are not privy to the expectations of others?Consider as an example my El Farol Bar Problem[10]. One hundred people must decide independentlyeach week whether to show up at their favorite bar (El Farol in Santa Fe). The rule is that if a person predicts that more that 60 (say) will attend, he will avoid the crowds and stay home; if he predicts fewer than 60 he will go. Of interest are how the bar-goers each week might predict the numbers showing up, and the result-ing dynamics of the numbers attending. Notice two features of this problem. Our agents will quickly realize that predictions of how many will attend depend on oth-ers’ predictions of how many attend (because that deter-mines their attendance). But others’ predictions in turn depend on their predictions of others’ predictions. De-ductively there is an infinite regress. No “correct” expec-tational model can be assumed to be common knowl-edge, and from the agents’ viewpoint, the problem is ill-defined. (This is true for most expectational prob-lems, not just for this example.) Second, and diaboli-cally, any commonalty of expectations gets broken up: If all use an expectational model that predicts few will go, all will go, invalidating that model. Similarly, if all believe most will go, nobody will go, invalidating that belief. Expectations will be forced to differ.In 1993 I modeled this situation by assuming that as the agents visit the bar, they act inductively—they act as statisticians, each starting with a variety of subjec-tively chosen expectational models or forecasting hy-potheses. Each week they act on their currently most23accurate model (call this their active predictor). Thus agents’ beliefs or hypotheses compete for use in an ecology these beliefs create. Computer simulation (Fig.1) showed that the mean attendance quickly converges to 60. In fact, the predictors self-organize into an equilib-rium “ecology” in which of the active predictors 40%on average are forecasting above 60, 60% below 60.This emergent ecology is organic in nature. For, while the population of active predictors splits into this 60/40average ratio, it keeps changing in membership forever.Why do the predictors self-organize so that 60 emerges as average attendance and forecasts split into a 60/40ratio? Well, suppose 70% of predictors forecasted above 60 for a longish time, then on average only 30 people would show up. But this would validate predictors that forecasted close to 30, restoring the “ecological” balance among predictions. The 40%–60% “natural” combina-tion becomes an emergent structure. The Bar Problem is a miniature expectational economy, with complex dy-namics. [11].0102030405060708090100020406080100TimeFigure 1. Bar Attendance in the first 100 Weeks.One important application of these ideas is in finan-cial markets. Standard theories of financial markets assume rational expectations—that agents’ adopt uni-form forecasting models that are on average validated by the prices these forecast [12]. The theory works well to first order. But it doesn’t account for actual market “anomalies” such as unexpected price bubbles and crashes, random periods of high and low volatility (price variation), and the heavy use of technical trading (trades based on the recent history of price patterns).Holland, LeBaron, Palmer, and I [13] have created a model which relaxes rational expectations by assum-ing, as in the Bar Problem, that investors cannot as-sume or deduce expectations but must discover them.Our agents continually create and use multiple "market hypotheses"—individual, subjective, expectational models—of future prices and dividends within an artifi-cial stock market on the computer. These “investors”are individual, artificially-intelligent computer pro-grams that can generate and discard expectational “hy-potheses,” and make bids or offers based on their cur-rently most accurate hypothesis. The stock price forms from their bids and offers, and thus ultimately from agents’ expectations. So this market-in-the-machine is its own self-contained, artificial financial world. Like the bar, it is a “mini-ecology” in which expectationscompete in a world these expectations create.Within this computerized market, we found two phases or regimes. If parameters are set so that our artificial agents update their hypotheses slowly, the diversity of expectations collapses quickly into homo-geneous rational expectations ones. The reason is that if a majority of investors believes something close to the rational expectations forecast, then resulting prices will validate it, and deviant or mutant predictions that arise in the population of expectational models will be rendered inaccurate. Standard finance theory, under these special circumstances, is upheld. But if the rate of up-dating of hypotheses is turned up, the market under-goes a phase transition into a “complex regime” and displays several of the “anomalies” observed in real markets. It develops a rich “psychology” of divergent beliefs that don’t converge over time. Expectational rules such as “If the market is trending up, predict a 1% price rise” that appear randomly in the population of hypotheses can become mutually reinforcing—if enough investors act on these, the price will indeed go up. Thus sub-populations of mutually reinforcing ex-pectations arise, agents bet on these (therefore technical trading emerges) and this causes occasional bubbles and crashes. Our artificial market also shows periods of high volatility in prices followed randomly by periods of low volatility. This is because if some investors “discover” new, profitable hypotheses, they change the market slightly, causing other investors to also change their expectations. Changes in beliefs therefore ripple through the market in avalanches of all sizes, causing periods of high and low volatility. We conjecture that actual financial markets, which show exactly these phenomena, lie in this “complex” regime. ConclusionAfter two centuries of studying equilibria—static patterns that call for no further behavioral adjust-ments—economists are beginning to study the general emergence of structures and unfolding of patterns in the economy. Complexity economics is not a temporary adjunct to static economic theory, but theory at a more general, out-of-equilibrium level. The approach is mak-ing itself felt in every area of economics: game theory [14], the theory of money and finance [15], learning inthe economy [16], economic history [17], the evolu-tion of trading networks [18], the stability of the econ-omy [19], and political economy [20]. It is helping us understand phenomena such as market instability, the emergence of monopolies, and the persistence of pov-erty in ways that will help us deal with these. And it is bringing an awareness that policies succeed better by influencing the natural processes of formation of eco-nomic structures, than by forcing static outcomes.When viewed in out-of-equilibrium formation, eco-nomic patterns sometimes simplify into the simple, homogeneous equilibria of standard economics. More often they are ever-changing, showing perpetually novel behavior and emergent phenomena. Complexity therefore portrays the economy not as deterministic, predictable and mechanistic; but as process-dependent, organic and always evolving.References and Notes1. See the general collections in P. Anderson, K. J.Arrow, D. Pines, Eds. The Economy as an Evolving Complex System (Addison-Wesley, Reading, Mass., 1988) and W. B. Arthur, S. N. Durlauf, D. A. Lane, Eds. The Economy as an Evolving Complex System II (Addison-Wesley, Reading, Mass., 1997).2. W. B. Arthur, Scientific American, 92, (1990).3. W. B. Arthur, Increasing Returns and Path Depend-ence in the Economy (University of Michigan Press, Ann Arbor, 1994).4. Note that I have avoided exact definitions of “com-plexity” and “complex systems.” Technically, the sys-tems I have described are referred to as adaptive nonlin-ear networks (J. H. Holland’s term), and typically if they exhibit certain properties that have to do with the multiplicity of potential patterns or with the coherence or propagation of sub-structures they are said to be “complex.”Definitions vary widely.5. A. Marshall, Principles of Economics, 459, (8thEdition, Macmillan, London, 1920).6. E. Helpman and P. R. Krugman, Market Structureand Foreign Trade, (MIT Press, Cambridge, Mass., 1985).47. W. B. Arthur, Econ. Journal, 99, 116, (1989).8. W. B. Arthur in Math. Social Sciences, 19, 235, (1990); P. R. Krugman in J. Pol. Econ. 99, 483, (1991) and in The Economy as an Evolving Complex System II, (Op. Cit.); P. R. Krugman, Geography and Trade (MIT Press, Cambridge, Mass, 1991).9. S. N. Durlauf, in The Economy as an Evolving Complex System II, (Op. Cit.) and in J. Econ. Growth 1, 75, (1996).10. W. B. Arthur, Amer. Econ. Review, 84, 406, (1994).11. J. Casti, Complexity, 1, no. 5, 7, (1995/96); M.A. R. de Cara, O. Pla, F. Guinea, to appear, EPJ, (1999); D. Challet and Y.-C. Zhang, Physica A, 246, 407, (1997) and 256, 514, (1998).12. R. E. Lucas, Econometrica 46, 1429 (1978).13. W. B. Arthur, J. H. Holland, B. LeBaron, R. Palmer, and Paul Tayler, in The Economy as an Evolving Complex System II, 15, (Op. Cit.); W. B. Arthur, Complexity, 1 (1), 20, (1995).14. See K. Lindgren’s classic paper in Artificial Life II, C. G. Langton, C. Taylor, J. D. Farmer, S. Ras-mussen, Eds. (Addison-Wesley, Reading, Mass., 1991). H. P. Young in Econometrica 61, 57, 1993; L.E. Blume, in The Economy as an Evolving Complex System II, 425, (Op. Cit.); B. A. Huberman, N. S. Glance, Proc. Nat. Acad. Sci. 90, 7716, (1993).15. R. Marimon, E. McGrattan, T. J. Sargent, J.Econ. Dynamics and Control, 14, 329, (1990); M.Shubik, in The Economy as an Evolving Complex System II, 263, (Op. Cit.); W. A. Brock, P. de Lima, in Handbook of Statistics 12: Finance, G. S. Maddala,H. Rao, H. Vinod, Eds. (North Holland, Amsterdam,1995)16. T. J. Sargent, Bounded Rationality in Macroeco-nomics, (Clarendon Press, Oxford, 1993); D. A. Lane and R. Maxfield, in The Economy as an Evolving Complex System II, 169, (Op. Cit.); V. M. Darley and S. A. Kauffman, in The Economy as an Evolving Complex System II, 45, (Op. Cit.).17. D. C. North, in The Economy as an EvolvingComplex System II, 223, (Op. Cit.).18. Y. M. Ioannides in The Economy as an EvolvingComplex System II, 129, (Op. Cit.); A. P. Kirman in The Economy as an Evolving Complex System II, 491, (Op. Cit.); L. Tesfatsion in The Economy as an Evolving Complex System II, 533, (Op. Cit.).19. P. Bak, K. Chen, J. Scheinkman, M. Woodford inRicerche Economiche 47, 3, (1993); A. Leijonhufvud, in The Economy as an Evolving Complex System II, 321, (Op. Cit.).20. R. Axelrod, Am. Pol. Sci. Rev. 80, 1095, (1986);K. Kollman, J. H. Miller, S. E. Page, in The Econ-omy as an Evolving Complex System II, 461.5。

第38卷第1期2024年1月山东理工大学学报(自然科学版)Journal of Shandong University of Technology(Natural Science Edition)Vol.38No.1Jan.2024收稿日期:20221209基金项目:陕西省自然科学基金项目(2018JQ1043)第一作者:栗雪娟,女,lxj_zk@;通信作者:王丹,女,1611182118@文章编号:1672-6197(2024)01-0073-06Cahn-Hilliard 方程的一个超紧致有限差分格式栗雪娟,王丹(西安建筑科技大学理学院,陕西西安710055)摘要:研究四阶Cahn-Hilliard 方程的数值求解方法㊂给出组合型超紧致差分格式,将其用于四阶Cahn-Hilliard 方程的空间导数离散,采用四阶Runge-Kutta 格式离散时间导数,将二者结合得到四阶Cahn-Hilliard 方程的离散格式,并给出了该格式的误差估计㊂通过编程计算得到其数值解,并与精确解进行对比,结果表明本文的数值方法误差小,验证了所提方法的有效性和可行性㊂关键词:四阶Cahn-Hilliard 方程;组合型超紧致差分方法;四阶Runge-Kutta 方法;误差估计中图分类号:TB532.1;TB553文献标志码:AA supercompact finite difference scheme for Cahn-Hilliard equationsLI Xuejuan,WANG Dan(School of Science,Xiᶄan University of Architecture and Technology,Xiᶄan 710055,China)Abstract :A numerical method for solving the fourth order Cahn-Hilliard equation is studied.The combi-national ultra-compact difference scheme is given and applied to the spatial derivative discretization of the fourth order Cahn-Hilliard equation.The fourth-order Runge-Kutta scheme is used to discrete time deriv-atives.The discrete scheme of the fourth order Cahn-Hilliard equation is obtained by combining the two methods,and the error estimate of the scheme is given.Finally,the numerical solution is obtained by programming and compared with the exact solution.The results show that the numerical method in this paper has a small error,verifying the effectiveness and feasibility of the proposed method.Keywords :fourth order Cahn-Hilliard equation;combinational supercompact difference scheme;fourthorder Runge-Kutta;error estimation㊀㊀本文考虑的四阶Cahn-Hilliard 方程为u t -f u ()xx +ku xxxx =0,x ɪ0,2π[],t >0,u x ,0()=u 0x (),x ɪ0,2π[],u 0,t ()=0,u 2π,t ()=0,t >0,ìîíïïïï(1)式中:求解区域为0,2π[],且kn ȡ0;f u ()为光滑函数;u 0x ()表示t =0时刻的初值;u t 表示u 关于时间t 求偏导数,u t =∂u∂t;f u ()xx表示f u ()关于x求二阶偏导数,f u ()xx=∂2f u ()∂x 2;u xxxx 表示u 关于x 求四阶偏导数,u xxxx=∂4u∂x4;u 是混合物中某种物质的浓度,被称为相变量㊂1958年,Cahn 和Hilliard 提出Cahn-Hilliard 方程,该方程最早被用来描述在温度降低时两种均匀的混合物所发生的相分离现象㊂随着学者对该方程的研究越来越深入,该方程的应用也越来越广泛,特别是在材料科学和物理学等领域中有广泛的应用[1-3]㊂㊀Cahn-Hilliard 方程的数值解法目前已有很多研究,文献[4]使用了全离散有限元方法,文献[5]使用了一类二阶稳定的Crank-Nicolson /Adams-Bashforth 离散化的一致性有限元逼近方法,文献[6-7]使用了有限元方法,文献[8]使用了不连续伽辽金有限元方法,文献[9]使用了Cahn-Hilliard 方程的完全离散谱格式,文献[10]使用了高阶超紧致有限差分方法,文献[11]使用了高阶优化组合型紧致有限差分方法㊂综上所述,本文拟对Cahn-Hilliard 方程构造一种新的超紧致差分格式,将空间组合型超紧致差分方法和修正的时间四阶Runge-Kutta 方法相结合,求解Cahn-Hilliard 方程的数值解,得到相对于现有广义格式精度更高的数值求解格式,并对组合型超紧致差分格式进行误差估计,最后通过数值算例验证该方法的可行性㊂1㊀高阶精度数值求解方法1.1㊀空间组合型超紧致差分格式早期的紧致差分格式是在Hermite 多项式的基础上构造而来的,Hermite 多项式中连续三个节点的一阶导数㊁二阶导数和函数值的数值关系可以表示为ð1k =-1a k f i +k +b k fᶄi +k +c k fᵡi +k ()=0㊂(2)1998年,Krishnan 提出如下紧致差分格式:a 1fᶄi -1+a 0fᶄi +a 2fᶄi +1+hb 1fᵡi -1+b 0fᵡi +b 2fᵡi +1()=1h c 1f i -2+c 2f i -1+c 0f i +c 3f i +1+c 4f i +2(),(3)式中:h 为空间网格间距;a 1,a 0,a 2,b 1,b 0,b 2,c 1,c 2,c 0,c 3,c 4均表示差分格式系数;f i 表示i 节点的函数值;fᶄi 和fᵡi 分别表示i 节点的一阶导数值和二阶导数值;f i -1,f i -2,f i +1,f i +2分别表示i 节点依次向前两个节点和依次向后两个节点的函数值;fᶄi -1,fᶄi +1分别表示i 节点依次向前一个节点和依次向后一个节点的一阶导数值;fᵡi -1,fᵡi +1分别表示i 节点依次向前一个节点和依次向后一个节点的二阶导数值㊂式(2)对应f (x )展开以x i 为邻域的泰勒级数为f x ()=f x i ()+hfᶄx i ()+h 2fᵡx i ()2!+㊀㊀㊀㊀㊀h3f‴x i ()3!+h 4f 4()x i ()4!+h 5f 5()x i ()5!+h 6f 6()x i ()6!+h 7f 7()x i ()7!㊂㊀㊀(4)㊀㊀差分格式的各项系数由式(3)决定,可得到如下的三点六阶超紧致差分格式:716fᶄi +1+fᶄi -1()+fᶄi -h 16fᵡi +1-fᵡi -1()=㊀㊀1516h f i +1-f i -1(),98h fᶄi +1-fᶄi -1()+fᵡi -18fᵡi +1+fᵡi -1()=㊀㊀3h 2f i +1-2f i +f i -1()ìîíïïïïïïïïïï(5)为优化三点六阶紧致差分格式,并保持较好的数值频散,将迎风机制[12]引入式(5),构造出如下三点五阶迎风型超紧致差分格式:78fᶄi -1+fᶄi +h 19fᵡi -1-718fᵡi -172fᵡi +1()=㊀㊀1h -10148f i -1+73f i -1148f i +1(),25fᵡi -1+fᵡi +1h 1910fᶄi -1+165fᶄi +910fᶄi +1()=㊀㊀1h 2-135f i -1-45f i +175f i +1()㊂ìîíïïïïïïïïïï(6)左右边界可达到三阶精度紧致格式:fᶄ1-132fᶄ2+fᶄ3()+3h4fᵡ2+fᵡ3()=㊀㊀-12h f 3-f 2(),fᵡ1+3728h fᶄ3-fᶄ2()+3914h fᶄ1-3356fᵡ3-fᵡ2()=㊀㊀f 3-2f 1+f 2(),ìîíïïïïïïïï(7)fᶄN -132fᶄN -2+fᶄN -1()-3h 4fᵡN -2+fᵡN -1()=㊀㊀12h f N -2-f N -1(),fᵡN -3728h (fᶄN -2-fᶄN -1)-3914h fᶄN -3356(fᵡN -2-㊀㊀fᵡN -1)=1314h 2f N -2-2f N +f N -1()㊂ìîíïïïïïïïïïï(8)上述组合型超紧致差分格式只需要相邻的三个节点便可以同时求得一阶导数和二阶导数的五阶精度近似值,比普通差分格式的节点更少,降低了计算量㊂为便于编程计算,将上述构造的组合型超紧致差分格式重写为矩阵表达形式㊂假设U 为位移矩阵,其大小为m ˑn ,则求一阶导数和二阶导数的离47山东理工大学学报(自然科学版)2024年㊀散过程可以用矩阵运算表示为AF=BU,(9)结合内点的三点五阶迎风型超紧致差分格式和边界点的三点三阶差分格式,组成式(9)中等式左边的矩阵A和等式右边的矩阵B,大小分别为2mˑ2n 和2mˑn;F为奇数行为空间一阶导数和偶数行为空间二阶导数组成的矩阵,大小为2mˑn㊂以上矩阵分别为:A=10-13/23h/4-13/23h/439/14h1-37/28h33/5637/28h-33/567/8h/91-7h/180-h/7219/10h2/516/5h19/1007/8h/91-7h/180-h/7219/10h2/516/5h19/100⋱⋱⋱⋱⋱⋱7/8h/91-7h/180-h/7219/10h2/516/5h19/100-13/2-3h/4-13/2-3h/410-37/28h-33/5637/28h33/56-39/14h1éëêêêêêêêêêêêêêêêêùûúúúúúúúúúúúúúúúú,(10)F=∂u∂x()1,1∂u∂x()1,2∂u∂x()1,n-1∂u∂x()1,n∂2u∂x2()1,1∂2u∂x2()1,2 ∂2u∂x2()1,n-1∂2u∂x2()1,n︙︙︙︙∂u∂x()m,1∂u∂x()m,2∂u∂x()m,n-1∂u∂x()m,n∂2u∂x2()m,1∂2u∂x2()m,2 ∂2u∂x2()m,n-1∂2u∂x2()m,néëêêêêêêêêêêêêêùûúúúúúúúúúúúúú,(11) B=012/h-12/h-13/7h213/14h213/14h2-101/48h7/3h-11/48h-13/5h2-4/5h217/5h2-101/48h27/3h-11/48h-13/5h2-4/5h217/5h2⋱⋱⋱-101/48h7/3h-11/48h-13/5h2-4/5h217/5h2012/h-12/h-13/7h213/14h213/14h2éëêêêêêêêêêêêêêêêêùûúúúúúúúúúúúúúúúú,(12)U=u1,1u1,2 u1,n-1u1,nu2,1u2,2 u2,n-1u2,n︙︙︙︙u m-1,1u m-1,2 u m-1,n-1u m-1,nu m,1u m,2 u m,n-1u m,néëêêêêêêêùûúúúúúúú㊂(13)㊀㊀由式(9)可得F=A-1BU㊂(14)㊀㊀解线性代数方程组(9)可得Cahn-Hilliard方程的空间一阶导数和二阶导数㊂对于四阶导数,可将已求得的二阶导数替代式(14)中的U,再次使用式(14)进行求取㊂57第1期㊀㊀㊀㊀㊀㊀㊀㊀㊀㊀㊀㊀栗雪娟,等:Cahn-Hilliard方程的一个超紧致有限差分格式1.2㊀时间离散格式在对很多偏微分方程的数值求解中不仅需要高精度的空间离散格式,同时还需要高精度的时间离散格式㊂普通的一阶精度时间离散格式显然满足不了高精度计算要求,因此本文选用时间四阶Runge-Kutta 格式进行时间离散㊂Runge-Kutta 方法是基于欧拉方法改进后的求解偏微分方程的常用方法,这种方法不仅计算效率高,而且稳定性好㊂格式的推算过程如下:假设求解方程为∂u∂t+F u ()=0,(15)式中F 是对空间变量的微分算子,则修正的四阶Runge-Kutta 格式为u 0i =u n i ,u 1i =u n i-Δt 4F u ()()0i,u 2i =u ni -Δt 3F u ()()1i,u 3i =u n i-Δt 2F u ()()2i,u n +1i =u n i -Δt F u ()()3i ㊂ìîíïïïïïïïïïïïï(16)1.3㊀误差估计以五阶精度将fᶄi -1,fᶄi +1,fᵡi -1,fᵡi +1泰勒级数展开:fᶄi -1=fᶄi -hfᵡi +h 22!f (3)i -h 33!f (4)i +㊀㊀h 44!f (5)i -h 55!f (6)i ,fᶄi +1=fᶄi +hfᵡi +h 22!f (3)i +h 33!f (4)i+㊀㊀h 44!f (5)i +h 55!f (6)i ,fᵡi -1=fᵡi -hf (3)i +h 22!f (4)i -h 33!f (5)i+㊀㊀h 44!f (6)i -h 55!f (7)i ,fᵡi +1=fᵡi +hf (3)i +h 22!f (4)i +h 33!f (5)i +㊀㊀h 44!f (6)i +h 55!f (7)i ㊂ìîíïïïïïïïïïïïïïïïïïïïïïïïï(17)将式(17)代入式(6),所求得组合型超紧致差分格式的一阶导数及二阶导数对应的截断误差为:78fᶄi -1+fᶄi +h19fᵡi -1-718fᵡi -172fᵡi +1()=㊀1h -10148f i -1+73f i -1148f i +1()+78640f 6()ih 5,25fᵡi -1+fᵡi +1h 1910fᶄi -1+165fᶄi +910fᶄi +1()=㊀-135f i -1-45f i +175f i +1()-5125200f 7()i h 5,ìîíïïïïïïïïïï(18)78640f 6()i h 5ʈ8.101ˑ10-4f 6()i h 5,5125200f 7()ih 5ʈ2.023ˑ10-3f 7()i h 5㊂ìîíïïïï(19)㊀㊀使用组合型超紧致差分格式的好处是在每一个网格点上存在一个一阶和二阶连续导数的多项式㊂本文比较了组合型超紧致差分格式和现有广义格式的一阶导数和二阶导数的截断误差:fᶄi +αfᶄi +1+fᶄi -1()+βfᶄi +2+fᶄi -2()=㊀㊀a f i +1-f i -12h +b f i +2-f i -24h +c f i +3-f i -36h ,fᵡi +αfᵡi +1+fᵡi -1()+βfᵡi +2+fᵡi -2()=㊀㊀a f i +1-2f i +f i -1h 2+b f i +2-2f i +f i -24h2+㊀㊀c f i +3-2f i +f i -39h 2,ìîíïïïïïïïïïïï(20)式中参数α,β,a ,b ,c 在各种格式中取不同的值(表1,表2)㊂本文发现在各种方案中,组合型超紧致差分格式的截断误差最小㊂表1㊀不同格式一阶导数的截断误差格式αβa b c 截断误差二阶中心010013!f 3()ih 2标准Padeᶄ格式1/403/20-15f 5()ih 4六阶中心03/2-3/51/1036ˑ17!f 7()ih 6五阶迎风143ˑ16!f 6()ih 5表2㊀不同格式二阶导数的截断误差格式αβa b c 截断误差二阶中心01002ˑ14!f 4()ih 2标准Padeᶄ格式1/1006/50185ˑ16!f 6()ih 4六阶中心03/2-3/51/1072ˑ18!f 8()ih 6五阶迎风165ˑ17!f 7()ih 567山东理工大学学报(自然科学版)2024年㊀2㊀数值算例误差范数L 1和L 2的定义为:L 1=1N ðNi =1u -U ,L 2=1N ðNi =1u -U ()2㊂对四阶Cahn-Hilliard 取f u ()=u 2,k =2,在边界条件u 0,t ()=u 2π,t ()=0下的计算区域为0,2π[],方程的精确解为u x ,t ()=e -tsin x2,数值解为U ㊂对给出的数值算例,计算误差范数L 1和L 2,并采用四种方法进行数值模拟,对其数值结果进行误差分析和对比,结果见表3,本文所使用方法效果最佳,由此证明所提方法的有效性和可行性㊂表3㊀0.5s 时刻精确度测试结果(N =10)方法L 1误差L 2误差间断有限元格式1.56235ˑ10-21.37823ˑ10-2普通中心差分格式1.66667ˑ10-18.33333ˑ10-2紧致差分格式7.14286ˑ10-31.78571ˑ10-3组合型超紧致差分格式6.48148ˑ10-36.34921ˑ10-4㊀㊀用本文提出的式(6) 式(8)和式(16)计算算例,图1 图3给出了不同时刻数值解与精确解的(a)精确解(b)数值解图1㊀0.1s 的精确解与数值解(a)精确解(b)数值解图2㊀0.5s 的精确解与数值解(a)精确解(b)数值解图3㊀1s 的精确解与数值解77第1期㊀㊀㊀㊀㊀㊀㊀㊀㊀㊀㊀㊀栗雪娟,等:Cahn-Hilliard 方程的一个超紧致有限差分格式对比图,可以看出,数值解与精确解吻合很好,表明本文给出的数值格式是可行的,并且精度较高㊂3　结论本文研究了组合型超紧致差分方法和四阶Runge-Kutta方法,并将其运用于四阶Cahn-Hilliard 方程的数值求解,通过研究与分析,得到如下结论: 1)使用泰勒级数展开锁定差分格式系数,得到本文的组合型超紧致差分格式精度更高,误差更小㊂2)在边界点处有效地达到了降阶,并提高了精度㊂3)通过数值算例验证了数值格式的有效性㊂4)预估该方法可应用于高阶偏微分方程的数值求解㊂参考文献:[1]HUANG Q M,YANG J X.Linear and energy-stable method with en-hanced consistency for the incompressible Cahn-Hilliard-Navier-Stokes two-phase flow model[J].Mathematics,2022,10 (24):4711.[2]AKRIVIS G,LI B Y,LI D F.Energy-decaying extrapolated RK-SAV methods for the allen-Cahn and Cahn-Hilliard equations[J].SIAM Journal on Scientific Computing,2019,41(6):3703-3727. 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Universities in Evolutionary Systems of InnovationMarianne van der Steen and Jurgen EndersThis paper criticizes the current narrow view on the role of universities in knowledge-based economies.We propose to extend the current policy framework of universities in national innovation systems(NIS)to a more dynamic one,based on evolutionary economic principles. The main reason is that this dynamic viewfits better with the practice of innovation processes. We contribute on ontological and methodological levels to the literature and policy discussions on the effectiveness of university-industry knowledge transfer and the third mission of uni-versities.We conclude with a discussion of the policy implications for the main stakeholders.1.IntroductionU niversities have always played a major role in the economic and cultural devel-opment of countries.However,their role and expected contribution has changed sub-stantially over the years.Whereas,since1945, universities in Europe were expected to con-tribute to‘basic’research,which could be freely used by society,in recent decades they are expected to contribute more substantially and directly to the competitiveness offirms and societies(Jaffe,2008).Examples are the Bayh–Dole Act(1982)in the United States and in Europe the Lisbon Agenda(2000–2010) which marked an era of a changing and more substantial role for universities.However,it seems that this‘new’role of universities is a sort of universal given one(ex post),instead of an ex ante changing one in a dynamic institutional environment.Many uni-versities are expected nowadays to stimulate a limited number of knowledge transfer activi-ties such as university spin-offs and university patenting and licensing to demonstrate that they are actively engaged in knowledge trans-fer.It is questioned in the literature if this one-size-fits-all approach improves the usefulness and the applicability of university knowledge in industry and society as a whole(e.g.,Litan et al.,2007).Moreover,the various national or regional economic systems have idiosyncratic charac-teristics that in principle pose different(chang-ing)demands towards universities.Instead of assuming that there is only one‘optimal’gov-ernance mode for universities,there may bemultiple ways of organizing the role of univer-sities in innovation processes.In addition,we assume that this can change over time.Recently,more attention in the literature hasfocused on diversity across technologies(e.g.,King,2004;Malerba,2005;Dosi et al.,2006;V an der Steen et al.,2008)and diversity offormal and informal knowledge interactionsbetween universities and industry(e.g.,Cohenet al.,1998).So far,there has been less atten-tion paid to the dynamics of the changing roleof universities in economic systems:how dothe roles of universities vary over time andwhy?Therefore,this article focuses on the onto-logical premises of the functioning of univer-sities in innovation systems from a dynamic,evolutionary perspective.In order to do so,we analyse the role of universities from theperspective of an evolutionary system ofinnovation to understand the embeddednessof universities in a dynamic(national)systemof science and innovation.The article is structured as follows.InSection2we describe the changing role ofuniversities from the static perspective of anational innovation system(NIS),whereasSection3analyses the dynamic perspective ofuniversities based on evolutionary principles.Based on this evolutionary perspective,Section4introduces the characteristics of a LearningUniversity in a dynamic innovation system,summarizing an alternative perception to thestatic view of universities in dynamic economicsystems in Section5.Finally,the concludingVolume17Number42008doi:10.1111/j.1467-8691.2008.00496.x©2008The AuthorsJournal compilation©2008Blackwell Publishingsection discusses policy recommendations for more effective policy instruments from our dynamic perspective.2.Static View of Universities in NIS 2.1The Emergence of the Role of Universities in NISFirst we start with a discussion of the literature and policy reports on national innovation system(NIS).The literature on national inno-vation systems(NIS)is a relatively new and rapidly growingfield of research and widely used by policy-makers worldwide(Fagerberg, 2003;Balzat&Hanusch,2004;Sharif,2006). The NIS approach was initiated in the late 1980s by Freeman(1987),Dosi et al.(1988)and Lundvall(1992)and followed by Nelson (1993),Edquist(1997),and many others.Balzat and Hanusch(2004,p.196)describe a NIS as‘a historically grown subsystem of the national economy in which various organizations and institutions interact with and influence one another in the carrying out of innovative activity’.It is about a systemic approach to innovation,in which the interaction between technology,institutions and organizations is central.With the introduction of the notion of a national innovation system,universities were formally on the agenda of many innovation policymakers worldwide.Clearly,the NIS demonstrated that universities and their interactions with industry matter for innova-tion processes in economic systems.Indeed, since a decade most governments acknowl-edge that interactions between university and industry add to better utilization of scienti-fic knowledge and herewith increase the innovation performance of nations.One of the central notions of the innovation system approach is that universities play an impor-tant role in the development of commercial useful knowledge(Edquist,1997;Sharif, 2006).This contrasts with the linear model innovation that dominated the thinking of science and industry policy makers during the last century.The linear innovation model perceives innovation as an industry activity that‘only’utilizes fundamental scientific knowledge of universities as an input factor for their innovative activities.The emergence of the non-linear approach led to a renewed vision on the role–and expectations–of universities in society. Some authors have referred to a new social contract between science and society(e.g., Neave,2000).The Triple Helix(e.g.,Etzkowitz &Leydesdorff,1997)and the innovation system approach(e.g.,Lundvall,1988)and more recently,the model of Open Innovation (Chesbrough,2003)demonstrated that innova-tion in a knowledge-based economy is an inter-active process involving many different innovation actors that interact in a system of overlapping organizationalfields(science, technology,government)with many interfaces.2.2Static Policy View of Universities in NIS Since the late1990s,the new role of universi-ties in NIS thinking emerged in a growing number of policy studies(e.g.,OECD,1999, 2002;European Commission,2000).The con-tributions of the NIS literature had a large impact on policy makers’perception of the role of universities in the national innovation performance(e.g.,European Commission, 2006).The NIS approach gradually replaced linear thinking about innovation by a more holistic system perspective on innovations, focusing on the interdependencies among the various agents,organizations and institutions. NIS thinking led to a structurally different view of how governments can stimulate the innovation performance of a country.The OECD report of the national innovation system (OECD,1999)clearly incorporated these new economic principles of innovation system theory.This report emphasized this new role and interfaces of universities in knowledge-based economies.This created a new policy rationale and new awareness for technology transfer policy in many countries.The NIS report(1999)was followed by more attention for the diversity of technology transfer mecha-nisms employed in university-industry rela-tions(OECD,2002)and the(need for new) emerging governance structures for the‘third mission’of universities in society,i.e.,patent-ing,licensing and spin-offs,of public research organizations(OECD,2003).The various policy studies have in common that they try to describe and compare the most important institutions,organizations, activities and interactions of public and private actors that take part in or influence the innovation performance of a country.Figure1 provides an illustration.Thefigure demon-strates the major building blocks of a NIS in a practical policy setting.It includesfirms,uni-versities and other public research organiza-tions(PROs)involved in(higher)education and training,science and technology.These organizations embody the science and tech-nology capabilities and knowledge fund of a country.The interaction is represented by the arrows which refer to interactive learn-ing and diffusion of knowledge(Lundvall,Volume17Number42008©2008The AuthorsJournal compilation©2008Blackwell Publishing1992).1The building block ‘Demand’refers to the level and quality of demand that can be a pull factor for firms to innovate.Finally,insti-tutions are represented in the building blocks ‘Framework conditions’and ‘Infrastructure’,including various laws,policies and regula-tions related to science,technology and entre-preneurship.It includes a very broad array of policy issues from intellectual property rights laws to fiscal instruments that stimulate labour mobility between universities and firms.The figure demonstrates that,in order to improve the innovation performance of a country,the NIS as a whole should be conducive for innovative activities in acountry.Since the late 1990s,the conceptual framework as represented in Figure 1serves as a dominant design for many comparative studies of national innovation systems (Polt et al.,2001;OECD,2002).The typical policy benchmark exercise is to compare a number of innovation indicators related to the role of university-industry interactions.Effective performance of universities in the NIS is judged on a number of standardized indica-tors such as the number of spin-offs,patents and licensing.Policy has especially focused on ‘getting the incentives right’to create a generic,good innovative enhancing context for firms.Moreover,policy has also influ-enced the use of specific ‘formal’transfer mechanisms,such as university patents and university spin-offs,to facilitate this collabo-ration.In this way best practice policies are identified and policy recommendations are derived:the so-called one-size-fits-all-approach.The focus is on determining the ingredients of an efficient benchmark NIS,downplaying institutional diversity and1These organizations that interact with each other sometimes co-operate and sometimes compete with each other.For instance,firms sometimes co-operate in certain pre-competitive research projects but can be competitors as well.This is often the case as well withuniversities.Figure 1.The Benchmark NIS Model Source :Bemer et al.(2001).Volume 17Number 42008©2008The AuthorsJournal compilation ©2008Blackwell Publishingvariety in the roles of universities in enhanc-ing innovation performance.The theoretical contributions to the NIS lit-erature have outlined the importance of insti-tutions and institutional change.However,a further theoretical development of the ele-ments of NIS is necessary in order to be useful for policy makers;they need better systemic NIS benchmarks,taking systematically into account the variety of‘national idiosyncrasies’. Edquist(1997)argues that most NIS contribu-tions are more focused onfirms and technol-ogy,sometimes reducing the analysis of the (national)institutions to a left-over category (Geels,2005).Following Hodgson(2000), Nelson(2002),Malerba(2005)and Groenewe-gen and V an der Steen(2006),more attention should be paid to the institutional idiosyncra-sies of the various systems and their evolution over time.This creates variety and evolving demands towards universities over time where the functioning of universities and their interactions with the other part of the NIS do evolve as well.We suggest to conceptualize the dynamics of innovation systems from an evolutionary perspective in order to develop a more subtle and dynamic vision on the role of universities in innovation systems.We emphasize our focus on‘evolutionary systems’instead of national innovation systems because for many universities,in particular some science-based disciplinaryfields such as biotechnology and nanotechnology,the national institutional environment is less relevant than the institu-tional and technical characteristics of the technological regimes,which is in fact a‘sub-system’of the national innovation system.3.Evolutionary Systems of Innovation as an Alternative Concept3.1Evolutionary Theory on Economic Change and InnovationCharles Darwin’s The Origin of Species(1859)is the foundation of modern thinking about change and evolution(Luria et al.,1981,pp. 584–7;Gould,1987).Darwin’s theory of natural selection has had the most important consequences for our perception of change. His view of evolution refers to a continuous and gradual adaptation of species to changes in the environment.The idea of‘survival of thefittest’means that the most adaptive organisms in a population will survive.This occurs through a process of‘natural selection’in which the most adaptive‘species’(organ-isms)will survive.This is a gradual process taking place in a relatively stable environment, working slowly over long periods of time necessary for the distinctive characteristics of species to show their superiority in the‘sur-vival contest’.Based on Darwin,evolutionary biology identifies three levels of aggregation.These three levels are the unit of variation,unit of selection and unit of evolution.The unit of varia-tion concerns the entity which contains the genetic information and which mutates fol-lowing specific rules,namely the genes.Genes contain the hereditary information which is preserved in the DNA.This does not alter sig-nificantly throughout the reproductive life-time of an organism.Genes are passed on from an organism to its successors.The gene pool,i.e.,the total stock of genetic structures of a species,only changes in the reproduction process as individuals die and are born.Par-ticular genes contribute to distinctive charac-teristics and behaviour of species which are more or less conducive to survival.The gene pool constitutes the mechanism to transmit the characteristics of surviving organisms from one generation to the next.The unit of selection is the expression of those genes in the entities which live and die as individual specimens,namely(individual) organisms.These organisms,in their turn,are subjected to a process of natural selection in the environment.‘Fit’organisms endowed with a relatively‘successful’gene pool,are more likely to pass them on to their progeny.As genes contain information to form and program the organisms,it can be expected that in a stable environment genes aiding survival will tend to become more prominent in succeeding genera-tions.‘Natural selection’,thus,is a gradual process selecting the‘fittest’organisms. Finally,there is the unit of evolution,or that which changes over time as the gene pool changes,namely populations.Natural selec-tion produces changes at the level of the population by‘trimming’the set of genetic structures in a population.We would like to point out two central principles of Darwinian evolution.First,its profound indeterminacy since the process of development,for instance the development of DNA,is dominated by time at which highly improbable events happen (Boulding,1991,p.12).Secondly,the process of natural selection eliminates poorly adapted variants in a compulsory manner,since indi-viduals who are‘unfit’are supposed to have no way of escaping the consequences of selection.22We acknowledge that within evolutionary think-ing,the theory of Jean Baptiste Lamarck,which acknowledges in essence that acquired characteris-tics can be transmitted(instead of hereditaryVolume17Number42008©2008The AuthorsJournal compilation©2008Blackwell PublishingThese three levels of aggregation express the differences between ‘what is changing’(genes),‘what is being selected’(organisms),and ‘what changes over time’(populations)in an evolutionary process (Luria et al.,1981,p.625).According to Nelson (see for instance Nelson,1995):‘Technical change is clearly an evolutionary process;the innovation generator keeps on producing entities superior to those earlier in existence,and adjustment forces work slowly’.Technological change and innovation processes are thus ‘evolutionary’because of its characteristics of non-optimality and of an open-ended and path-dependent process.Nelson and Winter (1982)introduced the idea of technical change as an evolutionary process in capitalist economies.Routines in firms function as the relatively durable ‘genes’.Economic competition leads to the selection of certain ‘successful’routines and these can be transferred to other firms by imitation,through buy-outs,training,labour mobility,and so on.Innovation processes involving interactions between universities and industry are central in the NIS approach.Therefore,it seems logical that evolutionary theory would be useful to grasp the role of universities in innovation pro-cesses within the NIS framework.3.2Evolutionary Underpinnings of Innovation SystemsBased on the central evolutionary notions as discussed above,we discuss in this section how the existing NIS approaches have already incor-porated notions in their NIS frameworks.Moreover,we investigate to what extent these notions can be better incorporated in an evolu-tionary innovation system to improve our understanding of universities in dynamic inno-vation processes.We focus on non-optimality,novelty,the anti-reductionist methodology,gradualism and the evolutionary metaphor.Non-optimality (and Bounded Rationality)Based on institutional diversity,the notion of optimality is absent in most NIS approaches.We cannot define an optimal system of innovation because evolutionary learning pro-cesses are important in such systems and thus are subject to continuous change.The system never achieves an equilibrium since the evolu-tionary processes are open-ended and path dependent.In Nelson’s work (e.g.,1993,1995)he has emphasized the presence of contingent out-comes of innovation processes and thus of NIS:‘At any time,there are feasible entities not present in the prevailing system that have a chance of being introduced’.This continuing existence of feasible alternative developments means that the system never reaches a state of equilibrium or finality.The process always remains dynamic and never reaches an optimum.Nelson argues further that diversity exists because technical change is an open-ended multi-path process where no best solu-tion to a technical problem can be identified ex post .As a consequence technical change can be seen as a very wasteful process in capitalist economies with many duplications and dead-ends.Institutional variety is closely linked to non-optimality.In other words,we cannot define the optimal innovation system because the evolutionary learning processes that take place in a particular system make it subject to continuous change.Therefore,comparisons between an existing system and an ideal system are not possible.Hence,in the absence of any notion of optimality,a method of comparing existing systems is necessary.According to Edquist (1997),comparisons between systems were more explicit and systematic than they had been using the NIS approaches.Novelty:Innovations CentralNovelty is already a central notion in the current NIS approaches.Learning is inter-preted in a broad way.Technological innova-tions are defined as combining existing knowledge in new ways or producing new knowledge (generation),and transforming this into economically significant products and processes (absorption).Learning is the most important process behind technological inno-vations.Learning can be formal in the form of education and searching through research and development.However,in many cases,innovations are the consequence of several kinds of learning processes involving many different kinds of economic agents.According to Lundvall (1992,p.9):‘those activities involve learning-by-doing,increasing the efficiency of production operations,learning-characteristics as in the theory of Darwin),is acknowledged to fit better with socio-economic processes of technical change and innovation (e.g.,Nelson &Winter,1982;Hodgson,2000).Therefore,our theory is based on Lamarckian evolutionary theory.However,for the purpose of this article,we will not discuss the differences between these theo-ries at greater length and limit our analysis to the fundamental evolutionary building blocks that are present in both theories.Volume 17Number 42008©2008The AuthorsJournal compilation ©2008Blackwell Publishingby-using,increasing the efficiency of the use of complex systems,and learning-by-interacting, involving users and producers in an interac-tion resulting in product innovations’.In this sense,learning is part of daily routines and activities in an economy.In his Learning Economy concept,Lundvall makes learning more explicit,emphasizing further that ‘knowledge is assumed as the most funda-mental resource and learning the most impor-tant process’(1992,p.10).Anti-reductionist Approach:Systems and Subsystems of InnovationSo far,NIS approaches are not yet clear and systematic in their analysis of the dynamics and change in innovation systems.Lundvall’s (1992)distinction between subsystem and system level based on the work of Boulding implicitly incorporates both the actor(who can undertake innovative activities)as well as the structure(institutional selection environment) in innovation processes of a nation.Moreover, most NIS approaches acknowledge that within the national system,there are different institu-tional subsystems(e.g.,sectors,regions)that all influence each other again in processes of change.However,an explicit analysis of the structured environment is still missing (Edquist,1997).In accordance with the basic principles of evolutionary theory as discussed in Section 3.1,institutional evolutionary theory has developed a very explicit systemic methodol-ogy to investigate the continuous interaction of actors and institutional structures in the evolution of economic systems.The so-called ‘methodological interactionism’can be per-ceived as a methodology that combines a structural perspective and an actor approach to understand processes of economic evolu-tion.Whereas the structural perspective emphasizes the existence of independent institutional layers and processes which deter-mine individual actions,the actor approach emphasizes the free will of individuals.The latter has been referred to as methodological individualism,as we have seen in neo-classical approaches.Methodological indi-vidualism will explain phenomena in terms of the rational individual(showingfixed prefer-ences and having one rational response to any fully specified decision problem(Hodgson, 2000)).The interactionist approach recognizes a level of analysis above the individual orfirm level.NIS approaches recognize that national differences exist in terms of national institu-tions,socio-economic factors,industries and networks,and so on.So,an explicit methodological interactionist approach,explicitly recognizing various insti-tutional layers in the system and subsystem in interaction with the learning agents,can improve our understanding of the evolution of innovation.Gradualism:Learning Processes andPath-DependencyPath-dependency in biology can be translated in an economic context in the form of(some-times very large)time lags between a technical invention,its transformation into an economic innovation,and the widespread diffusion. Clearly,in many of the empirical case studies of NIS,the historical dimension has been stressed.For instance,in the study of Denmark and Sweden,it has been shown that the natural resource base(for Denmark fertile land,and for Sweden minerals)and economic history,from the period of the Industrial Revolution onwards,has strongly influenced present specialization patterns(Edquist& Lundvall,1993,pp.269–82).Hence,history matters in processes of inno-vation as the innovation processes are influ-enced by many institutions and economic agents.In addition,they are often path-dependent as small events are reinforced and become crucially important through processes of positive feedback,in line with evolutionary processes as discussed in Section3.1.Evolutionary MetaphorFinally,most NIS approaches do not explicitly use the biological metaphor.Nevertheless, many of the approaches are based on innova-tion theories in which they do use an explicit evolutionary metaphor(e.g.,the work of Nelson).To summarize,the current(policy)NIS approaches have already implicitly incorpo-rated some evolutionary notions such as non-optimality,novelty and gradualism.However, what is missing is a more explicit analysis of the different institutional levels of the economic system and innovation subsystems (their inertia and evolution)and how they change over time in interaction with the various learning activities of economic agents. These economic agents reside at established firms,start-upfirms,universities,govern-ments,undertaking learning and innovation activities or strategic actions.The explicit use of the biological metaphor and an explicit use of the methodological interactionst approach may increase our understanding of the evolu-tion of innovation systems.Volume17Number42008©2008The AuthorsJournal compilation©2008Blackwell Publishing4.Towards a Dynamic View of Universities4.1The Logic of an Endogenous‘Learning’UniversityIf we translate the methodological interaction-ist approach to the changing role of universities in an evolutionary innovation system,it follows that universities not only respond to changes of the institutional environment(government policies,business demands or changes in scientific paradigms)but universities also influence the institutions of the selection envi-ronment by their strategic,scientific and entre-preneurial actions.Moreover,these actions influence–and are influenced by–the actions of other economic agents as well.So,instead of a one-way rational response by universities to changes(as in reductionist approach),they are intertwined in those processes of change.So, universities actually function as an endogenous source of change in the evolution of the inno-vation system.This is(on an ontological level) a fundamental different view on the role of universities in innovation systems from the existing policy NIS frameworks.In earlier empirical research,we observed that universities already effectively function endogenously in evolutionary innovation system frameworks;universities as actors (already)develop new knowledge,innovate and have their own internal capacity to change,adapt and influence the institutional development of the economic system(e.g., V an der Steen et al.,2009).Moreover,univer-sities consist of a network of various actors, i.e.,the scientists,administrators at technology transfer offices(TTO)as well as the university boards,interacting in various ways with indus-try and governments and embedded in various ways in the regional,national or inter-national environment.So,universities behave in an at least partly endogenous manner because they depend in complex and often unpredictable ways on the decision making of a substantial number of non-collusive agents.Agents at universities react in continuous interaction with the learn-ing activities offirms and governments and other universities.Furthermore,the endogenous processes of technical and institutional learning of univer-sities are entangled in the co-evolution of institutional and technical change of the evo-lutionary innovation system at large.We propose to treat the learning of universities as an inseparable endogenous variable in the inno-vation processes of the economic system.In order to structure the endogenization in the system of innovation analysis,the concept of the Learning University is introduced.In thenext subsection we discuss the main character-istics of the Learning University and Section5discusses the learning university in a dynamic,evolutionary innovation system.An evolution-ary metaphor may be helpful to make theuniversity factor more transparent in theco-evolution of technical and institutionalchange,as we try to understand how variouseconomic agents interact in learning processes.4.2Characteristics of the LearningUniversityThe evolution of the involvement of universi-ties in innovation processes is a learningprocess,because(we assume that)universitypublic agents have their‘own agenda’.V ariousincentives in the environment of universitiessuch as government regulations and technol-ogy transfer policies as well as the innovativebehaviour of economic agents,compel policymakers at universities to constantly respondby adapting and improving their strategiesand policies,whereas the university scientistsare partly steered by these strategies and partlyinfluenced by their own scientific peers andpartly by their historically grown interactionswith industry.During this process,universityboards try to be forward-looking and tobehave strategically in the knowledge thattheir actions‘influence the world’(alsoreferred to earlier as‘intentional variety’;see,for instance,Dosi et al.,1988).‘Intentional variety’presupposes that tech-nical and institutional development of univer-sities is a learning process.University agentsundertake purposeful action for change,theylearn from experience and anticipate futurestates of the selective environment.Further-more,university agents take initiatives to im-prove and develop learning paths.An exampleof these learning agents is provided in Box1.We consider technological and institutionaldevelopment of universities as a process thatinvolves many knowledge-seeking activitieswhere public and private agents’perceptionsand actions are translated into practice.3Theinstitutional changes are the result of inter-actions among economic agents defined byLundvall(1992)as interactive learning.Theseinteractions result in an evolutionary pattern3Using a theory developed in one scientific disci-pline as a metaphor in a different discipline mayresult,in a worst-case scenario,in misleading analo-gies.In the best case,however,it can be a source ofcreativity.As Hodgson(2000)pointed out,the evo-lutionary metaphor is useful for understandingprocesses of technical and institutional change,thatcan help to identify new events,characteristics andphenomena.Volume17Number42008©2008The AuthorsJournal compilation©2008Blackwell Publishing。

Cultural and Religious Studies, November 2022, Vol. 10, No. 11, 638-642doi: 10.17265/2328-2177/2022.11.003 New York City Under the Scrutiny of Holocaust Survivor inMr. Sammler’s PlanetXIANYU JingBeijing Union University, Beijing, ChinaDING DianJiangsu Normal University, Xuzhou, ChinaSaul Bellow ’s seventh novel Mr. Sammler’s Planet combines the urban narrative of New York City with theHolocaust narrative, revealing the crisis of postmodern American society. This paper explores Sammler’s uniqueperspective as a witness to the Holocaust history and the social phenomena of the 1960s, so as to excavate thecharacteristics of New York City. Under the shackles of modern instrumental rationality and social order, the feverishHolocaust turns into fanatical destruction that subverts traditional ethical values. Sammler discerns the destructivefactors in history and the darkness in human nature, but he is not entirely pessimistic and makes exploration for thefuture of New York City.Keywords: New York City, Holocaust, SammlerResearch ContextThe novel Mr. Sammler’s Planet (1969), written by American Jewish writer Saul Bellow, combines the urban narrative of New York City with the Holocaust narrative, revealing the crisis of postmodern American society. The 1960s is one of the most socially and culturally transformative periods in the United States, and at the same time an eventful time of conflict and contradiction. The whole American society was in a state of incomprehensible madness, experiencing a profound spiritual, cultural, and moral crisis. New York City in the 1960s, the economic and cultural center of the United States, became the central microcosm of social contradictions.In Mr. Sammler’s Planet , Sammler observes from a detached point of view the recklessness of the urban residents and the deformed urban living space in New York City. The various problems of present New York City in the countercultural chaos make him think of the devastating Holocaust and explore the future of New York City. Based on the urban features of the novel, this paper attempts to analyze the features of New York City in the novel from the perspective of Mr. Sammler, a Holocaust survivor.Features of Mr. Sammler, a Holocaust SurvivorNew York City in Mr. Sammler’s Planet is presented from the perspective of the protagonist Mr. Sammler, an aged Polish Jew and “a city odyssey ” (Fox, 1986, p. 234). This perspective is quite unique and meaningful for XIANYU Jing, Ph.D., Associate Professor, Department of English, Tourism College, Beijing Union University, Beijing, China. DING Dian, post-graduate student, College of Smart Education, Jiangsu Normal University, Xuzhou, China. D A VID PUBLISHINGDNEW YORK CITY UNDER THE SCRUTINY OF HOLOCAUST SURVIVOR639the representation of the existential problems in postmodern American society. Sammler is a Holocaust survivor living in New York, so he is both a witness to the Holocaust history and a witness to the social phenomena of the 1960s. Holocaust experience and hardships bring him special sensitivity, profound insight, and a unique perspective of observation, making him perceptively uncover the problems in the city.Although Sammler survives the Holocaust, he suffers a series of physical injuries. His left eye was shot blind. Decades have passed, but he still wakes up with a buzzing sound in his head every day, his feet burn badly at night, and he also suffers from itching. Due to his handicapped status, his range of activities is quite limited, and he mostly relies on inner thinking to obtain the richness of life, which makes him devote more time to thinking about life than healthy people and thus have a more profound view of life. His good right eye, “full of observation”, inevitably provokes or stimulates those “inward processes” he would rather hold aloof from the world (Pifer, 1985, p. 25). Therefore, although Sammler is one-eyed, he is not a victim (Salter, 1972, p. 57), and his tragic experience became a legacy in a certain sense.Mr. Sammler’s Planet uses memory to reproduce the tragic scene of the Holocaust, which greatly impacts Mr. Sammler’s reflections on life. Sammler has experienced the miserable life in the concentration camp, the terrifying situation of being buried alive, the loss of his wife, and the harrowing months hiding in the tomb. During the holocaust, he, together with millions of Jews, was shot and fell into the mass grave dug by themselves. Luckily, he managed to crawl out of the piled dead bodies and survived to join the partisans in the Zamoshit Forest in Poland to fight against the German invaders. Towards the end of the war, he was shot by anti-Semites in the partisan group. He then hid in a cemetery and pretended to be dead for three or four months. The dark, isolated tomb not only smelled of death, but the world also seemed to stand still. In his mind, the Holocaust is the highest manifestation of ethical and moral decay, an overwhelming experience of evil, and event which “marks not only the death of man, but the idea of man as well” (Berger, 1986, p. 81). The past scenes flash into his present life constantly, and deepen his understanding toward contemporary New York City.As a Holocaust survivor, Sammler’s experiences are highly respected by others as a “confidant of New York eccentrics; curate of wild men and progenitor of a wild woman” (Bellow, 2007, p. 96). Angela and Wallace, who are second-generation immigrants, have a kind of wonder and admiration for Sammler’s experience, so they are happy to confide in him about their troubles. Sammler is an objective and non-judging listener and always tries his best to exhort and enlighten them with his own experience, which gives him a unique perspective on the young people in New York City. With “survivor mission”(Berger, 1986, p. 81), Sammler documents and examines New York City in the 1960s through his own eyes, and struggles for meaning.New York Under the Scrutiny of City Observer SammlerIrrational Behaviors of the Urban ResidentsIn the 1960s, the highly developed material civilization and the consumer culture brought about hedonism and mammonism. The modern instrumental rationality and social order imprisoned people’s individuality and spiritual world. Young Americans advocated the replacement of traditional rationality and morality with spontaneous impulses and madness, creating a sizable counterculture movement (Wang, 2008, p. 19).Mr. Sammler senses sexual liberation sweeping the United States in the 1960s. He is raised as a Polish Jew in the traditional way of civility and ethical order and is astonished and distressed by the crazy worship of sex among the youth. In order to escape from the repression and control of modern industrial society in terms ofNEW YORK CITY UNDER THE SCRUTINY OF HOLOCAUST SURVIVOR640technical rationality and political institutions and realize self-liberation and individual freedom, the advocates of the counterculture movement chose to immerse in sexual desire, totally disrupting conventional sexual ethics. They are portrayed as “hedonistic, narcissistic, ignorant, and—a crystallizing symbol for all of these—sexually wanton” (Goffman, 1997, p. 709). The way they walk and the style they dress give a sense of excessive sexuality. The pursuit of sexual satisfaction in American society is similar to the ecstasy of Holocaust killing.What’s more, young people are eroded by materialism and money-worship while desecrating humanity and kinship. Sammler’s grandnephew Wallace and grandniece Angela are financially dependent on their parents but show no human love or respect for their family. Wallace is a madman whose madness lies not only in his lawlessness and audacity but also in his feverish desire for money. In the moment of his own father’s critical illness, instead of being by his father’s si de and caring about his death, he was preoccupied with a sum of money that his father had hidden in the house. His sister Angela refused to admit her mistakes and reconcile with her father even before his death, not even willing to visit him for the last time. All she could think of was the possibility that her father would disinherit her because of her promiscuity. The looseness of kinship is like the inhumanity of the Holocaust.1968 was the climax of the students’ movement. College students were frivolou s exaggerated and irresponsible. They refused to be bound by any prohibition and regarded cursing and public urination as inalienable rights. When Sammler was giving a lecture at Columbia University, some students interrupt him and speak rudely to him. The y arrogantly assumed Sammler’s point of view should be despised and trampled on just because he was an old man and had a foreign accent. The recklessness and madness of the college students is comparable to the irrationality of the Holocaust.Deformed Urban Living SpaceThe great economic changes in the 1960s brought destabilizing factors to society, with urban space being forced to be redistributed. Because of urbanization, the wealthy white middle class left for the suburbs which were inhabited by the poor before. Almost at the same time, a swarm of African Americans poured into the northern cities from the south, creating a great migration wave. Under the dual effects of the departure of the rich and the influx of the poor blacks, the formerly prosperous business districts were gradually stagnant and ghettos began to appear in every corner of New York City, resulting in rising violence and crimes and continuous deterioration of the urban environment. Sammler’s encounters in New York City often remind him of the Holocaust.The late 1960s was the peak of violence and riots in American society. New York City had become one of the few notorious crime cities in the world that was once a symbol of civilization and glory. Sammler has constantly seen a black pickpocket steal blatantly on the bus. The black pickpocket is used “as a sign for the potency of those pathological forces that claim the city for themselves” (Charlson, 1997, p. 532). The black pickpocket was brutal and bullied victims with his physical superiority when stealing. Noticing Sammler had witnessed him stealing, the black pickpocket then intimidated him by forcibly exposing his genitals in front of him which was a blatant mix of violence and sexual display. And what Sammler could see on Broadway are alcoholics, perverts, snooping thieves, idlers, and bloody street violence.In “quivering, riotous and lurid New York” (Bellow, 2007, p. 117), Sammler lives on Manhattan’s Upper West Side with the Lincoln Art Center and Columbia University. However, it became the venom for artists, and what he saw was an ugly, deformed road littered with rubbish, environmental pollution, and crumblingNEW YORK CITY UNDER THE SCRUTINY OF HOLOCAUST SURVIVOR641infrastructure. The decadent appearance of the city reminded Sammler of the images of the Holocaust. He compared the asphalt road to a rotting body, and the sewers seemed to flow out of guts. The crowded buildings form a forest, the TV antennas seem to be a series of branches, and the people living in the apartments seem to be prisoners trapped in this primitive jungle. New York made him think of the end of the world.Sammler’s Exploration for the Future of New York CitySammler is able to treat the countercultural movement dialectically, not only seeing its revolutionary side but also sensing that it carries a wave of radicality and insurrection. His attitude is not indifferent, and he is not completely pessimistic. Actually, his observation is mixed with the profound reflections on the social chaos in New York City at that time, and he makes efforts to find the solution in different ways, including a balance between rationality and irrationality and the reconstruction of traditional ethics.Rationality used to be a light of enlightenment for human beings and played an important role in the process of overcoming ignorance. But rationality is not omnipotent. The modern instrumental rationality and social order objectified urban people and made them suffer spiritual emptiness. Therefore, irrational students in the counterculture movement rejected any prohibitions and caused escalating violent incidents, resulting in the corruption of society and the degradation of human nature. Sammler believes that excessive display of sensuous individuals and unchecked brutal passion are detrimental to mankind (Quayum, 2004, p. 159). In response to the disadvantages of modernization, they should not throw away rationality and cultural tradition and seek a balance between the rational and the irrational.Sammler’s upbringing in the Jewish community which attaches great importance to traditional morality made him have a sense of personal responsibility to reconstruct the ethical values in New York City. This can be reflected in his close relationship with Dr. Elya Gruner and his appreciation for Gruner’s virtues and ideal qualities. Faced with the social chaos in the 1960s, Sammler stresses that the endless pursuit of freedom will inevitably lead to the confusion of identities and the evasion of responsibilities, and it is the root cause of the decline of morality in contemporary society and the oppression and neglect of vulnerable groups. He “struggles to make a life of dignity for himself” and clings to the values such as reason, order, tradition, and self-respect “against the hostility of his environment, the indifference of many of his acquaintances, and the perversity of circumstance”(Galloway, 1973, p. 22). Sammler is not entirely pessimistic, and he “bluntly discards Lal’s philosophy of irrational escapism in favor of the rational acceptance of life on Earth despite all its flux and follies”(Singh, 2015, p. 308).ConclusionSammler’s painful and nightmarish experiences during the Holocaust deepen his understanding of New York City where he lives. With penetrating insight, he is wary of the changes in the social and ethical order and makes his reflections on social chaos. There are some common points between the Holocaust and social chaos in the 1960s. Under the shackles of modern instrumental rationality and social order, the feverish Holocaust turns into fanatical destruction that subverts traditional ethical values. Both of them contain destructive factors and darkness in human nature. The Holocaust destroys the Jewish people, and the countercultural movement destroys the human spirit. Postmodern New York City is facing serious crises, and Sammler is always full of deep concern for the state of human survival, and he is filled with the moral responsibility of an intellectual to solve the problems with a positive attitude.NEW YORK CITY UNDER THE SCRUTINY OF HOLOCAUST SURVIVOR642ReferencesBellow, S. (2007). Mr. Sa mmler’s planet. London: Penguin Classics.Berger, A. L. (1986). Holocaust survivors and children in Anya and Mr. Sammler’s Planet. Modern Language Studies, 16(1), 81-87.Charlson, J. L. (1997). Ethnicity, power, and the p ostmodern in Saul Bellow’s Mr. Sammler’s Planet. The Centennial Review, 41(3), 529-536.Fox, F. P. (1986). Saul Bellow’s city fiction (Dissertation, University of Pennsylvania, 1986).Galloway, D. (1973). Mr. Sammler’s planet: Bellow’s failure of nerve. Modern Fiction Studies, 19(1), 17-28.Goffman, E. (1997). Between guilt and affluence: The Jewish gaze and the black thief in Mr. Sammler’s planet. Contemporary Literature, 38(4), 705-725.Pifer, E. (1985). “Two different s peeches”: Mystery and knowledge in Mr. Sammler’s planet. Mosaic: An Interdisciplinary Critical Journal, 18(2), 17-32.Quayum, M. A. (2004). Saul Bellow and American transcendentalism. New York: Peter Lang.Salter, D. P. M. (1972). Optimism and reaction in Saul Bellow’s recent work. In Critical quarterly (pp. 57-65). Oxford: Oxford University Press.Singh, S. (2015). Kant, Schopenhauer, Saul Bellow: Evil in Mr. Sammler’s planet. Philosophy and Literature, 39(1A), 280-316. Wang, E. M. (2008). The counterculture movement of the 1960s—A study of the hippie culture in the USA. Beijing: Peking University Press.。

管理科学参考文献格式参考文献格式可根据不同的引用风格有所不同。

以下是管理科学中常见的两种引用风格及其参考文献格式：1、APA风格：书籍：作者姓氏，作者名字缩写（出版年份）。

书名。

出版地点：出版社。

举例：Kotler, P. (2016). Marketing management. Upper Saddle River, NJ: Pearson.期刊文章：作者姓氏，作者名字缩写（出版年份）。

文章标题。

期刊名，卷号（期号），起止页码。

举例：Chen, X., & Shao, M. (2017). How trust, perceived value, and institutional environments jointly affect contractual governance in inter-firm relationships. Journal of Management, 43(3), 803–828.网页：作者姓氏，作者名字缩写（出版年份）。

文章标题。

网页名称。

检索日期，网址。

举例：United Nations. (2020). Coronavirus disease (COVID-19) situation report - 156. World Health Organization. Retrieved August 18, 2020, fromhttps://www.who.int/docs/default-source/coronaviruse/situation-reports/20200624-covid-19-sitrep-156.pdf?sfvrsn=af42e480_22、MLA风格：书籍：作者姓氏，作者名字（出版年份）。

书名。

出版地点：出版社。

举例：Kotler, Philip. Marketing management. Upper Saddle River, NJ: Pearson, 2016.期刊文章：作者姓氏，作者名字（出版年份）。

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2011年硕士研究生入学考试二真题及参考答案Section I Use of EnglishDirections：Read the following text. Choose the best words for each numbered black and mark A, B, C or D on ANSWER SHEET 1. 10 pointsThe Internet affords anonymity to its users, a blessing to privacy and freedom of speech. But that very anonymity is also behind the explosion of cyber-crime that has 1 across the Web.Can privacy be preserved 2 bringing safety and security to a world that seems increasingly 3Last month, Howard Schmidt, the nation's cyber-czar, offered the federal government a 4 to make the Web a safer place-a "voluntary trusted identity" system that would be the high-tech 5 of a physical key, a fingerprint and a photo ID card, all rolled 6 one. The system might use a identity card, or a digital credential 7 to a specific computer .and would authenticate users at a range of online services.The idea is to 8 a federation of private online identity systems. User could 9 which system to join, and only registered users whose identities have been authenticated could navigate those systems. The approach contrasts with one that would require an Internet driver's license 10 by the government.Google and Microsoft are among companies that already have these"single sign-on" systems that make it possible for users to 11 just once but use many different services.12 .the approach would create a "walled garden" n cyberspace, with safe "neighborhoods" and bright "streetlights" to establish a sense of a 13 community.Mr. Schmidt described it as a "voluntary ecosystem" in which "individuals and organizations can complete online transactions with 14 ,trusting the identities of each other and the identities of the infrastructure 15 which the transaction runs".Still, the administration's plan has 16 privacy rights activists. Some applaud the approach； others are concerned. It seems clear that such a schemeis an initiative push toward what would 17 be a compulsory Internet "drive's license" mentality.The plan has also been greeted with 18 by some computer security experts, who worry that the "voluntary ecosystem" envisioned by Mr. Schmidt would still leave much of the Internet 19 .They argue that all Internet users should be 20 to register and identify themselves, in the same way that drivers must be licensed to drive on public roads.1．A.sweptB.skippedC.walkedD.ridden2．A.forB.withinC.whileD.though3．wlessC.pointlessD.helpless4．A.reasonB.reminderCpromiseD.proposal5．rmationB.interferenceC.entertainmentD.equivalent6．A.byB.intoC.fromD.over7．A.linkedB.directedC.chainedDpared8．A.dismissB.discoverC.createD.improve9．A.recallB.suggestC.selectD.realize10．A.relcasedB.issuedC.distributedD.delivered11．A.carry on B.linger onC.set in D.log in12．A.In vainB.In effectC.In return D.In contrast13．A.trustedB.modernizedc.thrivingDpeting14．A.cautionB.delightC.confidenceD.patience15．A.onB.afterC.beyondD.across16．A.dividedB.disappointedC.protectedD.united17．A.frequestlyB.incidentallyC.occasionallyD.eventually18．A.skepticismB.releranceC.indifferenceD.enthusiasm19．A.manageableB.defendableC.vulnerableD.invisible20．A.invitedB.appointedC.allowedD.forcedSection II Reading ComprehensionPart ADirections：Read the following four texts. Answer the questions after each text by choosing A, B, C or D. Mark your answers on ANSWER SHEET 1. 40pointsText 1Ruth Simmons joined Goldman Sachs's board as an outside director in January 2000： a year later she became president of Brown University. For the rest of the decade she apparently managed both roles without attracting much eroticism. But by the end of 2009 Ms. Simmons was under fire for having sat on Goldman's compensation committee； how could she have let those enormous bonus payouts pass unremarked By February the next year Ms. Simmons had left the board. The position was just taking up too much time, she said.Outside directors are supposed to serve as helpful, yet less biased, advisers on a firm's board. Having made their wealth and their reputations elsewhere, they presumably have enough independence to disagree with the chief executive's proposals. If the sky, and the share price is falling, outside directors should be able to give advice based on having weathered their own crises.The researchers from Ohio University used a database hat covered more than 10,000 firms and more than 64,000 different directors between 1989 and 2004. Then they simply checked which directors stayed from one proxy statement to the next. The most likely reason for departing a board was age, so the researchers concentrated on those "surprise" disappearances by directors under the age of 70. They fount that after a surprise departure, the probability that the company will subsequently have to restate earnings increased by nearly 20%. The likelihood of being named in a federal class-action lawsuit also increases, and the stock is likely to perform worse. The effect tended to be larger for larger firms. Although a correlation between them leaving and subsequent bad performance at the firm is suggestive, it does not mean that such directors are always jumping off a sinking ship. Often they "trade up." Leaving riskier, smaller firms for larger and more stable firms.But the researchers believe that outside directors have an easier time of avoiding a blow to their reputations if they leave a firm before bad news breaks, even if a review of history shows they were on the board at the timeany wrongdoing occurred. Firms who want to keep their outside directors through tough times may have to create incentives. Otherwise outside directors will follow the example of Ms. Simmons, once again very popular on campus.21. According to Paragraph 1, Ms. Simmons was criticized for .Againing excessive profitsBfailing to fulfill her dutyCrefusing to make compromisesDleaving the board in tough times22. We learn from Paragraph 2 that outside directors are supposed to be .Agenerous investorsBunbiased executivesCshare price forecastersDindependent advisers23. According to the researchers from Ohio University after an outside director's surprise departure, the firm is likely to .Abecome more stableBreport increased earningsCdo less well in the stock marketDperform worse in lawsuits24. It can be inferred from the last paragraph that outside directors .Amay stay for the attractive offers from the firmBhave often had records of wrongdoings in the firmCare accustomed to stress-free work in the firmDwill decline incentives from the firm25. The author's attitude toward the role of outside directors is .ApermissiveBpositiveCscornfulDcriticalText 2Whatever happened to the death of newspaper A year ago the end seemed near. The recession threatened to remove the advertising and readers that had not already fled to the internet. Newspapers like the San Francisco Chronicle were chronicling their own doom. America's Federal Trade commission launched a round of talks about how to save newspapers. Should they become charitable corporations Should the state subsidize them It will hold another meeting soon. But the discussions now seem out of date.In much of the world there is the sign of crisis. German and Brazilian papers have shrugged off the recession. Even American newspapers, which inhabit the most troubled come of the global industry, have not only survived but often returned to profit. Not the 20% profit margins that were routine a few years ago, but profit all the same.It has not been much fun. Many papers stayed afloat by pushing journalists overboard. The American Society of News Editors reckons that 13,500 newsroom jobs have gone since 2007. Readers are paying more for slimmer products. Some papers even had the nerve to refuse delivery to distant suburbs. Yet these desperate measures have proved the right ones and, sadly for many journalists, they can be pushed further.Newspapers are becoming more balanced businesses, with a healthier mix of revenues from readers and advertisers. American papers have long been highly unusual in their reliance on ads. Fully 87% of their revenues came from advertising in 2008, according to the Organization for Economic Cooperation & Development OECD. In Japan the proportion is 35%. Not surprisingly, Japanese newspapers are much more stable.The whirlwind that swept through newsrooms harmed everybody, but much of the damage has been concentrated in areas where newspaper are leastdistinctive. Car and film reviewers have gone. So have science and general business reporters. Foreign bureaus have been savagely cut off. Newspapers areless complete as a result. But completeness is no longer a virtue in the newspaper business.26. By saying "Newspapers like … their own doom" Lines 3-4, Para. 1, the author indicates that newspaper .Aneglected the sign of crisisBfailed to get state subsidiesCwere not charitable corporationsDwere in a desperate situation27. Some newspapers refused delivery to distant suburbs probably because .Areaders threatened to pay lessBnewspapers wanted to reduce costsCjournalists reported little about these areasDsubscribers complained about slimmer products28. Compared with their American counterparts, Japanese newspapers are much more stable because they .Ahave more sources of revenueBhave more balanced newsroomsCare less dependent on advertisingDare less affected by readership29. What can be inferred from the last paragraph about the current newspaper businessADistinctiveness is an essential feature of newspapers.BCompleteness is to blame for the failure of newspaper.CForeign bureaus play a crucial role in the newspaper business.DReaders have lost their interest in car and film reviews.30. The most appropriate title for this text would be .AAmerican Newspapers： Struggling for SurvivalBAmerican Newspapers： Gone with the WindCAmerican Newspapers： A Thriving BusinessDAmerican Newspapers： A Hopeless StoryText 3We tend to think of the decades immediately following World War II as a time of prosperity and growth, with soldiers returning home by the millions, going off to college on the G. I. Bill and lining up at the marriage bureaus.But when it came to their houses, it was a time of common sense and abelief that less could truly be more. During the Depression and the war, Americans had learned to live with less, and that restraint, in combination with the postwar confidence in the future, made small, efficient housing positively stylish.Economic condition was only a stimulus for the trend toward efficient living. The phrase "less is more" was actually first popularized by a German, the architect Ludwig Mies van der Rohe, who like other people associated with the Bauhaus, a school of design, emigrated to the United States before World War IIand took up posts at American architecture schools. These designers came to exert enormous influence on the course of American architecture, but none more so that Mies.Mies's signature phrase means that less decoration, properly organized, has more impact that a lot. Elegance, he believed, did not derive from abundance. Like other modern architects, he employed metal, glass and laminated wood-materials that we take for granted today buy that in the 1940s symbolized the future. Mies's sophisticated presentation masked the fact that the spaces he designed were small and efficient, rather than big and often empty.The apartments in the elegant towers Mies built on Chicago's Lake Shore Drive, for example, were smaller-two-bedroom units under 1,000 square feet-than those in their older neighbors along the city's Gold Coast. But they werepopular because of their airy glass walls, the views they afforded and the elegance of the buildings' details and proportions, the architectural equivalent of the abstract art so popular at the time.The trend toward "less" was not entirely foreign. In the 1930s Frank Lloyd Wright started building more modest and efficient houses-usually around 1,200 square feet-than the spreading two-story ones he had designed in the 1890s and the early 20th century.The "Case Study Houses" commissioned from talented modern architects by California Arts & Architecture magazine between 1945 and 1962 were yet another homegrown influence on the "less is more" trend. Aesthetic effect came from the landscape, new materials and forthright detailing. In his Case Study House, Ralph everyday life - few American families acquired helicopters, though most eventually got clothes dryers - but his belief that self-sufficiency was both desirable and inevitable was widely shared.31. The postwar American housing style largely reflected the Americans' .Aprosperity and growthBefficiency and practicalityCrestraint and confidenceDpride and faithfulness32. Which of the following can be inferred from Paragraph 3 about BauhausAIt was founded by Ludwig Mies van der Rohe.BIts designing concept was affected by World War II.CMost American architects used to be associated with it.DIt had a great influence upon American architecture.33. Mies held that elegance of architectural design .Awas related to large spaceBwas identified with emptinessCwas not reliant on abundant decorationDwas not associated with efficiency34. What is true about the apartments Mies building Chicago's Lake Shore DriveAThey ignored details and proportions.BThey were built with materials popular at that time.CThey were more spacious than neighboring buildings.DThey shared some characteristics of abstract art.35. What can we learn about the design of the "Case Study House"AMechanical devices were widely used.BNatural scenes were taken into considerationCDetails were sacrificed for the overall effect.DEco-friendly materials were employed.Text 4Will the European Union make it The question would have sounded strange not long ago. Now even the project's greatest cheerleaders talk of a continent facing a "Bermuda triangle" of debt, population decline and lower growth.As well as those chronic problems, the EU face an acute crisis in its economic core, the 16 countries that use the single currency. Markets have lost faith that the euro zone's economies, weaker or stronger, will one day converge thanks to the discipline of sharing a single currency, which denies uncompetitive members the quick fix of devaluation.Yet the debate about how to save Europe's single currency from disintegration is stuck. It is stuck because the euro zone's dominant powers, France and Germany, agree on the need for greater harmonization within the euro zone, but disagree about what to harmonies.Germany thinks the euro must be saved by stricter rules on borrow spending and competitiveness, barked by quasi-automatic sanctions for governments that do not obey. These might include threats to freeze EU funds for poorer regions and EU mega-projects and even the suspension of a country's voting rights in EU ministerial councils. It insists that economic co-ordination should involve all 27 members of the EU club, among whom there is a small majority for free-market liberalism and economic rigour； in the inner core alone, Germany fears, a small majority favour French interference.A "southern" camp headed by French wants something different： "European economic government" within an inner core of euro-zone members. Translated,that means politicians intervening in monetary policy and a system of redistribution from richer to poorer members, via cheaper borrowing for governments through common Eurobonds or complete fiscal transfers. Finally, figures close to the France government have murmured, curo-zone members should agree to some fiscal and social harmonization： e.g., curbing competition in corporate-tax rates or labour costs.It is too soon to write off the EU. It remains the world's largest trading block. At its best, the European project is remarkably liberal： built around a single market of 27 rich and poor countries, its internal borders are far more open to goods, capital and labour than any comparable trading area. It is an ambitious attempt to blunt the sharpest edges of globalization, and make capitalism benign.36. The EU is faced with so many problems that .A it has more or less lost faith in marketsB even its supporters begin to feel concernedC some of its member countries plan to abandon euroD it intends to deny the possibility of devaluation37. The debate over the EU's single currency is stuck because the dominant powers .A are competing for the leading positionB are busy handling their own crisesC fail to reach an agreement on harmonizationD disagree on the steps towards disintegration38. To solve the euro problem ,Germany proposed that .A EU funds for poor regions be increasedB stricter regulations be imposedC only core members be involved in economic co-ordinationD voting rights of the EU members be guaranteed39. The French proposal of handling the crisis implies that __ __.Apoor countries are more likely to get fundsBstrict monetary policy will be applied to poor countriesCloans will be readily available to rich countriesDrich countries will basically control Eurobonds40. Regarding the future of the EU, the author seems to feel ____.ApessimisticBdesperateCconceitedDhopefulPart BDirections：Read the following text and answer the questions by finding information from the right column that corresponds to each of the marked details given in the left column. There are two extra choices in the right column. Mark your answer on ANSWER SHEET 1. 10 points46．Direction：In this section there is a text in English. Translate it into Chinese,write your translation on ANSWER SHEET 2. 15pointsWho would have thought that, globally, the IT industry produces about the same volumes of greenhouse gases as the world's airlines do-rough 2 percent of all CO2 emissionsMany everyday tasks take a surprising toll on the environment. A Google search can leak between 0.2 and 7.0 grams of CO2 depending on how many attempts are needed to get the "right" answer. To deliver results to its users quickly, then, Google has to maintain vast data centres round the world, packed with powerful computers. While producing large quantities of CO2, these computers emit a great deal of heat, so the centres need to be well air-conditioned, which uses even more energy.However, Google and other big tech providers monitor their efficiency closely and make improvements. Monitoring is the first step on the road to reduction, but there is much to be done, and not just by big companies.2011考研二小作文suppose your cousin LI MING has just been admited to a university writehim/her a letter to:1Congratulate him/her,and2give him/her suggestions on how to get prepared for university lifeyou should write about 100 words on ANSWER SHEET 2.DO not sign your own name at the end of the letter,Use "zhangwe2011考研二大作文write a short essay baesd on the following chart.in your writing,you should:1interpret the chart and2give your commentsyou should write at least 150 wrodswrite your essay on answer sheet 215points参考答案客观题1-5ACBDD6-10BACCA11-15DBACA16-20CDACD21-25BBDAA26-30DBCBB31-35BDCDB36-40DCBAC41-45EDCFG46．有谁会想到,在全球范围内,IT行业产生的温室气体跟全球航空公司产生的一样多占二氧化碳总排量的2%.很多日常工作对环境造成了让人震惊的破坏作用;根据你查询正确答案的尝试次数,谷歌搜索引擎会插手0.2-7克的二氧化碳的排放量;要快速将结果传递给用户,谷歌必须用强大和大量的计算机系统来维护全球巨大的数据库中心;这些计算机在散发大量热量的同时也产生大量的二氧化碳气体;所以中心处理器必须要有很好的散热装备,然而却耗能更多;2011考研二小作文suppose your cousin LI MING has just been admited to a university write him/her a letter to:1Congratulate him/her,and2give him/her suggestions on how to get prepared for university lifeyou should write about 100 words on ANSWER SHEET 2.DO not sign your own name at the end of the letter,Use "zhangwe英语二小作文范文：A Letter to LimingJan-15-2011Dear Liming,Congraduate on you success in passing the entrance examination.Now, please allow me to give you some suggestion during your holidays.First of all, you should read. Because it makes a full man. Reading during the holiday helps you get the habit of it that when you become a freshman. College life is so plentiful but reading is the most important thing.Second, to do some housework can bring you another feelings. Once you get into the college, you must do the things for yourself, including washing, clear the room and shedule your daily life and etc.However, reading and housework doesn’t mean all of your holiday. You need contact with your friends or communicate with them. The reason is that old friends will be in your memory and new friends will be there. And we all know that the friendship among senior school.From the things I mentioned above, hope they will bring you a richful life in your college.Zhangwei2011考研英语二大作文write a short essay baesd on the following chart.in your writing,you should:1interpret the chart and2give your commentsyou should write at least 150 wrodswrite your essay on answer sheet 215points英语二大作文范文文都版As can be seen clearly from the chart, the market share taken by domestic car brands increased rapidly from 25% in 20008 to nearly 35% in 2009, while conversely, the market share owned by Japanese car brands dropped by 10% from 35% in 2008 to 25% in 2008. What’s more, the market share taken by American car brands is on the upward trend, from 10% to nearly 15%.Three reasons, in my opinion, can account for the changes in car market in these two years. First, the rise of Chinese cars is of little surprise as we have seen Chinese en terprises’ commitment to developing self-owned technologies, which not only free them from potential risks, but also bring about long-term benefit. Second, Japanese cars, which used to be highly praised for their outstanding quality and superior stability, is now reeling from a crisis of confidence. Last, the improvement of American cars’ performance must be attributed to the marketing strategy employed by American sellers. They launched a lot of marketing campaigns designed specially for Chinese market, which won them applaud as well as benefit.In order to maintain the good momentum of development, domestic cars should on one hand stick to their self-independent policy, and on the other, learn some experiences from Japanese car’s failures and Americans’ s uccess.。

高二英语第七模块单词拼写专项测试uni.11.rad.neve.achieve.he.a_____.o.becomin..famou.write r.2.sall.like.t.wal.aroun.i.b_____.fee.o.th.beach.3.th.remot.deser.are.i.a_____.onl.b.helicopter.d.wip.he.fac.wit..h______.5.on.o.hi.novel.ha.bee.a_____.fo.television.6.ralp.wa.d_____.i.th.war.h.los.hi.lef.arm.7.carolin.wil.b.i.charg.o.thi.departmen.durin.m.a_____ _.8.mos.o.th.chines.peopl.ar.no.satisfie.wit.ou.automobi l.(汽车.i______.9.martin’.constan.jokin.wa.beginnin.t.a_____.her.sh. fel.unhappy.10.man.colonie.(殖民地.i.afric.becam.i_____.nation.i.th.1950's.11.ever.e_____.shoul.b.give.t.childre.especiall.whe.the .ar.i.trouble.12.grea.expectation.i.on.o.th.grea.work.o.englis.l_____ _.13.unles.w.receiv.mor.financia.(财政的.a______.th.hospita.wil.hav.t.close.14.th.begga.spen..lo.o.tim.wit.hi.dog.wh.becam.hi.clos es.c______.15.w.c_____.firs.i.he.exam.yesterday.16.th.pla.i..r____.success.i.ha.bee.o.fo.1.year.o.end.17..birt.c_____.give.th.officia.fact.abou.you.birth.18.i.yo.ar.afrai.o.losin.you.d______.yo.can’.expec.t.le 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.th.ag.o.you.audience.4.tha.singe.alway.get.nervou.o.th.concer.p______.5.th.suspec.(嫌疑犯.wa.g_____.b.th.detectiv.fo.severa.hours.6..conside.i..grea.p_____.t.b.allowe.t.mak..speec.today .7.i’l.mak.a_____.fo.somebod.t.mee.yo.a.th.airport.8..supermarke.ofte.print..c_____.wit.picture.an.price.o .th.thing.tha.i.sells.9.murie.gav.he.so.som.mone.fo.th.p_____.o.hi.schoo.b ooks.10.w.wil.celebrat.th.60t.a_____.o.th.foundin.o.th.peop le’.republi.o.chin.o.oct.1s.nex.year.11.v_____.agains.measle.(麻疹.give.yo.protectio.agains.th.disease.12.wit.suc..smal.i______.h.actuall.canno.ge.enoug.t.ea t.13.w.wan.t.encourag.student.t.p_____.i.th.runnin.o.ou .school.14.sinc.th.pric.o.fue.i.high.ro.bough.a.e_____.littl.ca.tha.doesn’.us.muc.fuel.15..ne.electio.migh.resul.i..differen.d_____.o.seat.i.th. council.16.tw.guard.looke.afte.th.s_____.o.th.property.17.th.knif.i.ver.sharp.tom.don’.pla.wit.it.o_____.yo. migh.cu.you.finger.18.natha.spen.month.recoverin.i..privat.healt.c______.e.t.d_____.generousl.t.th.re.cros.ever.year.20.th.repair.t.th.schoo.wil.b.f_____catio.depa rtment.uni.51.professo.jorda.gav..serie.o.l_____.o.moder.art.2..c_____.i..restauran.wher.peopl.collec.thei.ow.foo.a n.drin.an.carr.i.t.th.tables.ofte.i..shop.factor.an.s.on.3.preciou.experienc.i.a.essentia.(必要的.q_____.fo.thi.job.4.ou.tea.ha.bee.trainin.har.i.p_____.fo.th.bi.game..hop .w.wil.win.5.i.i.strongl.r_____.tha.yo.shoul.rea.th.instruction.thor oughl.befor.yo.operat.th.machine.6.w.ca.tak.c_____.fro.th.fac.tha.th.situatio.i.no.actuall. gettin.worse.7.the.s_____.re.ball.fo.blue.t.se.i.th.bab.woul.notice.8.i.britai.th.a_____.yea.run.fro.octobe.t.july.durin.thi.p eriod.student.stud.a.schools.9.candidate.(候选人.wh.fai.t.mee.thes.r_____.wil.no.b.admitte.t.thi.univ ersity.10.whe.th.resul.o.th.vot.wa.announce.th.presiden.a__ ___.defeat.11.a.fa.a.i’.c_____.th.whol.ide.i.carzy.12.th.shockin.stor.o_____.mos.o.th.fron.pag.o.th.news paper.rges.e_____.o.it.kind.14.th.firs.tim.sh.too.th.exa.sh.failed.bu.th.secon.tim.sh .s_____.i.passing.15.li.s_____.th.aim.o.th.ne.part.i..coupl.o.sentences.16.wilma’.strang.behavio.cause..goo.dea.o.c______.17..perso.travel.abroa.ha.t.carr..p______.18.ou.a_____.i.rom.deal.wit.al.ou.italia.business.19.zeld.i.leavin.fo.pari.whil.he.husband’.d_____.i.bos ton.20.w.hav.a_____.evidenc.t.prov.you.guilt.uni.1ambitio.bar.accessibl.handkerchie.adapte.disable.abse nc.industr.anno.independen.encouragemen.literatur.a panio.congratulate.remarkabl.certificat.di munit.beneficialuni.2desire.satisfactio.alar.embarrasse.smoothe.sympath.el egan.accompan.pile.scanne.awfu.declare.explanatio.m arriag.transfusio.divorce.obe.chapter.env.biographyuni.3anecdot.annua.migratio.witnesse.accomodatio.packe. dept.meantim./meanwhil.abandone.relationshi.reflect s(reflected.beaut.awar.shar.gian.scar.shallo.entr.lea.re fun.uni.4dyin.relevan.adjus.platfor.grille.priviledg.arrangement. catalogu.purchas.anniversar.vaccinatio.incom.participat.economica.distr ibutio.securit.otherwis.clini.donat.financeduni.5lectur.cafeteri.qualificatio.preparatio.recommende.co mfor.substitute.requirement.acknowledge.concerne.oc cupie.enterprise.succeede.summariz/sedcommen.passpor.agen.destinatio.abundant。

Power Xpert ®Gateway PDP Card Delivers real-time, Web-enabled monitoring of Eaton® Power Distribution Units, Rack Power Modules and Remote Power Panels PrNduco snapshNo Real-time power monitoring presented how you need • it – via standard on-board Web pages, Power Xpert Software or 3rd party network or building manage-ment systems Ethernet switch port allowing for daisy chaining of • Ethernet communicating products Allows easy and remote configuration and monitoring • of the the Eaton Energy Management System (EMS)Supports the Eaton Environmental Monitoring Probe • Ftaourts and btntfi os MNnioNr tntrgy usagt -• reveal opportunities and verify results of efficiency improvements RtmNot MNnioNring -• via the Web monitor real-time data and profile energy usage on your power distribu-tion system Wtb-tnabltd mNnioNring Nf • pNwtr qualioy daoa dNwn oN oht branch circuio ltvtl - Data can be viewed from any location with a Web browser CNnfigurt and tdio oht • EMS rtmNotly via oht Wtb inotrfact - supportsremote configuration including naming, alarm and warning setpoints, and percentages Daoa, inotrval and tvtno • lNgging wioh oimt soamp - Accurate logging for power quality analysisMNdbusTCP/IP and SNMP • SuppNro - Open communica-tion protocol facilitates integra-tion with standard building management systems and network management systems CusoNmiztd tmail mtssag-• ing fNr tvtnos nNoificaoiNn, including daoa, inotrval and tvtno lNgs and ptriNdic “htarobtao” tmails - Directalarm and event notification to the appropriate person(s) in the organizationEasy inotgraoiNn inoN • txisoing Eohtrnto infrasorucourt - Minimize installation cost MNnioNring tntrgy in a ntowNrktd wNrld The Power Xpert Gateway PDP card (PXGX PDP) is the primary data acquisition solution for Eaton power distribution units (PDUs) remote power panels (RPPs), rack power modules (RPMs), power distribution racks (PDRs), and energy management system upgrade kits (EMSs). Data from the downstream devices are time stamped and stored in non-volatile memory. This interval data can be stored or uploaded to a destination of the user’s choice through CSV files. Data can also be accessed through any Web browser directly on the PXGX PDP down to the individual breaker level. Users can view data in Power Xpert Software, BMS, NMS, building dash boards, custom software applications, or virtually any Web interface. Frtt PNwtr Xptro Entrgy Vitwtr This free software download works with the PXGX PDP to allow quick and easy views of energy usage and comparison data. Y es, the data is available via a CSV file, however this tool doesn’t require a Microsoft ® Excel ® spreadsheet expert. Simply select the energy param-eters you’re interested in track-ing, and click! It automatically displays energy usage sum-mary information in both tabular and graphical format. Y ou can even compare the energy data from two devices from any IP address, anywhere in the world. This free tool is available at m/pxgx . Stcurtly vitw crioical pNwtr daoa hNw and whtn yNu chNNst Eaton provides the information needed to make critical power management decisions to keep the organization running effec-tively and efficiently. Y ou can rest assured that your information is secure when employing the PXGX PDP . It pro-vides password authentication to keep access to configuration separate from general use. For those seeking additional secu-rity, the PXGX PDP supports secure, Web-based communica-tion via SSL.Technical specificationsThe Power XPerT GaTewa y PDP CarD kiT inCluDes The followinG:Power Xpert Gateway PDP CardLocal configuration cableQuick start guideOrdering informationCatalog number PXGXPDPStyle number 103008064-5591Description Power Xpert Gateway PDP Card for use withEaton PDUs/RPPs/RPMs/PDRs/EMS withX-slot compatabilityDevices supportedEaton Power Distribution Units with X-Slot® compatibilityEaton Remote Power Panels with X-Slot compatibilityEaton Rack Power Modules with X-Slot compatibilityEaton Power Distribution Racks with X-Slot compatibilityEaton Energy Management System with X-Slot compatibility Communication portsEthernet ports Two RJ45 ports: supports 10/100 BaseT for daisychaining via integrated Ethernet switchSerial ports One USB port: supports local configuration and oneRJ45 for optional connection to an EnvironmentalMonitoring Probe (EMP)Communication protocols supportedWeb server Supports data access from Web browsers(HTTP and HTTPS)Modbus TCP/IP Supports data access from Modbus TCP clients SNMP Supports common network management tools SMTP Supports email notificationNTP Supports time synchronization via an NTP serverfor card and PDU synchronizationDHCP Supports automatic IP address assignments,if enabledIP v4 and v6 IP v4 and IP v6 compatibility Supported MIBsEaton PDU MIBEaton EMP MIBEaton Alarms and Traps MIBRFC 4133 Entity MIBRFC 4268 Entity State MIBRFC 4268 Entity State MIB Part IIRFC 1213 MIB IIWeb browsers supportedIE 7 and 8Mozilla Firefox 2.0 and higherGoogle ChromePhysical characteristicsDimensions 12 cm x 11.4 cm x 3.9 cm (4.7” x 4.5” x 1.5”) Weight 200 grams (7.0 oz)Environmental specificationsAmbient operating 0 to +40 ° C (32 to 104° F)Relative humidity 10 to 80%, non-condensingAltitude 10,000 ftEnclosure rating Indoor use onlyMounting configurationX-Slot form factor fits directly into PDU/RPP/RPM/PDR/EMS-UGK chassis Power supplyNominal input voltage 12 VDC, unregulated (provided by PDU/RPP) Input voltage range 8 – 25 VDC, unregulatedPower consumption3.5 wattsRegulatory/standards complianceFCC Part 15, Class ACISPR 22, Class AROHS compliantTelecom conducted EU Standard: EN 55022:2006 Class Avia EU Standard EN 55024:1998+A1:2001:A2:2003Features and specifications listed in this document are subject to change without notice Note:Nand represent the maximum capabilities of the software and products with all options installed. This is not a complete feature list. Features and functionality may vary depending on selected options.RtmNotly cNnfigurt and tdio pantl and brtaktr stooings frNm yNur dtskImprove productivity with Eaton’s ability to remotely configure or edit panel and breaker settings in your PDU, RPP or RPM with the on-board configuration pages that guide you through the process. Additionally, the ‘Save and Restore’ feature provides an effective method to reproduce the configuration if needed at a later time.Vitw hisoNryData historical logs, interval logsand event logs can be viewedvia Web browser, downloadedfor review in MS Excel, oremailed to others for furtheranalysis. In addition, the datacan be viewed in Power XpertSoftware, Power Xpert Reportingand third party ModbusTCPsoftware systems.Email mtssagtsY ou have the ability to custom-ize and direct email notificationsto anyone in your organization.Select from alarm notifications,data logs and heartbeat emails.This provides yet one more wayto effectively and proactivelymanage your power system.MNnioNr oht tnvirNnmtnoThe Eaton EnvironmentalMonitoring Probe (EMP) optionis also supported via the PXGXPDP. The temperature, relativehumidity, and status of twocontact closures can beviewed in addition to thePDU and RPP data.EaoNn CNrpNraoiNnElectrical Sector1111 Superior Ave.Cleveland, OH 44114United States877-ETN-CARE (877-386-2273)/pxgx© 2011 Eaton CorporationAll Rights ReservedPrinted in USAPX01FXA / TNFebruary 2011Eaton, Power Xpert and X-Slot are registeredtrademarks of Eaton Corporation.All other trademarks are property of theirrespective owners.。

Certification of Substances DivisionPPR/CBPUBLIC DOCUMENTEnglish only/Anglais seulementPA/PH/CEP (12) 15Strasbourg, June 2012Certification of suitability to Monographs of the European Pharmacopoeia TOP TEN DEFICIENCIESNew Applications for Certificates of Suitability(2011)CEP证书首次申请十大缺陷2011年度【译者注释：根据文章内容，应该是11条缺陷，而且内部目录多次错误，已经纠正。

】Address: 7 allée Kastner CS 30026 - F 67081 Strasbourg Telephone: 33 (0) 3 88 41 30 30 - E-mail:cep@edqm.eu - Fax: 33 (0) 3 88 41 27 71 Internet : http://www.edqm.euTop ten deficiencies found after first assessment ofnew applications in 2011CEP证书首次申请评估发现的十大缺陷问题（2011）This document is a summary of the main questions resulting from the first assessment of new applications for Certificates of Suitability (CEP) for chemical purity. It is based on the content of a sample of 90 deficiency letters sent to applicants during the first months of 2011.本文是化学类别CEP证书首次申请首次评估中发现问题的汇总。

Practice Test #1 Reading Comprehension(18 Essays, 61 Questions)Essay #1. 019 (21201-!-item-!-188;#058&00019-00)During the nineteenth century, occupational information about women that was provided by the United States census--a population count conducted each decade--became more detailed and precise in response to social changes. Through 1840, simple enumeration by household mirrored a home-based agricultural economy and hierarchical social order: the head of the household (presumed male or absent) was specified by name, whereas other household members were only indicated by the total number of persons counted in various categories, including occupational categories. Like farms, most enterprises were family-run, so that the census measured economic activity as an attribute of the entire household, rather than of individuals.The 1850 census, partly responding to antislavery and women's rights movements, initiated the collection of specific information about each individual in a household. Not until 1870 was occupational information analyzed by gender: the census superintendent reported 1.8 million women employed outside the home in "gainful and reputable occupations." In addition, he arbitrarily attributed to each family one woman "keeping house." Overlap between the two groups was not calculated until 1890, when the rapid entry of women into the paid labor force and social issues arising from industrialization were causing women's advocates and women statisticians to press for more thorough and accurate accounting of women's occupations and wages.Question #1. 019-01 (21247-!-item-!-188;#058&000019-01)The primary purpose of the passage is to(A) explain and critique the methods used by early statisticians(B) compare and contrast a historical situation with a current-day one(C) describe and explain a historical change(D) discuss historical opposition to an established institution(E) trace the origin of a contemporary controversyQuestion #2. 019-02 (21293-!-item-!-188;#058&000019-02)Each of the following aspects of nineteenth-century United States censuses is mentioned in the passage EXCEPT the(A) year in which data on occupations began to be analyzed by gender(B) year in which specific information began to be collected on individuals in addition to the head of the household(C) year in which overlap between women employed outside the home and women keeping house was first calculated(D) way in which the 1890 census measured women's income levels and educational backgrounds(E) way in which household members were counted in the 1840 censusQuestion #3. 019-04 (21339-!-item-!-188;#058&000019-04)The passage suggests which of the following about the "women's advocates and women statisticians" mentioned in the highlighted text?(A) They wanted to call attention to the lack of pay for women who worked in the home.(B) They believed that previous census information was inadequate and did not reflect certaineconomic changes in the United States.(C) They had begun to press for changes in census-taking methods as part of their participation in the antislavery movement.(D) They thought that census statistics about women would be more accurate if more women were employed as census officials.(E) They had conducted independent studies that disputed the official statistics provided by previous United States censuses.Essay #2. 066 (21346-!-item-!-188;#058&00066-00)The general density dependence model can be applied to explain the founding of specialist firms (those attempting to serve a narrow target market). According to this model, specialist foundings hinge on the interplay between legitimation and competitive forces, both of which are functions of the density (total number) of firms in a particular specialist population. Legitimation occurs as a new type of firm moves from being viewed as unfamiliar to being viewed as a natural way to organize.At low density levels, each founding increases legitimation, reducing barriers to entry and easing subsequent foundings. Competition occurs because the resources that firms seek--customers, suppliers, and employees--are limited, but as long as density is low relative to plentiful resources, the addition of another firm has a negligible impact on the intensity of competition. At high density levels, however, competitive effects outweigh legitimation effects, discouraging foundings. The more numerous the competitors, the fiercer the competition will be and the smaller will be the incentive for new firms to enter the field.While several studies have found a significant correspondence between the density dependence model and actual patterns of foundings, other studies have found patterns not consistent with the model. A possible explanation for this inconsistency is that legitimation and competitive forces transcend national boundaries, while studies typically restrict their analysis to the national level. Thus a national-level analysis can understate the true legitimation and competitive forces as well as the number of foundings in an industry that is internationally integrated. Many industries are or are becoming international, and since media and information easily cross national borders, so should legitimation and its effects on overseas foundings. For example, if a type of firm becomes established in the United States, that information transcends borders, reduces uncertainties, and helps foundings of that type of firm in other countries. Even within national contexts, studies have found more support for the density dependence model when they employ broader geographic units of analysis--for example, finding that the model's operation is seen more clearly at the state and national levels than at city levels.Question #4. 066-02 (21392-!-item-!-188;#058&000066-02)According to the passage, which of the following may account for the inconsistency between the general density dependence model and the evidence provided by certain studies of foundings?(A) Such studies have overemphasized the impact of preexisting firms on the establishment of new firms.(B) Such studies have not focused strongly enough on the role of competition among newly established firms operating at the city and state levels.(C) Such studies fail to differentiate among specialist firms with regard to the degree to which they deviate from familiar forms of organization.(D) Such studies have not taken into account the fact that many industries are internationally integrated.(E) Such studies have neglected to investigate firms that attempt to serve only a narrow target market.Question #5. 066-04 (21438-!-item-!-188;#058&000066-04)In the second paragraph, the author is primarily concerned with(A) noting various exceptions to a certain general finding(B) examining the impact of one type of industry on another(C) proposing a possible explanation for an inconsistency(D) providing specific examples of a particular phenomenon(E) defending the validity of a particular study's conclusionsQuestion #6. 066-06 (21484-!-item-!-188;#058&000066-06)The passage suggests that when a population of specialist firms reaches a high density level, which of the following is likely to occur?(A) Foundings will decline despite legitimation that has occurred in these industries.(B) Increasing competition will encourage many firms to broaden their target market.(C) Competition for resources will become stabilized and thus foundings will be encouraged.(D) Many customers will abandon their loyalty to older firms as more innovative firms enter the market.(E) Firms will begin to cross national borders in an attempt to gain a competitive advantage. Question #7. 066-08 (21530-!-item-!-188;#058&000066-08)The primary purpose of the passage is to(A) question the validity of an economic model(B) point out some inconsistencies within an economic model(C) outline an economic model and suggest revisions to it(D) describe an economic model and provide specific examples to illustrate its use(E) explain why an economic model remains valid despite inconsistent research resultsEssay #3. 075 (21535-!-item-!-188;#058&00075-00)In its 1903 decision in the case of Lone Wolf v. Hitchcock, the United States Supreme Court rejected the efforts of three Native American tribes to prevent the opening of tribal lands to non-Indian settlement without tribal consent. In his study of the Lone Wolf case, Blue Clark properly emphasizes the Court's assertion of a virtually unlimited unilateral power of Congress (the House of Representatives and the Senate) over Native American affairs. But he fails to note the decision's more far-reaching impact: shortly after Lone Wolf, the federal government totally abandoned negotiation and execution of formal written agreements with Indian tribes as a prerequisite for the implementation of federal Indian policy. Many commentators believe that this change had already occurred in 1871 when--following a dispute between the House and the Senate over which chamber should enjoy primacy in Indian affairs--Congress abolished the making of treaties with Native American tribes. But in reality the federal government continued to negotiate formal tribal agreements past the turn of the century, treating these documents not as treaties with sovereign nations requiring ratification by the Senate but simply as legislation to be passed by both houses of Congress. The Lone Wolf decision ended this era of formal negotiation and finally did away with what had increasingly become the empty formality of obtaining tribal consent.Question #8. 075-03 (21581-!-item-!-188;#058&000075-03)According to the passage, the congressional action of 1871 had which of the following effects?(A) Native American tribal agreements were treated as legislation that had to be passed by both houses of Congress.(B) The number of formal agreements negotiated between the federal government and Native American tribes decreased.(C) The procedures for congressional approval and implementation of federal Indian policy were made more precise.(D) It became more difficult for Congress to exercise unilateral authority over Native American affairs.(E) The role of Congress in the ratification of treaties with sovereign nations was eventually undermined.Question #9. 075-06 (21627-!-item-!-188;#058&000075-06)According to the passage, which of the following resulted from the Lone Wolf decision?(A) The Supreme Court took on a greater role in Native American affairs.(B) Native American tribes lost their legal standing as sovereign nations in their dealings with the federal government, but their ownership of tribal lands was confirmed.(C) The federal government no longer needed to conclude a formal agreement with a Native American tribe in order to carry out policy decisions that affected the tribe.(D) The federal government began to appropriate tribal lands for distribution to non-Indian settlers.(E) Native American tribes were no longer able to challenge congressional actions by appealing to the Supreme Court.Question #10. 075-07 (21673-!-item-!-188;#058&000075-07)The author of the passage is primarily concerned with(A) identifying similarities in two different theories(B) evaluating a work of scholarship(C) analyzing the significance of a historical event(D) debunking a revisionist interpretation(E) exploring the relationship between law and social realityEssay #4. 094 (21680-!-item-!-188;#058&00094-00)Some historians contend that conditions in the United States during the Second World War gave rise to a dynamic wartime alliance between trade unions and the African American community, an alliance that advanced the cause of civil rights. They conclude that the postwar demise of this vital alliance constituted a lost opportunity for the civil rights movement that followed the war. Other scholars, however, have portrayed organized labor as defending all along the relatively privileged position of White workers relative to African American workers. Clearly, these two perspectives are not easily reconcilable, but the historical reality is not reducible to one or the other.Unions faced a choice between either maintaining the prewar status quo or promoting a more inclusive approach that sought for all members the right to participate in the internal affairs of unions, access to skilled and high-paying positions within the occupational hierarchy, and protection against management's arbitrary authority in the workplace. While union representatives often voiced this inclusive ideal, in practice unions far more often favored entrenched interests. The accelerating development of the civil rights movement following the Second World War exacerbated the unions'dilemma, forcing trade unionists to confront contradictions in their own practices.Question #11. 094-01 (21726-!-item-!-188;#058&000094-01)The "unions' dilemma" mentioned in the highlighted text can best be described as the question of whether or not to(A) pressure management to create more skilled and high-paying positions(B) fight for greater union participation in management decisions(C) include minority workers in their membership(D) extend full rights and benefits to all their members(E) emphasize the recruitment of new members over serving the needs of current members Question #12. 094-02 (21772-!-item-!-188;#058&000094-02)According to the passage, the historians mentioned in the first highlighted portion of text and the scholars mentioned in the second highlighted portion disagree about the(A) contribution made by organized labor to the war effort during the Second World War(B) issues that union members considered most important during the Second World War(C) relationship between unions and African Americans during the Second World War(D) effect of the Second World War on the influence of unions in the workplace(E) extent to which African Americans benefited from social and political changes following the Second World WarQuestion #13. 094-06 (21818-!-item-!-188;#058&000094-06)The passage is primarily concerned with(A) providing a context within which to evaluate opposing viewpoints about a historical phenomenon(B) identifying a flawed assumption underlying one interpretation of a historical phenomenon(C) assessing the merits and weaknesses of a controversial theory about a historical phenomenon(D) discussing the historical importance of the development of a wartime alliance(E) evaluating evidence used to support a particular interpretation of a historical phenomenonEssay #5. 118 (21825-!-item-!-188;#058&00118-00)Historians have identified two dominant currents in the Russian women's movement of the late tsarist period. "Bourgeois" feminism, so called by its more radical opponents, emphasized "individualist" feminist goals such as access to education, career opportunities, and legal equality. "Socialist" feminists, by contrast, emphasized class, rather than gender, as the principal source of women's inequality and oppression, and socialist revolution, not legal reform, as the only road to emancipation and equality.However, despite antagonism between bourgeois feminists and socialist feminists, the two movements shared certain underlying beliefs. Both regarded paid labor as the principal means by which women might attain emancipation: participation in the workplace and economic self-sufficiency, they believed, would make women socially useful and therefore deserving of equality with men. Both groups also recognized the enormous difficulties women faced when they combined paid labor with motherhood. In fact, at the First All-Russian Women's Congress in 1908, most participants advocated maternity insurance and paid maternity leave, although the intense hostility between some socialists and bourgeois feminists at the Congress made it difficult for them to recognize these areas ofagreement. Finally, socialist feminists and most bourgeois feminists concurred in subordinating women's emancipation to what they considered the more important goal of liberating the entire Russian population from political oppression, economic backwardness, and social injustice.Question #14. 118-03 (21871-!-item-!-188;#058&000118-03)The passage suggests that socialists within the Russian women's movement and most bourgeois feminists believed that in Russia(A) women would not achieve economic equality until they had political representation within the government(B) the achievement of larger political aims should take precedence over the achievement of women's rights(C) the emancipation of women would ultimately bring about the liberation of the entire Russian population from political oppression(D) women's oppression was more rooted in economic inequality than was the case in other countries(E) the women's movement was more ideologically divided than were women's movements in other countriesQuestion #15. 118-05 (21917-!-item-!-188;#058&000118-05)The passage is primarily concerned with(A) identifying points of agreement between two groups(B) advocating one approach to social reform over another(C) contrasting two approaches to solving a political problem(D) arguing that the views espoused by one political group were more radical than those espoused by another group(E) criticizing historians for overlooking similarities between the views espoused by two superficially dissimilar groupsQuestion #16. 118-06 (21963-!-item-!-188;#058&000118-06)According to the passage, Russian socialists within the women's movement and most bourgeois feminists disagreed about which of the following?(A) Whether legal reform was central to the achievement of feminist goals(B) Whether paid employment was important for the achievement of equality(C) Whether maternity insurance was desirable for working mothers(D) Whether working mothers faced obstacles(E) Whether women's emancipation should be subordinated to the liberation of the Russian population Essay #6. 145 (21972-!-item-!-188;#058&00145-00)Colonial historian David Allen's intensive study of five communities in seventeenth-century Massachusetts is a model of meticulous scholarship on the detailed microcosmic level, and is convincing up to a point. Allen suggests that much more coherence and direct continuity existed between English and colonial agricultural practices and administrative organization than other historians have suggested. However, he overstates his case with the declaration that he has proved "the remarkable extent to which diversity in New England local institutions was directly imitative of regional differences in the mother country."Such an assertion ignores critical differences between seventeenth-century England and New England. First, England was overcrowded and land-hungry; New England was sparsely populated andlabor-hungry. Second, England suffered the normal European rate of mortality; New England, especially in the first generation of English colonists, was virtually free from infectious diseases. Third, England had an all-embracing state church; in New England membership in a church was restricted to the elect. Fourth, a high proportion of English villagers lived under paternalistic resident squires; no such class existed in New England. By narrowing his focus to village institutions and ignoring these critical differences, which studies by Greven, Demos, and Lockridge have shown to be so important, Allen has created a somewhat distorted picture of reality.Allen's work is a rather extreme example of the "country community" school of seventeenth-century English history whose intemperate excesses in removing all national issues from the history of that period have been exposed by Professor Clive Holmes. What conclusion can be drawn, for example, from Allen's discovery that Puritan clergy who had come to the colonies from East Anglia wereone-third to one-half as likely to return to England by 1660 as were Puritan ministers from western and northern England? We are not told in what way, if at all, this discovery illuminates historical understanding. Studies of local history have enormously expanded our horizons, but it is a mistake for their authors to conclude that village institutions are all that mattered, simply because their functions are all that the records of village institutions reveal.Question #17. 145-03 (22018-!-item-!-188;#058&000145-03)According to the passage, which of the following was true of most villages in seventeenth-century England?(A) The resident squire had significant authority.(B) Church members were selected on the basis of their social status within the community.(C) Low population density restricted agricultural and economic growth.(D) There was little diversity in local institutions from one region to another.(E) National events had little impact on local customs and administrative organization.Question #18. 145-05 (22064-!-item-!-188;#058&000145-05)The passage suggests that Professor Clive Holmes would most likely agree with which of the following statements?(A) An understanding of seventeenth-century English local institutions requires a consideration of national issues.(B) The "country community" school of seventeenth-century English history distorts historical evidence in order to establish continuity between old and new institutions.(C) Most historians distort reality by focusing on national concerns to the exclusion of local concerns.(D) National issues are best understood from the perspective of those at the local level.(E) Local histories of seventeenth-century English villages have contributed little to the understanding of village life.Question #19. 145-07 (22110-!-item-!-188;#058&000145-07)It can be inferred from the passage that the author of the passage considers Allen's "discovery" (see highlighted text) to be(A) already known to earlier historians(B) based on a logical fallacy(C) improbable but nevertheless convincing(D) an unexplained, isolated fact(E) a new, insightful observationQuestion #20. 145-08 (22156-!-item-!-188;#058&000145-08)The author of the passage is primarily concerned with(A) substantiating a claim about a historical event(B) reconciling two opposing ideas about a historical era(C) disputing evidence a scholar uses to substantiate a claim about a historical event(D) analyzing two approaches to scholarly research and evaluating their methodologies(E) criticizing a particular study and the approach to historical scholarship it representsEssay #7. 146 (22165-!-item-!-188;#058&00146-00)The United States government has a long-standing policy of using federal funds to keep small business viable. The Small Business Act of 1953 authorized the Small Business Administration (SBA) to enter into contracts with government agencies having procurement powers and to arrange for fulfillment of these contracts by awarding subcontracts to small businesses. In the mid-1960's, during the war on poverty years, Congress hoped to encourage minority entrepreneurs by directing such funding to minority businesses. At first this funding was directed toward minority entrepreneurs with very low incomes. A 1967 amendment to the Economic Opportunity Act directed the SBA to pay special attention to minority-owned businesses located in urban or rural areas characterized by high proportions of unemployed or low-income individuals. Since then, the answer given to the fundamental question of who the recipients should be--the most economically disadvantaged or those with the best prospects for business success--has changed, and the social goals of the programs have shifted, resulting in policy changes.The first shift occurred during the early 1970's. While the goal of assisting the economically disadvantaged entrepreneur remained, a new goal emerged: to remedy the effects of past discrimination. In fact, in 1970 the SBA explicitly stated that their main goal was to increase the number of minority-owned businesses. At the time, minorities constituted seventeen percent of the nation's population, but only four percent of the nation's self-employed. This ownership gap was held to be the result of past discrimination. Increasing the number of minority-owned firms was seen as a way to remedy this problem. In that context, providing funding to minority entrepreneurs in middle- and high-income brackets seemed justified.In the late 1970's, the goals of minority-business funding programs shifted again. At the Minority Business Development Agency, for example, the goal of increasing numbers of minority-owned firms was supplanted by the goal of creating and assisting more minority-owned substantive firms with future growth potential. Assisting manufacturers or wholesalers became far more important than assisting small service businesses. Minority-business funding programs were now justified as instruments for economic development, particularly for creating jobs in minority communities of high unemployment.Question #21. 146-01 (22211-!-item-!-188;#058&000146-01)The primary purpose of the passage is to(A) discuss historical changes in a government policy(B) describe the role of Congress in regulating the work of the SBA(C) contrast types of funding sources used by minority businesses(D) correct a misconception about minority entrepreneurship(E) advocate an alternative approach to funding minority entrepreneursQuestion #22. 146-05 (22257-!-item-!-188;#058&000146-05)It can be inferred that the "ownership gap" (see highlighted text) would be narrowed if which of the following were to occur?(A) Minority entrepreneurs received a percentage of government contracts equal to that received by nonminority entrepreneurs.(B) Middle- and high-income minority entrepreneurs gave more assistance to their low-income counterparts in the business community.(C) Minority entrepreneurs hired a percentage of minority employees equal to the percentage of minority residents in their own communities.(D) The percentage of self-employed minority persons rose to more than ten percent of allself-employed persons.(E) Seventeen percent of all persons employed in small businesses were self-employed.Question #23. 146-06 (22303-!-item-!-188;#058&000146-06)According to the passage, in 1970 funding to minority entrepreneurs focused primarily on which of the following?(A) Alleviating chronic unemployment in urban areas(B) Narrowing the ownership gap(C) Assisting minority-owned businesses with growth potential(D) Awarding subcontracts to businesses that encouraged community development(E) Targeting the most economically disadvantaged minority-owned businessesQuestion #24. 146-09 (22349-!-item-!-188;#058&000146-09)Which of the following best describes the function of the second paragraph in the passage as a whole?(A) It narrows the scope of the topic introduced in the first paragraph.(B) It presents an example of the type of change discussed in the first paragraph.(C) It cites the most striking instance of historical change in a particular government policy.(D) It explains the rationale for the creation of the government agency whose operations are discussed in the first paragraph.(E) It presents the results of policies adopted by the federal government.Essay #8. 147 (22358-!-item-!-188;#058&00147-00)In terrestrial environments, gravity places special demands on the cardiovascular systems of animals. Gravitational pressure can cause blood to pool in the lower regions of the body, making it difficult to circulate blood to critical organs such as the brain. Terrestrial snakes, in particular, exhibit adaptations that aid in circulating blood against the force of gravity.The problem confronting terrestrial snakes is best illustrated by what happens to sea snakes when removed from their supportive medium. Because the vertical pressure gradients within the blood vessels are counteracted by similar pressure gradients in the surrounding water, the distribution of blood throughout the body of sea snakes remains about the same regardless of their orientation in space, provided they remain in the ocean. When removed from the water and tilted at various angles。