Commercial fresh vegetable production is one of the most rewarding and risky farming activities. The price and yield variations throughout the production year, the special characteristics of fresh vegetable produce (i.e. perishability), and the changing consumer demands are some of the factors contributing to the increased uncertainty faced by vegetable producers. This dissertation combined mathematical programming and econometric techniques to: 1) investigate the optimal production and marketing practices under different price distribution information scenarios, risk aversion levels and marketing outlets and 2) examine growers’ preferences as well the effect of risk aversion levels and growers’ risk perception on the choice of marketing contracts. Specifically, the following three modeling approaches were adopted in order to achieve the dissertation objectives: 1) quadratic programming under a mean-variance framework, 2) discrete choice experiments and 3) a combination of quadratic and integer programming embodied in a meanvariance framework. The findings indicate that optimal production practices and the resulting net returns are substantially influenced not only by the choice of marketing channel but also by growers’ risk aversion levels as well as price knowledge. Furthermore, regarding the choice of marketing contracts, the results highlight the existence of heterogeneity in preferences and illustrate the importance of certification cost, in line with the previous literature. Lastly, the findings indicate that risk aversion and risk preferences do not play a significant role in the choice of contractual agreements by farmers.

Background: Price pressure, together with factors as commodization and demands for lower production costs has had a negative impact on further investments on the tea industry in Sri Lanka. Developing countries must persist in their efforts to catch up with the rapid growth and increased global trade to maintain an important source of growth. Despite increased recognition regarding the importance of economic growth, where it is crucial for a company’s ability to profit with long-term viability by finding a unique combination and collaboration of activities within the value chain, there is still a confusion of how an emerging vertical integration can strengthen the tea industry. Purpose: The purpose of this research is to evaluate, define and describe the value chain of actors and activities from raw material to finished product that activate value increments within the tea industry in Sri Lanka. In order to reach this aim, a deeper understanding of how enterprises choose their way of distribution commodities or value-added product. The empirical data is combined with a theoretical framework that investigates the challenges with vertical integration within the tea industry, focusing on strengthen Sri Lankan tea producers’ value chains. Delimitations: Distinction that investigates Sri Lanka and its value chain of tea. Methodology: This minor field research was performed with an evaluating research design in Sri Lanka. A qualitative approach has been used in combination to the ethnographic method that carries out the collection of data. Semi-structured interviews have been conducted with companies within the tea industry in Sri Lanka to meet the research objective. Conclusions: The vertical integration can be strengthened through informal integrate functions and its emergence can thus promote business networks. Actors linking through investments by brokers can thereby simplify the process of value adding activities to the current tea industry in Sri Lanka.

Master of Science / Department of Agricultural Economics / Kevin Dhuyvetter / This research analyzes how crop farms can achieve a higher net income per acre than other operations by farming fundamentally differently than others. There are many factors that are important to the long-term viability of today’s crop operations, one of which is how farms profitability compares with other operations. This determines farms’ ability to compete for land, outlast other operations through periods of unprofitability, and produce crops at long run equilibrium prices. These factors are relevant in today’s crop production industry where farms sit on a segment of the agribusiness supply chain. Therefore, in the interest of providing farms relevant information to manage their operations, this research analyzes how farms can distinguish their performance from other operations by accessing land and equipment resources, production practices for growing crops, and focusing their management efforts differently than other operations. There are three parts to this analysis. First, farms are broken down by characteristics, practices, and management performances. Then an econometric analysis quantifies the integrated correlation between farms’ distinguished characteristics, practices, and management performances and their distinguished net incomes per acre. Next a standard deviation analysis measures the degree to which farms are capable of distinguishing particular characteristics, practices, and management performances from other operations. Lastly, the performance of farms over the 2001 to 2010 time period is used to quantify how feasible it is for farms to maintain particular differences from other operations. Data used in this analysis were provided by the Kansas Farm Management Association, Kansas State University’s Department of Agricultural Economics, and Kansas’s National Agricultural Statistics Service office. The results suggest the way farms distinguish their characteristics, practices, and management performances from other operations impacts how their net income compares to other operations. The econometric analysis found that relative farm size, share of rented acres, the value of overhead and equipment investment per acre, government payments, planting intensity, risk, and cost, yield, and price management performances were all significantly related to farms’ relative net income. In regards to farms’ comparative profitability, this suggests farms should be aware of how their characteristics, practices, and management performances compare to other operations. The results also suggest the degree to which and the consistency with which farms can distinguish particular characteristics, practices, and management performances are different from one another. Over the 2001 to 2010 period, Kansas farms distinguished their characteristics from other operations to a larger degree than they distinguished their practices and management performances. Farms also maintained differences in their characteristics more consistently than they maintained differences in their practices and management performances. This suggests farms that are actively seeking to distinguish their net income per acre from other operations should be aware of the degree and consistency with which they can maintain particular differences from other operations.

Orientador: David Ferreira Lopes Santos / Banca: Marlete Beatriz Maçaneiro / Banca: Glaucia Aparecida Prates / Resumo: O objetivo deste estudo é avaliar como a análise do ciclo de vida (ACV) pode contribuir com o desenvolvimento de estratégias de ecoinovações para uma empresa do setor de saúde animal, e como esta estratégia está alinhada ao modelo de negócio da empresa. A pesquisa tem orientação metodológica qualitativa, de natureza exploratória, por meio de um caso único enquanto estratégia metodológica de pesquisa. Os resultados indicaram que a geração de ecoinovação na empresa não ocorre em uma estrutura formal de Pesquisa e Desenvolvimento - P&D. Contudo, o desenvolvimento de pesquisas é inerente para a manutenção da atividade econômica dessa empresa, principalmente pela necessidade de demonstrar a eficácia dos medicamentos homeopáticos para a linha veterinária. O mapeamento e a identificação das principais ecoinovações desenvolvidas pela empresa possibilitaram o entendimento do dimensionamento dos impactos dos esforços em ecoinovar, bem como permitiu identificar áreas passíveis de melhorias, norteando os gestores a adotarem práticas e estratégias mais assertivas que contemplam o desenvolvimento sustentável. As informações resultantes das análises podem contribuir para gerar ações sustentáveis em outras empresas. A visão holística dada pela ACV permitiu conhecer melhor as etapas do processo produtivo e do ciclo de vida, o que possibilitará melhorias no desempenho sustentável do negócio e suas cadeias de valor, tal como afirmaram Sonnemann et al. (2015). A pesquisa demonstrou ainda que as ... (Resumo completo, clicar acesso eletrônico abaixo) / Abstract: The objective of this study is to evaluate how the life cycle analysis (LCA) can contribute to the development of eco-innovation strategies for an animal health sector company, and how this strategy is aligned with the company's business model. The research has qualitative methodological orientation, of an exploratory nature, through a unique case as a methodological research strategy. The results indicated that the generation of eco-innovation in the company does not occur in a formal R & D-R & D structure. However, the development of research is inherent to the maintenance of the economic activity of this company, mainly due to the need to demonstrate the effectiveness of homeopathic medicines for the veterinary line. The mapping and identification of the main eco-innovations developed by the company made it possible to understand the scale of impacts of the efforts in ecoinovar, as well as to identify areas for improvement, guiding managers to adopt more assertive practices and strategies that contemplate sustainable development. The information resulting from the analysis can contribute to generate sustainable actions in other companies. The holistic view given by the ACV allowed us to better understand the stages of the production process and the life cycle, which will enable improvements in the sustainable performance of the business and its value chains, as Sonnemann et al. (2015). The research also showed that SMEs play a significant and fundamental role for sustainab... (Complete abstract click electronic access below) / Mestre

O conhecimento e consequentemente a inteligência passaram a ser umas das principais fontes de vantagem competitiva das empresas, dadas as grandes mudanças nas conjunturas dos mercados. Essa necessidade de inteligência, permeia todos os agentes produtivos que compõem o mercado, inclusive o do agronegócio. Tendo isso em mente, o objetivo central desta pesquisa foi propor um método para o processo de inteligência competitiva que consolide e integre a literatura de inteligência e contemple os aspectos críticos da indústria de insumos agropecuários no Brasil, considerando a hipótese de que que os métodos contemplam de forma superficial às necessidades específicas desse setor, e que um método mais específico poderia ser construído. Para atingir esse objetivo foram empregadas as seguintes estratégias de pesquisa: a) Pesquisa bibliográfica (desk research) e análise documental como um método de pesquisa integrado e complementar; b) Realização de entrevistas com especialistas; e c) Construção de método. Dessa forma, o resultado foi a construção de um método de inteligência competitivo para empresas de insumos do agronegócio brasileiro composto de nove etapas. A hipótese foi aceita e concluiu-se que este método atendeu aos objetivos propostos, pois reuniu a literatura existente, inclusive com conceitos digitais atuais (Big Data e Data Mining), além de atender às necessidades e especificidades do setor ao focar em seus aspectos críticos / The knowledge, and therefore, intelligence became one of the most important sources of competitive advantage for companies, given the markets\' major recent changes. This need for accurate intelligence, for those who really need it and on the time that it is needed permeates all agents, of all markets, in all sectors, including the agribusiness, one of the Brazil\'s most important economic sectors, specially the agribusiness input companies. With that in mind, this research\'s the main objective was to propose a framework for the competitive intelligence process that consolidates the literature regarding competitive intelligence and contemplates the Brazilian agribusiness\' input sector critical aspects. The hypothesis was that the existing frameworks contemplate superficially the sector\'s specific needs, due to the concepts\' generality and that a more specific framework could be built, taking into consideration the characteristics of that sector. To achieve this objective the following research strategies were employed: a) Bibliographic research (desk research) and documental analysis as an integrated research method; b) Interviews with specialists; and c) Framework construction. Therefore, the result was the construction of a competitive intelligence framework form Brazilian agribusiness\' input companies with nine phases. The hypothesis was accepted and in conclusion, this framework met the proposed objectives because it integrated the existing intelligence literature, including contemporary digital concepts such as Big Data and Data Mining, in addition to answering the sector\'s specific needs by focusing on its\' critical aspects

O objetivo do presente estudo foi levantar o modelo de formação do ecossistema de inovação que orbita as incubadoras integrantes da rede alvo, AGROINNCUBA, identificando as variáveis que compõem o ecossistema e avaliando a resultante deste processo no desempenho de empresas inovadoras voltadas para o agronegócio. A fim de caracterizar o modelo de formação de cada ecossistema de inovação da rede, a metodologia utilizada foi baseada em pesquisa quantitativa (análise multivariada) com os Coordenadores e empreendedores das incubadoras filiadas à AGROINNCUBA, através de um questionário com respostas abertas e fechadas aplicado online via Google formulários, além de entrevistas com os gestores das incubadoras e parques participantes. Os atores dos ecossistemas de inovação da rede AGROINNCUBA, têm desenvolvido uma cultura direcionada a inovação, dedicando-se a pensar e agir de forma a gerir o conhecimento por meio da tecnologia da informação, da organização do trabalho, da gestão da inovação, gestão de pessoas e de recursos, possibilitando assim ambientes que estimulem a criatividade, a viabilização de talentos, contribuindo para o seu desenvolvimento e fortalecimento. Diante do levantamento realizado para a verificação da existência de um ecossistema de inovação estabelecido ao redor das incubadoras e parques científicos da rede AGROINNCUBA, pode-se afirmar que este conjunto de atores tem contribuído para a geração de novos negócios inovadores, assim, promovendo o desenvolvimento econômico e social. / The objective of the present study was to analyze the formation model of the innovation ecosystem that orbits the incubators of the target network, AGROINNCUBA, identifying the variables that compose the ecosystem and evaluating the resulting process in performance of innovative agribusiness companies. In order to characterize the formation model of each innovation ecosystem, the methodology used was based on quantitative (multivariate analysis) and qualitative (discourse analysis) research with coordinators and entrepreneurs from the incubators affiliated with the AGROINNCUBA, through a questionnaire with open and closed responses applied online via Google forms and interviews with the managers of the participating incubators. The actors of the innovation ecosystems of the AGROINNCUBA network, have developed a culture directed to innovation, dedicating themselves to thinking and acting in order to manage knowledge through information technology, work organization, Innovation management, Management of people and resources, thus enabling environments that stimulate creativity, the feasibility of talents, contributing to their development and strengthening. In view of the survey carried out to verify the existence of an innovation ecosystem established around the incubators and scientific parks of the AGROINNCUBA network, it can be affirmed that this set of actors has contributed to the generation of new Innovative business, thus promoting economic and social development.

O instrumento tradicional de financiamento é aquele utilizado pelo Sistema Nacional de Crédito Rural - SNCR e que possui como fonte o orçamento do governo, as exigibilidades bancárias, a poupança verde etc. Os instrumentos não tradicionais podem ser considerados os novos mecanismos com fonte de recursos privados e que pretendem substituir os instrumentos tradicionais no financiamento agropecuário. A Lei n° 11.076, de 30 de dezembro de 2004, oficializou cinco títulos de créditos que deverão ser utilizados pelos agentes do agronegócio para captarem recursos privados para o seu financiamento e aumentar o giro de capital dentro do próprio setor, além de dar nova redação à Lei n° 9.973, de 29 de maio de 2000, que dispõe sobre o sistema de armazenagem dos produtos agropecuários. Os novos instrumentos de financiamento do agronegócio são denominados de: Certificado de Depósito Agropecuário - CDA, Warrant Agropecuário - WA, Certificados de Direitos Creditórios do Agronegócio - CDCA, Letra de Crédito do Agronegócio - LCA e Certificado de Recebíveis do Agronegócio - CRA. O objetivo destes instrumentos é desvincular a concessão de crédito do sistema oficial e desenvolver um novo mecanismo de financiamento do agronegócio através de papéis lastreados em produtos depositados e títulos de dívidas agrícolas que deve ampliar o relacionamento entre o setor financeiro e o setor como um todo, devendo tornar o financiamento mais eficiente para o produtor e menos onerosos aos cofres públicos. Este trabalho define o cenário brasileiro onde estes novos títulos do agronegócio foram instituídos, apresenta as justificativas para a criação destes títulos e expõe os mecanismos atualmente utilizados pelo mercado para captar recursos da iniciativa privada, apresenta e discute a legislação desses novos instrumentos. E por último buscaram-se alternativas de investimento para estes papéis nos mercados físicos e futuros de seis produtos agrícolas de janeiro de 2005 a outubro de 2005: açúcar cristal, algodão, arroz, café arábica, milho e soja. Duas situações foram consideradas: especulações com o CDA e o WA, onde o investidor adquire o papel e especula com cada produto; e operação de spread, onde o investidor compra o CDA/WA (mercado físico) e trava o rendimento numa operação com o mercado futuro da Bolsa de Mercadorias & Futuros - BM&F, sem ficar exposto a variações de preço. No caso do arroz apenas a análise dos preços físicos foi elaborada devido à ausência do mercado futuro para este produto na BM&F. A partir disso, concluiu-se que a especulação com os produtos agrícolas não teve um bom resultado no período. Já as operações de spread do mercado futuro da BM&F com o CDA/WA ofereceram boas oportunidades de rentabilidade ao investidor que conseguiu captar o momento correto para a operação. / The traditional instrument of financing is that one used by the National System of Rural Credit - SNCR and that has as source of resource the budget of the government, the banking liabilities, the green saving. The not traditional instruments can be considered the new mechanisms which have as source of funding private resources and that aims as to substitute the traditional instruments of the farming financing. The Law 11,076, of December 30, 2004, officialized five titles of credits that will have to be used by the agents of the agribusiness to raise private resources to its financing and to increase the turn of capital of the own sector, besides giving new writing to the Law number 9,973, of May 29, 2000, which deliberates on the system of storage of the farming products. The new instruments of financing of the agribusiness are: Certificate of Agribusiness Deposit - CDA, Agribusiness Warrant - WA, and Certificates of Rights to Receive - CDCA, Agribusiness Letter of Credit - LCA and Certified of Receivable of the Agribusiness - CRA. The objective of these instruments is to detach the concession of credit of the official system and to develop a new mechanism of financing of the agribusiness through titles based in deposited agricultural products and titles of agricultural debts that must increase the relationship between the financial and agribusiness sector as a whole, and it is expected that the financing will become more efficient for the producer and less expensive to the government. This work defines the Brazilian scene where these new titles have been created, it presents the justifications for the creation of these titles and shows the mechanisms used by the market to raise resources from the private sector, presents and it discuss the legislation of these new titles. Finally, it was searched alternative of investment for these papers in the physical and future markets of six agricultural products using data from January 2005 to October of 2005: bulk sugar, cotton, rice, Arabica coffee, maize and soybean. Two situations had been considered: speculations with the CDA and WA, where the investor acquires the title and speculates with each product; and operation of spread, where the investing purchase the CDA/WA (physical market) and locks the interest rate in an operation with the futures market of the Brazilian Mercantile & Futures Exchange - BM&F, without being exposed to the price variations. In the case of the rice only the analysis of the physical prices was done because of the absence of the futures market for this product in the BM&F. From this, it was concluded that the speculation with the agricultural products did not have good results in the period. However, the operations of spread of the futures market of the BM&F with the CDA/WA had offered good opportunities of profitability to the investor who was able to operate at the correct moment.

O tema do poder economico nas relacoes verticais de uma cadeia de suprimento,frequentemente, apresenta-se como uma materia ambigua na teoria economica. Este tema que carrega tal ambiguidade e aspecto chave para analise e aplicacao da teoria economica em casos concretos do funcionamento da economia, em especial pelos orgaos de defesa economica ou antitruste. O caso do Sistema Agroindustrial (SAG) citricola paulista apresenta muitos destas ambiguidades analiticas e, tambem, foi caso julgado pelo Conselho Administrativo de Defesa Economica (CADE), em pelo menos dois momentos importantes na evolucao de sua organizacao economica. O poder economico foi topico central destes julgamentos e, por isso, a pergunta de pesquisa desta tese e: o poder economico afeta a formacao do arranjo organizacional do SAG citricola paulista? Utilizando fundamentos teoricos na Economia dos Custos de Transacao (ECT), tanto do ramo de governanca quanto do ramo de custos de mensuracao, a tese analisa a transacao de compra e venda de laranja entre produtor citricola e processador de suco, em termos de: (1) formacao de contratos, isto e, do processo de selecao de termos do contrato; e (2) decisao de integracao vertical parcial para tras tomada pelos processadores de suco, os quais aumentam a producao agricola de seu insumo principal. Esta tese utiliza, para tanto, metodos mistos de pesquisa, pois este estudo de caso do SAG citricola paulista e acompanhado de uma analise econometrica acerca das decisoes de integracao vertical das firmas processadoras de suco. Dessa forma, a investigação empirica pode ser dividida em duas partes. A primeira parte utiliza analise de conteudo de contratos e documentos do CADE, a fim de indicar a influencia do poder economico dos processadores de suco sobre a selecao dos termos contratuais. Como achados principais desta parte, destaca-se que termos do contrato podem ser selecionados estrategicamente, com o objetivo de deixar lacunas contratuais e, consequentemente, direitos de propriedade naoespecificados,os quais podem ser consumidos sem pagamento marginal. Adicionalmente,indica-se que o CADE utilizou mecanismos diferentes para lidar com problemas de poder nas relacoes contratuais, em dois contextos historicos distintos do mesmo caso, demonstrando aprendizagem e melhoria dos remedios empregados. A segunda parte consiste em um modelo econometrico, enderecando os determinantes da integracao vertical parcial para tras dos processadores de suco. Evidencias econometricas indicam que a decisao do CADE em 1995 incentivou o aumento da integracao vertical em anos posteriores. O poder economico dos processadores de suco tambem aparece como determinante do aumento da integracao vertical.No entanto, estes efeitos foram concomitantes com efeitos de eficiencia em custos de transacao, dados por aumento de investimentos especificos na relacao. Assim, o balanceamento entre poder e eficiencia e topico central de analise da organizacao econômica do caso. A tese possui contribuicoes para o entendimento das relacoes estrategicas entre firmas, especialmente na relacao vertical entre o fornecedor de um insumo agricola e a industria de processamento de alimentos. As relacoes contratuais e o papel da integração vertical entre estes agentes tem implicacoes para adocao de estrategias competitivas e para a analise de defesa economica. / Economic power in vertical relationships within a supply chain is, frequently, an ambiguous theme in economic theory. Notwithstanding, this ambiguous theme is a key element of applied economic analysis in real world cases, especially for antitrust offices. The citrus agribusiness system in Sao Paulo state presented several of these analytical ambiguities and, it was also target of antitrust adjudications, at least in two different and important periods of its organizational evolution. Economic power is a central issue on these adjudications and, therefore, the research question of this thesis is: is power affects the institutional arrangement formation in citrus sector? Using theoretical backgrounds on Transaction Costs Economics, both governance and measurement branches, I investigated the transaction of oranges between citrus growers and juice processor firms, in terms of: (1) contract definition, i.e. the contract terms selection process; and (2) make-or-buy decision, regarding the increasing partial and backward vertical integration of juice processor firms into orange production. This work uses mixed methods of investigation, because it is a case study combined with an econometric analysis of vertical integration path in the sector. Thus, the empirical investigation is constituted by two parts. The first one is a content analysis of contract and antitrust documents, in order to verify the influence of juice processor\'s economic power over contract terms selection. My main findings indicated that contract terms can be selected for the purpose of create contractual gaps and, consequently, attributes remain unspecified and consumed without any marginal payment. Additionally, Brazilian antitrust office used different kind of interventions in two distinct situations in the same case, which demonstrates improvements in the remedies to deal with contractual problems in vertical relationships. The second one consists in an econometric model to clarify the determinants of the backward partial vertical integration of juice processor. Econometric evidences suggest that antitrust intervention in 1995 is positively related to the increasing vertical integration in later period. Economic power also determined the increase in vertical integration, but efficiencies in transaction costs, in terms of relationship specific investments, is also a significant factor. Thus, economic power (strategizing) and economizing in transaction costs are not mutually exclusive and its trade offs would be the starting point for the economic analysis of this particular case. This thesis contributes to the understanding of strategic interaction of firms, especially the vertical relationships in the context of agribusiness sector (the organization of transactions between farmers and food processing industries). These contractual relationships and the role played by vertical integration in the orange juice sector have implications to competitive strategies and to antitrust analyses.

Cada vez mais a sustentabilidade tem ganhado atenção nas discussões da sociedade. Várias conferências e acordos vêm sido realizados para que os países estabeleçam e cumpram metas para melhorar seu desenvolvimento sustentável. Em especial, no setor agropecuário vêm sendo desenvolvidos vários instrumentos para avaliar e mensurar a sustentabilidade das propriedades agropecuárias. Sendo o setor leiteiro muito representativo para o agronegócio brasileiro, o presente trabalho tem por objetivo analisar a sustentabilidade em propriedades agropecuárias que têm a atividade leiteira sua principal atividade econômica, buscando verificar a hipótese de que elas são sustentáveis nas dimensões ambiental, econômica e social, pela metodologia RISE. A escala ecológica do RISE está dividida em trinta parâmetros que compõe seis indicadores (Uso do solo; Produção animal; Fluxo de nutrientes; Uso da água; Energia e clima; e Biodiversidade e proteção das plantas). A escala social é formada por dez parâmetros que representam dois indicadores (Condições de trabalho e Qualidade de vida). A escala econômica por sua vez é compota por onze parâmetros que geram dois indicadores (Viabilidade econômica e Gestão da fazenda). Cabe destacar que esse trabalho surgiu de uma parceria da Dairy Partners Americas com o Swiss College of Agriculture que visa à avaliação de propriedades leiteiras em várias partes do mundo, onde há atuação da empresa. Assim, tornou-se possível o acesso ao questionário do RISE para ser aplicado e a coleta dos dados necessários ao cálculo dos parâmetros e indicadores. Para analisar a sustentabilidade nas propriedades leiteiras foram selecionadas dez amostras, localizadas nos estados de Minas Gerais, São Paulo e Rio Grande do Sul, nas quais foram aplicados o questionário. Os resultados obtidos mostram a necessidade de implementação de medidas em caráter de urgência em algumas áreas ambientais, especialmente no que se refere ao fluxo de nutrientes, energia e clima que apresentaram resultados insustentáveis na maioria das amostras. Já os indicadores ambientais de Uso de solo e Produção animal apresentaram valores sustentáveis na maioria das propriedades. Também foram obtidos resultados sustentáveis nos quesitos de qualidade de vida e viabilidade econômica das dimensões social e econômica, respectivamente. Os demais indicadores obtiveram um resultado intermediário, mas necessitam de medidas para melhorar a sustentabilidade. / Increasingly sustainability has gained attention in discussions of society. Several conferences and agreements have been made for countries to set and meet goals to improve their sustainable development. In particular, the agricultural sector has been developed several tools to evaluate and measure the sustainability of livestock farming. As the dairy industry very representative for the Brazilian agribusiness, this study aims to examine sustainability in agricultural properties that have in dairy as its main economic activity, seeking to verify the hypothesis that they are sustainable in environmental, economic and social, by using RISE methodology. The scale of the ecological RISE is divided into thirty parameters that comprise six indicators (Soil use; Animal husbandry; Nutrients flows; Water use; Energy and climate; and Biodiversity and plant protection). The social scale consists of ten parameters that represent two indicators (Working conditions and Quality of life). The economic scale turn is jam eleven parameters that generate two indicators (Economic viability and Farm management). It is worth noting that this work grew out of a partnership between Dairy Partners Americas with the Swiss College of Agriculture aimed at the evaluation of dairy farms in various parts of the world where the company operates. Thus, it became possible access to the RISE questionnaire to be applied and the collection of data necessary to calculate the parameters and indicators. To analyze sustainability in dairy farms were selected ten samples located in the states of Minas Gerais, São Paulo and Rio Grande do Sul, were studied using the questionnaire. The results show the need to implement measures on an emergency basis in some environmental areas, especially with regard to the flow of nutrients, energy and climate have tested unsustainable in most samples. The indicators of environmental soil use and animal husbandry values presented in the most sustainable properties. Sustainable results were also obtained in the categories of quality of life and economic viability of the social and economic dimensions, respectively. Other indicators showed an intermediate result, but require measures to improve sustainability.

Na formação do mercado de biodiesel no Brasil observa-se a criação de diversos arranjos institucionais alternativos para a produção desse biocombustível. Alguns arranjos surgiram espontaneamente, enquanto outros foram criados por meio de incentivos governamentais para atender aos objetivos de inclusão social e diversificação das matérias-primas. Este estudo tem como objetivo analisar os aspectos relacionados aos custos de transação que podem interferir no objetivo governamental de desenvolver novos arranjos institucionais envolvendo a agricultura familiar a partir de culturas alternativas à soja, especialmente mamona, girassol e pinhão manso, para a produção de biodiesel. O aporte teórico utilizado para embasar este estudo é a Nova Economia Institucional. Em especial, trata da influência do ambiente institucional sobre as escolhas dos agentes, considerando-se os custos de transação envolvidos nas relações de troca. A estratégia de pesquisa utilizada é o estudo de casos múltiplos. Os estudos de caso foram realizados em uma usina privada em Goiás e os respectivos agricultores contratados por ela; em uma usina subsidiária de uma empresa estatal localizada no Estado da Bahia e dos respectivos agricultores contratados por ela e o terceiro caso foi realizado com agricultores de assentamentos do Pontal do Paranapanema no Estado de São Paulo. A partir dos dados coletados, constatou-se que a compra de soja, via mercado, seria a escolha ótima caso o agente regulador não deslocasse a escolha dos agentes para arranjos considerados subótimos como a contratação de soja, mamona, girassol e pinhão manso, estimulados por incentivos tributários e de reserva de mercado. Também se verificou que a regulação insere especificidades nas relações que poderiam ser realizadas via mercado, aumentando o custo do arranjo e expondo a indústria ao comportamento oportunista do agricultor. Além disso, a transferência de conhecimento e tecnologia nos arranjos induzidos pelo agente regulador ocorre de maneira mais lenta. Como os agentes são levados a transacionar em arranjos de maior custo, identificou-se a criação de alguns mecanismos para a redução desses custos como a revenda dos produtos adquiridos da agricultura familiar e compra de óleo de soja no mercado para a produção de biodiesel, além de contratos de balcão com agricultores. Conclui-se que os custos de transação são maiores nos arranjos de matérias-primas alternativas à soja o que dificulta o alcance do objetivo governamental em estimular a produção de biodiesel na agricultura familiar a partir de matérias-primas diversificadas. Os custos de transação também são maiores com a agricultura familiar, consequentemente, os agentes compradores (usina privada e estatal) buscam adquirir a matéria prima de agricultores familiares produtores de soja que atuam a mais tempo nesta atividade e, assim, são considerados mais estruturados, apresentando vantagens em redução de custos de transação, quando comparados à agricultura familiar dedicada a culturas alternativas. / In the formation of the biodiesel market in Brazil it was observed the creation of several alternative institutional arrangements for the production of this biofuel. Some arrangements were spontaneously formed, while other arrangements were created by government incentives to meet the objectives of social inclusion and diversification of raw materials. This study aims to analyze aspects related to transaction costs that may interfere with the governmental objective of developing new institutional arrangements involving the change from soya-based family farming, to other crops alternatives for biodiesel production, especially regarding castor beans, sunflower and jatropha. The New Institutional Economics is the theoretical approach that bases this study. In particular, it deals with the influence of institutional environment on the choices of agents, considering the transaction costs involved in transactions. The research strategy is the multiple cases study. The case studies were conducted with a private processing plant in Goias and with the farmers contracted by it; also in a subsidiary of state-owned company located in Bahia state and the farmers contracted by it; and the third was carried out with farmers settlement of the Pontal do Paranapanema in the state of Sao Paulo. From the data collected, it was found that the purchase of soybeans through the market would be the optimal choice if the regulator agent (government) hasn´t shift the choice of agents to an arrangement considered suboptimal as the hiring of soybean, rapeseed, sunflower and jatropha, encouraged by tax incentives and reserve market. It was also found that the regulation enters specificities into the relationships between buyers and sellers, increasing the cost of the arrangements, exposing the industry to farmer´s opportunistic behavior. Moreover, the transfer of expertise and technology in arrangements induced by the regulator agent occurs slowly. Because agents are induced to transact at higher-cost arrangements, it was identified the creation of mechanisms to reduce those costs, as the resale of products purchased from the family farm and purchase of soybean oil on the market, also as informal contracts with farmers, denominated fake contracts. It is concluded that transaction costs are higher in the arrangements of alternative raw materials when compared to the soybean, making it difficult to reach the goal of government in stimulating the production of biodiesel in family farm from diverse raw materials. Transaction costs are also higher with family farming, which implies that the buying agents (private and state plant) seek to acquire raw materials from family farmers used to the soybean production, and thus, are considered more structured, which give advantages in reducing transaction costs, when compared to family farms dedicated to alternative crops.