The Sino-Australian wool trade relationship is the most significant in the international wool industry. China accounts for 65 per cent of Australia’s wool exports and Australian wool around 70 per cent of China’s imports. At the same time, it has also been one of the most contentious areas of Sino- Australian trade. There have been frequent disputes, protracted trade negotiations and numerous problems unsettling the smooth flow of product from Australian woolgrowers to Chinese wool textile mills. Despite a number of investigations and several bilateral and multilateral initiatives to improve trade protocols, in particular associated with China’s accession in the World Trade Organization (WTO) in 2001, many of these longstanding problems remain unresolved. A range of different methods are employed by China-located early-stage wool processors (ESWPs) to obtain their raw wool requirements. This research applies transaction cost analysis to examine the extent to which different raw material purchasing channels have changed (and are changing) over time. The research aims both to elucidate how China-located ESWPs govern the wool procurement transaction and to investigate the interaction of socio-economic (asset specificity, frequency, uncertainty) and transactional cost factors (information, negotiation and monitoring costs) influencing the decision-making of the ESWPs. This research is unique in that it has been conducted by a wool industry “insider” who speaks Mandarin and who has applied the Transaction Cost Analysis (TCA) from the perspective of the Chinese management of the ESWP firm in order to identify possible improvements. Transaction Cost Analysis seeks to analyse the “make or buy decision” or in this case the degrees of backwards vertical integration into the Australian wool marketing system by China’s ESWPs. The “make or buy” decision has become a theoretical reality since China’s WTO accession — an institutional change that allows more vertical coordination and the potential for improved fibre selection in Australia’s wool market. Understanding these structures can provide considerable insight into how the Australian wool supply chain (particularly fibre selection and soft attribute differentiation) can be improved to the benefit of stakeholders. This is especially important from the viewpoint of improving the quality of China’s intermediate wool processing — a vital stage where any mistakes in fibre selection cannot be undone and are expensive, often only “discovered” much later at garment or fabric delivery stage. Being a natural fibre destined for the high-end apparel market, quality with consistency is always a challenge for wool, “the fibre”, in the modern textile landscape. The research finds that although the conditions exist for vertical coordination, a hierarchy structure has v only been employed by foreign processors that had pre-existent raw material infrastructure in Australia. Most Australian wool imports still enter China through intermediaries without sufficient completeness of the contract, mainly owing to the uniquely “Chinese” method of price and quality risk management. Two large privately owned Chinese processors have vertically integrated for some of their raw material needs but also use intermediaries to avoid over dependency. The fact that China has still not completely fulfilled WTO entry requirements, specifically in regards to Tariff Rate Quota administration, also contributes to state intermediary participation and sovereign risk issues that periodically destabilise Australian wool markets. Institutional reforms have had little impact on wool quality, and significant improvements in terms of outcomes for both processors and woolgrowers would only be possible by further integration of Chinese processors into Australia’s wool marketing system.

Exporting plays an imperative role in many firms growth and survival. For that reason, a profound understanding of export operations is of interest to researchers as well as practitioners. Choosing the export mode is one of the most important strategic decisions a firm makes when exporting to its foreign markets. This decision may affect the firm s resource allocations and shape the possibility of future foreign expansion, and thus has potential performance implications. This study acknowledges that export mode choices should contribute to the firm success initially and on a continuous basis. Hence, it recognises the interlinked nature of export mode operations, and, for the first time, adapts a holistic view on export operation modes. Introducing the portfolio logic, this study investigates antecedents of the export mode portfolio and its performance implications. Two different theoretical approaches of transaction cost economics (TCE) and real options (RO) were used to distinguish different possible export mode portfolios of a firm. The study model is empirically tested using data from 250 Chinese export firms. From the TCE perspective, the finding suggests that firms' levels of investment uncertainty and export marketing capability are the main drivers of an internalised export mode portfolio. From the RO theory viewpoint, on the other hand, the result indicates that firms' levels of endogenous uncertainties (i.e. cultural uncertainty and technological uncertainty) are positively related to the intensity of use of Joint-Investment export modes in the portfolio of firms. In ddition, as expected, the greater the preponderance of exogenous uncertainties (i.e. investment uncertainty and demand uncertainty) the higher the proportion of No-Investment export modes in the portfolio of the firm. Further analysis of firms' export performance reveals that firms shaping their export mode portfolios according to the predictions of real options out-perform firms that shape their export mode portfolio based on TCE considerations. More specifically, firms that reduce their endogenous uncertainty, by engaging more in Joint- Investment modes of export operation across their portfolio, benefit from higher profit performance. The new model developed in this study provides a tool that enables scholars to give better advice to exporters on how they can structure their export mode portfolio for enhanced export profit.

Submitted by Izabel Franco (izabel-franco@ufscar.br) on 2016-09-30T14:02:14Z No. of bitstreams: 1 DissFIF.pdf: 1957016 bytes, checksum: 0438d81de36604a4802f6937a1c7f1c3 (MD5) / Approved for entry into archive by Marina Freitas (marinapf@ufscar.br) on 2016-10-04T17:07:24Z (GMT) No. of bitstreams: 1 DissFIF.pdf: 1957016 bytes, checksum: 0438d81de36604a4802f6937a1c7f1c3 (MD5) / Approved for entry into archive by Marina Freitas (marinapf@ufscar.br) on 2016-10-04T17:07:35Z (GMT) No. of bitstreams: 1 DissFIF.pdf: 1957016 bytes, checksum: 0438d81de36604a4802f6937a1c7f1c3 (MD5) / Made available in DSpace on 2016-10-04T17:07:42Z (GMT). No. of bitstreams: 1 DissFIF.pdf: 1957016 bytes, checksum: 0438d81de36604a4802f6937a1c7f1c3 (MD5) Previous issue date: 2015-05-20 / Não recebi financiamento / In the agri-chain of cassava starch in Brazil, the supply of firms is through different governance structures. These structures range from the purchase via the spot market - without any contractual control over the production - to the hierarchy or vertical integration, structure in which the company is growing in own areas, with full control over the production. Between these two extremes were also identified other governance structures, which are called Hybrid arrangements that can approach the spot market or hierarchy. This essay aimed to identify the factors that influence the decisions of the paranaenses starch factories on the governance structures in buying - cassava supply in the state of Paraná. The specific objectives are: a) show if there is specifics that support the necessity to search for a particular organizational arrangement to the detriment of business through the spot market in the state of Paraná; b) analyze the factors that justify the choices of cassava starch factories for plural or singular forms in the state of Paraná; c) comparing the efficiency of the use or the combination of governance mechanisms in cassava starch factories in Paraná State, considering idleness as an index for the year 2014. The entire analysis of this essay is based on the theoretical assumptions of the New Institutional Economics (NIE), especially in the Transaction Cost Economics (TCE). In this essay the explanatory method was the most appropriate, once for this it sought to identify the determining factors for the occurrence of the phenomena observed: i) coexistence of plural forms of governance to coordinate the purchase of cassava by starch factories in Brazil and in the state of Paraná. This research method more approach the scientific knowledge to the real world as it explains the reason and why the facts. In the case of cassava, the characteristics of transactions - temporal and locational characteristics, as well as uncertainty and frequency – were not relevant for the choice of governance structures, on the contrary to what literature indicates. Even considering these characteristics, in Brazil and in the state of Paraná was prevailing the coordination by the spot market. The results also indicated the existence of a plurality of transactions in many levels - with different agents, and similar agents in a single transaction - since the combination of different governance structures can reduce transaction costs and even increase the efficiency of industry here measured by the reduction of industrial idleness. / Na cadeia agroindustrial da fécula de mandioca no Brasil, o suprimento das firmas se dá por meio de diferentes estruturas de governança que variam desde a compra via mercado spot - sem qualquer controle contratual sobre a produção – até a hierarquia ou integração vertical, estrutura na qual a firma faz o cultivo em áreas próprias, com total controle sobre a produção. Entre estes dois extremos foram identificadas ainda outras estruturas de governança, as quais se denominam por arranjos híbridos, que podem se aproximar do mercado spot ou da hierarquia. Esta dissertação teve como objetivo identificar os fatores que influenciam a escolha as decisões das fecularias paranaenses sobre as estruturas de governança na compra de mandioca no estado do Paraná. Os objetivos específicos são: a) Apresentar as estruturas de governança prevalecentes nas fecularias brasileiras; b) Mostrar se há especificidades que fundamentem a necessidade da busca de um determinado arranjo organizacional em detrimento de negócios por meio do mercado spot no estado do Paraná; c) analisar os fatores que justificam as opções das fecularias por formas plurais ou singulares no estado do Paraná; d) comparar a eficiência do uso ou da combinação dos mecanismos de governança na indústria paranaense de fécula de mandioca, considerando a ociosidade como indicador para o ano de 2014. Toda a análise desta dissertação tem como base os pressupostos teóricos da Nova Economia Institucional (NEI), especialmente na Economia dos Custos de Transação (ECT). Nesta dissertação o método explicativo foi o mais indicado, uma vez que por este buscou-se identificar os fatores determinantes para a ocorrência dos fenômenos observados: i) coexistência de formas plurais de governança para coordenar a compra de mandioca pelas fecularias no Brasil e no estado do Paraná. Este método de pesquisa mais aproxima o conhecimento científico com o mundo real uma vez que explica a razão e o porquê dos fatos. No caso da mandioca, as características das transações – especificidades temporal e locacional, bem como incerteza e frequência – não fora relevantes para a escolha das estruturas de governança, ao contrário do que se aponta a literatura. Mesmo considerando estas características, no Brasil, bem como no estado do Paraná foi prevalecente a coordenação pelo mercado spot. Os resultados indicaram ainda a existência da pluralidade nas transações em diversos níveis – com diferentes agentes, com agentes similares e em uma mesma transação - uma vez que a combinação de diferentes estruturas de governança podem diminuir custos de transação e até mesmo aumentar a eficiência da indústria, aqui mensurado pela diminuição de ociosidade industrial.

Submitted by Evandro Jardim dos Santos (evandro.jardim@hotmail.com) on 2017-06-14T14:14:59Z No. of bitstreams: 1 EvandroSantos_PGAD_TUPA_02_2017.pdf: 1763486 bytes, checksum: f4acab8ef7858bcc1607f79f3029e5be (MD5) / Approved for entry into archive by Luiz Galeffi (luizgaleffi@gmail.com) on 2017-06-19T13:48:44Z (GMT) No. of bitstreams: 1 santos_ej_me_tupa.pdf: 1763486 bytes, checksum: f4acab8ef7858bcc1607f79f3029e5be (MD5) / Made available in DSpace on 2017-06-19T13:48:44Z (GMT). No. of bitstreams: 1 santos_ej_me_tupa.pdf: 1763486 bytes, checksum: f4acab8ef7858bcc1607f79f3029e5be (MD5) Previous issue date: 2017-02-16 / O urucum é considerado um dos mais importantes corantes naturais, atuando não só como colorífico, mas também agregando propriedades nutricionais aos produtos que o utilizam. Apesar da importância, poucos estudos são desenvolvidos acerca da sua cadeia produtiva. Visando a preencher essa lacuna, este trabalho teve o objetivo de compreender a estrutura e o funcionamento do Sistema Agroindustrial (SAG) do urucum na Microrregião de Dracena, no estado de São Paulo. A seleção desse SAG, nessa região, deveu-se pela falta de trabalhos científicos acerca desse produto, nessa abordagem, e pela sua representatividade geográfica na produção nacional e estadual. Para a realização desse trabalho, foi utilizado um estudo exploratório de caráter qualitativo. A metodologia envolveu uma pesquisa bibliográfica e uma pesquisa de campo. Esta última contou com a realização de entrevistas junto aos agentes chaves do SAG do urucum na região estudada. Em um contexto socioeconômico, identificouse que o cultivo do urucum é uma alternativa de produção agrícola para a região estudada. Trata-se de uma atividade característica da pequena produção e adotada, em sua maioria, por produtores caracterizados pela agricultura familiar. Os resultados mostraram alguns desafios associados ao SAG do urucum, tais como: a falta de produtos defensivos aprovados para o urucum, a incipiência no desenvolvimento de máquinas e implementos específicos para a cultura, a escassez de mão de obra para o manejo e a colheita, bem como a preocupação com a continuidade da atividade agrícola das próximas gerações dos produtores rurais. A baixa organização e cooperação entre os produtores rurais para a comercialização do urucum reduz o poder de barganha e enfraquece o setor de produção de matéria-prima. Foram identificadas e analisadas três tipos de transações que envolvem o relacionamento entre fornecedores e compradores de urucum. Tais transações relacionam-se, respectivamente, a dois tipos de estrutura de governança: o mercado spot e a estrutura híbrida. Observou-se que as estruturas não promovem a coordenação entre os agentes, o que leva a custos de transação e menor eficiência. Conclui-se que, embora o mercado de corantes naturais e, especificamente, o do urucum seja crescente e promissor, o SAG ainda carece de melhorias na sua organização e coordenação. / Annatto is considered one of the most important natural dyes, acting not only as colorific, but also adding nutritional properties to the products that use it. Although it is an important crop, few studies are developed regarding the chain organization. In order to fulfill this gap, this work aimed at understanding the structure and functioning of the Agroindustrial System (SAG) of annatto in the Microregion of Dracena, in the state of Sao Paulo. The selection of this SAG in this particular region was due to the lack of academic work regarding this product under supply chain approach and due to its geographical representativeness in national and state production. For the accomplishment of this work, an exploratory study of qualitative character was used. The methodology involved a bibliographical research and a field research. This last one counted on the accomplishment of interviews with the key agents of the SAG of annatto in the studied region. In a socioeconomic context, it was identified that the cultivation of annatto is an alternative of agricultural production for the region studied. This activity is characteristic of small-scale production and it is mostly cultivated by family farmers. The results reveled some challenges associated with SAG of annatto, such as: the lack of approved agrochemical products for annatto cultivation; the incipience in the development of specific machines and implements for the culture; the scarcity of hand labor for handling and harvesting; and the concern with the continuity of the agricultural activity by the next generations of the rural farmers. The low organization and cooperation among farmers for the commercializing annatto reduces bargaining power and weakens the production sector. When analyzing the relations between farmers and its dealers three types of transactions involving the relationship between buyers and buyers of annatto have been identified and analyzed. These transactions were of two types of governance structure: the spot market and the hybrid structure. It was observed that the structures have not been able to promote coordination between agents, which have led to transaction costs and lower efficiency. It is concluded that, although the market for natural dye, and specifically for annatto, is growing and promising, the SAG still needs to improve its organization and coordination.

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O objetivo da presente tese consiste na determinação de novas estruturas de governança capazes de fornecer os incentivos e controles necessários para a sustentação de estratégias de diferenciação de produto na cadeia produtiva de frutas, legumes e verduras frescos (FLV), focalizando o papel do varejo moderno na definição e adoção de padrões e classificações privados que visam aumentar a coordenação vertical da cadeia. A tese mostrará que as novas estratégias adotadas pelo varejo moderno utilizam como mecanismo de coordenação das transações com produtores e consumidores a criação de padrões privados próprios, que têm como objetivo principal informar a qualidade desejada dos produtos comercializados aos produtores e, ao mesmo tempo, atender às exigências de qualidade do consumidor. Novas estruturas de governança surgem buscando sustentar tais transações. A conjunção de mecanismos de sinalização, credibilidade e o efeito reputação constituem o fator chave para a efetividade do padrão privado como mecanismo de coordenação ao longo da cadeia. / The thesis’ objective consists in the determination of new governance structures capable of providing the necessary incentives and controls to the maintenance of product’s differentiation strategies in the fresh fruits and vegetables (FFV) productive chain, focusing the role of the modern retailers in the definition and adoption of private standards and classifications that intend to increase the chain’s vertical coordination. The thesis will show that the new strategies adopted by the modern retailers use the creation of private standards as a coordination mechanism of the transactions with producers and consumers, under the main objective of providing information to the producers about the commercialized products’ desirable quality and, simultaneously, fill up the consumer’s quality demands. New governance structures arise in the search of sustain to these transactions. The conjunction of signalizing mechanisms, credibility and reputation effect is the key factor to the effectiveness of the private standards as a coordination mechanism along the chain.

Exit is an inevitable part of any business relationship. However, despite its importance, exit in buyer–supplier relationships is still a poorly understood phenomenon. Building on previous studies, this thesis addressed these concerns by empirically: a) identifying the economic and social antecedents that influence the exit decision; and b) validating how the antecedents of exit are related with the choice of exit strategies. To achieve these objectives, first, a systematic literature review was conducted to identify 82 studies that documented existing research on exit in buyer–supplier relationships. Second, informed by Transaction Cost Economics and Social Exchange Theory, a set of 88 testable hypotheses was developed and a survey captured data from 505 recently terminated relationships involving UK based firms. Finally, for data analysis, statistical techniques were employed including: a) analysis of variance; b) independent sample t–tests; c) multiple logistic regression; and d) multi–nomial logistic regression. The empirical findings of this thesis validated that: a) there are 8 economic and 14 social antecedents that influence the exit decision; b) lending support to extant research on exit, 57 hypotheses were accepted; c) 12 multiple logit models confirmed the relationship between a set of antecedents and exit strategies; and d) 6 multinomial logit models validated the relationship between a set of antecedents and a choice of one exit strategy over another. The results suggest that the influence of antecedents on the choice of exit strategies was subject to how the antecedents were analysed. The contributions of this research to Supply Chain Management literature are that we know now: a) which economic and social antecedents influence the exit decision; b) how individual antecedents affect exit strategies; c) how antecedents combine to affect exit strategies; and d) how antecedents combine to affect the choice of one exit strategy over another. This work provides an exit management tool box comprising a combination of data collection instrument, empirically derived framework and models that enables the managers to timely review the strength and weaknesses of their business relationships and their management processes.

Les travaux présentés dans ce mémoire étudient les problématiques transactionnelles posées par le développement des éco-parcs industriels (EPI). Nos travaux visent donc à fournir une analyse économique des synergies éco industrielles (substitution de ressource, mutualisation d'infrastructures) afin de compléter les approches techniques principalement développées en sciences de l'ingénieur. Notre unité d'analyse sera donc les transactions. Nous proposons une typologie des pratiques de synergies éco-industrielles ainsi qu'une représentation de leur processus de mise en oeuvre. Nous analysons le cas de l'EPI Green Valley (France). Nous caractérisons et mettons en perspective son développement et les principaux facteurs ayant affecté son processus de déploiement. Ensuite, en faisant appel à des arguments issus de l'économie des coûts de transaction, nous proposons l'usage de contrats de long terme complexes pour organiser les transactions associées aux SI. En conséquence, un cadre de conception des contrats incluant des clauses spécifiques (tarification, pénalités, garanties) est proposé de manière à tarifer les flux et à partager le risque. Dans une dernière partie, nous étudions les décisions d'investissement en capacités mutualisées. / This thesis report aims at addressing transactional issues raised by the undertaking of eco-industrial parks (EIP) development. The economics of eco-industrial synergies (resource "flow" substitution and infrastructure/service "capacity" sharing) is investigated so as to complement existing engineering-oriented approaches. A focus is made on industrial stakeholders' interplay in industrial symbiosis (IS) and their strategic decisionmaking in terms of investment and contracting practices. First, a survey of practices actually observed in EIPs in function is conducted through a literature review. A taxonomy of eco-industrial synergies is thus proposed and an IS implementation process representation is derived. Then we conduct a case study on the GreenValley eco-industrial park (France) Then, from economic arguments (transaction costs) we advocate the use of long term contracting in organizing IS related transactions. Following this, a contract design framework including specific provisions (tarification, penalties, warranties) is proposed in order to perform pricing of flows exchanges and risk sharing. In a last part, investment decisions in shared capacities is studied using economic modelling both in cooperative and non-cooperative game setting. Key economic parameters (size, back-up costs, scaling factor) and behavioral decisions (investment, commitment) are described and uncertainty is treated in two different approaches.

Contract selection is at the forefront of risk management and mitigation, yet it is an underrepresented area of research in supply chain management field as well as the influences of individual-level risk propensity and risk perception on supply chain decision-making processes. This dissertation explores effects of managerial risk propensity and risk perception on contract selection through the theoretical lens of Transaction Cost Economics (TCE), using a vignette-based experimental research design. This body of work introduces both a first-ever systemmigram of TCE in relation to contract selection, and a novel measurement scale for TCE contract typology. Furthermore, this dissertation tests the TCE predictions towards contract selection and explores the moderating role of financial risk propensity and risk perception (cost vs. supplier performance) on contract selection. The main theoretical contribution of this research is the opening of an old debate on the risk neutrality assumption of TCE, by providing empirical evidence that individual-level risk propensity and perception effect contract selection. The practical implications are significant and points out to the need for a better fit between individual-level and firm-level risk propensity.

No description available.