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Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / In the last few years, particularly in the beginning of the century, there has been seen a strong movement to deliver innovative alternatives to economic development, to consider issues relating to poverty and income generation. The study of fruit production chain in northern of Espírito Santo state seeks to understand the forms of interaction among economic agents, social and political as well as external forces that interfere with the process of production, processing and marketing of juices and pulps fruit, proposing a conceptual model of management, involving all economic agents and has a focus on small farmers. This work is characterized as exploratory, and its methods of data collection, document analysis, semistructured interviews and observation. First, we tried to identify how the cooperatives organize their supply chain. Subsequently, we sought to understand why the fruit has different forms of governance in its production chain. And finally, we analyzed the main characteristics of each of these coordination mechanisms analyzed. Semi-structured interviews with representative members of cooperatives: COOPRUJ (Cooperative of Jaguaré Rural Producers) and COOPCRISTAL (Producers Cooperative Cane Crystal), Family Farmers Cooperative of Colatina (CAF) and agribusinesses Trop Brazil and Sucos Mais . These cooperatives were selected because they are more structured in the marketing process. To perform the analysis of the interviews was chosen the content analysis. Both in COOPCROSTAL, as in COOPRUJ as the CAF, was verified the following structure: with respect to behavioral assumptions, were detected low levels of opportunism, especially the pre-contractual opportunism on the trading price and pruning of fruit (which determines harvest). With respect to the attributes of the transaction, is often recurrent, with emphasis on asset specificity (locational, physical, temporal and dedicated specificity). Regarding to the governance structure, there is the hybrid, with long-term business relationships and with neoclassical contracts. / Nos últimos anos, sobretudo início do século XXI, tem-se observado um forte movimento para proporcionar alternativas inovadoras de desenvolvimento econômico, no sentido de equacionar problemas referentes à pobreza e geração de renda. O estudo da cadeia produtiva de frutas na região norte do estado do Espírito Santo visa compreender as formas de interação entre os agentes econômicos, sociais e políticos, bem como as forças externas que interferem no processo de produção, transformação e comercialização de sucos e polpas de frutas, propondo um modelo conceitual de gestão, envolvendo todos os agentes econômicos e que tenha o foco no pequeno produtor rural. Este trabalho é caracterizado como exploratório e tem como métodos de coleta de dados, a análise documental, entrevistas semi-estruturadas e observação. Primeiramente, procurou-se identificar como as cooperativas organizam a sua cadeia de suprimentos. Posteriormente, buscou-se entender por que a fruticultura possui diferentes formas de governança em sua cadeia produtiva. E, finalmente, analisaram-se as principais características de cada um destes mecanismos de coordenação analisados. realizadas entrevistas semi-estruturadas com membros representativos das cooperativas: COOPRUJ (Cooperativa dos Produtores Rurais de Jaguaré) e COOPCRISTAL (Cooperativa Produtores Cana Cristal), Cooperativa de Agricultores Familiares de Colatina (CAF) e das agroindústrias Trop Brasil e Sucos Mais. Tais cooperativas foram selecionadas por serem as mais estruturadas no processo de comercialização de frutas. Para se realizar a análise das entrevistas, optou-se pela análise de conteúdo. Tanto na Coopcristal, como na Coopruj como na Caf, foi verificado a seguinte estrutura: com relação aos pressupostos comportamentais, foram evidenciados baixos índices de oportunismo, destacando-se o Oportunismo précontratual referente à negociação de preços e poda da fruteira (que determina a colheita). Com relação aos atributos de transação, a frequência é recorrente, tendo destaque às especificidades de ativos (locacional, física, temporal e especificidade dedicada). Em relação à estrutura de governança, destaca-se a híbrida, com relações comerciais de longo prazo e tendo contratos neoclássicos. Foi proposto um modelo de desenvolvimento regional a partir de estruturas de governança, onde o privilegiado é o pequeno produtor, que busca garantias comerciais para se manter no campo.

Made available in DSpace on 2016-06-02T19:50:27Z (GMT). No. of bitstreams: 1 TeseALC.pdf: 1163003 bytes, checksum: 9c78ad4a27f34ff6ccbc11971c94bf08 (MD5) Previous issue date: 2005-09-29 / Financiadora de Estudos e Projetos / The prime objective of this work is to identify and analyze the technological strategies (TSs) of two car-engine assemblers and some of their first and second-tier suppliers, discussing the relations between the technological strategies of each assembler and its suppliers in each supply chain studied and, as a second objective, comparing the two sets (combinations) of technological strategies adopted in those chains. Two hypotheses were formulated: (1) The automotive assemblers set up in Brazil have different TSs regarding the development and production of engines; (1a) To each type of TS is assigned a necessary effort to maintain and develop the several technological capabilities, either internally or in partnership (together) with suppliers; (2) The sets of TSs in the chains are different. The technological strategies vary among the suppliers, and must be distinct the influences each assembler exerts on each supplier. To analyze such hypotheses, a literature review on the issues concerning this theme was carried out, as well as a field research. Such research comprised case studies in two chains, led by assemblers with distinct strategies, with different levels of vertical integration, representing distinct configurations. The case studies were conducted in the two assemblers and some of their suppliers (from the first and second tiers, in each chain), based on semi-structured interviews. The results indicate that, in general, the strategies undertaken by those assemblers are very similar and oriented towards local competitiveness. The differences occur as a result of their supply chain structures and their supplying policies. The assembler with a greater number of small-sized suppliers, with limited technological capabilities, must make a greater effort to develop them and to assure their adequate performance. The assembler with a greater number of large-sized suppliers, more technologically capable, must make a relatively bigger effort to negotiate (the transactions) with the suppliers, but a much lower effort to develop them. The technological strategies of the suppliers vary in the degree of ownership and technological complexity of product and process, as well as in the fact of transferring (or not) technological knowledge to their suppliers. / Este trabalho tem por objetivo geral identificar e analisar as estratégias tecnológicas (ETs) de duas montadoras de motores e de alguns de seus fornecedores de primeiro e segundo níveis, discutindo as relações entre as estratégias tecnológicas da montadora e de seus fornecedores em cada uma das cadeias produtivas estudadas e, em um segundo momento, comparando os dois conjuntos (combinações) de estratégias tecnológicas adotadas nessas cadeias. Foram delineadas duas hipótese: (1) as montadoras automobilísticas no Brasil possuem ETs diferentes no que se refere ao desenvolvimento e produção de motores; (1a) a cada tipo de ET corresponde uma necessidade de esforço para manutenção e desenvolvimento das diferentes capacidades tecnológicas internamente e em parceria (ou em conjunto) com fornecedores; (2) os conjuntos de ETs nas cadeias são diferentes; variam as ETs entre fornecedores e também devem ser distintas as influências que cada montadora exerce sobre cada fornecedor. Para analisar tais hipóteses, foram realizadas revisões bibliográficas acerca dos tópicos associados ao tema e uma pesquisa de campo envolvendo estudos de caso em duas cadeias, comandadas por montadoras com estratégias diferentes, com diferentes níveis de integração vertical, que representam configurações distintas. Foram então realizados estudos de caso nas duas montadoras e em alguns de seus fornecedores (de primeiro e segundo níveis, em cada cadeia), fundamentados em entrevistas semi-estruturadas. Os resultados indicam que, em geral, as estratégias dessas montadoras são muito semelhantes e orientadas para a competitividade local. As diferenças ocorrem em função das estruturas de suas cadeias de fornecedores e de suas políticas de suprimentos. A Montadora com maior número de fornecedores de menor porte e com capacidades tecnológicas limitadas, deve despender esforço maior para desenvolvê-los e garantir um desempenho adequado dos mesmos. A Montadora que possui uma proporção maior de fornecedores de grande porte e mais capacitados tecnologicamente, por sua vez, deve despender esforços relativamente maiores nas negociações (das transações) com fornecedores, mas seu esforço para desenvolvê-los seria muito menor. As Estratégias Tecnológicas dos fornecedores variam quanto ao grau de domínio e complexidade de tecnologia de produto e processo e, também, conforme repassam ou não conhecimentos tecnológicos aos seus fornecedores.

Made available in DSpace on 2016-06-02T19:51:58Z (GMT). No. of bitstreams: 1 4883.pdf: 5690362 bytes, checksum: e75ef84e9b6cc0d9ca4b7fbff240e353 (MD5) Previous issue date: 2012-11-23 / Several studies related to agribusiness were developed trying to explain existing transactions in different agroindustrial complexes. Brazil has significant equity in the provision of products of the agroindustrial complex citrus, holding 30% of world production and moving about $ 15 billion, highlighting the state of São Paulo, holder of 70% of the planted area in the country. One of the segments understudied in the complex is the fresh fruit market, which is well developed in countries like Argentina, Italy, Spain and South Africa, and Brazil still needs to develop. Therefore, the aim of this work was through a multicase study to show the main governances used by São Paulos´s packing houses. Using Transaction Cost Economics theory, we analyzed the coordination established between the packing house and its suppliers of orange. Interviews were conducted with six packing houses distributed by the main citrus regions of the state of São Paulo. As a result it was found that the most representative governance structure present was hybrid, which has being established by agreements characterized as relational, more flexible and not formalized. / Diversos estudos ligados ao agronegócio foram desenvolvidos procurando explicar as transações existentes em diferentes complexos agroindustriais. O Brasil possui significativa participação na oferta de produtos do complexo agroindustrial citrícola, detendo 30% da produção mundial e movimentando cerca de US$ 15 bilhões, com destaque para o estado de São Paulo, detentor de 70% da área plantada no país. Um dos segmentos pouco estudado no complexo citrícola é o mercado de fruta de mesa, o qual é bem desenvolvido em países como Argentina, Itália, Espanha e África do Sul, e no Brasil ainda precisa evoluir. Sendo assim, o objetivo deste trabalho foi, através de um estudo multicaso, caracterizar as principais estruturas de governanças utilizadas pelos packing houses paulistas. Utilizando-se da teoria sobre a Economia dos Custos de Transação, foi analisada a coordenação estabelecida entre o packing house e seus fornecedores de laranja. Foram realizadas entrevistas com seis packing houses distribuídos pelas principais regiões citrícolas do estado de São Paulo. Como resultado verificou-se que a estrutura de governança mais representativa na compra de laranja é a forma híbrida, sendo estabelecida por acordos caracterizados como relacionais, mais flexíveis e não formalizados.

Made available in DSpace on 2016-06-02T19:52:05Z (GMT). No. of bitstreams: 1 DissCF.pdf: 986822 bytes, checksum: 7e1891ff1faa87863fec5d7e227d8f6f (MD5) Previous issue date: 2005-02-22 / The coexistence of different mechanisms of governance for similar transactions is a major feature of the seed sector, particularly in the branches of soybeans and hybrid corn. Also, the procurement of different inputs is governed by similar governance structures. Both seed sectors are characterized by high investments in research and development and are subjected to several hazards and uncertainty. One of the main determinants of competitiveness in this industry is the quality of the inputs that will be launched in the market. As a consequence, the activities of research, development and reproduction of seeds are crucial in the competition, requiring need high level of control. In spite of this, the firms that develop high technology seeds present different arrangements in the organization of the production of inputs. The reproduction of seeds requires some mechanisms in order to fully appropriate of the benefits of innovation. This fact constitutes an important determinant of choice for these different arrangements. This dissertation aims to analyze the determinants of the boundaries of the firms, and how the selected governance structures interact with the firm s strategies. This dissertation also aims to explore the different appropriability mechanisms that are available to this sector, in each of its main segments hybrid and varieties. The dissertation uses Transaction Cost Economics, and Dynamic Capabilities as its main theoretical background. Also, the governance inseparability concept gave support to the questions associated to contractual relations. The empirical research, focused on large firms that undertake R&D activities, concludes the factors that influence in the decisions about the reproduction of seeds are related to transaction cost reasoning, but to dynamic capabilities and governance inseparability arguments as well. / Há no setor sementeiro, nos segmentos de milho híbrido e soja, a coexistência de diferentes mecanismos de transação para um mesmo tipo de insumo e a existência de mecanismos semelhantes para insumos diferentes. Os setores que se caracterizam por altos investimentos em pesquisa e desenvolvimento, notavelmente, o objeto deste estudo, o de sementes, estão cercados de riscos e incertezas. Para esta indústria, a qualidade dos insumos que serão lançados no mercado é um dos principais fatores de determinação da competitividade da empresa. Assim, as atividades de pesquisa, desenvolvimento, e reprodução das sementes são vitais no processo de seleção do mercado. São atividades que, conseqüentemente, exigem elevado nível de controle por parte dos agentes que venham a desenvolver e comercializar estes insumos. Apesar destas particularidades, as empresas que desenvolvem sementes de alta tecnologia apresentam arranjos diferentes na organização da produção de insumos. As sementes carregam alto conteúdo tecnológico e necessitam de vários artifícios que visem minimizar as perdas derivadas da reprodução do esforço inovativo, empregado no desenvolvimento de novos produtos, o que constitui um importante determinante da escolha por esses diferentes arranjos. A partir destas constatações, este trabalho objetiva analisar os determinantes das fronteiras das firmas e, a forma com que as estruturas de governança escolhidas interagem com suas estratégias, pretende também explorar os diferentes mecanismos de apropriabilidade disponíveis para o setor e a eficácia destes para os dois segmentos dentro desta indústria híbridos e variedades. A literatura contemporânea oferece arcabouço amplo para compreender a escolha das relações de transação, porém pouca atenção é dada à explicação da existência de mecanismos de troca diferentes para um mesmo tipo de transação. Com o intuito de analisar as relações de troca entre os agentes da cadeia de sementes serão utilizadas duas abordagens teóricas, a Economia dos Custos de Transação, e a linha de Competências Dinâmicas. Além destas duas linhas, a noção de inseparabilidade de governança deu suporte a questões associadas às relações contratuais. A pesquisa de campo, que privilegiou empresas de significativa participação na agricultura brasileira e que desenvolvem atividades de pesquisa e desenvolvimento, permitiu concluir que os fatores que influenciam as decisões sobre a gestão da atividade de multiplicação de sementes são diversos e apresentam elementos das duas abordagens estudadas.

Drawing on data released by the Census of Agriculture 2006, this paper aims to identify, among all those micro-regions of northeastern Brazil where the volume of livestock movement (represented by the quantity of purchase, sale and slaughter of goats, sheep, cattle, pigs and in poultry farms) would allow a high frequency of transactions with animals - between the segments of production and processing - which would result in market governance structures. The research is grounded in two theoretical pillars: the Transaction Cost Economics (TCE), of Oliver Williamson, and the Commodity System Approach (CSA) compiled by John Davis and Ray Goldberg. The first theory is that, due to the bounded rationality of agents and the tendency to assume such an opportunistic behavior, it is impossible to fully and agents rationally anticipate outcomes of their decisions and that they protect themselves from possible flaws in the implementation of the economic transactions from the establishment of contracts between the parties involved. So that, CSA argues that the process of agricultural production can t be addressed so tight, that is, without understanding its systemic character, ranging from the decision of what and how to produce the end consumer. The tool used was exploratory factor analysis, multivariate statistical technique that allows the identification of latent factors that explain the interrelationships among the variables under study. The results showed that the cattle drive in the Northeast is a focused and dedicated event in the sense that largely takes place in a few territories and rarely stands out in a location more than one culture. Therefore, the coordination of the interface market for production / processing of agricultural products is suitable for a small number of locations in the brazilian Northeast. / Valendo-se dos dados disponibilizados pelo Censo Agropecuário 2006, a presente dissertação objetiva identificar dentre as cento e oitenta e oito microrregiões do Nordeste brasileiro aquelas em que o volume de movimentação pecuária (representada pelo quantitativo de compra, venda e abate de caprinos, ovinos, bovinos, suínos e galináceos nas propriedades rurais) permitiria uma alta freqüência de comercialização de animais entre os segmentos de produção e transformação o que resultaria em estruturas de governança de mercado. O trabalho assentou-se sobre dois pilares teóricos: a economia dos custos de transação (ECT), de Oliver Williamson, e a Commodity System Approach (CSA), elaborada por John Davis e Ray Goldberg. A primeira teoria defende que, em função da racionalidade limitada dos agentes e da tendência desses em assumirem um comportamento oportunista, é impossível aos agentes anteverem plena e racionalmente os resultados de suas decisões e que esses se protegem de possíveis falhas na execução das transações econômicas a partir da constituição de contratos entre as partes envolvidas. Já a CSA advoga que o processo produtivo da agropecuária não pode ser abordado de forma estanque, ou seja, sem a compreensão do seu caráter sistêmico, que vai desde a decisão do que e como produzir até o consumidor final. O ferramental utilizado foi a Análise Fatorial Exploratória, técnica estatística multivariada que permite a identificação de fatores latentes que explicariam o inter-relacionamento entre as variáveis sob estudo. Os resultados mostraram que a movimentação pecuária nordestina é um evento concentrado e especializado no sentido de que grande parte dá-se em poucas microrregiões e raramente uma localidade se destaca em mais de uma cultura. Logo, a coordenação de mercado para a interface produção/processamento de produtos agrícolas é indicada para um pequeno número de microrregiões nordestinas.

During the last decade, the global liquefied natural gas (LNG) market altered substantially. Significant investments have been realized, traded volumes increased and contracting structures gained in flexibility. Various governance forms co-exist, including the poles of spot market transactions and vertical integration as well as numerous hybrid forms such as long-term contracts, joint ventures, and strategic partnerships. This dissertation empirically investigates, based on transaction cost economics and recent extensions thereof, which motivations drive companies towards the choice of hierarchical governance forms. First, the likelihood of vertical integration and the impact of inter-organizational trust as a shift parameter accounting for differences in the institutional environment are analyzed. Estimation results confirm transaction cost economics by showing that relationship-specific investments in an uncertain environment drive LNG companies to invest in successive stages along the value chain. Furthermore, the presence of inter-organizational trust increases the likelihood of less hierarchical governance modes. Second, alternative theories of the firm are linked in order to explain the menu of strategic positions recently observed in this dynamic market. Estimation results support the positioning-economizing perspective of the firm. The three strategic choices of target market position, resource profile, and organizational structure are interdependent. Third, the determinants of optimal contract length as a trade-off between the minimization of transaction costs due to repeated bilateral bargaining and the risk of being bound in an inflexible agreement in uncertain environments is discussed. Estimation results show that the presence of high asset specificity results in longer contracts whereas the need for flexibility in today’s LNG market supports shorter agreements. When firms have experience in bilateral trading, contract duration decreases. In addition, countries heavily reliant on natural gas imports via LNG are often willing to forgo some flexibility in favor of supply security. Contracts dedicated to competitive downstream markets on average are shorter than those concluded with customers in non-liberalized importing countries.

The amount of food packaging waste is one of the issues associated with increasing global population and corresponding increase in consumption rate of packaged foods. Traditional plastic food packaging derived from fossil fuels imposes a significant environmental threat. There are sustainable bio-based alternatives developed to substitute traditional plastic packaging that are implemented in circular economy business models. These solutions often utilise collaboration to be implemented, however, there is a lack of research on the collaborative processes that enable circular economy in bio-based food packaging. In this thesis we examine what collaborative processes are being used in the bio-based packaging supply chain and how these processes help with facilitating the implementation of circular economy in the packaging production. Moreover, this thesis also investigates what are the barriers that the packaging producers face as they collaborate toward a circular economy. Therefore, we use qualitative interviews with representatives of bio-based food packaging companies and study the theories of supply chain collaboration and circular economy such as resource based view, transaction cost economics and various iterations of circular supply chain management models. We find that bio-based food packaging producers collaborate externally with customers, suppliers and internally among organisational teams to enable the circular economy of bio-based alternatives to conventional plastics. We also find that collaboration for circular economy in bio-based food packaging solutions is challenged by cultural differences, varying regulations among countries, opportunistic behaviour across the supply chain, insufficient organisation of communication between collaborators as well and misalignment of their interests. We contribute empirical evidence of collaborative processes across bio-based food packaging supply chains providing a ground for further research streams across the aspects of collaboration for circular economy.

Innovation comprises the processes of invention and commercialization. While the importance of innovation, especially commercialization, has been widely recognized, existing studies have largely overlooked the commercialization process. By examining the determinants of uses and nonuses of patented inventions from firms at the levels of technology, organization, and project/invention, this study attempts to help fill a critical gap in the literature. In doing so, it enriches theoretical understandings of innovation and, in particular, builds on the evolutionary explanation of technology development, the Teecian framework on profiting from innovation, Transaction Cost Economics (TCE), the Knowledge-Based View (KBV), and open innovation and innovation network perspectives. It also reveals an empirical reality of commercial use and strategic nonuse of patents. The study is based on a novel dataset constructed from multiple sources: inventor surveys, the United States Patent and Trademark Office online database, and COMPUSTAT, among others. After examining the factors affecting overall propensity to commercialize patented inventions, this study explores the factors that affect the organizational paths of commercialization. The empirical estimation indicates that technological uncertainty and a strong internal position of complementary assets raise the propensity for internal commercialization. The study argues that openness of innovation processes and network relationships should affect the choice of commercialization paths. Consistent with the hypotheses, empirical estimations show that external industrial knowledge increases the propensity of internal commercialization. The study also indicates that collaboration has diverging effects on the choice of commercialization paths. While collaboration with firms in vertical relationships tends to favor internal commercialization, collaboration with firms in horizontal relationships tends to favor external commercialization (licensing, start-up). Finally, the study reports findings on the strategic use of patents and then tests hypotheses about the factors driving strategic nonuse. It concludes that a significant portion of U.S. patents are indeed filed for strategic reasons. It also finds that characteristics of technology and firms are significantly associated with different strategies. In particular, firms are more likely to use a patent for strategic defensive purposes when they have larger amounts of assets. The study concludes with discussing managerial and policy implications.

Thesis (PhD)--Macquarie University. Macquarie Graduate School of Management. / Bibliography: p. 286-324. / The contribution of this thesis is to present a framework to analyse firms controlled by more than one board. The literature survey of Chapter 2 revealed that there is little recognition of this phenomenon and no accepted way to investigate firms governed by multiple control centres described as a "compound board". The framework is developed in Chapter 3. The historical emergence of compound boards is outlined in Chapter 4 with examples of their architecture described in Chapters 5 and 6. Chapter 7 shows how the framework provides insights not available from other theories of the firm and how selfyes governance can be furthered by utilising contrary human attributes of competition/co-operation, trust/suspicion and self-interest/altruism. / The framework is described as transaction byte analysis (TBA) as it is based on the limited and inconsistent ability of humans to transact units of information described as "bytes". TBA identifies cybernetic principles and strategies that can mitigate human limitations in processing bytes. These provide organisational design criteria for firms to obtain operating advantages. As information is a common element in varies theories of the firm, TBA relates and subsumes them while allowing any type of organisation to be analysed. / Propositions are presented in Chapter 7 for illustrating how TBA provides insights into explaining: (i) why non-trivial employee owned industrial firms have more than one board; (ii) why self-regulation and self-governance of non-trivial firms cannot be assured without a compound board; (iii) how compound boards can simplify the role, knowledge, duties and liabilities of directors; (iv) the competitive advantages of appropriate compound boards in relation to unitary control systems; (v) how to compare and evaluate the relative advantages and disadvantages of firms with different ownership and control structures; (vi) how to compare the relative efficacy of hierarchical and non-hierarchical firms be they in the private or public sector. / Mode of access: World Wide Web. / x, 324 p. ill