This thesis addresses the conditions of SMEs and working conditions in the Chilean agrofood sector. Especially in an economy with a high degree of trade openness as Chilean economy. The current state of debate is that is more controversial the apparent success of Chilean agrofood sector due to the existence of these fault lines. The upgrading theories are mainly narrow minded and do not consider the weakest part of the production chains. It is required accordingly, a broader look to these problems such that embodies these problems. It is a research based mainly in an approach of political economy. Within this context, this thesis explores the role of SMEs within the Chilean economy and, in particular, their participation within the Chilean economy's insertion into global agrofood production networks, with the aim of giving new insights into the debates over the role of industrial policy in developing countries (an economy based on natural resources). This research will contribute to developing recommendations for the use of public policy tools (rejuvenated industrial policy) in an effective way in relation to the development of SMEs in the agrofood sector. Also there is an urgent need for industrial policy to consider working conditions, training and the acquisition of skills in a much more explicit way, particularly in an economy that is heavily based on the exploitation of natural resources as in the Chilean case.

As food scares have hastened the growth of safety and quality standards around the world, certification schemes to assure various attributes of foods have proliferated in the global marketplace. High-value food commodities produced in the global south for export have been the subject of such schemes through third-party environmental certifications, providing regulatory and verification mechanisms welcomed by global buyers. As certification becomes more common, re-localization in the current global context can also mean the projection of place onto a food commodity to highlight its origin or attributes secured by transparent verification mechanisms. However, environmental food certification is often criticized for its inapplicability in the context of the global south, due to the extensive documentation requirements and high costs. The key question here is the process for small-scale producers in the global south to navigate increasing international regulation of food safety and quality. This dissertation examines (1) how the environmental standards (as defined by the global north) were translated in the rural global south through international certification schemes, and (2) what the implications are at the local level, especially where producers had not yet integrated into conventional global markets before the introduction of certification. The dissertation also analyzes the influence of such certification in determining the development trajectories of rural society in the global south. A case study is used to examine newly-introduced certified organic shrimp production in Ca Mau Province in Vietnam’s Mekong Delta. The selected shrimp production site is the first pilot organic shrimp project in Vietnam working with an international third-party certification scheme. It is located in rural Vietnam where, as in other parts of Southeast Asia, an accelerated process of agrarian transition is underway. Whereas elsewhere the trend with intensified regulation has been the consolidation of large-scale farms and the exclusion of small-scale farms from international agrofood markets, this case study demonstrates comparative advantages of small-scale farms over large-scale farms in producing sensitive high-value crops. This dissertation employs two main analytical approaches. The first approach is to examine the network of actors and the flow of information, payment and shrimp at the production level using environmental regulatory network (ERN). In contrast to chain analyses, which can be useful in identifying linear structure of supply chains for global commodities, ERN can capture the interrelatedeness of actors in the network built around environmental certification for agrofood products. The second analytical lens is that of agrarian transition. Countries experiencing agrarian transition at present are doing so in a very different international context from countries that accomplished their transitions in the past. Results of this research indicate that technical and financial constraints at the time of initial certification are not the primary obstacles to farmers getting certified, since the extensive farming method employed at the study site is organic by default. In spite of this, many farmers unofficially withdrew from the organic shrimp project by simply shifting their marketing channel back to a conventional one. Inefficient flows of information and payments, and a restrictive marketing channel within the environmental regulatory network that does not take into account local geographical conditions and farming practices, all contributed to limiting the farmers’ capacity and lowering their incentives to get involved in the network. The analysis also indicates that, by influencing those agrarian transition processes, food standards and certification based on values developed in the global north may modify, reshape and/or hold back agrarian transition processes in agricultural sectors of developing countries. The potential benefits of environmental certification are enhanced rural development, by generating opportunities for small-scale farmers to connect to global niche markets. The findings of this dissertation highlighted that such certification schemes or their environmental regulatory networks need to ensure information sharing and compensation for farmers. As an empirical finding, this dissertation also captures where ecological credibility and market logic meet: the success of this kind of certification depends on finding a balanced point where standards are ecologically (or ethically) credible to the level that does not attract too much criticism for being green washing, but not too unrealistic to become a disincentive for farmers to participate.

As food scares have hastened the growth of safety and quality standards around the world, certification schemes to assure various attributes of foods have proliferated in the global marketplace. High-value food commodities produced in the global south for export have been the subject of such schemes through third-party environmental certifications, providing regulatory and verification mechanisms welcomed by global buyers. As certification becomes more common, re-localization in the current global context can also mean the projection of place onto a food commodity to highlight its origin or attributes secured by transparent verification mechanisms. However, environmental food certification is often criticized for its inapplicability in the context of the global south, due to the extensive documentation requirements and high costs. The key question here is the process for small-scale producers in the global south to navigate increasing international regulation of food safety and quality. This dissertation examines (1) how the environmental standards (as defined by the global north) were translated in the rural global south through international certification schemes, and (2) what the implications are at the local level, especially where producers had not yet integrated into conventional global markets before the introduction of certification. The dissertation also analyzes the influence of such certification in determining the development trajectories of rural society in the global south. A case study is used to examine newly-introduced certified organic shrimp production in Ca Mau Province in Vietnam’s Mekong Delta. The selected shrimp production site is the first pilot organic shrimp project in Vietnam working with an international third-party certification scheme. It is located in rural Vietnam where, as in other parts of Southeast Asia, an accelerated process of agrarian transition is underway. Whereas elsewhere the trend with intensified regulation has been the consolidation of large-scale farms and the exclusion of small-scale farms from international agrofood markets, this case study demonstrates comparative advantages of small-scale farms over large-scale farms in producing sensitive high-value crops. This dissertation employs two main analytical approaches. The first approach is to examine the network of actors and the flow of information, payment and shrimp at the production level using environmental regulatory network (ERN). In contrast to chain analyses, which can be useful in identifying linear structure of supply chains for global commodities, ERN can capture the interrelatedeness of actors in the network built around environmental certification for agrofood products. The second analytical lens is that of agrarian transition. Countries experiencing agrarian transition at present are doing so in a very different international context from countries that accomplished their transitions in the past. Results of this research indicate that technical and financial constraints at the time of initial certification are not the primary obstacles to farmers getting certified, since the extensive farming method employed at the study site is organic by default. In spite of this, many farmers unofficially withdrew from the organic shrimp project by simply shifting their marketing channel back to a conventional one. Inefficient flows of information and payments, and a restrictive marketing channel within the environmental regulatory network that does not take into account local geographical conditions and farming practices, all contributed to limiting the farmers’ capacity and lowering their incentives to get involved in the network. The analysis also indicates that, by influencing those agrarian transition processes, food standards and certification based on values developed in the global north may modify, reshape and/or hold back agrarian transition processes in agricultural sectors of developing countries. The potential benefits of environmental certification are enhanced rural development, by generating opportunities for small-scale farmers to connect to global niche markets. The findings of this dissertation highlighted that such certification schemes or their environmental regulatory networks need to ensure information sharing and compensation for farmers. As an empirical finding, this dissertation also captures where ecological credibility and market logic meet: the success of this kind of certification depends on finding a balanced point where standards are ecologically (or ethically) credible to the level that does not attract too much criticism for being green washing, but not too unrealistic to become a disincentive for farmers to participate.

O maior acesso ao meio urbano e ao mundo globalizado pode estar colocando em risco o modo de vida dos povos tradicionais, gerando impactos na alimentação e no sistema agroalimentar. Com o intuito de inferir as possíveis consequências do desenvolvimento e as estratégias de adaptação dos povos tradicionais às novas demandas socioeconômicas, o estudo foi conduzido nos remanescentes de quilombo Kalunga - GO e com os pescadores artesanais da ilha de Apeú Salvador - PA. Por meio de avaliações quantitativas e qualitativas este trabalho visou entender os impactos ocasionados às comunidades tradicionais devido ao aumento da urbanização, do maior acesso à economia de mercado e políticas públicas. As qualitativas foram aplicadas no sentido de caracterizar as condições socioeconômicas locais, a alimentação, a produção de autoconsumo e as formas de uso dos recursos naturais, utilizando \"recordatório alimentar 24 horas\", depoimentos da população local e observações de campo. As quantitativas foram realizadas através da análise isotópica de unhas dos entrevistados e por meio da avaliação dos fatores de influência na alimentação local. O uso de ecologia isotópica permitiu avaliar a dieta quanto à fonte de origem dos alimentos, natural ou industrial, e caracterizar a alimentação de acordo com o nível da cadeia trófica, presença de carne, peixe, dentre outros. A junção da pesquisa qualitativa com a quantitativa permitiu identificar elementos de transição agroalimentar e mudanças nas formas de uso dos recursos naturais nas comunidades mais acessíveis ao meio urbano. Em contraposição a este padrão de transformação, em algumas comunidades foi identificado um panorama de resistência do modo de vida tradicional e reorganização por meio de estímulos à produção agroextrativista local. A partir da produção do pescado em Apeú Salvador e da farinha de mandioca nos Kalunga, a manutenção do trabalho e o incentivo à autonomia local são alternativas que podem potencializar o ajuste e a adaptação às mudanças globais da modernidade. Embora alguns dos resultados remetam à mudança de hábitos agroalimentares, pondera-se que sob determinadas condições os impactos do desenvolvimento em povos tradicionais podem ser atenuados. Apesar da relativização, salienta-se que as interferências da modernidade no sistema agroalimentar em comunidades tradicionais são reais e precisam ser devidamente considerados por intervenções externas e políticas públicas. / The greater access to urban and globalized world may be endangering the livelihood of traditional people, generating impacts on food and agrofood system. Therefore, aiming to infer these possible impacts of development and adaptation strategies of traditional peoples to new socioeconomic demands, the study was conducted in the remaining slaves Kalunga - GO and artisanal fishermen of Apeú Salvador - PA island. Since, through quantitative and qualitative evaluations the objective was to understand the consequences on traditional communities due to increased urbanization, income, greater access to the market economy and public policy. Quantitative and qualitative evaluations were employed. Qualitative have been applied for characterizing the local socioeconomic conditions, food and forms of resources use, using food 24h recall, reports of local people and field observations. Quantitative evaluation was performed using isotope analysis of fingernails and interviewed by assessment of the influence factors on local food. The use of isotopic ecology allowed evaluating diet as the source of origin, natural or industrial, and characterizing food according to the level of the trophic chain, presence of meat, fish and others. Qualitative research with quantitative allowed to identify elements of agrofood transition on accessible communities. In contrast to this transformation pattern in some communities the resistance of traditional way of life and reorganization was identified through incentives for agroextractive production and other economic activities related to local culture. Based on fish production in Apeú Salvador and cassava flour in Kalunga, the encouragement of work and maintenance of local autonomy are alternatives that may enhance adaptation to global changes of modernity. Thus, although some of the results referring to the change in food habits and use of natural resources, under certain conditions the impacts of development on traditional peoples can be bypassed. Although relativization the interference of modernity on the agrofood system of traditional communities it\'s real and need to be properly considered by external interventions and public policies.

O maior acesso ao meio urbano e ao mundo globalizado pode estar colocando em risco o modo de vida dos povos tradicionais, gerando impactos na alimentação e no sistema agroalimentar. Com o intuito de inferir as possíveis consequências do desenvolvimento e as estratégias de adaptação dos povos tradicionais às novas demandas socioeconômicas, o estudo foi conduzido nos remanescentes de quilombo Kalunga - GO e com os pescadores artesanais da ilha de Apeú Salvador - PA. Por meio de avaliações quantitativas e qualitativas este trabalho visou entender os impactos ocasionados às comunidades tradicionais devido ao aumento da urbanização, do maior acesso à economia de mercado e políticas públicas. As qualitativas foram aplicadas no sentido de caracterizar as condições socioeconômicas locais, a alimentação, a produção de autoconsumo e as formas de uso dos recursos naturais, utilizando \"recordatório alimentar 24 horas\", depoimentos da população local e observações de campo. As quantitativas foram realizadas através da análise isotópica de unhas dos entrevistados e por meio da avaliação dos fatores de influência na alimentação local. O uso de ecologia isotópica permitiu avaliar a dieta quanto à fonte de origem dos alimentos, natural ou industrial, e caracterizar a alimentação de acordo com o nível da cadeia trófica, presença de carne, peixe, dentre outros. A junção da pesquisa qualitativa com a quantitativa permitiu identificar elementos de transição agroalimentar e mudanças nas formas de uso dos recursos naturais nas comunidades mais acessíveis ao meio urbano. Em contraposição a este padrão de transformação, em algumas comunidades foi identificado um panorama de resistência do modo de vida tradicional e reorganização por meio de estímulos à produção agroextrativista local. A partir da produção do pescado em Apeú Salvador e da farinha de mandioca nos Kalunga, a manutenção do trabalho e o incentivo à autonomia local são alternativas que podem potencializar o ajuste e a adaptação às mudanças globais da modernidade. Embora alguns dos resultados remetam à mudança de hábitos agroalimentares, pondera-se que sob determinadas condições os impactos do desenvolvimento em povos tradicionais podem ser atenuados. Apesar da relativização, salienta-se que as interferências da modernidade no sistema agroalimentar em comunidades tradicionais são reais e precisam ser devidamente considerados por intervenções externas e políticas públicas. / The greater access to urban and globalized world may be endangering the livelihood of traditional people, generating impacts on food and agrofood system. Therefore, aiming to infer these possible impacts of development and adaptation strategies of traditional peoples to new socioeconomic demands, the study was conducted in the remaining slaves Kalunga - GO and artisanal fishermen of Apeú Salvador - PA island. Since, through quantitative and qualitative evaluations the objective was to understand the consequences on traditional communities due to increased urbanization, income, greater access to the market economy and public policy. Quantitative and qualitative evaluations were employed. Qualitative have been applied for characterizing the local socioeconomic conditions, food and forms of resources use, using food 24h recall, reports of local people and field observations. Quantitative evaluation was performed using isotope analysis of fingernails and interviewed by assessment of the influence factors on local food. The use of isotopic ecology allowed evaluating diet as the source of origin, natural or industrial, and characterizing food according to the level of the trophic chain, presence of meat, fish and others. Qualitative research with quantitative allowed to identify elements of agrofood transition on accessible communities. In contrast to this transformation pattern in some communities the resistance of traditional way of life and reorganization was identified through incentives for agroextractive production and other economic activities related to local culture. Based on fish production in Apeú Salvador and cassava flour in Kalunga, the encouragement of work and maintenance of local autonomy are alternatives that may enhance adaptation to global changes of modernity. Thus, although some of the results referring to the change in food habits and use of natural resources, under certain conditions the impacts of development on traditional peoples can be bypassed. Although relativization the interference of modernity on the agrofood system of traditional communities it\'s real and need to be properly considered by external interventions and public policies.

Made available in DSpace on 2016-04-28T20:13:48Z (GMT). No. of bitstreams: 1 2008 - Marco Antonio Ferreira de Souza.pdf: 2114565 bytes, checksum: 0c343463353326e5371d4a8d0734a377 (MD5) Previous issue date: 2008-04-28 / Functional foods and nutraceuticals represent a kind of food that provides physiological and health benefits beside basic nutrition. Far from being conventional food, they are positioned as an alternative for some traditional and complimentary medicinal products. The first appearance of this novel type of food occurred in Japan in the 80?s, when some food were researched and used to tackle the progressive increase of health related diseases that promoted drastic drop in public health indices. This experience lead to the creation of a new product category initially called functional food, renamed later as food for special health use or FOSHU. The USA amplified this experience giving to it a remarkable visibility. Although they had not formalized a new product category this food begin to be called as nutraceutical. This new perspective of tackling the diet and health relation meant a significative change in the institutional environment of producing and promoting public health since it offers to agro food system players a primacy up to now permitted only to Pharmaceuticals Company. This thesis searched to provide a wide visibility panel of the raising of this novel type of food and an analysis of its repercussion on the agro food system. It began with the characterization of food provisioning modes considering the centrality exerted by quality over the agro food system competition dynamics. Convention economy concepts were applied to uncover different food quality justifications. An institutionalization approach was assumed in order to provide a deep compreenhension of the meaning of these novel types of food and of its raising. It resulted in a framework that accounted for three different arenas in that the process itself develops: scientific, regulatory and market. The analysis involved the experiences of Brasil, Japan, USA and European Union. Even though this process represent a new momentum for the agro food question, it favors most those player concerned with the industrial mode of food provisioning, mainly the ingredient and final food industry giants. Those players concerned with alternative food initiatives face obstacles related to complex regulatory framework and scientific requirements. These reflect the trend of regulatory framework in focusing on functional substances rather than products, even those in natura. To come into reality functional foods and nutraceuticals demands truly value systems based on the complex coordination of expensive and time-consuming scientific and productive activities. All of them completely adverse for small and medium size companies to cope with. / Alimentos funcionais e nutrac?uticos s?o apresentados como alimentos que, al?m de suas fun??es b?sicas nutricionais, demonstram benef?cios fisiol?gicos e/ou reduzem o risco de doen?as cr?nicas. Eles se afastam dos alimentos ditos convencionais e ficam posicionados como produtos diferenciados e uma alternativa para o processo de cuidado com a sa?de. Tais alimentos acabam dividindo com alguns produtos da medicina tradicional e alternativa o importante espa?o simb?lico de produ??o de sa?de. A primeira experi?ncia pr?tica ocorreu no Jap?o nos anos 80, quando o governo estimulou a pesquisa e uso de alimentos como aliados na melhoria dos ?ndices de sa?de publica do pa?s. O esfor?o originou o conceito de alimentos funcionais e estimulou a cria??o de uma categoria de alimentos classificada como alimentos funcionais, mais tarde modificada para FOSHU ou food for special health purpose. Nos EUA essa experi?ncia foi amplificada e esses alimentos s?o mais conhecidos como nutrac?uticos, por?m sem reconhecimento formal. Esta nova perspectiva para abordar a rela??o dieta e sa?de representa uma mudan?a significativa no ambiente institucional relativo a produ??o e promo??o de sa?de p?blica, pois concede aos atores do sistema agroalimentar uma primazia at? ent?o permitida apenas ?s empresas de medicamentos. Esta tese teve como objetivo a constru??o de um amplo painel de visibilidade da ascens?o desses novos alimentos, baseado na descri??o da trajet?ria desses termos e na an?lise das repercuss?es dessa transforma??o institucional sobre a quest?o agroalimentar. A quest?o agroalimentar foi caracterizada a partir da an?lise das modalidades correntes de fornecimento de alimento, objetivo alcan?ado atrav?s do uso dos conceitos da Economia das Conven??es. Para fins de conceitua??o e descri??o da trajet?ria procurou-se caracterizar o processo de institucionaliza??o dos novos alimentos, explorando os aspectos cient?ficos, regulamentares e mercadol?gicos. Al?m do Brasil foram analisadas as experi?ncias japonesa, americana e europ?ia. Embora represente um novo momento para a quest?o agroalimentar, verificou-se que a institucionaliza??o favorece principalmente aos atores associados ? modalidade industrial de fornecimento de alimentos: ind?stria processadora e fabricantes de alimentos finais. Em detrimentos aos interesses de projetos alternativos de fornecimento de alimentos com qualidade diferenciada, como os org?nicos e a produ??o local. Os pa?ses que aderiram a esta reclassifica??o dos alimentos t?m privilegiado a cria??o de complexas estruturas regulamentares para avaliar e liberar o uso de alega??es de sa?de para alimentos e o foco sobre subst?ncias e n?o sobre os alimentos, mesmo aqueles in natura. Para se tornarem realidade, tais alimentos demandam a cria??o de verdadeiros sistemas de valor que implicam a coordena??o de atividades cient?ficas e produtivas bastante onerosas para pequenas e m?dias empresas.

La gestion de la chaîne logistique a gagné en maturité depuis l’extension de son champ d’application qui portait sur des problématiques opérationnelles et économiques s’est élargi à des questions environnementales et sociales auxquelles sont confrontées les organisations industrielles actuelles. L’addition du terme «vert» aux activités de la chaîne logistique vise à intégrer une conscience écologique dans tous les processus de la chaîne d'approvisionnement. Le but de ce travail est de développer un cadre méthodologique pour traiter la gestion de la chaîne logistique verte (GrSCM) basée sur une approche d'optimisation multi-objectif, en se focalisant sur la conception, la planification et les opérations de la chaîne agroalimentaire, à travers la mise en oeuvre des principes de gestion et de logistique de la chaîne d'approvisionnement verte. L'étude de cas retenu est la filière du jus d'orange. L'objectif du travail consiste en la minimisation de l'impact environnemental et la maximisation de la rentabilité économique pour des catégories de produits sélectionnés. Ce travail se concentre sur l'application de la GrSCM à deux questions stratégiques fondamentales visant les chaînes d'approvisionnement agroalimentaire. La première est liée au problème de la sélection des fournisseurs en produits « verts » (GSS) pour les systèmes de production agricole et à leur intégration dans le réseau globalisé de la chaîne d'approvisionnement. Le second se concentre sur la conception globale du réseau de la chaîne logistique verte (GSCND). Ces deux sujets complémentaires sont finalement intégrés afin d'évaluer et exploiter les caractéristiques des chaînes d'approvisionnement agro-alimentaire en vue du développement d’un éco-label. La méthodologie est basée sur le couplage entre analyse du cycle de vie (ACV), optimisation multi-objectifs par algorithmes génétiques et technique d’aide à la décision multicritère (de type TOPSIS). L’approche est illustrée et validée par le développement et l'analyse d'une étude de cas de la chaîne logistique de jus d'orange, modélisée comme une chaîne logistique verte (GrSC) à trois échelons composés de la production d’oranges, de leur transformation en jus, puis de leur distribution, chaque échelon étant modélisé de façon plus fine en sous-composants. D’un point de vue méthodologique, le travail a démontré l’intérêt du cadre de modélisation et d’optimisation de GrSC dans le contexte des chaînes d'approvisionnement, notamment pour le développement d’un éco-label dans le domaine de l’agro-alimentaire. Il peut aider les décideurs pour gérer la complexité inhérente aux décisions de conception de la chaîne d'approvisionnement agroalimentaire, induite par la nature multi-objectifs multi-acteurs multi-périodes du problème, empêchant ainsi une prise de décision empirique et segmentée. D’un point de vue expérimental, sous les hypothèses utilisées dans l'étude de cas, les résultats du travail soulignent que si l’on restreint l’éco-label "bio" à l'aspect agricole, seule une faible, voire aucune amélioration sur la performance environnementale de la chaîne d'approvisionnement n’est atteinte. La prise en compte des critères environnementaux pertinents sur l’ensemble du cycle de vie s’avère être une meilleure option pour les stratégies publiques et privées afin de tendre vers des chaînes agro-alimentaires plus durables. / Supply chain and operations management has matured from a field that addressed only operational and economic concerns to one that comprehensively considers the broader environmental and social issues that face industrial organizations of today. Adding the term “green” to supply chain activities seeks to incorporate environmentally conscious thinking in all processes in the supply chain. The aim of this work is to develop a Green Supply Chain (GrSC) framework based on a multi-objective optimization approach, with specific emphasis on agrofood supply chain design, planning and operations through the implementation of appropriate green supply chain management and logistics principles. The case study is the orange juice cluster. The research objective is the minimization of the environmental burden and the maximization of economic profitability of the selected product categories. This work focuses on the application of GrSCM to two fundamental strategic issues targeting agro food supply chains. The former is related to the Green Supplier Selection (GSS) problem devoted to the farming production systems and the way they are integrated into the global supply chain network. The latter focuses on the global Green Supply Chain Network Design (GSCND) as a whole. These two complementary and ultimately integrated strategic topics are framed in order to evaluate and exploit the unique characteristics of agro food supply chains in relation to eco-labeling. The methodology is based on the use of Life Cycle Assessment, Multi-objective Optimization via Genetic Algorithms and Multiple-criteria Decision Making tools (TOPSIS type). The approach is illustrated and validated through the development and analysis of an Orange Juice Supply Chain case study modelled as a three echelon GrSC composed of the supplier, manufacturing and market levels that in turn are decomposed into more detailed subcomponents. Methodologically, the work has shown the development of the modelling and optimization GrSCM framework is useful in the context of eco-labeled agro food supply chain and feasible in particular for the orange juice cluster. The proposed framework can help decision makers handle the complexity that characterizes agro food supply chain design decision and that is brought on by the multi-objective and multi-period nature of the problem as well as by the multiple stakeholders, thus preventing to make the decision in a segmented empirical manner. Experimentally, under the assumptions used in the case study, the work highlights that by focusing only on the “organic” eco-label to improve the agricultural aspect, low to no improvement on overall supply chain environmental performance is reached in relative terms. In contrast, the environmental criteria resulting from a full lifecycle approach is a better option for future public and private policies to reach more sustainable agro food supply chains.