A análise de eficiência bancária é um tema relevante para a maioria das economias, dada a importância deste setor na intermediação de recursos financeiros. Este trabalho lança luz a questão de como são realizadas as análises de eficiência bancaria utilizando técnicas de fronteira. Desta forma traz a aplicação da metodologia de meta-analise em 47 estudos anteriores que aplicam técnicas de fronteira na mensuração de eficiência em bancos. Encontrou-se como principais técnicas de fronteira utilizadas a Análise Envoltória de Dados (DEA) em suas formulações CCR, BCC e SBM e a Fronteira Estocástica. A compreensão da utilização das técnicas, expostas neste trabalho, permeia a revisão bibliográfica das explicações teóricas destas e uma análise estatística da relação com as variáveis: os anos de publicação, as abordagens em bancos, e a orientação para medição da eficiência utilizada, ou seja, se o estudo considerou a técnica de fronteira com orientação a input ou output. Os resultados indicam uma maior tendência de utilização das técnicas DEA BCC, primordialmente orientados à input e nos anos mais recentes DEA SBM sem orientação. / The bank efficiency analysis is an important issue for most economies, given the importance of this sector in the intermediation of financial resources. This work sheds light the question of how are carried out bank efficiency analysis using frontier techniques. Thus provides the application of meta-analysis methodology in 47 previous studies applying frontier techniques in measuring efficiency in banks. It was found as major frontier techniques: Data envelopment analysis (DEA) in their formulations CCR, BCC and SBM and the Stochastic Frontier. To understanding the use of the techniques presented in, this paper go through the literature review of theoretical explanations and a statistical analysis of the relationship with the variables: year of publication, the approaches in banks, and the orientation for measuring the efficiency used, in other words if the study considered the frontier techniques with orientation to input or output. The results indicate a greater tendency to use the techniques DEA BCC primarily oriented input and in recent years DEA SBM without orientation.

The Models of the Data Envelopment Analysis are the instruments for benchmarking of homogenous production units. The first models had been formulated by the end of 70th in the last century and since then have been the subject of interest in the theoretical area as well as in the analytical area. The thesis refers to the models of the Data Envelopment Analysis and its development in the theoretical area. The second goal of the thesis is an application of models of the Data Envelopment Analysis in industrial environment and illustration of its possible use by investment decision. The domestic literature on the area of the Data Envelopment Analysis has not been sufficient. The thesis is therefore mapping the present stage of knowledge in this area and further widens by the Allocation Models, Dynamic Analysis and the questions of non-controlled and imprecise variables. Models, which are formulated in the thesis, where afterwards applied on the data of the foreign companies. The numerical experiments were worked out by the software support for the models of the Data Envelopment Analysis, built in the environment of MS Excel. The main contributions of the thesis are in enlargement of the Dynamic Analysis by the partial continuous dynamic analysis and analysis of Efficiency Stability of the evaluated units. The other contribution is the wide application of the models of the Data Envelopment Analysis for benchmarking the companies, which mainly produce the motor vehicles. The thesis gives the overview of the often used models of the Data Envelopment Analysis as well as of the rarely used models. It discusses the possible solution to the special situations which may occur during the application. The thesis is divided into six chapters which, in typical case, contain next to the theory the illustrative application. The first chapter comprises of the subscription of the basic models of the Data Envelopment Analysis. In the second chapter, there are presented the Super-Efficiency Models and discussed the problems with zero inputs and outputs in these models. The overview of the Allocation Models is in following part. The Dynamic Analysis and analysis of Efficiency Stability are subjects of the fourth chapter. The fifth chapter is dedicated to non-controlled and imprecise variables. The last chapter focuses on application of the models in automotive industry and its possible use of results for estimated development of the evaluated units on Investment markets.

Made available in DSpace on 2015-04-22T22:10:33Z (GMT). No. of bitstreams: 1 Nilma Gorette Antonia de Oliveira.pdf: 3870132 bytes, checksum: a6c3efca04db451b44138d9d7657c09d (MD5) Previous issue date: 2012-07-03 / The purpose of this research is to apply the methodology of Data Envelopment Analysis - DEA as a tool for evaluating their performance and efficiency of 19 Academic Units of the Federal University of Amazonas (UFAM) for the years 2009 and 2010, showing which academic unit is more productive and efficient, and which unit has lower level of productivity and efficiency. The tool was developed DEA to evaluate the efficiency of organizations whose activities are not aimed at profit or for those that do not exist pre-fixed prices for all inputs and / or all products, and thus an alternative technique to study the efficiency of higher education institutions. Considering that the end product of a higher education institution is to train individuals with critical thinking, qualified to play a role in society, and provide the community with undergraduate and graduate quality, we applied the model of Constant Returns Scale (CCR) with the product orientation. The research was conducted in three stages: the first was considered the evaluation of 14 academic units at headquarters and in the second and third used the evaluation of 19 academic units of the institution. The data used in the study were derived from existing sources at the institution such as: Management Report, PingIFES and Indicators TCU. In 2009, the results show that the 14 academic units assessed 71.43% achieved the level of technical efficiency, whereas in 2010 were 85.71% efficient. In evaluating the 19 academic units, 52.63% were effective in 2009 and 68.42% in 2010. In the case of academic units that have not reached the level of efficiency, the DEA model shown by the results which aspects should be dealt with by the manager to become efficient. The results may help the manager in decision making when defining institutional goals focused on those units that need to become productive and efficient. / A proposta desta pesquisa é aplicar a metodologia Análise Envoltória de Dados DEA como ferramenta de Avaliação de Desempenho e Eficiência das 19 Unidades Acadêmicas da Universidade Federal do Amazonas (UFAM) nos anos de 2009 e 2010, mostrando qual unidade acadêmica é mais produtiva e eficiente, e qual unidade apresenta índice menor de produtividade e eficiência. A ferramenta DEA foi desenvolvida para avaliar a eficiência de organizações cujas atividades não visam lucros ou para àquelas que não existem preços pré-fixados para todos os insumos e/ou todos os produtos, sendo, dessa forma, uma técnica alternativa no estudo da eficiência das instituições de ensino superior. Considerando que o produto final de uma instituição de ensino superior é a formação de indivíduo com senso crítico, qualificado para assumir um papel na sociedade, e oferecer à comunidade cursos de graduação e pós-graduação com qualidade, aplicou-se o modelo Retornos Constantes de Escala (CCR) com orientação ao produto. A pesquisa foi desenvolvida em três etapas: na primeira foi considerada a avaliação das 14 unidades acadêmicas da sede e na segunda e terceira utilizou-se a avaliação das 19 unidades acadêmicas da Instituição. Os dados utilizados na pesquisa foram oriundos de fontes existentes na instituição tais como: Relatório de Gestão, PingIFES e Indicadores do TCU. Em 2009, os resultados mostram que das 14 unidades acadêmicas avaliadas 71.43% atingiram o índice de eficiência técnica, enquanto que em 2010 85.71% foram eficientes. Na avaliação das 19 unidades acadêmicas, 52.63% mostraram-se eficientes em 2009 e 68.42% em 2010. No caso das unidades acadêmicas que não atingiram o índice de eficiência, o modelo DEA mostra através dos resultados quais aspectos devem ser trabalhados pelo gestor para que se torne eficiente. Os resultados obtidos poderão ajudar o gestor na tomada de decisão no momento de definir metas institucionais voltadas para as unidades que precisam tornar-se produtivas e eficientes.

A presente Tese de Doutorado propõe um modelo de análise de eficiência na gestão pública, na qual é focado o desempenho econômico-financeiro das prefeituras brasileiras no cumprimento de suas metas sociais. São considerados como parâmetros para essas análises, dados econômico-financeiros combinados a dados não financeiros; estes relacionados ao cumprimento de objetivos sociais como saneamento básico, longevidade e educação. Neste estudo foi empregada a técnica matemática denominada DEA ? Data Envelopment Analysis, ou Análise Envoltória de Dados, que é uma ferramenta analítica que pode fornecer a identificação das melhores práticas na utilização de recursos colocados à disposição de uma determinada organização e, simultaneamente pode identificar a possível fronteira de eficiência de um grupo de organizações afins, por meio de comparações entre os recursos usados e os resultados obtidos por cada uma delas. Dessa forma, o presente estudo visa a contribuir com o desenvolvimento dos municípios, disponibilizando um modelo para análise e comparação da eficiência na gestão pública, sendo avaliado o desempenho das prefeituras brasileiras, geralmente afetadas pela escassez de recursos. Os resultados alcançados apresentam-se particularmente úteis aos gestores das esferas estadual e federal, pois essas avaliações podem contribuir para: promover uma política de demonstração dos benefícios oferecidos aos usuários dos serviços públicos; implementar o monitoramento e controle sobre as atividades das prefeituras; gerar um modelo de competição entre os gestores municipais podendo assim, servir como um instrumento orientador no planejamento das metas sociais. / This thesis proposes an analysis model of efficiency in public management, which focuses on the economical-financial development of Brazilian town halls while accomplishing their social goals. Economical-financial data combined with non-financial data are the parameters considered for the analysis; the last ones are related to de accomplishment of social goals such as public sanitation, life span and education. A Mathematical technique called DEA, Data Envelopment Analysis, was used in this study; it is an analytical tool, which can supply the identification of the best performances in the use of the resources that are available for a certain organization, and simultaneously, it can identify a possible frontier of efficiency of a group of organizations with similar purposes, through the comparison of the used resources and the resources obtained by each one of them. Therefore, this study aims to contribute to the development of the cities, through the availability of a model of analysis and comparison of efficiency in public management, in which the performance of the Brazilian town halls, normally affected by the scarcity of resources, are evaluated. The results obtained in this research seem to be useful to managers of the state and federal spheres, due to the fact that theses evaluations can: contribute to the promotion of a demonstration of benefits policy for the users of the public services; implement the monitoring and control over the activities of the town halls; generate a model of competition among the cities managers; and finally, it can be a guide-line instrument in the planning of social goals.

Made available in DSpace on 2016-04-28T20:19:23Z (GMT). No. of bitstreams: 1 2005-Marcelo Sales Ferreira.pdf: 461622 bytes, checksum: 16c8c117b679038f772993a2b888fc5c (MD5) Previous issue date: 2005-02-25 / The Brazilian supermarket sector has experienced significant transformation in the last few years, following the economic tendency verified in Brazil and in the world. In a very competitive canary, the strategic movements of the big stores can make the difference between a good and a bad performance, or between the permanency, retreat or development of a competitor in this market. The present work analysis the performance of big competitors acting in the Brazilian supermarket sector, extending this discussion to a strategy approach about competition in the market. Besides a description about the history of Brazilian supermarkets, the objective is to present the main topics of strategy applicable on the segment, with emphasis to market segmentation and the relation between strategy and performance. The perform avaluation used was the methodology of Data Envelopment Analysis (DEA), which analysis the perform of each one, along with various factors, and in a comparative form. An analyze of the different options adopted considering the format of the stores, location, form of development and branding implemented by the six biggest groups of the sector, according of the rank, about 2003, announced by the Brazilian Association of Supermarkets (ABRAS). It is so that, Companhia Brasileira de Distribui??o, called by P?o de A??car, Carrefour, Sonae, Bompre?o, Sendas e Wal Mart have their results between 1999 and 2003 submitted to an analyze including billing, number of stores, number of employees and area available in stores. The methodology permit to identify companies whose perform in the period figure under the average of the conjunct of leaders of the rank. By the other side, is possible to find the supermarket s companies with the best results, whose competitive strategy could be seen as model. / O setor de supermercados no Brasil tem apresentado significativas mudan?as nos ?ltimos anos, acompanhando as tend?ncias econ?micas verificadas no Brasil e no mundo. Em um cen?rio de alta competitividade, os movimentos estrat?gicos das grandes redes podem fazer a diferen?a entre um desempenho bom ou ruim, ou entre a perman?ncia, retirada ou crescimento de um competidor nesse mercado. O trabalho faz uma an?lise de desempenho dos grandes competidores atuantes no mercado brasileiro de supermercados, estendendo essa discuss?o at? uma abordagem estrat?gica sobre a competitividade no setor. Al?m de um pequeno hist?rico do desenvolvimento dos supermercados no Brasil, o objetivo ? apresentar os principais t?picos de estrat?gia aplic?veis ao segmento em estudo, com destaque para a segmenta??o de mercado e a rela??o entre estrat?gia e desempenho. A avalia??o de desempenho utilizada foi a metodologia de an?lise envolt?ria de dados (DEA), que busca analisar cada empresa escolhida em um conjunto de fatores e de forma comparativa. Faz-se uma an?lise das diferentes op??es adotadas quanto ao formato de lojas, localiza??o, forma de crescimento e posicionamento de marcas por parte das seis maiores redes apontadas pelo ranking referente ao ano de 2003, divulgado pela Associa??o Brasileira de Supermercados (ABRAS). Assim, Companhia Brasileira de Distribui??o, conhecida como P?o de A??car, Carrefour, Sonae, Bompre?o, Sendas e Wal Mart t?m seus resultados de 1999 a 2003 submetidos ? an?lise, incluindo faturamento, n?mero de lojas, n?mero de funcion?rios e ?rea de venda total. A metodologia possibilita identificar redes cujo resultado no per?odo encontra-se abaixo da m?dia do conjunto daquelas situadas no topo do ranking. Por outro lado, tamb?m ? poss?vel encontrar as empresas de supermercado com os melhores ?ndices, cuja estrat?gia competitiva poderia servir de modelo.

La présente thèse a pour ambition d’évaluer la structure de marché du transport maritime de lignes régulières, en particulier au regard de l’intégration maritime au sein de l’ASEAN. Les problématiques principales abordées dans le cadre de ce travail sont liées aux déterminants fondamentaux des taux de fret, à la connectivité maritime, à l’efficacité portuaire et à la compétition sur les routes maritimes. Les analyses reposent sur l’utilisation d’outils méthodologiques précis tels que les modèles Markov-Switching Vecteur Autorégressifs, la Théorie des graphes, l'Analyse d'enveloppement des données, l'Analyse en composantes principales et le partitionnement de données. Les résultats permettent d’identifier trois cycles économiques entre 2003 et 2017, et montrent que le développement de la flotte a eu des effets négatifs non négligeables sur les taux de fret. L’étude illustre que le classement portuaire change en fonction des différents coefficients de centralités. Les résultats de l’analyse de la modularité confortent l’intuition d’une bonne connectivité maritime intra-ASEAN. De plus, le réseau maritime de l’ASEAN possède des attributs similaires aux flux d’échanges commerciaux. Cette analyse de l’intégration maritime régionale est complétée par une étude plus approfondie permettant de visualiser les ports les plus efficaces de la communauté. Une dernière analyse de la compétition sur les routes maritimes met en avant les trajets sur lesquels le nombre d’entreprises en concurrence est le plus élevé. Au final, la thèse permet de mieux comprendre comment est organisé le transport de conteneurs au niveau mondial et régional, et comment s’effectue l'intégration maritime de l’ASEAN dans la chaîne d'approvisionnement mondiale. / This dissertation aims to analyze the structure and the evolution of the Container Liner Shipping Industry by paying particular attention to the maritime integration of ASEAN member states. The factors behind freight rates, maritime connectivity, port efficiency and competition on maritime routes are the central topics of research. Methodological tools such as Markov-Switching Vector Autoregressive Approach, Graph Theory, Data Envelopment Analysis, as well as Principle Component Analysis and Cluster Analysis are employed. The findings from the research show that between 2003 and 2017 three economic cycles occurred and that fleet development had the most profound negative impact on freight rates. The Network Analysis of 153 ports confirms a hub-and-spoke nature of the shipping network. The study illustrates that port rankings change according to different centrality measures. It also demonstrates that ASEAN member states form a cluster of interconnected ports, and their shipping network has the same features as the intra-regional country exports. To complete the analysis of ASEAN maritime integration, this research outlines the most efficient ports within the community and the optimum container handling capacity. Competition on maritime routes, with respect to the country and region of origin and the destination, is also evaluated by highlighting the most concentrated routes in terms of number of competing firms. Moreover, the findings of this dissertation provide key answers to understanding how the industry is organized at global and regional levels, and the extent of maritime integration of the ASEAN region within the global supply chain.

Abstract not available

由於都市發展與產業發展具有相互影響之關係，不同之都市型態會吸引不同的產業，且不同的產業結構也將影響都市的發展，因此在探討經濟發展時，需要同時考慮都市與產業條件，以符合相互影響之關係。 早期台灣的製造業，或可稱為「勞力密集傳統產業」的潛力來自於低廉的勞動力，一旦優勢不再，廠商關廠、外移，對於都市發展的產業需求將有所衝擊，依據當地的產業發展條件，可能因此而沒落，或是轉型成不同的產業發展。此外，當政府有鑑於勞力密集產業的競爭力不再，提倡產業升級，發展技術密集的高科技產業，雖然能夠創造國家整體的經濟成長，但是也因其所需的高技術，並無法吸收原傳統產業過剩的勞力。再者，因早期產業政策、地方資源與歷史因素等有不同的產業發展型態，使各都市的產業發展條件與產業優勢不一，因此，新竹科學園區的成功，並無法完全的移植到全部的地方發展，在生產條件無法配合的情況下，不僅產業發展困難，更會影響都市的整體發展。因此在台灣經濟轉型時期，各都市應如何尋找自己優勢之產業，為本研究的重點。因此本研究將從都市的產業條件與發展優勢來分析，以做為都市發展其有利產業之依據，進而提升其生產效率，並促進都市發展。 在考量都市與產業交互關係屬於多投入與多產出的特性，將利用「資料包絡分析法」（Data Envelopment Analysis, DEA），依據生產要素與產出，來評估都市內產業發展的效率，期望得出都市內發展相對有效率的產業。 本研究共分為四大部分：第一部份從都市產業發展理論與相關文獻，以及生產理論與相關文獻的探討，選取衡量生產效率的相關變數，以作為實證的依據；第二部份為研究方法之設計，包括資料包絡分析法（DEA）之基本理論與應用模式內容與模型之建立；第三部份則依據研究目的所選取之模型變數，評估各都市之產業生產效率，以及利用DEA分析法所估計出之效率值，為被解釋變數，利用迴歸模型衡量外生變數對其的邊際效果；最後針對本研究進行之實證分析，作一綜合性的概述，配合都市產業發展提出建議。 根據實證結果與分析，歸納出本研究之結論如下： 一、依據都市產業效率評估分析，製造業中的傳統產業類、基礎（重化）工業類與技術密集產業類均普遍在北部區域的生產效率表現較理想，這與製造業現況中，北部區域的製造業員工數與產值均為全區域最高之情況顯示，北部區域不僅是產業的集中地區，其生產情況也較理想。誰然依據比較利益原則，產業集中於北部區域，對於台灣整體的產業發展有利，但卻不利於區域的發展，只會更加促使人口往北部區域的集中，長期將影響區域均衡與國家成長。 二、由都市規模因素普遍對產業生產效率，反映出大都市對於傳統產業的負面影響，但卻有利於基礎（重化）工業與技術密集產業的生產效率的結果，符合聚集經濟的相關文獻中對於近來的都市產業發展，有傳統產業朝向小都市而高科技產業卻朝向大都市發展的趨勢。 三、根據都市產業結構的多樣化對於產業生產的技術效率是呈現負面影響，與早期學者出台灣製造業呈現地方化經濟的情況相符合。 四、從產業專業化（集中度）能夠提升產業生產效率。符合MAR與Porter對都市產業的專業化將加速都市產業成長的預測，顯示產業生產應該要朝向較大規模與專業化發展。 因為各產業與各都市的發展條件不同，應有不同的產業政策，因此本文在瞭解都市特性對於都市產業發展效率所造成之影響，俾以藉此提供相關決策者在進行都市產業發展政策時的參考依據。

This thesis explored the measurement of performance of New Zealand tertiary education institutions (TEIs) and the demand for their services. This involved analysing the research performance of New Zealand universities, analysing the productive efficiency of New Zealand TEIs and examining the choice of provider by bachelor’s degree starters. Bibliometric data was used to measure the research productivity of New Zealand universities. This showed that following a fall during the early 2000s, the research productivity of New Zealand universities increased following the introduction of the Performance-Based Research Fund (PBRF). A multi-dimensional analysis of university research performance between 2000 and 2005 showed that no individual university was top in all four of the performance measures assessed. The overall performance of three universities, Massey University, Lincoln University and Auckland University of Technology, were noticeably below that of the other five universities. Data Envelopment Analysis (DEA) was then applied to input and output data of New Zealand TEIs to analyse their productive efficiency. In 2006, polytechnics that had: low levels of bachelor’s degree provision, were not regionally based, had a high proportion of subcontracting and were larger institutions, achieved higher levels of pure technical efficiency. The analysis showed that several polytechnics could improve their technical efficiency by reducing their scale of operations. In polytechnics, higher technical efficiency was associated with better financial performance. A number of technically efficient polytechnics struggled financially, indicating that the overall efficiency of the polytechnic sector was not high, or the funding model they operate under is not appropriate. The analysis also showed that decreasing bachelor’s degree provision, poor financial performance in the previous year, an increase in provision of community education, was associated with higher growth in total factor productivity between 1996 and 2006. The application of DEA to Australasian university data between 1997 and 2005 showed that New Zealand universities performed relatively well in terms of relative pure technical efficiency, compared with their Australian counterparts. However, the total factor productivity of New Zealand universities increased at a lower rate, on average, than that of the Australian Group of Eight and newer Australian universities. The application of DEA to a dataset of the participating TEIs in the PBRF showed that polytechnics had lower technical efficiency, on average, than other TEIs. The choices of bachelor’s degree starters in 2006 were analysed for evidence of a lack of parity of esteem between university and polytechnic degrees. The results showed that a lack of parity of esteem between polytechnic and university degrees may be influencing student choices. Students from higher deciles schools, with higher secondary school qualifications, Asians, students who travel for study, were all more likely to enrol in a university to start a bachelor’s degree. There was less clear cut evidence of a lack of parity of esteem between selected groupings of New Zealand universities. However, there did appear to be a lack of parity of esteem between the four older metropolitan universities and the two newest universities, with signs the former were held in higher esteem.

Demand fluctuations will bias the measurement of productivity and efficiency. This dissertation described three ways to characterize the effect of demand fluctuations. First, a two-dimensional efficiency decomposition (2DED) of profitability is proposed for manufacturing, service, or hybrid production systems to account for the demand effect. The first dimension identifies four components of efficiency: capacity design, demand generation, operations, and demand consumption, using Network Data Envelopment Analysis (Network DEA). The second dimension decomposes the efficiency measures and integrates them into a profitability efficiency framework. Thus, each component's profitability change can be analyzed based on technical efficiency change, scale efficiency change and allocative efficiency change. Second, this study proposes a proactive DEA model to account for demand fluctuations and proposes input or output adjustments to maximize effective production. Demand fluctuations lead to variations in the output levels affecting measures of technical efficiency. In the short-run, firms can adjust their variable resources to address the demand fluctuates and perform more efficiently. Proactive DEA is a short-run capacity planning method, proposed to provide decision support to a firm interested in improving the effectiveness of a production system under demand uncertainty using a stochastic programming DEA (SPDEA) approach. This method improves the decision making related to short-run capacity expansion and estimates the expected value of effectiveness given demand. In the third part of the dissertation, a Nash-Cournot equilibrium is identified for an oligopolistic market. The standard assumption in the efficiency literature that firms desire to produce on the production frontier may not hold in an oligopolistic market where the production decisions of all firms will determine the market price, i.e. an increase in a firm's output level leads to a lower market clearing price and potentially-lower profits. Models for both the production possibility set and the inverse demand function are used to identify a Nash-Cournot equilibrium and improvement targets which may not be on the strongly efficient production frontier. This behavior is referred to as rational inefficiency because the firm reduces its productivity levels in order to increase profits.