A AgÃncia Nacional de Transportes Terrestres (ANTT) acompanha o desempenho das ferrovias de carga atravÃs de diversos indicadores e verifica se as metas estabelecidas estÃo sendo cumpridas ou nÃo, investigando as causas do descumprimento. Entretanto, quando se busca os relatÃrios de avaliaÃÃo das concessÃes ferroviÃrias, nÃo consta uma investigaÃÃo aprofundada dos nÃveis de eficiÃncia das ferrovias brasileiras â um dos argumentos utilizados a favor da privatizaÃÃo das ferrovias e um dos princÃpios a serem perseguidos pela agÃncia. Avaliar o desempenho de unidades produtivas implica no estudo de diversos processos produtivos e no cÃlculo de uma grande variedade de medidas de produtividade, alÃm da escolha entre uma gama igualmente abrangente de metodologias que buscam identificar as unidades mais eficientes na produÃÃo de determinados bens ou serviÃos. De uma forma geral, essas metodologias envolvem o cÃlculo de taxas (ou Ãndices) de eficiÃncias em termos de produto por unidade de insumo (por exemplo: custo por unidade de produto, lucro por empregado, receita por unidade de capital empregado, etc). Cooper et al. (2000) denominam essas anÃlises como sendo a busca por medidas de produtividade parcial jà que os indicadores resultantes nÃo abrangem a totalidade de insumos e produtos utilizados no processo. Para uma anÃlise completa seria necessÃria, entÃo, uma metodologia que incluÃsse na anÃlise todos os insumos e todos os produtos presentes em um determinado processo produtivo. Com este objetivo, Charnes, Cooper e Rhodes (1978) apresentaram o seu trabalho seminal denominado Measuring the efficiency of decision making units no qual descrevem os fundamentos da AnÃlise EnvoltÃria de Dados ou Data Envelopment Analysis, em inglÃs, ou ainda simplesmente DEA. Ã, na verdade, uma ampliaÃÃo do estudo inicialmente apresentado por Farrel (1957), onde foram analisados os problemas das medidas parciais de eficiÃncia. Este trabalho faz uma aplicaÃÃo do mÃtodo DEA para avaliar a eficiÃncia produtiva das ferrovias de carga brasileiras baseando-se nos dados coletados pela a ANTT no perÃodo de 2006 a 2009. A partir destes dados foram elaborados oito modelos de anÃlise, sendo quatro considerando-se rendimentos constantes de escala e as demais se considerando rendimentos variÃveis de escala. Os modelos propostos foram resolvidos utilizando-se o pacote Benchmarking para R. A hipÃtese principal deste trabalho à que as ferrovias de bitola larga tenderiam a serem mais eficientes do que as ferrovias de bitola mÃtrica. Os resultados aqui obtidos sugerem que esta hipÃtese deve ser refutada. / The AgÃncia Nacional de Transportes Terrestres (ANTT) monitors the performance of rail freight through various indicators, and ensures that goals are being met or not by investigating the causes of noncompliance. However, there is no evidence of a deep investigation of the level of efficiency of the railway freight transport in Brazil. Note that it was one of the arguments used in favor of privatization of the railways and is one of the principles to be pursued by the agency. The appraisal of the performance of productive units involves analysis to several processes and calculation of a wide variety of productivity measures. Either, it requires choices between an equally comprehensive range of methodologies that seek to identify the most efficient units in the production of certain goods or services. In general, these methods involve the calculation of rates of efficiencies in terms of output per unit of input (eg, cost per unit of output, profit per employee, revenue per unit of capital employed, etc.). Cooper et al. (2000) called this analysis as the search for partial productivity measures since the resulting indicators do not cover all the materials and products used in the process. For a given production process, a complete analysis of efficiency requires the inclusion of all inputs and all outputs. To ensure it, Charnes, Cooper and Rhodes (1978) presented their seminal work called Measuring the efficiency of decision-making units in which describe the fundamentals of Data Envelopment Analysis, or simply DEA. It is actually an extension of the study initially presented by Farrell (1957), which analyzed the problems of partial measures of efficiency. This work is an application of DEA to evaluate the productive efficiency of freight rail lines in Brazil based on data collected by ANTT from 2006 to 2009. From these data, eight models were prepared for analysis. Four was prepared considering constant returns to scale and the other considering variable returns to scale. The proposed models were solved using the package Benchmarking for R. The main hypothesis of this paper is that the large gauge railways tend to be more efficient than the metric gauge railways. The results obtained here suggest that this hypothesis should be rejected.

La promotion du transport ferroviaire de marchandises permet d’améliorer l’impact environnemental du transport de marchandises, à travers la réduction de la part modale de la route, qui est responsable d’environ un quart des émissions européennes de CO2. L’objet de cette thèse est d’analyser les flux de marchandises afin de proposer des solutions opérationnelles qui permettraient d’augmenter la part de marché du transport de fret ferroviaire, notamment grâce à une meilleure utilisation des terminaux intermodaux. La première partie de la thèse fournit une synthèse des principales modèles théoriques concernant l’analyse de la demande et de l’offre de transport de marchandises, afin d’analyser le lien entre activité économique et transport de marchandises. Une analyse détaillée des sources statistiques disponibles au niveau européen, national et régional, est aussi fournie. Dans la deuxième partie, une application au cas des chantiers de transbordement rail-route en France est présentée, et une comparaison avec d’autres pays européens est réalisée. L’objectif de cette analyse est d’estimer la demande potentielle de transport combiné, d’évaluer la productivité des terminaux intermodaux et d’étudier l’impact socio-économique et financier des investissements dans les terminaux intermodaux, en évaluant également la possibilité des nouveaux montages financiers (PPP). Les résultats de l’analyse montrent un large potentiel pour le transport combiné, en particulier en lien avec l’activité des ports maritimes, et une productivité faible dans les terminaux existants. En conséquence, cette analyse suggèrerait de concentrer les investissements sur un nombre limité de sites à haut potentiel, afin d’attirer des investissements privés et optimiser l’utilisation des fonds publics. Les implications politiques de cette analyse sont multiples : elles concernent d’abord le gestionnaire d’infrastructure et les opérateurs ferroviaires, qui doivent mieux planifier les investissements en fonction de la demande commerciale. Elles concernent aussi l’Etat et les collectivités locales, qui doivent optimiser l’utilisation des fonds publics en favorisant les localisations à haut potentiel. / The promotion of railway modal share has large benefits on the environment by reducing the modal share of road transport, which is responsible for about one-fourth of European CO2 emissions. The aim of this dissertation is to analyse freight transport flows in order to provide operational solutions to increase the modal share of railways transport through a better use of intermodal terminals. In the first part of the dissertation a theoretical survey of freight transport models is provided, in order to show the linkage between freight transport and economic activities. A comprehensive analysis of data sources at European, national and regional levels is also provided. In the second part of the dissertation an application to the case of railway intermodal terminals in France is provided, with some comparisons to other European countries. The scope of the analysis is to estimate the potential demand of combined transport, to assess the productivity of intermodal terminals and to evaluate the socio-economic and financial impact of new investments in terminals, also through new project financing schemes (PPPs). The results show a large potential for railway intermodal transport, especially in connection with maritime ports, and low productivity in existing terminals. As a consequence it’s fundamental to concentrate new investments in a few high potential locations, in order to attract private investments and to provide a better use of public funds. The policy implications of this analysis are multiple: it concerns first the railway companies and the infrastructure managers, which should better plan their investments according to commercial needs. It concerns also governments and regional authorities which should better concentrate public funds on optimal terminal locations.