Après avoir accompagné la révolution industrielle au XIXe siècle, le transport ferroviaire ne parvient que difficilement à s’adapter aux défis que lui a lancés la route depuis une centaine d’années. Depuis le début du XXe siècle, le rôle des chemins de fer dans le transport des marchandises et de voyageurs n’a cessé de décliner. Dans les pays de l’Union Européenne, il n’assure plus désormais que 6 % du transport de voyageurs et 16 % du transport de marchandises. Le renouveau du transport ferroviaire européen est aussi marqué par le développement du train à grande vitesse. Le trafic total de voyageurs « grande vitesse » est de 15 milliards de voyageurs-km en 1990 contre 111 milliards de voyageurs-km en 2014 soit une croissance globale de 740 %. La Part du trafic total de voyageurs « grande vitesse » a progressé, elle est passée de 4 % en 1990 contre 25 % en 2014. Le constat évident est que, depuis le début des années 1990, les chemins de fer ont perdu des parts de marché et ont donc exigé des subventions croissantes. La nécessité d’améliorer cette situation a conduit à imaginer un large éventail de possibilités d’action de la part des pouvoirs publics nationaux et européens. Depuis le début des années 90, la Commission Européenne s’est engagée dans un vaste chantier dont la finalité est la construction d’un espace ferroviaire intégré. Dans un contexte de marasme ferroviaire européen, nous voulons apprécier les performances des chemins de fer afin d’identifier les principaux facteurs qui permettront d’éviter le déclin. Nous partons de l’idée que les chemins de fer se doivent d’être performants sur le plan de la production et de la commercialisation des biens et services. Chacun des quatre chapitres de cette thèse utilise diverses méthodes pour contribuer au champ croissant de l’économie du transport ferroviaire. Le premier chapitre utilise les mesures partielles des indicateurs de productivité pour évaluer la performance d’un panel de quatre compagnies ferroviaires européennes, la DB en Allemagne, la SNCF en France, la RENFE en Espagne et les FS en Italie, observées entre 1990 et 2012. Notre objectif ici est double, dresser un bilan de la situation actuelle et révéler la trajectoire des entreprises ferroviaires européennes majeures sur une période débutant un peu avant les réformes ferroviaires initiées par la Commission européenne. Les indicateurs retenus nous ont permis d’évaluer quatre domaines de performance : la performance productive, la performance commerciale, la performance économique et la performance financière. Il est question pour nous d’évaluer l’efficacité de la directive 91-440 du 29 juillet 1991 relative au développement de chemins de fer communautaires, directive qui recommande de promouvoir l’indépendance de gestion des entreprises ferroviaires, ainsi que leur assainissement financier, en particulier leur désendettement. Le deuxième chapitre aborde le cadre théorique de l’efficacité technique, en passant en une revue les fondements théoriques et en présentant la méthodologie des frontières. Pour compléter cette analyse, nous proposons une revue de littérature non exhaustive des études empiriques portant sur l’évaluation des performances des chemins de fer. Le troisième chapitre propose des contributions empiriques à la mesure des performances des chemins de fer. Il est question pour nous d’évaluer, de comparer et d’expliquer les écarts de performances de certains pays de l’union européenne. Quatre indicateurs de performance ont retenu notre attention : l’efficacité productive, l’efficacité commerciale, l’efficacité technique et la variation de la productivité totale des facteurs. Pour ce faire nous avons simultanément estimé trois frontières paramétriques et stochastiques, à savoir, une frontière de production orientée input, une frontière de consommation et une frontière d’efficacité technique orientée input.... / After having accompanied the industrial revolution in the 19th century, rail transport difficultly adapt to the challenges launched by the road since a hundred years. Nowadays, European rail transport suffers from competition from the road, both for travellers and cargo. Since the beginning of the 20th century, the role of the railways in the goods and passengers transport has been declining. In the countries of the European Union, it now does ensure only 6% of passenger transport and 16% of goods transport. The European rail transport renewal is also marked by the development of the high-speed train. Total passenger "high speed" traffic is 15 billion passenger-km in 1990 against 111 billion passenger-km in 2014, that is an overall growth of 740%. The share of total passenger "high speed" traffic has increased from 4% in 1990 to 25% in 2014.The obvious observation is that, since the beginning of the 1990s, the railways have lost market share and therefore required growing subsidies.The need to improve this situation led to imagine a wide range of possibilities for action by national and European public authorities. Since the beginning of the 1990s, the European Commission is engaged in a vast reform aiming at the construction of an integrated railway area.In a context of European rail slump, we want to appreciate the performance of the railways in order to identify the main factors that will avoid the decline. We start from the idea that railways must be efficient in terms of production and commercialization of services.Each of the four chapters of this thesis uses various methods to contribute to the growing field of the rail transport.The first chapter uses the partial measures of productivity indicators to evaluate the performance of a panel of four European railway companies, the DB in Germany, SNCF in France, the RENFE in Spain and FS in Italy, observed between 1990 and 2012. Our aim here is twofold, to take stock of the current situation and reveal the path of major European rail companies on a period starting a little before the railway reforms initiated by the European Commission. These indicators help us to evaluate four areas of performance: productive performance, business performance, economic performance and financial performance. It is for us the opportunity to evaluate the efficiency of the directive 91-440 of 29 July 1991 relating to the development of Community railways, directive that recommends to promote the independence of management of railway companies, as well as their financial clean-up, especially their deleveraging. The second chapter shows the theoretical framework of technical efficiency, by a review of the theoretical foundations and by presenting the methodology of the borders. To complete this analysis, we propose a review of non-exhaustive literature of empirical studies on the evaluation of the performance of the railways. The third chapter suggests empirical contributions to the measurement of the performance of the railways. It is for us the opportunity to evaluate, compare and explain the differences in performance of some countries of the European union. Four performance indicators have caught our attention: productive efficiency, trade efficiency, technical efficiency and the variation of the total factor productivity. To this end, we simultaneously estimated three parametric and stochastic borders, namely, a production-oriented input border, a border of consumption and a border of technical efficiency-oriented input......

Productivity growth in the construction industry is low compared to other industries, and a large unnecessary part of a construction worker’s workday is taken up by nonvalue-creating work, such as waiting, or shifting and handling of building materials. Low productivity in construction projects makes it difficult to keep to schedules and can entail costs to construction companies when delays occur. This project aims to evaluate and investigate, on behalf of Skanska Hus Ume˚a, how productivity in the construction of new apartment buildings can be improved. To carry out this assignment, a large number of qualitative and quantitative interviews have been conducted with employees at Skanska. A survey study has also been sent out to investigate how productivity in selected parts of the construction process is experienced by employees at Skanska. The interviews and the survey study have been used as a starting point for the development of mathematical models with the aim of improving the productivity at Skanska Hus in Ume˚a’s construction sites. The project has resulted in a number of proposals for improvements that can be implemented in Skanska’s current working methods to increase productivity at their construction sites. An implementation of the Data Envelopment Analysis optimization model has identified technical effective and ineffective elements in the construction process, indicating which areas Skanska Hus in Ume˚a should focus on improving. Based on these areas, concrete proposals for new working methods have been prepared and presented based on principles and tools within Lean Construction. The degree project has also resulted in a calculation program that standardizes the working method for the construction of interior walls, resulting in increased productivity as well as time and cost savings. Finally, a model for weekly production follow-up has been created to increase employee engagement, ensure high productivity throughout the construction process and create conditions for future productivity development through data collection. / Produktivitetsutvecklingen i byggbranschen är låg jämfört med andra branscher och en stor del av en yrkesarbetares arbetsdag utgörs av icke värdeadderande arbete, som till exempel väntan, förflyttning och onödig materialhantering. Låg produktivitet inom byggprojekt gör det svårt att hålla uppsatta tidplaner och innebär därmed en kostnad för både byggföretag och kunder när förseningar uppstår. På uppdrag av Skanska Hus i Umeå har detta examensarbete syftat till att utvärdera och undersöka hur produktiviteten vid nyproduktion av flerbostadshus kan förb¨attras. För att besvara problemställningarna har ett stort antal kvalitativa och kvantitativa intervjuer genomförts med anställda på Skanska. En enkätstudie har även skickats ut för att undersöka hur utvalda moment i byggprocessen upplevs av medarbetare på Skanska. Intervjuerna och enkätstudien har använts som underlag vid framtagandet av matematiska modeller med syftet att öka produktiviteten på Skanska Hus i Umeås byggarbetsplatser. Examensarbetet har resulterat i en implementering av optimeringsmodellen Data Envelopment Analysis vilken har identifierat tekniskt effektiva och ineffektiva moment i byggprocessen. Resultatet från Data Envelopment Analysis indikerar vilka områden Skanska Hus i Umeå bör fokusera på att förbättra. Utifrån dessa områden har konkreta förslag på nya arbetssätt tagits fram och presenteras utifrån principer och verktyg inom Lean Construction. Examensarbetet har även resulterat i ett beräkningsprogram som standardiserar arbetssättet vid uppbyggnad och beklädnad av innerväggar vilket ger en ökad produktivitet samt tid- och kostnadsbesparingar. Slutligen har en modell för veckovis produktionsuppföljning skapats för att öka engagemanget hos medarbetarna, säkerställa en hög produktivitet genom hela byggprocessen samt skapa förutsättningar för framtida produktivitetsutveckling genom insamling av data.

Human health is frequently omitted from household-level studies on agricultural productivity, land-use choices, and forest degradation and deforestation. Intuition, however, suggests that it could be an extremely important factor. This dissertation is built on three essays that use household survey data from the Brazilian Amazon to examine the conditions under which human health and other critical market conditions are important factors in determining household agriculture production choices and efficiency. Essay I (Chapter 2) examines how health affects the labor allocation and production choices of migrant smallholders in the Brazilian Amazon. We show that the impacts of illness on household decisions depend critically on labor market function in the rural areas of the tropics. Furthermore, results from a formal statistical test of the labor markets shows that they do not work well, in other words are incomplete or thin, in the study area. These results are important both in specification of future smallholder household economic models and in targeting policies to better alleviate poverty and encourage more sustainable use of forest and land resources in similar tropical regions. Essay II (Chapter 3) investigates the role of health as a productive input and non-input factor of production. By using a non-neutral stochastic production approach, the impact of health is decomposed into direct effect on the production function and indirect effects on technical efficiency. The finding of the essay suggests that poor health has significant negative impacts on rural household production. The most important policy implication is that careful designing of agriculture development and rural settlements programs is important, and the provision of health care should be tied to these development projects. Essay III (Chapter 4) examines the demand for labor applied to land clearing, staple food production, livestock, working off-farm, and time taking care of sick people in the household. Specifically the empirical application examines the impact of disease on labor allocation, accounting for time lost by households taking care of sick members as a non-productive activity. Disease plays an important role in household decisions because farm activities are performed inefficiently by sick households and changes in household labor efficiency brings about a change in the relative price of competing uses for a household's time. Chapter 5 provides a summary and general conclusion of the work, and then provides comments on policy design and recommendations for further studies. In summary, the combined results of these studies show that both health condition and the quality of labor markets have significant interacting impacts on the labor allocation decisions by smallholders with accompanying welfare and deforestation implications. / Doctor of Philosophy / Most of the rural population of the Brazilian Amazon is made up of small-scale farmers – the so-called 'smallholders' – who are characterized by a lack of access to formal credit, a disconnection from social services, poor access to markets, and a dependency on their own labor as the main input in agricultural production, and thus survival. Since labor is the main input used in smallholder activities, albeit to different extents, anything that changes total household labor or labor efficiency adjusts the relative returns of competing uses, and thus labor allocation decisions. This PhD dissertation is an effort to understand whether markets, family health, and seasonality affect labor allocation decisions, and furthermore, whether those allocation decisions vary depending on productive activity. Based on cross-sectional farm data from the Brazilian Amazon, I find that the impacts of illness on household decisions depend critically on how well labor market function in rural areas. The results from a statistical test of the labor markets shows that they do not work well in the study area. These results are important both in specification of future smallholder household economic models and in targeting policies to better alleviate poverty and encourage more sustainable use of forests and land resources in similar settings. Also, I find that poor health has a significant negative impact on technical efficiency of rural household farm production. The most important policy implication is that careful designing of agriculture development and rural settlements programs is important, and the provision of health care care should be tied to these development projects. Finally, in the context of the region of study, where labor markets are thin, disease plays an important role on in household decisions because farm activities are performed inefficiently by sick households and change in labor efficiency brings about a change in relative prices of competing uses of household's time. My empirical work supports the hypothesis that health influence labor allocation decisions. In conclusion, the combined results of these studies show that both health conditions and the quality of labor markets have significant interacting impacts on the labor allocation decisions by smallholders with accompanying welfare and deforestation implications.

El Sistema de Pensiones Privado (SPP) del Perú es operado por cuatro Administradoras de Fondos de Pensiones (AFP): Habitat, Prima, Integra y Profuturo, quienes administran los aportes mensuales de los trabajadores afiliados. El presente trabajo de investigación tuvo como objetivo determinar la eficiencia técnica de cada una de las Administradoras de Fondos de Pensiones del Perú, 2015 – 2021, para así establecer si la asignación de sus recursos se mantiene eficiente a pesar de los cambios dados en los últimos años al SPP. La metodología utilizada para el desarrollo de la investigación fue de tipo aplicada con nivel explicativo con análisis estadísticos descriptivos. El nivel de eficiencia fue obtenido a través del modelo de Análisis Envolvente de Datos (DEA), el cuál mide la eficiencia de las empresas por medio de su capacidad individual para maximizar sus recursos con un cierto nivel de entrada. Para ello, se seleccionaron como variables de entrada a los gastos de personal y a la inversión en activos fijos y como variable de salida a los ingresos operacionales, con data obtenida en la Superintendencia de Banca, Seguros y AFP (SBS). Se obtuvo como resultado que las cuatro administradoras de fondos existentes son eficientes técnicamente puesto que se encuentran en el rango establecido para considerarse eficientes técnicamente [0.5-1], resaltando la fluctuación obtenida para la AFP Integra dentro de dicho rango para los años de estudio. Con ello, se concluye que las AFP en el Perú emplean adecuadamente sus recursos siendo eficientes técnicamente durante los años de estudio. / The Private Pension System (SPP) of Peru is operated by four Pension Fund Administrators (AFP): Habitat, Prima, Integra and Profuturo, who manage the monthly contributions of affiliated workers. The objective of this research work was to determine the technical efficiency of each of the Pension Fund Administrators of Peru, 2015 - 2021, in order to establish if the allocation of their resources remains efficient despite the changes in recent years. years to SPP. The methodology used for the development of the research was applied with an explanatory level with descriptive statistical analysis. The level of efficiency was obtained through the Data Envelopment Analysis (DEA) model, which measures the efficiency of companies through their individual capacity to maximize their resources with a certain input level. For this, personnel expenses and investment in fixed assets were selected as input variables and operating income as output variable, with data obtained from the Superintendency of Banking, Insurance and AFP (SBS). It was obtained as a result that the four existing fund managers are technically efficient since they are in the range established to be considered technically efficient [0.5-1], highlighting the fluctuation obtained for AFP Integra within said range for the years of study. With this, it is concluded that the AFPs in Peru adequately use their resources, being technically efficient during the years of study.

本文主要是利用中國統計年鑑、中國鄉鎮企業年鑑、中國工業經濟統計年鑑及1995年第三次全國工業普查資料匯編各年版所提供的一九九五至一九九七年期間大陸工業三十三個產業別之追蹤資料，研究大陸鄉鎮企業對國有企業經營績效之影響。本文所定義的國有企業經營績效，主要分為兩部分：一為大陸國有企業的獲利能力，一為大陸國有企業的生產技術效率。在大陸國有企業的獲利能力部分，本研究論文是採用固定效果模型（fixed-effect model）之迴歸模型來探討大陸鄉鎮企業的產業發展對國有企業獲利能力的影響。接著在大陸國有企業的生產技術效率部分，本研究論文則採用Battese and Coelli（1995）提出的具有轉移對數形式及可採用時序加截面數據的隨機邊界生產函數模型（stochastic frontier production function model），來探討大陸鄉鎮企業的產業發展對國有企業技術效率的影響。 　　本文主要的研究發現為，大陸鄉鎮企業確實對國有企業之經營績效產生不利影響。從區分的產業類別來看，大陸鄉鎮企業對國有輕工業部門經營績效之影響，已由損害獲利階段進入不利技術效率之階段，而國有重工業部門則停留在受鄉鎮企業負面影響獲利的階段，此乃由於鄉鎮企業發展階段的不同，所造成的影響結果亦有所差異。在本文之研究期間，鄉鎮企業在輕工業的發展已趨成熟，並開始積極發展重工業部門，所以國有之重工業部門依循其輕工業受影響模式，已出現獲利受到鄉鎮企業影響而下降之情形。 　　其次，本文之實證結果顯示，國有企業規模對其經營績效有顯著的助益效果。規模較大之國有企業尤其是大型國有之重工業，確實存在顯著的規模經濟效益。亦顯現出大陸政府自一九九０年開始，希望透過國有企業資源之整合，促進其發揮規模經濟效益之政策，在一九九五至一九九七年期間可能已在國有企業及其重工業部門初見成效。 此外，本文之實證結果顯示，資金密集度對國有重工業部門產生不利技術效率的影響，對其獲利能力並無顯著影響。 　　雖然，本文之研究結果顯示，大陸鄉鎮企業確實對國有企業之經營績效產生不利影響，但這僅是短期之現象，本論文認為鄉鎮企業所扮演的角色除了是市場競爭者外，其更應積極的被視為篩選國有企業之機制，經由鄉鎮企業的競爭壓力及短期內之不利影響，可迫使國有企業為保護其獲利不被損害及在市場上繼續生存，必須採取反應措施，而逐漸走向符合市場經濟的制度，例如讓營運不佳的企業在競爭下自市場退出、選擇適當的技術路線、發展具生產利益的產業及企業必須加強產品的創新，以獲取較高的創新利潤等回應措施。若國有企業在長期下真能依循上述模型進行調整，則國有企業之技術效率將有所提昇，並能改善其獲利低下的情況，進而達到經營績效改善。依此看來，本論文認為鄉鎮企業所發揮的是更為積極、穩定的改革力量，促使國有企業長期且持續的進行經營績效改善。 　　因此，在解決大陸國有企業經營績效的問題時，國有企業制度的改革固然重要，但若大陸政府在推行改革時，能加以考量鄉鎮企業發展此一重要因素，將大陸鄉鎮企業之發展視為篩選國有企業之機制，淘汰不適於市場機制、競爭力不足、虧損之國有企業，則長期下將可使國有企業達到經營績效改善之效果。 / This thesis investigates the influence of township-village enterprises (TVEs) on the performance of China’s state-owned enterprises (SOEs). Industrial-based panel data from 1995~1997 provided by various published years of the China Statistical Year Book , China Industry Economy Statistical Year Book, The data of The Third National Industiral Census of The People’s Repiblic of China in 1995, and China Township-Village Enterprises Year Book　are adopted to estimate the fixed-effect model of SOEs’ profit rate function, and stochastic frontier production function model of SOEs’ technical efficiency function. The primary finding is that the profit rate in the heavy industry and the technical efficiency in light industry of China’ SOEs are both influenced negatively by the output share of TVEs, the above proves the influence of TVEs on the performance of SOEs has changed from profit loses to technical inefficiency, but this condition won’t exist for long because of the policies to improve performance adopted by SOEs , like relocation factors, adjustment size or any useful acts will take effect. Secondly, larger scale of SOEs, especially in heavy industry, gets higher profit rate and higher technical efficiency, the conclusion indicate that size of SOEs brings improvement of performance to SOEs. Besides, improvement of the technical efficiency of SOEs is crossed in capital intensive, but has no effect on profitability. The above proves that SOEs will against the competition by reactions in policy, as long as longtime performance, the technical efficiency of SOEs will make great advances. Therefore, for solving the problem about the performance of SOEs, besides the innovation in economic system, China should concern about the competitiveness of TVEs. In conclusion, China should regard TVEs not only as a competitor but also as a mechanism to sift out uncompetitive SOEs from China’s market so that the performance of SOEs can be improved to reach the crucial position in China.

本研究依據2003年「行政院新聞局廣播電視白皮書」、「公開上市、上櫃資訊觀測網站有線電視系統業者財務報告書」等文獻資料，先以資料包絡分析法評估個別系統業者的技術效率，再應用Tobit截斷迴歸方法，探討影響台灣有線電視系統業者經營效率的因素。 評估結果顯示，造成個別有線電視系統業者經營技術無效率的因素，主要歸咎於浪費資源所造成之無效率，而非因生產規模不適當所造成之無效率，迴歸結果發現，營業收入與技術效率間具正向關係，而頻道數、廣告密集度、經營區面積、集團化及業務集中度對技術效率間具負向關係。 / Based on the information of 2003 “The Broadcasting television paper of Government Information Office of Executive Yuan” and “Finance Statements of The Cable System Operators of Listed Companies and OTC Listed Companies from Market Observation Post System in Taiwan”, this study first uses DEA to assess technical efficiency of cable system operators, and then applies the Tobit censored regression technique to investigate the determinants of technical efficiency. The efficiency-evaluating result shows that the main factor, which causes inefficient management, is an ineffective use of resource; an improper production scale has less impact on it. The regression result also shows that the revenue has a positive impact on technical efficiency, but the number of channels, Area, the density of advertisement, conglomeration, and business focus has negative impacts on technical efficiency.

La thèse s’intéresse à l’impact des subventions publiques sur les décisions de production des agriculteurs. Elle analyse d’abord le lien entre subventions et efficacité technique des exploitations, puis examine les effets des subventions découplées sur la fourniture de services écosystémiques par les agriculteurs. L'influence des subventions sur le comportement des agriculteurs est une question importante dans le contexte de réformes successives des politiques agricoles. Il existe une vaste littérature sur cette question, mais celle-là présente trois limites majeures. D’une part, la littérature sur le sujet spécifique du lien entre subventions et efficacité technique repose sur une pléthore de modèles empiriques qui traitent les subventions de façon ad hoc. De plus, cette littérature est presqu’exclusivement basée sur des modèles statiques, alors que les décisions de production sont essentiellement dynamiques.D’autre part, peu de travaux analysent le rôle des subventions découplées en considérant la nature multitâche de l’agriculture. C’est pourquoi la thèse réalise tout d’abord une méta-analyse des résultats empiriques existants sur le lien entre subventions et efficacité technique, afin de contrôler les effets qui seraient dus aux méthodes utilisées. Les résultats indiquent que la modélisation des subventions comme outputs, ou l’utilisation du ratio subventions/revenu comme proxy, pourraient générer des résultats trompeurs. Ensuite, la thèse développe et estime un modèle de frontière dynamique ainsi qu’un modèle similaire mais statique. Les résultats montrent que le cadre statique surestime l'effet (négatif) des subventions sur l'efficacité technique. Enfin la thèse développe et teste un modèle d'agence multitâche indiquant que les aides découplées peuvent inciter les agriculteurs à fournir des services écosystémiques / The thesis focuses on the impact of public subsidies on farmers’ production decisions. It first concentrates on the link between public subsidies and farm technical efficiency, and then investigates the potential effects of decoupled subsidies on farmers’ provision of ecosystem services. The influence of public subsidies on farmers’ behaviour is an important policy question in the context of the successive reforms of agricultural policies. There exists an extensive literature on this question, but this literature has three main shortcomings. First, the literature on the specific topic of the subsidy-efficiency nexus relies on a plethora of empirical models in which subsidies are often treated in an ad hoc way. Second, this literature is almost exclusively based on static modelling, while most agricultural production decisions are dynamic in nature. Finally, in the literature on the incentive effects of decoupled subsidies, the multitasking nature of farming activities has receivedlittle attention. The thesis addresses these issues, first, by undertaking a meta-analysis of the existing empirical findings on the subsidy-efficiency nexus, in order to control for effects arising from the various methodologies used. The results show that modelling subsidies as outputs, or using the ratio of subsidies to farm revenue as a subsidy proxy, could lead to misleading results. Then, the thesis develops and estimates a dynamic frontier model; for comparison purposes, the static counterpart of this model is also estimated. The results indicate that the static framework overestimates the (detrimental) effect of subsidies on farm technical efficiency. Finally, the thesis develops and tests a multitasking agency model, indicating that decoupled subsidies could raise farmer's incentives to provide environmental services and ecologically sound production

Submitted by Sandro Camargo (sandro.camargo@unipampa.edu.br) on 2015-05-09T19:30:37Z No. of bitstreams: 1 117110019.pdf: 3622835 bytes, checksum: bf885e1754a3be10513d615ebdb016c7 (MD5) / Made available in DSpace on 2015-05-09T19:30:37Z (GMT). No. of bitstreams: 1 117110019.pdf: 3622835 bytes, checksum: bf885e1754a3be10513d615ebdb016c7 (MD5) Previous issue date: 2013-11-23 / Este trabalho investiga o processo de evolução dos índices de eficiência técnica e de produtividade de Malmquist para as 30 maiores empresas distribuidoras de energia elétrica no Brasil, confrontando a metodologia do órgão regulador (Agência Nacional de Energia Elétrica – ANEEL) de avaliação dos Custos Operacionais Regulatórios do Ciclo de Revisão Tarifária Periódica, com as relações existentes entre a tecnologia de produção utilizada por estas empresas e a qualidade dos serviços prestados à sociedade, entre 2003 e 2009, aplicando-se a Análise por Envoltória de Dados (Data Envelopment Analysis – DEA). Para tanto, utilizam-se os seguintes modelos DEA, orientados para insumo: o CRS (CCR), o VRS (BCC) e o NDRS (usado pela ANEEL), que presumem tecnologias com os seguintes retornos à escala de produção: constantes, variáveis e não decrescentes, respectivamente. Sendo estes modelos DEA aplicados aos dois cenários modelados: no primeiro (chamado de C1), observam-se as variáveis quantitativas adotadas pela ANEEL, tendo como insumo o Custo Operacional – OPEX (R$) e como produtos a Extensão de Redes de Distribuição de Energia Elétrica – Rede (km), o Consumo de Energia Elétrica – Mercado (TWh) e o Número de Unidades Consumidoras de Energia Elétrica – UC (No de Clientes); no segundo (chamado de C2) são inseridas variáveis de qualidade ao cenário C1, definindo-as como produtos na modelagem DEA, citando-se o Índice ANEEL de Satisfação do Cliente – IASC (No Índice) e o Indicador de Desempenho Global de Continuidade – DGC (No Índice). Desta forma, com base nos resultados de desempenho relativo para o período analisado, identificam-se como resultados principais a tendência de evolução positiva das medidas de eficiência técnica e a tendência de estabilização das medidas de produtividade, para o conjunto das 30 maiores empresas distribuidoras de energia elétrica do país. Além disso, comparando-se os resultados de eficiência técnica e produtividade, nos diferentes cenários e nas diferentes modelagens DEA (benchmarking), verificou-se que a implementação de um cenário e de uma modelagem deve refletir a realidade econômica (aproximação com a função de produção verdadeira) das empresas distribuidoras de energia elétrica no Brasil, de modo a possibilitar a identificação das distribuidoras de energia elétrica que estão operando na escala ótima (ou não) e se os retornos à escala de produção são constantes, crescentes ou decrescentes. Assim, percebeu-se que boa parte das empresas (C1 igual a 40% e C2 igual a 50%) apresentaram retornos de escala de produção decrescentes (DRS) em todo o período de tempo analisado. Portanto, a modelagem DEA VRS apresenta-se mais adequada para a avaliação de desempenho, em detrimento da modelagem DEA NDRS usada pela ANEEL, pois admite que as empresas atuem na região decrescente da fronteira de produção e ainda assim possam ser consideradas eficientes. Já o cenário C2, ao agregar variáveis de qualidade ao Cenário C1 (ANEEL), aproxima-se também desta realidade econômica, buscada pelo órgão regulador através da mensuração dos custos operacionais regulatórios associados aos indicadores de qualidade na prestação dos serviços à comunidade. Por fim, são realizadas considerações sobre a necessidade de aprimoramento de alguns pontos na metodologia utilizada pelo regulador, representando desafios para a garantia de equidade entre a modicidade tarifária e a sustentabilidade das empresas do setor elétrico brasileiro, de modo a garantir-se, efetivamente, o equilíbrio econômico-financeiro nos próximos Ciclos de Revisão Tarifária Periódica. / This work investigates the evolution process of technical efficiency indices and Malmquist productivity for the 30 largest power utilities in Brazil, comparing the methodology of the regulator (ANEEL – National Agency of Electric Energy) of evaluation of Regulatory Operational Costs of the Periodic Tariff Review Cycle, with the relationship etween the production technology used by these companies and the quality of services provided to the society between 2003 and 2009, applying the Data Envelopment Analysis (DEA). For this, it is used the following models DEA – input oriented: CRS (CCR), the VRS (BCC) and the NDRS (used by ANEEL), assume that the following technologies returns to scale production: constants, variables, and nondecreasing, respectively. It was adopted two scenarios: the first (called C1), it was observed quantitative variables adopted by ANEEL, taking as input the Operating Cost – OPEX (R$), and as products the Extension of Distribution Networks Electricity - Network (km), the Consumption of Electricity – Market (TWh) and the Unit Number of Electric Consumers – UC (No of Customers), the second (called C2), and quality variables to the scenario C1 are inserted by defining them as products in modeling DEA, the ANEEL’s index of Customer Satisfaction - IASC (NoIndex) and Performance Indicator of Global Continuity – DGC (No Index). Thus, based on performance results relative to the analysis period, it is identified measures of technical efficiency with positive trend and productivity measures with stabilizing trend for the whole of the 30 largest power utilities in Brazil. Furthermore, comparing the results of technical efficiency and productivity in the different scenarios and different DEA modeling (benchmarking), it was found that the implementation of a scenario and a model should reflect the economic reality (closer to the function of real production) of power utilities in Brazil, in order to facilitate the identification of power utilities that are operating at optimal scale (or not) and returns to scale of production are constant , increasing or decreasing. Thus, it was noticed that most companies (C1 equal to 40% and C2 equal to 50%) showed decreasing returns to scale of production (DRS) throughout the time period analyzed. Therefore, the VRS DEA model appears more suitable for the evaluation of performance, rather than modeling the DEA NDRS used by ANEEL, since it allows companies to act in the decreasing region of production frontier and still can be considered efficient. Finally, we discuss the need to improve some points in the methodology used by the regulator, representing challenges to ensuring equity between low tariffs and sustainability of the Brazilian electricity sector, in order to guarantee effectively the economic-financial balance over the next Periodic Tariff Review Cycle.

本研究以民國75至86年間，新銀行開放設立前已存在之本國舊銀行實際經營資料，利用資料包絡分析法估計成本效率值，並將之分解為純技術效率、規模效率及配置效率。再利用Tobit迴歸分析，以探討開放新銀行設立對本國舊銀行經營效率之影響。 研究結果發現，整體舊銀行投入資源之運用效率，仍有很大的改善空間。此外，成本無效率之來源主要為技術無效率。 考慮其他影響效率之因素後，開放新銀行設立對舊銀行之經營效率具有顯著之正向影響。此結果顯示新銀行設立對舊銀行之經營形成很大的競爭壓力，導致本國舊銀行不論在資源投入、規模調整或資源配置上，皆積極努力地改善。本實證結果與政府希望透過開放新銀行，對經營僵化之國內銀行業加以刺激，以提升舊銀行經營效率之目標相一致。 / This study empirically examines whether opening up the new banks to establish affects various efficiency ratios of Taiwan old banks or not. It uses Data Envelopment Analysis (DEA) to assess cost efficiency, pure technical efficiency, scale efficiency and allocative efficiency based on the Taiwan old banks data from 1986 to 1997. Then, applies the Tobit censored regression model to examine the relationship between opening up the new banks to set up and these efficiency measures. The empirical result shows that the usage efficiency of resource inpute of whole old banks isn't up to the appropriate point, so there is plenty of space for improvement. Besides, cost inefficiency primarily results from technical inefficiency, not allocative inefficiency. After considering other factors of the effects of efficiency, it's obviously positive relationship between opening up the new banks to set up and operating efficiency of old banks. The result shows that these new banks establish put competitive stress on the operation of old banks. So those old banks try hard to improve their resource input, scale adjustment, or resource allocation, etc. This result corresponds with the government's intention to raise the operating efficiency of original banks.

本研究包括3個研究議題。第1個議題旨為估算不同部門別（包括農業、工業、服務業與運輸業）的能源燃燒產生CO2排放之組成因素的貢獻量，係藉由拉氏指數法和算術平均迪氏指數法之加法型態，拆解5種不同的因素（包括：碳密集度、部門結構、能源密集度、人口及經濟規模等），觀察其對於CO2排放變動之影響。本文採用台灣1992-2008年的各部門別的資料作為分析的基礎，研究結果顯示，以上部門的經濟規模對於CO2排放的貢獻呈現巨幅的正向效果；人口因素則呈現微幅的正向或負向的影響；而碳密集度對於CO2排放減量有正面的影響，並發現此乃是構成改善能源結構並導致CO2排放減量的最重要因素；能源密集度因素的影響，除服務業以外，其餘部門均呈現負向影響，此一結果顯示，大部分部門要進一步改善其能源效率頗為困難，是以未來致力於減排的努力，應著重於使用乾淨能源，尤其是以再生能源作為替代能源 (Liaskas et al., 2000)；此外，值得注意的是，部門結構因素對於大部分的產業，如農業、工業和運輸業的CO2排放減量有正向的影響，據此可推論，我國的部門結構已漸趨向於低耗能產業（如服務業）發展。另外，本文採用近似不相關迴歸模型，探討各項政策工具（如環境稅、進口關稅）與經濟變數（如貿易條件及時間趨勢等）透過以上5種不同的組成因素，對於CO2排放變動的影響效果作一分析，其實證結果可供決策者制定減排政策的參考。 第2個議題係為建立節能減排的有效政策工具，須先詳實掌握各項政策工具對節能減排與經濟成長的影響，乃深入回顧相關文獻之理論與實證方法，據以建立適合台灣的3E聯立模型，並進行實證分析，藉以推估多項政策工具（如環境稅、關稅等及能源價格等）與經濟變數（如貿易條件、所得等）對於節能減排與GDP的影響。實證分析結果顯示，台灣之能源消費、CO2排放、及GDP對於各項政策工具與經濟變數之彈性不僅各異其趣，而且有些彈性並非固定不變，可隨時間經過動態調整。 第3個議題係利用台灣1992-2008年之農業、工業、服務業與運輸業等部門別的panel data，仿照Battese and Coelli (1995)提出之隨機邊界(Stochastic Frontier Analysis, SFA)模型，建構隨機生產邊界函數 (stochastic production frontier function)與隨機能源需求函數 (stochastic energy demand frontier function)，利用最大概似法估算出各部門的GDP與能源需求之隨機邊界與技術效率 (technical efficiency, TE)，並據此實證結果提出政策建議。 / The thesis includes 3 issues of research. The first research aims at identifying the factors that have influenced change in the level of various sectors (agriculture, industry, service and transport) CO2 emissions from energy use. By means of both Laspeyres index method and the arithmetic mean weight scheme expressed separately in the additive form, the observed changes are analyzed into five different factors: CO2 intensity, structural change, sectoral energy intensity, sectoral employing population and output level. The application study refer to 4 sectors of Taiwan between 1992 and 2008. The obtained decomposition results indicate that the examined sectors the value calculated for the output level effect present the highest value appearing positive contribution of CO2, and the contribution from population is slightly increased or decreased, while CO2 intensity has beneficially influenced the reduction of CO2 emissions, as well as the improvement of fuel mix found to be the most important factor that lead to the reduction of emissions. In most of the examined sectors for the energy intensity factor present positive effect on CO2 emissions, the only exception is service sector showing negative impact on CO2 emissions, which can be stated as Liaskas et al. (2000) that as further improvements in energy efficiency in most sectors become more difficult, efforts to reduce CO2 emissions will be predominantly directed towards the use of clean energy forms and especially towards the deployment of renewable energies. It also should be noted that structural change has positively influenced the abatement of CO2 emissions for the most sectors such as agriculture, industry and transport. We conclude it shifts towards less energy-intensive service sector, due to have negative influenced the observed decrease in CO2 emissions for higher energy use sectors (industry and transport) and agriculture,. In this article, we also use a seemingly unrelated regression to further investigate the policy tools how to change in CO2 emissions level by the five different factors. The results indicate that policymakers may reduce emissions considerably through various policy instruments. The second issue focuses on initiating effective policy to save energy and reduce emission, one needs to reasonably capture the potential impacts of various policy instruments on energy consumption, CO2 emission and economic growth, the second research, after extensively reviewing the literature, builds a locally ideal empirical model that facilitates the estimation of various policy elasticities. The empirical results indicate that policy elasticities may not only differ from one to the others, but also change dynamically, implying the 3E impacts of some policy instruments might be weakening over time. The main goal of the third article is to provide a detailed analysis of productivity and efficiency measurement for panel data on four different sectors from Taiwan over the period 1992-2008. We use a stochastic frontier model set by Battese and Coelli (1995) to build a stochastic production frontier function and a stochastic energy demand frontier function, which are estimated by maximum likelihood to obtain a stochastic frontier of GDP and energy demand, as well as technical efficiency. On this empirical results, we suggest that policymaker may simultaneously make top-down policies (green tax reform, increasing environmental tax etc.) and bottom-up policies (fuel price in line with prices of gas in global markets) to increase energy efficiency in different sectors.