DEA모형에 의한 국내 무역항만의 효율성 측정에 관한 실증적 연구

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The purpose of this thesis is to investigate the efficiencies of seaports analytically in the theoretical side by reviewing previous studies conducted in Korea and the advanced countries, and also to make an attempt to analyze empirically the efficiency of the 26 international trade seaports in Korea by using CCR[Charnes, Cooper, and Rhodes(1978)], BCC[Banker, Charnes and Cooper(1984)], and Malmquist Models which come from DEA(Data Envelopment Analysis) Model for the two inputs(berthing capacity and cargo handling capacity) and three outputs(export quantity, import quantity, and numbers of arriving and leaving vessels) during 10 years from 1994 to 2003.
DEA is an efficiency evaluation model based on mathematical programming theory. DEA offers an alternative to classical statistics in extracting information from sample observations. DEA optimizes each individual observation with the objective of calculating a discrete piece-wise frontier determined by the set of Pareto efficient decision making units(DMUs). DEA analysis can involve multiple inputs as well as multiple outputs in its efficiency valuation. This makes DEA analysis more suitable for port efficiency measurement because ports produce a number of different outputs. Furthermore, DEA calculations are non-parametric and do not require an explicit a priori determination of relationship between inputs and outputs.
Since its introduction by Charnes, Cooper and Rhodes(1978), there have been many applications of DEA. Also several extentions were done to the basic CCR and BCC models like Malmquist model which is used in this thesis.
Efficiency (or productive efficiency) is the key factor in the economic activity of every sector of the economy and at various levels of the economic hierarchy. The measuring of efficiency constitutes in itself one of the crucial steps in the efforts that are made to raise efficiency. Data on efficiency serves as a tool for policy-makers at all levels of economic activity and is essential for improving the efficiency with which the various systems operate. Ongoing reviews of productive efficiency, while evaluating what remains to be improved, should also investigate connections between efficiency and organizational characteristics. Identifying external factors that may influence efficiency, and defining the relationship between them, may help to create a management tool that could be used to develop a decision making system for productive efficiency-increasing activities.
This thesis proposed the introduction of the CCR, BCC, and Malmquist methods for measuring the efficiency of Korean 26 international trade seaports, for use as one of the nonparametric methods. The results of an empirical analysis of the input(or output)-oriented CCR, BCC models were shown with the Malmquist model using the raw data from "Statistical Yearbook of Shipping and Ports," from 1995 to 2004 to get the data from 1994 to 2003.
The main empirical results are as follows.
First, empirical study by using CCR and BCC models show that the ports of Pyeongtaek, Daesan, Yeosu, Tongyoung, and Woolsan were found to be at high efficient level. The ports of Okpo and Samcheok were found to be high efficient level since the year of 2000. The ports of Incheon, Mokpo, Busan, and Woolsan show the high efficient levels under the BCC model.
Second, the scale efficiency results show followings:
The ports of Incheon, Gwangyang, Jeju, Samcheonpo, Masan, Busan, and Pohang were in decreasing returns to scale continuously. The ports of Janghang, Seoguipo, Jinhae, Okgae, and Sokcho are in increasing returns to scale continuously. The ports of Daesan and Samcheok show the constant or increasing returns to scale. The ports of Gohyun, Okpo, and Woolsan have improved the efficiency recently.
Third, the trends of efficiency change for 10 years by using Malmquist model show that all other period except 1998/1999, 2001/2002, and 2002/2003 which were decreasing in efficiency were upward tendency in terms of averaged Malmquist index. The averaged Malmquist efficiency of the ports of Pyeongtaek, Daesan, and Sokcho has rapidly upwarded, and those of the ports of Wando, Samcheonpo, Tongyoung, Woolsan, Pohang, Samcheok, and Okgae were declined to the below 1.0 of efficiency scores. The averaged technical efficiency change has shown the upward trends except the periods of 1996/1997, 2000/2001, 2001/2002, and 2002/2003 which have been declined. However, overall efficiency was decreasing. The seaports which have improved their technical efficiency are the ports of Pyeongtaek, Daesan, and Sokcho, but those of Seoguipo, and Okpo have downed to the level of below 1.0.
The policy implications of this thesis are as follows.
First, the CCR-BCC, Economies of Scale and Malmquist models have the merits of providing an alternative method to traditional DEA models for measuring the efficiency of seaports. Malmquist model showed the usefulness for measuring the trends of efficiency change dynamically for 10 years.
Second, when port authorities want to measure the international competitive strength of seaports and enhance their efficiency, they should consider both the traditional method as well as the introduction of the Malmquist models including CCR-BCC model.
Third, the planner of seaport policy should adopt and enforce the efficiency evaluation indicators for enhancing the competition power with the efficiency of individual seaport. Also to increase the efficiency of seaport, automatic container terminal system should be introduced like CTA(container terminal alternative) by Germany, and ECT(Europe Combined Terminal) by Netherland. This system will also decrease the operation cost(input) in the seaports terminal.
Fourth, policy planner of seaport should introduce the port management by private enterprises for the scientific and systematic port management efficiently.
The limitations of this study are as follows.
First, a closer empirical analysis like the advanced countries's previous studies was impossible, because of the insufficient data from the Statistical Yearbook of Maritimie Affairs of Fisheries.
Second, this thesis did not deal with rankings of efficient ports and the infeasible problem in the Super efficiency model under the input-oriented VRS model which was solved recently and introduced to the famous journal.
Third, several sets of input-output models are not suggested for finding out the exact elements or factors affecting the efficiency.
Fourth, the empirical results about CCR-BCC, and Malmquist models should be verified by using the more detailed published official data for the exact situation of individual port.
These topics will be the object in the next papers.
Alternative Title
An Empirical Study on the Efficiency Measurement of Korean International Trade Seaports Using DEA Models
Alternative Author(s)
Cha, Young-Woo
조선대학교 대학원
일반대학원 경제학과
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Table Of Contents
제 1 장 서론 = 1
제 1 절 연구의 목적 = 1
제 2 절 연구의 방법 및 범위 = 4
제 3 절 논문의 구성 = 5
제 2 장 기존연구에 대한 검토 및 한계점 = 6
제 1 절 국내외 기존연구 = 6
제 2 절 기존연구의 한계점 = 11
1. 국내기존연구의 한계점 = 11
2. 국외기존연구의 한계점 = 11
제 3 장 항만의 효율성 측정 및 방법에 관한 이론적 고찰 = 12
제 1 절 항만효율성에 대한 이론적 접근 = 12
1. 효율성의 이론적 접근 = 12
2. 항만의 효율성 = 15
3. 일반항만의 효율성 측정방법 = 19
4. 컨테이너항만의 효율성 측정방법 = 24
제 2 절 효율성 측정방법 = 25
1. 함수적 측정법 = 26
2. 생산성지수측정법 = 26
3. 비율분석 측정법 = 26
4. 회귀분석 측정법 = 27
5. DEA측정방법 = 30
6. DEA모형분석 = 31
제 4 장 DEA모형에 의한 국내 무역항만의 효율성 측정에 관한 실증분석 = 39
제 1 절 국내무역항만의 효율성 측정에 사용된 DEA모형 = 39
1. CCR과 BCC모형 = 39
2. 규모의 효율성 모형 = 41
3. Malmquist지수모형 = 44
제 2 절 DEA모형에 의한 국내 무역항만의 효율성 측정에 관한 실증분석 및 해석 = 49
1. 투입요소와 산출요소의 선택, 모형식 및 통계치 = 49
2. CCR, BCC, Malmquist모형의 특성 = 53
3. CCR, BCC모형에 의한 효율성 측정결과 = 54
4. 규모의 효율성모형에 의한 효율성 측정결과 = 59
5. Malmquist모형에 의한 국내무역항만의 효율성 측정 = 60
제 5 장 요약 및 결론 = 67
제 1 절 요 약 = 67
제 2 절 정책적 함의 = 69
제 3 절 논문의 한계 및 추후 연구의 방향 = 71
참고문헌 = 73
부표 = 80
조선대학교 대학원
차용우. (2005). DEA모형에 의한 국내 무역항만의 효율성 측정에 관한 실증적 연구.
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