한·중·일 항만의 효율성 측정에 관한 실증적 연구

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An Empirical Study on the Efficiency Measurement among Korean, Chinese, and Japanese Seaports

Li Mei Hao
Advisor: Prof. Park Ro-Kyung Ph. D.
Department of International Trade
Graduate School of Chosun University

The purpose of this paper is to investigate the efficiency of the 24 major ports of Korea, China and Japan by using DEA-CCR, DEA-BCC, and Malmquist models which come from DEA(Date Envelopment Analysis) model, and to find the special characteristics using SWOT(Strength, Weakness, Opportunities, and Threats) method and also to suggest an effective strategy which can operate these ports more well.
This study tries to apply the Date Envelopment Analysis(DEA) model to the competitive power of 24 major ports of Korea, China and Japan for 7 years form 2003 to 2009 through DEA-CCR, DEA-BCC, Malmquist model and scale efficiency. DEA is an efficiency evaluation model based on mathematical programming theory. DEA offers an alternative to classical in extracting information from sample observation. 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 provides the user with information about the efficient and inefficient units, as well as the efficiency scores and reference sets for inefficient units.[Cai Rui(2009)]
Malmquist model is efficiency measurement techniques for the productivity change. The DEA-based Malmquist productivity index has several advantages when compared with other methodologies. The DEA-based Malmquist index in non-parametric, and thus it does not suffer the problem of an inappropriate functional form, and it easily tackles multiple outputs and inputs.
This paper also analyzed the current status of the competitive power of 24 major ports in Korea, China, Japan using efficiency and SWOT analysis and sought the solutions that will be helpful in making further strategy for the future development of these 24 ports. Through the analysis, this paper could investigate the efficiency of 24 major ports and figure out the trend of the efficiency during the recent 7 years form 2003 to 2009. To carry out a SWOT analysis, this paper focused on problems and improvement plan in terms of geographical location, location of main route, port facility, and port policy. That is aimed to suggest the proper measures for developing the ports of Korea, China and Japan.
The main empirical results are as follows:
First, according to the results of SWOT analysis on Korean seaports, the ranking of relative importance is Opportunities(the improvement of transportation system by building up the various infrastructure, the continuous development of linked industrial estate in the near area, and the increasing trend of cargo amount in North East Asia area in order), Strength(the competitive cargo handling cost, the excellent port location, and the wide hinterland in order), Threats(the improvement of transportation system by building up the various infrastructure, the competition with the ports in outskirts, and the small scale of multi-modal transportation company in order), and Weakness(the unprepared and inefficient customs system, the defective multi-modal transportation linkage, and the shortage of port experts in order.) in order.
Second, the maritime market of China is potentially very big. But the Chinese seaports are faced with the problems such as the shortage of fundamental port facilities, insufficient cargo handling capacity, the establishment of maritime market system, and the remaintenance of the existing terminal facilities. For solving the above problems, China should establish the complex logistic estate, the M&A and strategic cooperation with the advanced foreign companies which will enhance the competition power of port logistics, and also should build up the overall logistic information networks with the formation of standard regional maritime market.
Third, as Japanese government recognized the fall of the international position in the container ports, it has strongly drived the project for establishing the superhub port. However, Japan has the following demerits such as the problem of geographical location because of the rapid increase of Chinese role and position, the dispersion of 5 big hub ports according to the location, and the inefficiency with the regidity caused from bureaucratic system.
Fourth, empirical analysis by using CCR and BCC models shows the followings.
① the efficiency of the Port of Busan is the highest, and that of the Port of Gwangyang is the lowest. The Korean seaports should benchmark the Chinese seaports for enhancing the efficiency. ② the efficiency of Chinese seaports has been increased between 2003 and 2004, however, has been decreased between 2004 and 2008. After that period, once again efficiency is increased. ③ After privatization, the Chinese seaports increased their efficiency. The large sized seaports have shown the better efficiency.
Fifth, the most special character of Japanese seaports comes from the lower level of efficiency compared to those of Chinese and Korean seaports.
Sixth, the results of Malmquist analysis are as follows.
① In Korea, the trends of efficiency changes for 7 years by using Malmquist model show that under the CRS condition, Ulsan, Incheon, and Gwangyang ports in order have shown the efficient ports in terms of averaged Malmquist index. Technical progress was made in Ulsan, Incheon, Busan, and Gwangyang ports.
② In China, under CRS condition, efficiency score was increased as 1. Among them, CRS efficiency score was continuously 1. The technological change was shown among the 10 seaports. But efficiency scores of Dalian, Huzhou, and Ningbo ports are fluctuated. This results indicate that technical index change has been increased.
③ In Japan, under CRS condition, the efficiency scores between 2005 and 2009 are lowered, especially, Hakada Ports has shown the most inefficient. In averaged terms, Hakada, Kitakyushu, Naha, and Shimizu ports are inefficient. Technological change index has been decreased. Technical change index has been declined. Therefore, to enhance the efficiency scores, each ports should develop and promote the production technology more than ever.
The policy implications of this thesis are as follows[Cai Rui, 2009)]:
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 7 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. Korean ,Chinese and Japanese ports should be more wisely opened to toreigy companies not only for getting more investment and advanced technology but also for getting the experience about port operation.
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. Korean ,Chinese and Japanese ports have to figure out a good way to set a balanced relationship with the middle and small sized ports around it to keep them from malignant competition an make a just competitive atmosphere for the shipping market.
Fourth, policy planner of seaport should introduce the port management by private enterprises for the scientific and systematic port management efficiently. Improve the information system by uniting the different information systems in all the sections of the port and establishing the database and EDI system.
Fifth, Korean, Chinese, and Japanese ports have to build up multi-functional logistics park by improving the function of the International logistic center, the High Tech Park and the traffic network of the hinterland.
Alternative Title
An Empirical Study on the Efficiency Measurement among Korean, Chinese, and Japanese Seaports
Alternative Author(s)
조선대학교 무역학과
일반대학원 무역학과
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Table Of Contents
목 차


제1장 서론 1
제1절 연구의 배경 및 목적 1
제2절 연구의 방법 및 논문의 구성 2
제3절 기존연구에 대한 검토 3

제2장 DEA 모형 6
제1절 DEA 모형의 개념 6
1. DEA모형의 정의 6
2. DEA 모형의 특성 8
제2절 DEA 모형의 유형 9
1. CCR모형 10
2. BCC모형 11
3. 규모의 효율성 12
제3절 Malmquist 모형 14

제3장 한·중·일 주요항만의 현황 및 SWOT 분석 19
제1절 동북아시아 항만환경 변화 19
제2절 한·중·일 주요항만의 현황 및 SWOT 분석 21
1. 한국 주요항만의 현황 및 SWOT 분석 21
2. 중국 주요항만의 현황 및 SWOT 분석 28
3. 일본 주요항만의 현황 및 SWOT 분석 49

제4장 한·중·일 항만의 효율성 측정 및 정책적함의 54
제1절 실증분석을 위한 변수 및 대상, 자료수집방법 54
1. 분석모형 및 변수의 선정 54
2. 분석대상 및 자료수집 57
제2절 한·중·일 항만의 효율성 측정결과 및 비교 58
1. 효율성 개념 58
2. 한국항만의 효율성 측정결과 64
3. 중국항만의 효율성 측정결과 71
4. 일본항만의 효율성 측정결과 80
5. 한·중·일 항만의 측정결과 비교 87
제3절 정책적 함의 89
1. 한국 주요항만의 정책적 함의 89
2. 중국 주요항만의 정책적 함의 90
3. 일본 주요항만의 정책적 함의 92

제5장 결 론 95
제1절 연구결과 요약 및 시사점 95
제2절 연구의 한계점 및 향후 과제 98

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참 고 문 헌
이미호. (2011). 한·중·일 항만의 효율성 측정에 관한 실증적 연구.
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