************************************************************************* ** PRODUCTIVITY ANALYSIS NETWORK RESEARCH COLLECTION OF WORKINGPAPERS ** ************************************************************************* EFFICIENCY-RELATED LITTERATURE: includes papers received until December 94 (For "PAPERS RECEIVED JULY-DECEMBER 1994" see bottom of file) Adolphson, D. L., G. C. Corina, and L. C. Walters: 1987 "The Relative Efficiency of Railroads and Obsolescene", Proceedings of the Seventh Annual program on "Appraisal of Utilities and Railroad Property for Ad Valorem Taxation Pro- gram", Wichita State University, Wichita, KS, pp. 97-130. Adolphson, D. L., G. C. Corina, and L. C. Walters: 1989 "Railroad Property Valuation Using Data Envelopment Analysis", Interfaces, Vol. 19, No. 3, pp. 18-26. Afriat, S. N.: 1972 "Efficiency Estimation of Production Functions", International Economic Review, Vol. 13, No. 3, pp. 568-598. Afriat, S. N.: 19XX "Efficiency in Production and Consumption", Chapter 11 in: Applications of Modern Production Theory, ed. A. Dogramaci and R. Fare. Kluwer 1988, pp. 251-268. Ahn, T., V. Arnold, A. Charnes, and W. W. Cooper: 1989 "DEA and Ratio Efficiency Analysis for Public Institutions of Higher Learning in Texas", Research in Governmental and Nonprofit Accounting, Vol. 5, pp. 165-185. Ahn, T, A. Charnes, and W. W. Cooper: 1988 "Efficiency Characterizations in Different DEA Models", Socio-Economic Planning Science, Vol. 22, No. 6, pp. 253-257. Ahn, T, A. Charnes, and W. W. Cooper: 1988 "Some Statistical and DEA evaluations of Relative Efficiencies of Public and Private Institutions of Higher Learning", Socio-Economic Planning Science, Vol. 22, No. 6, pp. 259-269. Ahn, T., A. Charnes, and W. W. Cooper: 1988 "Using Data Envelopment Analysis to Measure the Efficiency of Not-For-Profit Organizations: A Critical Evaluation Comment", Managerial and Decision Economics, Vol. 9, No. 3, pp. 251-253. Aigner, D. J., and S. F. Chu: 1968 "On Estimating the Industry Production Function", The American Economic Review, Vol. 58, No. 4, (sept. 1968), pp. 826-839. Aigner, D. J., T. Amemiya, and D. J. Poirier: 1976 "On the Estimation of Production Frontiers: Maximum Likelihood Estimation of the Parameters of a Discontinuous Density Func- tion", International Economic Review, Vol. 17, No. 2, pp. 377-396. Aigner, D. J., C. A. K. Lovell, and P. Schmidt: 1977 "Formulation and Estimation of Stochastic Frontier Production Function Models", Journal of Econometrics, Vol. 6, pp. 21-37. Al-Ayat, R., and R. Fare: 1979 "On the Existence of Joint Production Functions", Naval Research Logistics Quaterly, Vol. 26, pp. 627-630. Ali, A. I.: 1993 "Streamlined Computation for Data Envelopment Analysis", European Journal of Operations Research, Vol. 64, pp. 61-67. Ali, A. I., W. D. Cook, and L. M. Seiford: 1989 "The Effects of Strict vs. Weak Ordinal Relations Among Multi- pliers in Data Envelopment Analysis", Workingpaper, The Unversity of Massachusetts, May 1989, pp.1- -16. Ali, A. I., W. D. Cook, and L. M. Seiford: 1991 "Strict vs. Weak Ordinal Relations for Multipliers in Data Envelopment Analysis", Management Science, Vol. 37, No. 6, pp. 733-739. Ali, A. I., L. M. Seiford: 1990 "Translation Invariance in Data Envelopment Analysis", Operations Research Letters, Vol. 9, pp. 403-405. Althin, R.: 1993 "Measurement of Allocative Efficiency without Observed Prices", Working Paper, Department of Economics. University of Lund, Sweden, pp. 1-24. Althin, R.: 1994 "Shadow Pricing of Labor - A Translog Distance Function Ap- proach", Working Paper, Department of Economics. University of Lund, Sweden, pp. 1-43. Althin R., R. Fare, and S. Grosskopf: 1994 "Profitability and Productivity Changes: An Application to Swedish Pharmacies", Discussion Paper Series No. 94-02, Department of Economics, Southern Illinois University, Carbondale, pp. 1-21. Andersen, P., and N. C. Petersen: 1989 "A Procedure of Ranking Efficient Units in Data Envelopment Analysis", Workingpaper, Department of Management, Odense University, Denmark, No. 11/1989, pp. 1-25. Andersen, P., and N. C. Petersen: 1993 "A Procedure of Ranking Efficient Units in Data Envelopment Analysis", Management Science, Vol. 39, No. 10, pp. 1261-1264. Athanassopoulos, A. D., & J. A. Ballantine: 1993 "Ratio & Frontier Analysis for Assessing Corporate Performance Evidence from the Grocery Industry in the UK", Research Paper No. 101, Warwick Business School, UK, pp. 1-30. Athanassopoulos, A. D., & N. Tatsos: 1993 "Econometric Modelling as an Aid for Re-organization Policies: Developing a new System for the Allocation of Governmental Grants to the Greek Local Authorities", Research Paper No. 86, Warwick Business School, UK, pp. 1-36. Athanassopoulos, A. D., & E. Thanassoulis: 1991 "Separating Market Efficiency from Profitability and its Implications for Planning", Research Paper No. 35, Warwick Business School, UK, pp. 1-30. Athanassopoulos, A. D., & E. Thanassoulis: 1993 "Assessing Marginal Impacts of Investments on Organisational Performance", Research Paper No. 85, Warwick Business School, UK, pp. 1-30. Assad, M. J. D.: 1986 "Data Development Analysis Software for Microcomputers: Ccr1, Additive, Minmax, Summary Window", Research Report, Center for Cybernetic Studies, The University of Texas at Austin, April 1986, pp.1-35. Backes-Gellner, U., and E. Zanders: 1989 "Lehre und Forschung als Verbundproduct: Data-Envelopment-Ana- lysen und Organisations-™konomische Interpretationen der Realitt in wirtschaftswissen-schaftlichen Fachbereichen", Zeitschrift fr Betriebswirtschaft, Vol. 59, No. 3, pp. 271-- 290. Bailey, E. E., and A. F. Friedlaender: 1982 "Market Structure and Multiproduct Industries", Journal of Economic Literature, Vol. x, (Sept 82), pp. 1024-1- 048. Balk, B. M.: 1993 "Malmquist Productivity Indexes and Fisher Ideal Indexes: Comment", The Economic Journal, 103 (May), pp. 680-682. Ballou, D. P., and H. L. Pazer: 1985 "Modelling Data and Process Quality in Multi-Input, Multi-Out- put Information Systems", Management Science, Vol. 31, No. 2, pp. 150-162. Banker, R. D.: 1980 "A Game Theoretic Approach to Measuring Efficiency", European Journal of Operational Research, Vol. 5, pp. 262-266. Banker, R. D.: 1984 "Estimating Most Productive Scale Size using Data Envelopment Analysis", European Journal of Operational Research, Vol. 17, No. 1, pp. 35-44. Banker, R. D.: 1985 "Productivity Measurement Control", in: The Management of Productivity and Technology in Manufac- turing, P. Kleindorfer (eds), Plenum, New York. Banker, R. D.: 1987 "Maximum Likelihood, Consistency and Data Envelopment Analysis: A Statistical Foundation", Working Paper, Carnegie Mellon University, (Dec. 1987), pp. 1-23. Banker, R. D.: 1989 "Econometric Estimation and Data Envelopment Analysis", Research in Governmental and Nonprofit Accounting, Vol. 5. Banker, R. D.: 1992 "Selection of Efficiency Evaluation Models", Contemporary Accounting Research, Vol. 9, No. 1, pp. 343-355. Banker, R. D.: 1993 "Maximum Likelihood, Consistency and Data Envelopment Analysis: A Statistical Foundation", Management Science, Vol. 39, No. 10, pp. 1265-1273, Banker, R. D.: 19XX "Productivity Measurement and Management Control", Working Paper, School of Urban and Public Affairs, Carnegi-- Mellon University, Pennsylvania, pp. 239-257 Banker, R. D., H. Chang: 1993 "A Simulation Study of Hypothesis Tests for Differences in Efficiencies", Workingpaper, University of Minnesota, April 1993, pp. 1-33. Banker, R. D., A. Charnes, and W. W. Cooper: 1984 "Some Models for Estimating Technical and Scale Inefficiencies in Data Envelopment Analysis", Management Science, Vol. 30, No. 9, pp. 1078-1092. Banker, R. D., A. Charnes, W. W. Cooper, and R. Clarke: 1989 "Constrained Game Formulations for Data Envelopment Analysis", European Journal of Operational Research, Vol. 40, pp. 299-308. Banker, R. D., A. Charnes, W. W. Cooper, and A. Maindiratta: 1984 "A Comparison of DEA and Translog Estimates of Production Frontiers using Simulated Observations from a known Technolo- gy", Chapter 2 in: Applications of Modern Production Theory, ed. A. Dogramaci and R. Fare, Kluwer 1988, pp. 33-55. Banker, R. D, A. Charnes, W. W. Cooper, A. P. Schinnar: 1981 "A Bi-extremal Principle for Frontier Estimation and Efficiency Evaluations", Management Science, Vol. 27, No. 12, pp. 1370-1382. Banker, R. D., A. Charnes, W. W. Cooper, J. Swarts, D. Thomas: 1988-89 "An Introduction to Data Envelopment Analysis with some of its Models and Their Uses", Research Paper, The University of Texas at Austin, pp. 1-59. Banker, R. D., A. Charnes, W. W. Cooper, J. Swarts, D. Thomas: 1989 "An Introduction to Data Envelopment Analysis with some of its Models and Their Uses", Research in Governmental and Nonprofit Accounting, Vol. 5, pp. 125-163. Banker, R. D., and R. F. Conrad, and R. P. Strauss: 1986 "A Comparative Application of Data Envelopment Analysis and Translog Methods: An Illustrative Study of Hospital Produc- tion", Management Science, Vol. 32, No. 1, pp. 30-44. Banker, R. D., S. Das, and S. M. Datar: 1989 "Analysis of Cost Variances for Management Control in Hospi- tals", Research in Governmental and Nonprofit Accounting, Vol. 5, pp. xx-xx. Banker, R. D., S. Datar, and C. Kemerer: 1987 "Factors Affecting Software Maintenance Productivity: An Exploratory Study", in: Proceedings of the 8th. International Conference on Infor- mation Systems, Pittsburgh, P.A., pp. 160-175. Banker, R. D., V. M. Gad, and W. L. Gorr: 1993 "A Monte Carlo Comparison of Two Production Frontier Estimation Methods: Corrected Ordinary Least Square and Data Envelopment Analysis", European Journal of Operations Research, Vol. 67, pp. 332-343. Banker, R. D., and C. Kemerer: 1989 "Scale Economics in New Software Development", IEEE Transactions of Software Engineering, Vol. 15, No. 10, pp. xx-xx. Banker, R. D., and A. Maindretta: 1985 "Maximum Likelihood Estimation of Monotone and Concave Produc- tion Frontiers", Workingpaper, Carnegie Mellon University, 1985. Banker, R. D., and A. Maindiratta: 1986 "Piecewise Loglinear Estimation of Efficient Production Surfa- ces", Management Science, Vol. 32, pp. 126-135. Banker, R. D., and A. Maindiratta: 1988 "Nonparametric Analysis of Technical and Allocative Efficien- cies in Production", Econometrica, Vol. 56, No. 6, pp. 1315-1332. Banker, R. D., and A. Maindiratta: 1992 "Maximum Likelihood Estimation of Monotone and Concave Produc- tion Frontiers", Journal of Productivity Analysis, Vol. 3, pp. 401-415. Banker, R. D., R. C. Morey: 1986 "Efficiency Analysis for Exogenously Fixed Inputs and Outputs", Operations Research, Vol. 34, No. 4, pp. 513-521. Banker, R. D., and R. Morey: 1986 "The Use of Categorical Variables in Data Envelopment Analy- sis", Management Science, Vol. 32, No. 12, pp. 1613-1627. Banker, R. D., R. C. Morey: 1989 "Incorporating Value Judgements in Efficiency Analysis", Research in Governmental and Nonprofit Accounting, Vol. 5, pp. 245-267. Banker, R. D, R. C. Morey: 1990 "Evaluating Hypotheses about Production Frontier Shifts", Workingpaper, Carnegie Mellon University, January 1990. Banker, R. D. and R. M. Thrall: 1989 "Estimation of Returns to Scale using Data Envelopment Analy- sis", Workingpaper No. 81, Carnegie Mellon University, 1989, pp. 1-20 Banker, R. D., and R. M. Thrall: 1992 "Estimation of Returns to Scale using Data Envelopment Analy- sis", European Journal of Operational Research, Vol 62, pp. 74-84. Barnett, W. A.: 1985 "The Miniflex-Laurent Tranlog Flexible Functional Form", Journal of Econometrics, Vol. 30, pp. 33-44. Barnett, W. A., Y. W. Lee, and M. D. Wolfe: 1985 "The Three-Dimensional Global Properties of the Minflex-- Laurent, Generalized Leontief, and Translog Flexible Functional Forms", Journal of Econometrics, Vol. 30, pp. 3-31. Battese, G. E.: 1992 "Frontier Production Functions and Technical Efficiency: A Survey of Emperical Applications in Agricultural Economics", Agricultural Economics, 7, pp. 185-208. Battese, G. E., and M. Bernabe: 1993 "An Investigation of Stochastic Frontier Production Functions Involving Farmer Characteristics Using Icrisat Data from Three Indian Villages", Working Paper No. 72, Department of Econometrics, University of New England, Australia, pp. 1-43. Battese, G. E., and T. J. Coelli: 1988 "Prediction of Firm-Level Technical Efficiencies with a Ge- neralized Frontier Production Function and Panel Data", Journal of Econometrics, Vol. 38, pp. 387-399. Battese, G. E., and T. J. Coelli: 1992 "Frontier Production Functions, Technical Efficiency and Panel Data: With Application to Paddy Farmers in India", The Journal of Productivity Analysis, 3, pp. 153-169. Battese, G. E., and T. J. Coelli: 1993 "A Stochastic Frontier Production Function Incorporating A Model For Technical Effects", Working Paper No. 69, Department of Econometrics, University of New England, Australia, pp. 1-27. Battese, G. E., T. J. Coelli, and T. C. Colby: 1989 "Estimation of Frontier Production Functions and the Efficien- cies of Indian Farms Using Panel Data from Icrisat's Village Level Studies", Journal of Quantitative Economics, Vol. 5, No. 2, pp. 327-348. Battese, G. E., and G. S. Corra: 1977 "Estimation of a Production Frontier Model: With Application to the Pastoral Zone of Eastern Australia", Australian Journal of Agricultural Economics, Vol. 21, No. 3, pp. 169-179. Battese, G. E., and G. A. Tessema: 1993 "Estimation of Stochastic Frontier Production Functions with Time-Varying Parameters and Technical Efficiencies Using Panel Data from Indian Villages", Agricultural Economics, 9, pp. 313-333. Bauer, P. W.: 1988 "A Survey of Recent Econometric Developments in Frontier Estimation", Workingpaper, University of North Carolina, 1988, pp. 1-22. Bauer, P. W.: 1990 "Recent Developments in the Econometric Estimation of Fronti- ers", Journal of Econometrics, Vol. 46, pp. 39-56. Bauer, P. W., G. D. Ferrier, and C. A. K. Lovell: 1988 "Using Flexible Stochastic Frontiers to Measure Efficiency: A Comparison of Two Specifications", Workingpaper, University of North Carolina, 1988, pp. 1-12. Bauer, P. W., and D. Hancock: 1993 "The Efficiency of the Federal Reserve in Providing Check Processing Services" Journal of Banking and Finance, Vol. 17, pp. 287-311. Baumol, W. J.: 1976 "Scale Economies, Average Cost, and the Profitability of Marginal Cost Pricing", Chapter 4 in: Public and Urban Economics, Essays in Honour of W. S. Vickrey, Lexington Books, Massachusetts, 1976, pp. 43-57. Baumol, W. J.: 1977 "On the Proper Tests for Natural Monopoly in a Multiproduct Industry", American Economic Review, Vol. 67, No. 5, pp. 809-822. Baumol, W. J, J. C. Panzar, and R. D. Willig: 1982 "Contestable Markets and the Theory of Industry Structure", Harcourt Brace Jovanovich Inc, New Yourk, 1982. Baumol, W. J., E. E. Bailey, and R. D. Willig: 1977 "Weak Invisible Hand Theorems on the Sustainability of Multi- product Natural Monopoly", American Economic Review, Vol. 67, No. 3, pp. 350-365. Beasley, J. E.: 1993 "Determining Teaching and Research Efficiencies", Working Paper, The Management School, Imperial College, London, GB, pp. 1-18 Ben-Israel, A., A. Ben-Tal: 1976 "On a Characterisation of Optimality in Convex Programming", Mathematical Programming, Vol. 11, pp. 81-88. Ben-Israel, A., A. Ben-Tal, and A, Charnes: 1977 "Necessary and Sufficient Conditions for a Pareto Optimum in Convex Programming", Econometrica, Vol. 45, No. 4, pp. 811-820. Ben-Tal, A., A. Charnes, M. Teboulle: 1987 "Entropic Means", CCS Research Report 568, Center for Cybernetic Studies, The University of Texas at Austin, pp. 1-25. Ben-Tal, A., M. Teboulle: 1984 "Expected Utility, Penalty Functions, and Duality in Stochastic Nonlinear Programming", CCS Research Report 506, Center for Cybernetic Studies, The University of Texas at Austin, pp. 1-36. Berg, S. A.: 1992 "Mergers, Efficiency and Productivity Growth in Banking: The Norwegian Experience 1984-1990", Working Paper, Research Department, Norges Bank, Oslo, 1992/3, pp. 1-28. Berg, S. A., F. R. F”rsund, and E. S. Jansen: 1991 "Malmquist Indices of Productivity Growth During the Deregula- tion of Norwegian Banking 1980-89", Working Paper, Research Department, Norges Bank, Oslo, 1991/2, pp. 1-29. Berg, S. A., C. A. Claussen, and F. R. F”rsund: 1993 "Banking Efficiency in the Nordic Countries: A Multi-output analysis", Working Paper, Research Department, Norges Bank, Oslo, SAB/ 9, pp. 1-35 Berg, S. A., F. R. F”rsund, L. Hjalmarsson, and M. Suominen: 1993 "Banking Efficiency in the Nordic Countries" Journal of Banking and Finance, Vol. 17, pp. 371-388. Berg, S. A., F. R. F”rsund, and E. S. Jansen: 1992 "Malmquist Indices of Productivity Growth during Deregulation of Norwegian Banking, 1980-89", Scandinavian Journal of Economics, Vol. 94, pp. 211-228. Berger, A. N.: 1993 ""Distribution-Free" Estimates of Efficiency in the U.S. Banking Industry and Tests of the Standard Distributional Assumptions", The Journal of Productivity Analysis, Vol. 4, pp. 261-292. Berger, A. N., W. C. Hunter, S. G. Timme: 1993 "The Efficiency of Financial Institutions: A Review and Preview of Research Past, Present, and Future", Journal of Banking and Finance, Vol. 17, pp. 221-249. Berndt, E. R., and L. R. Christensen: 1973 "The Translog Function and the Substitution of Equipment, Structures and Labor in U.S. Manufacturing 1929-1968", Journal of Econometrics, Vol. 1, pp. 81-114. Bessent, A. M., E. W. Bessent: 1980 "Determining the Comparative Efficiency of Schools through Data Envelopment Analysis", Educational Administration Quarterly, Vol. 16, No. 2, pp. 57-75. Bessent, A., W. Bessent, A. Charnes, W. W. Cooper, and N. Thorogood: 1983 "Evaluation of Educational Program Proposals by Means of Data Envelopment Analysis", Educational Administration Quarterly, Vol. 19, No. 2, pp. 82-107. Bessent, A., W. Bessent, C. T. Clark, and J. Elam: 1984 "Constrained Fashion Analysis - A New Method for Evaluating Local Frontiers of Efficiency and Performance", Air Forces Journal of Logistics, Vol. 8, No. 3, pp. 2-8. Bessent, A., W. Bessent, C. T. Clark, and J. Elam: 1985 "A Microcomputer-based Productivity Support System for In- creasing the Managerial Efficiency of Operating Units", in: Microcomputer Decision Support Systems: Design, Implementa- tion and Evaluation, Stephen J. Andriole, ed., QED Information Sciences, Inc., 1985. Bessent, A., W. Bessent, C. T. Clark, and W. Garret: 1986-87 "Managerial Efficiency Measurement in School Administration", National Forum of Educational Administration and Supervision Journal, Vol. 3, No. 3, pp. 56-66. Bessent, A., W. Bessent, J. Elam, and T. Clark: 1988 "Efficiency Frontier Determination by Constrained Facet Analy- sis", Operations Research, Vol. 36, No. 5, pp. 785-795. Bessent, A., W. Bessent, J. Elam, and D. Long: 1984 "Educational Productivity Council Employs Management Science Methods to Emprove Educational Quality", Interfaces, Vol. 14, No. 6, pp. 1-8. Bessent, A., W. Bessent, J. Kennington and B. Reagan: 1982 "An Application of Mathematical Programming to Assess Produc- tivity in the Houston Independent School District", Management Science, Vol. 28, No. 12, pp. 1355-1367. Bhargava, M., J. Fulton, P. Jain: 1992 "Measuring Marketing Effectiveness: A Study of Dairy Co-Opera- tives in India", Symposion on Management of Rural Co-Operatives, December 7-11, Institute of Rural Management Anand, India, pp. 1-19. Bitran, G. R., and J. 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Rousseau: 1989 "Efficient Facets and the Rate of Change: Geometry and Analysis of some Pareto-Efficient Empirical Production Possibility Sets", CCS Research Report 622, Center for Cybernetic Studies, The University of Texas at Austin, pp. 1-32. Charnes, A., W. W. Cooper, Z. M. Huang, D. B. Sun: 1990 "Polyhedral Cone-Ratio DEA Models with an Illustrative Applica- tion to Large Commercial Banks", Journal of Econometrics, Vol. 46, pp. 73-91. Charnes, A., W. W. Cooper, Z. M. Huang, D. B. Sun: 1991 "Relations between Half-Spaces and Finitely Generated Cones in Polyhedral Cone-Ratio Models", International Journal of Systems Science, Vol. 22, No. 11, pp. 2057-2077. Charnes, A., W. W. Cooper, D. B. Learner, F. Y. Phillips: 1985 "Management Science and Marketing Management", Journal of Marketing, Vol. 49, No. 2, pp. 93-105. Charnes, A., W. W. Cooper, D. B. Learner, F. Y. Phillips, J. 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