Nome Do Aluno De Mestrado
Total Page:16
File Type:pdf, Size:1020Kb
UNIVERSIDADE FEDERAL DO RIO DE JANEIRO INSTITUTO COPPEAD DE ADMINISTRAÇÃO DALMO DOS SANTOS MARCHETTI EFFICIENCY IN RAIL SYSTEMS THROUGH THREE DIFFERENT APPROACHES AND CONTRIBUTIONS TO PUSH THE BRAZILIAN RAIL SYSTEM TOWARD HIGH PERFORMANCE Rio de Janeiro 2019 DALMO DOS SANTOS MARCHETTI EFFICIENCY IN RAIL SYSTEMS THROUGH THREE DIFFERENT APPROACHES AND CONTRIBUTIONS TO PUSH THE BRAZILIAN RAIL SYSTEM TOWARD HIGH PERFORMANCE A thesis presented to the Instituto COPPEAD de Administração, Universidade Federal do Rio de Janeiro, as part of the mandatory requirements for the degree of Doctor of Sciences in Business Administration (D.Sc.) ADVISOR: Peter Fernandes Wanke Rio de Janeiro 2019 DALMO DOS SANTOS MARCHETTI EFFICIENCY IN RAIL SYSTEMS THROUGH THREE DIFFERENT APPROACHES AND CONTRIBUTIONS TO PUSH THE BRAZILIAN RAIL SYSTEM TOWARD HIGH PERFORMANCE A thesis presented to the Instituto COPPEAD de Administração, Universidade Federal do Rio de Janeiro, as part of the mandatory requirements for the degree of Doctor of Sciences in Business Administration (D.Sc.) Approved by: _____________________________________ (Presidente da Ba Prof. Peter Fernandes Wanke, D.Sc. - Orientador (COPPEAD/UFRJ) _____________________________________ Prof. Otávio Henrique dos Santos Figueiredo, D.Sc. (COPPEAD/UFRJ) _____________________________________ Prof. Vicente Antônio de Castro Ferreira, D.Sc. (COPPEAD/UFRJ) _____________________________________ Prof. Henrique Ewbank de Miranda Vieira, D.Sc. (FACENS) _____________________________________ Prof. Lino Guimarães Marujo, D.Sc. (COPPE/UFRJ) Rio de Janeiro 2019 DEDICATION I leave differently than I entered. Who knows more confident about myself, recognizing that what I have learned is nothing compared to what is left to learn. Who knows more human. Much was expected, but the achievement seems much greater. Long was the pathway and distant was the arrival point. I will miss both. I realize the fundamental contributions and insights from teachers, reviewers, researchers and colleagues that boost me forward. What I carry goes far beyond the formal. It's for life. Challenges that seem unobtainable are overcome. It is diving into the unknown and emerging saved. I dealt with the truth in the purest form I have experienced. I would like this freedom of conscience to be present everywhere in our country. Inside people’s heart and inside the Institutions. Undoubtedly, this is the greatest learning of the doctorate. It was all an enriching experience. I dedicate this thesis to my parents, Celia and Arnaldo Marchetti, who gave me the necessary conditions to develop myself according to my own choices and showed me the values of life that are necessary to the building of my dignity. To my wife, Sheila Marchetti, whose relationship I can summarize in a sentence that I repeat for myself: “still good that I married you”. To my son, Thiago Marchetti, who in the tenderness of his childhood, when sawing me studying, he often asked me what it was all about and understood why I could not stay with him in those moments (not to mention his birthdays that I missed between 2016-2018, since they always happened on the same date of the POMS International Conference). DEDICATÓRIA Saio diferente de como entrei. Quem sabe mais seguro de mim mesmo, ao reconhecer que o que aprendi não é nada diante do que resta a aprender. Quem sabe mais humano. Muito era esperado, mas o alcançado parece muito maior. Longa era a caminhada e o ponto de chegada. Sentirei muita falta de ambos. Percebo as contribuições e insights fundamentais que te impulsionam para frente. Dos professores, revisores, pesquisadores e colegas. O que levo vai muito além do formal. É para toda a vida. Desafios que parecem inalcançáveis, são enfrentados. É mergulhar no desconhecido e emergir salvo. Pude lidar com a verdade da forma mais pura que experimentei. Gostaria que essa liberdade de consciência estivesse presente em todos os sítios de nosso país. Sem dúvida, este é o maior aprendizado do doutorado. Foi tudo uma experiência enriquecedora. Dedico esta tese aos meus pais, Celia e Arnaldo Marchetti, que me proporcionaram as condições necessárias para me desenvolver segundo minhas próprias escolhas e me mostraram os valores de vida necessários à construção da minha dignidade. À minha esposa Sheila Marchetti, cuja relação posso resumir em uma frase que vez por outra repito para mim mesmo: “ainda bem que me casei com você”. Ao meu filho Thiago Marchetti, que, na ternura de sua infância, ao me ver estudar frequentemente me perguntava curioso do que se tratava e compreendia por que não podia ficar com ele naqueles momentos (e pelos aniversários que estive ausente entre 2016-2018, pois sempre caíram na mesma data da Conferência Internacional POMS). ACKNOWLEDGEMENTS First, I would like to thank God for the strength He has given me along the way and for the permission of the opportunity. To my wife Sheila and to my son Thiago, for sharing this period of my life intensely, when I had to divide the time in a way not always comprehensible. To my parents, for the interest and support always present. To my friend Edson Dalto, who encouraged me to start and with whom I usually shared paths, decisions and results. To Profº. Peter Wanke, whose orientation was crucial to reach where I had never imagined. To the friend Renan, for sharing, in a comprehensive way, time and work together, making the walking lighter. To Ricardo Kalil and Dr. João Silva dos Santos for the friendship and the good moments during the POMS2018 International Conference (Houston, US). To the Professors Paula Chimenti, Leandro Chevitarese, Henrique Ewbank, Marcos Estellita and Ariane Figueira, whose spontaneous comments full of energy impelled me during the research. To my sister Leila for the affection. To Ticiane, Patricia and Jorge Moreira for essential and ever-present help. To the BNDES, by the institutional incentive. To the Coppead Institute and its teachers, for the excellence. AGRADECIMENTOS Gostaria de agradecer primeiramente a Deus, pela força que me deu ao longo de todo o trajeto e pela permissão da oportunidade. À minha esposa Sheila e ao meu filho Thiago, por compartilharem intensamente esta etapa de vida, quando tive que dividir o tempo de forma nem sempre compreensível. Aos meus pais, pelo interesse e apoio sempre presentes. Ao meu amigo Edson Dalto, que me incentivou a iniciar esta etapa e com quem usualmente compartilhei caminhos e resultados. Ao Profº Peter Wanke, cuja orientação foi fundamental para chegar onde nem imaginava alcançar. Ao amigo Renan, por compartilhar, de maneira compreensiva, tempo e trabalho conjunto, tornando mais leve a caminhada. Ao Ricardo Kalil e o Dr. João Silva dos Santos pela amizade e pelos bons momentos durante a Conferência Internacional POMS2018 (Houston, EUA). Aos Professores Paula Chimenti, Leandro Chevitarese, Henrique Ewbank, Marcos Estellita e Ariane Figueira, cujos comentários espontâneos plenos de energia me impulsionaram durante a pesquisa. À minha irmã Leila pelo carinho. À Ticiane, Patrícia e Jorge Moreira pela ajuda sempre presente. Ao BNDES, pelo incentivo institucional. Ao Instituto Coppead e seus professores, pela excelência. ABSTRACT MARCHETTI, Dalmo dos Santos. Efficiency in Rail Systems through Three Different Approaches and Contributions to Push the Brazilian Rail System toward High Performance, 2019. 177f. Thesis (Doctorate Degree in Business Administration) - COPPEAD Institute of Administration, Federal University of Rio de Janeiro, Rio de Janeiro, 2019. This research investigates the efficiency of the Brazilian rail cargo system (SFBC, acronym in Portuguese). The importance of the performance of a rail system to the logistics of goods in countries with large territorial dimensions is recognized. However, its role is secondary in Brazil compared to road transport, representing high economic and environmental costs. SFBC is dedicated to the export of mineral and agricultural bulk where it has a significant capacity for insertion. Meanwhile, the SFBC has an insignificant participation in the internal distribution of goods, which is mostly done in highways, including on longer routes. Consequently, the transport sector in Brazil emits twice as much CO2 from burning fuels than the world average. SFBC presents characteristics of a medium performance scenario. The performance of the operators is heterogeneous, benchmarking is an outlier, the average efficiency is low, and the average idleness of the sections is high. To discuss the conditions to achieve a high performance scenario is the main contribution of this thesis. Three researches were done to address this issue. The first one is dedicated to estimate the efficiency of the railway concessionaires in Brazil between 2010-2014 by using Data Envelopment Analysis. In a second stage, the significance of selected variables was assessed through Bootstrap Truncated Regression, including the type of the use of the railway track (shared or monopoly), a gap in the literature. The operators were grouped according to the efficiency scores and the type of returns to scale, and measures to increase the efficiency of the clusters were discussed. The second research has the purpose to explain the heterogeneity found in the average efficiency of the different railway systems in the world, the object of researches done between 2000-2016, through a meta-analysis carried out for the first time on railways. For greater robustness, Leave-One-Out-Cross-Validation and Weighted Regression were applied. Public policies including