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Global and local scale characteristics in convex and nonconvex nonparametric technologies: A first empirical exploration

Author

Listed:
  • Giovanni Cesaroni
  • Kristiaan Kerstens

    (Department of Economics - IESEG School of Managementg, LEM - Lille économie management - UMR 9221 - UA - Université d'Artois - UCL - Université catholique de Lille - ULCO - Université du Littoral Côte d'Opale - Université de Lille - CNRS - Centre National de la Recherche Scientifique)

  • Ignace Van De Woestyne

Abstract

The purpose of this contribution is to empirically implement and supplement the proposals made by Podinovski (2004b) to explore the nature of both global and local returns to scale in nonconvex nonparametric technologies. In particular, we both propose a simplified method to compute the global returns to scale and employ some secondary data sets to investigate the frequency of the special case of global sub-constant returns to scale. Furthermore, when determining global returns to scale using both convex and nonconvex technologies, we verify how often the resulting information is concordant or conflicting. Finally, besides comparing the FDH and DEA evolution of ray-average productivity for some typical individual observations, we introduce in the literature two original methods for the determination of local returns to scale in nonconvex technologies.

Suggested Citation

  • Giovanni Cesaroni & Kristiaan Kerstens & Ignace Van De Woestyne, 2017. "Global and local scale characteristics in convex and nonconvex nonparametric technologies: A first empirical exploration," Post-Print hal-01533520, HAL.
    • Handle: RePEc:hal:journl:hal-01533520
    DOI: 10.1016/j.ejor.2016.10.030
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    Cited by:

    1. Paul W. Wilson & Shirong Zhao, 2025. "A non-parametric analysis of world productivity growth, 1990–2019," Annals of Operations Research, Springer, vol. 346(3), pages 2253-2285, March.
    2. Xiaoqing Chen & Kristiaan Kerstens & Qingyuan Zhu, 2021. "Exploring Horizontal Mergers in Swedish District Courts Using Convex and Nonconvex Technologies: Usefulness of a Conservative Approach," Working Papers 2021-EQM-05, IESEG School of Management.
    3. Xiao, Helu & Zhou, Zhongbao & Ren, Teng & Liu, Wenbin, 2022. "Estimation of portfolio efficiency in nonconvex settings: A free disposal hull estimator with non-increasing returns to scale," Omega, Elsevier, vol. 111(C).
    4. Cesaroni, Giovanni, 2020. "Technically and cost-efficient centralized allocations in data envelopment analysis," Socio-Economic Planning Sciences, Elsevier, vol. 70(C).
    5. Ning Zhu & Xiang Dai & Tomas Baležentis & Dalia Streimikiene & Zhiyang Shen, 2022. "Estimating production gains from international cooperation: Evidence from countries along the Belt and Road," Economic Change and Restructuring, Springer, vol. 55(2), pages 715-736, May.
    6. Haleh Delnava & Kristiaan Kerstens & Timo Kuosmanen & Zhiyang Shen, 2024. "Semi-parametric Estimation of Convex and Nonconvex By-Production Technologies," Working Papers 2024-EQM-02, IESEG School of Management.
    7. Yuan, Qianqian & Baležentis, Tomas & Shen, Zhiyang & Streimikiene, Dalia, 2021. "Economic and environmental performance of the belt and road countries under convex and nonconvex production technologies," Journal of Asian Economics, Elsevier, vol. 75(C).
    8. Grammatoula Papaioannou & Victor V. Podinovski, 2025. "Free disposal hull models of multicomponent technologies," Annals of Operations Research, Springer, vol. 351(2), pages 1559-1587, August.
    9. Chen, Xiaoqing & Kerstens, Kristiaan & Tsionas, Mike, 2024. "Does productivity change at all in Swedish district courts? Empirical analysis focusing on horizontal mergers," Socio-Economic Planning Sciences, Elsevier, vol. 91(C).
    10. Kristiaan Kerstens & Ignace Van de Woestyne, 2021. "Cost functions are nonconvex in the outputs when the technology is nonconvex: convexification is not harmless," Annals of Operations Research, Springer, vol. 305(1), pages 81-106, October.
    11. Giovanni Cesaroni & Kristiaan Kerstens & Ignace Van de Woestyne, 2017. "Estimating scale economies in non-convex production models," Journal of the Operational Research Society, Palgrave Macmillan;The OR Society, vol. 68(11), pages 1442-1451, November.
    12. Mehdiloo, Mahmood & Podinovski, Victor V., 2019. "Selective strong and weak disposability in efficiency analysis," European Journal of Operational Research, Elsevier, vol. 276(3), pages 1154-1169.
    13. Podinovski, Victor V. & Bouzdine-Chameeva, Tatiana, 2019. "Cone extensions of polyhedral production technologies," European Journal of Operational Research, Elsevier, vol. 276(2), pages 736-743.
    14. Zhiyang Shen & Yiping Yang & Kristiaan Kerstens & Haiyan Deng, 2025. "Global and Local Technological Changes with Environmental Factors: Analysis of the Agricultural Sector in the Belt and Road Countries," Post-Print hal-05369038, HAL.
    15. Mahmood Mehdiloo & Jafar Sadeghi & Kristiaan Kerstens, 2024. "Top Down Axiomatic Modeling of Metatechnologies and Evaluating Directional Economic Efficiency," Working Papers 2024-EQM-03, IESEG School of Management.
    16. Walter Briec & Kristiaan Kerstens & Ignace Van de Woestyne, 2022. "Nonconvexity in Production and Cost Functions: An Exploratory and Selective Review," Springer Books, in: Subhash C. Ray & Robert G. Chambers & Subal C. Kumbhakar (ed.), Handbook of Production Economics, chapter 18, pages 721-754, Springer.
    17. Zofio, Jose Luis & Aparicio, Juan & Barbero, Javier & Zabala-Iturriagagoitia, Jon Mikel, 2024. "Benchmarking performance through efficiency analysis trees: Improvement strategies for colombian higher education institutions," Socio-Economic Planning Sciences, Elsevier, vol. 92(C).
    18. Delnava, Haleh & Khosravi, Ali & El Haj Assad, Mamdouh, 2023. "Metafrontier frameworks for estimating solar power efficiency in the United States using stochastic nonparametric envelopment of data (StoNED)," Renewable Energy, Elsevier, vol. 213(C), pages 195-204.
    19. Zhou, Wenzhuo & Shen, Zhiyang & Vardanyan, Michael & Song, Malin, 2025. "Assessing energy transition using exponential production technology under different convexity assumptions," Energy Economics, Elsevier, vol. 146(C).
    20. Xiaoqing Chen & Kristiaan Kerstens & Qingyuan Zhu, 2025. "Exploring horizontal mergers in Swedish district courts using technical and scale efficiency: rejecting convexity in favour of nonconvexity," Annals of Operations Research, Springer, vol. 351(2), pages 1319-1351, August.
    21. Kerstens, Kristiaan & Roets, Bart & Van de Woestyne, Ignace & Zhao, Shirong, 2026. "An exploratory analysis of learning from peers: Radial vs. nonradial efficiency measures and convex vs. nonconvex technologies," European Journal of Operational Research, Elsevier, vol. 329(3), pages 1052-1062.

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