Three-stage super-efficiency DEA models based on the cooperative game and its application on the R&D green innovation of the Chinese high-tech industry

In this paper, the R&D green innovation of the Chinese high-tech industry can be regarded as a system of three consequent stages. Firstly, considering the existence of multiple effective decision-making units at the same time, a three-stage super-efficiency DEA model is proposed. Secondly, considering the internal relationships and the distribution structure of initial inputs and undesirable outputs, the above model is extended into a three-stage super-efficiency DEA model with a cooperative game based on shared inputs and undesirable outputs. Thirdly, to effectively obtain the unique optimal efficiency of each stage, an efficiency decomposition approach is proposed. Finally, an empirical example is conducted to evaluate the overall efficiency and the individual efficiency of R&D green innovation. Sensitivity analysis is conducted to analyze the reasonable allocation information of initial inputs. Furthermore, the Tobit model is adopted to analyze the main influencing factors of R&D green innovation. The empirical results show that: (1) Overall efficiency of the R&D green innovation is low and there exists much space for improvement. (2) Provincial development is uneven, and there are obvious differences in efficiency among the three stages within each province. (3) Technology market development, the degree of dependence on foreign trade, the degree of industrial structure, foreign direct investments have significant effects on the R&D green innovation; while government funding and R&D investment intensity have not produced obvious effects on the R&D green innovation.

Automated summary

This paper discusses the R&D green innovation of the Chinese high-tech industry in three consequent stages, proposing a three-stage super-efficiency DEA model and a cooperative game model, and obtaining the optimal efficiency of each stage through an efficiency decomposition approach. Empirical results show low overall efficiency with significant differences among provinces, with factors like technology market development and foreign trade dependence having significant impacts on R&D green innovation.