Essays on Supply Chain Management. Edited by E. Hartmann, Chair of Supply Chain Management Friedrich-Alexander-Universität Erlangen-Nürnberg

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1 Essays on Supply Chain Management Edited by E. Hartmann, Chair of Supply Chain Management Friedrich-Alexander-Universität Erlangen-Nürnberg

2 This series publishes new research in logistics and supply chain management. It comprises outstanding dissertations that deal with scientifically-based, management-relevant questions. The publications provide important scientific findings about current practice-relevant questions, using qualitative and quantitative research methods. Edited by Prof. Dr.-Ing. Evi Hartmann Chair of Supply Chain Management Friedrich-Alexander-Universität Erlangen-Nürnberg

3 Thomas Leppelt Sustainability in Supply Chains A Study on the Effects of Sustainability on Supplier-Buyer Relationships Foreword by Prof. Dr.-Ing. Evi Hartmann

4 Thomas Leppelt Chair of Supply Chain Management Universität Nürnberg/Erlangen Nürnberg, Germany PhD Thesis, Friedrich Alexander Universität Nürnberg/Erlangen, 2013 ISBN DOI / ISBN (ebook) The Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data are available in the Internet at Library of Congress Control Number: Springer Gabler Springer Fachmedien Wiesbaden 2014 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. Exempted from this legal reservation are brief excerpts in connection with reviews or scholarly analysis or material supplied specifically for the purpose of being entered and executed on a computer system, for exclusive use by the purchaser of the work. Duplication of this publication or parts thereof is permitted only under the provisions of the Copyright Law of the Publisher s location, in its current version, and permission for use must always be obtained from Springer. Permissions for use may be obtained through RightsLink at the Copyright Clearance Center. Violations are liable to prosecution under the respective Copyright Law. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. While the advice and information in this book are believed to be true and accurate at the date of publication, neither the authors nor the editors nor the publisher can accept any legal responsibility for any errors or omissions that may be made. The publisher makes no warranty, express or implied, with respect to the material contained herein. Printed on acid-free paper Springer Gabler is a brand of Springer DE. Springer DE is part of Springer Science+Business Media.

5 Foreword In today's global business environment, organizations are increasingly demanded to not only pursue economic prosperity, but to act socially and environmental responsible tbrougbt their own business operations and even beyond their organizational boundaries. As a result, research on sustainability in a supply chain context spurred over the last years. In addition, practicioners in the business conununity still struggle with identifying appropriate concepts for handling the increasing demand for sustainable business operations, for instance in the case a company or its suppliers fail to fulfill the externally induced demands for responsible behavior. Moreover, focal firms that own or govern a supply chain become increasingly dependent on their suppliers and sub-suppliers, since a growing share of a firm's total expenditore accounts for purchased products and materials, and as simultaneously supply chains developed from simple, hierarchical structures to complex, interwoven, international networks. This dependency is particularly critical in the context of sustainability, because social or environmental misconduct, even at the supplier or sub-supplier level, can have a significant (negative) irupact on the focal frrm's reputation and sales figures, even thougb it is not responsible for the underlying issue. For this reason, the question on how the upstream supply chain consisting of suppliers and subsuppliers can be effectively managed towards sustainability and how on the other hand the suppliers in this chain strategically behave with respect to sustainability is ofhigb relevance for academics as weil as for practicioners. The Chair of Supply Chain Management at the Friedrich-AIexander-University of Erlangen-Nürnberg focuses on performing excellent research in the area of supply chain management, which includes the relevant and interesting field of sustainable supply chain management. This dissertation addresses this area of research and the above stated research question regarding the effects of sustainability on supplier-buyer relationships with three theory-based and empirical papers. The three papers, which form the overall structure of this dissertation, airu at contributing to extant sustainability literature across the research disciplines of supply chain management, management and marketing by cross-functionally investigating the effects of sustainability on supplier-buyer relationships from both a supplier- and a buyer perspective. The first article illurninates the focal

6 VI Forcword firm perspeetive and foeuses on the question how buyers manage suppliers towards sustsinability in interdependent supply ehain situations. The seeond artiele analyzes supplier-buyer relationships from a supplier perspeetive and empirieally investigates the interdependenee of a supplier' s sustsinability-related marketing and purehasing practiees. Finally, the third artiele digs deeper into the funetional integration of purehasing and marketing in the eontext of a sustsinable supply ehain, and additionally explores the main external drivers for this crossfunctional integration. In eombination, the papers' different perspeetives on sustsinability in buyer-supplier relationships provide a hollstie view on the underlying research questions, and result in interesting and relevant insights for both management practiee and the research eommunity. With respeet to the future of supply ehain management research, the importanee of sustsinable supply ehain management is likely to even further inerease, whieh underlines the relevanee of this dissertation. The Chair of Supply Chain Management will eontinue its research in the field of sustsinable supply ehain management, in order to dellver further high qnality research on this topie. I would like to eongratolate Thomas Leppelt on this exeeptionally wellexecuted research and I wish him ail the best fur his personal futore. Prof. Dr.-Ing. Evi Hartmann

7 Table of Contents Foreword... V List of Figures... IX List of Tables... XI List of Abbreviations... XIII 1 Introduction Sustainability Beyond Boundaries Introduction Literature Review and Theoretical Basi... II Current State of Su.tainability Research in PSM... II Current State of Su.tainability Re.earch in PSM A Theoretical Framework for Aualyzing Sustainable Busine Practice Methodology Re.earch De.ign Ca.e Selection Data Collection Data Analysis Results Fouodation Commuoication Guidance Outcome Reconoection Discussion Conclusion References CSR in Buyer-Supplier Relationsbips Introduction Literature Review A Cro -functional Perspective 00 CSR Responsible Porchasing Practices and their Market Appreciation Marketing of Supply Chain Oriented CSR Capabilities aod Finn Repotation Conceptual Framework for Integrating Purchasing and Marketing Research Method... 42

8 VIII Table of Contents C.se Selection and Sampling Data Collection Results Exploratory Analysis: Distioct Concepts for Marketing CSR Inductive Analysis: How the Marketiog of CSR Affects Reputation Conclusion and Implications Managerial and Theoretical Contribution Limitations and Further Research References Appendix Drivers and Mechanisms of Purchasing-Marketing Integration Introduction Theoretical Foundation and Research Framework Development Supplier Opportunity PerlIpective on SSCM Based on RDT and RAT PSM-Marketiog Integration io a Supply Chaio Context Sustaioable Supplier Management and Sustaioable Marketiog Research Method Research Design Case Selection Data Collection Data Analysis and Results The "Go First" Category The ''Enthusiast'' C.tegory The ''No Choice!" Category The ''Why Bother?" Category Discussion Drivers ofpsm Marketiog Integration PSM-Marketiog Integrative Mechanisms and Achieved Integration Moderating Effects Conclusion \ Theoretical Implications Managerial Implications Limitations and Further Research References Appendix Final Conclusion

9 List of Figures Figure I: Model of Sustainable Busioess Practices - Elements and Artefacts (Svensson et al., 2010) Figure 2: Identified SSRM Practices Matched with the Research Framework Figure 3: Theoretical Framework for the Cross-functional Investigation of an Industrial Firm's CSR-related Purcbasiog and Marketing Practices (modified from Sheth et al., 2009) Figure 4: Theoretical Framework Extended by Marketing-Reputation Effects Figure 5: Unit of Analysis in the Context of a Simplified Competitive Supply Chain Figure 5: Classification ofsustaioability-related Busioess Environments Based on Cousios, Lamming, and Bowen (2004) Figure 7: From a Sampling Approach Towards a Classification of Driving Forces and PSM-Marketing Integrative Mechanism for SSCM Figure 8: Summary offiodiogs

10 List of Tables Table 1: Overview Three Papers... 5 Table 2: Case Company Information Table 3: Identified SSRM Practices Related to the Research Framework Table 4: Case Characteristics (Sorted by Company Size) Table 5: Validity and Reliability Measures throughout the Research Design (Based on Gibber! et ai., 2008; Yin, 2009) Table 6: Individual Approaches of Case Firms towards CSR Table 7: Identified Business Practices Previously Mentioned in the Literatore Table 8: New Practices not Previously Identified by CSR Literatore Table 9: Concepts for Marketing CSR Derived from Identified Practices Table 10: Case Characteristics (Sorted by Company Size) Table 11: Main Academic Contributions of the Three Papers

11 List of Abbreviations B2B EHS EU DJSI CEO CPO CSR FAZ FMCG FSC IT NGO OEM PC PSM R&D RAT RDT REACH ROI SCM SIC SSRM SSCM SSM TBL TV VP WCED Business-to-Business Environmental, Health and Safety Standards European Union Dow Jones Sustainability Group Index Chief Executive Officer Chief Procurement Officer Corporate Social Responsibility Frankfurter Allgemeine Zeitung Fast Moving Consumer Goods Forest Stewardship Council Information Technology Non-governmental Organization Original Equipment ManuIacturer Personal Computer Purchasing and Supply Management Research and Development Resource Advantage Theory Resource Dependency Theory Registration, Evaluation, Authorization & Restriction of Chemicals (EU-Prograrn) Return on Investment Supply Chain Management Standard Industrial Classification Sustainable Supplier Relationship Management Sustainable Supply Chain Management Sustainable Supply Management Triple Bottom Line Television Vice President Word Commission on Environment and Development