Environmental performance of the cement industry in Vietnam: the influence of ISO 14001 certification

Journal of Cleaner Production xxx (2013) 1e17

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Environmental performance of the cement industry in Vietnam: the influence of ISO 14001 certification Quynh Anh Nguyen a, *, Luc Hens b a b

Vietnam Metrology Institute, Directorate for Standards, Metrology and Quality, No 8 Hoang Quoc Viet, Hanoi, Viet Nam Vlaamse Instelling voor Technologisch Onderzoek (VITO), Boeretang 200 B2400 Mol, Belgium

a r t i c l e i n f o

a b s t r a c t

Article history: Received 30 January 2012 Received in revised form 10 September 2013 Accepted 17 September 2013 Available online xxx

This empirical study is the first to analyze the response of Vietnamese cement plants to ISO 14001. The influence of ISO-compliant environmental management systems in Vietnam’s cement industry was studied by examining the differences between pre- and post-certification and by comparing the results between certified and non-certified cement plants using a questionnaire and environmental indicators. The results of the management performance analysis demonstrated that the environmental awareness and attention in certified plants was better than in the non-certified plants. On operational performance, the results showed significant differences between the certified and non-certified plants on selected environmental indicators like dust, SO2 and NO2 as well as a significant improvement after the adoption of ISO 14001. As a whole, the certified plants performed better than the non-certified ones on management and operational aspects. This study has a twofold wider impact. It shows the methodological difficulties of assessing the impact of environmental management systems in situations of early implementation and low company awareness. Moreover, our findings indicate that ISO 14001 has the potential to improve organizations’ environmental performance in a fast-developing country characterized by impressive industrial growth in recent decades. Ó 2013 Elsevier Ltd. All rights reserved.

Keywords: Environmental management systems ISO 14001 Environmental performance Cement Vietnam

1. Introduction Since the United Nations Conference on Environment and Development (UNCED) and the associated Earth Summit in 1992, the environment has become increasingly important for governments worldwide and for environmental management stakeholders. A key focus for these parties is the adverse impact of human activities on the environment and the ways of mitigating it (Price, 2007). In this context, environmental management systems (EMSs) are highly relevant and recommended by Agenda 21 (United Nations, 1998). As a result, the ISO 14001 certified EMS (the Standard) emerged as a leading management tool to address environmental degradation by the manufacturing industry and an exponential increase in global registration to the Standard has been observed. Reasons to adopt the Standard range from legal compliance, overt consumer demand and market pressure to potential cost savings and a healthier environment (Mohammed, 2000).

* Corresponding author. E-mail addresses: [email protected] (Q.A. Nguyen), [email protected] (L. Hens).

However, there is limited evidence that certified ISO 14001 EMSs lead to decreased resource consumption and pollution, and uncertainty exists as to whether or not ISO 14001 certification actually improves environmental performance (Fryxell et al., 2004; Iraldo et al., 2009). Proponents of international standards to assess corporate EMSs claim that substantial benefits exist for organizations that adopt the ISO 14001 standard (Heras and Arana, 2010; Hillary, 2003; de Oliveira et al., 2010). Others argue that the standard is an inadequate instrument to improve environmental sustainability as it does not directly measure environmental performance (Rondinelli and Vastag, 2000). Studies on the performance of ISO 14001 certified companies show inconsistent results. For example, the studies by Ann et al. (2006), Babakri et al. (2004), Comoglio and Botta (2012), Melnyk et al. (2003) and Turk (2009) indicate that adoption of ISO 14001 is associated with significant improvement in environmental performance, whereas others illustrated the challenge of demonstrating a relationship between ISO 14001 certification and decreased pollutant emission (e.g. Ghisellini and Thurston, 2005; Gomez and Rodriguez, 2011). Similarly, studies that examined differences in environmental performance between certified and non-certified companies noted that companies with an ISO 14001 certification did not perform better than those without (e.g. King et al., 2005; Tyteca et al., 2002).

0959-6526/$ e see front matter Ó 2013 Elsevier Ltd. All rights reserved. http://dx.doi.org/10.1016/j.jclepro.2013.09.032

Please cite this article in press as: Nguyen, Q.A., Hens, L., Environmental performance of the cement industry in Vietnam: the influence of ISO 14001 certification, Journal of Cleaner Production (2013), http://dx.doi.org/10.1016/j.jclepro.2013.09.032

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In some cases, plants with a certified EMS performed worse (Barla, 2007). Furthermore, a meta-analysis by Darnall and Sides (2008) and later by Nawrocka and Parker (2009) on the effects of voluntary environmental programs, including ISO 14001, revealed inconclusive evidence regarding the effects of ISO 14001 certification (Darnall and Sides, 2008; Nawrocka and Parker, 2009) and offered little evidence that participants in ISO 14001 showed greater improvement in environmental performance than nonparticipants (Darnall and Sides, 2008). The published studies apply three different strategies to analyze the effects of a certified EMS on the environmental performance of organizations: a) differences in environmental performance within an organization between pre- and post-EMS certification (Arimura et al., 2008; Babakri et al., 2004; Comoglio and Botta, 2012; Tan, 2005); b) environmental performance of EMS-certified organizations compared with that of non-certified EMS organizations (Dasgupta et al., 2000; Franchetti, 2011; Ghisellini and Thurston, 2005; Melnyk et al., 2003; Potoski and Prakash, 2005; Tyteca et al., 2002); and c) a combination of both changes in environmental performance between pre- and post-EMS certification in EMS-certified organizations and between certified and noncertified facilities (Andrews et al., 2003; Barla, 2007; King et al., 2005; Kwon et al., 2002). Methods used to collect data in these studies include: questionnaires (e.g. Babakri et al., 2004; Melnyk et al., 2003), in-depth interviews (e.g. Bridgen and Helm, 2000; Dasgupta et al., 2000), and environmental indicators (e.g. King et al., 2005; Potoski and Prakash, 2005). Some studies use a combination of more than one method and more than one strategy to investigate the effects of ISO 14001 (e.g. Andrews et al., 2003; Kwon et al., 2002). Nevertheless, it remains unclear which strategies and methods should be employed to evaluate the impact of certified EMSs since the results vary with the strategies and methods. These findings confirm the results of a meta-evaluation of empirical studies on the impacts of certified EMS plants (Schylander and Zobel, 2003). Since the Doi Moi economic liberalization economic reform of 1986, Vietnam has demonstrated steady economic growth, which was further boosted by the country’s entry into the World Trade Organization in 2007. However, an impact of this economic development is the degradation of the environment. In order to make growth sustainable, the environmental impacts associated with economic growth should be significantly reduced. Environmental management systems (EMSs) are important instruments in achieving this sustainable growth. In particular, there is great potential for the industrial sector to apply EMSs to increase its energy efficiency. International companies active in Vietnam recognized this potential and were the first to implement ISO 14001. However, widespread implementation of ISO 14001 certified companies is hampered not only by low company awareness, but also by limited knowledge and information, lack of financing, and conflicting policies combined with weak enforcement (Punte et al., 2005). In Vietnam, a sector with a high energy saving potential is the cement industry. However, difficulties occur in the early implementation of the instrument and the old production facilities (QuyenHuy and Tan Thanh, 2012). Although the Vietnamese government has demonstrated concern about the environmental impacts of the manufacturing and service sectors, (as indicated in the Vietnam National Strategy for Environmental Protection for 2010e2020, which states that “50% of manufacturing and services are certified with an environmental certificate or ISO 14001 in 2010 and in 2020 this figure should increase to 80%” e GOV, 2003), the motivation for Vietnamese organizations to put ISO 14001 into practice is still limited. This may be due to a lack of understanding of the effects of ISO 14001. While there have been many studies in Western countries on the influence of ISO 14001, there is little documentation

and analysis to assess the effects of ISO 14001 in Vietnam and in Southeast Asia. Thus, an empirical study of the impact of ISO 14001 certification is useful in Vietnam, enabling the tool and its implementation to be further improved. This paper analyses the impact of ISO 14001 on the cement industry as a step toward further research on ISO 14001 certification and environmental performance in the Vietnamese context. Its aim is twofold: - The primary goal is to determine whether EMSs established by mature Western industries can also be applied under the Vietnamese conditions of a fast-developing country with, at least in part, old production facilities; - The second goal is to identify the strategies and methods most appropriate for assessing EMSs in Vietnam.

2. Cement production in Vietnam This section briefly describes the development of the cement industry in Vietnam and its environmental impacts. The first cement factory in the country was established in 1910 in Hai Phong e a harbor city in East of Hanoi. Beginning in 1991, the industry experienced rapid growth. During the last two decades, the total production capacity increased 13 times. During the last five years, the development of the cement industry was even more intensive due to the approval of the Strategic Plan for the Cement Industry in Vietnam for the period of 2010e2020, on May16th, 2005 (GOV, 2005). As a result, Vietnam became the biggest producer of cement in the Association of Southeast Asian Nations (ASEAN) (VEA, 2011). In 2010, the total production was about 53 million tons and the supply now slightly exceeds demand. In the future, the total production is expected to increase further to 84 million tons in 2015 and 121 million tons in 2020 (VEA, 2011). The rapid growth of the industry on one hand contributes to economic development, but on the other causes severe environmental pollution (VPC, 2002). In Vietnam, cement companies are private, joint ventures or are state owned by the Vietnam National Cement Corporation. The cement industry was chosen for this study because it has a long history of environmental problems and impacts as indicated in a World Bank (2008: 21) study which stated, “Cement plants have the highest hazardous content in their pollution to air than any other industry sector”. The general environmental impacts of the cement industry have been summarized by the Vietnam Productivity Center and are:
Large quantities of dust generated in the grinding, clinker production and packaging processes;
A large amount of fuel (coal, diesel oil) and electricity used for the baking process;
Noise generated during the grinding and crushing processes;
Discharged solid waste and wastewater;
High fuel consumption e- cement production under the standard wet kiln process requires a higher amount of fuel as compared to the rotary dry kiln process;
Air pollution e the rotary dry kiln process produces fewer emissions than that of the stand wet kiln process. Carbon dioxide (CO2), sulfur dioxide (SO2), nitrogen dioxide (NO2) and carbon monoxide (CO) are generated from the clinker kiln and are discharged into the environment (VPC, 2002:3). The cement sector is currently aiming to reduce pollution and save energy. However, a primary focus has been placed on “hard” measures such as technological change or new innovations in comparison with “soft” solutions such as environmental management. This study aims to investigate how ISO 14001 e a “soft”

Please cite this article in press as: Nguyen, Q.A., Hens, L., Environmental performance of the cement industry in Vietnam: the influence of ISO 14001 certification, Journal of Cleaner Production (2013), http://dx.doi.org/10.1016/j.jclepro.2013.09.032

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measuredcontributes to the overall target of reducing the cumulative environmental impacts of the cement industry in Vietnam. Technical innovations for energy conservation and a reduction in environmental pollution include among other things a shift to the use of low carbon fuels, the application of carefully selected waste fuels, and an increased use of additives. These innovations frequently result in new environmental problems (Worrell et al., 2001). Technological innovations in developing countries should be implemented with care and responsibility as they might also be subject to negative effects. Innovation implemented too rapidly can result in a “leapfrog” effect, in which accelerated development is achieved by overlooking less efficient or higher polluting industries and moving directly to more advanced, cheaper, or greener ones (Lewis, 2007). This has been shown to apply to the cement industry in Vietnam (Voeten and Naudé, in press). The implementation of an ISO-compliant EMS has been considered increasingly important in recent years as a complement to technical change. This entails organizing management systems, informing each group within the plant and the customers, and inviting the stakeholders in the plan, do, check, and act approach of the company. This complex and systematic managerial approach is particularly important for export-oriented companies (Wu et al., 2007; Mohamadshaki, 2013). 3. Research methodology This section defines and outlines the indicators of environmental performance used in this study and describes the study rationale and the data collection methods. 3.1. Environmental performance indicators Indicators were used to evaluate environmental performance over time within certified factories (pre- and post-certification). They allow a comparison of the environmental performance at certified versus non-certified factories. The indicators were developed based on the classification of ISO 14031: management performance indicators and operational performance indicators (ISO, 1999). According to ISO 14031: - Management performance indicators are “a type of environmental performance indicator that provides information about management efforts to influence the environmental performance of the organization’s operations. Management performance indicators relate to the policy, people, practices, procedures, decisions and actions at all levels of the organization” (ISO 14031 cited by Jasch, 2000: 82; Perotto et al., 2008: 520). The management performance indicators used in this study are: the number of environmental audits undertaken, percentage of employees with environmental training, number of violations against emission quotas, number of environmentally friendly suppliers, etc. which offer internal information on the efforts of the management (Annex A). - Operational performance indicators are “.the materials, energy, products, services, waste, and emissions related to the organization’s physical facilities and equipment” (Jasch, 2000: 83). In this study, the operational performance indicators used were dust, SO2, NO2 and noise emissions (Annex A).

3.2. Study rationale The rationale for the study is shown in Table 1. A twofold approach was used. Both the operational and the management aspects of ISO 14001 certified plants were compared with those of

3

Table 1 Operational and management performance of certified and non-certified plants. Approach

Method

Statistical test

1. Comparison between certified and non-certified plants (15 cement plants: 8 certified and 7 non-certified) 1.1 Management
Self-reported questionnaire Fisher’s exact test performance 1.2 Operational
Environmental data about Wilcoxon rank-sum test performance dust, SO2, NO2 and noise in one year 2. Comparison pre- and post-certification (8 certified plants) question2.1 Perception of direct
Self-assessment naire on 14 parameters and indirect effects of ISO 14001 2.2 Operational
Environmental data (2 years Wilcoxon signedperformance before and 2 years after cer- rank test tification of ISO 14001) on dust. SO2, NO2 and noise

non-certified plants. Based on the literature on research strategies and using methods adapted to the specific conditions in Vietnam, indicators analyzing the effects of ISO 14001 in the cement industry in Vietnam were defined. The strategy of selecting companies belonging to the same industrial sector was also used in the study of Comoglio and Botta (2012) in which the automotive sector was analyzed. 3.3. Data collection This section describes how data was collected to investigate management performance and operational performance in certified and non-certified plants. For this aspect certified plants pre and post ISO 14001 certification were compared. 3.3.1. Management performance in certified and non-certified plants Management performance in certified and non-certified plants was assessed using management performance indicators (see Section 3.1), as measured by questionnaires (see Annex B). A set of questions on the dimensions of commitment, participation and regulation compliance was adapted from Andrews et al. (2003) and Harding et al. (2003). Questions based on the sections of ISO 14001 were also incorporated in the questionnaire (ISO, 2004). The advantages and disadvantages of using self-reported data are described in the literature. The advantages are that data can be economically collected from a large sample in a rather short period of time, while making it convenient for the respondent to complete the questionnaire (Mitchell and Jolley, 2010). For this study, a questionnaire was also used as plants all across Vietnam were studied. The disadvantages of this approach are that the results may be over optimistic and the response rate might be low (Freimann and Walther, 2001). However, a number of studies has used questionnaires to investigate the performance differences between preand post-certification and between certified and non-certified organizations including the recent study of Comoglio and Botta (2012), which investigated the role of ISO 14001 on the environmental performance of the automotive sector and the study of de Oliveira et al. (2010) which assessed the benefits and difficulties of ISO 14001 for industries in the state of São Paulo in Brazil. Discussions with two expert consultants of the Vietnamese Productivity Center and one lead auditor of the Vietnamese Bureau of Accreditation were held to verify whether the adopted questionnaire was suitable in the Vietnam context. Then a pre-test was conducted in two certified plants and two non-certified plants. As a result, the questions aim to obtain quantitative results on

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improvements in energy saving and raw material consumption were eliminated since such data was not available in these plants. 3.3.2. Operational performance in certified and non-certified plants Independent environmental data related to operational performance was collected for parameters such as dust, NO2, SO2, and noise. This enabled a comparison of operational performance between certified and non-certified plants. These indicators were selected because they are the key parameters that are required to be measured by Vietnamese regulatory agencies. Moreover the data was available for research. The data used in this study was provided by the Provincial Agencies, which collect performance data to assess legal compliance. The environmental indicators were measured according to the Vietnamese National Standards. The difference in operational performance between certified and noncertified plants was assessed using data from 2008. 3.3.3. Self-assessment of environmental performance pre- and postcertification in certified plants The effects of ISO 14001 certification were evaluated using a self-assessment questionnaire based on 14 performance parameters (see question 39, Annex B) including both indirect (e.g. environmental awareness of the management, employees, the environmental data official availability, etc.), and direct effects (e.g. air emissions, waste, dust, water, energy consumption, etc.). The questionnaire was adapted from an existing survey developed by Schylander and Martinuzzi (2007). The certified plants were asked to assess their results using a Likert five-point scale (0: no improvement; 1: small improvement; 2: moderate improvement; 3: strong improvement; 4: great improvement). 3.3.4. Operational performance pre- and post-certification Data on operational performance indicators which enabled a comparison of performance before and after certification were also collected. These indicators are dust, NO2, SO2 and noise. Previous studies have used environmental indicators to investigate changes in an organization’s environmental performance over time (Andrews et al., 2003; Ghisellini and Thurston, 2005). The study of Ghisellini and Thurston (2005), used a seven year time interval of three years before ISO 14001 certification, the year of certification and twoethree years post-certification. The research of Andrews et al. (2003) used a four year interval and was based on data of the National Database on Environmental Management Systems Project in the United States. The year of certification is the endpoint benchmark for the years “before certification” and the starting point for the number of years “after certification” (Andrews et al., 2003). In view of the available environmental data in Vietnam, the strategy of the Andrews et al. (2003) study was adopted. The environmental indicators of dust, SO2, NO2, and noise, which also provided by the Provincial Agencies, were used to measure the environmental performance of ISO 14001 certified cement plants two years before and two years after certification. 3.4. Sample size and response rate A list of 56 ISO 14001 certified and non-certified cement plants located all over the country was developed based on information from the Department of Construction Materials of the Ministry of Construction, the Vietnamese Cement Corporation and organizations under the Directorate for Standards, Metrology and Quality. A questionnaire was sent to these plants in June 2008. Among them, 13 were certified and 43 were non-certified. The overall survey response rate was 27% as 15 out of 56 plants returned fully completed questionnaires. For the certified group, eight plants (61%) out of the 13 returned the questionnaires while seven (16.3%)

out of the 43 non-certified plants returned theirs. Eight certified plants were either joint venture or state owned companies and most of the non-certified ones were private companies. Plants in the certified group ranged from 195 to 2930 employees with a median value of 715. In the non-certified group, the size of the plants varied from 265 to 746 employees with a median value of 265. The basic characteristics of the respondents are summarized in Table 2. Of 15 factories, nine factories are located in northern Vietnam, four in the center and two in the southern part of the country. 4. Results First, the results of management and operational performance in both certified and non-certified plants are described. Following this, the findings of management and operational performance preand post-ISO 14001 certification in certified plants are shown. 4.1. Management performance in certified and non-certified plants 4.1.1. Commitment of top managers An environmental policy declaration is a necessary prerequisite for an EMS. All certified respondents (100%; n ¼ 8) indicated the presence of an environmental policy, while only 14.3% (n ¼ 1) of the non-certified plants had an environmental policy. 4.1.2. EMS design Table 3 shows that the internal stakeholders of the certified plants were relatively more involved in the EMS than those of the non-certified group. In the certified group, 75% (n ¼ 6) of the plant managers and 87.5% (n ¼ 7) of the environmental managers were highly involved in designing the EMS, while these figures were 14.3% (n ¼ 1) and 14.3% (n ¼ 1) respectively in the non-certified group. A further breakdown of the data reveals that 37.5% (n ¼ 3) of the certified group indicated that non-management employees were “highly involved” in EMS, whereas employees in the noncertified were not “highly involved”. 4.1.3. Environmental training All the respondents of the certified plants indicated that their employees are trained on the environmental impact of their jobs, as compared to 28.6% (n ¼ 2) in the non-certified group (Fisher’s exact ¼ 0.007). Additionally, 75% (n ¼ 6) of the respondents from certified plants noted that training is provided to help employees solve environmental problems in a creative way, compared with 14.3% (n ¼ 1) in the non-certified group (Fisher’s exact ¼ 0.04), as seen in Table 4.

Table 2 Overview data on certified plants and non-certified plants. Characteristics Function of respondents

Size of organizations (number of employees) Year of ISO 14001 certification ISO 14001 implementation period

Environmental managers ISO 14001 board’s secretary Others (safety staff, head of general departments) 100e300 301e500 More than 500

Certified

Non-certified

7 (87.5%) 1 (12.5%) 0

0 0 7 (100%)

1 (12.5%) 2 (25%) 5 (62.5%)

4 (57.2%) 2 (28.5%) 1 (14.3%)

2001e2007 12 months

Please cite this article in press as: Nguyen, Q.A., Hens, L., Environmental performance of the cement industry in Vietnam: the influence of ISO 14001 certification, Journal of Cleaner Production (2013), http://dx.doi.org/10.1016/j.jclepro.2013.09.032

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5

Table 3 Degree of EMS design involvement of different personnel categories in certified versus non-certified plants. Personnel group

General manager Environmental manager Employee External consultant

Highly involved

Involved

Somewhat involved

Not involved

Certified

Non-certified

Certified

Non-certified

Certified

Non-certified

Certified

Non-certified

75% (n ¼ 6) 87.5% (n ¼ 7) 37.5% (n ¼ 3) 25% (n ¼ 2)

14% (n ¼ 1) 14% (n ¼ 2) e

12.5% (n ¼ 1) 12.5% (n ¼ 1) 37.5% (n ¼ 3) 37.5% (n ¼ 3)

86% (n ¼ 86% (n ¼ 29% (n ¼ 14% (n ¼

e

e

e

e

e

e

e

e

12.50% (n ¼ 1) 25% (n ¼ 2)

57% (n ¼ 4) 43% (n ¼ 3)

12.5% (n ¼ 1) 12.5% (n ¼ 1)

14% (n ¼ 1) 43% (n ¼ 3)

e

4.1.4. Regulatory compliance Self-reported regulatory compliance shows differences between both groups (Table 5). In certified plants, a high or very high degree of compliance was reported (n ¼ 8), whereas 57% (n ¼ 4) of the noncertified plants reported that they operate under only moderate levels of legal compliance. 4.2. Operational performance in certified and non-certified plants A Wilcoxon rank-sum test was used to examine the differences in operational performance between certified and non-certified plants. The results in Table 6 show that there is no significant difference in noise levels between certified and non-certified plants. This is however not the case for dust, SO2 and NO2 concentrations, for which the differences are statistically significant at p < 0.05. 4.3. Environmental performance pre- and post-ISO 14001 certification 4.3.1. Self-assessment of environmental performance The respondents of the certified plants (n ¼ 8) were asked to assess their plants’ ISO 14001 based EMS using a five-point scale on 14 parameters (see Section 3.3.3). A significant contribution of ISO 14001 certification is the increasing environmental awareness of top managers (average 3.6 points between strong and great improvement). Most plants (62.5%; n ¼ 5) claim a noticeable improvement in the environmental awareness of the top management after implementing ISO 14001. A further breakdown of the data reveals that 62.5% (n ¼ 5) reported raising employees’ awareness (3.4 points) and 50% (n ¼ 4) indicated that ISO 14001 helps to make data easier to track within the plant (3.2 points), as a second and third major improvement respectively. The results concerning direct environmental effects (air emissions, waste, energy, consumption of raw material, transport etc)

Table 4 Environmental training information of certified and non-certified plants. Characteristic

Environmental policy* Environmental impacts of employees’ job* Training on the responsibilities of employees in reducing/ avoiding environmental impacts Training to help employees to solve environmental problems in creative ways* *p < 0.05.

Certified

Non-certified

n

%

n

%

8 8 8

100 100 100

1 2 4

14 29 57

6

75

2

14

6) 6) 2) 1)

are presented in Fig. 1. Most respondents reported improvements in recycling (75%, n ¼ 6) and the reduction of hazardous waste (50%, n ¼ 4). They achieved 3.7 and 3.5 points on average respectively. A minor improvement in the consumption of raw materials (2.5 points on average) after certification was also reported. 4.3.2. Operational performance analysis pre and post the adoption of ISO 14001 The statistical analyses of the changes in operational performance before and after certification are summarized in Table 7. Dust, SO2, NO2, and noise were measured inside the boundaries of the certified plants. The Wilcoxon signed-rank test was used to determine differences in these environmental indicators before and after the adoption of ISO 14001 in certified plants. Two years before the adoption of ISO 14001, the median concentration of dust was 0.40 mg/m3 and two years after certification it was 0.30 mg/m3. Similarly, the median SO2 concentration declined from 0.32 mg/m3 two years before the adoption of ISO 14001 to 0.19 mg/m3 two years after certification. The NO2 median concentration two years after certification was 0.09 mg/ m3compared with 0.1 mg/m3 two years before ISO 14001 certification. The results for noise show 75.4 dB as the median value two years before ISO 14001 adoption, and 73.8 dB two years after certification. All of these values differ in a statistically significant way (p < 0.05). 5. Discussion 5.1. Comparison between certified and non-certified plants 5.1.1. Management performance In general, the management performance analysis reveals that the certified plants run more comprehensive programs to address environmental policy, to increase management involvement and employee participation, and to provide environmental training and initiatives. More employees are aware of the environmental impacts of their work in the certified group. This is consistent with observations made during onsite visits to selected plants. The working environment was healthier and safety requirements were

Table 5 Regulation compliance level of certified and non-certified plants. Certified

Low Moderate High Very high

Non-certified

n

%

n

%

e e 6 2

e e 75 25

e 4 2 1

e 57 29 14

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Table 6 Operational differences between the certified and non-certified plants. Certified

Dust (mg/m3) SO2 (mg/m3) NO2 (mg/m3) Noise (dB)

Non-certified

p value

Median

IQR

Median

IQR

0.30 0.21 0.1 73.6

0.24e0.34 0.14e0.32 0.06e0.2 72.2e75.7

0.63 0.56 0.2 74.5

0.42e0.71 0.51e0.72 0.09e0.45 73.4e74.9

0.004* 0.005* 0.009* 0.7275

*p < 0.05, IQR: 1ste3rd quartile: cut off of lowest 25% of concentrationecut off of 25% highest of concentrations.

higher in the ISO 14001 certified companies in comparison with the non-certified. This could be seen as one of the most important aspects of ISO 14001 certification, since awareness and knowledge about safety and environmental accidents is low in Vietnam (MOLISA, 2012). Surprisingly, one non-certified factory had a small kindergarten in the factory open for the children of the workers. This illustrates the limited awareness that exists in regards to the environmental impacts and human health effects in this noncertified cement plant. Internally, the most valuable result of ISO 14001 certification was that communication and dialog among workers and management improved. Moreover the production process became more transparent and proactive, as a result of the documentation procedures and data records required for a standardized EMS. Furthermore, awareness of/commitment to environmental issues was more widely and deeply integrated in certified plants than in non-certified ones, as the environment was no longer considered an assigned responsibility. Instead, it was seen as the responsibility of all workers, which was an improvement. Due to a lack of knowledge, employees often focus solely on their own duties rather than on wider responsibilities (MOLISA, 2012).

The certified group had systems encouraging employees to contribute their ideas to environmental management initiatives and to improve environmental practices within the factory. Employees offered suggestions during regular meetings, through an internal information network or in discussions with their supervisor. The most feasible and creative initiatives were rewarded at the end of the year. Such measures help to promote and visualize the benefits of the ISO 14001 process. This was not the case in the non-certified plants, among which only one had such a system. Regulatory compliance in certified plants was higher than in non-certified ones. Complying with regulations is a priority for all industry sectors in Vietnam. This element was included in all documented environmental policies in the certified group. High or very high compliance was reported by the certified group, while their non-certified peers achieved only a moderate degree of compliance. This finding supports other studies reporting that ISO 14001 certified sites show better environmental compliance (Dasgupta et al., 2000; Heras and Arana, 2010; Kwon et al., 2002). Generally, ISO 14001 certification should be expected to facilitate greater employee involvement in management processes at the plant rather than concentration on the outputs of the organization alone (Melnyk et al., 2003). By focusing on employee involvement in these processes, the certified plants performed more sustainably. All the certified plants in this study were either joint venture companies or state owned. This may indicate that market forces, being one of the most important reasons that firms in Vietnam adopt ISO 14001, drive companies to respond to international customer preferences. Adoption of the Standard helps Vietnamese companies to gain and maintain access to Western markets, where purchasing agents give weight to ISO 14001 certification (Pham, 2005). In this case, the adoption of ISO 14001 was not directly aimed at realizing internal benefits for the organization or improving the image of the company to domestic customers

3.7

Recycling 3

Transport 2.5

Consumption of raw material

3.5

Performance parameter

Hazardous waste 2.7

Soil

2.6

Energy consumption

2.7

Waste

2.9

Water

2.8

Dust

2.9

Emissions to air No of questions regarding Env. within the factory

3.4

Environmental awareness of the employees

3.4

Environmental data easier to track

3.2

Env. awareness of the management

3.6 0

0.5

1

1.5

2

2.5

3

3.5

4

Improvement score

0: No improvement 1: Moderate improvement

2: Small improvement 3: Strong improvement 4: Great improvement

Fig. 1. Self-assessed environmental performance before and after ISO 14001 adoption.

Please cite this article in press as: Nguyen, Q.A., Hens, L., Environmental performance of the cement industry in Vietnam: the influence of ISO 14001 certification, Journal of Cleaner Production (2013), http://dx.doi.org/10.1016/j.jclepro.2013.09.032

Q.A. Nguyen, L. Hens / Journal of Cleaner Production xxx (2013) 1e17 Table 7 Differences in operational performance before and after ISO certification. Indicator

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Dust (mg/m ) SO2 (mg/m3) NO2 (mg/m3) Noise (dB)

2 years before ISO 14001 adoption

2 years after ISO 14001 adoption

Median

IQR

Median

IQR

0.40 0.32 0.1 75.4

0.37e1.0 0.18e0.49 0.09e0.34 75e77.5

0.30 0.19 0.09 73.8

0.27e0.43 0.15e0.34 0.06e0.22 71.95e76.15

p value

0.012* 0.012* 0.017* 0.012*

*p < 0.05, IQR: 1ste3rd quartile: cut off of lowest 25% of concentrationecut off of 25% highest of concentrations.

(STAMEQ, 2006). Conversely, the customers of non-certified companies were mostly from domestic traders. Also, joint venture companies may feel pressure to adopt ISO 14001 as a sign of responsible corporate behavior. This is because the Vietnamese government has required some organizations and industries to adopt the Standard. Under Decision No115/2004/QDBCN of the Ministry of Industry, car assembly companies and producers of car partsdwhich, as a rule, are part of international companies such as Toyota, Honda, Hyundai, etc.dare required to achieve ISO 14001 certification within 36 months of initiating operations in Vietnam. However, for domestic companies obtaining the Standard is only recommended (MOI, 2004). 5.1.2. Operational performance As shown in Table 6, the influence of the ISO 14001 EMS was positively significant for three indicators (dust, SO2 and NO2) but not for noise. Possible reasons explaining why the effects of certification tend to be not significant for noise are: (a) technologies applied in both certified and non-certified plants were relatively outdated and controlling noise levels requires investments beyond the capacity of the cement industry and (b) both certified and noncertified factories were located near other industries and highways which also produce noise. In Vietnam, air emissions have to conform to the Vietnam National Standards for air quality which includes the parameters of dust, SO2, NO2, and noise. The controlled parameters are measured by third parties by order of the local authorities to control pollution. Both certified and non-certified plants are required to comply with the regulations. However, this study found that the certified plants demonstrated better compliance. This analysis supports the similar finding revealed by the management performance analysis (Section 5.1.1). 5.2. Comparison pre- and post-certification 5.2.1. Managerial aspects Raising environmental awareness in a certified plant was one of the main effects of ISO 14001. The increased awareness of the top management is reflected in the environmental policy declarations. Increased employee awareness was another important outcome of the certification. According to two environmental managers interviewed during the pilot test of this study, employees also improved their knowledge on how to preserve, protect and improve the environmental quality of their working conditions in particular and the environmental quality in general. For these environmental managers, awareness and behavior of the employees was a core element in obtaining better environmental outcomes. Moreover, after certification both managers and employees became more aware of occupational health and safety issues. Vietnam is known for poor working conditions, especially in the private sector. Many cement plants in the country use outdated

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manufacturing processes. Consequently tens of thousands of workers are exposed to asbestos dust which increases the risks of contracting asbestosis, mesothelioma and lung cancers (WHO, 2009). Thus, implementing the ISO 14001 Standard is one approach to improve the overall working conditions in industry. As the Danish Ambassador Nielsen (2011) mentioned in his speech inaugurating a MoU between the Danish Embassy and the Vietnam Ministry of Labour, Invalids and Social Affairs (MOLISA), “If working environments for employees are improved and workers’ rights are considered, the likelihood of increasing productivity and performance is high”. Self-assessment of direct environmental effects found that major improvements were made in recycling and reducing hazardous waste. On the other hand this study also revealed that ISO 14001 had little influence on the use of raw materials and energy. This probably means that raw material and energy saving are more related to technology rather than “soft” interventions such as ISO 14001. However, as indicated in Section 3.3.1 there are several limitations which arise when using self-reported data. Firstly, the results may be too optimistic. The statements given by environmental managers are usually subjective, thus introducing a bias in the results which cannot be eliminated from the results of empirical questionnaire-research (Freimann and Walther, 2001). The managers of the Vietnamese cement industry applying ISO 14001 think that the standard contributes in a positive way to the improvement of the destructive environmental effects of their plants. However, on the other hand, the opinion of the managers in the plants which do not use ISO 14001 is not inventoried. Moreover, it is unclear to what extent parts of the questionnaire data accurately reflected the real situation in the plant or rather reflected an increased awareness of the management as a result of dealing with certified environmental management systems. Therefore, a comparison between data obtained from the questionnaire and plants’ operational performance is necessary to see if the questionnaire data reflects the real situation. In this case the emission to air can be used for that purpose despite it not receiving a very high score (only 2.9). 5.2.2. Operational effects The effectiveness of ISO 14001 certification can also be demonstrated through a comparison of the environmental data from two years prior and two years after certification. Significant reductions in the concentrations of dust, SO2, NO2, and noise were shown for certified cement plants in Vietnam. These findings are also consistent with the findings from questionnaire data on air emission. However, data from the United States showed that while four years was long enough to demonstrate the effects of a standardized EMS, it was not long enough to provide objective evidence of changes in performance (Andrews et al., 2003). The results of this study may have been clearer if data could have been obtained spanning a longer time period.

5.3. Research on ISO 14001 effectiveness 5.3.1. Effectiveness of ISO 14001 This study is in line with previous studies indicating that plants operating in an ISO-compliant context perform better on environmental pollution when compared to those which are not certified (Heras and Arana, 2010; Hillary, 2003; de Oliveira et al., 2010). These improved performance practices include better compliance with environmental regulation compliant and better working conditions. This provides an indication that ISO 14001 is also a useful instrument in fast-developing countries such as Vietnam.

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5.3.2. Specificity of ISO performance in Vietnam Parts of the results are in line with earlier findings on the performance of ISO 14001 in developing countries. Particular aspects include: - ISO certification was obtained by joint venture or state owned companies, while most of the non-certified companies were private. This coincides with the finding that ISO certification in developing countries is driven by foreign, export-oriented companies (Punte et al., 2005). The issue is of wider importance: if cement plants in Vietnam fail to meet international criteria, cement producing companies in the country can forget about export growth, which is perpendicular to the aims of the national “Strategic Plan for the Cement Industry” for the period 2010e2020 (2005); - Certified plants show a better legal compliance profile, better communication and dialog in regards to environmental issues and better employee awareness compared to non-certified plans in Vietnam. This coincides with international findings (Dasgupta et al., 2000; Kwon et al., 2002; Heras and Arana, 2010). On the other hand, this study also reveals aspects of ISO 14001 associated performance which seems to be more typical for Vietnam: while the implementation of ISO 14001 as a rule significantly contributes to less energy and material consumption in the literature, our data did not demonstrate any significant effect on these parameters, neither on the consumption of raw materials nor energy saving. This could be more related to technology used rather than soft measures as ISO 14001.

better environmental performance at the certified plants than at their non-certified peers for the indicators of dust, SO2, and NO2 (three out of the four output indicators). The study also showed that combining environmental performance indicators with questionnaires on management enabled an analysis of ISO 14001 performance that could lead to a deeper insight into the influence of ISO 14001. In addition, this combination provided a cross-check between the questionnaire and actual performance. This study explored the relationship between ISO 14001 certification and the environmental performance of cement plants in Vietnam. Therefore it is hoped that this could assist the cement industry and other sectors to make more informed choices as to whether or not to adopt ISO 14001 as a tool to improve environmental management. The results also provide top managers, environmental managers and the industrial sector some insight into the role of ISO 14001 in their own organizations. Furthermore, the study revealed that the Government could play a stronger institutional role in promoting environmental management in the private sector through requiring plants to adopt ISO 14001 certification. Despite its limitations, this study offers a benchmark for future research on the role and effects of ISO 14001 in Vietnam as this study is the first of its kind to undertake such an evaluation. It showed that research on this subject in a relatively young industrial state like Vietnam needs to be tailored differently in comparison to research undertaken in industrialized countries in which verified data on environmental performance and the effects thereof are more available and accessible. Future studies could explore ways to improve survey response rates to achieve more statistically significant results in the Vietnamese industrial sector as well as investigate the potential effects of ISO 14001 in other sectors in Vietnam.

6. Conclusion Acknowledgments This research used self-assessment evaluations and physical output indicators to evaluate the impacts of ISO 14001 certification and the documented differences between certified plants and those without an ISO 14001 EMS. While a sample of 15 plants was too limited to provide a sector wide study, the number of certified plants surveyed (eight plants from 13 in total) represented 61% of the certified sector, giving a relatively good response rate for the certified part of the cement sector in Vietnam. A low response rate is not unusual for environmental surveys of private companies, as often only 5e10% respond to questionnaires (Alreck and Settle, 1995). In general, the results point to empirical evidence for the positive influence of ISO 14001 certification in the Vietnamese cement industry. It has been demonstrated that ISO 14001 certification benefits the industry’s overall environmental performance. The analysis of both qualitative and quantitative data in primarily international and export orientated companies confirmed that ISO compliance in Vietnam led to an improved legal compliance profile, enhanced communication and dialog regarding environmental issues, and improved employee awareness. These findings supported earlier studies on ISO compliance in Asia and more specifically, in Southeast Asia. While these earlier studies also assessed the effects of ISO compliance on the consumption of raw material and energy, data limitations and the outdated production technology used within Vietnam’s cement industry rendered an analysis of such variables infeasible in this study. Another objective of this study was to analyze differences between certified and non-certified plants regarding their management and operational performance. The management analysis revealed that certified plants implemented better environmental practices than the non-certified plants because they had a more proactive attitude. The operational performance analysis found

The authors would like to thank the Small and Medium Enterprises Development Support Center No1 for its support during the research survey. Annex A. Environmental performance indicators

Concept

Category

Indicators

Environmental Performance

Management performance

Presence of environmental policy Number of re-evaluated environmental issues/year Percentage of the time managers spend attending to environmental issues Level of management involvement in EMS design Level of employee involvement in EMS design Level of management involvement in EMS review Level of employee involvement in EMS review Channels by which employees receive environmental information Environmental training program characteristics Level of operational control (suppliers) Frequency of EMS reviews/year Level of regulation compliance Dust concentration SO2 concentration NO2 concentration Noise level

Operational performance

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