The End-of-life Vehicle Ordinance in the German automotive industry – corporate sense making illustrated

Journal of Cleaner Production 56 (2013) 29e38

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The End-of-life Vehicle Ordinance in the German automotive industry e corporate sense making illustrated Tillmann Blume*, Michael Walther University of Kassel, Nora-Platiel-Str. 5, D-34109 Kassel, Germany

a r t i c l e i n f o

a b s t r a c t

Article history: Received 15 August 2011 Received in revised form 27 April 2012 Accepted 11 May 2012 Available online 23 May 2012

The paper examines how corporate actors from the German automotive industry perceive and handle the End-of-life Vehicle Ordinance of 2002, which aims at material flow reductions through changes in product design. We analyse the entrepreneurial patterns of perception and how they are influenced and shaped by internal and external structures. Our study is based on a mix of qualitative empirical research methods, mainly interviews linked with a Delphi study. It becomes evident, that the End-of-life Vehicle Ordinance generates only minimal innovation effects. The OEMs as the central actors targeted by the legal norm handle it very defensively. This is on the one hand due to a general perception of legislation as an antagonistic and ill-informed intrusion into corporate policy. On the other hand, post-shredder technology currently provides a feasible end-of-pipe solution for meeting the Ordinance’s recycling quotas. It is embraced since it causes no friction with established routines and perceptions. A pro-active handling of the innovation incentives offered by the End-of-life Vehicle Ordinance would require a shift towards a relational or modular form of coordination within the automotive supply chain. Even though various development dynamics are pointing in this direction, there are also significant efforts by the OEMs to preserve their current position of power. The existing impulses for change are for the most part superimposed by structural rigidities and the established patterns of perception fostered by them. The planned tightening of the recycling quotas in the End-of-life Vehicle Ordinance in 2015 is currently the main prospective driving force for material flow innovations in the automotive industry. Ó 2012 Elsevier Ltd. All rights reserved.

Keywords: Automotive industry End-of-life Vehicle Ordinance Corporate patterns of perception Qualitative empirical research

1. Introduction There are three fundamental strategies of ecological sustainable development: eco-efficiency, eco-consistency and sufficiency. Most of the currently undertaken measures are efficiency strategies, promising winewin results, positive ecological as well as economic. The main problem arising from these strategies is that increases in efficiency are regularly accompanied by rebound effects, often exceeding the primary material and energy reduction (Polimeni et al., 2008). That is why the aim of ecological sustainability calls for a transition to consistency, in order to develop industrial production and consumption systems which are innocuously embedded into functioning and viable natural systems. This, too, is mainly dealt with via technical means, but must also be supported by sufficiency strategies on the consumer side. These can provide

* Corresponding author. Tel.: þ49 5618042429. E-mail addresses: [email protected] wirtschaft.uni-kassel.de (M. Walther).

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Blume),

0959-6526/$ e see front matter Ó 2012 Elsevier Ltd. All rights reserved. doi:10.1016/j.jclepro.2012.05.020

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an important contribution by reducing the total material and energy consumption especially in industrialised nations. In order to reach consistency aims it is necessary to both reduce the sheer material throughput by means of technical (efficiency) as well as social (sufficiency) innovations and to further close circular material flows. In this respect re-use and recycling play a central role. The options for these are mostly defined at the early stages of product design. At this time, decisions regarding material and energy usage, modularisation, longevity etc. are made. Design innovations are influenced by customers’ demands, market conditions (such as access to resources and prices/quality of resources), relations in the supply chain and last but not least politics and law. Since the supply chains are simultaneously getting more and more fragmented and globalised, the complexity of decision-making increases considerably. In this regard, the End-of-life Vehicle (ELV) Ordinance can be considered as a political instrument for consistency. The Ordinance aims at a sustainability-oriented development of the value chain with reduced and less hazardous material flows and offers incentives for a modified product design. In this paper, we examine how the German automotive industry handles this legal norm. We

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analyse the entrepreneurial patterns of perception and how they influence decision-making processes with regard to material flow innovations. By tracing the subsequent decision-making processes in affected companies throughout the supply chain, insight into existing patterns of perception and underlying basic assumptions and their influence on the way environmental regulations like the ELV Ordinance are being handled is gained. The qualitative empirical approach employed also allows an analysis of the structures that shape these patterns of perception. External changes are a good starting point for such an analysis in highly complex and dynamic systems. Formal structures, like the ELV Ordinance, as well as technical options influence entrepreneurial decisions, but do not determine them. Even the respective current market conditions are not exogenously given. They can, on the contrary, be influenced by the business policy of the individual companies, with the degree of influence depending on the distribution of power within the industry. How companies or, more precisely, their decision-makers, perceive these options e always subjectively as well as influenced by structures e depends on a multitude of internal and external factors. In order to answer the question how stakeholder influences and supporting framework conditions can promote the closing of material flow cycles, these perceptions have to be analysed in greater depth. Innovations in product design aiming at an easier re-use of parts and better possibilities for material recycling can be considered a strategic preparation for changing framework conditions, such as rising raw material prices or tightened legal requirements (e.g. recycling quotas). Innovations can also be seen as a sales argument in greening markets, but might also be more unconsciously carried out than systematically planned. Decisions are always partly based on the perception of interconnected aspects, such as environmental problems and their effects, stakeholder demands and activities as well as the perceptions attributed to them, the nature of companies and the self-perception as a company, own scopes of action etc. The main research questions are therefore: (1) How do corporate actors perceive the ELV Ordinance? How do they construct what meaning? (2) Which internal and external structures shape and consolidate these patterns of perception? Which structures are dominant in this respect and strongly influence the handling of this legal norm? The article is structured as follows. Chapter 2 gives a brief overview on the ELV-Ordinance. In chapter 3, the current literature on the formal and informal structuring of the automotive supply chain is surveyed in order to map the field that is confronted with the ELV-Ordinance and to create a frame of reference for answering the second research question. Chapter 4 introduces our theoretical background for analysing the influence of decision-makers’ perceptions and established structures of meaning on the handling of new sustainability-oriented impulses, like the ELV Ordinance. In chapter 5, the methodology mix used in our empirical survey is described in a joint approach to answer our research questions. The central findings are then presented in a synthesis of both questions in chapter 6. The discussion in chapter 7 considers possible additional dynamics as well as consequences regarding the successful implementation of environmental legislation. 2. The End-of-life Vehicle Ordinance In Germany, first attempts to conserve natural resources and generate waste-minimising products were put into effect by the

1996 Act for Promoting Closed Substance Cycle Waste Management and Ensuring Environmentally Compatible Waste Disposal. Whereas in the 1970s waste management efforts focussed predominantly on waste collection and disposal, this Act changed the strategic orientation. Following the idea of a circular flow economy the priority order was shifted towards prevention, recycling, disposal (x 2). The core element of the legislation is the waste management product responsibility fixed in x 22e25. It aims at making the fulfilment of waste management criteria a duty of the producers, by supporting waste prevention and recycling through an according product design. This was e.g. specified for product wrappings in the 1998 Packaging Ordinance (Packaging Ordinance, 2009). For the automotive industry, the legislation poses two central requirements. On the one hand waste prevention during production and use and on the other hand a design-for-recycling that considers options for re-use and recycling already in the product design. The central instrument for the implementation of product responsibility is the take-back obligation of producers for their endof-life products (Wendeburg, 2007; Feser and Flieger, 2003). The German End-of-life Vehicle Ordinance that came into effect in 2002 specifies an extended product responsibility of the producers (Original Equipment Manufacturers, OEMs), as already fundamentally outlined in the Act for Promoting Closed Substance Cycle Waste Management. It puts the EU End-of-Life Vehicle Directive of 2000 into national legislation. Since July 2007, OEMs are obliged to guarantee a cost-free take-back of all end-of-life vehicles of their brand (individual product responsibility) for the final registered keeper. In co-operation with dismantling companies, a nationwide net of take-back-sites was established. The End-of-life Vehicle Ordinance sets recycling quotas for the returned ELVs. Since June 2006, the legal requirement is to re-use and recover at least 85% of the average vehicle weight. Re-use and material recycling (excluding energy recovery) must account for at least 80% of the average vehicle weight, thus placing strict limits for thermal utilisation. Until 2015 the quotas will be raised to 95% re-use and recovery (85% of which must be re-use or material recovery) of average vehicle weight (End-of-Life Vehicle Ordinance, 2002). The re-use and material recycling target is backed by the requirement to provide authorised treatment facilities with dismantling information on every automotive component. In Germany, as in most of Europe, this requirement is met through use of the International Dismantling Information System (IDIS). The Ordinance also defines a number of prohibited substances (lead, mercury, cadmium, hexavalent chrome) and makes a (nonbinding) request to increase the share of recycled materials in vehicle production. The individual take-back obligation of the End-of-life Vehicle Ordinance aims at increasing the significance of disposal for the manufacturers by forcing them to take back their end-of-life products and making them financially responsible for their treatment. The aim is to generate incentives for the manufacturers to orientate their product design towards a design-for-recycling. The Ordinance explicitly states that “extensive consideration is to be given to the dismantling, reuse, recovery and, in particular, the recycling of end-of-life vehicles and their materials and components when designing and producing new vehicles” (End-of-Life Vehicle Ordinance, 2002). The legislator’s underlying assumption is that manufacturers can save disposal costs by developing innovative, long-lived and re-usable products, thus making these ecodesigned products more competitive. This economic incentive for a design-for-recycling through an internalisation of the respective costs (Fricke, 2007; Wendeburg, 2007) is increased by the publication requirements regarding the development of re-use and recycling.

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However, the intended innovative push of the ELV Ordinance is only effective if two conditions are fulfilled. On the one hand, a significant number of ELVs must have no or a negative market value. If ELVs, through the existence of markets for a secondary service life or through the value of contained secondary raw materials, have a positive market value, the economic incentive to reduce disposal costs ceases to exist. On the other hand, a push of design innovations requires OEMs to actually follow a strategy of handling disposal and recycling issues through a design-forrecycling. If the focus of waste disposal is not on dismantling but on alternative ways of treatment, then the intended effects on product design may not be viable. The following analysis of the structures of the automotive industry and its supply chain show that, in fact, neither of the two pre-conditions for the effectiveness of the innovative push is currently fulfilled. Additionally, intervention theory points to the perceptions of affected actors as an important factor. Interventions should be designed so that they make sense (to actors) in the targeted social systems. The less interventions are perceived as external interferences and the more actors perceive their decisions to be internal, the more successful interventions will be (Argyris, 1970). 3. Structures of the automotive industry and supply chain The automotive industry is dominated by large firms situated in the industrialised nations. These so-called lead firms possess a strong position of power with regard to both ends of the value chain. Both (up-stream) suppliers and (down-stream) disposal companies are strongly dependent on OEM corporate policies and their specifications regarding supply contracts and disposal strategies. The value chain in the capital- and technology-intensive automotive industry is therefore a typical example of a producer driven value chain (Gereffi, 1994). The OEMs often consciously and systematically take advantage of their position of power, especially over suppliers (Aßländer and Roloff, 2009). More modern concepts of value chain classification distinguish new forms of coordination between completely hierarchical structures and a control solely by markets, namely (1) modular, (2) relational and (3) bound coordination. Which of these forms of coordination takes hold depends on the complexity of the transactions, the options for coding information and knowledge and the existing competence level of suppliers (Gereffi et al., 2005; Stamm, 2004). Given an on-going position of power of the OEMs, the End-of-life Vehicle Ordinance is designed expediently by targeting the OEMs as the dominant actors in the value chain, creating a direct responsibility through the company-specific take-back obligation. Taking the outlined forms of coordination in value chains and their determinants into consideration, it becomes evident that a shift in the coordination structure of the automotive industry could be envisaged due to changes in the framework conditions, at least for the supply side. The increasing variety of models and the shortening of product development cycles (Orsato and Wells, 2007) simultaneously lead to an increased share of suppliers in product development and production as well as a declining number of direct suppliers (Jürgens, 2003). This could be interpreted as a shift away from the mostly hierarchical control of bound coordination towards a relational, i.e. network-oriented, supply chain coordination. However, the standardisation of product architectures and production processes is very limited in the automotive industry. This hinders development options for suppliers through e.g. mass production of parts used uniformly by various OEMs. If the ELV Ordinance achieves its aim to make a design-for-recycling an integral part of product design, this could reinforce the impulses for a shift of competences from OEMs to suppliers. The complexity of

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a design-for-recycling would then push the development of a relational supply chain coordination. How decision-makers in the automotive value chain handle the existing impulses for change and the potential development of a stronger network-orientation is closely linked to the perception patterns of the relevant actors and will be one question our empirical research attempts to answer. The domestic life cycle of a car does mostly not end with a professional intrastate disposal. Instead, an increasing e mostly legal e export of used cars and an according transition into new value chains takes place. The ELV Ordinance facilitates the return of end-of-life vehicles. However, even such vehicles can currently be sold to used-car dealers. Since the final registered keeper decides whether his car is an end-of-life or a used vehicle, only very few deregistered cars are handed in at the return points. According to the German Federal Environment Agency (2010), out of 3 million cars de-registered in Germany in 2008, only 0.4 million were handed in for domestic treatment. Exports to mostly Eastern European countries amounted to 1.5 million and the vast majority of the rest is usually assumed to be exported to developing and threshold countries outside the EU, especially Africa (e.g. Fuchs, 2005). The sometimes shady business structures in the field of used car exports prevent the collection of more precise data. The driving force for the creation of new international product utilisation chains is the existence of sales markets for inexpensive motorcars in lower-income EU member states (especially in Eastern Europe) and developing and threshold countries outside the EU. The end-of-life vehicles that are exported from Germany have the character of used cars in the target countries. This is in accordance with findings for the rest of Europe. The 2005e2008 Commission report on the implementation of the ELV Directive (Commission of the European Communities, 2009) notes that in only five Member States a significant number of ELVs with no or negative market value were handed in for disposal. In all other Member States, the amount of these cars was negligible. Overhauling the used cars in the countries of destination is feasible because of the low labour and repair costs and leads to an extended service life. However, the final disposal of the end-of-life vehicles in the target countries is problematic in this context. After the service life, re-usable parts are disassembled, while the rest of the vehicle ends up in legal or illegal waste dumps, creating environmental and health hazards and detracting considerable amounts of secondary raw materials from the recycling industry (Fuchs, 2005). For example Poland remarked that the burden of ELV treatment is passed on to those countries that import used cars for a secondary use phase, because this is where the cars finish their useful lives (Commission of the European Communities, 2009). The approach of confronting German OEMs with their products, thereby incentivising design innovations, is impeded by the limited quantity of ELVs handed in for domestic treatment. Positive market values of ELVs annul the push for a design-for-recycling intended by the Ordinance. Huisman et al. (2006) observed the same problem for other environmental legislation in their study on the WEEE Directive. The fact that ELVs are, for the most part, a valuable resource strengthens the position of OEMs vis-à-vis disposal companies. E.g. Belgium reported an intense competition among disposal companies for access to ELV streams (Commission of the European Communities, 2009). Lastly, technological reasons also negatively incentivise a design for recycling. The recent development of so-called post shredder processes allows the recovery of raw materials through treatment and sorting. As a result, OEMs place less emphasis in their product design on an easy disassembly to facilitate the re-use of individual parts and components. Instead of a design-for-recycling, the focus

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is increasingly restricted to a quick-and-easy pollutant elimination and a subsequent shredder treatment. Another technological development hinders the re-use of parts in the first utilisation chain in Germany. Increasingly complex automotive electronics are used for controlling engines, breaks, gears and other functions. These electronic parts increase in numbers and are, because of their value, of high economic importance for the OEMs. As a result, the electronic components often get coded by the OEMs. If the repair services cannot carry out the necessary electronic re-coding, electronic assemblies are not processable for re-use as a second hand exchange part in another vehicle. The same applies for many mechanical parts and components. Here, repair services simply lack information on the interchangeability in different vehicle types, which only the OEMs could provide, as stated by corporate actors from dismantling companies at an expert workshop. As a consequence, it is becoming more and more difficult for repair services to provide spare parts, even though sales markets exist. 4. Theoretical framework Giddens’ theory of structuration (Giddens, 1984) is used as the analytical framework in this study. The theory differentiates between the structural dimensions of (rules of) legitimation, (rules of) signification and allocative and authoritative resources, which are inseparable parts of every structure. Here, we focus on the structural dimension of signification (the underlying meaning) and its influence on actors’ perceptions. These structures are highly diverse and ambiguous and therefore do not lead to a solely economically rational approach to new conditions and demands. Also, the connections to formal rules of legitimation and to power derived from control over resources have to be taken into consideration. These too are always influenced by culture and play another important part in the formation and change of shared meaning via the actor/action level. The latter already points to the duality of structure: structures and individual actions are described as recursively connected, with the actors not being consciously aware of the structures and not being able to fully plan all the consequences of actions. This already applies to single systems and is the source for dynamics. It gains even more importance, however, since firms as well as their members operate in a highly complex field of overlapping and hierarchically connected social systems, each with its own structures. Therefore, actions related to one system may be unconsciously based on or have an impact on another system’s culture. Relevant structures can be external to the companies (societal, business, market structures) as well as internal (e.g. corporate culture) or transverse (e.g. professional cultures). Thus, it is important to determine the history and the main influences of perceptions and to search for robust patterns. Social systems are dynamic (autonomy of action) and historical (structural dependence). Thus, they evolve on continuous paths. Selfenergising correlations of structures and actions on the one hand provide orientation for actors but on the other hand limit perceived and actually possible courses of action (path dependencies). However, path limitations themselves are again dynamic. New fields of action come up on a regular basis, due to the discontinuation or overcoming of structural limitations (Schreyögg et al., 2003). On the level of (inter)actions, individual aspects have to be analysed as well. Perceptions and the subsequent decisions are always subjective and e at best e intentionally rational. The human capability to consciously reflect on their own (and others’) perception, decisions, actions and effects leads to rationalisation, ex ante as well as, even more often, ex post. Sensemaking usually is

a retrospective process (Weick, 1995). As these reflections are again influenced by unconscious factors, they remain subjective. Insight into the subjective rationality of decisions has been a research topic for a long time, for example in the concept of “bounded rationality” (Simon, 1957). With the focus on the structural dimension of signification we highlight specific underlying structural influences on strategy. In line with Jessop’s and Hay’s strategic-relational-approach, structures can be analysed with regard to the strategies they lead to. Likewise, actions can be analysed as strategic, aimed at desired structures (Jessop, 2005). Individual and collective actors can, to a certain extent, be regarded as (self-)reflexive. As such, they are able to analyse the strategic context (structurally favoured goals, actions, strategies etc. as well as privileged actors) and convert this into “objective” strategies. However, unconscious influences remain, as structures of signification and sensemaking are categorically largely irreductible. At the same time, they are inseparably connected to more objective formal regulations and resources. The often unconscious nature of perception/sensemaking is so important, because of the many social systems people operate in. They are influenced by different, often contradictory, structures, without being able to distinguish between them and to consciously switch roles and social systems. Subjective attitudes of the actors evolve interrelated to structures. Furthermore, individual actions possess the potential to change structures not only of the systems they refer to, but also of other connected systems. Companies (in contrast to other social systems) have to be analysed as systems which are strongly influenced by exogenous changes. These can be expectations (structures) of superordinate or interrelated systems (DiMaggio and Powell, 1991) which become manifest in legal norms or changed behaviour of stakeholders, but can also be technological developments or new members with different attitudes. But again, how changes in the environment are perceived depends on individual attitudes and the company’s structures (Ortmann, 1995). Against this backdrop, corporate decisions and activities must be understood as not only conscious and rational answers to changes and new challenges. How corporate decision-makers deal with changes in their environment (e.g. formal regulations, changed power structures) is filtered through their individual and at the same time structurally shaped perception. Fig. 1 shows how industry structures are always perceived through the lens of individual and corporate patterns of perception. This lens strongly influences the resulting individual and corporate actions. The ELV Ordinance on the one hand directly influences the industry

Fig. 1. Interdependencies of structures, perceptions and actions.

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structures. On the other hand, the actions induced by it are again influenced by existing patterns of perception. Since actions and structures are recursively connected, the actual individual and corporate actions in turn alter the industry structures. The crucial role of individual and corporate patterns of perception calls for a further analysis of this lens. 5. Methodology Patterns of perception can best be surveyed empirically using qualitative research methods. In a field as complex as this, factoring in a multitude of different social systems and actors, the potential of theoretically generated hypotheses which can be (quantitatively) empirically tested is rather low. For data collection, we applied a mix of qualitative approaches. At the centre of our research were narrative interviews with 15 decision-makers of OEMs (8), first-tier suppliers (6) and one company specialising in engineering consulting. Out of the 15 interviewees, 11 were from environmental departments, 3 were in product development and one from sales. This survey was supplemented by telephone interviews and an expert workshop with additional corporate actors, especially from waste management/recycling companies, and academics. The main part of the interviews focussed on generating narratives as retrospective interpretation of past actions. It is important, that the interviewees are enabled to report on histories they experienced themselves as involved actors. The stories are told without being influenced by the researcher and his hypotheses. These narratives deliver “thick descriptions” of complex situations and processes and serve as a basis for analysing patterns of perception and their structural influences (Geertz, 1973). A second part of the interviews was more structured. Prior to the interviews, theoretically deduced hypotheses had been generated via a kick-off workshop and the consultation of experts. These included hypotheses on possible strategies and development paths, e.g. that investment in recycling and thermal utilisation markets can impede long-term strategies of waste prevention. We also considered factors like the effects of rising or sinking commodity prices or the influence of power structures and relations in the supply chain. Hypotheses included e.g. that re-use strategies would require cooperation and networks and would also change the internal structures of the involved companies. If not already part of the narratives they were introduced into the interviews as additional issues. These statements are more consciously reflective but still offer further insight into thought patterns. The interviews were recorded, fully transcribed and interpreted using qualitative content analysis (Meyring, 2008). Against the background of our theoretical framework, we substantiated how rules of signification shape the perception of every structure, thus influencing strategies. We studied the actors’ sensemaking of formal and power structures as well as underlying cultural foundations (societal, corporate, professional,.). The analysis focussed on references to the different structural dimensions in distinct social systems (own company, other up- or downstream levels, the whole industry, politics,.) drawn from retrospective and current justifications of actions/strategies, both conscious and unconscious. In a second step, the interviews in connection with the earlier findings, especially from the expert workshop, were used to generate a set of hypotheses on the structure of the automotive industry, the patterns of perception of its decision-makers and the handling of ecological issues, focussing on legal norms and especially the ELV Ordinance. In order to test their validity, these hypotheses were presented to a panel of 18 experts from the scientific community (6 economists, 8 experts from engineering departments and one legal academic) and ministries (all 3 from ministries for the environment) in a two-step Delphi survey

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(Linstone and Turoff, 1975). The aim of the Delphi survey was to e as broadly as possible e generate a consensus of scientific experts on the hypotheses drawn from the first phase of empirical work. In order to generate far-reaching and meaningful findings, the theses for the first Delphi round were phrased deliberately provocative. Based on the agreement and disagreement and especially the numerous and extensive comments of the surveyed experts, the theses were then modified and moderated for the second round with the aim of reaching a consensus. During the final overall evaluation, the results of the Delphi survey were once more compared to the findings of the first empirical phase. They were analysed with a stronger focus on statements concerning patterns of perception of and within the automotive industry. In addition to this, further findings could be generated from the experts’ comments. The findings of this multi-pronged empirical survey are presented in this paper. After eliminating personal attitudes that could not be explained by structural influences (such as company, industry and market structures but also professional cultures), we observed generalisable patterns of perception outlined in the next chapter. The industry actors, speaking for their company as a whole, as well as the experts painted a coherent picture. However, other results we aimed for could not be accomplished. Difficulties in field access, especially with regard to the OEMs, impeded certain insights. Especially the company-internal dynamics between actors from different departments or of different professions with corresponding different (sub)cultures and control of resources could not be sufficiently reconstructed. These questions require further empirical research. In the following, we therefore focus on the perceptions, decisions and actions of the companies. 6. Results We observed robust patterns of different (institutional) actors’ perceptions regarding the automotive supply chain. Regardless of the personal, departmental and professional background of the interviewees, their perceptions of legal norms, market conditions, strategies and options for action are culturally formed and differ between OEMs, suppliers and waste management companies. It is evident by now that the Ordinance only generated minimal innovation effects (see also Seitz, 2007). Especially the OEMs, as the main target group, handle the legal norm very defensively in a manner of minimal-effort compliance. They focus on formal compliance (substance prohibitions, take-back obligation etc.). Solely the substance prohibitions cause limited innovations in product design, in the course of material substitutions. A pro-active handling of a design-for-recycling, as the main idea of the Ordinance cannot be observed. “The ELV Ordinance has changed the framework conditions in the automotive industry in as far as legal regulations have become a permanent influence factor alongside technical regulations. Apart from that, the Ordinance has aimed for much but achieved little. The substance prohibitions work, but an improved recovery of parts due to an easier disassembly was not realized. Solely the pre-treatment was facilitated and improved.” (Source: Interview Supplier, development 1, own translation) The failure of the ELV Ordinance to stimulate innovations in the early design stages can be traced back to three dominant patterns of perception:  Legislation as an antagonist.  Technical can-do mindset.

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 Highly unequal distribution of power within the supply chain as the natural state. First of all, the interviews demonstrated well-established routines of (large) companies for dealing with legal norms (see also Freimann, 2007). The implementation of environmental protection induced by legal norms is predominantly defensive. Where it cannot be impeded or watered down to the point of ineffectiveness by lobbying activities, it is then handled purely with the aim of compliance. “And the purpose of this department was to fulfil the Directive’s requirements. And that meant primarily to watch over what happens in the individual countries: How is the Directive implemented into national legislation there. And of course lobbying activities, in order to prevent this whole thing from completely flooding the banks.” (Source: Interview OEM, Environmental Department 3, own translation) Incentive-oriented instruments, too, often suffer from longlasting learnt perception and action patterns that regard law as an antagonist and sustainability as a cost factor. An innovative, opportunity-oriented handling of legal regulation is thereby impeded. This perception is reinforced by associational activities. Prior to the ELV Ordinance coming into effect in 2002, the automotive associations had negotiated a voluntary self-commitment on the treatment of end-of-life vehicles. This was considered to be wholly sufficient by the associations. The introduction of the legislation was accordingly considered an interference lacking the necessary expert knowledge that imposed an inferior solution. Regardless of whether associations are seen as a voice of company opinion(s) or as an actor with own political influence also on its members, in the case of the perception of law a process of mutual perception confirmation and reinforcement is evident. Second, this is complemented by the improvements in shredding technology. The development of so-called post-shredder treatment allows for a recycling of raw materials through treatment and automated sorting. As a result, the OEMs reduce their product design efforts towards an easier disassembly and re-use of components or homogeneous separation of materials. Instead of a design-for-recycling, the focus is increasingly reduced to a mere design-for-pretreatment, i.e. drainage and elimination of pollutants. “That all used to be focussed on disassembly, disassembly of parts and homogeneous sorting through disassembly of parts. Those were attempts that failed. All manufacturers undertook them, but it became evident that this is not the right way e the right way is to post-shredder.” (Source: Interview OEM, Environmental Department 3, own translation) “For the attainment of the recycling targets, post-shredder techniques are presented as the method of choice in all announcements. The dissertations supported by the OEMs in 2005 also aim in this direction.” (Source: Delphi survey, expert 5, own translation) Despite the fact, that a design-for-recycling that allows an improved reuse of parts and components (either directly or through remanufacturing) is both demanded by the ELV Ordinance and is the most efficient way to reduce negative environmental impacts (Kaebernick and Kara, 2007) automotive OEMs focus on ELV disposal through post-shredder treatment. The labourintensive dismantling processes are viewed as being cost prohibitive. However, very little actual cost-benefit analysis on this subject has been conducted (CELA, 2011) and it seems plausible, that the

costs for recovering and refurbishing reusable parts will decrease significantly through an according product design (Brüning et al., 2010). The fact, that OEMs tend to favour a centralised all-in-one solution for ELV disposal through post-shredder treatment with only minimal prior dismantling therefore seems to be primarily a corporate policy decision. The improvements in post-shredder technology therefore support the rather defensive handling of the ELV Ordinance by the OEMs, as they are (currently) helping to achieve even demanding recycling quotas and thus take pressure off the OEMs. The finding that OEMs seek to pass on the disposal responsibility to other actors along the supply chain is in accordance with Crotty and Smith’s study (2006) on the U.K. automotive sector. However, where Crotty and Smith identify an OEM strategy to push this responsibility up the chain to tier-1 suppliers, directions are reversed in the case of the German automotive industry. We observed a downstream focus, where OEMs expect solutions for ELV Ordinance fulfilment to come from disposal companies, especially through post-shredder treatment. The push for innovations in product design intended by the ELV Ordinance is turned into a push to improve postshredder techniques, e.g. the innovative (though so far not implemented) VW Sicon process. Dismantling companies argue strongly in favour of the ELV Ordinance and embrace its call for an increased re-use of parts and components. In our expert workshop with actors from disposal companies it was stressed, that a large unused potential and unsatisfied market demand for parts re-use exists. It was argued, that an increased dismantling, the publication of data on parts interchangeability between models and variants and the abolition of coding electronic components could significantly push re-use in the automotive sector. The same arguments are voiced by the European Group of Automotive Recycling Associations (EGARA, 2003) concerning the ELV Directive in general. The dismantling companies perceive the non-disclosure of data on parts interchangeability as highly strategic on the part of the OEMs. OEMs could provide this information, but refuse to do so as this would put competitive pressure on the new parts-trade and on the authorised repair shops (Feser and Flieger, 2003). The same motivation could be behind the OEM preference of post-shredder treatment. EGARA states this concern quite strongly, seeing a “willingness of car producers to prefer paying shredders rather than automotive recyclers for ELV-treatment, since this will lead to a dramatic reduction in the supply of good quality used car-parts and e components, which will lead to an increased demand for new parts” (EGARA, 2003). Comprehensive re-use strategies are only pursued by some of the larger suppliers, supporting the fulfilment of their spare parts supply obligation towards the OEMs. Our empirical findings suggest that suppliers are generally more open for the ideas of the ELV Ordinance. There is a readiness for product innovations in line with the Ordinance’s guidelines. However, the limited interest of OEMs and the strong supplier dependence on OEM specifications prevent most proactive supplier solos. As Crotty and Smith (2006) showed for a UK supplier who developed an innovative lead-free technique in order to fulfil the ELV Directive’s substance prohibitions, the supplier could not market this more costly new method, due to an unwillingness of OEMs to pay the higher price. The technological possibilities of an end-of-life post-shredder treatment therefore reinforce the OEMs established perception patterns of technical feasibility thinking, especially prominent in engineerdominated industries. “That is our engineer spirit that we apparently carry in us.” (Source: Interview OEM, Environmental Department 2, own translation)

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In connection with the perception of law, for the OEMs this implies that legal obligations can either be directly dealt with through technical measures or must be adapted so that technological solutions become feasible. This becomes evident in the discussion on the increased recycling quotas prescribed by the Endof-life Vehicle Ordinance from 2015 on. Current post-shredder technologies would have difficulties to achieve these future quotas. The OEMs therefore focus on lobbying activities to bring the political demands in accordance with what post-shredder treatment can provide. This is not done in order to avoid a less favourable alternative, but much more because they see no other (technical) alternative at all. The paradigm for their waste management is post-shredder. “This, too, will be a focus in changing the directive: trying to get these quotas out of there or at least to get a different approach.” (Source: Interview OEM, Environmental Department 3, own translation) Third, strong structural influences can be identified, which have shaped and continue to support established patterns of (self-) perception within the automotive industry. The traditional OEM dominance is a key structural element here. Surprisingly, while (routinely) complaining about the dominance of the OEMs, neither upstream nor downstream companies question this structure of the supply chain. The given distribution of power is embedded in meaning. “It is as it is and it ain’t gonna change.” (Source: Interview supplier, Environmental Department 2, own translation) The dominance of the OEMs on the one hand means that they possess the ability to react innovatively to external change, cooperatively involving the entire supply chain. The learnt self-conception, on the other hand, in most cases impedes to even think about this, as it would mean to give away power, which is something you just don’t do. The aim of maintaining the dominant status is as unquestioned as it is often unconscious. The existence of recent impulses for a shift towards a relational or modular form of coordination in the automotive industry was confirmed by our empirical research. The OEMs used to transfer development competences to (especially tier 1-)suppliers from a position of strength and without relinquishing their control of the value chain. However, with the increasing use of electronic parts in vehicle construction an entirely new set of suppliers enters the market. The electronics suppliers have strong market positions in their original core markets, resulting from highly modularised products and standardised interfaces that prevent an OEM dominance. Electronics suppliers therefore have much more clearly defined areas of competence and positions of power. Accordingly, they can meet the automotive OEMs more at eye level than “classical” automotive suppliers. The new actors from the electronics industry will most likely take the hierarchical structures of the automotive value chain much less for granted. The cultural influences of their own industry collide with established automotive structures of signification. This increased importance of electronics (suppliers) generates encompassing and strong new dynamics. “With the development of electric power systems (also hybrid) entirely new market participants come into play, with a different focus on innovation.” (Source: Delphi survey, expert 2, own translation) “The prospective increase of hybrid and electric vehicles will, in a couple of years, raise the chances of suppliers to gain significant market shares.” (Source: Delphi survey, expert 3, own translation) However, these development dynamics and their inherent potential for change are met by efforts of the OEMs to preserve their position of power. The OEMs regularly use existing imbalances of

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Table 1 Delphi hypotheses. Nr.

Round

Hypothesis

1

1

As is known, the automotive industry is marked by a strong OEM dominance. This is not critically reflected at any level of the supply chain but is generally accepted as normal. The automotive industry is traditionally marked by the hardly questioned dominance of the OEMs. However, this dominance is currently being reduced by know-how-based power shifts towards the tier-1 suppliers. The modularisation of automobiles, i.e. their separation into functionally distinct components, is the predominant design pattern in the development of new vehicles, within the limits of composite construction. The current modularisation strategies in the automotive industry follow economic rationales and are e despite ecological effects e not ecologically motivated. The ecological effects of modularisation (improved repair and recycling through easier disassembly) are very limited in their scope and hardly relevant for the ecological balance sheet of a car. Modularisation as a standardisation of interfaces allows for a comprehensive use of identical parts and components that goes beyond individual models. In this, modularisation is focussed on non-brand-specific parts. The interfaces for electrical and electronic modules are increasingly standardised. A comprehensive use of identical components going beyond individual manufacturers will be the rule in the future here. The ELV Ordinance that came into effect in 2002 is handled by the OEMs responsible for its implementation through minimum-effort compliance. When dealing with ecological questions and corresponding legal demands the OEMs focus strongly on technical end-of-pipe solutions. The available technologies are perceived as a given frame of action into which ecological issues have to fit in. With regard to the ELV Ordinance, the OEMs focus on pre-treatment and post-shredder treatment. Product innovations aiming at a re-use of parts and components are not conducted. The corporate policy of the OEMs follows beaten tracks and thus solidifies the existing structures of the automotive value chain. Fundamental innovations (e.g. OEMs as mobility service providers) are not aimed for. The innovation policy of the automotive industry is, not least influenced by the customers’ buying behaviour, strongly bound to the self-perception as a producer of personal vehicles. More fundamental innovations (e.g. OEMs as mobility service providers) are not aimed for. The re-use of suitable ELV parts could be significantly improved by information on possibilities for the comprehensive re-use of parts and modules beyond models and manufacturers. The current legal regulations and their implementation, especially with regard to the IDIS information system, are inadequate with regard to providing this information. For premium components, suppliers have a considerable interest in a return of own parts from used cars and ELVs in order to remanufacture these for use as spare parts, especially for out-of-production vehicle types. Ecological questions regarding the material flows in the production and disposal of automobiles are mostly pushed to the back by the public debate on CO2 emissions during the use phase. Aspects of an environmentally sound management of material flows in the production and disposal of automobiles will become increasingly important for the OEMs in the future, not least because of the rise of the recycling quotas fixed in the ELV Ordinance. Aspects of an environmentally sound management of material flows in the production and disposal of automobiles will become increasingly important for the OEMs in the future, on the one hand due to the rise of the recycling quotas fixed in the ELV Ordinance and on the other hand due to requirements like safeguarding resources and energy efficiency.

2

2

1/2

3

1/2

4

1/2

5

1/2

6

1/2

7

1

2

8

1

2

9

1/2

10

1/2

11

1/2

12

1

2

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power in order to secure the gains resulting from current dynamics for themselves, e.g. through forcing a free know-how transfer by the suppliers via the layout of supply contracts (Meinig and Mallad, 2009). The OEMs attempt to reduce the competence drain to firsttier suppliers through the reintegration of formerly outsourced development and production functions. Especially OEMs with a competitive strategy that is targeted on differentiation strive to reintegrate central competences (Proff, 2008). On the technical side, e.g. a standardisation of product architectures is deliberately avoided, that would open up development options like a mass production of then universally usable parts for suppliers. Interfaces are kept individualised by the OEMs on purpose, in order to preserve their power basis against the suppliers. The more successful these counter-measures of the OEMs are, the less the existing development dynamics will lead to competence and power gains for the suppliers. So far, the automotive industry remains a classical bound value chain. “Those who want to enter this sector have to behave accordingly.” (Source: Interview supplier, Environmental Department 2, own translation) An innovative and pro-active handling of the ELV Ordinance would require changes in the supply chain governance, especially an increased cooperation with up- and downstream levels. This, in turn, is impeded by the perceived normality and immutability of the status quo. The recent incentives for a shift towards a relational or modular form of coordination, fostered by changes in the market structures that suggest advantages of networking, have achieved little effect so far. The stabilising character of structures of meaning, the grown and learnt culture, becomes obvious in the striking deviance of the perceptions of industry-internal actors and industry observers from the scientific community. Regarding the current dynamics and the resulting potential for a change in the value chain structure, industry observers predominantly see the potential for change and new forms of cooperation. This is evident in the response of the participants in the Delphi survey, where a majority of the experts see power shifts away from the OEMs and towards tier-1 suppliers (see Table 1, Hypothesis 1, Round 2 above). The practitioners, on the other hand, perceive the value chain structure as much more static. The suppliers interviewed as part of the empirical survey perceive an unbroken OEM dominance that strongly pre-determines their own scope of action. This deeply rooted pattern of perception underlines, that signification is the most stable and slowly changeable structural dimension. Still, power and formal structures are already changing. A longterm cultural influence of the new actors with their different “cultural background” can be envisaged here. On the other hand, the assimilation of these actors is also a possible scenario, especially if the attempts of the OEMs (based on their self-image) to control these dynamics are successful. 7. Discussion and conclusion Against the background of the discussed industry structures, the innovation effects of the ELV Ordinance appear very limited. Although it obligates the right actors, those with enough power for substantial new material flow strategies, strong market and technological structures thwart its effectiveness. High export rates and the in consequence very limited volume of ELVs handed in for disposal limit the relevance of the legal norm for the OEMs. Additionally, post-shredder-technology, in connection with still existing options to landfill shredder residue, offers a ready technical solution for the disposal question that does not require changes in the strategic orientation regarding product design. Currently, it is mainly the sideline of substance prohibitions that is successful. However, the upcoming tightening of the recycling

quotas in 2015 cannot be as easily solved through technological means, because of unsolved problems regarding the disposal of the light fraction of shredder residue. The quota increases can therefore have an impact on product design (Duval and MacLean, 2007; Giannouli et al., 2007). Regarding the dominant patterns of perception, it becomes evident how much the aforementioned industry structures fostered corresponding structures of meaning. Once established, the latter can only change slowly and, in this case, impede the effectiveness of the ELV-Ordinance. Law is being perceived as an antagonist to enterprises. The decision of the legislator to take action and not rely on voluntary commitments confirms this perception by the actors in the automotive value. The current legal regulations are being handled within established patterns of thinking and action and accordingly cause little reflection and innovation. The result is a defensive handling of the ELV Ordinance. Technology as the remedy for all problems is another learnt and unquestioned “truth”. Technological options define perceived options for action. While these patterns of perception lead to a view of the ordinance as nonsensical, the perception of a “natural” distribution of power within the value chain impedes an opportunity-oriented approach, because basic requirements are unthinkable (cooperation, network orientation). The 2015 quota increases in the ELV Ordinance will cause significant cost increases or even require fundamentally new processes of ELV disposal. In this case, a greater focus on product design is to be expected. The planned tightening of quotas could therefore force the companies of the industry, especially the OEMs, to adapt their actions. While this validates the perception of law, it could in this course lead to long-term changes in perception regarding technical feasibility. “Currently we have 80 and 85% quota requirements in the Directive and these will be raised further by 2015. This will be very difficult to meet or impossible to meet at all.” (Source: Interview OEM, Environmental Department 3, own translation) The quota increases confront the industry’s technical can-do mindset. It remains to be seen, whether this will bring the OEMs (and the suppliers involved in development) to a more pro-active handling of the topic. Otherwise, established patterns of perception and action may lead to stronger lobbying as a strategy, possibly the only perceived option, to prevent the quota tightening. Apart from this tightening of regulation, potentials for future material flow innovations lie at the markets. In theory, possible changes in demand are an important factor. Consumers and the critical public possess influencing power over companies, especially those companies operating in highly competitive markets and dependent on brand image (like the automotive industry’s OEMs), as well as politics. However, it is doubtful whether public opinion would target the automotive industry, which is perceived as the German key industry by large parts of the public and therefore additional legal requirements are difficult to enforce. It also remains questionable whether and to what extent market changes can be expected, because of the culturally deeply rooted equating of mobility with car possession. In any case, the ecological aspects of material flows are currently pushed to the back by the public debate on CO2 emissions. It is unlikely that this will change in the foreseeable future. The OEMs, too, perceive this as the central environmental topic. Accordingly, future innovations and market launches can be expected in this field. In the discussion on CO2 emissions/climate change, the OEMs again do significantly less than their scope of action would allow and strongly argue against stricter legal regulations (CO2 limits, speed limits etc.).

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“The state is neglectful. The OEMs are doing good lobbying.” (Source: Interview supplier, development 1, own translation). In addition, CO2 reduction via lightweight construction means a significant conflict of goals with recyclability. The easily recyclable steel fraction is reduced and the share of synthetic materials is raised, again, making the 2015 quota fulfilment more difficult. Rising raw material prices increasingly generate economic incentives to further close material flows. Innovative developments take place in this regard, aside from the public debate. These material flow optimisations (reduction of inputs and global recovery via urban mining) are less ecologically and more directly economically motivated, especially in the light of a rising importance of securing raw materials. This will supposedly not lead to increased design innovations and a stronger re-use of parts, but to greater efforts concerning material recycling and possibly an accompanying limitation of ELV exports. As yet, the OEMs take little action to stem the loss of considerable secondary raw material sources through exports (Fuchs, 2005). “And the automotive industry would normally have to take care, that a catch basin is created and that they return their ELVs into the different construction cycles. This can only be a concerted effort, the effort not to export used cars to Africa. Today, this is still a very “convenient” way, but that cannot be it. We do have to solve this here in Germany and create appropriate avenues.” (Source: Interview supplier, development 4, own translation). Since ELV disposal in the countries of destination at the end of the utilisation phase is ecologically problematic, a reduction of ELV exports would also be beneficial from this perspective. As a legislative measure, a perpetual depositerefund system, following the example of Norway and Denmark, could provide an encompassing and permanent solution for the export problem (Blume and Gattermann, 2009; Smink, 2007). The recovery of spare parts from ELVs could become more important in the future as well (Seitz, 2007). New mobility concepts, such as Daimler’s Car2Go (at the moment tested in Ulm, Hamburg, Austin and Vancouver) with its flexibly bookable vehicle fleet, cause vehicles to turn into ELVs much more quickly, because of the significantly more intense use. The re-use of individual longlived components from these “young ELVs” could then be technically feasible and economically worthwhile. For the theoretical scope of even more far-reaching mobility concepts (result-oriented services) see Williams (2007). The long-term strategic dealing with new mobility concepts, which can (more or less) be connected to societal sufficiency, shows the acute antennas and strategic capabilities OEMs possess. Even if the market signals are weak or contradictory, as such, they are economically relevant. Realising economic potentials in production as well as the fulfilment of customer demands are core tasks for them and accordingly charged with dominating signification. However, currently no considerable incentives for material flow innovations can be expected from these changes. Therefore, the planned tightening of the recycling quota in 2015 remains the main driving force for material flow innovations in the automotive industry. It will be up to the legislator, not to drop or water down the 2015 quota increases. The established perception patterns of the industry may only be challenged if the limits of technical feasibility, focussed on post-shredder strategies, are reached. The quota increases therefore are an integral part of the Ordinance’s functioning. Currently, only the substance prohibitions in the Ordinance work well, whereas the incentive-oriented approach to promote a design-for-recycling overall fails. Is classical administrative law superior to the modern incentive approach then, especially as

37

companies seem to regard legislation as antagonistic anyway? Our empirical findings indeed suggest that administrative law, despite its direct intervention, is not more unpopular among corporate actors than other legal measures. Occasionally, it is even called for in order to provide a clear orientation and a level playing field. “Clear guidelines are missing, that would provide secure and binding framework conditions for the development departments.” (Source: Interview supplier, development 1, own translation). With regard to general conclusions on an effective policy that supports the greening of industry, the example of the ELV Ordinance shows, that legislation has to take both the structural framework conditions and the perception patterns of the targeted actors into account. Acknowledgement The empirical research presented in this paper was conducted as part of the research project “Environmental Perspectives of Modularisation” (EPerMod) at the University of Kassel, funded by the Volkswagen trust (www.volkswagenstiftung.de). References Act for Promoting Closed Substance Cycle Waste Management and Ensuring Environmentally Compatible Waste Disposal, 1996. Federal Ministry for the Environment. Available online (German version only): http://www.gesetze-iminternet.de/bundesrecht/krw-_abfg/gesamt.pdf. Argyris, C., 1970. Intervention Theory and Method: a Behavioral Science View. AddisoneWesley, Reading. Aßländer, M., Roloff, J., 2009. Die Krise in der Krise e Der Überlebenskampf europäischer Automobilzulieferer. Forum Wirtschaftsethik 17 (4), 6e19. Blume, T., Gattermann, J., 2009. Pfandsysteme zur Sicherung der Ziele der Altfahrzeugverordnung. Umwelt- und Planungsrecht (UPR) 29 (2), 53e56. Brüning, R., Rosemann, B., Enderle, B., Schmidt, K., Spengler, T.S., Plumeyer, M., 2010. The VDI 2343 Guideline Gives Recommendations for the Concerned Parties e Part ReUse. ISWA World Congress 2010, Hamburg. Canadian Environmental Law Association (CELA), 2011. Improving the Management of End-of-Life Vehicles in Canada. CELA Publication 784. Commission of the European Communities, 2009. Report on the Implementation of Directive 2000/53/EC on End-of-Life Vehicles for the Period 2005e2008. Available online: http://eur-lex.europa.eu/LexUriServ/ LexUriServ.do?uri¼CELEX:52009DC0635:EN:NOT. Crotty, J., Smith, M., 2006. Strategic responses to environmental regulation in the U.K. automotive sector e the European Union end-of-life vehicle directive and the Porter hypothesis. Journal of Industrial Ecology 10 (4), 95e111. DiMaggio, P., Powell, W., 1991. Introduction. In: Powell, W., DiMaggio, P. (Eds.), The New Institutionalism in Organizational Analysis. Chicago Univ. Press, Chicago/ London, pp. 1e38. Duval, D., MacLean, H.L., 2007. The role of product information in automotive plastics recycling: a financial and life cycle assessment. Journal of Cleaner Production 15, 1158e1168. European Group of Automotive Recycling Associations (EGARA), 2003. Position Paper on Compliance with the ELV Directive (2000/53/EC). Available online: http://egaranet.org/doc_store/positions/egaraposviolation031114.doc. End-of-Life Vehicle Directive, 2000. European Parliament and the Council of the European Union. Available online: http://eur-lex.europa.eu/LexUriServ/ LexUriServ.do?uri¼OJ:L:2000:269:0034:0042:EN:PDF. End-of-Life Vehicle Ordinance, 2002. Federal Official Gazette Year 2002 Part I No. 41. Bonn. Available online: http://www.bmu.de/files/pdfs/allgemein/ application/pdf/vehicles_vo.pdf. Federal Environment Agency, 2010. Disposition of Cars De-registered in Germany in 2008. Available online: http://www.umweltbundesamt-daten-zur-umwelt.de/ umweltdaten/public/document/downloadImage.do?ident¼18761. Feser, H.-D., Flieger, W., 2003. Internationaler Vergleich von Innovationssystemen in der Fahrzeugbauteileentwicklung und -wiederverwendung. Endbericht des Forschungsprojektes. Freimann, J., 2007. The same procedure as every year? Zum Umgang von Unternehmen mit umweltpolitischen Anforderungen. In: Simonis, U.E., et al. (Eds.), Jahrbuch Ökologie 2008. Beck, München, pp. 154e162. Fricke, A., 2007. Fünfzehn Jahre Produktverantwortung? e Wo stehen wir? Wo soll es hingehen? In: Thomé-Kozmiensky, K.J., et al. (Eds.), Produktverantwortung e Verpackungsabfälle, Elektro- und Elektronikaltgeräte, Altfahrzeuge. TK Verlag Karl Thomé-Kozmiensky, Neuruppin, pp. 3e29. Fuchs, M., 2005. Wo stirbt ein Auto? e Wertschöpfungsketten von Altautos. Geographische Rundschau 57 (2), 48e53.

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