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Corporate sustainability management in the energy sector [Elektronische Ressource] : an empirical contingency approach / vorgelegt von Oliver Salzmann

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294 pages
Ajouté le : 01 janvier 2006
Lecture(s) : 14
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Corporate Sustainability Management in the Energy Sector – An
Empirical Contingency Approach


vorgelegt von
Diplom-Wirtschaftsingenieur Oliver Salzmann
aus Sulzbach/Saar




von der Fakultät VIII – Wirtschaft und Management
der Technischen Universität Berlin
zur Erlangung des akademischen Grades

Doktor der Ingenieurwissenschaften
- Dr.-Ing. -

genehmigte Dissertation



Promotionsausschuss:

Vorsitzender: Prof. Dr. H. Hirth
Berichter: Prof. Dr. U. Steger Prof. Dr. A. v. Werder

Tag der wissenschaftlichen Aussprache: 25. Januar 2006



Berlin 2006
D 83 III
Acknowledgements
The completion of my thesis owes most to my “Doktorvater” Prof. Dr. Ulrich Steger for his
continuous guidance and encouragement, and, above all, his determination to read the final
product. I cannot thank him enough. I would also like to express my gratitude to my
secondary supervisor Prof. Dr. Axel von Werder for his advice and support.
Furthermore, I would like to thank the CSM team at IMD, Aileen Ionescu-Somers and Kay
Richiger, and the “BCS research team,” without whom this huge study would never have
been possible.
I am also extremely grateful to Albert Diversé and my brother Ralph for coaching and often
challenging me (thanks Albert!) on the statistics, and to Wolfgang Amann and Jochen
Brellochs for their repeated feedback and “pats on the back.” I would also like to thank those
who invested their time in this research effort by serving as interviewees or answering the
questionnaire.
Last, but not least, I would like to acknowledge the infinite patience, moral support and
understanding of my family and my girlfriend Petra. This achievement would not have been
possible without them.
Lausanne, April 2006 OLIVER SALZMANN
IV
V
Table of content
ACKNOWLEDGEMENTS .............................................................................................................................. III
TABLE OF CONTENT........................ V ABBREVIATIONS.................................................................................................................... VIII
TABLE OF FIGURES....................... IX
TABLE OF CHARTS........................................................................................................................................ XI REGRESSION TABLES ............................................................................................................XII
1 INTRODUCTION.......................................................................................................................................1
1.1 RESEARCH FIELD ..................................................................................................................................1
1.2 STRUCTURE...........2
1.3 INTENDED CONTRIBUTIONS ..................................................................................................................3
2 THEORETICAL FOUNDATION AND CONCEPTS.............................................................................6
2.1 CONTINGENCY THEORY........................................................................................................................6
2.2 CSM AND RELATED THEORETICAL FRAMEWORKS................................................................................6
2.2.1 Corporate social responsibility.......................................................................................................7
2.2.2 ate social performance (CSP) .............................................................................................7
2.2.3 Corporate sustainability ...............................................................................................................10
2.2.4 Discussion.....................................................................................................................................11
2.3 KEY CONCEPTS...................................................................................................................................12
2.3.1 Determinants of CSM....................................................................................................................13
2.3.1.1 Issues – the principle of public responsibility..... 13
2.3.1.2 Stakeholders – the principle of legitimacy.......................................................................................... 14
2.3.1.3 Managers’ attitudes – the principle of managerial discretion.............................................................. 15
2.3.1.4 Company-specific determinants – the principle of corporate discretion ............................................. 16
2.3.2 CSM ..............................................................................................................................................16
2.3.3 Outcome of CSM...........................................................................................................................18
3 REVIEW OF EMPIRICAL LITERATURE ..........................................................................................19
3.1 DETERMINANTS OF CSM....................................................................................................................20
3.2 CSM.......................23
3.2.1 Strategic disposition......................................................................................................................23
3.2.2 Economic rationale.......................................................................................................................24
3.2.3 Implementation............26
3.3 OUTCOMES .........................................................................................................................................27
3.4 SUMMARY AND RESEARCH GAPS ........................................................................................................27
4 CONCEPTUAL RATIONALE AND RESEARCH QUESTIONS.......................................................28
5 METHOD ..................................................................................................................................................33
5.1 SELECTION OF SUITABLE METHOD......................................................................................................33
5.1.1 Contingency approach ..................................................................................................................34
5.1.2 Selection of instruments ................................................................................................................35
5.2 INSTRUMENTS......39
5.2.1 Data collection..............................................................................................................................39
5.2.1.1 Qualitative methods ............................................................................................................................ 39
5.2.1.2 Quantitative methods............... 42
5.2.2 Data analysis ................................................................................................................................44
5.2.2.1 Qualitative methods................ 44
5.2.2.2 Quantitative methods............... 44
5.2.2.2.1 Basic statistics ............................................................................................................................... 45
5.2.2.2.2 Advanced statistics............ 46
5.3 SYNERGISTIC FIT OF METHODS53
5.4 EVALUATION......................................................................................................................................55
6 SECTOR CHARACTERISTICS.............................................................................................................58
6.1 CHARACTERISTICS AND ACTIVITIES OF COMPANIES............................................................................58
VI
6.2 TRENDS, DRIVERS AND COMPETITIVE FORCES ....................................................................................59
6.3 DISCUSSION........................................................................................................................................61
7 DATA COLLECTED ...............................................................................................................................61
7.1 QUALITATIVE DATA............................................................................................................................61
7.2 QUANTITATIVE DATA .........................................................................................................................62
8 EMPIRICAL EVIDENCE .......................................................................................................................66
8.1 ISSUES.................69
8.1.1 Qualitative analysis and basic statistics .......................................................................................69
8.1.1.1 Social and ethical issues...................................................................................................................... 71
8.1.1.2 Environmental issues .......................................................................................................................... 73
8.1.1.3 The relative importance of environmental and social issues............................................................... 75
8.1.2 Advanced statistics........................................................................................................................79
8.1.2.1 Correlations ........................................................................................................................................ 79
8.1.2.2 Regressions.................................................................................................................... 86
8.1.3 Discussion.....................................................................................................................................87
8.2 EXTERNAL STAKEHOLDERS, INDUSTRY AND PARTNERSHIPS90
8.2.1 Governments and regulators.........................................................................................................90
8.2.1.1 Qualitative analysis and basic statistics .............................................................................................. 90
8.2.1.2 Advanced statistics................. 91
8.2.2 Public pressure groups .................................................................................................................94
8.2.2.1 Qualitative analysis and basic statistics........ 94
8.2.2.2 Advanced statistics ............................................................................................................................. 96
8.2.3 Customers .....................................................................................................................................97
8.2.3.1 Qualitative analysis and basic statistics........ 97
8.2.3.2 Advanced statistics................. 99
8.2.4 Financial community......100
8.2.4.1 Qualitative analysis and basic statistics...... 100
8.2.4.2 Advanced statistics............... 102
8.2.5 Industry and partnerships ...........................................................................................................105
8.2.5.1 Qualitative analysis and basic statistics ............................................................................................ 105
8.2.5.2 Advanced statistics ........................................................................................................................... 107
8.2.6 Legitimacy and the relative importance of external stakeholders...............................................110
8.2.6.1 The role of legitimacy....................................................................................................................... 110
8.2.6.1.1 Qualitative analysis and basic statistics. 110
8.2.6.1.2 Advanced statistics.......... 112
8.2.6.1.2.1 Correlations........................................................................................................................... 112
8.2.6.1.2.2 Regressions ........................................................................................................................... 117
8.2.6.2 The relative importance of external stakeholders.............................................................................. 117
8.2.6.2.1 Qualitative analysis and basic statistics. 117
8.2.6.2.2 Advanced statistics.......... 122
8.2.6.2.2.1 Correlations........ 122
8.2.6.2.2.2 Regressions....... 123
8.2.7 Discussion...................................................................................................................................127
8.3 MANAGERS.......................................................................................................................................131
8.3.1 Qualitative analysis and basic statistics .....................................................................................132
8.3.2 Advanced statistics......................................................................................................................135
8.3.2.1 Correlations ...................................................................................................................................... 135
8.3.2.2 Regressions.................................................................................................................... 140
8.3.3 Discussion..............142
8.4 COMPANIES.......143
8.4.1 Company-specific determinants..................................................................................................144
8.4.1.1 Qualitative analysis and basic statistics ............................................................................................ 144
8.4.1.2 Advanced statistics............... 148
8.4.1.3 Discussion......................................................................................................................................... 151
8.4.2 Strategic disposition....................................................................................................................154
8.4.2.1 Qualitative analysis and basic statistics...... 154
8.4.2.2 Advanced statistics............... 159
8.4.2.2.1 Correlations.............. 159
8.4.2.2.2 Regressions 162
8.4.2.3 Discussion.................... 164
8.4.3 Economic rationale.....................................................................................................................168
8.4.3.1 Importance and elements of the business case .................................................................................. 168 VII
8.4.3.2 Issue integration................................................................................................................................ 170
8.4.3.3 Building and quantifying the business case ...................................................................................... 173
8.4.3.4 Discussion......................................................................................................................................... 175
8.4.4 Implementation ...........................................................................................................................184
8.4.4.1 Management tools............................................................................................................................. 184
8.4.4.1.1 Qualitative analysis and basic statistics ....................................................................................... 184
8.4.4.1.2 Advanced statistics ...................................................................................................................... 187
8.4.4.1.3 Discussion.............. 188
8.4.4.2 Structure............................................................................................................................................ 190
8.4.4.2.1 Qualitative analysis and basic statistics. 190
8.4.4.2.2 Advanced statistics.......... 191
8.4.4.2.2.1 Correlations........................................................................................................................... 191
8.4.4.2.2.2 Regressions ........................................................................................................................... 194
8.4.4.2.3 Discussion.............. 195
8.4.4.3 Corporate initiatives.......................................................................................................................... 196
8.4.4.3.1 Qualitative analysis and basic statistics ....................................................................................... 196
8.4.4.3.2 Advanced statistics.......... 199
8.4.4.3.3 Discussion ................................................................................................................................... 200
8.4.5 Outcome......................................................................................................................................201
8.4.5.1 Qualitative analysis and basic statistics...... 201
8.4.5.2 Advanced statistics ........................................................................................................................... 202
8.4.5.2.1 Correlations.............. 202
8.4.5.2.2 Regressions 204
8.4.5.3 Discussion.................... 207
9 SYNOPSIS ...............................................................................................................................................209
9.1 FINDINGS..........................................................................................................................................209
9.2 SIGNIFICANCE OF THE STUDY ...........................................................................................................216
9.2.1 Implications for theory................................................................................................................216
9.2.2 Imfor practice.............................................................................................................217
9.3 LIMITATIONS AND SUGGESTIONS FOR FURTHER RESEARCH ..............................................................220
9.4 CONCLUSION.....224
APPENDICES...................................................................................................................................................227
APPENDIX A – INTERVIEW SAMPLES...............................................................................................................227
OG sector ..................................................................................................................................................227
UT sector.............................229
External stakeholders................................................................................................................................230
APPENDIX B – KEY FINANCIALS OF SECTOR SAMPLES ....................................................................................231
A C – HYPOTHESES AND OBJECTIVES OF IMD RESEARCH PROJECT ...................................................232
APPENDIX D – OPERATIONALIZATION OF KEY CONCEPTS...............................................................................234
A E – PAIRWISE CORRELATION ANALYSIS .........................................................................................237
Pairwise correlation – Total sample .........................................................................................................237 lation – UT sample ...............................................................................................238 lation – OG sample.............239
APPENDIX F – REGRESSION MODELS240
A G – RSION DIAGNOSTICS......................................................................................................244
APPENDIX H – INTERVIEW GUIDELINES ..........................................................................................................245
A I – QUESTIONNAIRES .....................................................................................................................253
Questionnaire – GM Version ....................................................................................................................253 – SO Version.................258
APPENDIX J – AUTHOR’S CONTRIBUTION TO CROSS-INDUSTRY RESEARCH PROJECT.......................................263
BIBLIOGRAPHY.............................................................................................................................................265
VIII
Table of abbreviations
BCS Business case for sustainability
CS Corporate sustainability
CSM Corpsustainabmanagement
CSP Corporate social performance
CSR Corporate social responsibility
EHS Environmental, health & safety
ESP Environmental/social performance
GM General manager
IEA International Energy Agency
NGO Non-governmental organization
OG Oil & gas
OPEC Organization of Petroleum Exporting Countries
RoI Return on investment
SME Small and medium-sized enterprise
SD Sustainable development
SO Sustainability officer
TQM Total quality management
UNEP United Nations Environment Programme
UT Electric/gas utility
WBCSD World Business Council for Sustainable Development
WEC World Economic Forum
WRI World Resources Institute

IX
Table of figures
FIGURE 1-1: STRUCTURE OF THE CONTENT..............................................................................................................3
F2-1: S OF SECTION 2 ...................................................................................................................6
FIGURE 2-2: WOOD’S CORPORATE SOCIAL PERFORMANCE MODEL – BASED ON WOOD (1991) ................................9
F4-1: CORPORATE SUSTAINABILITY PERFORMANCE MODEL........................................................................30
FIGURE 5-1: STRUCTURE OF SECTION 5 .................................................................................................................33
F5-2: VISUALIZATION OF CONTINGENCY APPROACH...................................................................................34
FIGURE 5-3: VIZATION OF CONCURRENT TRIANGULIZATION DESIGN (BASED ON CRESWELL, CLARK,
GUTMANN, & HANSON, 2004, P. 236)..........................................................................................................37
FIGURE 5-4: PROCESS OF ISSUE INTEGRATION BASED ON SALZMANN (2003A, P. 24).............................................40
F5-5: SYSTEMIZATION OF VALUE DRIVERS AND VALUE CONSTRUCTS.........................................................41
FIGURE 5-6: INTRA- AND CROSS-SECTOR COMPARISONS........................................................................................45
F5-7: VARIABLES THAT ARE SUBJECT TO CORRELATION ANALYSIS.............................................................47
FIGURE 5-8: ROADMAP FOR REGRESSION ANALYSIS – TESTED DETERMINANTS OF CSM INTENT ..........................49
F5-9: RAP FOR REION ANALYSIS – TESTED DETERMINANTS OF CSM SUCCESS ........................49
FIGURE 5-10: SYSTEMIZATION OF MODELS PREDICTING CSM INTENT...................................................................51
F5-11: SYSTEMIZATION OF MODELS PRING CSM SUCCESS ................................................................51
FIGURE 5-12: COMPLEMENTARITY OF CORRELATIONS AND REGRESSIONS53
F5-13: SYNERGISTIC FIT OF METHODS.........................................................................................................54
FIGURE 7-1: SAMPLES – DIMENSIONS OF COMPARISON..........................................................................................63
F8-1: STRUCTURE OF SECTION 8 .................................................................................................................67
FIGURE 8-2: ISSUES AND STAKEHOLDERS ACROSS THE VALUE CHAIN (OG) – BASED ON INTERVIEWS AND
CORPORATE REPORTS/WEBSITES ..................................................................................................................70
FIGURE 8-3: ISSUES AND STAKEHOLDERS ACROSS THE VALUE CHAIN (UT) – TERVIEWS AND /WEBSITES70
FIGURE 8-4: CORRELATIONS – ENVIRONMENTAL ISSUE SIGNIFICANCE..................................................................80
F8-5: CTIONS – SOCIAL ISSUE SIGNIFICANCE..................................................................................80
FIGURE 8-6: DETERMINANTS OF ISSUE SIGNIFICANCE............................................................................................88
F8-7: CORRELATIONS – GOVERNMENTS’ SD ROLE......................................................................................92
FIGURE 8-8: CTIONS – PUBLIC PRESSURE GROUPS’ SD ROLE.....................................................................96
FIGURE 8-9: CORRELATIONS – CONSUMERS’ SD ROLE ..........................................................................................99
F8-10: CTIONS – CAPITAL MARKETS’ FUTURE SD ROLE ...............................................................103
FIGURE 8-11: CORRELATIONS – INDUSTRY’S SD ROLE........................................................................................107
F8-12: CTIONS – PUBLIC-PRIVATE PARTNERSHIPS’ SD ROLE........................................................109
FIGURE 8-13: CORRELATIONS – IMPORTANCE OF LEGITIMACY............................................................................112
F8-14: CTIONS – DAMAGE TO LEGITIMACY ..................................................................................114
FIGURE 8-15: DETERMINANTS OF OUTSIDE PRESSURE .........................................................................................129
F8-16: CORRELATIONS – BBB (“BUSINESS OF BUSINESS IS BUSINESS”) ATTITUDE....................................136
FIGURE 8-17: CTIONS – WW (”CSM IF THERE ARE WIN-WIN SITUATIONS”) ATTITUDE...........................136
F8-18: CORRELATIONS – CA (“CSM TO GAIN LONG-TERM COMPETITIVE ADVANTAGE”) ATTITUDE........137
FIGURE 8-19: CTIONS – UCA (“CSM DESPITE UNPROVEN COMPETITIVE ADVANTAGE”) ATTITUDE.......137
F8-20: SYSTEMIZATION OF BARRIERS TO CSM151
FIGURE 8-21: CORRELATIONS – SD FAMILIARITY ...............................................................................................159
F8-22: CTIONS – FUTURE SD IMPORTANCE160
FIGURE 8-23: CORRELATIONS – CSM INTENT .....................................................................................................160
FIGURE 8-24: CORRELATIONS WITH STRATEGIC DISPOSITION..............................................................................161
F8-25: DETERMINANTS OF CSM INTENT...................................................................................................166
FIGURE 8-26: PROCESSES OF ISSUE INTEGRATION (SALZMANN, 2003B, P. 15).....................................................171
F8-27: MAPPING THE BUSINESS CASE FOR SUSTAINABILITY (SALZMANN, 2003B, P. 11) ...........................174
FIGURE 8-28: DIFFERENT CASES FOR CORPORATE SUSTAINABILITY ....................................................................177
F8-29: THE COMPLEXITY OF THE BUSINESS CASE FOR SUSTAINABILITY....................................................178
FIGURE 8-30: CONCEPTUAL FRAMEWORK (SALZMANN ET AL., 2005B, P. 6) .......................................................179
FIGURE 8-31: THE BUSINESS CASE AND ITS DETERMINANTS ................................................................................182
F8-32: CORRELATIONS – CROSS-DISCIPLINARY COLLABORATION ............................................................191
FIGURE 8-33: CTIONS – CROSS-DISCIPLINARY POTENTIAL.....................................................................192
F8-34: CORRELATIONS – CSM SUCCESS203
FIGURE 8-35: DETERMINANTS OF CSM SUCCESS ................................................................................................208
F9-1: CROSS-SECTOR DIFFERENCES ..........................................................................................................215
FIGURE 9-2: INTEGRATION OF THE BUSINESS CASE INTO THE CONCEPTUAL FRAMEWORK ...................................222
X
FIGURE 9-3: DEVELOPED FRAMEWORK – THE BUSINESS CASE FOR SUSTAINABILITY AND ITS DETERMINANTS ....223

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