《供应链系统设计与管理》课程教学资源（文献资料）From a literature review to a conceptual framework for sustainable supply chain management

Journal of Cleaner Production 16 (2008) 1699-1710Contents lists availableat ScienceDirect1Journal of Cleaner Productionjournalhomepage:www.elsevier.com/locateljcleproELSEVIERFrom a literature review to a conceptual framework for sustainablesupply chain managementStefan Seuringa+, Martin MuillerbarmntnationManm,FcutyrncAcuuencUnvyKse3wituenGemDepartmentof BusinessAdministration,CarlvonOssietzky-Universityof Oldenburg,26129Oldenburg,GermanyARTICLEINFOABSTRACTArticle history:Academicand corporateinterestin sustainablesupplychainmanagement hasrisen considerablyirAvailable online 12 June 2008recent years. This can be seen by the number of papers published and in particular by journal specialissues.To establish the field further,the purpose of this paperis twofold.First, it offers a literature reviewon sustainable supply chain management taking 191 papers published from 1994 to 2007 into account.Keywords:Second, it offers a conceptual framework to summarize the research in this field comprising three parts.Supply chain managementAs starting point related triggers are identified, This allows putting forward two distinct strategies: (1)Sustainabilitysupplier management for risks and performance, and (2) supply chain management for sustainableSustainable supply chainsproducts. It is evident that research is still dominated by green/environmental issues. Social aspects andLiterature reviewalsotheintegration of thethree dimensions of sustainability are still rareConceptual frameworkBoth practitioners in companies and academics might find the review useful, as it outlines major lines ofEnvironmental and social standardsresearch in the field. Further, it discusses specific features of sustainable supply chains as well as limi-tations of existing research; this should stimulate further research.2008 Elsevier Ltd.All rights reserved.1. IntroductionBased on this, operations, purchasing and supply chain man-agers have seen the integration of environmental and social is-Production processes are often dispersed around the globe.sues, including those embedded in related standards (e.g, ISoSuppliers, focal companies and customers are linked by in-14001) into their daily tasks [200]. Such triggers have increasedformation, material and capital flows. In line with the value of theingreen/environmental orsustainable supply chaininterestmanagement. The literature is still limited in quantity, and noproduct comes the environmental and social burden incurredduring different stages of production. With regard to this, focalmajor reviews of the field have been presented. Among the paperscompanies of supply chains might be held responsible for theidentified in the related search, only eight papers that attempt toenvironmental and social performance of their suppliers.Focalreview part of the literature were found [45,191,6,1,91,144,150]. Decompanies are those companies that usually (1)rule or govern theBurgos and Lorente [45] deal with environmental performance assupply chain,(2) provide the direct contact to the customer, and (3)an operation's objective, where supply chain issues are onlydesigntheproductorserviceoffered[208,220].Thisisespeciallysecondarilyaddressed.In a similarly specializedperspective withthe case for brand-owning companies, as they are likely to comeonly limited coverage of supply chain issues, Baumann et al. [6]under pressure from stakeholders, e.g, non-governmental organi-centre their review on green product development. Zisdisin andSiferd [191] provide a review on environmental purchasing whichzations (NGOs) [22,96]. These companies are asked to consider theenvironmental and social problems present in their entire supplyis based on only 38 publications, i.e., they do not aim to cover allchain. For example, apparel distributors such as Nike, Disney, Levirelatedpublications.AbukhaderandJonson[i]lookatthein-Strauss, Benetton, Adidas or C&A have been blamed in recent yearstersection of environmental issues with logistics. Their review hasfor problems occurring during the production of their clothing.two major limitations: first, they only focus on logistics manage-ment journals. Second, supply chain issues are treated as a subsetInhumaneworkingconditions[127,64]orcontaminationsofthe(local) environment [140] were frequently mentioned as problems.of logistics management. The recent paper by Kleindorfer et al.[91] comes closest to what is attempted here. In their contributionthey review papers in the field of "Sustainable OperationsManagement"published in the first 50 issues of "Production and*CorrespondingauthorOperations Management", While they title their paper as opera-E-mail addresses: seuring@uni-kassel.de (S. Seuring). martin.mueller@uni--oldenburg.de (M. Maller).tions, they cover related supply chain issues. The emphasis of their0959-6526/s - see front matter 2008 Elsevier Ltd. All rights reserved.doi:10.1016/jclepro.2008.04.020

From a literature review to a conceptual framework for sustainable supply chain management Stefan Seuring a, *, Martin Mu¨ller b aDepartment of International Management, Faculty of Organic Agricultural Sciences, University of Kassel, 37213 Witzenhausen, Germany bDepartment of Business Administration, Carl von Ossietzky-University of Oldenburg, 26129 Oldenburg, Germany article info Article history: Available online 12 June 2008 Keywords: Supply chain management Sustainability Sustainable supply chains Literature review Conceptual framework Environmental and social standards abstract Academic and corporate interest in sustainable supply chain management has risen considerably in recent years. This can be seen by the number of papers published and in particular by journal special issues. To establish the field further, the purpose of this paper is twofold. First, it offers a literature review on sustainable supply chain management taking 191 papers published from 1994 to 2007 into account. Second, it offers a conceptual framework to summarize the research in this field comprising three parts. As starting point related triggers are identified. This allows putting forward two distinct strategies: (1) supplier management for risks and performance, and (2) supply chain management for sustainable products. It is evident that research is still dominated by green/environmental issues. Social aspects and also the integration of the three dimensions of sustainability are still rare. Both practitioners in companies and academics might find the review useful, as it outlines major lines of research in the field. Further, it discusses specific features of sustainable supply chains as well as limi￾tations of existing research; this should stimulate further research. 2008 Elsevier Ltd. All rights reserved. 1. Introduction Production processes are often dispersed around the globe. Suppliers, focal companies and customers are linked by in￾formation, material and capital flows. In line with the value of the product comes the environmental and social burden incurred during different stages of production. With regard to this, focal companies of supply chains might be held responsible for the environmental and social performance of their suppliers. Focal companies are those companies that usually (1) rule or govern the supply chain, (2) provide the direct contact to the customer, and (3) design the product or service offered [208,220]. This is especially the case for brand-owning companies, as they are likely to come under pressure from stakeholders, e.g., non-governmental organi￾zations (NGOs) [22,96]. These companies are asked to consider the environmental and social problems present in their entire supply chain. For example, apparel distributors such as Nike, Disney, Levi Strauss, Benetton, Adidas or C&A have been blamed in recent years for problems occurring during the production of their clothing. Inhumane working conditions [127,64] or contaminations of the (local) environment [140] were frequently mentioned as problems. Based on this, operations, purchasing and supply chain man￾agers have seen the integration of environmental and social is￾sues, including those embedded in related standards (e.g., ISO 14001) into their daily tasks [200]. Such triggers have increased interest in green/environmental or sustainable supply chain management. The literature is still limited in quantity, and no major reviews of the field have been presented. Among the papers identified in the related search, only eight papers that attempt to review part of the literature were found [45,191,6,1,91,144,150]. De Burgos and Lorente [45] deal with environmental performance as an operation’s objective, where supply chain issues are only secondarily addressed. In a similarly specialized perspective with only limited coverage of supply chain issues, Baumann et al. [6] centre their review on green product development. Zisdisin and Siferd [191] provide a review on environmental purchasing which is based on only 38 publications, i.e., they do not aim to cover all related publications. Abukhader and Jo¨nson [1] look at the in￾tersection of environmental issues with logistics. Their review has two major limitations: first, they only focus on logistics manage￾ment journals. Second, supply chain issues are treated as a subset of logistics management. The recent paper by Kleindorfer et al. [91] comes closest to what is attempted here. In their contribution they review papers in the field of ‘‘Sustainable Operations Management’’ published in the first 50 issues of ‘‘Production and Operations Management’’. While they title their paper as opera￾tions, they cover related supply chain issues. The emphasis of their * Corresponding author. E-mail addresses: seuring@uni-kassel.de (S. Seuring), martin.mueller@uni- oldenburg.de (M. Mu¨ ller). Contents lists available at ScienceDirect Journal of Cleaner Production journal homepage: www.elsevier.com/locate/jclepro 0959-6526/$ – see front matter 2008 Elsevier Ltd. All rights reserved. doi:10.1016/j.jclepro.2008.04.020 Journal of Cleaner Production 16 (2008) 1699–1710

1700S. Seuring, M. Muller / Journal of Cleaner Producrion 16 (2008) 1699-1710paper is more on discussing individual issues, but they only pro-remain within the supply chain, while it is expected that compet-videlimited insights intotheoverall development and status ofitivenesswouldbemaintainedthroughmeetingcustomerneedsthe field. Seuring and Muller [144] also provide a specific literatureand related economic criteria. This definition is rather wide andreview only.Theyaddressthe emergenceand development of in-combines those given for sustainability and supply chain manage-tegrated chain management (Stoffstrommanagement) in Germany.ment. It is also able to integrate green/environmental supply chainWhile this has close links to sustainable supply chain management,management as one part of the wider field.the different schools also identified incorporate close links to in-dustrial ecology and closed-loop supply chain management. A2.Research methodologymuch widerattempt ismadein thepaper ofSrivastava[150],but,asthe author already states in the introduction “primarily takingFink [205] provides the following definition: "A literature re-a reverse logistics angle". This perspective, as will be discussed inview is a systematic, explicit, and reproducible design for identi-more detail below, is excluded here.fying, evaluating, and interpreting the existing body of recordedHence,a literature review was conducted aiming to collect anddocuments". The analysis of documents pursues the aim of openinganalyze all relevant papers in the field by means of a structuredup material that does not have to be created on the basis of a datasearchforliterature.Thelastsearchforpaperswasconductedincollectionbytheresearcher.LiteraturereviewsusuallyaimattwoJanuary2008.Based on this, the major aim of this paper is tooutlineobjectives: first, they summarize existing research by identifyingthe results of a literature review on the field of sustainability andpatterns, themes and issues. Second, this helps to identify thesupply chain management as well as to provide a conceptualconceptual content of the field [215] and can contribute to theoryframework capturing related research.(1)The research method-development (see the related discussion in [209]). One problemology is described while (2)some of the major results are portrayed.derives from the challenge that it is impractical to read everything.Moving beyond the analysis of specific issue, (3) a conceptualOnlyforemergingornarrowlydefinedissuesmightitbepossibletoframework for the research field will be offered and discussed.provide complete reviews.Here, distinctive features of sustainable supply chain managementFrom a methodological point of view, literature reviews can bewill be outlined and limitations of the research will be addressed.comprehended as content analysis, where quantitative and quali-Some suggestions for future research conclude the paper.tative aspects are mixed to assess structural (descriptive) as well ascontent criteria [201]. A process model proposed by Mayring [214]1.1. Basic terminologycontains four steps:To prepare the groundwork for the subsequent literature review,1. Material collection: The material to be collected is defined andkey terms are defined: "The supply chain encompasses all activitiesdelimitated. Furthermore, the unit of analysis (i.e., the singleassociatedwiththeflowandtransformationofgoodsfromrawpaper) is defined.materials stage (extraction), through to the end user, as well as the2. Descriptive analysis: Formal aspects of the material areassociatedinformationflows.Materialandinformationflowbothassessed, e.g., the number of publications per year, providingup and down the supply chain. Supply chain management (SCM) isthe background for subsequent theoretical analysis.the integration of these activities through improved supply chain3. Category selection: Structural dimensions and related analyticrelationships to achieve a sustainable competitive advantage"categoriesareselected,whicharetobeappliedtothecollected[208]. In line with this definition, but extending to related terms,material. Structural dimensions form the major topics ofpurchasing,sourcing.supplyand supply chain were all used foranalysis, which are constituted by single analytic categories.identifying related publications.This is justified as the review in4. Material evaluation: The material is analyzed according to theparticular wanted to address inter-organisational issues. Hence,structural dimensions. This should allow identification ofpapersonpurchasingwerealsoincludedrelevantissuesandinterpretationofresultsSustainable development is defined as "a development thatmeets the needs of the present without compromising the abilityFor the material analysis (steps 3 and 4), Fig. 1 provides a de-of futuregenerationstomeet their ownneeds"[225].While di-tailed description of the process. While it includes a feedback loopversecomprehensionsofsustainabilityexist,onecentralconceptfor the analysis of the collected material only. such a loop might behelping to operationalize sustainability is the triple bottom lineneeded for the overall process.approach,where a minimum performance is tobe achieved in theenvironmental, economic and social dimensions [203].This canbe comprehended as being in line with the notion of orderqualifiers a company has to fulfil before it is able to even competeTheory-driven selection offor orders [21o]. Stil, this is only one particular comprehension ofstructural dimension and analytic categoriessustainability. Dyllick and Hockerts [202] have framed the three→dimensions of sustainability as the business case (economic).Determining definitions and coding forthe natural case (environmental), and the societal case (social).Revision,eachcategoryof structuralRelated keywords are sustainable/sustainability, sustainable de-dimensionsvelopment, environment(al), ecology/ecological, green, social andand analyticAnalyzing the material:ethicsethical.Keywordsfromthesupplychainmanagement sidecategoriesDenotation of relevantplace of findingand fromthesustainability sidewerecombinedforthesearch.+Asitformsthemajorthemeofthispaper,wedefinesustainablesupply chain management as the management of material, in-Analyzing the material:Editing and extraction of place of findingformation and capital flows as well as cooperation among compa-nies along the supply chain while taking goals from all three+dimensions of sustainable development, ie., economic, environ-Preparation of resultsmental andsocial,intoaccountwhicharederivedfromcustomerand stakeholder requirements. In sustainable supply chains, envi-ronmental and social criteria need to befulfilled by the members toFig. 1. Research process of a structuring content analysis [213]

paper is more on discussing individual issues, but they only pro￾vide limited insights into the overall development and status of the field. Seuring and Mu¨ller [144] also provide a specific literature review only. They address the emergence and development of in￾tegrated chain management (Stoffstrommanagement) in Germany. While this has close links to sustainable supply chain management, the different schools also identified incorporate close links to in￾dustrial ecology and closed-loop supply chain management. A much wider attempt is made in the paper of Srivastava [150], but, as the author already states in the introduction ‘‘primarily taking a reverse logistics angle’’. This perspective, as will be discussed in more detail below, is excluded here. Hence, a literature review was conducted aiming to collect and analyze all relevant papers in the field by means of a structured search for literature. The last search for papers was conducted in January 2008. Based on this, the major aim of this paper is to outline the results of a literature review on the field of sustainability and supply chain management as well as to provide a conceptual framework capturing related research. (1) The research method￾ology is described while (2) some of the major results are portrayed. Moving beyond the analysis of specific issue, (3) a conceptual framework for the research field will be offered and discussed. Here, distinctive features of sustainable supply chain management will be outlined and limitations of the research will be addressed. Some suggestions for future research conclude the paper. 1.1. Basic terminology To prepare the groundwork for the subsequent literature review, key terms are defined: ‘‘The supply chain encompasses all activities associated with the flow and transformation of goods from raw materials stage (extraction), through to the end user, as well as the associated information flows. Material and information flow both up and down the supply chain. Supply chain management (SCM) is the integration of these activities through improved supply chain relationships to achieve a sustainable competitive advantage’’ [208]. In line with this definition, but extending to related terms, purchasing, sourcing, supply and supply chain were all used for identifying related publications. This is justified as the review in particular wanted to address inter-organisational issues. Hence, papers on purchasing were also included. Sustainable development is defined as ‘‘a development that meets the needs of the present without compromising the ability of future generations to meet their own needs’’ [225]. While di￾verse comprehensions of sustainability exist, one central concept helping to operationalize sustainability is the triple bottom line approach, where a minimum performance is to be achieved in the environmental, economic and social dimensions [203]. This can be comprehended as being in line with the notion of order qualifiers a company has to fulfil before it is able to even compete for orders [210]. Still, this is only one particular comprehension of sustainability. Dyllick and Hockerts [202] have framed the three dimensions of sustainability as the business case (economic), the natural case (environmental), and the societal case (social). Related keywords are sustainable/sustainability, sustainable de￾velopment, environment(al), ecology/ecological, green, social and ethics/ethical. Keywords from the supply chain management side and from the sustainability side were combined for the search. As it forms the major theme of this paper, we define sustainable supply chain management as the management of material, in￾formation and capital flows as well as cooperation among compa￾nies along the supply chain while taking goals from all three dimensions of sustainable development, i.e., economic, environ￾mental and social, into account which are derived from customer and stakeholder requirements. In sustainable supply chains, envi￾ronmental and social criteria need to be fulfilled by the members to remain within the supply chain, while it is expected that compet￾itiveness would be maintained through meeting customer needs and related economic criteria. This definition is rather wide and combines those given for sustainability and supply chain manage￾ment. It is also able to integrate green/environmental supply chain management as one part of the wider field. 2. Research methodology Fink [205] provides the following definition: ‘‘A literature re￾view is a systematic, explicit, and reproducible design for identi￾fying, evaluating, and interpreting the existing body of recorded documents’’. The analysis of documents pursues the aim of opening up material that does not have to be created on the basis of a data collection by the researcher. Literature reviews usually aim at two objectives: first, they summarize existing research by identifying patterns, themes and issues. Second, this helps to identify the conceptual content of the field [215] and can contribute to theory development (see the related discussion in [209]). One problem derives from the challenge that it is impractical to read everything. Only for emerging or narrowly defined issues might it be possible to provide complete reviews. From a methodological point of view, literature reviews can be comprehended as content analysis, where quantitative and quali￾tative aspects are mixed to assess structural (descriptive) as well as content criteria [201]. A process model proposed by Mayring [214] contains four steps: 1. Material collection: The material to be collected is defined and delimitated. Furthermore, the unit of analysis (i.e., the single paper) is defined. 2. Descriptive analysis: Formal aspects of the material are assessed, e.g., the number of publications per year, providing the background for subsequent theoretical analysis. 3. Category selection: Structural dimensions and related analytic categories are selected, which are to be applied to the collected material. Structural dimensions form the major topics of analysis, which are constituted by single analytic categories. 4. Material evaluation: The material is analyzed according to the structural dimensions. This should allow identification of relevant issues and interpretation of results. For the material analysis (steps 3 and 4), Fig. 1 provides a de￾tailed description of the process. While it includes a feedback loop for the analysis of the collected material only, such a loop might be needed for the overall process. Theory-driven selection of structural dimension and analytic categories Determining definitions and coding for each category Analyzing the material: Denotation of relevant place of finding Analyzing the material: Editing and extraction of place of finding Preparation of results Revision, of structural dimensions and analytic categories Fig. 1. Research process of a structuring content analysis [213]. 1700 S. Seuring, M. Mu¨ller / Journal of Cleaner Production 16 (2008) 1699–1710

S.Seuring,M.Miller/ Journal ofCleanerProduction16(2008)1699-17101701Structural dimensions and related analytic categories whichthese classifications, each paper was assigned to exactly one cate-allow classification of the reviewed literature can be derived de-gory. The selection of these categories is rather straight forward, asductively or inductively. In a deductive approach they are selectedsuch descriptions are "normal"for literature reviews. These di-before thematerial is analyzed; when using an inductive method,mensions will beused forthesubsequent analysis.they are developed from the material by means of generalizationWe will give a brief example on how we conducted the process,[214]. In either case, they should have a clear relation to existingtaking Bowen et al. [14] as an example. This paper presents a survey.theory.so it clearly falls into the category regarding the research method-In content analysis the analyst makes various decisions aboutology. As it does not cover social issues, it is placed into thehowthepaperistobecomprehended.Suchriskcanbereducedenvironmental categoryregarding sustainability.Further,ittalksby involving two or more researchers when searching for andabout competitive advantage as a trigger for sustainable supplyanalyzingthedata.It mightbenecessarytoredo steps3and 4,aschain management, and mentions, e.g. company-overlappingcommunication and training of purchasing staff as supportingthe dimensions and underlying categories need to be revised[213]. In the particular approach chosen, we started with a num-factors, where additional coordination needed with suppliers isberofdimensionsandcategories.Paperswereclassifiedaccord-seenasabarrier.Forthesubsequentdiscussion,wewill firstpresentingly, where the dimensions and categories were revised duringa (qualitative)conceptualization of thefield and then supplementthe early analysis. This method forms the background for thesome topics with a more detailed (quantitative) analysis.literature review presented in this paper.2.3.Rigor of the researchprocess2.1.DelimitationsandthesearchforliteratureThe research process and related methodology also have theirFor a literature review it is particularly important to define clearlimitations.Thestructuredprocessand systematicapproachboundaries to delimitate the research. In this context four impor-ensures the objectivity of the research process. Validity was aimedtant notes are made:forbyfollowing theguidelines [212].Constructs were compared tootherresearchbothfromwithinaswellasfromoutsideofthe1. This analysis aimed only at papers in peer-reviewed scientificparticular field. As already briefly mentioned, a further means tojournalsinEnglishwithamanagementfocus.This excludesensure validity was presenting this research work at variouspapers in other languages as well as those with, e.g, a technicalconferences, so that other researchers and practitioners couldorpoliticalsciencefocus.comment on it.2. Publications with the main topic of public purchasing were notReliability was addressed by having all steps of the formalconsidered. This debate includes vital public law aspects andanalysis conducted by two researchers. This is the minimum re-differs from the discussion of supply (chain)management inquirement, but given the time consuming process, it is somehowcompaniesunrealistic to include more than this. While inter-rater reliability3. Articles which focused only on ethical demands placed onwasquitehigh(whichcanbeattributed to thefactthatthetwopurchasing staff (e.g- acceptance of gifts) were excluded.investigators have been cooperating for years).different judgmentsRespective papers mainly focus on codes of conduct for pur-were individually accessed and resolved.chasers, so there is no direct link to sustainable development.4. Papers focusing on reverse logistics and remanufacturing3. Descriptive analysiswere not included. Inthis field thefocus of the discussion isonthe end of the product life-cycle with an emphasis on reverse3.1.Distribution across thetime period and main jourmalslogistics and remanufacturing[206,150].while the researchpresentedcentresontheforwardsupplychain.Thebasicbodyof literatureidentified comprises191papers.Theallocation of thepublications in the researchedperiod (1994-2007)The search for related publications was mainly conducted asisshowninFig.2.While1990isthefirstyearofpublicationwherea structured keyword search. Major databases were used to searchworks were sought, the first published papers found werefrom thefor related articles, such as those provided by major publishers,year 1994. The start of the time period covered was chosen allowingElsevier(www.sciencedirect.com).Emerald(www.emeraldinsightthe Brundtland-Report [225] to be taken as a starting point. Highcom).Springer (www.springerlink.com).wiley (www.wiley.com)numbersofpublicationsarefoundforthetimeperiodbetweenor library services (e.g.,Ebscowww.ebsco.com; Scopus www.2001 and 2003, but remain on a substantial level since. In 2001scopus.com,Metapresswww.metapress.com,orSubitowwwsubito-doc.de). After a first quick content check, identified articleswere in- or excluded from the analysis. To increase the reliability of30Number of30Papers (N=191)theresearch,databanks and journalsas wellastheindividual paperswere checked by a second researcher. Reading the papers, cited2525referenceswereusedasasecondarysource.butdidnotvieldmany21additional papers, which can be taken as an indication of the validity20of the research. Taking the stated delimitations into account,a totalof 191 papers were identified.152.2.Contentanalysis10In a first step of the evaluation, descriptive dimensions wereused to classify the papers. The content of the papers was furtherassessed by means of a descriptive analysis: (1) how is the distri-butionofpublicationsacrossthetimeperiod?(2)Inwhichjournals19941995199619971998 199920002001200220032004200520062007are such articles published? (3) What research methodologies areapplied? (4) Which dimensions of sustainability are addressed? ForFig. 2. Distribution of publications per year across the period studied

Structural dimensions and related analytic categories which allow classification of the reviewed literature can be derived de￾ductively or inductively. In a deductive approach they are selected before the material is analyzed; when using an inductive method, they are developed from the material by means of generalization [214]. In either case, they should have a clear relation to existing theory. In content analysis the analyst makes various decisions about how the paper is to be comprehended. Such risk can be reduced by involving two or more researchers when searching for and analyzing the data. It might be necessary to redo steps 3 and 4, as the dimensions and underlying categories need to be revised [213]. In the particular approach chosen, we started with a num￾ber of dimensions and categories. Papers were classified accord￾ingly, where the dimensions and categories were revised during the early analysis. This method forms the background for the literature review presented in this paper. 2.1. Delimitations and the search for literature For a literature review it is particularly important to define clear boundaries to delimitate the research. In this context four impor￾tant notes are made: 1. This analysis aimed only at papers in peer-reviewed scientific journals in English with a management focus. This excludes papers in other languages as well as those with, e.g., a technical or political science focus. 2. Publications with the main topic of public purchasing were not considered. This debate includes vital public law aspects and differs from the discussion of supply (chain) management in companies. 3. Articles which focused only on ethical demands placed on purchasing staff (e.g., acceptance of gifts) were excluded. Respective papers mainly focus on codes of conduct for pur￾chasers, so there is no direct link to sustainable development. 4. Papers focusing on reverse logistics and remanufacturing were not included. In this field the focus of the discussion is on the end of the product life-cycle with an emphasis on reverse logistics and remanufacturing [206,150], while the research presented centres on the forward supply chain. The search for related publications was mainly conducted as a structured keyword search. Major databases were used to search for related articles, such as those provided by major publishers, Elsevier (www.sciencedirect.com), Emerald (www.emeraldinsight. com), Springer (www.springerlink.com), Wiley (www.wiley.com) or library services (e.g., Ebsco www.ebsco.com; Scopus www. scopus.com, Metapress www.metapress.com, or Subito www. subito-doc.de). After a first quick content check, identified articles were in- or excluded from the analysis. To increase the reliability of the research, databanks and journals as well as the individual papers were checked by a second researcher. Reading the papers, cited references were used as a secondary source, but did not yield many additional papers, which can be taken as an indication of the validity of the research. Taking the stated delimitations into account, a total of 191 papers were identified. 2.2. Content analysis In a first step of the evaluation, descriptive dimensions were used to classify the papers. The content of the papers was further assessed by means of a descriptive analysis: (1) how is the distri￾bution of publications across the time period? (2) In which journals are such articles published? (3) What research methodologies are applied? (4) Which dimensions of sustainability are addressed? For these classifications, each paper was assigned to exactly one cate￾gory. The selection of these categories is rather straight forward, as such descriptions are ‘‘normal’’ for literature reviews. These di￾mensions will be used for the subsequent analysis. We will give a brief example on how we conducted the process, taking Bowen et al. [14] as an example. This paper presents a survey, so it clearly falls into the category regarding the research method￾ology. As it does not cover social issues, it is placed into the environmental category regarding sustainability. Further, it talks about competitive advantage as a trigger for sustainable supply chain management, and mentions, e.g., company-overlapping communication and training of purchasing staff as supporting factors, where additional coordination needed with suppliers is seen as a barrier. For the subsequent discussion, we will first present a (qualitative) conceptualization of the field and then supplement some topics with a more detailed (quantitative) analysis. 2.3. Rigor of the research process The research process and related methodology also have their limitations. The structured process and systematic approach ensures the objectivity of the research process. Validity was aimed for by following the guidelines [212]. Constructs were compared to other research both from within as well as from outside of the particular field. As already briefly mentioned, a further means to ensure validity was presenting this research work at various conferences, so that other researchers and practitioners could comment on it. Reliability was addressed by having all steps of the formal analysis conducted by two researchers. This is the minimum re￾quirement, but given the time consuming process, it is somehow unrealistic to include more than this. While inter-rater reliability was quite high (which can be attributed to the fact that the two investigators have been cooperating for years), different judgments were individually accessed and resolved. 3. Descriptive analysis 3.1. Distribution across the time period and main journals The basic body of literature identified comprises 191 papers. The allocation of the publications in the researched period (1994–2007) is shown in Fig. 2. While 1990 is the first year of publication where works were sought, the first published papers found were from the year 1994. The start of the time period covered was chosen allowing the Brundtland-Report [225] to be taken as a starting point. High numbers of publications are found for the time period between 2001 and 2003, but remain on a substantial level since. In 2001 2 2 5 10 12 4 14 21 16 20 17 25 11 30 0 5 10 15 20 25 30 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 Number of Papers (N=191) Fig. 2. Distribution of publications per year across the period studied. S. Seuring, M. Mu¨ller / Journal of Cleaner Production 16 (2008) 1699–1710 1701

1702S. Seuring, M. Muller / Journal of Cleaner Producrion 16 (2008) 1699-1710[136] and in 2003 [228]. special issues of Greener ManagementIn order to make our classification of papers transparent to theInternational containing seven articles eachwerepublished.It isreader,for each analyzed paperlisted inthe bibliography the cat-interestingtonotethatrecentlyanumberofotherspecialissuesegorisationaccordingtotheresearchmethodology,andtreatmenthave appeared or are in print, also capturing more traditionalof sustainability issues is provided at the end of the referencesoperations management journals, such as: Journal of Operationsgiven. As example given, [case, social] summarizes that the paperManagement [211],International Journal of Production Researchdeals predominantly with social issues and offers a case study or[219]. Intermational Jourmal of Production Economics [218]. andcase exampleJournal of Cleaner Production [223].This shows the wide acceptanceForty papers do not present empirical research, and instead areof the topic among research, where the two special issuesofa rather theoretical or conceptual nature.For a new,unexploredappearing in 2007 explain the record number of publications in thisfield, this is not surprising, and continues into the large portion ofyear. Still, it should be noted that many of the papers published incase study papers (70). This method allows the field to bethese special issues focus on closed-loop supply chain managementresearched and provides illustrative evidence [229]. Several papersandrelatedissuesand are,therefore,nottaken into accountinthisclassified as case studies are often rather case examples, wherereview (see the note on this above).descriptions of an industry practice are given without aiming atThere is an equal distribution among environmental and sus-theory development or testing. Still, we did not assess the meth-tainability managementrelated journals (81papers),and tradiodological rigor of the papers, so this neither disqualifies the casetional operations and supply chain management journals capturepapers nor assumes that the papers placed in the other categories(surprisingly) almost the same number (83 papers), while journalsare somehow"better."Surveysaccount for53 ofthepaper,while21dealing with social and ethical topicsremain (ii papers)in themathematicalmodels andfinallysevenliteraturereviews (seetheirsummary in the introduction) have been published.minority.Thereisafinalgroupof16paperspublishedinjournalswhich are mainly of a technical nature, but also contain naturalresource or policy related ones, Most were published in the Journal3.3.Dimensionsof sustainabledevelopmentof Business Ethics (six papers)and Business Ethics: A European Re-The articles were differentiated into three categories in relationview (four papers).The environmental literature has three journalsoffering most of the papers. The leading role is now held by theto sustainabledevelopment.ItshouldfirstbementionedthattheJournal of Cleaner Production with 23papers,followed Greenereconomic dimension was assumed as being covered by all papers,ManagementInternationalaccountsfor22papers,mainlyduetotheas onlymanagementrelatedpublicationsandjournalsformpartoftwo special issues already mentioned.Business Strategy and thethe assessment. Hence, three categories were formed, i.e., does theEnvironment (13 papers) holds the third place. Hence, these threecontent address (1) environmental or (2) social issues, or (3) haveboth dimensions (environmental and social) been considered?journals capture almost three quarters (59 out of 81) of the paperspublishedinenvironmentalandsustainabilityrelatedjournalsPapersfallingintothelastcategorywereclassifiedassustainableWithin the operations literature, a greater number of journalsTable 1 shows the results of this differentiation, while Table 2providepublicationoutlets:InternationalJournalofOperations&additionallyshowsthedistributionacrossthetimeperiodstudiedProduction Management (10), Supply Chain Management -An In-Most of the articles (140) deal with environmental problems. Thistermational Jourmal (10), Journal of Operations Management (7),can be explained, as related issues have been on the agenda forProduction and Operations Management (6),International Journal ofa longer period of time. The high number of papers in 2001 isProduction Research (5),and The Journal of Supply Chain Manage-explained by a journal special issue of Greener Managementment (formerly International Journal of Purchasing and MaterialsInternational,whichparticularlylookedatgreentopicsManagement) (5) indicating a distribution across a wider range ofStill, it should be mentioned that the first paper included in thejournals.literature review by Drumwright (1994) [49] deals with social is-sues.Only20papersfocusedonthesocialdimension,andafurther31 papers were classified as sustainable, as they integrate environ-3.2. Research methodologies appliedmental and social issues. For the sustainable ones, it is interestingthat this integration only appears about 2002, from which year onFive research methodologies were differentiated: (1) theoreticalaconsiderablenumberofpapersispublished.Figuresonsocialand conceptual papers: (2) case studies; (3) surveys; (4) modellingaspect are more erratic in publication numbers.There are five eachpapers; and (5) literature reviews. Fig.3 shows the assignments ofin2002and2003,whichaccountforhalfofallrelatedpapers.Carterandco-authors[17-23]accountfor seven ofthepapers on thesocialthe papers to the research methodologies.aspects. New (1997) [120], Karna and Heiskanen (1998) [86] andSarkis (2001) [136] are the first papers to integrate all threedimensions.80Number of70This reveals a clear deficit in supply chain management andpapers (N=191)70purchasingliteratureon socialissuesaswellasontheamalgam-60ationofallthreedimensionsof sustainabledevelopment.Future53researchonthesetopicswouldbeoneoftheclearrecommenda-50tionstowardsresearchersinthefield.Therelativelyhighnumberof40eight paper incorporating sustainability issues might point into this40direction [15,47,95,99,103,119,154,179]30 2120 Table 1Dimensions of sustainable development addressed in the papers10Dimension(s)Number of papers (N=191)O140EnvironmentalTheoryCaseModelReviewSurveySocialSustainableFig, 3. Research methodologies employed

[136] and in 2003 [228], special issues of Greener Management International containing seven articles each were published. It is interesting to note that recently a number of other special issues have appeared or are in print, also capturing more traditional operations management journals, such as: Journal of Operations Management [211], International Journal of Production Research [219], International Journal of Production Economics [218], and Journal of Cleaner Production [223]. This shows the wide acceptance of the topic among research, where the two special issues appearing in 2007 explain the record number of publications in this year. Still, it should be noted that many of the papers published in these special issues focus on closed-loop supply chain management and related issues and are, therefore, not taken into account in this review (see the note on this above). There is an equal distribution among environmental and sus￾tainability management related journals (81 papers), and tradi￾tional operations and supply chain management journals capture (surprisingly) almost the same number (83 papers), while journals dealing with social and ethical topics remain (11 papers) in the minority. There is a final group of 16 papers published in journals which are mainly of a technical nature, but also contain natural resource or policy related ones. Most were published in the Journal of Business Ethics (six papers) and Business Ethics: A European Re￾view (four papers). The environmental literature has three journals offering most of the papers. The leading role is now held by the Journal of Cleaner Production with 23 papers, followed Greener Management International accounts for 22 papers, mainly due to the two special issues already mentioned. Business Strategy and the Environment (13 papers) holds the third place. Hence, these three journals capture almost three quarters (59 out of 81) of the papers published in environmental and sustainability related journals. Within the operations literature, a greater number of journals provide publication outlets: International Journal of Operations & Production Management (10), Supply Chain Management – An In￾ternational Journal (10), Journal of Operations Management (7), Production and Operations Management (6), International Journal of Production Research (5), and The Journal of Supply Chain Manage￾ment (formerly International Journal of Purchasing and Materials Management) (5) indicating a distribution across a wider range of journals. 3.2. Research methodologies applied Five research methodologies were differentiated: (1) theoretical and conceptual papers; (2) case studies; (3) surveys; (4) modelling papers; and (5) literature reviews. Fig. 3 shows the assignments of the papers to the research methodologies. In order to make our classification of papers transparent to the reader, for each analyzed paper listed in the bibliography the cat￾egorisation according to the research methodology, and treatment of sustainability issues is provided at the end of the references given. As example given, [case, social] summarizes that the paper deals predominantly with social issues and offers a case study or case example. Forty papers do not present empirical research, and instead are of a rather theoretical or conceptual nature. For a new, unexplored field, this is not surprising, and continues into the large portion of case study papers (70). This method allows the field to be researched and provides illustrative evidence [229]. Several papers classified as case studies are often rather case examples, where descriptions of an industry practice are given without aiming at theory development or testing. Still, we did not assess the meth￾odological rigor of the papers, so this neither disqualifies the case papers nor assumes that the papers placed in the other categories are somehow ‘‘better.’’ Surveys account for 53 of the paper, while 21 mathematical models and finally seven literature reviews (see their summary in the introduction) have been published. 3.3. Dimensions of sustainable development The articles were differentiated into three categories in relation to sustainable development. It should first be mentioned that the economic dimension was assumed as being covered by all papers, as only management related publications and journals form part of the assessment. Hence, three categories were formed, i.e., does the content address (1) environmental or (2) social issues, or (3) have both dimensions (environmental and social) been considered? Papers falling into the last category were classified as sustainable. Table 1 shows the results of this differentiation, while Table 2 additionally shows the distribution across the time period studied. Most of the articles (140) deal with environmental problems. This can be explained, as related issues have been on the agenda for a longer period of time. The high number of papers in 2001 is explained by a journal special issue of Greener Management International, which particularly looked at green topics. Still, it should be mentioned that the first paper included in the literature review by Drumwright (1994) [49] deals with social is￾sues. Only 20 papers focused on the social dimension, and a further 31 papers were classified as sustainable, as they integrate environ￾mental and social issues. For the sustainable ones, it is interesting that this integration only appears about 2002, from which year on a considerable number of papers is published. Figures on social aspect are more erratic in publication numbers. There are five each in 2002 and 2003, which account for half of all related papers. Carter and co-authors [17–23] account for seven of the papers on the social aspects. New (1997) [120], Ka¨rna¨ and Heiskanen (1998) [86] and Sarkis (2001) [136] are the first papers to integrate all three dimensions. This reveals a clear deficit in supply chain management and purchasing literature on social issues as well as on the amalgam￾ation of all three dimensions of sustainable development. Future research on these topics would be one of the clear recommenda￾tions towards researchers in the field. The relatively high number of eight paper incorporating sustainability issues might point into this direction [15,47,95,99,103,119,154,179]. 40 70 53 21 7 0 10 20 30 40 50 60 70 80 Theory Case Survey Model Review Number of papers (N=191) Fig. 3. Research methodologies employed. Table 1 Dimensions of sustainable development addressed in the papers Dimension(s) Number of papers (N ¼ 191) Environmental 140 Social 20 Sustainable 31 1702 S. Seuring, M. Mu¨ller / Journal of Cleaner Production 16 (2008) 1699–1710

1703S.Seuring. M.Miller / jourmnal of Cleaner Production 16 (2008) 1699-1710Table 2chain is only justified if the products and services are finallyDistribution of the papers according to the three dimensions of sustainability and"accepted"by customers.On the other hand,all modes oftimegovernmental control, be it from local municipalities, national orEnvironmental (140)Social (20)Sustainable (31)multi-national governments, are ofgreat relevance.An early paper19941.3.5801pointing towards this normative level is New [120]. He "advocates1995an expanded scope for supply chain management research which1996accounts for the social function and the political and economic19971111implications of supply chain developments".Cramer [40] proposes19981999241070an approach which "monitors new developments and trends in the32000environmental debate and changes in pressure exerted by external14534482001stakeholders". Roberts [134] emphasizes that action from NGOs,5.5.222002which hold focal companies responsible for environmental and2003social problems at earlier stages of their supply chain, can lead to2004292005a reputation loss for the focal company. The following criteria are822006frequently listed: legal demands/regulation, response to stake-2007holders, competitive advantage, customer demands, reputationloss, and environmental and social pressure groups (see e.g.[13,75,127,130,134,136,185,174,165,99,186]]4.TowardsaconceptualframeworkWhen the focal company is pressured, it usually passes thispressureon to suppliers.Here,onedistinctivefeature ofsustainableThe overall starting point was mentioned in Section 1 of thissupply chain management emerges. Looking at the overall supplypaper. Both sustainability management and supply chain man-chain (or life-cycle) of the product, the focal company quite oftenagement form the background against which the review is con-has to take a longer part of the supply chain into account thanducted. Now, we are aiming to conceptualize the field, which can beneeded for "pure" economic reasons (see e.g.[75,93,141,128]).seenasafirststeptowardstheorybuilding[226].Meredith[215]Related to this, barriers and supporting factors are mentioned,calls this a philosophical conceptualization,which here is based onwhich support or hinder the cooperation with suppliers (see e.g.reading the papers over and over again.Further, earlier versions of[98,26,14,22,68]). This holds true for having information on thethe literature review and some aspects of the conceptualizationenvironmental and social performance at the single productionwere presented at conferences and,therefore, discussed withstages, as well as on improving the performance of main suppliers.a large number of researchers in the field.The framework will beBased on these factors,a range of strategies canbe identifiedpresented in three parts, which are called:regardinghowcompaniesdealwithsuchissues.Toputitmoresimply, two different strategies can be used to summarize them.. Triggers for sustainable supply chain management,Bowen et al. [14] distinguish between "greening the supply pro-? supplier management for risks and performance, andcess" and "product based green supply"(see also [75]). Building on?supply chain management for sustainable productsthis, the two strategies are labelled as "supplier management forrisks and performance"and"supply chain management for sus-tainable products".While upon first glance these strategies seem tooppose each other, they nevertheless complement each other, as4.1.Triggers for sustainable supply chain managementwill also be outlined in Sections 4.2 and 4.3. Before this, a closer(quantitative) look is taken at pressure and incentives.As an initial step, the triggers for the field and related action areIn Table 3 the barrier and incentive categories are listedidentified. This is presented in Fig. 4, which will be outlined in fullaccordingtothenumberofpapersthatrefertothem,and wherebefore detailed aspects are subsequently discussed. Kleindorferseveral or all categories could have been addressed. Legal demandset al. [91] propose a similar figure, although they argue more on the(99entries)arethemostfrequentlymentioned,closelyfollowedbyindividual elements constituting it. There is no equivalent to theresponsetostakeholders(9o),whereenvironmental andsocialfurthertwopartsoftheframeworkpresentedherepressuregroups(38)formasubgroup.InterestingisthehighlevelThe starting points are external pressure and incentives set byof competitive advantage (96)and the low level of reputation lossdifferent groups. While stakeholders form the widest possible(30). This is in line with other studies, e.g., on the implementationdescription, two groups are of particular relevance. On the oneof environmental management systems, which is often not due tohand, customers are of great importance, as operating the supplythe direct demand enforced by a legal act, but instead because thecompanies aim to reduce related risks (see e.g. [109,38,131,95]).This, however, might partly be due to the dominance of case relatedPressures andpapers where"success stories" are presented. Similarly, in a survey,IncentivesGovernmentdesired behavior might be reported, but not actually displayed.Several publications call pressure groups a "central trigger." butFocalSuppliersCustomer(multi-tier)CompanyTable 3Pressures and incentives for sustainability in supply chainsStakeholderNumber of papers (N=191)Pressuresand incentives998Legal demands/regulationSupplierevaluationScMforJON96Customerdemandsfor risks and"sustainable"OResponse to stakeholdersensperformanceproductsCompetitive advantage38Environmental and social pressure groupsReputation lossFig. 4. Triggers for sustainable supply chain management

4. Towards a conceptual framework The overall starting point was mentioned in Section 1 of this paper. Both sustainability management and supply chain man￾agement form the background against which the review is con￾ducted. Now, we are aiming to conceptualize the field, which can be seen as a first step towards theory building [226]. Meredith [215] calls this a philosophical conceptualization, which here is based on reading the papers over and over again. Further, earlier versions of the literature review and some aspects of the conceptualization were presented at conferences and, therefore, discussed with a large number of researchers in the field. The framework will be presented in three parts, which are called: Triggers for sustainable supply chain management, supplier management for risks and performance, and supply chain management for sustainable products. 4.1. Triggers for sustainable supply chain management As an initial step, the triggers for the field and related action are identified. This is presented in Fig. 4, which will be outlined in full before detailed aspects are subsequently discussed. Kleindorfer et al. [91] propose a similar figure, although they argue more on the individual elements constituting it. There is no equivalent to the further two parts of the framework presented here. The starting points are external pressure and incentives set by different groups. While stakeholders form the widest possible description, two groups are of particular relevance. On the one hand, customers are of great importance, as operating the supply chain is only justified if the products and services are finally ‘‘accepted’’ by customers. On the other hand, all modes of governmental control, be it from local municipalities, national or multi-national governments, are of great relevance. An early paper pointing towards this normative level is New [120]. He ‘‘advocates an expanded scope for supply chain management research which accounts for the social function and the political and economic implications of supply chain developments’’. Cramer [40] proposes an approach which ‘‘monitors new developments and trends in the environmental debate and changes in pressure exerted by external stakeholders’’. Roberts [134] emphasizes that action from NGOs, which hold focal companies responsible for environmental and social problems at earlier stages of their supply chain, can lead to a reputation loss for the focal company. The following criteria are frequently listed: legal demands/regulation, response to stake￾holders, competitive advantage, customer demands, reputation loss, and environmental and social pressure groups (see e.g. [13,75,127,130,134,136,185,174,165,99,186]). When the focal company is pressured, it usually passes this pressure on to suppliers. Here, one distinctive feature of sustainable supply chain management emerges. Looking at the overall supply chain (or life-cycle) of the product, the focal company quite often has to take a longer part of the supply chain into account than needed for ‘‘pure’’ economic reasons (see e.g. [75,93,141,128]). Related to this, barriers and supporting factors are mentioned, which support or hinder the cooperation with suppliers (see e.g. [98,26,14,22,68]). This holds true for having information on the environmental and social performance at the single production stages, as well as on improving the performance of main suppliers. Based on these factors, a range of strategies can be identified regarding how companies deal with such issues. To put it more simply, two different strategies can be used to summarize them. Bowen et al. [14] distinguish between ‘‘greening the supply pro￾cess’’ and ‘‘product based green supply’’ (see also [75]). Building on this, the two strategies are labelled as ‘‘supplier management for risks and performance’’ and ‘‘supply chain management for sus￾tainable products’’. While upon first glance these strategies seem to oppose each other, they nevertheless complement each other, as will also be outlined in Sections 4.2 and 4.3. Before this, a closer (quantitative) look is taken at pressure and incentives. In Table 3 the barrier and incentive categories are listed according to the number of papers that refer to them, and where several or all categories could have been addressed. Legal demands (99 entries) are the most frequently mentioned, closely followed by response to stakeholders (90), where environmental and social pressure groups (38) form a subgroup. Interesting is the high level of competitive advantage (96) and the low level of reputation loss (30). This is in line with other studies, e.g., on the implementation of environmental management systems, which is often not due to the direct demand enforced by a legal act, but instead because the companies aim to reduce related risks (see e.g. [109,38,131,95]). This, however, might partly be due to the dominance of case related papers where ‘‘success stories’’ are presented. Similarly, in a survey, desired behavior might be reported, but not actually displayed. Several publications call pressure groups a ‘‘central trigger,’’ but Table 2 Distribution of the papers according to the three dimensions of sustainability and time Environmental (140) Social (20) Sustainable (31) 1994 1 1 1995 3 1996 5 1997 8 1 1 1998 10 1 1 1999 4 2000 11 3 2001 20 1 2002 7 5 4 2003 10 5 5 2004 12 2 3 2005 19 2 4 2006 8 4 2007 22 8 Fig. 4. Triggers for sustainable supply chain management. Table 3 Pressures and incentives for sustainability in supply chains Pressures and incentives Number of papers (N ¼ 191) Legal demands/regulation 99 Customer demands 96 Response to stakeholders 90 Competitive advantage 71 Environmental and social pressure groups 38 Reputation loss 30 S. Seuring, M. Mu¨ller / Journal of Cleaner Production 16 (2008) 1699–1710 1703