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Journal of Cleaner Production 99 (2015) 286e296

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Journal of Cleaner Production


journal homepage: www.elsevier.com/locate/jclepro

Environmental performance indicators: a study on ISO 14001 certied


companies
Lucila M.S. Campos a, *, Daiane Aparecida de Melo Heizen b, Miguel Angel Verdinelli c,
Paulo Augusto Cauchick Miguel a
a
Federal University of Santa Catarina, Department of Production Engineering and Systems, Campus Trindade, 88.040-900, Florianopolis, SC, Brazil
b
Federal Institute of Santa Catarina, Getlio Vargas Avenue, 830, Centro, 89.251-000, Jaragua do Sul, SC, Brazil
c
Universidade do Vale do Itaja, Uruguay Street, 458, Centro, 88.302-202, Itaja, SC, Brazil

a r t i c l e i n f o a b s t r a c t

Article history: Environmental management system has become one of the main tools used by companies to handle the
Received 3 July 2014 environmental aspects and the impacts that their activities have on the environment. In this context, this
Received in revised form work aims to demonstrate the results of a survey that identies a set of indicators of environmental
12 December 2014
performance to continuously manage and improve the environmental and performance management of
Accepted 5 March 2015
Available online 19 March 2015
ISO 14001 certied companies in the Southern region of Brazil. This research is descriptive as well as
quantitative and adopted two methods for factor analysis, the analysis of multiple correspondences and
the principal components analysis as well as a method of classication, the cluster analysis. Several
Keywords:
Environmental performance indicators
companies monitor the environmental and performance management of the industrial pulp and paper/
Environmental management system furniture/wood and textile sectors using indicators of environmental performance. As expected, orga-
EMS nizations from the services sector do not use such indicators. The results from cluster analysis also
ISO 14001 showed that legal and other requirements and environmental aspects are the both more representative
Survey research requirements. Finally, there is a great concern for companies to meet the legal requirements as well as
the conservation of environmental resources.
2015 Elsevier Ltd. All rights reserved.

1. Introduction in this direction (e.g. cleaner production, eco-efciency and life


cycle assessment), the environmental management systems (EMS)
Since the beginning of the 1980s, environmental concerns have have been the focus of much attention (Campos, 2012).
been incorporated into the strategic and operational decisions In the past two decades there have been a number of studies
taken by companies. Pollution caused by operation activities is devoted to EMS and its diffusion. Some research has focused on
viewed as an undesirable consequence that is no longer endorsed motivations for the standard's implementation (Morrow and
by many organizations. While many businesses have traditionally Rondinelli, 2002; Bansal and Hunter, 2003; Gonza lez-Benito and
resisted changes brought about by government legislation and Gonza lez-Benito, 2005; Chan and Wong, 2006; Boiral, 2007;
pressure from the public, many rms, through reluctant adoption Gavronski et al., 2008; Prajogo et al., 2012), while others have
or willing change, have found that a pro-environment stance can concentrated on the effects that these systems have on rms'
enhance a number of goals (Inman, 2002). environmental, operational and nancial performance (Klassen and
As a consequence, the importance of managing environmental McLaughlin, 1996; Melnyk et al., 2003). Studies have also empha-
activities to prevent negative aspects and impacts on the environ- sized that improvements in the organization's environmental per-
ment has been highlighted. Among the diverse environmental formance are benecial (Porter and Van der Linde, 1995; Bonifant
management practices that rms have implemented in recent years and Ratcliff, 1994; Link and Naveh, 2006; Lopez-Gamero et al.,
2010). These benets are not only for the environment but also for
the company's overall performance.
* Corresponding author. One particular research area that has drawn a lot of attention is
E-mail addresses: lucila.campos@ufsc.br (L.M.S. Campos), dheinzen@ifsc.edu.br the diffusion of ISO 14001 (To and Lee, 2014). A signicant body of
(D.A. de Melo Heizen), nupad@univali.br (M.A. Verdinelli), paulo.cauchick@ufsc.br literature on this research area has been available, offering insights
(P.A. Cauchick Miguel).

http://dx.doi.org/10.1016/j.jclepro.2015.03.019
0959-6526/ 2015 Elsevier Ltd. All rights reserved.
L.M.S. Campos et al. / Journal of Cleaner Production 99 (2015) 286e296 287

into how ISO 14001 diffuses at the country level (Casadesus et al., 2. Theoretical framework
2008; Delmas, 2002; Lagodimos et al., 2007; Qi et al., 2011;
Trierweiller et al., 2013), regional level (Delmas, 2002), and global Certied EMS have been highlighted in the literature among the
level (Albuquerque et al., 2007; Corbett and Kirsch, 2001; Nishitani, various practices of environmental management adopted by major
2010; Viadiu et al., 2006). companies over the last years, such as (Link and Naveh, 2006;
A second phase focused in studies devoted to the development Viadiu et al., 2006; Albuquerque et al., 2007): cleaner production,
of frameworks and methods to support EMS decision-making, eco-efciency, and the evaluation of the life cycle of products,
namely the evaluation and selection of different EMS alternatives. among others. An EMS is part of the management system of an
To this end, different approaches have been proposed, such as organization that aims to manage the environmental aspects
multicriteria techniques (Hui et al., 2001; Petroni, 2001; related to its activities, products and services (Perotto et al., 2008;
Sambasivan and Fei, 2008), hybrid models combining mathemat- Campos and Melo, 2008). From the normative point of view, ISO
ical programming, and other methods (Tsai and Chou, 2009; Celik, 14001 (ISO, 2004) denes an EMS as a set of inter-related elements,
2009). All of them are based on different sets of technical and a part of an organization's management system, used to develop
economic criteria in order to support decision-making (Guerrero- and implement its environmental policy and manage its environ-
Baena et al., 2014). mental aspects. Standards and procedures can be used by the or-
Even though research on EMS has an extensive literature, there ganization to put an EMS into operation. The three best-known
is still lack of in-depth investigation of internal dynamics in standards are the EMAS, the BS 7750 and the ISO 14001 (ISO, 2004).
maintaining ISO 14001 environmental management system The BS 7750 was developed in the United Kingdom and pub-
(Balzarova and Castka, 2008). The deployment of an EMS does not lished in 1994. It is a certication of British Standard Institute that
assure the effectiveness of environmental management (Rondinelli presents specications for the development, implementation, and
and Vastag, 2000; Melnyk et al., 2003; Campos, 2012). The maintenance of an EMS to ensure and demonstrate conformity
continuous monitoring of critical points of the system is also with the statements of the company with regards to its environ-
necessary, and these points are generally particular to each type of mental policy, objectives and goals. The BS 7750 served as a basis
organization. Some studies (e.g. Poksinska et al., 2003; Balzarova for the International Organization for Standardization (ISO) to
and Castka, 2008) advocate that indicators of environmental per- launch the ISO 14001 in 1996. According to British Standard Insti-
formance are not directly linked to the maintenance of EMS. tute website, since 2004 the BS 7750 was replaced by BS EN ISO
However, companies that do not use a set of EMS performance 14001: 2004.
indicators may not be managing their own environmental system The European Eco-Management and Audit Scheme System
(Henri and Journeault, 2008; Nawrocka and Parker, 2009). Thus, (EMAS) was adopted by the European Union Council (EC) in June,
they must continuously assess the environmental performance to 1993. It has been opened to volunteer participation by companies
assure success either in developed or developing nations. since April 1995. A new version of this standard was published in
The academic community has witnessed a strong interest in the November, 2009 (EC e N 1221/2009 of the European Parliament
BRICS - Brazil, Russia, India, China, and South Africa context. This and Council). The primary objective of EMAS is to promote the
justies Brazil as focused of the present study. The country is continuous improvement of the environmental performance of
considered one of the most promising developing nations, industrial activities. It also aims to: (i) establish and implement
responsible for approximately 30% of Latin America's gross do- environmental policies, management programs and organizational
mestic product (GDP). BRICS0 countries in general have been systems; (ii) conduct a periodical evaluation of performance of the
improving the number of companies certied by ISO 14001 from elements that are part of the regulations; and (iii) to inform the
1999 until 2010 (ISO, 2010) an, Brazil is the country with the most community about the organization's environmental performance.
companies under the environmental management system ISO It allows European Union companies that develop industrial ac-
14001 (2004) in Latin America. According to the same database tivities to obtain registrations of their units with an EC commission.
(ISO, 2010), the number of certications has grown year by year in An ofcial European Union document containing a list of all
the country (from 1999 to 2010). Likewise, the interested in registered units is published annually. A registration is considered a
research related to ISO 14001 diffusion in Brazil has also been certicate of good environmental performance for those com-
disseminated (Silva and Medeiros, 2004; Oliveira et al., 2010; panies that obtain it.
Jabbour, 2010, 2013b; Trierweiller et al., 2013; Ferenhof et al., The ISO 14001 is an international environmental standard that
2014). By examining the Brazilian scenario, a study conducted by species requirements related to an EMS to allow the organization
Silva and Medeiros (2004) also shows that the number of com- to devise its policy and objectives while considering the legal re-
panies adopting environmental practices has increased each year. quirements and information concerning signicant environmental
Nevertheless, most of these companies have insufcient knowledge impacts. A rst version was launched in 1996, and a second one was
about environmental management systems and do not evaluate launched in 2004 after some changes. Since the launch of the rst
their environmental performance. version of the ISO 14001, the number of certied companies in the
In this context, this work aims to demonstrate a set of EMS in- world has continuously grown (Bansal and Hunter, 2003; Balzarova
dicators of performance used by companies certied by ISO 14001 and Castka, 2008).
in the Southern region of Brazil. This region was choose because is Despite the EMAS have arisen before, undoubtedly the ISO
one of the most important and industrialized region of this country. 14001 gained more notoriety and has become the EMS standard
A question is this sense is then proposed: what are the key envi- most worldwide applied. Regarding environmental performance
ronmental performance indicators used by companies to manage and different standards (EMAS or ISO 14001), Testa et al. (2014), for
their EMS certication according to ISO 14001? To address this instance, investigated the impacts of EMAS and ISO 14001 on the
question, this work is organized as follows. Firstly, it provides a reduction of carbonic anhydride emissions on 229 energy intensive
short literature review of environmental management systems and plants in Italy. The results suggested that the implementation of an
performance indicators. Secondly, research methods are described. environmental management system in energy intensive industries
Thirdly, survey results are presented and discussed and, nally, has a clear inuence on environmental performance both in the
some conclusions are drawn and recommendations for future short and in the long term, but a different effect of ISO 14001 and
studies are offered. EMAS on environmental performance occurs.
288 L.M.S. Campos et al. / Journal of Cleaner Production 99 (2015) 286e296

Until 2012, 285,844 companies were certied in 165 countries  possesses a high capacity and the necessary competencies to
(ISO, 2012). The number of studies that investigated the global obtain the certicate (in other words, the effort would not be
spread of the standard (e.g. Corbett and Kirsch, 2001; Gavronski excessive);
et al., 2008; To and Lee, 2014) and the adoption of environmental  holds adequate knowledge about the standard, the impacts of
management systems in various countries also increased during their activities (internal and external), and identies certica-
this time. These countries included the USA (Babakri et al., 2003), tion as a strategic action for the organization.

Slovenia (Selih, 2007), Spain (Rodrguez et al., 2007, 2011), China
(Hui et al., 2001; Zeng et al., 2005; Qi et al., 2011), Germany A number of works have focused their research on the deni-
(Morrow and Rondinelli, 2002), Australia (Zutshi and Sohal, 2004), tion, importance, characteristics, objectives or benets of perfor-
Turkey (Turk, 2009), Brazil (Avila and Paiva, 2006; Pombo and mance measurement indicators (e.g. Adriaanse, 1993; Hronec,
Magrini, 2008; Gavronski et al., 2008; Campos, 2012; Trierweiller 1994; Tunstall, 1994; Hammond et al., 1995; Kaplan and Norton,
et al., 2013), Japan (Nakamura et al., 2001), among others. 2000). Environmental indicators are considered instrumental
Particularly in Brazil, the evolution and interest in EMS subject concepts that must be added to the objectives of society. Collabo-
have been growing in the past two decades. In a rst phase, the rst rations between academics and practitioners become indispens-
papers were related to a general overview of the system (Silva and able in addition to government and institutions in order to analyze
Medeiros, 2004; Pombo and Magrini, 2008), performance results the environmental data and it to propose timely environmental

(Avila and Paiva, 2006; Oliveira et al., 2010), or motivations and policies (Daz-Moreno, 1999). Each indicator should be related to a
benets (Gavronski et al., 2008) of the EMS implementation in the particular environmental problem (Manteiga, 2000). Thus, the in-
country. dicator of an environmental system responds to a generic and
Then in a second phase some concern on the adoption of entirely social interest e the sustainability of development. The
environmental practices in ISO 14001 certied companies can be indicators of environmental performance are directly or indirectly
observe (Oliveira and Pinheiro, 2009; Gavronski et al., 2013; Teles measured from environmental quality, and they express the per-
et al., 2014), the evolution and disclosure of EMS (Jabbour, 2010; formance of the surrounding companies (Tocchetto and Tocchetto,
Trierweiller et al., 2013), the use and integration with other man- 2004). The authors add that these indicators are used to evaluate
agement systems (Oliveira, 2013; Jabbour et al., 2014), and link with and present the trends of conditions for a given environment. They
tools like lean manufacturing (Jabbour et al., 2013a). Moreover, also allow for checking the effectiveness of deployed actions and to
some research regarding the relation between EMS and environ- compare them with those obtained by competing companies.
mental performance can be identied (Campos and Melo, 2008; The ISO 14031 standard is a conceptual reference to the selec-
Jabbour et al., 2013a, 2014), the EMSs and protability (Ferron tion of environmental performance indicators e Environmental
et al., 2012), and if environmental practices is a competitive prior- Management e environmental performance evaluation guidelines
ity for Brazilian companies (Jabbour et al., 2012). e that has been used in Europe since 1999. This standard specif-
A strong line of research in Brazil has been the one that deals ically addresses the guidelines for environmental performance
with the relationship between environmental management in ISO evaluation and the adoption of indicators; it lists more than 100 of
14001 certied companies and human resources environmental these guidelines. ISO 14031 (ISO, 2013) describes two general cat-
training (Jabbour et al., 2008; Jabbour and Santos, 2008a, 2008b; egories of indicators to be considered when evaluating the envi-
Teixeira et al., 2012; Jabbour, 2013a, 2013b; Jabbour et al., 2013b). ronmental performance:
There has also been a line of studies on the application of EMS in
the context of small and medium-sized companies (Campos, 2012;  Environmental condition indicators provide data and informa-
Ferenhof et al., 2014). tion about the local, regional, national or global conditions of
environmental quality. The measurements carried out according
The reasons for implementing an EMS vary (Campos, 2012).
to environmental standards and rules established by the legal
Most motivations are related to external factors, such as the orga-
standards and devices.
nization's image, market-related advantages, the demands of the
 Environmental performance indicators provide data and infor-
market and/or customer, or seeking improved stakeholder
mation about the organization's environmental performance
communication (Hillary, 2004; Potoski and Prakash, 2004). How-
and are classied in two types: (i) managerial, which provide
ever, internal factors also are reasons, such as the emergence of
information about the management efforts that positively in-
response, improved information ows (Potoski and Prakash, 2004;
uence the environmental performance of the organization as a
Gavronski et al., 2008), employee motivation, waste reduction,
whole, and (ii) operational, which provide information related
increased operational efciency (Boudouropoulos and
to the environmental performance on the operation of the
Arvanitoyannis, 1999) as well as nancial and organizational ben-
production process.
ets (Hillary, 2004).
Other publications demonstrate the main benets introduced
In this context, the present work was guided by the theoretical
by the adoption of an EMS: gaining new markets and customers
studies of the management and evaluation of environmental per-
(Zutshi and Sohal, 2004; Delmas, 2002), improvement in the
formance as well as the types of performance indicators, leading to
quality of organizational management (Lawrence et al., 2002), and
the following research questions: what are the key environmental
intangible benets, such as (Delmas, 2002; Zutshi and Sohal, 2004):
performance indicators used by companies to manage their EMS
improved internal and external process communication, employee
certication according to ISO 14001? In addition, are there simi-
motivation, and organizational image.
larities between the indicators used by companies in the same in-
The certication is a voluntarily process of structured commu-
dustry? To address those questions, next section describes the
nication that informs a company's stakeholders about its environ-
research procedures employed in this study.
mental management (Melnyk et al., 2003). In summary, an
organization seeks certication when a company:
3. Research methods

 feels compelled to meet the economic demands or when the


The present research can be characterized as descriptive based
change is market-driven;
on Pinsonneault and Kraemer (1993). It was carried out via
L.M.S. Campos et al. / Journal of Cleaner Production 99 (2015) 286e296 289

survey-based research by following guidelines in the literature 4.1. Demographics of companies


(Forza, 2002). The study is considered as an exploratory because
it addresses a subject that is relatively unexplored in the inter- Twenty industrial sectors registered in a database (RMAI, 2005)
national literature (environmental performance indicators within were used to dene the economic sectors. Ten companies from 20
the context of ISO 14001 companies). The data were gathered economic sectors answered the questionnaire, as summarized in
using a questionnaire sent to a set of companies with an ISO Table 1.
14001 certication in Southern Brazil (State of Santa Catarina). The individual who answered the questionnaire was usually the
The Southern region is the second most industrialized in the Management System Coordinator, with the larger number of an-
country. The companies are from the State of Santa Catarina, swers (22). Others included: production managers (06), environ-
which is one of the fastest growing industrial territories in the mental analysts (05), internal consulting people (03), industrial
nation. Another relevant aspect in the investigated context is the engineers (02), and technical assistants (01). Based on the answers,
changes of environmental legislation in emerging countries (such most respondents (72%) were directly related to the environmental
as China and Brazil part of the so-called BRIC - Brazil, Russia, management department. Moreover, an expressive number of re-
India, and China), that will affect organizational managers spondents participated in the critical analysis of the environmental
(Gunasekarana et al., 2014). management system (EMS) of the company. It is worth mentioning
The study sample contained 73 organizations, which were that green teams are frequently considered in the state-of-the-art
included in the Brazilian National Institute of Standards, literature as an essential factor for companies aiming to imple-
Metrology and Quality (INMETRO), where secondary data were ment and improve environmental management approaches and
accessed to retrieve contact data from the organizations. The practices (Jabbour et al., 2013b). Therefore, the involvement of the
companies belonged to different industrial sectors. After con- respondents in the critical analysis and their knowledge of the
tacting the companies, some of them no longer complied with ISO environmental management system can be considered as key
14001 certication. So, the sample size was reduced to 62 points for maintaining the EMS.
companies. Concerning the number of employees, the data collection in-
The survey instrument was a 9-page questionnaire with opened strument considered three groups for classication purposes, as
and closed questions that could be completed in about 20 min. shown in Table 2: small size companies, medium size, and large size
After constructing the questionnaire considering the literature, the companies. As can be seen in Table 2, the majority of respondents
instrument was pilot-tested. Data were collected by answering it in are medium-sized companies.
online. To gather data, all companies were contacted by telephone The results showed in Table 2 corroborated ndings from other
before e-mailing the website link. The response rate was 63% (39 similar study (Oliveira et al., 2010). Oliveira et al. (2010) veried the
companies), which is an adequate response rate according to Forza benets and difculties of Environmental Management Systems
(2002). based on ISO 14001 at companies in the state of Sa ~o Paulo, Brazil.
For data analysis, a multivariate analysis was applied to analyze Similarly, the major respondents were also medium-sized com-
the data with a two-factorial model. The rst used a multiple cor- panies (43,5%).
respondence analysis (MCA) because the scale was semantic in The origin of most respondents were national (56%), followed by
nature, which inhibited the application of other methods that multinational companies (33%). Companies with mixed capital (8%)
require quantitative variables (Hair Jr. et al., 2010). The MCA was and government companies (3%) were also represented in the
used in all types or categories indicated by the respondents. For sample. Concerning the ISO 14001 certication, the major part of
each question, the following options were available: never use, the companies was certied between 2001 and 2002, as showed in
rarely use, frequently use, and always use. Table 3. Oliveira et al. (2010) found a similar result. Their sample
In the second analysis, some questions related to the re- shows a concentration of certication of companies in Sa ~o Paulo
quirements of ISO 14001 were selected for further cluster analysis. around 2001 and 2003.
A number of environmental indicators adopted by companies to The BVQI (Bureau Veritas) stands out as the preferred certifying
monitor their EMS was used to analyze the data. Principal com- body (48%), followed by DNV e Det Norske Veritas (12%). The
ponents analysis (PCA) was applied to evaluate the relationship BRTV and the ABS Quality Evaluations are the third most popular
between the variables and the likeness or similarity among com- certifying body (with 8% of companies).
panies, as established by Tabachnick and Fidell (2001). For the
cluster analysis, the PCA extracts a number of factors. Five factors 4.2. Main environmental performance indicators according to
were chosen because they represented 93.94% of the variance. The standard requirements
clusters were obtained using Ward's joining method (Hair Jr. et al.,
2010), and the Euclidian distance was chosen as measure of Data analyses have shown that seven requirements stand out for
resemblance or similarity allowing for the creation of a most companies that always and/or frequently monitor
dendrogram.

Table 1
Economic sectors surveyed.
4. Results and discussion
Economic sector Respondents
The results of this study are presented as follows. Firstly, the Paper and cellulose/furniture/wood 19%
prole of the companies is outlined, followed by the performance Services 13%
indicators checked by the ISO 14001 requirement using the results Food 10%
Electric and electronic home appliances 10%
of the Multiple Correspondence Analysis (MCA). Because of the
Metallurgy 10%
type of requirements, the indicators may be operational or mana- Tobacco 10%
gerial. Principal Components Analysis and Cluster are secondly Textile 10%
presented. Finally, a correlation among the main groups of com- Petrochemical 8%
panies, predominant industrial sectors, and standard requirements Civil construction 5%
Transport 5%
with key indicators are highlighted.
290 L.M.S. Campos et al. / Journal of Cleaner Production 99 (2015) 286e296

Table 2 indicators for seven requirements, i.e. those most commonly used
Number of employees in companies. by certied companies and that contribute to effectiveness of the
N of employees Respondents EMS. Thus, those were further veried. The ve performance in-
Fewer than 100 18%
dicators for each requirement that had the highest frequency of
From 100 to 1000 59% always and frequently were then selected. For example, the ten
More than 1000 23% most commonly used indicators were selected for the 4.3.1.
Environmental Aspects requirement.
The following tables show the main indicators and how to
Table 3 measure them: Table 4 (4.3.2 Legal and other requirements),
ISO 14001 certication per year (n 62 Table 5 (4.4.2 Competence, training and awareness), Table 6 (4.4.7
companies). Emergency preparedness and response), Table 7 (4.5.2 Evaluation
Year Percentage of legal and other requirements), Table 8 (4.5.3 Nonconformity,
1998 5%
Corrective Action and Preventive Action), Table 9 (4.5.1 Monitoring
1999 10% and Measurement), and Table 10 (4.3.1 Environmental Aspects).
2000 13% These results are discussed in sequence by considering the size of
2001 20% companies as well as the economic industrial sectors that stood out
2002 18%
for their use of indicators.
2003 15%
2004 10% The performance indicators showed in the previous tables is
2005 3% relevant to be highlighted. Boog and Bizzo (2003) argue that the use
2006 5% of performance indicators as management tools demonstrates the
effectiveness of the organization to ensure clear operational and
environmental conditions. The demonstration of these conditions
environmental performance. These requirements were: 4.3.2. Legal directs the efforts of companies towards preventive environmental
and other requirements; 4.4.2. Competence, training and aware- actions and/or corrective ones. Nevertheless, a performance indi-
ness; 4.4.7. Emergence, preparedness and response; 4.5.2. Evalua- cator system should be deployed based on the organization's
tion of compliance; 4.5.3. Non-conformances, corrective and mission and related to strategies via the identication of critical
preventive action; 4.3.1. Environmental aspects; and 4.5.1. Moni- success factors of its business. This requirement may be a barrier for
toring and measurement. the use of indicators in small businesses (Campos, 2012) because
Companies most often use indicators of the performance re- they are the more systematically used by medium and large
quirements that are more directly associated with legal re- companies.
quirements (emergency preparedness and response, assessment of Finally, the results obtained via the correspondence technique
legal and other requirements and environmental aspects). This show that companies in the pulp and paper/furniture/wood, textile,
nding is corroborated by Donaire (1994), who argues that the electrical/electronics and tobacco industries always used the
internalization of environmental variables by companies is the performance indicators. However, the services sector, petrochem-
result of external inuences from the environmental legislation, ical industry, construction industry and transportation industry do
and from the pressures demanded by the national and interna- not use and/or rarely use most of the performance indicators. These
tional community, which results in internal repercussions for or- last ndings differ from the previous one if the environmental
ganizations (Balzarova and Castka, 2008). impact of companies activities from those sectors were considered.
Considering the large amount of indicator requirements for ISO An unexpected result were from petrochemical companies since
14001 (total of 188), this work emphasizes the key performance these organizations do not adopt performance indicators. As well-

Table 4
Main performance indicators of requirement 4.3.2.

Environmental-managerial performance indicators How to assess

Compliance with the legislation Total of items required by legislation/total number of times that legislation
has not been followed  100
Number of complaints reported regarding the environment Total of complaints reported to the company regarding the environment
Number of legal non-conformities registered Total of legal non-conformities registered per year (includes nes, lings,
contaminations)
Legal parameters regarding the discharge of efuents required by legislation Total of legal parameters (includes DBO, DQO, phosphorus, fecal coliforms,
total coliforms, etc.)
Number of accidents occurred throughout company history Total of employee accidents throughout company history
Industrial sectors: Civil construction; Tobacco; Paper and Cellulose/Furniture; Food; Metallurgy and Electric/Electric-Electronic.

Table 5
Main performance indicators of requirement 4.4.2.

Managerial environmental performance indicators How to assess

Investment in activities for environmental awareness Total of investments destined to activities of environmental awareness
Occupational safety percentage (Number of accidents at work/total employees)  100
Employee satisfaction percentage General result of the employee satisfaction research
Employee's educational index {(5  total of doctors) (3  total of masters) (2  total of specialists)
(1  total of graduate employees)/total of employees}
Investment in training and development per employee Total of resources applied in training and development/n of employee
Industrial sectors: Metallurgy; Electric/Electric-Electronic; Petrochemical and Textile.
L.M.S. Campos et al. / Journal of Cleaner Production 99 (2015) 286e296 291

Table 6
Main performance indicators of requirement 4.4.7.

Managerial environmental performance indicators How to assess

Number of emergency simulations carried out (ISO 14031)i Total of emergency simulations carried out during the year
Emergency action plans Total of implanted emergency action plans
Response to emergencies Total of fast responses to environmental accidents
Communication of risks Total of communications about the environmental risks of the company
Number of emergencies attended Total of emergencies attended per year
Sectors: Paper and Cellulose/Furniture; Electric/Electric-Electronic and Textile.

Table 7
Main performance indicators of requirement 4.5.2.

Managerial environmental performance indicators How to assess

Time to answer or correct environmental accidents (ISO 14031) Total time to answer or correct environmental accidents in the year/number
of environmental incidents in the year
Level of compliance with regulations (ISO 14031) (Number of complied regulations/Total number of regulations)  100
Level of compliance by service companies with company requirements and (Total of compliance with company requirements and expectancies in
expectancies in contracts (ISO 14031) contracts/Total of services carried out)  100
Number of positive and negative reports regarding the company's environmental Sum of the printed reports (positive negative)
activities
Number of external environment initiatives reported to support the company Sum of the external environment initiatives
Sectors: Paper and Cellulose/Furniture; Metallurgy and Textile.

Table 8
Main performance indicators of requirement 4.5.3.

Managerial environmental performance indicators How to assess

Number of identied corrective actions that have ended or those that have not yet Total of corrective actions identied in the year
ended (ISO 14031)
Number and type of non-compliance incidences with national or international Total of non-compliance incidences with national or international
standards in force standards in force during the year (per type)
Number of non-conformities detected during internal audits Total of non-conformities received in SGA internal audits
Number of corrective and preventive actions started Total of corrective and preventive action reports started
Percentage of effectiveness of non-conformities, corrective and preventive actions started (Total of effective actions/total of actions started)  100
Industrial sectors: Paper and Cellulose/Furniture; Electric/Electric-Electronic;
Petrochemical and Tobacco.

Table 9
Main performance indicators of requirement 4.5.1.

Operational environmental performance Indicators How to assess

Number of defective products (ISO 14031) (Total of defective products/total of products produced)  100
Number of energy units consumed during product use (ISO 14031) Total of energy units consumed during product use
Amount of fuel consumed (ISO 14031) Total of fuel consumed in the year
Total of electric energy Total of monthly electric energy consumed in Mwh per ton of produced proles
Volume of water consumed Total of the monthly volume of water consumed in m3 per ton of produced proles
Industrial sectors: Paper and Cellulose/Furniture; Electric/Electric-Electronic and Tobacco.

Table 10
Main performance indicators of requirement 4.3.1.

Operational environmental performance Indicators How to assess

Amount of energy used per year or per product unit (ISO 14031) Total energy used per year or per product unit
Amount of waste for disposal (ISO 14031) Total of waste for monthly disposal
Amount of waste stored on-site (ISO 14031) Total of waste stored on-site monthly
Noise measured at a location (ISO 14031) Total of noise measured per location
Recycling of waste Total waste recycled monthly
Consumption of raw materials Total of raw materials used monthly
Production of solid waste Total of solid waste produced monthly
Physical and chemical qualities of efuents Verify compliance with legislation (administrative rule SSMA 05/89)
Amount of acquired electricity Total amount of electricity acquired monthly
Total energy consumption Total of monthly energy
Industrial sectors: Paper and Cellulose/Furniture; Electric/Electric-Electronic; Petrochemical and Textile.
292 L.M.S. Campos et al. / Journal of Cleaner Production 99 (2015) 286e296

know, this is a highly impactful sector due to the nature of its op- This group primarily consisted of the industrial paper and cellulose/
erations, as the pulp and paper/furniture/wood, textile, electrical/ furniture/wood sector (E11, E12, E25, E37, and E38), which was
electronics and tobacco industries. represented by only 2 companies, number 22 and 30 in another
group. This group highlights companies that always or
frequently use most of the performance indicators required by
4.3. Analysis of principal components (ACP) and groups of
the standard.
companies
The third group formed exclusively by two companies (E8 and
E9) in the transport industry that uses a minimum amount of
The analysis veried that the rst two factors regained 78.81% of
environmental performance indicators required by the standard
the inertia of the system, which was sufcient to be included in the
was also emphasized. The remaining groups are represented by the
study. When predicting the variables shown in Fig. 1, the main plan
tobacco, electricity/electro-electronics/electronic, petrochemical
(performance indicators by requirement of the standard) indicated
and provision of services industry, which use a small number of
positive correlations between the majorities of indicators, as
performance indicators required by the standard compared to the
demonstrated by the acute angles between the vectors that
rst group, as discussed earlier.
represent the variable. An angle of approximately 90 between the
The group analysis (dendogram in Fig. 2) considered six groups
indicators Non-conformances, Corrective Action and Preventive
of companies (G1 a G6) and industrial prioritized sectors related to
Action (NCACP), Emergency Preparedness and Response (PRAE)
standard requirements and main environmental indicators. The
and Legal and other requirements (RLEO) denotes a lack of as-
criterions to select the indicators were the top three most
sociation among these indicators. In other words, the uctuations
frequently adopted by the groups of companies. However, in some
in the number of indicators that a company uses for NCACP, for
groups the indicators had the same frequency. Therefore, those
example, does not depend on the number of indicators used for
were described as having the same value.
PRAE and RLEO, which are interrelated. The indicators Non-con-
Table 11 shows the industry sectors, the standard requirements,
formances, Corrective Action and Preventive Action (NCACP) were
and a list of the key performance indicators most frequently used
also veried to have higher correlation with the indicator Moni-
by companies, as grouped by cluster analysis.
toring and Measurement (MOME), followed by Operational
In the rst group of companies (G1) ve sectors are represented.
Control (COPE).
The last two, which belong to the food industry and tobacco, has the
A cluster analysis was then conducted from factorial scores of
same number of companies. Therefore, they share the same posi-
companies, including the rst ve factors that accounted for 93.43%
tion. It is noteworthy that this group most frequently used three
of the variance. The group constitution was obtained by the com-
performance indicators of a single standard requirement: Legal and
bined Ward method, and the Euclidian distance measure of simi-
other requirements (RLEO). This means that such companies are
larity or likeness was chosen to generate the dendrogram showed
concerned primarily with monitoring indicators basically related to
in Fig. 2.
the legal demands.
Using the distance of combination 8 as the cutting line for the
The second group (G2) primarily consists of the tobacco in-
interpretation, the grouping of six companies was veried (high-
dustry, followed by service sectors and food industry. Those sector
lighted with colors (in the web version) in Fig. 2). This result shows
have the same number of companies and monitor 15 performance
that the rst group consisted of twelve companies (E24 to E6) and,
indicators more frequently. It was not possible to select only the
thus, it was the most homogeneous compared to the remaining.
three main indicators because there is no predominance of any of
them since all have the same percentage of frequency of use. These
indicators belong to four standard requirements: RLEO (Legal and
other requirements), CTEC (Competence, training and awareness),
NCACP (Non-conformances, corrective and preventive action) and
AAMB (Environmental aspects).
The third (G3) and fth (G5) group, stand out because they are
formed by only one industrial sector, namely: transportation and
petrochemicals respectively. The transport sector more frequently
uses two main performance indicators from the requirements RLEO
(Legal and other requirements) and CTEC (Competence, training
and awareness). Once again, this result show the concern for
compliance with legislation and environmental awareness. For this
group (G3) the third most frequent was not selected because of
having many indicators with the same percentage of use. The
petrochemical sector pointed out four most used indicators (of
which the last two have the same percentage of use) related to
RLEO (Legal and other requirements), ARLO (Evaluation of
compliance) and AAMB (Environmental aspects).
When analyzing the fourth group of companies (G4) the three
main performance indicators concern the requirements: AAMB
(Environmental aspects) and MOME (Monitoring and measure-
Fig. 1. Projection of the variables. Environmental Policy (PAMB); Legal and other re- ment). They are frequently used for six industry sectors, with the
quirements (RLEO); Objectives, Targets and Programs (OMEP); Resources, Functions, same number of companies in some sectors. From the data shown
Responsibility and Authority (RFRA); Competence, training and awareness (CTEC); in Table 11, it is possible to conclude that this group is concerned
Communication (COMU); Emergence, preparedness and response (PRAE); Evaluation about the environment, primarily by controlling energy resources
of compliance (ARLO); Non-conformances, corrective and preventive action (NCACP);
Environmental aspects (AAMB); Operational Control (COPE); Monitoring and mea-
and water.
surement (MOME). Finally, the sixth group of companies (G6) is formed mainly by
Source: Research data. the service sector, followed by the metallurgical industries, food
L.M.S. Campos et al. / Journal of Cleaner Production 99 (2015) 286e296 293

Fig. 2. Dendrogram of companies from factorial scores of ACP. The numbers after the letter E represent the companies' respondents (from 1 to 39) and sector (from 1 to 10). The
following industries were included: 1 paper and cellulose/furniture/wood; 2 food; 3 civil construction; 4 Electricity/electric-electronic/electronic; 5 metallurgy;
6 provision of services; 7 textile; 8 transport; 9 tobacco; 10 petrochemical.
Source: Research data.

and textile, which have the same number of companies. These The second group is characterized by a higher number of com-
organizations employ a large number of performance indicators, panies that do not or rarely use most of the performance in-
but there is no predominance of any one. Therefore, it was not dicators (standard requirements: 4.4.3 Communication, and 4.4.6
possible to select the top three considering the frequency of use. Control operational). Apparently, these requirements are more
Indicators listed in Table 11 are from the following requirements: qualitatively monitored while considering that the standard does
CTEC (Competence, training and awareness), PRAE (Emergence, not require the company to systematically monitor or measure all
preparedness and response), NCACP (Non-conformances, correc- of the requisites of the standard. Nevertheless, this requires more
tive and preventive action) and AAMB (Environmental aspects). in-depth studies.
Finally, one can clain that the overall picture in Table 11 suggests The third group was formed exclusively by the requirement
that the requirements RLEO (Legal and other requirements) and 4.5.1 Monitoring and Measurement. This group was characterized
AAMB (Environmental aspects) were most commonly used. This by an apparent uncertainty regarding the use of operational in-
demonstrated that the company concern is centered in complying dicators. Four of the 10 industrial sectors claimed they always or
to the legal requirements in addition to the conservation of envi- often use most of the indicators listed. Likewise, four of the 10
ronmental resources, which may be considered as basic. industrial sectors stated they rarely or never use the same in-
dicators. Nevertheless, the analysis of the sectors themselves has
not shown a discrepancy. The set of sectors that checked always
5. Conclusions or often used consists of paper and pulp companies as well as the
furniture/wood, textile, electrical/electronic and tobacco industries,
This work presented the results of a survey that sought to which have greater control of their activities because they are un-
determine the set of environmental performance indicators that der more pressure from society. The transport, services and con-
have been used by companies certied by ISO 14001 in Southern of struction sectors suffer less pressure.
Brazil. This work intended to contribute to the environment com- The data also indicate that the pulp and paper/furniture/wood
munity that addresses this subject and companies that want to and textiles sectors of the Southern of Brazil generally consist of
manage and continually improve their EMS. companies that encompass some sort of monitoring of their EMS
The data analysis indicated three different sets of requirements using environmental performance indicators. This trend can be
for the standard. The rst group is characterized by a higher attributed to the fact that these two sectors were pioneers in
number of companies and/or sectors that always or often use seeking to certify their EMS. The companies in the services sectors
most of the indicators (standard requirements: 4.3.2 Legal and are the least likely to use indicators, probably because its features
other requirements; 4.3.3 Objectives, goals and programs; 4.4.7 are less polluting.
Emergency preparedness and response; 4.5.3 Nonconformity, From cluster analysis, groups of companies related to the in-
corrective action and preventive action, and 4.3.1.environmental dustrial sectors, the standard requirements and a summary of the
aspects). Companies most frequently use performance indicators key performance indicators used more frequently were also iden-
that are directly associated with legal requirements, possibly tied. Legal and other requirements (RLEO) and Environmental
because companies are forced to meet the environmental Aspects (AAMB) are the requirements most representative. In
regulations. addition, there should be a concern for companies to meet the legal
294 L.M.S. Campos et al. / Journal of Cleaner Production 99 (2015) 286e296

Table 11
Main groups of companies by sectors, standard requirements, and performance indicators most frequently used.

Groups of Priority sectors Requirements of the standard Name of the main indicators used
companies

G1 1 Paper and RLEO 1 Compliance with the legislation


cellulose/furniture/wood 2 Number of legal non-conformities registered
2 Metallurgy 3 Legal parameters regarding the discharge of efuents required by legislation
3 Textile
4 Food
4 Tobacco
G2 1 Tobacco RLEO/CTEC/NCACP/AAMB 1
Compliance with the legislation
2 Provision of services 2
Number of complaints reported regarding the environment
2 Food 3
Number of legal non-conformities registered
4
Legal parameters regarding the discharge of efuents required by legislation
5
Occupational safety percentage
6
Investment in training and development per employee
7
Number of identied corrective actions that have ended or those that have
not yet ended
8 Number and type of non-compliance incidences with national or
international standards in force
9 Number of non-conformities detected during internal audits
10 Number of corrective and preventive actions started
11 Percentage of effectiveness of non-conformities, corrective and
preventive actions started
12 Amount of waste for disposal
13 Recycling of waste
14 Production of solid waste
15 Physical and chemical qualities of efuents
G3 1 Transport RLEO/CTEC 1 Compliance with the legislation
2 Investment in activities for environmental awareness
G4 1 Electricity/electric-electronic/ AAMB/MOME 1 Total energy consumption
electronic 2 Total of electric energy
2 Paper and cellulose/furniture/ 3 Volume of water consumed
wood
2 Provision of services
2 Civil construction
3 Textile
3 Food
G5 1 Petrochemical RLEO/ARLO/AAMB 1 Number of legal non-conformities registered
2 Number of accidents occurred throughout company history
3 Time to answer or correct environmental accidents
4 Total energy consumption
G6 1 Provision of services CTEC/PRAE/NCACP/AAMB 1 Occupational safety percentage
2 Metallurgy; 2 Number of emergency simulations carried out
2 Food 3 Number of emergencies attended
2 Textile 4 Number of identied corrective actions that have ended or those
that have not yet ended
5 Number of non-conformities detected during internal audits
6 Number of corrective and preventive actions started
7 Percentage of effectiveness of non-conformities, corrective and
preventive actions started
8 Amount of energy used per year or per product unit
9 Amount of waste for disposal
10 Amount of waste stored on-site
11 Noise measured at a location
12 Recycling of waste
13 Consumption of raw materials
14 Production of solid waste
15 Amount of acquired electricity
16 Total energy consumption

Requirements of the standard: Legal and other requirements (RLEO); Competence, training and awareness (CTEC); Non-conformances, corrective and preventive action
(NCACP); Environmental aspects (AAMB); Monitoring and measurement (MOME); Evaluation of compliance (ARLO); Emergence, preparedness and response (PRAE).

requirements as well as the conservation of environmental re- should consider increase the external validity by expand the survey
sources, which is, in fact, a conrmatory result. to other parts of the nation.
Finally, this work does suffer from limitations when conducting
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