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Smart Innovation, Systems and Technologies 155
Peter Ball
Luisa Huaccho Huatuco
Robert J. Howlett
Rossi Setchi Editors
123
Smart Innovation, Systems and Technologies
Volume 155
Series Editors
Robert J. Howlett, Bournemouth University and KES International,
Shoreham-by-sea, UK
Lakhmi C. Jain, Faculty of Engineering and Information Technology,
Centre for Artificial Intelligence, University of Technology Sydney,
Sydney, NSW, Australia
The Smart Innovation, Systems and Technologies book series encompasses the
topics of knowledge, intelligence, innovation and sustainability. The aim of the
series is to make available a platform for the publication of books on all aspects of
single and multi-disciplinary research on these themes in order to make the latest
results available in a readily-accessible form. Volumes on interdisciplinary research
combining two or more of these areas is particularly sought.
The series covers systems and paradigms that employ knowledge and intelligence
in a broad sense. Its scope is systems having embedded knowledge and intelligence,
which may be applied to the solution of world problems in industry, the environment
and the community. It also focusses on the knowledge-transfer methodologies and
innovation strategies employed to make this happen effectively. The combination of
intelligent systems tools and a broad range of applications introduces a need for a
synergy of disciplines from science, technology, business and the humanities. The
series will include conference proceedings, edited collections, monographs, hand-
books, reference books, and other relevant types of book in areas of science and
technology where smart systems and technologies can offer innovative solutions.
High quality content is an essential feature for all book proposals accepted for the
series. It is expected that editors of all accepted volumes will ensure that
contributions are subjected to an appropriate level of reviewing process and adhere
to KES quality principles.
** Indexing: The books of this series are submitted to ISI Proceedings,
EI-Compendex, SCOPUS, Google Scholar and Springerlink **
Editors
Sustainable Design
and Manufacturing 2019
Proceedings of the 6th International
Conference on Sustainable Design
and Manufacturing (KES-SDM 19)
123
Editors
Peter Ball Luisa Huaccho Huatuco
The York Management School The York Management School
University of York University of York
York, UK York, UK
This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd.
The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721,
Singapore
Organisation
v
vi Organisation
For over a decade, the mission of KES International has been to provide a
professional community, networking and publication opportunities for all those
who work in knowledge-intensive subjects. At KES, we are passionate about the
dissemination, transfer, sharing and brokerage of knowledge. The KES community
consists of several thousand experts, scientists, academics, engineers, students and
practitioners who participate in KES activities.
KES Conferences
For nearly 20 years, KES has run conferences in different countries of the world on
leading-edge topics:
• Intelligent systems: including intelligent decision technologies, intelligent
interactive multimedia systems and services, agent and multi-agent systems and
smart education and e-learning
• Sustainable technology: including sustainability in energy and buildings, smart
energy and sustainable design and manufacturing
• Innovation, knowledge transfer, enterprise and entrepreneurship: including
innovation and knowledge transfer and innovation in medicine and health care
• Digital media: including archiving tomorrow and innovation in music.
KES Journals
ix
x Foreword
Book Series
KES edits the Springer book series on Smart Innovation, Systems and
Technologies. The series accepts conference proceedings, edited books and
research monographs. KES Transactions (published by Future Technology Press) is
a book series containing the results of applied and theoretical research on a range of
leading-edge topics. Papers contained in KES Transactions may also appear in the
KES Open Access Library (KOALA), our own online gold standard open access
publishing platform.
KES can provide live and online training courses on all the topics in its portfolio.
KES has good relationships with leading universities and academics around the
world and can harness these to provide excellent personal development and training
courses.
Robert J. Howlett
Preface
xi
xii Preface
The conference featured general tracks chaired by experts in the field, including
sustainable design, innovation and services; sustainable manufacturing processes
and technology; sustainable manufacturing systems and enterprises and decision
support for sustainability. Topics in this theme of sustainability keep evolving at a
fast pace, so the papers presented here show that trend, and you will find a good
combination of technical and management papers which is the aim of the
conference to bring those disciplines together.
We are grateful to our distinguished keynote speakers: Prof. Kai Cheng, Theme
Leader for Micro-Nano Manufacturing/Head of AMEE, Brunel University London,
UK, and Prof. Fazleena Badurdeen, Mechanical Engineering, University of
Kentucky, USA. They have provided inspiration for our delegates, specially our
Early Career Researchers who can see in them a role model to follow.
We also thank our Programme Committee members, chairs of general tracks or
special invited sessions, authors and reviewers for their unwavering commitment to
ensure the quality of the work submitted, revised and accepted to SDM-19 was
of the high standard required by Springer Nature proceedings.
As in previous SDM conferences, SDM-19 attracted high-quality paper
submissions from around the world. Submissions for the Full Paper Tracks
followed a two-stage single-blind peer review process, whereas submissions for the
Short Paper Track followed a ‘lighter-touch’ review and published in an online
medium, but not the Springer Nature proceedings.
We are indebted to the many people, who in whatever capacity, have given their
time and goodwill freely to make SDM-19 a success. Finally yet importantly, we
would like to extend our thanks to the city of Budapest for welcoming our
delegates.
xiii
xiv Contents
xix
xx About the Editors
management systems. His current research work is focussed on the use of smart
microgrids to achieve reduced energy costs and lower carbon emissions in areas
such as housing and protected horticulture.
1.1 Introduction
The use of plastics in packaging is becoming an increasingly hot topic, with growing
awareness of the significant damage that plastic waste causes to marine and land
environments. As a result, there is an unprecedented level of the consumer pres-
sure demanding that firms reduce or eliminate unnecessary plastic. Governments
are beginning to place pressure on producers and retailers to reduce or eliminate
“avoidable” plastic and especially “single-use plastic” in their business practice (e.g.
UK Government declares to eliminate all avoidable plastic by 2024). In spite of
the heightened, widespread awareness of the need to reduce plastics in packaging,
industry response has so far been insufficient [1–3].
Companies are increasingly receiving criticism for their usage of plastics in pack-
aging. Furthermore, although many companies that are involved in researching this
area have recognised the potential benefits in reducing plastics in their packaging,
little knowledge has been shared how to achieve this.
Whilst there is much known about sustainable packaging design and development,
including procurement, lifecycle analysis (LCA), and waste management [4–8], little
is known about why firms are not changing their packaging practices more rapidly.
There is genuine reticence on behalf of goods providers to change, and the reasons
underpinning this reticence are still not fully understood [4–6]. Indeed, most of the
existing work has been retrospective or conducted for assessments that involve later
stages of the packaging development process [7–10].
In this study, we are seeking to understand the different barriers and enablers that
both inhibit and encourage the transition away from plastic packaging to answer the
question: What inhibits the transition towards zero plastic packaging and how might
these barriers be overcome and how can we define and measure them?
1.2 Method
Data was collected from three companies through semi-structured interviews with
key employees, onsite observations, and document analysis. During the interviews, a
graphical means of capturing data were used, in which participants identified, mapped
and explored the relationship between different factors. This graphical approach to
data collection provided a structured means of engaging with the topic as well as
producing comparable outputs. Whilst working with the map of factors, interviewees
described their thinking and this was recorded and later transcribed. As a result, we
had a rich set of visual as well as textual data to analyse.
Before conducting the interviewees, the graphical approach to engaging with the
topic was developed. The underpinning rationale for this approach is described in
more detail in a previous paper [11]. This study also aimed at trailing this method of
collecting the data relevant to this topic.
Interviewees were identified by attending conferences and sustainable packag-
ing events (e.g. Packaging Innovations 2018 and Open Innovation Forum 2018) to
make contact with participating firms. In addition, the researcher used sustainable
packaging reports published by non-governmental organisations (NGOs), including
ThePackHub, Worldwide Responsible Accredited Production (WRAP), the British
Antarctic Survey and the Ellen MacArthur Foundation to find potentially interested
firms. Table 1.1 provides an overview of all the interviewees and their organisations.
All interviews followed the procedure described below:
1. At the beginning of each interview, the interviewees were asked to share general
information including their job responsibilities, experiences in plastic issues, and
relevant projects they had encountered.
1 An Exploratory Study to Identify the Barriers … 5
2. They were then asked to brainstorm the enablers of barriers that they have expe-
rienced to being able to reduce the plastics in their packaging.
3. Subsequently, they were provided with cards that included factors identified from
practitioners and literature in a previous phase of this research. Interviewees were
asked them to place both their own factors and the provided factors on the grid
(see Fig. 1.1). The grid has a y-axis for the level of control companies have over
each of the factors, and an x-axis for the level of influence of the factor as an
enabler or as a barrier.
4. The interviewees were then asked to rate the importance of each of the factors.
There were 10 dots for enablers and another 10 for barriers. The interviewees
6 X. Ma et al.
used these dots to vote for factors they believed to be important. They were
allowed to use more than one dot for each factor.
5. Finally, the interviewees were asked to consider whether there is any logical
sequence of activity in order to progress towards zero plastics. This aimed to
provide insight into factors which are of immediate importance and those which
depend upon other actions before becoming relevant.
The interviewers took audio recordings during the interviews, and these were
then transcribed. The results of the interviews were divided into three parts: the
transcripts, the interviewees’ explanations regarding their understanding for some
factors on the grid, and pictures of factors they placed in the grid. The transcripts
were analysed using the software MAXQDA 2018. In addition, the researcher took
pictures of each grid after the interview, and these were made into digital versions
using Adobe Illustrator CC 2018.
The most frequently mentioned factors in the interviews were identified as they
represent multiple views. Employing the thematic coding method [12], we coded the
transcripts and attached the segments to the relevant factors. We then categorised the
factors under the coded themes and their segments. All coding was verified by an
independent researcher.
Finally, based on the responses from all interviewees, a new grid was synthesised
which aimed to represent all of the factors discussed.
From the suppliers’ perspectives, what are the current enablers of and barriers to
reducing the use of plastics in packaging? The results for each company are presented
first, followed by the categorisations of the factors. Then, we present the cross-
comparison between categories.
1.3.1 Company A
Company A is a British SME that provides a non-plastic packaging solution for end
consumers in the food sector. Company A’s product can be reused and is biodegrad-
able. The interviewee is the company’s founding CEO.
As a start-up, the biggest barrier for Company A was Cost, including costs for the
material itself and the costs of developing the new technology itself.
Plastic is cheap, very cheap and it’s very durable and it’s disposable, which is the biggest
problem.
The low cost of plastic can be a major barrier for companies to adopt the product
Company A provides. In addition, most plastic packaging in food products is not
1 An Exploratory Study to Identify the Barriers … 7
reused. This helps to keep the food from contamination. This interviewee believes that
for alternatives to plastic to be adopted, the physical properties of these alternatives
need to be improved. To do this requires further R&D and the firm has limited budgets
for this. Therefore, the products that Company A can offer are currently perceived
by potential customers as having lower functionality than plastic at a higher price.
In Company A, the most significant enabler of plastic use reduction will be the
Consumer or end-user, placing demand upon suppliers. In addition, the interviewee
believes that having sustainability as a core goal is essential in order to ensure that
this is an issue taken seriously at a senior level. This is seen through the existence of
different business Goals and Programmes which seek to translate this core goal into
actionable results. Whilst the company is not in control of the attitudes of end-users,
they do have control over their business core values.
1.3.2 Company B
1.3.3 Company C
This interviewee noted that capabilities in the Design and product development
of new packaging are a critical enabler if we are to change the status quo and make
our future plastic-free. She also identified that Working with other stakeholders to
explore different possibilities is essential if this is to happen. Finally, she noted that
both New ways of delivering goods in the future and gradually shifting Consumer
behaviour are also important enablers.
1.3.4 Discussion
Responses from all interviewees have been collated and are represented in a new,
synthesised grid (Fig. 1.2). This seeks to present a comprehensive overview of the
critical factors, their relative importance and any major sequencing observations. The
most significant of these will be discussed in more detail below.
Barriers to transitioning towards zero plastic in packaging
The categories of Materials, Cost and Functionality were the most frequently cited
as barriers towards transitioning towards zero plastic in packaging. Cost received the
highest rating of importance (7 dots), Functionality was the second most important
(4 dots), and Materials (3 dots) was third. Other factors including Infrastructure
and Design were also noted as barriers.
In control or not?
We captured data regarding the level of ‘control’ the firm feels it has over these
different enablers and barriers.
Goals and programmes are mentioned to be controllable for Company A and
Company C. However, this is not the case for Company B who emphasised that as a
division of an international cooperation, they have to compromise most of the time
and are not always in control of initiatives from head office.
This is similar to Collaboration. Companies A and C both feel in control of their
different collaborations while Company B felt that external collaborations are often
easier to broker than internal ones.
All companies rated Consumer on the lower half of the grid, i.e. out of their
control. However, they put Desire from their clients and consumers on the upper half
of the grid. So, they all feel it is possible to influence consumers’ desire (e.g. through
promotion) which can change their buying behaviour. But, they do not think they
have control over Consumer purchasing behaviours.
All interviewees believe they have control over the Design of their packaging and
feel that with better design, and packaging could increase packaging functionality,
even if there is a marginal cost increase.
In prioritising and sequencing the factors which need to be addressed in order
for change to happen, companies typically begin with the factors where they have
less control. Company A sees NGOs as a strong enabler that has the potential to
kick-start the whole change of plastic reduction in packaging industry. Company B
thinks Internal collaboration can help set the Goals and programs in companies
and move plastic reduction in packaging forward. Company C believes Consumer
buying behaviour is the starting point for the reduction of plastic usage in packaging.
Thus, in two of these firms, the first thing that needs to happen is not in their control.
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