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DEVELOPING A CONCEPTUAL FRAMEWORK FOR ASSESSING PRINTING

COMPANIES OPERATIONS SUSTAINABILITY PRATICES

Research · June 2015

DOI: 10.13140/RG.2.1.4027.9203

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 nd
22 International Conference on Production Research

DEVELOPING A CONCEPTUAL FRAMEWORK FOR ASSESSING PRINTING

COMPANIES OPERATIONS SUSTAINABILITY PRATICES

1,3 1,2 1,2

Dalton Alexandre Kai , Edson Pinheiro de Lima , Sergio E. Gouvea da Costa
1
Industrial and Systems Engineering Graduate Program, Pontifical Catholic University of Parana, Imaculada
Conceicao St. 1155, Curitiba, Parana, Brazil
2
Federal University of Technlogy – Parana, Curitiba, Brazil
3
Brazilian National Service for Industrial Apprenticeship – Parana, Curitiba, Brazil

Abstract
There is a worldwide concern with sustainable development and this has compelled organizations to modify
their management systems and operations design in order to fit to this new environment. To have a
sustainable business and operations means to be economically viable, to reduce or even not generate waste,
to conserve energy and natural resources, to be safe to workers, communities and consumers, to improve
quality of life, and to share value. It is noticed that Brazilian printing companies understand these demands
and they are promoting changes in their strategy, business models and operations systems. The main goal of
this research is to propose a conceptual framework for organizing sustainability practices in printing industry
companies’ operations. It is intended to answer the following research question, based on manufacturing
operations analysis: Does the printing industry runs its operations in a sustainable way? Observing standards
practices for economic, environmental and social sustainable aspects. It was conducted a literature review
and also it was recovered secondary data from governmental institutes and agencies as well from printing
companies associations. These elements helped in characterizing the context, structures and processes for
designing, implementing and managing printing enterprise sustainable operations. The proposed framework
intends to contain best practices for developing a sustainable operation and to be used for auditing and
normative purposes. This will allow companies to adapt their operations models and systems in order to
create a real sustainable enterprise.

Keywords:
printing industry; operations management; sustainability; sustainable development; sustainable manufacturing

1 INTRODUCTION saving; economically viable; safe and non-harmful to

Back in 1995, Lindle and Porter [1] believed that the
planet’s capacity was insufficient to sustain the
consumption level of energy and resources of that time,
but current World Wildlife Fund – WWF [2] data show that,
in order to support the human lifestyle nowadays, 25%
more than what is available in nature is needed. It could be
said that it is an irrational way of resource exploitation,
which results in an exhaustion faster than the renewing
capacity [3]. Thus, a change in direction, towards the
search of sustainability, is up to companies.
Studies addressing sustainable manufacturing search for
alternatives and for the contribution of the production
sector, so that operations, processes and systems
became: nonpolluting; natural resources and energy
workers, community and consumers; socially and
creatively rewarding to all workers [4] [5]. The printing
industry has the conditions to improve its production
systems and to adequate then to a production focused in
sustainability, in more effective actions in the socio-
environmental aspects, without giving up on the economic
aspect [6].
Although there are proposals for a sustainable
manufacturing, the reality of the Brazilian printing industry
doesn’t allow the majority of this sector’s companies to
make investments in an implementation of this level. This
is explained by the fact that 78% of the printing sector is
formed by microenterprises [7]. In this case, the investment
can be considered high and certainly would compromise
companies financially.
This work proposes the discussion of printing industries
operations in relation to the Triple Bottom Line (3BL)
aspects, aiming at developing a framework that guides
these companies to sustainability. In order to achieve this
objective, this study has been divided in two parts
(FIGURE 1).
In the first part, an understanding was sought of the
printing industry, its operations and products. In this stage,
there was the need of conducting a more specific study on
the various printing processes; in addition, was sought a
greater understanding of sustainability, in the aspects of
3BL, and of operations management. These subjects that
were addressed contextualize and fundament the second
part, about the analysis of the relations among all involved
in printing industry operations and the development of a
conceptual framework for the assessment of sustainable
practices in these operations.

Figure 1 - Research structure

2 PRINTING INDUSTRY
Brazilian printing industry counts on 20,007 printing
enterprises approximately, granting 220,796 direct jobs
and an industrial production of BRL 29.7 billion in 2012,
according to Brazilian Printing Industry Association –
ABIGRAF data [7].
The printing industry has a much diversified production
because it attends all economic sectors: government
services; financial, advertising and editorial services;
service providers and the manufacturing industry. Leaflets,
posters, catalogues, magazines, newspapers, books,
notebooks, diaries, handouts, labels, tags, packages,
displays, bags, invoices, fanfolds, envelopes, are some
examples of printing products.
This sector’s importance for the Brazilian economy is
presented through some numbers, visualized in GRAPH 1
[7] and TABLE 1 [7]: Graph 1 – Brazilian Printing Industry Classification by
Company Size

Table 1 – Brazilian Printing Industry Numbers

2008 2009 2010 2011
Industrial Production (in BRL billion) (Brazilian Institute of
1
Geography and Statistics - IBGE) $28.6 $28.5 $29.7 $29.9
% variation in percentage - - 0.3% 4.5% 0.7%
Industrial Production (in USD billion) (IBGE/Central Bank of
Brazil - BC) $15.5 $14.2 $16.9 $17.9
Share in Gross Domestic Product - GDP (in %) 0.45% 0.43% 0.39% 0.34%
Share in Transformation Industry GDP (in %) 2.30% 2.47% 2.34% 2.35%
Number of premises (Brazil’s Annual Report of Social
3
Information - RAIS) 19,006 19,694 20,007 20,007
3
Number of employees (RAIS) 209,736 211,255 220,796 221,937
Employee / Enterprise Ratio 11.04 10.73 11.04 11.09
Industrial Production / Employee Ratio (in US$ thousand) $74.13 $67.19 $76.54 $80.55
Balance of Trade (in USD thousand FOB) (Brazil’s Foreign
Trade Secretariat - SECEX) - $114.42 - $77.86 - $160.64 - $294.51
Exports (in USD thousand FOB) $255.71 $220.34 $248.97 $269.32
Imports (in USD thousand FOB) $370.13 $298.20 $409.61 $563.83
Realized Investments (in USD billion FOB) (SECEX)
Imports of Printing Machinery and Equipment $1.8 $1.0 $1.4 $1.4
4
Average Foreign Exchange Rates (sale) BRL/USD 1.84 2.01 1.76 1.67
4
Gross Internal Product (in USD billion) $1,650 $1,587 $2,090 $2,474
GDP variation in percentage 5.2% 5.1% 7.5% 2.7%
4
Extended National Consumer Price Index (IPCA – IBGE) 5.9% 4.3% 5.9% 6.5%
4
Industrial Production (%) - 3.1% - 7.4% 10.5% 0.3%
Data last updated: March, 2012
1
For production estimates from 2009 to 2010, the variation in IBGE’s Monthly Survey of Industry - Physical Production (PIM-PF) indexes was considered.
2
For 2008 production and income estimates, Annual Survey of Industry – Product (PIA/Produto), data, since the new Procedures for Electric Power
Distribution in the National Electrical System – PRODIST (according to the Brazilian Classification of Economic Activities – CNAE, version 2.0) was
considered. (Source: IBGE)
3
For the calculation of employees and premises numbers (2008 and 2009), the following CNAEs (version 2.0) were considered: 17311, 17320, 17419, 18113,
18121, 18130, 18211, 18229, 58212, 58239 and 58298.
4
Data obtained from Central Bank of Brazil’s market report and IBGE System of Automatic Recovery – SIDRA.

According to Marta Vaz, entrepreneur, and José Pires de Table 2 – Similarities among the various printing processes
Araújo Jr., professor [8], in an article published in Printing Sectors Function
“Tecnologia Gráfica” magazine, issue 78: “the majority of processes identified
the sector’s companies is of micro- and small-sized ones,
Sheetfed offset operations that
family-managed and little-professionalized.”
Rotary offset Pre-press generate the printing
form
Dry offset
3 PRINTING PROCESSES process in which
Letterset image engraved in
Printing consists on the transfer of an image to a media
(paper or other material) and occurs by means of one or Flexography Press the printing form is
more matrixes, which, under pressure, transfer(s) the Rotogravure transferred to the
image. Sheet-fed offset, rotary offset, dry offset, letterset, printing media.
Serigraphy
flexography, rotogravure, tampography and serigraphy are operations for printing
some examples of printing techniques. There is also the Tampography finishing
Post-press
digital process, in which image is transferred to the media Digital printing
without the need of contact or pressure [9] [10] [11] [12]
[13].

By facing the various types of printing processes, the need
of verifying the differences, similarities or particularities
that, in some way, could stop the construction of a
framework valid for all the companies that compose the
printing sector had appeared. Thus, the operations of each
of the previously described printing processes were
mapped and can be verified in TABLE 2.
4 PRINT PRODUCT
In industries in general, the production system that is
observed has an input, a process and an output, as shown
in FIGURE 2 [14]. It is also assumed that a single product
is an operations’ output, but the printing industry presents
different products as final outcomes: Leaflets, posters,
catalogues, magazines, newspapers, books, notebooks,
diaries, handouts, labels, tags, packages, displays, bags,
invoices, fanfolds, envelopes, are some examples. Each of
these printing products possess different features which
had determined differentiated operations.
Figure 2 – Production system
The features of a printing product are defined by the main
material (media), the size (format), the amount
(circulation), the colors and finishings. From these
definitions, it is up to the production planning and control
department (PPC) to determine the best cost/benefit
printing process and the other operations, in order to
achieve the expected result. Thus, it is verified that
decisions on the printing product features, which determine
the number of operations, come from the customers.
5 SUSTAINABILITY
“Development that meets the needs of the present without
compromising the ability of future generations to meet their
own needs”. This is the definition of sustainable
development published in the report “Our Common
Future”, prepared by the United Nation’s World
Commission on Environment and Development [15], in
1987. From this initiative, various others, which had
contributed to the promotion of nations’ commitment to
sustainability and the appearance of a variety of studies,
have arisen, TABLE 3 [16].
From this studies, 3BL [17], which addresses a greater
economic, social and environmental equilibrium in a
business, appeared; but, what would lead companies to
search for something considered unattainable by many?
By the explanation given by Labuschgne, Brent and Van
Erck [18], it would be the consciousness of preserving
human and natural resources which can be necessary in
the future, by the adoption of continuous innovation
strategies and actions that attend to the needs of
companies and their different stakeholders, that is, to
adopt a sustainable management.
It is observed that, in the printing sector, there are
initiatives from companies and other organizations, such
as unions and category associations, which work some
actions that aim at Cleaner Production (CP). This implies
the adoption of practices of that ensure the continuous
application of an integrated and preventive environmental
strategy for processes, products and services, in order to
enhance the global efficiency and to reduce risks to
persons and the environment. [19].
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22 International Conference on Production Research
Table 3 – History of the evolution of sustainability as a
subjct
Years 1950 and Little understanding by companies
1960 about socio-environmental impacts.
Subject unknown to academics and
politicians.
Years 1970 Companies opposed to socio-
environmental subjects.
Years 1980 Leading companies extend their socio-
environmental practices and start to
have economic gains by doing so.
Years 1990 Institutionalization of socio-
environmental practices. Sustainability
indicators and certifications spread
themselves.
Years 2000 The concept of corporate sustainability
onward is consolidated, promoting the impact
measurement of processes and
products, as well as of the value chain.
Nevertheless, in the printing sector, few companies with a
sustainable development-oriented management are
noticed. The delay in decisions and in actions is totally
understandable due to a lack of knowledge, which does
not allow sector’s companies to glimpse the benefits
associated to this practice, as described by Fiksel;
Mcdaniel; Mandenhall [20].
The Brazilian printing industry in general has little
consciousness of its importance and its responsibility
towards the sustainable development of its organizations
and the value chain that involves it.
5.1 Triple Bottom Line (3BL)
The 3BL arises to companies that have follow a traditional
business model, which used to consider, in their
evaluations, only the economic factors, and are shifting for
a new model, by adding environmental and social aspects.
This is due to a greater exposure, of the industrial sector’s
operations mainly, provoked by this new model, since it
promotes a new direction for the stakeholders’ vision to
social and environmental questions in manufacturing
process, value chain, product life cycle, labor issues etc.
This new consciousness has been causing some
questionings from the society, which certainly disturb
concern the organizations, for they require an altering in
their current operational process.
5.2 Sustainability Frameworks
Some references on sustainability models of great
international relevance and also sustainability frameworks
developed in Brazil were verified, as presented in Table 4
[21]. They encompass some management tools for the
sustainable development with a strategic vision of socio-
environmental responsibility for guaranteeing the evolution
of human activities.
In spite of sustainability models and tools that allow the
knowledge and application of economic, environmental
and/or social equilibrium concepts, they are not always
implemented in an ideal way. It is assumed that this really
depends on the context in which the organization is
inserted, the type of management adopted and the
stakeholders involved.
It is observed that some companies in the printing sector
already use some kind of sustainability model, but in others
its implementation did not succeed. This issue is related to
the adopted strategy components and to the performance
of the company’s organizational processes.
Each company operation can be checked in the time used
for task completion, refuse generation, need of rework,
pauses for setup and maintenance, and the need of
personnel.
6 OPERATIONS MANAGEMENT
Industries in general concern about its operations
management with the objective of maintaining or
broadening their market share. This approach aims at a
competitive advantage in operations and seeks for
operational efficiency in manufacturing [22].
Manufacturing operations are part of a system which, in its
turn, is part of a larger system called “value chain”. This is
also valid for printing industry (FIGURE 2).
From the collected content, an estimate of the printing
industry importance in the Brazilian economic scenario, as
well as of the features of a printing product that refer to the
various printing processes existent in this industry sector,
was allowed. After that, the need of verifying the printing
processes existent in each one of this sector’s operations,
observing their respective particularities and the similarities
among them, had appeared.
Starting from a mapping of manufacturing operations, in
which all the operations of all printing processes were
unfolded, a synthesis of the operations, valid for any
company in the printing sector despite of its printing
system, was achieved, as presented in TABLE 2.

Table 4 – Major sustainability frameworks used in Brazil

Frameworks Country First Approach
IBASE Brazil 1997 Triple Bottom Line
AKATU Brazil 2001 Triple Bottom Line
BOVESPA Brazil 2007 Environmental and social
ETHOS Brazil 2004 Triple Bottom Line
GIFE Brazil - Social
FINDES / OCESP / SESCOOP Brazil 1998 Triple Bottom Line
FDC Brazil 2007 Triple Bottom Line
GRI Netherlands 2000 Triple Bottom Line
ISO 26000 Sweden 2009 Triple Bottom Line
ISO 14064/5 Sweden 2006 Environmental
FSC-IC Germany 1993 Environmental
AS 8003 ASCRS Australia Triple Bottom Line
ABNT NBR 16001 Brazil 2004 Triple Bottom Line
OHSAS 18001 - 1999 Social
SA 8000 SA - 1997 Social
AA1000 ACCONTABILITY UK 2005 Triple Bottom Line

From a traditional production system, acting in a globalized 7.2 Features of print operations
and highly competitive market, it is up to managers to Based on the identification of manufacturing operations in
define the adoption of an operation-focused strategy. the different printing systems and mapping, it was found
Certainly, a change in company strategy, by focusing in its that the operations occur in two ways: by the action man
operations, will generate organizational impacts, but it also and machine (FIGURE 3) or only by human (FIGURE 4).
depends on the competitive criteria adopted.
Thus, from the definition of the strategy in operations, the
objectives to be attained can be defined, through a set of
actions originated from decision areas. These decision
areas, in the majority of the companies, are located in a
high hierarchic level [22] [23] [24] [25] [26] [27] [28].
An operation management model based on the company’s
decision areas becomes a reference for the study of
sustainability practices in printing industry operations and
in the relations with 3BL aspects.
Figure 3 – Human-machine operation

7 CONCEPTUAL FRAMEWORK
7.1 Identification of the Manufacturing Operations in
the Various Existing Printing Systems
The theoretical development has its origins in conceptual
discussions on the literature or in bibliographic reviews
which generate the conceptual framework that results in
new theories. The framework encompasses the description
of a production system’s or of part of a production system’s
operation [29]. It is up to the conceptual framework the Figure 4 - Human operation
investigation of casual and qualitative relations among the
found or defined variables [30]. In both the goal is to get a result, but there are
interferences that can serve to compromising the
The main databases researched for this study were operation, lead to rework, problems to operator or the
determined according to the works of Kanashiro [31]; environment.
Petersen, Aese and Heiser [32]; Correa, Paiva and Primo
[33]. From them, a search for the following subjects: 7.3 Influences
printing industry, sustainability and operations Government, society and companies have been
management was started. confronting such a long time ago due to the idea that
providing social and environmental benefits rise costs and,
 nd
22 International Conference on Production Research

in consequence, reduce profits. Other concept related to In this way, when companies adapt themselves to this new
this same conclusion is the notion of externalities, which perspective, they will promote benefits to all their
appear when organizations create social and stakeholders. FIGURE 5 [35] [36] [37] points the relations.
environmental costs which they cannot bear with, being
some examples: penalties from labor prosecutions and
environmental damages [34].
It is up to the government to impose taxes, regulations and
penalties so that companies start to consider socio-
environmental aspects in their strategies. There is still
some resistance, but it has been diminishing with the
increased pressures from the society and the NGO’s.
These pressures, in their turn, are reflected in an increase
in the number of large-sized companies that are adapting
themselves to the compliance of aspects, for they perceive
that the required changes do not necessarily increase
costs, because, through new technologies, operational
processes and management approaches, these
companies have, as a result, a productivity increase and
the expansion of their markets. Figure 5 - Relations Between Multi-stakeholders and
Subjects in a Sustainable Operations Strategy

Figure 6 - stakeholders involved and strategic management of operations

7.4 Conceptual framework
A framework is a way of developing a strategy of actions
about a given phenomenon that allows the evaluation of
relations among the variables resultant from those actions
[38]. Thus, the phenomenon to be researched can be
defined as the sustainable practices in printing industry
operations and their variables:
• Strategy adopted by printing industry;
• Stakeholders involved;
• Features of the printing product required by the
customer;
• 3BL – economic, environmental and social
equilibrium in operations.
Figure 7 – Conceptual framework – operations, 3BL and sustainable practices
direct impact on production process. The new strategy will
generate new production objectives aimed at the
equilibrium between economic and socio-environmental
aspects. The stakeholders, due to their influence, are of
great importance in the strategic change decision and also
in the reflections from this modification [44].
The conceptual framework for the evaluation of sustainable
practices in printing industry operations can be defined as
a system that implements and verifies sustainability
performance in 3BL aspects, in order to promote a change
of culture and processes.
The variables were identified through bibliographic
research, in which the subjects related to the study were
collected, thus providing a theoretical fundament for
framework development.
The strategic question is essential for any aspiration inside
an organization, be it focused on sustainable development
or any other subject [39] [40] [16]. Much emphasis has
been given to strategy alignment in relation to sustainable
issues and operations, but mainly to the critical factors
involved [41] [42] [43].
By promoting sustainable development in any company,
there is the obligatoriness of strategy review and this has a
It can be considered a management system, since it
includes functions such as: definition of objectives,
feedback and reward [40].
In a broader perspective, the conceptual framework
proposed here starts with the involvement of the
company’s decision making area for the promotion of any
change. As a consequence of this change, there is the
creation of the context necessary for the development of a
short, medium and long-term action plan. FIGURE 6 shows
this involvement in the definition of business and
operations strategies, a top-down directive in which taken
decisions interfere directly in the actions of the production

sector. In that same figure, a longitudinal flow, involving
suppliers, customers, and printing industry – more
specifically, its production sector – can be seen, showing
the value chain summarized.
New business strategies and operations definitions that
involve sustainability goals to promote a performance in
aspects of 3BL, a “top-down” directive. Taken decisions
interfere directly in the actions of the production sector and
it is expected a result in sustained performance
characterized by a higher efficiency operational, better
health and safety for workers, and reduced impact
environmental. The involvement of suppliers, customers,
and the print industry, specifically the productive sector,
showing a longitudinal flow and value chain summarized
(FIGURE 6).
Now, facing towards manufacturing in the first level, it is up
to the production planning and control department (PPC) to
optimize the production and to define the sustainable
practices, integrating the 3BL aspects that will be proposed
to each operation (FIGURE 7). Although PPC plans and
controls production, the definition of the operations that will
be performed is made considering printing product features
required by customers.
In the second level, there is the monitoring of the
sustainable practices proposed to each operation, which is
up to the production supervision department. All operations
constitute the third and last level, where sustainable
practices that can involve the 3BL really occur.
The result of the verification of sustainable practices in
operations provide indicate their level of sustainable
development, point the sustainable and non-sustainable
operations, the impact of the sustainable practices adopted
in the end, the operational and strategic performance.
A positive result implies a company with sustainable
practices in its operations, but this does not reflect the
organization’s sustainable development as a whole. The
relations between the company and its stakeholders
(FIGURE 5) are of much influence, and can determine that
the organization is or is not sustainable developed even if
the operations show the contrary.
A negative result only means that the company is not
sustainable in its operations or sustainable only in some
operations.
By the analysis of the conceptual framework, it cannot be
said, in any way, that a company is not sustainable. The
framework only demonstrates the inexistence of a strategy
aimed at sustainable operations and sustainable
development.
The possibility of its replication in various times shows that
the framework is cyclic and allows continuous
improvement. The feedback for the board of directors is
important for a complete strategic operations alignment to
the 3BL.
Other aspect that has to be considered when reviewing
operations is the company’s direct relation with the value
chain in that it is inserted. Some suppliers and customers
can leave this chain because, from the moment in which
the company become more sustainable in its operations,
new requirements will be made, and it will be up to the
printing industry companies and suppliers adapting
themselves to this or being excluded from the market.
8 CONCLUSION
Sustainable operations in the printing industry are the
expected results, but it is important to highlight that, in
order to achieve this objective, the variables addressed in
this study have to be understood and a verification of their
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22 International Conference on Production Research
convergence to the sustainable development has to be
done. Reviews and changes constantly occur in
companies, be them due to marketing, economic,
relationship or legal aspects or others. A change towards
the sustainable development can mean the company’s
survival, because, for many, the socio-environmental
concern is a decisive business factor.
The conceptual framework contributes to the identification
of the best sustainable practices for printing industry
operations, helping companies to reflect on their current
production mode and o find new ways of improve
themselves in the broadest sustainability aspects, in spite
of the stage in which they are in the sustainability
incorporation process. A more profound analysis allows the
determination of the company’s sustainable development
level. Thus, it is expected that the print industry will reach
the sustainable development.
It can be concluded that the presented conceptual
framework attends to the proposed objective, but its
adherence still has to be verified by the means of a
framework application in a real situation.
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