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Journal of Cleaner Production 296 (2021) 126517

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Journal of Cleaner Production

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

Risk management applied to the reverse logistics of solid waste

Ualison R�ebula De Oliveira, Ph.D. a, *, Lilian Aparecida Neto b, Poliana Aparecida Ferreira Abreu, MSc. c, Vicente Aprigliano Fernandes, Ph.D. d

a MPA-PPGA/MSG-LATEC, Universidade Federal Fluminense (UFF), 783 Desembargador Ellis Hermydio Figueira St Volta Redonda, Rio de Janeiro, 27213-145, Brazil b Universidade Federal Fluminense (UFF), 783 Desembargador Ellis Hermydio Figueira St Volta Redonda, Rio de Janeiro, 27213-145, Brazil c Instituto Federal de Educaç~ao, Ciência e Tecnologia Do Sudeste de Minas Gerais (IF Sudeste MG), 45 T�ecnico Panam�a, St Santos Dumont, Minas Gerais, 36240-000, Brazil d Instituto de Geografia, Pontificia Universidad Cat�olica de Valparaíso, Av. Brasil 2241, Valparaíso 2362807, Chile

a r t i c l e i n f o

Article history: Received 31 August 2020 Received in revised form 15 January 2021 Accepted 22 February 2021 Available online 25 February 2021

Handling editor: Cecilia Maria Villas Bôas de Almeida

Keywords: Reverse logistics Solid waste management Risk management

* Corresponding author. E-mail addresses: ualisonrebula@id.uff.br (U.R. De O

com (L. Aparecida Neto), poliana.abreu@ifsudestemg. aprigliano@pucv.cl (V.A. Fernandes).

https://doi.org/10.1016/j.jclepro.2021.126517 0959-6526/© 2021 Elsevier Ltd. All rights reserved.

a b s t r a c t

Since few articles address risk issues related to solid waste management, although it is evident that waste management is not immune to risks, the present research aims to analyze the risk management process in programming and loading of solid waste from a company in the steel sector, based on the ISO 31000. Methodologically, the research was supported by a case study, that applied documentary research, direct observation and semi-structured interviews with professionals with extensive experience. As main re- sults, it was observed that the risk identification stage pointed out the “bad segregation or contamination of the waste” as the risk with the greatest potential impact on the operations, since in the event of its occurrence, it may compromise a relevant percentage of the company’s revenue with co-products from the sale of solid waste, in addition to environmental impacts through the release of a wide variety of polluting products, endangering human health and biodiversity. As a main conclusion, it is observed that the risk management process applied to the reverse logistics of steel residues has the ability to organize proactive actions so that risks are identified, analyzed and evaluated, minimizing their occurrence and promoting risk mitigation actions.

© 2021 Elsevier Ltd. All rights reserved.

1. Introduction

In recent years, the environmental concern has been reinforced worldwide, generating discussions and propositions of goals in several countries to reduce, for example, pollutants thrown into the environment. Environmental preservation is a frequent theme in the current business scenario when governments and companies are increasingly aware of the importance of conserving natural resources (Dias and Júnior, 2016). Recycling and related issues have received special attention and, due to this fact, some countries have created legislation focused on the management of their waste (Guarnieri et al., 2020).

One of the countries that commits to the environmental pres- ervation is Brazil, which in 2010 enacted Law 12.305, which

liveira), lilian.neto10@gmail. edu.br (P.A.F. Abreu), vicente.

instituted the National Solid Waste Policy and brought about several innovations, such as the principle of shared responsibility in waste management between the so-called supply chain stake- holders and the adoption of Reverse Logistics (RL) (Guarnieri et al., 2020), recognized as the commercial logistics area that returns materials that have already been traded and used in a productive chain, giving them an appropriate final destination (Dias and Júnior, 2016).

The fundamental role of RL is to promote an environmentally- friendly operation, since with the collection and reuse of disposed products, the generation of new waste is avoided, as well as its incorrect disposal in the Environment (Guarnieri et al., 2020).

However, in order to achieve an integrated and environmentally-friendly management of a company’s solid waste, continuous improvement of this process is necessary. Although there is a growing interest on promoting green supply chains, in practice, many organizations face challenges in implementing their reverse policies. For a RL to be successful, it is necessary to under- stand the aspects that may inhibit all or part of the reverse flows.

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

One of these aspects refers to the failures that affect the reverse chain and prevent the expected objectives from being achieved.

Failures represent non-conformities in productive activities (Oliveira et al., 2010) and hinder the achievement of organizational objectives. According to Santos et al. (2018), these non-conformities consist of the interruption or alteration of an item’s ability to perform a required or expected function to meet its specific pur- pose failures in the RL make it difficult to achieve the required quality when returning the materials, that would be discarded, to a supply chain.

The aspects of improving the quality and achievement of ex- pected objectives, regarding an RL process, are related to the correction of identified flaws. For this purpose, there is the ISO 31000 (Risk Management - Principles and guidelines), which comes as an alternative to manage threats and vulnerabilities that may occur in the reverse chain due to non-conformities of projects and processes. While the term “risk” applies to these uncertainties, which can be expressed by means of a probability, management denotes actions or activities organized to control such occurrences (De Oliveira et al., 2017).

Despite the large body of literature comparing prevailing waste management practices at different locations in the world (Ghanimeh, 2019), this research aims to analyze the risk manage- ment in the RL of the solid waste of a company in the steel industry, based on the ISO 31000. The study was developed in a large orga- nization located in the southeastern region of Brazil and that trades the waste generated in its production processes.

Considering the increasing importance of RL within supply chains and production processes, this work aims to contribute with theoretical and practical knowledge for the management of oper- ational risks in the RL of solid waste of a company. This research was limited to making a comparison between the risk management that occurs in the researched organization regarding the solid waste RL process and the steps recommended by the ISO 31000. The necessary information was gathered through bibliographic research, documentary research and semi-structured interviews and the data was treated through content analysis.

For a better understanding of the subject, the article is struc- tured as follows: section 2 addresses the theoretical foundation on RL, solid waste, RL of solid waste and risk management. Section 3 covers methodological procedures. Section 4 organizes and pre- sents the results of the empirical research. Section 5 presents the analysis of these results and section 6 concludes the work, por- traying the main conclusions.

2. Literature review

2.1. Reverse logistics (RL)

Adequate resource management, whether natural or manufac- tured products, is one of the main challenges of modern society. The supply and demand for limited resources are among the critical factors for promoting sustainable development (Giannetti et al., 2013). In addition, the production of any material generates pollution (Dias, 2016) and therefore, environmental programs must use resources appropriately to operate their systems within sus- tainable limits, locally and globally (Giannetti et al., 2013).

For Dias and Júnior (2016), this mechanism is recognized as the commercial logistics area that plans, operates and controls the flow of materials corresponding to the return of the post-sale and post- consumer, in order to return disposed products/waste to the supply chain, or give them an appropriate final destination. Sellitto et al. (2013) include in this concept activities of remanufacturing or recomposition of goods or parts of goods that have been damaged, but that can be repaired and put back to use.

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Many managers consider RL from the moment the waste is generated and must be sent for recycling or environmentally cor- rect disposal. However, Guarnieri et al. (2016) emphasize that RL must be considered for the entire product life cycle, also including planning and design of the productive process.

In recent years, RL has attracted a lot of attention due to several reasons, such as the extension of new environmental laws, the development of social responsibility, economic interests, reduction of natural resources, reserves of raw materials, increased produc- tion costs and problems caused by waste (Pouriani et al., 2019).

Converging to the relevance of the theme, Demajorovic et al. (2012) affirm that for the implementation of the RL, it is neces- sary to overcome some challenges, such as developing an infra- structure that ensures the collection of post-consumption waste and that guarantees reuse or safe destination for them, thus reducing socio-environmental impacts. However, the imple- mentation of reverse flows depends largely on the management decision of the stakeholders in the chain (customers, in- termediaries or final consumers) and their will to collaborate in the process of returning post-consumer goods.

According to Rebehy et al. (2019), the responsibility assumed by these stakeholders depends on a legal determination (e.g. through enacted laws) or negotiation between parties, for example, gov- ernment, manufacturer or shared (between manufacturer, retailer, consumer and/or government). Activities related to waste man- agement, such as disposal and extraction of raw materials, are closely related to environmental costs. Therefore, there may be costs that an agent would not choose to assume, except by legal determination or for economic benefit (Rebehy et al., 2019).

Regarding the advantages of using RL, Júnior and Rizzo (2010) point out that the production cycle, through reverse distribution channels adds values of different natures: economic; ecological; legal; logistics; corporate image; among others. For Dias and Júnior (2016), this practice is of utmost importance for the environment, contributing to the preservation of it and reducing soil, water and air pollution.

According to Couto and Lange (2017), the motivations for com- panies to carry out RL are, in general, based on three dimensions: environmental; financial; and legal. Ferri, Chaves and Ribeiro (2015) and Castro et al. (2012) add yet another dimension: con- sumer pressures. Oliveira Neto et al. (2014) portrays the financial benefits of RL, through a feasibility and applicability study. Demajorovic et al. (2012) state that the implementation of RL in various economic sectors can promote competitive advantages for companies.

In this sense, it is possible to observe the importance that RL gained over the years within the academic community (Chaves et al., 2019). According to Couto and Lange (2017), the studies carried out on RL provide, for the most part, practical solutions for companies to implement reverse flows. In addition, they highlight the economic and environmental gains from RL applications.

For Guarnieri, Cerqueira-Streit and Batista (2020), in Brazil, as it is a developing country, there is still a lack of government incentive to sensitize entrepreneurs to implement RL practices within their productive chains. However, in 2010, the Law 12.305, regarding the Brazilian solid waste policy, was enacted. Therefore, establishing some innovations, such as the principle of shared responsibility in waste management among the stakeholders in the supply chain. In short, this legislation emphasizes RL as an instrument of economic and social development characterized by a set of actions that pro- motes an environmentally-friendly solid waste management in all business sectors, aiming to return disposed products/waste to their supply chain or give them an adequate final destination (Brasil, 2010, art. 3).

From this perspective, RL occupies an increasingly important

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

place in the business scenario, especially for helping to increase revenue and reduce operating costs. RL has undergone a major transformation, moving from being an operational area to becoming a business strategy (Fernandes et al., 2018).

2.2. Solid waste

To meet the needs of society, natural resources are transformed into processed products that are discarded when they reach the end of their useful lives. In other words, these resources reach the ends for which they were created, generating what is called solid waste. The growing increase in the disposal of this material in the environment is due to the disordered growth of the population and income per capita, related to the inadequate production and con- sumption process, leading to the deterioration of the natural environment (Abu Hajar et al., 2020).

Poor management of solid waste can lead to unforeseen ecological and social dilemmas, since its impacts in terms of soil and groundwater contamination, air pollution and global warming, are recognized as something complex and problematic (Dalmo et al., 2019). Thus, the daily increase in the generation of solid waste is a global challenge regarding the development of an optimal solution for its disposal and treatment, especially in less developed countries (Danish et al., 2019).

In Brazil, according to the Brazilian Standard ABNT NBR 10004:2004 (Associaç~ao Brasileira de Normas T�ecnicas, 2004), there is a growing concern of society in relation to sustainable development and environmental issues. This Norm defines solid waste as solid and semi-solid waste, which results from activities of industrial, domestic, hospital, commercial, agricultural, services and sweeping. In order for these wastes to be properly managed, they are classified into the following classes: class I e hazardous; class II - non-hazardous; class II A - non-inert; and class II B e inert; taking under consideration their potential risks to public health and the environment.

In addition to existing Norms of ABNT (Brazilian Association of Technical Norms), the Law 12.305/2010 was enacted, which insti- tuted the National Solid Waste Policy with the purpose of pro- moting an integrated and environmentally sound management of solid waste. In this context, item XVI of article 3 of that legislation highlight what can be understood as solid waste (the following section of the law is translated by the authors of this paper):

XVI - material, substance, object or discarded good resulting from human activities in society, the final destination of which proceeds, is proposed to proceed or is obliged to proceed, in solid or semi-solid states, as well as gases contained in containers and liquids that for its particularities render unfeasible its release into the public sewerage system or into water bodies, or require tech- nical or economically unviable solutions in view of the best avail- able technology; ( …) (Brasil, 2010, art. 3).

Moreover, this law gives the definition of tailings, in item XV of this same article, as the solid residues that do not present any other possibility than the environmentally appropriate final disposal, after passing through all the possibilities of treatment and recovery by available and economically viable technological processes (Brasil, 2010).

Thus, the presented law advocates that in the management of solid waste, the following order of priority must be observed: no generation; reduction; reuse; recycling; treatment of solid waste; and environmentally appropriate final disposal of waste. However, Pe~na-Montoya et al. (2020) highlights that many companies focus mainly on their operations and rarely pay attention to issues related to the promotion of a sustainable management of the solid waste originated from their production processes.

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2.3. Reverse logistics of solid waste

“Reverse Logistics” has gone through several definitions over time, which have been adapting to the researchers’ understanding (Sadrnia et al., 2020). RL is related to the activities and skills involved in the management of solid waste and focuses on the reduction, displacement and disposal of end-of-life products and packaging (Oliveira Neto and Correia, 2019). According to Sellito et al. (2013), RL is an adequate strategy to support sustainable solid waste management.

Despite the 1853 studies on RL found in the Web of Science database, only 86 correlate this topic with solid waste (more details on these numbers can be found in section 5, discussion of research results). The research promoted by Pe~na-Montoya et al. (2020), for example, is one of those works.

According to Pe~na-Montoya et al. (2020) there is a comple- mentary relationship between the two strategies (sustainable solid waste management and RL), which can be observed in practices widely disseminated in the literature. Moreover, the main articles on sustainable solid waste management provide significant infor- mation that confirms this relationship.

The authors in question evaluated the complementary rela- tionship of RL and solid waste for the following aspects: “genera- tion and sorting”; “collection”; “transportation”; “storage”; “treatment”; and “final disposal”. In addition, it was proposed a maturity model adapted to measure the maturity levels of RL as- pects in small and medium-sized companies in regions of Colombia, with the purpose of contributing to the sustainable management of plastic waste.

Oliveira Neto and Correia (2019) evaluated the economic and environmental gains from the implementation of RL for recycling solid waste from construction companies. Such research offered construction companies a study that demonstrates opportunities to improve profitability, in addition to promoting the protection of natural resources by reducing the production of solid waste. Ac- cording to the authors, when construction companies understand the environmental and economic benefits of adopting RL, they will implement associated business practices that, as a result, will contribute to policies and actions that protect the environment.

On the other hand, Olivo et al. (2020) focused on analyzing the monetary and environmental losses resulting from the failure to implement the RL for packaging in the state of Mato Grosso do Sul, Brazil. The results this research show a total environmental mon- etary loss of US$ 2,961,089.50 and a total loss for public funds of US$ 21,779,781.89, for the period between August 2010 and April 2017. In the referred research, the results of environmental damage, arising from the absence of adequate RL systems, can be used as a guide for other studies involving the implementation of solutions for the environmentally appropriate final disposal of solid urban waste.

Focused on failure mitigation, as mentioned in Olivo et al. (2020), the next section will address the topic of Risk Manage- ment, thus ending the literature review.

2.4. Risk management

According to ISO (2009), organizations of all types and sizes face internal and external influences and factors that brings un- certainties towards their goals. Thus, the effect that these un- certainties present on the process of achieving the objectives of an organization is called risk (ISO, 2009). According to several theories, companies tend to protect themselves to mitigate different types of risks, such as credit rationing, information asymmetry and financial difficulties (Bodnar, 2019).

Can Saglam et al. (2020) highlights other types of risks that

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

companies are exposed to, such as supply risks, logistical risks, relational risks and demand risks. In addition to these typical risks, increasing awareness for sustainable practices brings additional risks. Considering the dimensions of sustainability, these risks include environmental, economic and social risks; reason why the definition of proactive risk mitigation strategies has gained increasing importance in the business context. On the economic side, this perception is also shared by Nguyen and Vo (2020), who argue that corporate risk management improves issues related to companies’ financial vulnerability.

Dias et al. (2019) and Dias et al. (2020) emphasize that organi- zations need proper risk management to support decision making in order to achieve a competitive advantage, since achieving it is based on the organization’s ability to face and adapt to complex environments. For this reason, several professionals use risk man- agement based on a common assumption that this mechanism adds value to their organizations (Willumsen et al., 2019).

Within the risk management process, De Oliveira et al. (2018) notes that risk analysis is an essential part and has been inten- sively developed by the academic community, consultancies, companies and other organizations. Models and techniques pro- liferate in order to incorporate the element of risk assessment into the organizational culture, leading to an increase of its applications to productive processes.

Fan et al. (2017) clarify that the implementation of a risk man- agement process has consequences for the institution’s culture and requires necessary organizational changes, such as building trust through partnerships and calibrating the business strategy. To facilitate this process, it is imperative to examine the organizational background, among which culture and strategy stand out.

It is known that business risks do not exist only within the limits of the organization. However, when efforts are concentrated in order to mitigate them internally, at least in principle, aspects related to organizational efficiency are strengthened. Otherwise, in addition to other consequences, in the medium and long term the organization may lose its effectiveness in achieving its strategic objectives (Oliva, 2016).

Risk management can be applied to an entire organization, in its various areas and levels, at any time, as well as to specific functions, activities and projects and involves a process of documentation, evaluation and careful and recursive decisions during all phases of an organization’s life cycle (ISO, 2009).

The ISO 31000 defines the risk management process based on five central elements: communication and consultation; estab- lishment of the context; risk assessment (identification, analysis and evaluation); risk treatment; and monitoring and critical anal- ysis (Santos and De Oliveira, 2019). Fig. 1 objectively illustrates this risk management process.

According to ISO (2009), each step of the ISO 31000 risk man- agement process is addressed in the following subsections, from 2.4.1 to 2.4.5:

2.4.1. Communication and consultation The planning process ensures that stakeholders (internal and

external) understand the reasons why specific actions are required and the rationale on which decisions are made. This step permeates all phases of the risk management process and emphasizes stake- holders and those responsible for implementing the process.

2.4.2. Setting the context Definition of external and internal parameters that will be taken

into account in the risk management process; and establishment of the scope and risk criteria for the rest of the process, should be aligned with the organization’s objectives. The organization seeks to achieve its objectives through the external context, which is its

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external environment. For the development of risk criteria, it is important to ensure an understanding of this context, so that the objectives and concerns of external stakeholders are considered.

The organization also uses the internal context, which is the internal environment, to achieve its objectives. The risk manage- ment process must be aligned with the organization’s strategy, as well as the structure, processes and organizational culture, since the internal context may influence the entire process of managing organizational risks.

2.4.3. Risk assessment process It is the global process that includes the activities of risk iden-

tification, risk analysis and risk assessment. The purpose of the risk identification’s step is to comprehen-

sively list the risks that may create, increase, avoid, reduce, accel- erate or delay the achievement of objectives. This stage should highlight areas of possible impacts, events and their causes and potential consequences. It is convenient that organizations involve people with adequate knowledge in the identification of risks, considering updated, pertinent information and facts behind the events whenever possible, applying risk identification techniques and tools appropriate to the objectives, capacities and risks faced by organizations.

In risk analysis, the causes and sources of risk are considered in the risk analysis and the positive or negative consequences, the probability of these consequences to occur and other particularities of the risk are determined. From experimental studies or available data, it is possible to determine the consequences and their prob- abilities by extrapolating or modeling the results of an event or set of events.

The risk assessment’s step aims to support decision making based on the results of the risk analysis, defining which one needs treatment and the respective implementation priority. This in- cludes comparing the level of risk found in the analysis process with the established risk criteria, providing a basis for the treat- ment requirements.

2.4.4. Risk treatment Part of this step is the selection and implementation of one or

more strategies to modify the risks. After implementation, the existing control measures will be modified, or new measures will be provided.

The risk treatment strategies can consider several aspects, such as: action to avoid the risk when deciding not to start or discon- tinue the activity that gives rise to the risk; taking or increasing risk in an attempt to take advantage of an opportunity; removal of the source of risk; change in probability; changing the consequences; risk sharing with other parties (including contractors and finan- ciers); or risk retention through a conscious and well-informed decision.

2.4.5. Monitoring and critical analysis These steps must cover all aspects of the risk management

process. They must also be clearly defined and planned involving regular checking or surveillance. They can be periodic or happen in response to a specific fact.

The risk management process, as standardized by ISO (2009), when implemented and maintained, provides the following bene- fits: greater probability of achieving objectives; encouraging pro- active management; awareness of the need to identify and address risks; identification of opportunities and threats; better commu- nication of financial information; better stakeholder governance, in terms of trust and controls; support for decision making and planning; support for the allocation and effective use of resources for risk management; better operational effectiveness and

Fig. 1. Risk management process recommended in ISO 31000 Source: ISO (2009).

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

efficiency; performance in health and safety and environmental protection; loss prevention and minimization; better organiza- tional learning; and greater organizational resilience (ISO, 2009).

3. Research method

This research presents an exploratory approach, considering that it intends to become familiar with the problem and explain it; it is descriptive, since it describes reality without intervening in it; and qualitative, since it deals with phenomena and collects data from social interactions, with its analysis based on the researcher’s hermeneutics.

As for the procedures, this research is classified as a single case study. A case study is an empirical study that investigates a certain phenomenon, usually contemporary, within a real context of life, when the boundaries between the phenomenon and the context in which it is inserted are not clearly defined (MIGUEL, 2007). Ac- cording to Yin (2017), it is often that, in case studies, more than one technique is used for data collection, using both “people data” and “data from notes”, which must come from the convergence of ob- servations obtained in the different procedures. Thus, in order to achieve its objective, this research used different methodological procedures.

Fig. 2 organizes these steps and shows how the data were collected and treated.

Initially, in order to proceed with the thematic deepening, a survey of scientific articles in journals was carried out. The content analysis technique was used during the bibliographic research, in order to find out how the studies were developed and what they addressed about RL, solid waste, risk management and other sub- jects portrayed in the literature review. For this, the content anal- ysis consisted of some of the steps described by Weber (1990), especially regarding the pre-analysis and exploration of the material.

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Then, a detailed analysis of the Law 12.305/2010 was carried out. This law is of high importance for this study, as it governs the na- tional solid waste policy and is obligatorily followed by the orga- nization in which this research was developed, subsidizing the way the institution carries out this process internally and externally.

Starting step 3, the Waste Center was visited by the researchers, located on the premises of the steel company targeted by this study, in which it is developed a comprehension, through direct obser- vation, of the operational aspects of the waste management flow and the main sources of risks involved in this operation. In addition to direct observation, both for step 3 and for step 4, semi-structured interviews were conducted with two employees who worked at this Waste Center.

It is noteworthy to highlight that, during this research, one of the researchers responsible for this study was an employee of the target company, which facilitated access to data considered essential for the development of this work, both for documentary analysis and for direct observation. In the direct observation phase, for example, the researcher had access to the processes that were involved (directly or indirectly) in the management of solid waste. As for the interviews, the researcher’s knowledge of key pro- fessionals at the Waste Center contributed to the interviewees being “hand-selected”. Therefore, interviewees presented deep knowledge on the steel waste management process. One of the employees interviewed was the coordinator of the area responsible for the sale and operation of the shipments of waste generated in this company and had worked in this area for thirty years. The other employee interviewed was an analyst in the same area, working there for more than eight years.

Given the vast experience of the people involved, it was believed that the in-depth interview with the two employees would be more than sufficient to gather information that could not be obtained in the previous phases, that is, in document analysis and direct observation. For this stage, an interview was elaborated with the

Fig. 2. Research steps and instruments for data collection and analysis Source: Own elaboration.

Table 2 - Percentage of participation of solid waste in the company’s total revenue, by group of waste.

NBR 10.004 Class Quantity (ton %) Revenue ($ %)a

I 0.405% 4.769% II 0.528% 0.901% II-A 99.066% 94.330% II-B 0.001% 0.001% Total 100% 100%

Source: Own elaboration. a

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

questions shown in Table 1: The interviews were recorded, transcribed and analyzed, com-

plementing the other results of this research (document analysis and direct observation), which are included in the next section of this article.

Finally, a documentary research was carried out on the ISO 31000 Standard, in order to confront and analyze the operation of risk management that occurs in the researched organization, spe- cifically in the process of scheduling and loading waste, and the risk management phases described in the ISO 31000.

The annual sales amount was approximately US$ 4,000,000.00.

4. Research results

This research aimed to analyze the risk management in the RL of solid waste based on the ISO 31000, using as case study a Brazilian company in the steel industry. In order to demonstrate the eco- nomic importance that the treatment of solid waste provides to the studied company, based on the classification of NBR 10004/2004, a report of the annual invoicing of this waste by risk class was pre- pared. Therefore, it was possible to analyze the percentage of participation of each group of waste in the company’s global rev- enue, both in terms of tonnes and billing amount (see Table 2).

Table 1 e Questions formulated for the semi-structured interview.

Leading Stage Questions

Communication and Consultation

How do the managers responsible for the Waste Center do and customers) about problems that have already happen

Risk Identification What are the main problems that have happened, happen What were, are or could be the causes of the “X”, “Y”, “Z”

Risk analysis What are the consequences of the “X”, “Y”, “Z” problems f What is the chance that the problem “X", “Y", “Z" will hap

Risk assessment In your opinion, which problems are the most harmful to For what reasons are these problems most harmful to the

Risk Treatment In your opinion, what are the actions that should be taken t question?

Source: Own elaboration.

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According to Table 2, and for reasons of confidentiality in the disclosure of product names, the waste of this company was grouped according to its risk class, obeying the NBR 10004/2004 classification: class I e dangerous; class II - not dangerous; class II A - not inert; or class II B - inert, considering their potential risks to public health and the environment. The class II A item is more representative in the RL process of the researched company, cor- responding to 94.33% of total revenue in this area.

As this topic has specific regulations in Brazil, it is necessary to discuss the legal steps that involve the RL (see Fig. 3) and that are

to provide, share or obtain information from all the people involved (employees ed, happen today or may happen at the Waste Center? today or could happen at the Waste Center? problems? or the company? pen? the company and should be treated as a priority? company? o reduce or even eliminate the most harmful problems pointed out in the previous

Fig. 3. Legal aspects of solid waste management, based on Law 12.305/2010 Source: Own elaboration.

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

applicable to the researched organization. Regarding the operational part, the RL process for solid waste in

the researched organization is shown in Fig. 4. Based on the legal and operational knowledge of the solid waste

RL process in the steelmaking area of the studied organization, and after evidencing its importance in numbers, we proceeded to the analysis that considered the risk management steps described in ISO 31000 (see section 2.4). Table 3 summarizes and organizes

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these results, exemplifying some operational details. Continuing the analysis of the risk management process,

through the analysis of company documents, the following risks were identified in the RL of solid steel residues: i) Lack of equip- ment; ii) Defect in the customer’s vehicle; iii) Poor segregation or contamination of the waste; iv) Unsuitable vehicle for the waste to be loaded; v) Communication failure between those involved.

Of the pointed-out risks, respondents assessed that the risk with

Fig. 4. Management flow of solid waste management in the researched organization Source: Own elaboration.

Table 3 - Analysis of the risk management stages in the RL of solid waste based on ISO 31000.

Risk management steps (ISO 31000)

How it is performed in the organization

Communication and consultation

Through meetings with everyone involved in the process internally (e.g. responsible for the areas that generate waste, waste center, environmental area) and externally (e.g. customers, carriers, inspection agencies).

Setting the context Through procedures, it is defined which criteria should be used in the execution of activities considering the interests of those involved internally and externally.

Risk identification With the generation of waste with characteristics different from those already sold, all professionals involved in the process are brought together internally and externally using the brainstorming technique to identify possible risks, their causes, sources, potential consequences and probability of occurrence in the processes (e.g. waste segregation, storage, loading, market development).

Risk analysis The identified risks are analyzed based on the existing standards adopted by the company, providing subsidies for later evaluation of those who need treatment and the respective treatments for each risk.

Risk assessment Based on the results found in the risk analysis, the risks that need treatment and the respective treatments are defined. Risk treatment Procedures for dealing with risks are implemented, seeking to eliminate or minimize negative consequences. e.g. the used lubricating oil

was stored in metal drums, where there was no visibility of the percentage of what was oil and the percentage of what was water, causing the following problems: - Improper programming of the load due to insufficient oil to complete a load; - risk of oil suction with water; - Return of cargo; - Refund of freight to customer; - Risk of accident due to the tanker being loaded below the safety level; - Customer dissatisfaction. As a treatment, this material started to be stored in plastic containers, where it is possible to see the percentage of oil and water.

Monitoring and critical analysis

After the implementation of the procedure, activities are monitored to ensure that the defined treatments are being carried out, whether their respective results are being achieved and to verify the possibility of new emerging risks.

Source: Own elaboration.

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

the greatest potential impact on operations is the “poor segregation or contamination of the waste”. In case of its occurrence, it has the potential to culminate in the failures indicated by Fig. 5.

Fig. 5, in addition to organizing the consequences of this risk, also addresses the treatments performed to minimize its occur- rence, thus ending the research that supported the development of this study.

As discussed in the results, it was observed in the studied company the application of ISO 31000 for risk management in its solid waste reverse logistics process; which, if it fails, can compromise environmental, economic and social aspects.

5. Discussion of research results

The first point of discussion comes from the literature review for this research. Regarding risk management many authors go out of their way to show how relevant their research is, mainly by compiling information on disasters and losses that could have been

8

avoided, or at least minimized, if those involved had adopted ac- tions that converged to risk management. Hunt et al. (2010), for example, calls attention to billionaire logistical problems that occurred with major players in the market in the past decade, such as Boeing (US $ 2 billion), Cisco (US $ 2.25 billion) and Pfizer (US $ 2 billion), 8 billion).

Undeniably, the risks are inherent to any business; and ac- cording to Ghadge et al. (2012) and Colicchia and Strozzi (2012) they are numerous and are originated in the company itself (operational risks) or in its business environment (risks of disrup- tion). For this reason, according to Christopher and Lee (2004) and De Oliveira et al. (2017), Risk Management has been increasingly integrating Supply Chain Management projects, in order to mini- mize problems with interruptions, mitigate its negative impact on performance and influence the speed of the restoration of the supply chain to its normal state (Hendricks et al., 2009).

Despite the financial, environmental and social losses that risks can cause, it is observed that little attention has been given to risk

Fig. 5. Risk analysis in the reverse logistics of solid waste - stage of scheduling and loading of waste Source: Own elaboration.

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

management applied to reverse logistics. Here, the first relevant discussion begins, built from an analysis of published papers on the topic. As an example, the Web of Science database was analyzed on 7/20/20, as shown in Table 4, through searched terms related to this research. As search criteria, the following parameters were estab- lished: i) types of document (paper); ii) language (English); iii) stipulated time (every year); iv) search fields (titles, abstracts and keywords).

Despite the vast material found, when topics are searched in isolation (more than 50,000 articles), only 18 articles address risk management applied to RL and none address risk management in reverse logistics of solid waste.

Despite that the most appropriate place to insert a research question is in the introduction section, this is considered an opportune place for reflection on the following question: Is solid waste management risk-free? Certainly not! And this will unfold in the following paragraphs, until the end of this section, as the results of the steel company’s empirical research are discussed.

In the target company of the this study, it was observed that the annual revenue with solid waste was in the order of US$ 4,000,000.00. If a failure of poor segregation occurred with the blast furnace slag, for example, a good part of this revenue could be

Table 4 Web of Science search on risk management, reverse logistics

TS¼(“risk management”) TS¼(“solid waste”) TS¼(“reverse logistics”) TS¼(“solid waste”) AND TS¼(“reverse logistics”) TS¼(“risk management”) AND TS¼(“solid waste”) TS¼(“risk management”) AND TS¼(“reverse logistics”) TS¼(“risk management”) AND TS¼(“reverse logistics”) AND

Source: Own elaboration.

9

compromised, since the slag is one of the main steel residues, both in volume and in sales. Blast furnace slag has numerous applica- tions, of which the following stand out:

- Cement manufacturing. - Road bases; - Asphalt; - Aggregate for concrete; - Catalyst in the production of biofuels - Special applications (mineral wool, rail ballast, roofing material, insulation, glass fibers, filters and concrete products, soil correction and reforestation with eucalyptus)

Thus, a failure of slag contamination would compromise it as a raw material for the production of asphalt or for the production of cement, or even for the production of glass fibers, among its various other applications. For example, depending on the percentage of water in the slag, it will serve one purpose, but it will not serve another.

In addition to the blast furnace slag, the steelmaking process generates numerous other residues, some from the steelmaking process and others from the purchase of inputs for steel production,

and solid waste.

27,676

22,961 1853 86 18 18

TS¼(“solid waste”) 0

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

of which the following stand out (see Table 5): If there is a “contamination of the waste” failure and it is still

identified within the company, the financial impact will occur due to waste of internal resources (equipment, labor, transportation, etc.) and even loss as a co-product. If this failure is raised outside the company, that is, by the company that buys the waste, but before its use as a raw material, other costs will be involved, such as removing the material from the client’s company, logistics costs with the transport of the contaminated waste, etc.

If the failure is not identified and the waste is used as an input, other more damaging financial consequences may occur. For example, one of the interviewees even reported the case of a company that bought plastic bales (indirect waste). The plastic waste was separated into “soft plastics” and “hard plastics”. In one of these bales there was a contaminant (a screw), exactly due to problems of poor segregation. When the customer used the contaminated product, he damaged his equipment, generated loss of raw material and loss of sales (by interrupting the production process). At that time, tangible losses (repair of equipment, raw material, transportation) were passed on to the target company of this study. Intangible assets (loss of sales due to equipment being stopped) were assumed by the customer; both were hampered by failures in the segregation of solid waste.

Another financial consequence is related to the fine from envi- ronmental agencies. During the interviews, it was narrated by one of the interviewees that a product of high monetary value was contaminated with another product of low monetary value. Because the financial consequences were not representative for the client, he himself segregated contaminants from the product, but deposited the low monetary value waste in an inappropriate location. The environmental agencies mapped the origin of the waste and fined the steel company, as one of those responsible for the inadequate disposal of the waste.

Worse than the compromise of the economic result, would be the environmental impact, since solid waste that previously had a certain destination and would be used as inputs in the manufacture of other products, now, with the occurrence of failures, may have to be directed to industrial landfills. Which would unfold in a new cycle of risks, now, however, with the potential to impact the environment, through the release of a wide variety of polluting products, among which are the heavy metals manganese and lead. The example narrated by one of the interviewees in the previous paragraph, in addition to the financial impact of the fine, generated an environmental impact, due to the disposition of waste in inap- propriate places.

Although the interviewees - one of them working at the target company for this study for over 30 years - did not remember other events that involved environmental damage (except those explained in the previous two paragraphs), the story highlights several cases due to solid waste management failures. One of them occurred in 1987 in Goi�as (State located in the Central West Region of Brazil), at the Goiano Institute of Radiotherapy, which, due to

Table 5 Main residues generated in the steelmaking process.

From the steelmaking process

Steel slag (use as steel aggregate) Carepa (use in elevators against weight and by the cement industry) Steel powder (used in the production of ceramics, bricks and in agriculture) Zinc sludge (use in the production of zinc oxide) Iron oxide Steelmaking mud Carbo-chemicals

Source: Own elaboration.

10

legal demands, decided to move to another address, abandoning the building together with all the old equipment and furniture, including in this list of scraps a radiotherapy device. Abandoned for years, this radiotherapy device, which contained about 20 g of Cesium-137 wrapped in almost 500 kg of lead, was found by scrap iron collectors, who disassembled it, causing one of the biggest environmental disasters caused by radiation in Brazil, involving contamination of soil, water, vegetables, animals and monitoring of internal and/or external contamination of more than 100,000 people.

Another example of environmental disaster, now related to the steel industry, can be seen in Andrade and Moraes (2013), who described the contamination of the environment by lead, in the city of Santo Amaro, State of Bahia (State located in the Northeast Re- gion of Brazil). There were almost 500 thousand tons of slag contaminated with heavy metals, mainly Chumbo and Cadmo, left by COBRAC (Companhia Brasileira de Chumbo), which ended its activities in 1993. The slag contaminated the soil, water and caused serious diseases in the population around the waste dump. The first evidence of contamination dates from 1975, the year in which lead levels of up to 60 times the level established by the WHO were found in the Suba�e River. The fact that children are still born with a concentration of lead in the blood in Santo Amaro (Andrade and Moraes, 2013) is proof that failures of this nature have the ability to affect the environment for decades, causing losses in all spheres, that is, environmental, financial and social.

Based on the aforementioned cases, mainly in the latter, it is realistically observed that the impacts of poor solid waste man- agement can cause air pollution, water pollution, soil pollution and diseases for the population. Thus, the benefit of implementing a risk management process for the RL of steel residues, lies in the company’s ability to promote proactive actions so that such risks are identified, analyzed and evaluated, minimizing their occurrence and promoting actions of treatment.

Regarding the way in which the stages of the Risk Management process are carried out at the Waste Center, it is positively observed that simplicity is a remarkable characteristic. Communication and consultation are carried out through meetings with all involved (from waste generating areas, waste center, customers, carriers, among other participants). For the identification of risks the Brainstorming tool is used, which, according to the ISO (2009b), is strongly applicable for this stage. Risk analysis and assessment uses existing standards at the Waste Center; for example, if the waste is poorly segregated, the actions to treat this risk are already planned in advance and, depending on the type of waste and the type of contamination, actions will be taken that involve accepting, avoiding, transferring or reducing the risk. Finally, monitoring in- volves the constant review and updating of these standards, since, in the event that something “outside the booklet” occurs, the company will implement new procedures to ensure that risks are adequately addressed.

With respect to the risk of “scheduling and loading of waste”, as

From the purchase of inputs for steel production

Cardboard scrap Plastic scrap Oils (vegetable and used lubricant) Scrap of various metals (stainless steel, zinc, bronze and copper) Equipment scrap (hydraulic pump, gear motor, transformer, electrical panel) Wood scrap (pallets, sleepers, rolling guide) Rubber scrap (conveyor belt)

U.R. De Oliveira, L. Aparecida Neto, P.A.F. Abreu et al. Journal of Cleaner Production 296 (2021) 126517

an example, it is observed that the target company of the present study adopted actions that range from the training of employees to the maintenance, cleaning and organization of the bays where the solid waste are stored.

Analyzing the literature on the topic, it is observed that Kırılmaz and Erol (2017) recommend that the risk management models are simple and that they provide support for decision making. Blackhurst et al. (2008) also share this view, suggesting that risk assessment and monitoring should preferably: i) be practical and not excessively expensive; ii) be quick to implement and easy to maintain; and iii) be able to provide early warning signs for po- tential problems.

Based on the case study developed here, which involved the analysis of the operational aspects of the solid waste management flow, the survey of the risk management steps in the solid waste RL and the risk analysis in the reverse logistics of solid waste, it is expected that the risk management process of the steel company, properly contextualized in this work, can be useful for other re- searchers and institutions, mainly because risk management is emerging as an important contributor to most fields of manage- ment decision (Ritchie and Brindley, 2007; Machado and De Oliveira, 2021) and, certainly, the RL of solid waste cannot be left out of this context!

6. Conclusions

Debates on environmental issues have been increasingly intense around the world, reflected in goal propositions in several countries to reduce pollutants thrown into the environment. The literature points out that Brazil presents itself as one of those nations that, concerned with the dimension of these problems, enacted in 2010 an important Law that regulates the national solid waste policy and serves as a basis for organizations to guide this mechanism inter- nally, bringing to the companies the concept of RL systems.

The growing importance of these systems, diverse legislation and the latent need to practice socioenvironmental responsibility, increases the importance of improving the quality of the RL mechanisms. For this purpose, this study presented itself as a perspective for the adequate management of the risks, involving this topic.

The present research aimed to analyze the risk management in the RL of solid waste of a company in the steel industry, based on the ISO 31000 and, for this purpose, a bibliographic research was undertaken. Documentary research was used in the analysis of the legislation that governs the matter, Law 12.305/2010, and in the interpretation of the ISO 31000. Entering the most practical part of the research, documents were analyzed, direct observation was performed and interviews were conducted with employees who work directly in the process focused on this study.

Based on the findings of this study, it is concluded that the researched organization demonstrates to meet the requirements of ISO 31000 regarding programming and loading of solid waste resulting from its steelmaking processes. It was noticed that it is possible to manage the risks of this process, identify them, analyze them, evaluate them, define the risks that need treatment and, continuously, observe if the adopted approaches are achieving the established results and verify the possibility of new emerging risks.

Although the results of this research cannot be extrapolated statistically to other companies, a rational extrapolation (that is, a generalization based on qualitative criteria) can be performed, since a logical sequence of steps for risk management in reverse logistics solid waste from a steel company was developed based on a real application, through a case study, involving risk management standards and tools widely respected by the academic and pro- fessional community.

11

As practical implications, this study has the potential to prevent risks arising from poor management of solid waste and to result in financial problems (fines, loss of revenue from co-products), social problems (diseases) and environmental problems (such as air pollution, water pollution and soil contamination).

For future work, research related to the improvement of RL processes in other productive sectors is recommended. As this is a growing topic, it is suggested that future research should also be developed to contribute with the theoretical and practical knowl- edge of risk management in the RL of solid waste.

CRediT authorship contribution statement

Ualison R�ebula De Oliveira: Conceptualization, Methodology, Writing e original draft, Writing e review & editing, Visualization, Supervision, Project administration. Lilian Aparecida Neto: Conceptualization, Investigation, Methodology, Resources, Writing e original draft. Poliana Aparecida Ferreira Abreu: Writing e original draft. Vicente Aprigliano Fernandes: Writing e review & editing.

Declaration of competing interest

The authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.

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