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MINISTRY OF EDUCATION AND TRAINING FOREIGN TRADE UNIVERSITY SUMMARY OF PHD THESIS RESEARCH THE APPLICATION OF LEAN MANAGEMENT MODEL IN EXPORT MANUFACTURING ENTERPRISES OF VIETNAM Major Business admini[.]
MINISTRY OF EDUCATION AND TRAINING FOREIGN TRADE UNIVERSITY - SUMMARY OF PHD THESIS RESEARCH THE APPLICATION OF LEAN MANAGEMENT MODEL IN EXPORT MANUFACTURING ENTERPRISES OF VIETNAM Major: Business administration Major Code: 934.01.01 LE THI VAN DUNG Hà Nội, 2023 The thesis is completed at: Scientific instructors: Associate Prof PhD Pham Thu Huong PhD Nguyen Thuy Anh Reviewer 1: Reviewer 2: Reviewer 3: The research shall be presented in front of the council meeting at LIST OF PUBLISHED RESEARCHES RELATED TO THE THESIS The impact of lean management practices on sustainable performance of handicraft enterprises in Vietnam, 8/2022 Thực trạng áp dụng quản trị tinh gọn doanh ngiệp hàng xuất Việt Nam, Tạp chí Kế tốn Kiểm toán Việt Nam, 8/2022 Các yếu tố ảnh hưởng đến hiệu áp dụng quản trị tinh gọn doanh nghiệp sản xuất hàng xuất Việt Nam, Tạp chí Kế tốn Kiểm tốn Việt Nam, 7/2022 Đề tài cấp Bộ: Nghiên cứu áp dụng mơ hình quản trị tinh gọn cho Ngân hàng thương mại Việt Nam sau thực sáp nhập, Đề tài cấp Bộ, Đại học Ngoại thương, 6/2017 – 01/2019 Các nguyên tắc áp dụng quản trị tinh gọn ngân hàng, Kỷ yếu Hội thảo Quản trị tinh gọn Hoạt động Ngân hàng, 05.2018 PREFACE Necessary of the research Exports are an important part of any economy Over the years, import and export have made great contributions to the country's renovation For Vietnam, promoting the activities of export enterprises is an important goal in the process of economic development For each enterprise doing business in the export sector, having to compete in the global environment makes these enterprises face pressure from both the global business environment and the domestic business environment The increase of globalization activities, the rapid development and daily changes of technology in the context of the industrial revolution 4.0 make these pressures increase The "lean management" method, which is a business operation method, has been applied by many businesses around the world and has reaped positive results in business activities since the 90s of the twentieth century However, in Vietnam, there are not many enterprises in general and export enterprises in particular that apply the model of world management Therefore, the author finds that World Trade Organization can bring many benefits in exporting enterprises In addition, the main export markets of Vietnamese enterprises are the US and Europe, which have many strict requirements on product quality, quality of production and supply operations, and social responsibility of the enterprise It is necessary to study the current status of applying world management and build an appropriate application model for Vietnamese exporters in the current context Stemming from the above reasons, the author chooses the topic "Research the application of lean management model in export manufacturing enterprises of Vietnam" to deal with in doctoral thesis Research objective and research questions 2.1 Research objective The research objective of the thesis is to study lean management models and their influencing factors in order to propose deployment models and solutions as well as conditions to improve the applicability of the world management model in Vietnam enterprises producing goods for export in Vietnam 2.2 Research questions - Question 1: Which popular lean management models are deloyed in enterprises today? - Question 2: What factors affect the successful application of lean management? - Question 3: How the characteristics of enterprises producing export goods affect the application of the lean management model? - Question 4: How to deploy and apply the lean management model in export manufacturing enterprises? - Question 5: Solutions and conditions for applying the lean management model in Vietnam's export manufacturing enterprises? Research methodology - The thesis uses synthetic methods, compares theories of lean management to choose an appropriate lean management approach This method is also used together with the logical reasoning method to determine the evaluation criteria for the application of lean management as well as the factors affecting the application of lean management in enterprises - The thesis uses the method of sociological investigation: collecting opinions of managers to assess the current status of management practices that Vietnamese export enterprises are applying In addition, the method of interviewing senior managers and experts was also conducted to explain the approach as well as the process of applying lean management in Vietnamese export enterprises - The survey method uses a 5-level Likert scale to investigate whether the criteria for evaluating the application of lean management and the factors affecting the application of lean management identified above are correct with reality in export enterprises or not - Quantitative research methods are used to analyze survey results The data will be processed through SPSS software The research object and research scope 4.1 Research object The object of the study is the implementation and application of the Lean Management model in export manufacturing enterprises in Vietnam 4.2 Research scope The thesis focuses on researching and applying the lean management model in export manufacturing enterprises in the period from 2016 to 2022 New contributions of the thesis Theoritical contributions - Research and propose a number of new factors affecting the application of lean management in accordance with the characteristics of Vietnamese export manufacturing enterprises - Conduct a survey and run the model to test the impact of factors on the application of lean management in export manufacturing enterprises in Vietnam Practical contributions - Investigate the current situation of applying Lean Management model in export processing enterprises to identify the factors affecting the application process and analyze the causes of success and failure from there as a basis for the proposal Prove how to deploy and apply the Lean Management model - Proposing the implementation of a lean management model in Vietnam's export manufacturing enterprises - Proposing a number of solutions and recommendations to apply the lean management model in Vietnam's export manufacturing enterprises Thesis structure - Chapter 1: Overview of research on applying lean management model - Chapter 2: Some theoretical issues about applying lean management model in export goods manufacturing enterprises - Chapter 3: Research process and methods - Chapter 4: The current situation of applying lean management model in Vietnam's export manufacturing enterprises - Chapter 5: Proposing a lean management model and some solutions and recommendations to apply the model to Vietnam's export-producing enterprises CHAPTER OVERVIEW OF RESEARCH ON APPLYING LEAN MANAGEMENT MODEL 1.1 Researches on Lean Management model 1.1.1 Some Lean Management Models in the World Toyota Production System (TPS House) is the first model of Toyota production system launched by Eiji Toyoda and Taiichi Ohno, 1988 This model consists of five elements including three foundation elements and two pillar element The three foundational factors are Heijunka, Standardized Work, Continuous Improvement (Kaizen) and the two pillars of Right Time (JIT), Error Self Control (Jidoka) Hình 1.1: TPS House Model (Source: Ohno, 1988) Mơ hình Toyota Way 2001 Fuji Cho published the book "The Toyota Way 2001" to offer an alternative to the TPS House model The model consists of five principles outlined in two pillars With the pillar of continuous improvement, there are three principles: Challenge, Kaizen and Genchi Genbutsu With respect to others, there are two principles: Respect and Teamwork Hình 1.2: Mơ hình “Toyota way” (2001) (J.K Liker, 2004) developed a 4P model to suggest the issues that businesses need to pay attention to in order to successfully implement World Management The four P's stand for (1) Philosophy, (2) Process, (3) People and Partners, (4) Problem Solving The model of J K Liker is shown as shown in the figure: Hình 1.3: Mơ hình 4P Liker (2004) (Source: Liker, J.K (2004) The Toyota way: 14 Management Principles from the World’s Greatest Manufacturer: Mc Graw Hill.) Shook's Lean Transformation Model (2015) John Shook, 2015) and experts at the Lean Enterprise Institute (LEAN Enterprise Institute) have developed a "Lean Transformation" model that suggests to businesses the factors to pay attention to when they want to apply world management successfully The model of John Shook is shown as shown in the picture below: Hình 1.4: Lean Transformation (Source: Shook, J (2015) Lean Transformation Framework From https://www.lean.org/explorelean/what-is-lean/) Hobbs.'s model of applying world management to enterprises (2004) Hobbs (2004) proposed a step-by-step process of applying world management to all enterprises of any size This model outlines the seven implementation steps and the key lean principles in each of them (Table 1.1) Table 1.1: Steps of implementing Lean management Hobbs (2004) Step Bước Bước Bước Bước Bước Bước Bước Content Set strategic vision Define and set up working groups Product analysis Process analysis Factory site analysis Choose the right pull strategy Continuous improvement Principle Value Value Chain Product flow Pull strategy Focus on perfection (Source: Hobbs, 2004) 1.1.2 Some models of Lean Management in Vietnam Lean management models “Made in Vietnam” Nguyễn Đăng Minh (2015) Figure 1.6: “Made in Vietnam” (Source: Nguyen Dang Minh, & Nguyen Thi Van Ha (2016) “Made in Vietnam” Lean Management Model for Sustainable Development of Vietnamese Enterprises Procedia CIRP, 40, 603-608) Nguyễn Thị Đức Nguyên and Bùi Nguyên Hùng’s Model (2010) Step 1: Identify oppotunity Step 2: Design solutions Step 3: Implementation Step 4: Complete transformation , continuous improvement Hình 1.7: Mơ hình áp dụng Quản trị tinh gọn (Nguồn: Nguyễn Thị Đức Nguyên Bùi Ngun Hùng, 2010) Mơ hình Phạm Minh Tuấn (2015) Figure 1.8: Steps of applying lean tools (Source: Phạm Minh Tuấn, 2015) 1.2 Overview of studies on factors affecting the application of lean management 1.2.1 Factors related to Leadership STT Factor Source Leaders have a long-term commitment to the Worley (2006), Jeffrey (2013), Wong (2009), application of lean management Achanga (2006), Drew (2004), Nitin (2010), Alaskari & cộng (2014); Alhuraish & cộng (2014) Business leaders as well as stakeholders understand the benefits of applying world Drew (2004), Achanga (2006), Anna (2014), management Womack (2003), Ohno (1988) Effective internal communication from the Achanga (2006), Tracey (2006), Worley board of directors to employees (2006), Bhasin (2006) Leadership has a clear vision and strategy for Bhasin (2006), Mefford (2009), Czabke the application of world management (2008), Emiliani (2005), Anna (2014) The commitment and involvement of the middle management team Nguyễn Đạt Minh (2018) 1.2.2 Factors related to human policy No Factor There is a clear financial reward and punishment policy to encourage employees to actively participate in lean Xây dựng hệ thống tiêu chuẩn, tiêu chí đánh giá kết triển khai QTTG công việc Have a training plan to ensure that all members of the enterprise understand the ideas and techniques of World Management 1.2.3 Factors related to staff qualification Source Tracey (2006), Emiliami (2005), Bhasin (2006), Wong (2009), Ab Wahid & Corner (2011) Achanga (2006), Liker (2003), Melton (2005), Bakås & cộng (2011) Kundu & Manohar (2012), Womack & cộng (2003), Dennis (2007), Wilson (2010), Todd (2011), Jeffrey (2013), Sisson (2014) No Factor Source Employees consciously change the way Tracey (2006), Czabke (2008) they work in a more positive direction Staff are qualified and quick to learn Motwani (2003), Crute (2003), Kettinger (1995), Nguyễn Đăng Minh (2013) Staff are well trained Achanga (2006), Anna (2014), Wong (2009), Jeffrey (2013), Bhasin (2006) 10 2.3 Content of lean management in export manufacturing enterprises 2.3.1 Lean management awareness Lean management awareness in export-producing enterprises is considered as the foundation for applying lean management in business activities of enterprises The foundational factor to apply lean management in manufacturing enterprises is the awareness of management and employees about lean management thinking 2.3.2 Identifying waste in export-producing enterprises Womack and Jones (1996) proposed five fundamental principles of lean management including (i) creating value based on the customer's point of view, (ii) value chain identification, (iii) creating flow continuous in the process of production and business, (iv) pulling the flow in the direction from the customer, (v) continuous improvement towards perfection For the specifics of export business activities, the author gives the following types of waste: - Procurement (production) of surplus exports - Meantime - Waste of shipping - Waste in performing unnecessary and valueless activities - Waste of storage - Waste in manipulation - Waste of aviation standards 2.3.3 Lean management tools - Value Stream Mapping (VSM) - Standardization of processes - Preventing Mistakes - Poka-Yoke - 5S Method and Visual Management - Continuous improvement- Kaizen - Cell model - Just- in – Time (JIT) 11 2.4 The characteristics of enterprises producing export goods affect the application of the lean management model - Large and complex operating market - High-risk activities - Strict requirements on products 2.5 Principles of applying lean management model in export-producing enterprises Figure 2.3: Principle of Lean management Nguồn: Womack Jones (1996) 2.6 Conditions for applying lean management model in export manufacturing enterprises - Foundation of consciousness, discipline and culture of society towards lean management perspective - Society's perception of lean management - Team of consultants 12 CHAPTER 3: RESEARCH PROCESS AND METHODS 3.1 Research process Diagram 1.1: Research step-by-step process Source: Author 3.2 Research hypothesis H1: Leadership commitment has a positive impact on successful implementation of lean management H2: Human resource policy has a positive impact on the successful application of lean management H3: Employee qualifications have a positive impact on the successful application of lean management H4: Corporate culture has a positive impact on the successful application of lean management H5: External value chain management has a positive impact on successful implementation of lean management 3.3 Proposing a quantitative research model Leadership commitment Staff qualifications Human policy Corporate culture External value chain management Successful application lean mamagement 13 3.4 Research scale and designing the survey Code Observed variables Source LD Leadership commitment LD1 Leaders have a long-term commitment to Worley (2006), Jeffrey (2013), Wong (2009), the application of lean management Achanga (2006), Drew (2004), Nitin (2010), Alaskari & cộng (2014); Alhuraish & cộng (2014) LD2 Business leaders as well as stakeholders understand the benefits of applying world Drew (2004), Achanga (2006), Anna (2014), management LD3 Womack (2003), Ohno (1988) Effective internal communication from the Achanga (2006), Tracey (2006), Worley board of directors to employees LD4 (2006), Bhasin (2006) Leadership has a clear vision and strategy Bhasin (2006), Mefford (2009), Czabke (2008), for the application of lean management LD5 Emiliani (2005), Anna (2014) The commitment and involvement of the Nguyễn Đạt Minh (2018) middle management team NS Human policy NS1 Having a clear financial reward and Tracey (2006), Emiliami (2005), Bhasin (2006), punishment policy to encourage employees Wong (2009), Ab Wahid & Corner (2011) to actively participate in lean management NS2 Develop a system of standards and criteria Achanga (2006), Liker (2003), Melton (2005), for evaluating the results of lean Bakås & cộng (2011) Kundu & Manohar management implementation in all jobs NS3 (2012), Having a training plan to ensure that all Womack & cộng (2003), Dennis (2007), members of the enterprise understand the Wilson (2010), Todd (2011), Jeffrey (2013), ideas and techniques of Lean Management Sisson (2014) NV Staff qualifications NV1 Employees consciously change the way Tracey (2006), Czabke (2008) they work in a more positive direction NV2 Staff are qualified and quick to learn Motwani (2003), Crute (2003), Kettinger (1995), Nguyễn Đăng Minh (2013) 14 NV3 Staff are well trained Achange (2006), Anna (2014), Wong (2009), Jeffrey (2013), Bhasin (2006) VH Corporate culture VH1 Enterprises have an open culture, Czabke, Hansen Doolen (2008); Achanga cộng (2006); Bhasin (2006), Alhuraish & encouraging innovation and creativity cộng (2014); Shook (2015), Crute đồng nghiệp (2003) VH2 Enterprises encourage employees to learn Kettinger Grover (1995) and share knowledge VH3 Enterprises encourage teamwork Tracey Flinch (2006), Czabke, Hansen Doolen (2008) VH4 Enterprises set up a specialized group to Nguyễn Đạt Minh (2018) promote the implementation of lean management QL Managing external value chain QL1 Have a good suppliers’ capacity QL2 Suppliers are committed to providing goods at the right time and in the right quantity QL3 Have a close, long-term relationship with Alhuraish (2014); Coronado & Antony (2002); Hibadullah and partner (2014); Kumar (2009); Sabry (2014) the supplier QL4 Customers are always committed to their Al-Najem (2014) Coronado & Antony (2002); orders QL5 Hibadullah Information exchanged with customers is and partner (2014); Kumar (2009); Rose & partner (2014); shared fully and timely Sabry (2014); Sisson (2014) HQ Successful application of Lean management HQ1 Increase labor productivity HQ2 Improve product quality HQ3 Reduce production costs HQ4 Increase the ability to deliver on time Dennis (2007); Naor and partner (2014) 15 3.4 Method of collecting data Data collected through paper survey and online survey on google forms will be analyzed by quantitative research method After collecting data, the author conducts testing and analysis using SPSS 20.0 software by descriptive statistics tools, testing the scale by Cronbach's Alpha coefficient, exploratory factor analysis EFA, analysis multiple regression 3.6 Research & Data processing method After collecting data, the author conducts testing and analysis using SPSS 20.0 software by descriptive statistics tools, testing the scale by Cronbach's Alpha coefficient, exploratory factor analysis EFA, analysis multiple regression Evaluation of the reliability of the scale Crobach's Alpha EFA exploratory factor analysis Regression model analysis and hypothesis testing 3.7 Sampling Classification of enterprises in the sample Bảng 3.1: Business scale Business scale No % Small 32 16.5% Medium 103 53.0% Large 60 35.5% Total 195 100% Source: Author’s survey Education level of survey respondents Bảng 3.2: Education level of survey respondents Education level No % Intermediate college 24 12% Undergraduate 93 48% Graduate 78 40% Total 195 100% Source: Author’s survey 16 Working position of survey respondents Bảng 3.3: Working position of survey respondents Position No % CEO 13 6.7% Managers 103 52.8% Staff 79 40.5% Total 195 100% Source: Author’s survey 17 CHAPTER 4: SITUATION OF APPLICATION OF LEAN MANAGEMENT MODEL IN VIETNAM'S EXPORT MANUFACTURING ENTERPRISE 4.1 Overview of Vietnamese export manufacturing enterprises Exports recorded a strong growth in size, from 176.6 billion USD in 2016 to 336.3 billion USD in 2021 (equivalent to an increase of 90.4% within years) 400 336.3 300 214 200 264.2 244.7 282.7 176.6 100 2016 2017 2018 Series 2019 2020 2021 Hình 4.1: Vietnam's exports in the period from 2016 – 2021 4.2 Analysis of the current state of applying lean management in Vietnam's export manufacturing enterprises 4.2.1 Current status of awareness and application of the Lean management The survey results show that 12% of enterprises in the survey group not know about world management This is a not too large number, reflecting the increased awareness of enterprises on world management compared to the past However, a percentage of 18% of enterprises have known about World Management but have not applied it due to reasons such as insufficient resources and not considered necessary This number also shows that enterprises' reluctance and barriers to world management are still relatively high 4.2.2 The current situation of waste identification Hình 4.4: The level of identification of wastes in enterprises (Source: Author’s survey) 18 4.2.3 Current situation of using Lean tools 100% 84% 90% 88% 82% 80% 65% 70% 57% 60% 53% 50% 40% 30% 20% 10% 0% Sơ đồ chuỗi giá trị 5S Quản trị trực quan Ngăn ngừa sai lỗi Sản xuất thời điểm Cải tiến liên tục Kaizen 4.3 Factors affecting the application of lean management in export manufacturing enterprises of Vietnam 4.3.1 Evaluate the reliability of the scale Scale testing with Cronbach's Alpha coefficient is conducted in turn with the factors in the research model The test of Cronbach's Alpha gauge with dependent and independent variables gave satisfactory results and all variables were kept for further analysis 4.3.2 Exploratory factor analysis (EFA) Perform KMO and Bartlett tests; After the results of factor analysis, it shows that the proposed author's model is suitable, after conducting the above analysis, it shows that the data is suitable for testing the regression model 4.3.3 Regression analysis The normalized Beta coefficients are: LD=0.034, NS=0.045, NV=0.039, VH=0.031, QL=0.031, respectively; shows that these independent factors have the same impact on the factor of successful application of world management In which, the level of impact in order from the highest is: human resources policy, employees, commitment of leaders, external value chain management, corporate culture 19 4.4 Practical application of lean management model in Vietnamese export manufacturing enterprises 4.4.1 Midway Metals Vietnam Co., Ltd The implementation of the application of world management at Midway Metals Co., Ltd is evaluated as successful by the author In particular, people are the key factor determining this success Limitations: The system of standardization and continuous evaluation of processes is in place but is still fragmented by department The training process at Midway mainly focused on key staff The frequency of training for employees at the company is still low The current employee bonus activities at Midway are still based on the company's revenue, not associated with employee benefits 4.4.2 Phong Nam Joint Stock Company Phong Nam Co., Ltd (referred to as Folin) was established in 1995 in the field of manufacturing plastic products and packaging products The results of the implementation of the application of world management at Phong Nam Co., Ltd are assessed by the author as a continued success thanks to the daily progress reporting and the KPIs performance measurement system for each employee Limitations: The leadership team at Phong Nam, although committed to implementing the World Bank, has not invested much in financial terms; The management board at Phong Nam is currently also in charge of 5S implementation, lacking a dedicated team; The training program is not deep enough for 20 workers to understand the goals and great benefits of lean management, so employees have not fully cooperated 4.4.3 Ha Yen Joint Stock Company Ha Yen Joint Stock Company was established in December 1993, manufacturing and supplying industrial kitchens and industrial laundry The implementation of the application of lean management in Ha Yen Joint Stock Company was unsuccessful and stopped Limitations: The biggest problem leading to the failure in the implementation of the application of world management in Ha Yen Joint Stock Company comes from the human factor: Senior management lacks long-term commitment; there is no dedicated group to put it into practice; staff have not been properly trained to understand Lean 4.5 Conclusions drawn from the application of Lean Management model in research enterprises 4.5.1 Summary of the application of the lean management model in research enterprises Firstly, enterprises that apply the Lean Management model have achieved certain successful results, although to different degrees Secondly, enterprises in the process of applying the lean management model have encountered certain difficulties and limitations related to: the long-term commitment of the company's leadership to the implementation of lean management; Staff attitude is not cooperative and staff level is not high; There is no process and standard to evaluate the implementation of lean management, no clear roadmap has been developed for each step of implementation 4.5.2 Some problems need to consider when applying lean management model Firstly, enterprises need to rely on the general principle model in lean management to build a specific deployment model for their business; Second, the implementation process needs to be carefully designed Businesses need to have two forms of testing on the theory and performance of employees to ensure that each employee has a clear understanding of the job and is doing it well Only then should the following steps be continued Third, special attention should be paid to people, including from leaders to employees, because this is a decisive factor for the success or failure of the business 21 CHAPTER 5: PROPOSED LEAN MANAGEMENT MODEL AND SOLUTIONS, RECOMMENDATIONS FOR APPLICATION OF LEAN MANAGEMENT MODEL FOR VIETNAMESE MANUFACTURING ENTERPRISES 5.1 Orientation to apply lean management model in export manufacturing enterprises of Vietnam - Applying lean management in export-producing enterprises must be implemented on the basis of not inhibiting innovative ideas in enterprises - Applying lean management in enterprises producing export goods must be done on the basis of cost saving and effective application of information technology - The application of lean management in enterprises producing export goods must be done on the basis that the benefits obtained must be higher than the costs of implementing lean management 5.2 Proposing a lean management model in Vietnamese manufacturing enterprises The detailed lean management model integrated the tools of lean 22 Lean governance deployment model: Note: : Điểm > 85% : Điểm < 50% : Mức độ học tập nhân viên : Mức độ học tập nhà lãnh đạo 5.3 Some solutions to apply lean management model in Vietnamese export manufacturing enterprises - Solution on leadership factor - Communication solutions - Solutions on HR policy - Financial solutions 23 - solutions on corporate culture - Solutions on how to deploy lean management tools 5.4 Some recommendations on the conditions for applying the lean management model to Vietnam's export-manufacturing enterprises - First, raise awareness, discipline and culture towards lean governance through social action programs - Second, increase the awareness of businesses about lean management through training programs, seminars - Thirdly, develop a team of external consultants on applying lean management for export manufacturing enterprises 24 SUMMARY Lean management is a proven advanced production method in the world In Vietnam in general and enterprises producing export goods of Vietnam in particular, there are businesses that have applied and have achieved certain successes However, there are many businesses that not know, have not applied or have applied but failed To have a lean governance model and apply it successfully is not an easy task, it requires both material investment, resources, and long-term commitment from the top management to the employees member directly apply it Enterprises need to prepare the initial foundation elements, have to each step in the process of implementing the lean management model, continuously and edit each step to ensure it is suitable for their business themselves and ensure that all employees understand each step of the work in the process of implementing the lean management model In the thesis, the author has tried through the methods of investigation, interview, and in-depth fieldwork at some Vietnamese export manufacturing enterprises to propose the initial foundational factors that enterprises need to prepare before entering the market conduct the implementation of lean management, provide an overview model and implementation methods to help enterprises successfully apply the lean management model for their businesses The thesis hopes that its research and proposals will help Vietnamese export manufacturing enterprises to take advantage of the benefits of this advanced production management method in their operations to increase their profits competitive strength for businesses in the international arena