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CSR Due Diligence and SME Supplier Upgrading

Mandatory due diligence governance requires a systemic transition from punitive supplier monitoring toward relational capability building to facilitate sustainable SME upgrading. Without buyer-led technical assistance and proportionate compliance structures, small suppliers face severe administrative strain and elevated risks of symbolic compliance. Combining joint problem-solving, shared boundary objects, and institutional support mechanisms establishes resilient supply networks capable of balancing regulatory accountability with long-term commercial competitiveness.

Ziel

How do CSR due diligence mechanisms drive or constrain operational upgrading among SME suppliers in global supply chains?

Methodik

Comparative secondary analysis of published empirical studies, corporate sustainability governance reports, and regulatory policy texts.

Wissenschaftliche Neuheit

Synthesizes relational learning theories with configuration models to identify non-punitive governance pathways for SME upgrading under mandatory CSR due diligence.

Dokumentenvorschau

Dies ist eine kurze Vorschau. Die Vollversion enthält erweiterten Text für alle Abschnitte, ein Fazit und ein formatiertes Literaturverzeichnis.

PhD Dissertation

Degree:
CSR Due Diligence and SME Supplier Upgrading

Author:

Group

First M. Last

Advisor:

Dr. First Last

City, 2026

Contents

Abstract
Introduction
Chapter 1. Conceptual and Regulatory Foundations of Value Chain Due Diligence
1.1 Evolution of Mandatory Due Diligence Regimes and Supply Chain Accountability
1.2 Institutional and Stakeholder Pressures in Supplier Relations
1.3 Asymmetric Power Structures and Resource Scarcity in SME Networks
1.4 Conceptualizing Upgrading Mechanisms: Process, Product, and Functional Dimensions
Chapter 2. Methodological Framework and Comparative Evaluation Criteria
2.1 Systematic Secondary Data Analysis and Regulatory Corpus Selection
2.3 Comparative Configurations of Monitoring Versus Developmental Assistance
2.4 Methodological Limitations and Boundary Conditions of Upgrading Frameworks
Chapter 3. Operational Mechanisms of Socially Responsible Supplier Development
3.1 Formal Auditing, Compliance Tracking, and Verification Systems
3.3 Collaborative Governance and Long-Term Partnership Architecture
3.4 Contingencies of Market Turbulence and Contractual Stability
Chapter 4. Empirical Dynamics of Due Diligence Spillover and SME Adaptation
4.1 Transmission of Due Diligence Mandates Through Tiered Global Value Chains
4.2 Greenwashing Vulnerabilities and Symbolic Compliance under Regulatory Stress
4.3 Shared Digital Artifacts and Work-Integrated Knowledge Exchange
Chapter 5. Strategic Pathways for Sustainable Value Chain Integration
5.1 Overcoming the Administrative Burden: Scalable Due Diligence Architectures
5.2 Designing Risk-Sharing Mechanisms Between Lead Buyers and SME Suppliers
5.3 Multi-Stakeholder Platforms and Sector-Wide Standard Harmonization
5.4 Policy Implications for Proportionate Due Diligence Enforcement
Chapter 6. Synthesis, Critical Discussion, and Future Research Trajectories
6.2 Managerial Guidance for Procurement and CSR Function Integration
6.3 Limitations of Current Regulatory Regimes in Developing Market Contexts
6.4 Agenda for Future Cross-Sectoral and Long-Term Longitudinal Inquiries
Eidesstattliche Erklärung
Conclusion
Bibliography

Introduction

The institutionalization of corporate social responsibility (CSR) due diligence across global production networks has fundamentally restructured commercial relationships between lead buying firms and small and medium-sized enterprise (SME) suppliers. Whereas historical governance models treated sustainability obligations as voluntary or reputational initiatives, contemporary regulatory regimes mandate rigorous transparency, risk assessment, and mitigation throughout upstream tiers. Lead multinational enterprises face severe reputational and financial consequences for supply chain non-compliance, accelerating the implementation of socially responsible supplier development practices [1]. Consequently, small and medium suppliers encounter unprecedented external scrutiny regarding human rights, labor welfare, and environmental stewardship, operating under binding structural constraints [4].

Despite the escalating deployment of due diligence mandates, SME suppliers routinely lack the administrative infrastructure, capital reserves, and technical sophistication necessary to translate regulatory pressures into durable operational upgrading [5]. When lead enterprises confine their compliance regimes to punitive auditing and coercive oversight, resource-constrained suppliers experience substantial regulatory fatigue, which frequently incentivizes superficial compliance or inadvertent greenwashing rather than substantive organizational transformation [5]. The divergence between legal compliance demands and the practical operational realities of small suppliers highlights a systemic gap in contemporary supply chain governance models, raising fundamental questions about the viability of punitive monitoring in fragmented networks.

Overcoming these structural impediments requires the systemic transition from transactional oversight toward developmental governance frameworks grounded in capacity building and collaborative knowledge creation [6]. By integrating direct technical assistance, transparent boundary-crossing artefacts, and shared relational governance, buying organizations can actively foster capability enhancement and operational upgrading among SME partners [1, 6]. Furthermore, aligning inclusive growth strategies with structured due diligence mechanisms creates resilient value chain ecosystems capable of weathering market turbulence while generating shared socioeconomic value [7]. This analytical framework evaluates the governance configurations that convert regulatory obligations into drivers of supplier competitiveness.

This study examines the precise mechanisms through which CSR due diligence frameworks foster or inhibit SME supplier upgrading within international supply chains. Utilizing a comprehensive secondary analytical methodology grounded in configuration, stakeholder, and institutional theories, the analysis systematically evaluates the interplay among regulatory stringency, buyer-led developmental support, and supplier absorptive capacity [1, 4, 5]. By comparing diverse governance configurations across documented supply chain environments, the findings establish concrete theoretical models and practical pathways for proportionate, development-oriented due diligence implementation.

Methodological Framework and Comparative Evaluation Criteria

Evaluating the structural efficacy of value chain due diligence requires a rigorous methodological framework capable of distinguishing between superficial procedural adherence and authentic operational upgrading. The comparative analysis systematically examines published empirical evidence, corporate governance reports, and regulatory frameworks across diverse industrial environments. Particular analytical focus is directed toward assessing the administrative load imposed by multi-tiered verification protocols on small and medium-sized enterprise suppliers, which frequently face acute resource constraints and operational bottlenecks [5]. By establishing standardized evaluation criteria across published case corpora, the methodology tracks key dimensions of supplier development, specifically contrasting coercive compliance mandates against collaborative capability-building initiatives. Furthermore, the methodological structure incorporates relational mechanisms, examining how shared boundary objects, standardized audit protocols, and work-integrated learning frameworks mediate knowledge transfer between lead buyers and smaller production entities [6]. This comparative analytical approach enables a nuanced synthesis of how institutional pressures translate into organizational capability building without relying on direct field surveys or isolated empirical sampling. By focusing on secondary comparative corpora, the investigation evaluates how regulatory stringency interacts with buyer-assisted developmental interventions to influence long-term supplier resilience.

References

  1. Extending social responsibility to small and medium-sized suppliers in supply chains: A fuzzy-set qualitative comparative analysis
    Guangyu Huang, Y. Tong, Fei Ye et al.
    Open-Source-Quelle
  2. The Communication of Corporate Social Responsibility (CSR) Through the Supply Chain: A SME Perspective
    Craig H. Wood, Allen Kaufman
    DOI-Link
  3. Fostering Corporate Social Responsibility (CSR) in the Global Supply Chain: Capacity Building of Small and Medium-Sized Enterprises (SMEs) in APEC
    Young-sook Nam
    DOI-Link
  4. Corporate Social Responsibility in Supply Chains of Small and Medium‐Sized Enterprises
    Hee‐Yong Lee, Dong‐Wook Kwak, Jeong‐Yang Park
  5. The role of small and medium-sized enterprises in advancing supply chain sustainability: Avoiding greenwashing pitfalls
    Haylie Wanamaker, D. Tomanek
  6. Work-integrated learning for social sustainability
    Misheelt Gankhuyag, Livia Norström, Julia Zetterström
  7. Inclusive enterprise development: Synergy of organic growth, mergers, acquisitions and diversification
    Andrii Skrylnyk
  8. Promoting corporate social responsibility in small and medium enterprises in the Caribbean: methodology report
    Kalim U. Shah, M. Hinostroza

Bibliographie

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Dissertation

DIN ISO 690:2013-10 (Ersatz für DIN 1505-2)

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Dissertation

DIN ISO 690:2013-10 (Ersatz für DIN 1505-2)