A review of the practice and achievements from 50 years...
Transcript of A review of the practice and achievements from 50 years...
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A review of the practice and achievements from 50 years of applying OR to agricultural systems in Britain
Eric Audsley Centre for Natural Resources Management Building 42a Cranfield University Bedford MK43 0AL United Kingdom
Tel: 01234 750111 Fax: 01234 752971Email: [email protected]
Daniel L SandarsCentre for Natural Resources Management Building 42a Cranfield University Bedford MK43 0AL United Kingdom
Tel: 01234 750111 Fax: 01234 752971Email: [email protected]
Eric Audsley is a Principal Research Fellow at Cranfield University. Prior to that, since leaving Hull with an operational research degree, Eric worked for 34 years at Silsoe Research Institute, formerly the Agricultural Research Council’s National Institute of Agricultural Engineering, until its closure in 2005. He has developed the application of mathematical and operational research techniques to the analysis of decisions concerning a very wide range of agricultural systems. Currently major areas are linear programming modeling of farms to predict future agricultural land use and model-based environmental life cycle assessment.
Daniel Sandars is a Research Fellow at Cranfield University. He received a BSc (Hons) in Agriculture at Seale-Hayne (1990) followed by a masters degree in Applied Environmental Science at Wye College (1994) and a further masters degree in Operation Research at the University of Hertfordshire (2004). For the last 10 years he has been modelling the financial and environmental aspects of agricultural decisions. Prior to this he managed of a dairy unit in Kent. He is a board member of the EURO-working group on Operational Research in Agriculture and Forestry Management (EWG-ORAFM),
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ABSTRACT: This paper will survey how things have changed over nearly 50 years of OR
applied to agriculture. The first “OR group” was set up at the National Institute of
Agricultural Engineering by Dan Boyce in 1969 and is now at Cranfield University. It will
examine how, and what, factors have influenced the type of work and the methods used.
What applications have stood the test of time and what are just distant memories in paper
publications? It will show that agricultural OR has moved on from its early beginnings in
agriculture in applying OR techniques with simple analyses, to using and creating complex
computer models. Whilst it might be described as alive, it clearly needs to identify itself
and its specific contribution to analysing decisions, to set it apart from the ‘anyone can
simulate and optimise using a computer’. The skill of holistic systems modelling of
combinations of processes at the decision maker level is as important as the ability to use
techniques.
KEYWORDS: Practice of OR; History of OR; Agriculture; Review
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1. INTRODUCTION
This paper will survey how things have changed over nearly 50 years of OR applied to
agriculture. The first “OR group” was set up in Silsoe (Bedfordshire, United Kingdom) at
the National Institute of Agricultural Engineering (NIAE) by Dan Boyce in 1969 and is
now at Cranfield University. It will examine how, and what, factors have influenced the
type of work and the methods used. What applications have stood the test of time and what
are just distant memories in paper publications?
Modelling provides a logical procedure for predicting process outcomes in
circumstances other than those that have been observed. Operational research or decision
modelling aims to determine the optimum decision that should be taken, define the trade-
offs between different outcomes that are inherent in a range of decisions, or predict the
likely decisions that will be taken by farmers in a range of practical circumstances. Such
models encapsulate knowledge of how a system is constructed of interacting processes and
how each process works. They often combine experimental observations, expert
knowledge, and logic.
In the physical world, models are frequently very precise and allow us, for example,
to send probes to the moons of Jupiter. In the biological world not only are processes less
well understood, often because they are made up of many sub-processes, but also the
systems themselves are designed to be random. Weed plants not only spread their seeds by
various mechanisms - using wind, animals and birds so that their destination could be a
long way from the plant - but seeds are also designed to lie dormant for times ranging from
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months to years so that the species can survive attacks by weather or man. Fungal spores
operate in a similar fashion. Millions are launched into the air, some of them land on a leaf,
some of them germinate, and some of them survive the defences of plant and man to
produce yet more spores. Domesticated seeds have been bred by man to germinate when
planted, but this reliability is confounded by the action of wildlife such as a browsing slug
finding the seed in the soil. Overlaying all is the weather and its variability and
unpredictability - even with the very latest and largest computer.
An operational research model analyses a situation in such as way as to be able to
predict what would happen if things were different. Thus, one can determine a better
decision by looking at all possible alternatives. The simplest procedure is to find the
optimum solution, and then at least you know you could not have found a better one.
However, finding the optimum has more uses. Firstly, it checks your model for errors –
many times a model has homed in on a silly solution due to a programming error, or vice-
versa, no matter how profitable a crop, it is never chosen because of an error. Secondly, it
checks your model for accuracy – if your solution is totally at odds with current practice,
either the decision maker is an idiot or your model is wrong. Thirdly, you can use the
optimum.
One might define the great OR optimising techniques as critical path analysis, linear
programming, dynamic programming, queuing theory, and inventory theory. From 1945
these made great impacts in industry, but what about agriculture? Then came the growth in
computers and mathematicians became lazy. Thus, we simulate and hope nobody spots
that the answer could have been calculated on an envelope – if not the stamp! Now of
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course we have to add the computer methods – expert systems, decision support systems
and near-optimisation methods. Has (Is?) OR in agriculture made an impact?
2. THE GREAT OR TECHNIQUES
2.1 Network analysis
Following from the work study origins of the OR Group at NIAE, the sequential analysis of
unit times of operations in a network to identify best combinations of procedures to harvest
vegetables in a field and pack house, was natural (Boyce et al, 1971, which followed Fluck
and Splinter, 1966). There now seems to be no work using network analysis as such. It has
been replaced by large computer packages for building simulations of the flow of
(industrial) items from one process to the next.
2.2 Queuing theory
The analysis of cyclic transport systems in agriculture was also an early application of OR.
Cyclic transport refers to tractors and trailers which are served (filled with harvested
material) in the field, travel to the farmstead, where they are served (unloaded) and travel
back to the field. The earliest work (not in the UK) was on sugar cane transport (eg Shulka
et al, 1971). The NIAE group studied silage harvesting (again with work-study of the times
involved) with the aim of identifying the optimum system and number of trailers (Audsley
and Boyce, 1973). Recent references appear rare. Cooper and Parsons, 1999 studied dairy
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cows waiting for automatic milking and Hansen et al, 1998 shows sugar cane transport is
still important – though scheduling sugar cane harvesting to optimise biomass is a more
prevalent problem.
2.3 Dynamic programming (DP)
With the uncertain nature of agriculture, there should certainly be plenty of scope for DP
models. Dynamic programming has many potential uses in agriculture since many
problems are multi-stage and probabilistic. The main constraint has been, and arguably still
is, the computer power to handle the dimensionality curse of the DP. However, few people
outside OR professionals understand DP. The main problems tackled have been weeds
(Fisher et al, 1981) and replacement (Low et al, 1967, Jalvingh et al, 1992, Kennedy, 1993,
Mourits et al, 1999, Yates et al, 1998). In agriculture, replacement tends to mean dairy
cows and sows. It always seems strange to me that irrigation in the UK is never tackled
using a DP. Is this an example of OR failing to make an impact because non-OR people
can always simulate and optimise using a computer that they understand? (Or use an expert
system, Amir, 1992)
An early application was the harvesting of cauliflowers. Cauliflowers in a field
(used to) mature over a number of days. They reach maturity quicker if it is hotter. The
objective of the farmer is to go over the field a number of times, harvest those where the
head is still compact, but as large as possible – maximum yield with minimum wastage and
labour cost. This naturally forms a dynamic programme. (Corrie and Boyce, 1972)
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Nowadays it has been found that cold treatment of the plants synchronises the maturity so
fields are harvested only once.
A weed DP (Sells, 1995) has recently been incorporated in a DSS for farmers
(Benjamin et al, 2008). One of the major criteria in weed control is future losses,
illustrated by the maxim: “one year’s seeding is seven years' weeding”. Control can be
achieved by changing crop, cultivation method, sowing date and by choosing one of a
number of herbicides and doses. However, the level of control achieved becomes more
variable as one tries to reduce costs. The reward function is the loss of yield and cost of
treatments, plus allowance for loss of value or cleaning costs from having weed seeds in the
grain.
For the DP model, the seed bank is divided into discrete states on a logarithmic
scale. It is usually necessary to define the seed bank by two state variables for the surface
and deep levels, ploughing moving the seeds between levels and deep seeds generally
suffering higher mortality. Needing two soil levels and hence n2 states is a classic example
of the dimensionality curse.
The WMSS system allows the user to specify the weeds of concern and their current
levels, examine the impact of alternative options manually, and then optimise. For a
complete system, it is necessary to parameterise the seed and herbicide models for every
arable weed likely to be of concern. This is rather a challenge for experimental data, but by
having a model, the expert can provide parameters by reference to known weeds, their
performance can be simulated and optimised, the results tested against reasonableness, and
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the parameters adjusted if necessary. This is another example of optimisation helping
modelling.
2.4 Linear programming (LP)
There are two very contrasting applications of linear programming to agriculture. Least
cost feed rations (eg Chappell, 1971) enjoys the most use – largely because it is in fact
industrial. Thus, feed mix companies (and large farms with factory size feed processing)
have a large number of possible ingredients they can buy or use and wish to know either at
what price it is worth purchasing, or how to blend the ingredients at minimum cost, to
achieve the required ration – energy, protein, fibre, and as many characteristics as one
desires to consider. However, it is largely not used on farms.
Every university agricultural economics department in the country has one or more
farm linear programmes, to select the cropping that maximises farm profit. They have a
very long history (Barnard, 1959, Stewart, 1961). Each crop requires an amount of labour
in each period of the year, which must be less than that available due to weather and soil
type. Economics versions typically considered cash flow and risk in either the crop gross
margins or the time available for work using stochastic or chance programming. A recent
survey of the economics versions suggested that many are in abeyance now (Garforth et al,
2006).
The NIAE version (Audsley et al, 1978) had significant differences due to its
emphasis on the details of timeliness of operations, machinery use, and crop rotations,
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founded on its origin, which was to compare machinery for direct drilling, minimum
cultivations, and traditional ploughing - faster autumn cultivations in theory mean that less
wheat is planted late. The LP model shows that in fact what happens (the optimum) is that
either more wheat is planted, or fewer men are employed, so that wheat is planted just as
late!
The models are strategic planning tools. Attempts were made to use these models
on farms, but until recently they have been very time consuming to use – a one day visit to
collect the data, followed (weeks) later after the computer has done the runs, by another
visit to report on the results – and thus difficult for a farmer or adviser to justify the expense
(Butterworth, 1985). However, LP models have found widespread use by researchers as a
policy tool in predicting what strategy farmers would adopt in different situations
(‘scenarios’ to use modern parlance). They have been applied to arable (Cevaal et al,
1979), livestock (Conway et al, 1987, Morrison et al, 1986), horticulture (Webster et al,
1969, Audsley, 1985, Gertych et al, 1978, Hamer, 1994). Uncertain prices are a feature of
horticulture LPs (Simpson et al, 1963, Darby-Dowman et al, 2000). Similar LP models can
be used to study whether novel machines are profitable on the farm (Audsley ,1981,
Chamen et al, 1993, Jannot et al, 1994, Kline et al, 1988)
A rather different profit-maximising LP - cutting for high temperature grass drying -
was developed at NIAE (Audsley, 1974a). The problem is that once cut the grass has to be
left for four to seven weeks to re-grow. It should be cut early for highest quality, but when
growth is rapid it is difficult to get round the whole area before the grass becomes over-
mature. Equally, after the initial burst of growth, there are periods when there is
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insufficient grass to make good use of the drier. The LP model determined the optimum
times and areas to cut, and showed that what was thought of as a management problem was
just an unavoidable fact of life, but one could help by cutting the grass very early, when it
seemed hardly worth cutting, in order to delay these fields for a few valuable weeks. The
problem disappeared with the driers when the price of oil increased!
Other such LP models have considered the use of manure (Dodd et al, 1975), space
in a plant nursery (Annevelink, 1992) and scheduling autumn operations.
Multiple criteria
Studying the references to farm LP models over time, one feature that is very clear is the
increasing reference to multi-criteria optimisation, which was not present in the early
studies. These fall into two types. One is purely economic, the other environmental.
Economic criteria (e.g. Patten et al, 1988, Rehman et al, 1993, Schilizzi et al, 1997)
reflect the realisation that simple profit maximisation did not fit the farmers’ choices in all
cases – particularly obvious where prices of crops are very volatile. This has led to
considerations of risk and many other factors (and to the modern trend of Positive
Mathematical Programming (PMP)). However, one could reasonably conclude that no one
has yet found the answer and profit maximisation is as good as any (akin to the football
pools problem - the most successful, but not useful, prediction is that the results of all
football matches are home wins). Most surveys have ended up concluding that for over
90% of farmers, over 90% of their objective is to maximise profit, or the equivalent. Note
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that economic theory itself suggests that if everyone followed the LP model saying that no-
one grows a crop, the price will rise due supply-demand, which would imply that the
farmer should grow the crop which the model said not to!
Environmental and ecological criteria have grown with the trend for concern for the
environment (de Koeijer et al, 1995). While Annetts et al (2002) showed that there are
better solutions for both the farmer and the environment by considering combined criteria
rather than by applying restrictions, by and large the environment does not represent a
monetary value to the farmer. However, the multiple criteria output from an LP model
given different strategies, do provide input to a number of studies concerned with choosing
the best strategy using these and other less numeric criteria, typically for example for the
EU Water Framework Directive (Giupponi, 1999). Current (social science) research is
exploring how much farmers themselves are prepared to forgo profit for a better
environment.
Land Use modelling
Perhaps tied to the growth in computer power and/or the growth of the Geographic
Information Systems (GIS), whole farm models have more recently been used to address
the potential effects of future scenarios such as climate change, by applying the models
over a region or the whole country (Harvey et al, 1990, Donaldson et al, 1995, Oglethorpe
et al, 1995, Veldkamp et al, 2004, Holman et al, 2005a&b). The country is divided into
polygons with common climate and soil type. Other models are used to estimate the effect
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on yields and soil workability. The LP model then predicts what cropping farmers would
adopt under a new climate (global warming), environmental restrictions (nutrient leaching,
pesticides, setaside), or cost and prices (subsidy system, tax, $100 oil, biofuels). In addition
to the effect on land use, the results from the models can be used to estimate changes in
environmental and ecological outcomes. Mostly the models use profit maximisation –
Audsley et al (2006) solve for ten farms with sampled price and yield to accommodate
uncertainty. It is difficult though to say how much impact all these have actually had with
policy makers.
The most recent REGIS decision support system takes land use LP one-step further.
It allows users to study interactively the regional impact of a wide range of economic and
climate variables (Rounsevell et al 2003). However, in order to achieve this, the complex
system models (including the LP models) are replaced by meta-models that, in addition to
being representations of the full models, must exhibit the same robustness-to-data
characteristics. This is a problem. The selected meta-model is just that - selected from an
infinite population of possible meta-models – some with better, some with worse
characteristics to the wide number of possible changes in the input. Thus, a linear
regression or a neural network fitted to the data might have unacceptable properties, so the
modeller will select another form. However, it is not possible to select an optimal meta-
model, only optimise the form of model selected by the modeller. Being able to
systematically examine alternative scenarios in seconds rather than hours, means more
questions can be asked of the models than were previously feasible, which provides a
severe test of the original model.
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2.5 Expert systems
Expert systems are another non-optimisation technique. (Castro-Tendero et al, 1995, Gold
et al, 1990, Plant et al, 1989). One could reasonably argue these are not OR, and there are
serious reservations about the long-term applicability of them in changing circumstances.
However, they would probably benefit from an OR approach to modelling the expert
knowledge – in which case it becomes a model not an expert system. For example, the ear-
disease control module developed for the Wheat Disease Manager (Audsley, 2006), rather
than specifying a fungicide to apply, was a model developed from the expert decisions,
which calculated the value of applying any fungicide and dose.
3. OTHER OPTIMISATION
Not all OR models fit into “techniques”. Many models calculate a cost as a function of
inputs and the objective is to find the optimum inputs. In general, agricultural models are
focused on cost because they are thought under farmer’s control. Incomes are subject to
variations in the uncertain productivity and the variability of the actual economy.
Probably the simplest early model is exemplified by the total cost of combine
harvesting (Boyce and Rutherford, 1972). There are two sorts of losses when combine
harvesting: threshing losses, which increase with speed of working and shedding losses,
which increase as the harvest, takes longer. For a given harvester there is thus an optimum
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speed. Both losses can be reduced by having a larger harvester, but this obviously costs
more. Thus, an optimum can be found – this, in the days before genetic algorithms and
their like, used Nelder & Mead’s still very efficient simplex optimisation (Nelder & Mead,
1965).
This was the first program for which the NIAE in 1973 produced a user version.
The farmer was visited by an Agricultural Development and Advisory Service (ADAS)
adviser who filled in an input form. On his return, this was typed into the computer, which
costed options for the farmer and determined the optimum system. Although now
moribund, the program still exists as a “micro-computer” version!
Computer simulation models using weather data as input are probably the norm.
This led to one of the earliest attempts at a probabilistic weather simulation (Dumont and
Boyce 1974). This is now the province of climate change modellers. In general weather
data was and still is collected daily as total rainfall, maxima or minima or the value at 0900
(GMT), reflecting the daily cycle. Thus, most simulation models also use a daily step,
though some such as Sharp in 1984 used relatively scarce hourly weather data in studying
decisions about how best to dry grain without spoilage. Although technology means you
can have current data every 10 minutes, for decisions it is normal to use 30 years of
historical data, which means daily data. However, due to concern about climate change
over the 30 years and the fact that climate models only provide monthly data, a daily
weather generator is often used. However, there can be flaws in this. For example,
consider the time when the soil becomes unworkable in the autumn. In reality, this occurs
when there is a day in the autumn with heavy rainfall. Climate change (e.g. a 10% increase
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in winter rainfall) is unlikely to change the timing of this day, so that the number of
workable days should be almost unchanged. However, due to the probabilistic simulations,
when this day occurs is very variable (earlier or later) – to the extent that whether the mean
number of days increases or decreases with the same model is random!
As computers have grown, so the growth of process simulations has provided fuel
for our OR models. It is now possible to calculate using these models the likely outcome
from thousands of alternative strategies and combine the results from one process with
those from another to examine decisions about the overall system. This is however, both a
benefit and a curse. Process modellers test their models against experimental data. They
rarely do thousands of systematic runs and analysing these can reveal glaring logical
inconsistencies. The OR modelling approach has led to uncovering errors, faults or
omissions in otherwise well-respected process models.
Initially weather-based simulations (e.g. Parke 1978) simply reported the results for
a number of alternatives. With the development of heuristic optimisation techniques based
on running a simulation thousands of times, it is now possible to find the optimum decision
(or close to it!). The references illustrate this trend. (Parsons, 1998, Kuo, et al 2000, Stacey
et al, 2004, Audsley et al, 2006)
Audsley et al, (2006) uses a genetic algorithm to optimise the choice of chemicals,
doses and timings of fungicide applied to wheat. At present, the UK farmer has a choice of
about 20 active ingredients, formulated in combinations into hundreds of products. These
in turn can be mixed and applied at different doses and timings. Wheat varieties have
different susceptibility to various diseases and weather is very variable. The OR team
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developed models of the relevant processes of leaf growth, disease development and
fungicide action (Audsley et al, 2006; Milne et al, 2007; Parsons and Te Beest, 2004) that
bring together agronomic expertise, biological reasoning and experimental information on
disease growth and fungicide performance into a decision support tool. This process
provides a considerable challenge to the expert knowledge as the modelling process rapidly
highlights inconsistencies and incompleteness, and is thus a major benefit to decision-
making.
The potential future development of the crop, disease, and yield are predicted using
future weather scenarios appropriate to that location. One advantage of genetic algorithms
is that it meets a user demand that the decision model should give a ranked list of near-
optimal spray programmes, not just the best - a classic complaint about LP. The system has
been used by farmers for several years and its recommendations have proved generally
effective (Parsons and Te Beest, 2004). In 2003, it achieved the twin ‘sustainability
successes’ of suggesting lower doses than the experts and achieving the same control
giving higher profits. However, in 2004, it was suggesting high doses “in a tricky Septoria
season” - its target is the most appropriate dose – while farmers were applying lower doses.
Validating the correctness of the decisions is an interesting challenge since the post-harvest
optimum is not the same as the optimum decision at spray time when future weather is
unknown.
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4. NON-OPTIMISATION
Not all OR is however, about determining an optimum. In fact, an analysis of my citations
reveals that simply a formula to calculate an annual equivalent cost of machinery (in the
days of high inflation) (Audsley 1978) is the most cited paper. Applying the OR method
can equally be holistic modelling of complex systems in such a way as to determine values
to allow alternative decisions to be compared. Many of the non-optimisation models
revolve around the impact of weather, most notably on forage production and harvesting.
Most recently, Data Envelopment Analysis (DEA) begins to feature (Fraser, et al 1999) and
given the huge number of farms is perhaps a future fruitful area for OR specialists, whether
from the profit or environmental perspective.
Reflecting concerns for the environment, OR modelling has recently turned to
environmental Life Cycle Assessment (LCA) studies of alternative agricultural commodity
production systems (Audsley et al, 1987, Williams et al, 2006). The objective is to analyse
the system operation to provide accurate measures of performance and calculate
systematically the effect of alternatives, for example using lower inputs of fertiliser, which
comprise over 50% of the input energy.
An important aspect of an LCA is to define the functional unit – what is being
produced; in this case wheat suitable for bread making with a minimum protein content of
12% dry matter weight. It is important to be clear that the functional unit is tonne wheat
not ha land. Lower fertiliser nitrogen (N) inputs are a common suggestion. It reduces both
yield and grain protein content. One option is to choose a very high protein variety but this
also further reduces yield potential.
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Reduced inputs have an effect on the soil. Experimental trials and their associated
simulation models are frequently only one year and reduced inputs of N are not fully
reflected in lower yield or soil N in the soil for the following crop as the soil provides a
buffer. The best method to estimate losses is to derive them from an appropriate process
simulation model such as SUNDIAL (Bradbury et al, 1993), rather than using observations.
Such simulation models are run until a steady-state is obtained, which properly predicts the
(reduced) yield and soil N content.
The outcome is an extensive picture of the ways in which production of the
commodity impacts on the global environment, allowing systems to be compared and
policy perspectives informed. A short form summary is given in Table 1, which shows the
saving of energy per tonne produces is small.
{Table 1}
5. DISCUSSION AND CONCLUSIONS
Operational Research has moved on from its early beginnings in agriculture in applying OR
techniques with simple analyses, to using and creating complex systematic and holistic
computer-based models. More recently, with perhaps the exception of LP, combining
process models has become more relevant than techniques. The skill (art?) of holistic
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systems modelling of combinations of processes at the decision maker level is as important
as the ability to use techniques.
It is somewhat of a challenge to decide how much of decision modelling is OR and
how much is just a process model being optimised, or economics. It would reasonable to
say very little. Certainly, few of the UK authors are qualified OR scientists. One possible
definition is the bringing together of a number of processes to study or determine an
optimum decision. This perhaps suggests that the important skill of the OR person is not
the ability to apply an optimization technique but to systematically and holistically model
complex systems at the decision making level. Optimisation may or may not be necessary.
Alternative explanations are that the limited application of OR techniques to
agricultural problems is because in agriculture there are few OR-qualified scientists, or that
due to rise in computer power, the ability to include a huge number of factors in a model
has destroyed the ability of the classic techniques to solve them. Sandars and Plà (2009)
discuss other issues for the practice of OR in agriculture and related natural resources
industries.
Whilst it might be described as alive, OR clearly needs to identify itself and its
specific contribution to analysing decisions, to set it apart from the ‘anyone can simulate
and optimise using a computer’.
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ACKNOWLEDGEMENTS
The authors would like to thank Dr Lluis Plà (University of LLeida) for his thoughtful
comments.
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See also structured review references
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Impacts (per tonne bread wheat produced)
Conventional 60% fertiliser rate
Organic
Energy used, MJ 2513 2417 2168Global Warming Potential, kg 100 year CO2 equiv
545 454 437
Eutrophication Potential, kg PO43- equiv 2.9 2.2 9.1
Acidification Potential, kg SO2 equiv 2.5 2.1 1.6Pesticides used, dose ha 0.8 1.0 0Abiotic depletion, kg Antimony equiv 1.3 1.3 1.3Land Use, ha Grade 3a 0.14 0.20 0.47
Table 1: A typical outcome of an LCA analysis of a single commodity: bread wheat production
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