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Operations Research For Sustainability PDF
Operations Research For Sustainability PDF
Invited Review
a r t i c l e i n f o a b s t r a c t
Article history: The environmental and social impacts of products are being increasingly scrutinized. This necessitates
Received 4 April 2017 systematic assessment methods. Life Cycle Sustainability Assessment (LCSA) provides a framework to
Accepted 23 April 2018
addresses diverse sustainability issues over the product’s life cycle, but its application is complicated.
Available online 30 April 2018
Major challenges, such as the selection of relevant indicators, multi-criteria comparisons of alternatives,
Keywords: the treatment of uncertainties, or the integration of spatially differentiated data, can be facilitated by
OR in environment and climate change adopting advanced analytical methods from Operations Research. This paper reviews 142 articles that use
Product sustainability Operations Research methods for product-related sustainability assessments. The articles were selected
Multiple criteria analysis from peer-reviewed scientific literature in a systematic search and screening process. Descriptive analysis
Data envelopment analysis shows that related publication output is growing over time and originates mainly in journals related to
Literature review Environmental Management. While ecological indicators are considered by most articles, the integration
of economic and social indicators is emerging. Focusing on the contributions of Operations Research, a
detailed analysis shows that more than half of the articles adopt methods from Multi-Attribute Decision
Making (MADM), followed by Data Envelopment Analysis (DEA) and Multi-Objective Decision Making
(MODM). Uncertainties with regard to inventory data and decision makers’ preferences are addressed us-
ing fuzzy logic, stochastic models, or sensitivity analysis. The use of spatially differentiated data is not
frequently found in the reviewed articles. Research needs derived from this analysis comprise the inte-
gration of qualitative and semi-quantitative (social) indicators, the simultaneous consideration of global
and local sustainability objectives, and the application of systematic procedures to address uncertainty.
© 2018 Elsevier B.V. All rights reserved.
https://doi.org/10.1016/j.ejor.2018.04.039
0377-2217/© 2018 Elsevier B.V. All rights reserved.
2 C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21
sustainability assessment, that it addresses a product, and that Fig. 3 illustrates the number of articles in this review by pub-
the assessment is facilitated by Operations Research methods. lication year. The growth in the number of publications over time
Self-contained sustainability assessments of companies, industries, reflects an increasing deployment of Operations Research methods
countries, or policies are not in the scope of this review and to facilitate sustainability assessment of products. This parallels
articles covering these aspects were only considered if they are the development of LCA (Guinee et al., 2011). Before 1990, LCA was
strongly related to a product. For the articles remaining in the re- in the phase of conception and a common theoretical framework
view database, the full texts were retrieved and analyzed using was missing. The focus of the 1990s was then on standardization
a structured questionnaire to extract the relevant data. Additional and first scientific journal articles were published. Not surprisingly,
references that had been identified during this step were added to the earliest article on the use of Operations Research methods
the review database (Search III), resulting in a total of 142 articles in sustainability assessment of products found in the review
that are included for further analysis. database is from 1995 (Bloemhof-Ruwaard, Koudijs, & Vis, 1995).
The authors apply multiple Operations Research methods: Analytic
3. Descriptive analysis of the review database Hierarchy Process (AHP) to aggregate environmental effects into
a single score and linear programming to improve this score by
For a descriptive analysis of the review database, we have optimizing the product composition. The focus of the reviewed
tallied the publication output over time, compiled the contributing articles from this period is clearly on environmental issues, but
journals, reviewed the products considered, and listed the sustain- efforts to integrate economic aspects start to emerge (Azapagic &
ability dimensions and indicators used in the articles. An overview Clift, 1998, 1999).
on the application of Operations Research methods as well as the During the 20 0 0s, LCA received ever-increasing attention (e.g.,
treatment of uncertainties and spatial differentiation is also given UNEP/SETAC launch Life Cycle Initiative, European Commission
as a starting point for a more detailed elaboration on these topics communicates Integrated Product Policy), life cycle-based carbon
in Section 4.
footprint accounting was on the rise, and diverging approaches The application areas for sustainability assessment are quite
in LCA were developed, such as dynamic LCA, spatially differen- diverse (Fig. 5). Most often, electronic products have been assessed
tiated LCA, risk-based LCA, and consequential LCA. The introduc- (29 articles), which might be due to the high regulatory pressure
tion of SLCA and LCSA also took place in that decade, with con- from legislation in this field (e.g., Directive of Waste Electrical
siderable developments in the 2010s (Guinee et al., 2011). Over and Electronic Equipment (WEEE) in the European Union). Chem-
the past decade, sustainability assessment has become consider- icals (16 articles), materials (16 articles), electricity (15 articles),
ably complex (more indicators, broader scope), highlighting the food (13 articles), cars (10 articles), industrial machines (9 ar-
need for systematic decision support based on Operations Research ticles), packaging (8 articles), buildings and consumer products
methods. (7 articles each), and fuels (6 articles) have received significant
The integration of Operations Research methods into sustain- attention.
ability assessment has been advanced mainly by the Environmental A look at the sustainability dimensions and indicators ad-
Management community, as can be concluded from the analysis dressed by the articles reviewed reveals that almost all consider
of the contributing journals (Fig. 4). The 142 articles under review at least the ecological dimension of product-related impacts
were found in 74 different journals. While 17 journals contained (Fig. 6). Related articles concentrate on the ecological dimension
more than one related article, 57 journals contributed one single alone (60 articles) or integrate the ecological dimension with the
article each. The majority of all 74 journals is related to the economic (52 articles) or social dimension (2 articles). There are
Environmental Management domain. Only 7 journals belong to the 25 articles in which all three dimensions of sustainability are as-
Management Science and Operations Research field (according to sessed simultaneously. Two articles focus on the social dimension,
SJR journal ranking 2015), namely European Journal of Operations and one article addresses the social and the economic dimension
Research, International Journal of Production Research, Omega, of sustainability. Articles with a purely economic focus are not
International Journal of Production Economics, Journal of Loss considered in the scope of this review.
Prevention in the Process Industries, Journal of the Operational Within the ecological dimension, the most commonly-used
Research Society, and Computers and Operations Research. With a indicator is the global warming potential (78 articles). Other pop-
total of 7 articles, the European Journal of Operational Research is ular ecological indicators are acidification potential (51 articles),
in the top 3 of contributing journals, being only surpassed by the toxicity potential (48 articles), photochemical oxidant formation
Journal of Cleaner Production (24 articles) and the International potential (41 articles), eutrophication potential (41 articles), and
Journal of Life Cycle Assessment (10 articles). This supports the resource depletion potential (38 articles). The choice of indicators
premise that sustainability assessment can be seen as an emerging is often related to the impact assessment method. Frequently-used
application area of Operations Research.
Fig. 5. Distribution of articles by product category. Fig. 6. Distribution of articles by sustainability dimension.
C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21 5
Fig. 8. Distribution of articles by (a) source of uncertainty and (b) method to address uncertainty.
6 C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21
Table 1
Overview of articles applying MADM methods.
Authors and Year Product ECOL ECON SOC Attributes Alternatives Methodological features
Weighted averages
Klein (2013) Electricity (solar power system) x x – 5 6 –
Ma and Okudan Kremer (2015) Gasoline engine x x x 5 7 Left-right fuzzy ranking
Miettinen and Hämäläinen (1997) Aluminum cans x – – 4 8 –
Milani et al. (2011) Plastic gears x x – 3 2 Signal-to-noise ratio
Park et al. (2006) Washing machine x x – 2 14 –
Pask et al. (2017) Industrial ovens x x x 7 3 Fuzzy sets, Monte Carlo
Simulation
Roth et al. (2009) Electricity (generation x x x 75 18 –
technologies)
Volkart et al. (2016) Electricity (generation x x x 18 26 –
technologies)
Wulf et al. (2017) Rare earth permanent magnets x x x 28 3 Linear and geometric
aggregation
MAVT/MAUT
Azapagic et al. (2016) Electricity (generation x x x 36 4 MAVT, integration of AHP
technologies)
Azkarate et al. (2011) Milling machine x x x 9 3 MAVT
Eddy et al. (2013) Charcoal grill x x – 10 7 MAUT
Rochat et al. (2013) PET bottles x x x 3 4 MAUT, material flow analysis
Scott et al. (2016) Carbon nanotubes for PV modules x x – 7 3 MAUT, Monte Carlo simulation
Subramanian et al. (2017) Nano-enabled biocidal paint – – x 12 1 MAVT
Tsang et al. (2014) Lumber treatment x x – 14 6 MAVT
AHP
Agarski et al. (2016) Food waste x – – 5 4 Fuzzy AHP
Ahmed Ali, Sapuan, Zainudin, and Natural fiber reinforced x x – 7 8 –
Othman (2015) composites
Avram et al. (2011) Machine tool x x – 6 24 –
Bereketli Zafeirakopoulos and Erol Hand blender x – – 11 6 ANP
Genevois (2015)
Bloemhof-Ruwaard, Koudijs et al. Fat blends x – – 9 8 AHP + Linear programming
(1995)
Chakroun, Gogu, Pacaud, and Spreader for composted products x – – 14 5 –
Thirion (2014)
Chan et al. (2014) Personal electronic products x x – 9 4 Fuzzy AHP
Chan et al. (2013) Electronic products x – – 5 4 Fuzzy AHP
De Luca et al. (2015) Citrus fruits x x x 44 9 Social LCA, participatory
approach
Eagan and Weinberg (1999) Aluminum x – – 6 2 –
García-Diéguez et al. (2015) Footwear x – – 3 4 Fuzzy AHP, Monte Carlo
simulation
Ghadimi et al. (2012) Car fuel filter x x x 7 2 Fuzzy AHP
Gloria et al. (2007) Building products x – – 12 – –
Hafizan, Noor, Abba, and Hussein Electricity (generation x – – 17 3 –
(2016) technologies)
Hermann, Kroeze, and Jawjit (2007) Pulp (for paper industry) x – – 5 1 –
Hosseinijou et al. (2014) Building materials – – x 30 2 –
Huang and Ma (2004) Packaging materials x – – 7 9 Cluster analysis
Jiang, Zhang, and Sutherland (2012) Valve system x – – 6 4 –
Kengpol and Boonkanit (2011) Air conditioners x x x 18 5 ANP
Khan et al. (2002) Urea x x – 17 4 Fuzzy Composite Programming
Kim et al. (2009) Home appliances x x – 10 6 –
Kim and Moon (2017) Cofee maker x x x 6 3 Grey relational analysis,
Bayesian network
Lipušček et al. (2010) Wood products x – — 28 – Delphi method
Lye et al. (2002) Coffee maker x x – 10 20 –
Myllyviita et al. (2013) Wood-based bioenergy x x x 8 3 Modified AHP
Myllyviita et al. (2014) Houses x – – 3 3 Comparison of SWING, SMART,
AHP
Ong, Koh, and Nee (2001) Plates x – – 30 2 –
Ordouei, Elkamel, Dusseault, and Gasoline blends x x – 6 3 –
Al-Hajri (2015)
Pineda-Henson et al. (2002) Pulp (for paper industry) x – – 7 4 –
Pineda-Henson and Culaba (2004) Semiconductors x – – 7 5 –
Ramanujan et al. (2014) Mining equipment x – – 6 8 Stochastic AHP
Ramzan et al. (2008) Distillation column x – – 11 1 –
Sadiq and Khan (2006) Urea x x – 17 4 Fuzzy composite programming
Sabaghi et al. (2016) Generic x x x 13 1 Fuzzy AHP
Shao, Taisch, and Ortega Mier Car x – x 16 – –
(2016)
(continued on next page)
C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21 7
Table 1 (continued)
Authors and Year Product ECOL ECON SOC Attributes Alternatives Methodological features
makes them a useful tool for the simultaneous assessment of Xirouchakis (2011), 24 different configurations of a machine tool
multiple sustainability dimensions. While ecological and economic system are compared, and in Bachmann (2013), 26 advanced elec-
criteria are considered in 23 articles, social criteria are addition- tricity generation technologies are investigated.
ally integrated in 23 articles. MADM models are also used within A basic MADM method is the calculation of weighted aver-
Social Life Cycle Assessment. De Luca, Iofrida, Strano, Falcone, and ages, which is applied in 9 articles of this review. Miettinen and
Gulisano (2015) use a total of 44 mainly social indicators to com- Hämäläinen (1997) discuss how LCA can benefit from decision
pare different scenarios for citrus growing in Southern Italy, and analysis in both the planning of an LCA study and in the inter-
Hosseinijou, Mansour, and Shirazi (2014) assess building materials pretation and understanding of the results. They suggest the use
based on 30 social indicators related to five stakeholder groups. of a linear additive model for aggregating the criteria and the
In sustainabiliy assessments considering ecological, economic, and use of weight elicitations techniques like SMART (Simple Multi-
social criteria, up to 75 indicators have been applied (Roth et al., Attribute Rating Technique) or AHP to integrate the stakeholders’
2009). In contrast to the large number of attributes, the number preferences. Roth et al. (2009) and Volkart et al. (2016) compute
of alternatives is usually moderate and does not typically exceed weighted averages to aggregate sustainabiliy indicators in the
20. Only in Lye, Lee, and Khoo (2002), 20 components of a cof- context of electricity generation. Park, Tahara, Jeong, and Lee
fee machine are analyzed regarding their specific contribution to (2006) compare simple additive weighting as a representative of
the sustainability impact of the product, in Avram, Stroud, and MADM methods to three other methods that integrate environ-
8 C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21
mental and economic aspects in the end-of-life stage of a washing is used (Seppälä et al., 2001). AHP has been applied for product
machine. Milani, Eskicioglu, Robles, Bujun, and Hosseini-Nasab sustainability assessment in 38 articles of this review. It is most
(2011) use simple additive weighting for combining environmental often used in combination with LCA or SLCA to support the
and economic criteria for plastic gear material selection into a determination of weights when aggregating multiple indicators
single score. They adopt a signal-to-noise ratio to limit the direct (e.g., Agarski, Budak, Vukelic, & Hodolic, 2016; Hafizan et al., 2016;
compensation among criteria by means of their variability whereby Myllyviita et al., 2014). However, AHP can also be applied on its
a material with a high average score and a low standard deviation own when LCA results are replaced by expert judgements (e.g.,
over all criteria receives highest preference. Wulf et al. (2017) test Eagan & Weinberg, 1999; Lipušček et al., 2010).
the influence of different normalization, weighting, and aggrega- While the common AHP formulation is based on unidirectional
tion procedures when combining indicators of all three sustain- hierarchical relationships among decision levels, more complex in-
ability dimensions for the case of rare earth permanent magnets. terrelationships among decision levels and components can be
Taking into account the uncertainty in design preferences, Ma and modeled using the Analytic Network Process (ANP) (Saaty, 1996).
Okudan Kremer (2015) present a fuzzy logic-based approach to ANP is also based on pairwise comparisons but allows for mod-
assess the sustainability of end-of-life options for components in eling more sophisticated decisions involving interactions and de-
the product design phase considering economic, environmental, pendencies between alternatives and attributes that exist in real
and social indicators. Fuzzy operations and a left-right fuzzy rank- life problems (Bereketli Zafeirakopoulos & Erol Genevois, 2015).
ing method (Chen and Hwang, 1992) are applied to derive weights ANP is applied by Bereketli Zafeirakopoulos and Erol Genevois
for all sustainability criteria. Similarly, Pask, Lake, Yang, Tokos, and (2015) to identify the most significant environmental aspect of a
Sadhukhan (2017) use fuzzy set theory and Monte Carlo simulation hand blender in order to guide improvements in product design.
to compute an aggregate fuzzy desirability indicator that allows Kengpol and Boonkanit (2011) use ANP for assessing product de-
for comparing alternative design options of an industrial oven. sign improvement options for an air conditioner, and Wang, Chan,
In Multi-Attribute Value Theory (MAVT) and Multi-Attribute and White (2014) implement ANP to select the most environmen-
Utility Theory (MAUT), alternatives are first evaluated against each tally sustainable design of electronic products.
criterion using partial value or utility functions and the results AHP has also been combined with other Operations Research
are then aggregated over all criteria in an additive, multiplicative, methods to increase its usefulness in specific applications. For
or mixed way to obtain a global value or utility function. While example, Bloemhof-Ruwaard, Koudijs et al. (1995) apply LCA and
MAVT is used for value measurement when there is no uncertainty AHP to evaluate the environmental impact of refined oils and
about the consequences of the alternatives, MAUT explicitly con- incorporate the results into a linear programming blending model
siders that the consequences of the alternatives may be uncertain to determine optimal fat blends under consideration of certain
(Keeney & Raiffa, 1976; Seppälä et al., 2001). availability constraints. Huang and Ma (2004) use cluster analysis
Seven of the articles reviewed employ MAVT/MAUT for sustain- to combine the rather qualitative judgments from AHP with the
ability assessment. Tsang, Bates, Madison, and Linkov (2014) use quantitative results from LCA. Kim and Moon (2017) combine
MAVT to evaluate the benefits and risks of conventional and nano- AHP with grey relational analysis to compute a total sustainability
enabled lumber treatment products. While their focus is on en- indicator for a family of coffeemakers and use Bayesian network
vironmental and economic aspects, Subramanian et al. (2017) use to analyze the risk to product redesign with regard to changes in
MAVT in combination with SLCA to analyze the social aspects components and sub-systems.
of a novel nano-copper oxide-based paint with biocidal function- In some situations, it is difficult to express the pairwise com-
ality. Indicators from all three sustainability dimensions are in- parisons of alternatives and criteria with crisp numbers due to
tegrated into an aggregate sustainability index using MAVT by lack of data or uncertainty in the decision maker’s preferences.
Azapagic, Stamford, Youds, and Barteczko-Hibbert (2016) to com- Nine of the articles analyzed integrate fuzzy logic into AHP. Quite
pare alternative electricity generation scenarios and by Azkarate, frequently, linguistic terms used for pairwise comparisons are
Ricondo, Pérez, and Martínez (2011) to compare alternative de- translated into fuzzy numbers that are further processed based on
signs of a machine tool. Eddy, Krishnamurty, Grosse, Wileden, fuzzy logic. Agarski et al. (2016) propose a fuzzy-based method-
and Lewis (2013) develop a Normative Decision Analysis Method ology for impact category weighting in LCA based on both default
for the Sustainability-Based Design of Products (NASDOP) based and subjective weighting factors. Chan, Wang, White, and Yip
on MAUT, allowing taking into account the uncertainty associated (2013) use fuzzy AHP to evaluate the performance of alternative
with material and energy flows. They use this method to analyze product designs, and Chan, Wang, and Raffoni (2014) combine
potential alternatives of a charcoal grill based on both ecological LCA with fuzzy AHP as a tool for pre-screening product designs
and economic criteria. Rochat, Binder, Diaz, and Jolliet (2013) com- before a full LCA is conducted. García-Diéguez et al. (2015) de-
bine material flow analysis, LCA, and MAUT to support the selec- velop a fuzzy AHP-based eco-design tool, which they apply to
tion of the best end-of-life scenario for polyethylene terephthalate children’s footwear. Ghadimi, Azadnia, Mohd Yusof, and Mat
(PET) bottles in Colombia. In this work, MAUT integrates ecolog- Saman (2012) use fuzzy AHP to weight selected elements and
ical, economic, and social aspects in an analysis of the problem sub-elements for a more precise assessment and better decision
from a regional perspective. Scott et al. (2016) apply MAUT to the support. Khan, Sadiq, and Husain (2002) and Sadiq and Khan
output of LCA to better understand the tradeoffs that exist in the (2006) propose a risk-oriented methodology for process plant
adoption of different nanomaterials for photovoltaic modules from design based on LCA and fuzzy composite programming involving
the public decision maker’s perspective. By integrating Monte Carlo AHP. Sabaghi, Mascle, Baptiste, and Rostamzadeh (2016) employ
simulation, they are able to analyze the extent to which MAUT fuzzy AHP accompanied by Shannon’s entropy formula to deter-
results are driven by scenario uncertainty resulting from the de- mine the relative importance of each element in the hierarchy.
cision maker’s perspective, production process uncertainties, and Wang et al. (2014) integrate fuzzy logic into ANP to support the
economic uncertainties. selection of environmentally sustainable product designs.
The Analytic Hierarchy Process (AHP) is a popular MADM method The inherent uncertainty can be modeled using stochastic or
developed by Saaty (1980) to elicit weights for each element in a simulation-based approaches. García-Diéguez et al. (2015) test the
hierarchical structure through pairwise comparisons. To this end, sensitivity of their fuzzy AHP model by means of Monte Carlo
a pre-specified nine-point scale for quantifying verbal descriptions simulation. They investigate uncertainty in the fuzzy membership
of preference among alternatives and importance among attributes function’s parameters and in the decision maker’s preferences
C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21 9
(criteria weights). As a result, the sustainability scores of each Outranking methods are based on pairwise comparisons of
alternative are represented as probability distributions. Ramanujan the alternatives against each other or a predefined norm. To this
et al. (2014) use a stochastic simulation module within their AHP end, preference relations are established based on performance
model to account for the variability in preferences among decision differences between the alternatives in each of the assessment
makers. criteria. A variety of outranking methods with different aggre-
When evaluating the relative importance of the criteria, it gation procedures has been developed. Two popular groups are
may be desirable to involve the affected stakeholders. In this ELECTRE and PROMETHEE. In ELECTRE, concordance and discor-
regard, AHP has the advantage that the scale used for pairwise dance matrices, which determine the strengths and weaknesses
comparisons is linked to easily understandable verbal descriptions. of alternatives based on the considered attributes, are analyzed
De Luca et al. (2015) present a participatory approach to SLCA to determine the order of alternatives, and in PROMETHEE, pos-
that involves three stakeholder groups (workers, local community, itive and negative outranking flows are calculated to obtain the
and society) who are interviewed to select relevant criteria and ranking. Outranking methods are partially compensatory because
to make the pairwise comparisons. Ramanujan et al. (2014) also the preference relations prevent compensation between particular
incorporate judgements of expert groups and integrate a stochastic attributes once a preference threshold of an attribute is exceeded.
simulation module within AHP to account for the variability in Comprehensive literature reviews on methodologies and applica-
preferences among the decision makers. The utility functions used tions are provided by Govindan and Jepsen (2016) for ELECTRE
for aggregation of parameter values in Lipušček et al. (2010) are and by Behzadian, Kazemzadeh, Albadvi, and Aghdasi (2010) for
based on experts’ findings that were gathered in a three-round PROMETHEE.
Delphi method. Fifteen articles of this review are related to outranking meth-
The Technique for Order Preference by Similarity to Ideal Solution ods. ELECTRE TRI, a special version of ELECTRE that enables the
(TOPSIS) introduced by Hwang and Yoon (1981) is based on the categorization of alternatives into a set of pre-defined classes, is
principle that good alternatives should be as close to the ideal used by Domingues et al. (2015) to classify light-duty vehicles
solution as possible and as far from the negative-ideal solution as according to their environmental performance and by Tervonen
possible. The ideal and the negative-ideal solution are generated et al. (2009) as well as Cinelli et al. (2017) for the classification
as composites of the best and worst performance values exhibited of nanoparticles. PROMETHEE is used by Geldermann and Rentz
by all alternatives. The proximity to each of these performance (2005) to investigate alternative scenarios for industrial coating of
poles is measured via Euclidean distance measured with optional mobile phones and automotive components. Two methodological
weighting of each attribute (Seppälä et al., 2001). A recent review variants of PROMETHEE are applied: PROMETHEE I, resulting in
of TOPSIS applications is provided by Behzadian, Khanmohammadi a partial preoder of alternatives based on positive and negative
Otaghsara, Yazdani, and Ignatius (2012). outranking flows, and PROMETHEE II, resulting in a total preoder
TOPSIS-based approaches have been applied in 11 articles of of alternatives based on net outranking flows. Both PROMETHEE
this review. Several useful extensions of TOPSIS and combinations variants are applied by Le Téno and Mareschal (1998) for com-
with other methods have been proposed. AHP is integrated into paring the design of building products, by Parajuli, Knudsen,
TOPSIS by Gao, Liu, Hu, Zhang, and Gu (2010), Ng and Chuah and Dalgaard (2015) for the pre-screening of potential biomasses
(2012), and Pires, Martinho, Ribeiro, Mota, and Teixeira (2015) for as feedstocks for biorefineries, and by Schmitt et al. (2017) for
a systematic determination of criteria weights. Back-propagation comparing the sustainability of local and global food products.
neural networks (BPNN) are used by Chiang, Che, and Wang PROMETHEE I is used by Boufateh, Perwuelz, Rabenasolo, and Des-
(2011) to estimate the material and energy consumption of dif- odt (2011) to obtain a ranking of different fiber types for a t-shirt.
ferent design options for an optical mouse based on the product PROMETHEE II is used by Samani, Mendes, Leal, Miranda Guedes,
attributes and previous life cycle inventory data. A triple bottom and Correia (2015) to identify the most sustainable sandwich-
line sustainability assessment model based on economic input– structured composite for novel housing solutions and Vukelic et
output analysis is adopted by Kucukvar, Gumus, Egilmez, and al. (2017) to select an optimal knee support. A stochastic approach
Tatari (2014) and Onat, Gumus, Kucukvar, and Tatari (2016). Group to PROMETHEE is proposed by Rogers and Seager (2009) to rank
TOPSIS is applied in the same articles to integrate the preferences alternative transportation fuels.
of multiple decision makers. The life cycle sustainability triangle To enhance the interpretation of the assessment results, Le
(Finkbeiner, Schau, Lehmann, & Traverso, 2010; Hofstetter et al., Téno and Mareschal (1998) suggest using PROMETHEE with the
1999) is used by Onat et al. (2016) for a better visualization Geometrical Analysis for Interactive Assistance (GAIA) (Mareschal
of the results and an analysis how the decision maker’s prior- and Brans, 1988). The idea behind GAIA is to project the multi-
ities can influence the ranking and the perceived sustainability dimensional alternatives onto a two-dimensional plane that is
performance. calculated using Principal Component Analysis. This graphical
Different fuzzy TOPSIS approaches are used to deal with vague representation, which allows for an easy identification of families
and imprecise data. Most often, criteria values and weights are of similar alternatives as well as groups of conflicting criteria, is
described by linguistic terms that are linked to fuzzy numbers. also applied by Boufateh et al. (2011) and Vukelic et al. (2017).
Triangular fuzzy numbers based on traditional fuzzy set theory Different approaches to deal with uncertainties within outrank-
(Zadeh, 1965) are employed by Feng and Mai (2016), Gao et al. ing methods have been implemented. Rather than selecting precise
(2010), Ng and Chuah (2012), Wang and Chan (2013), and Wang, criteria weights, Domingues et al. (2015) define feasible weight
Chan, and Li (2015b). As an extension, intuitionistic fuzzy num- vectors that obey certain constraints concerning, for example, the
bers (Atanassov, 1986), which quantify degrees of membership maximum acceptable ratio between any two weights. Thus, the
and non-membership to a set, are employed by Kucukvar et al. result of their analysis is not a crisp classification of each alter-
(2014) and Onat et al. (2016). Neutrosophic linguistic numbers, an native into a single class but rather a set of possible classes. This
even more generalized but also debated concept that integrates allows the decision maker to draw more robust conclusions that
differences in semantics, are applied by Tian, Wang, Wang, and are independent of specific assumptions on the weights. Gheorghe
Zhang (2016). An alternative approach to modeling uncertainty is and Xirouchakis (2007) present a fuzzy outranking method for
pursued by Huang, Zhang, Liu, and Sutherland (2011) who adopt evaluating product designs at their early stage of development
the entropy method to modify the weighting factors based on according to different criteria. The imprecision about the design
unreliability and disorder in the data. alternatives is modeled using triangular or trapezoidal fuzzy num-
10 C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21
bers. Alternatives are first compared within each criterion. Then, The use of spatially differentiated data can be found in 21
a fuzzy aggregation operator is applied to obtain global fuzzy articles that apply MADM methods. Most of these articles use
outranking relations. weighting factors that reflect the preferences of particular stake-
The Stochastic Multi-Attribute Life Cycle Impact Assessment holder groups. For example, site-specific weighting factors based
(SMA-LCIA), an outranking method described by Rogers and Sea- on local preferences are used by De Luca et al. (2015), Hosseini-
ger (2009), also addresses the uncertainty in criteria weights but jou et al. (2014), and Lipušček et al. (2010), and site-dependent
uses a stochastic representation in combination with Monte Carlo weighting factors reflecting the priorities in different countries are
simulation to explore feasible weight spaces. The method results used by Kim, Hwang, and Park (2009) and Rochat et al. (2013). In
in a rank acceptability index representing the probability that an this regard, MADM methods and in particular AHP have the advan-
alternative will be ranked first, second, third (and so on) as well tage of systematic weight elicitation procedures. Site-dependent
as a central weights vector required for an alternative to be ranked inventory data is used by Wulf et al. (2017) who compare al-
first. This allows the decision maker to analyze the sensitivity of ternative supply chains of rare earth permanent magnets and in
the rank ordering results to uncertainty, to eliminate alternatives articles that are based on national economic input-output tables
with poor performance in all situations, and to prioritize research (Kucukvar et al., 2014; Onat et al., 2016). National normalization
resources for reducing uncertainty. Rajagopalan, Venditti, Kelley, references are used in Domingues et al. (2015).
and Daystar (2017) apply SMA-LCIA to interpret the results of The MADM methods that have been applied in the reviewed
an LCA study on different feedstocks for biofuels. Motivated by articles have proven to be useful for the aggregation of multiple
the technological uncertainty associated with engineered nano- criteria into a single score. One advantage of such systematic
materials, Canis, Linkov, and Seager (2010) expand the SMA-LCIA aggregation procedures can be seen in their ability to combine in-
methodology by modeling uncertainty not only with regard to dicators from multiple sustainability dimensions that may even be
the criteria weights but also with regard to the performance measured on different scales. Furthermore, the systematic deter-
attributes. Prado-Lopez et al. (2014) adopt the SMA-LCIA method- mination of criteria weights allows for integrating the preferences
ology for a comparative assessment of liquid and powder laundry of different decision makers and stakeholders while simultane-
detergents. They use the Pedigree matrix (Weidema & Wesnaes, ously ensuring transparency in the assessment. The explicit use of
1996) to model the uncertainty in inventory data with regard to spatially differentiated data or preferences within MADM models
reliability, completeness, sample size, and temporal, geographical, is sparsely found in the reviewed articles, opening options for
and technological correlation. Finally, extensions to ELECTRE-TRI future research.
with the added capability of using imprecise measurement values,
thresholds, weights, and class profiles are proposed by Tervonen 4.2. Multi-Objective Decision Making (MODM)
et al. (2009) and Cinelli et al. (2017).
Another way to analyze the robustness of a ranking is proposed Being a sub-discipline of MCDM, MODM is concerned with
by Geldermann and Rentz (2005) who calculate sensitivity inter- decision-making problems where multiple conflicting objectives
vals that specify the domain in which the weighting factor for each have to be considered simultaneously and the set of alterna-
criterion can be changed so that the overall ranking of alternatives tives is large and implicitly defined by constraints. Contrary to
remains unchanged. To address the imprecision that may prevail MADM, MODM rather deals with design problems and not with
in the attribute values, Le Téno and Mareschal (1998) propose a choice problems. Hwang, Paidy, Yoon, and Masud (1980) classify
modification to PROMETHEE that is based on intervals. In fact, this multi-objective optimization methods according to the stage of
procedure is similar to fuzzy approaches and a defuzzification step the optimization procedure at which the decision maker has
is required to transform the results into a crisp ranking. to specify the preferences on the different objectives: never, a
There are 6 remaining articles that apply other MADM methods, priori, a posteriori, or interactively during the procedure. Most
which cannot be matched to any of the groups above. Kadziński commonly, optimization methods requiring an a priori or an a
et al. (2018) propose an MADM model that incorporates ordinal posteriori articulation of the preference information are used. A
regression to assess the implementation of green chemistry prin- priori approaches (e.g., weighted-sum method, utility-function
ciples in nanoparticle synthesis protocols. Bachmann (2013) dis- method, fuzzy-logic method, goal programming methods) scalarize
cusses how the development of LCSA can benefit from Multi- the different objectives into one single objective function before
Criteria Decision Analysis (MCDA). The dominating alternative al- the optimization problem is solved and only one solution is gen-
gorithm, which selects the best alternative out of a set by compar- erated. In contrast, approaches with a posteriori information (e.g.,
ing two alternatives at a time using a dominance index, is com- multiple-run weighted-sum method; ε -constraint method, multi-
pared to a total costs approach for a ranking of 26 future power objective genetic algorithms) determine a set of Pareto-optimal
generation technologies. Dhouib (2014) assesses reverse logistics solutions. The selection of the “best” alternative out of the efficient
options for waste tires using a fuzzy MACBETH (Measuring Attrac- solutions is then subject to the decision maker’s individual and
tiveness by a Categorical Based Evaluation Technique) model that subjective preferences (Hwang et al., 1980).
allows for combining qualitative and quantitative information on The articles that use MODM for sustainability assessment of
the attractiveness of alternatives. Benetto, Rousseaux, and Blondin products are listed in Table 2. In these articles, MODM is used for
(2004) compare six scenarios for electricity production from an en- product and/or process design decisions. Carreras, Boer, Cabeza,
vironmental point of view, and Naidu, Sawhney, and Li (2008) eval- Jiménez, and Guillén-Gosálbez (2016); Doi, Chujo, Yoshimura,
uate three manufacturing processes for nanoparticles based on Nishiwaki, and Izui (2009); Michaud et al. (2009), and van Mierlo,
eleven sustainability metrics using NAIADE (Novel Approach to Im- Rohmer, and Gerdessen (2017) consider optimization of the
precise Assessment and Decision Environments), a multi-criteria design of a single product, Mangun and Thurston (2002) and
method based on fuzzy pairwise comparisons, to integrate LCA re- Thurston and de la Torre (2007) focus on a portfolio of products,
sults and to analyze uncertainty. Finally, Dorini et al. (2011) dis- Tang, Wang, and Ullah (2016) on the selection of modules, and
cuss the handling of uncertainty in multi-criteria decision making Manzardo et al. (2014) and Zhou, Yin, and Hu (2009) consider the
related to sustainability assessment. They propose a compromise selection of materials. Process design decisions mainly focus on the
programming model in which uncertainty is characterized using a determination of an optimal life cycle pathway for a given prod-
probabilistic approach and propagated using Monte Carlo simula- uct. For instance, Azapagic and Clift (1998, 1999) optimize the life
tion. cycle of boron products, Herrmann et al. (2014) and Tan, Culaba,
C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21 11
Table 2
Overview of articles applying MODM methods.
Authors and Year Product ECOL ECON SOC Objectives Approach Methodological features
and Aviso (2008) of biofuels, and Komly, Azzaro-Pantel, Hubert, 2016). Thereby, Zhou et al. (2009) use an artificial neural network
Pibouleau, and Archambault (2012) of polyethylene terephthalate to forecast the fitness of material properties. Tang et al. (2016) de-
(PET) bottles. The approach typically requires the conduction of fine a weighted-sum objective function to balance GHG emissions
an LCA for a specific product or process first. Afterwards, the and a customer satisfaction index. A similar approach is applied by
product/process system under consideration is optimized taking Manzardo et al. (2014). They minimize the weighted distance from
into account economic, environmental, and/or social criteria in an ideal solution as known from TOPSIS where the ideal solution is
order to improve the system’s overall sustainability performance determined by optimizing every single objective individually. Van
(Azapagic & Clift, 1999; Ramadhan et al., 2014). Ameli, Mansour, Mierlo et al. (2017) first determine a payoff matrix by minimizing
and Ahmadi-Javid (2016) integrate product and process design each indicator separately and then derive a minsum and a minmax
decisions by setting up an optimization model involving three objective function. Carreras et al. (2016) scalarize the objective
different design options and four alternative end-of-life options for function by means of monetization using the eco-costs indicator to
a cell phone (reuse, remanufacture, recycle, and dispose of) in the quantify the cost of preventing a certain amount of environmental
design stage of the product for a hypothetical company. burden (Vogtländer et al., 2001). Monetization is additionally
The number of objectives simultaneously considered in the applied by Kravanja and Čuček (2013) who compute total profit
optimization models ranges between two and five. Most often, as the sum of economic profit and eco-profit (difference between
ecological objectives (e.g., global warming potential, energy use, eco-benefits of unburdening the environment and eco-costs of
environmental impact) are balanced against economic (e.g., profit, burdening the environment).
life cycle costs) and/or rather technical objectives such as static Most of the work related to the a posteriori approach applies
compliance (Doi et al., 2009) or reliability (e.g., Mangun and the ε -constraint method for the generation of a set of Pareto-
Thurston, 2002). Five articles fully concentrate on different ecolog- optimal solutions (e.g., Azapagic & Clift, 1999; Khan, Natrajan,
ical objectives (Herrmann et al., 2014; Komly et al., 2012; Michaud, & Revathi, 2001). To this end, one objective is selected for op-
Castéera, Fernandez, & Ndiaye, 2009; Tan et al., 2008; van Mierlo timization and the others are reformulated as constraints with
et al., 2017). Only Ramadhan et al. (2014) consider a social objec- varying ε defining the lower bound on the objective value. The
tive by balancing work-related fatalities against life cycle costs. starting value is derived by solving the corresponding single-
About half of the MODM articles in this review make use objective optimization problems (Cohon and Marks, 1975). For
of an a priori approach and generate a single solution. To this their nonlinear multi-objective optimization problem of designing
end, Mangun and Thurston (2002) and Thurston and de la Torre a milling machine, Doi et al. (2009) use the normal-boundary
(2007) maximize a normative multi-attribute utility function, intersection method that allows determining evenly spread Pareto-
trading-off the attributes cost, reliability, and environmental im- optimal solutions. These solutions are identified at the intersection
pact. Fuzzy logic is utilized by Ramadhan et al. (2014) and Tan between the boundary of the set of feasible solutions and the
et al. (2008). Here, a continuous fuzzy degree of satisfaction is normal to any point in the so-called convex hull of individual
maximized subject to predetermined upper and lower limits of minima (Das & Dennis, 1998). Both the ε -constraint method and
each objective/constraint. These limits are obtained by solving the normal-boundary intersection method require an iterative
the corresponding single-objective optimization problems. For process to identify the Pareto front. An alternate approach is the
non-linear programs, which optimize complex design problems, Non-dominated Sorting Genetic Algorithm II (NSGA II) adopted
single-objective (Tang et al., 2016; Zhou et al., 2009) or even by Komly et al. (2012) in which the Pareto front is obtained in
multi-objective genetic algorithms are applied (Carreras et al., one single run because of its ability to consider a population of
12 C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21
possible solutions (Deb et al., 2002). Michaud et al. (2009) develop products are compared based on their efficiency (e.g., Barba-
a multi-objective particle swarm optimization to determine a Gutiérrez, Adenso-Díaz, & Lozano, 2009; Lozano, Adenso-Díaz, &
set of Pareto-optimal solutions for eco-design problems. For the Barba-Gutiérrez, 2011; Zhu, Wang, & Zhang, 2014). Assessments
selection of a preferred solution out of the non-dominated ones, a of alternative product designs, production processes, and supply
modified TOPSIS approach is proposed by Komly et al. (2012). chains for the same product are carried out by, e.g., Chen, Zhu,
Only Ameli et al. (2016) present a stochastic optimization Yu, and Noori (2012), Martín-Gamboa, Iribarren, Susmozas, and
model in which uncertain parameters such as usage duration, Dufour (2016), and Sanjuan et al. (2011).
return time, and revenue generated from recovered products DEA models can be input- or output-oriented. Input-oriented
are taken into account when deciding about optimal design and models seek improvements in efficiency by minimizing the inputs
end-of-life options for cell phones. In this model, three different levels while keeping output levels constant. In contrast, output-
risk measures are considered (expected value, value-at-risk, and oriented models aim at maximizing the output levels while inputs
conditional value-at-risk). The model is solved by means of an are fixed. The majority of the articles analyzed use input-oriented
enumerative method that is based on Monte Carlo simulation and DEA models. Only two articles apply an output-oriented approach
obtains a set of Pareto optimal solutions for a limited number of (Hwang, Chen, Chen, Lee, & Shen, 2012; Rebolledo-Leiva, Angulo-
design alternatives. In all other articles, uncertainty is handled Meza, Iriarte, & González-Araya, 2017), and three articles apply
using sensitivity analyses, if at all. For instance, cost factors for both input- and output approaches (Korhonen and Luptacik, 2004;
the monetization of ecologic impacts (Carreras et al., 2016), objec- Limleamthong et al., 2016; Picazo-Tadeo, Beltrán-Esteve, & Gómez-
tives that are simultaneously integrated in the objective function Limón, 2012). Furthermore, DEA models can also be differentiated
(Khan et al., 2001; Kravanja & Čuček, 2013), weighting factors, or into constant returns-to-scale (CRS), if changes in inputs are
customer preferences (Mangun and Thurston, 2002; Thurston and proportional to changes in outputs, and variable returns-to-scale
de la Torre, 2007) are altered even though the uncertainty is not (VRS). CRS is the predominant variant occurring in articles covered
considered in a systematic manner. in this review which is usually assumed when the DMUs function
Spatially differentiated data is used in 4 out of the 18 MODM in a competitive market.
articles. Carreras et al. (2016) optimize the thermal insulation of a Most articles using DEA address both the environmental and
building envelope for five different locations with varying climate the economic dimension of sustainability. Eco-efficiency is, in
conditions. Manzardo et al. (2014) and Tang et al. (2016) allow for these cases, defined as the ratio of the economic product value
sourcing the same materials or modules from different suppliers (often approximated by its price) to the environmental impacts
that vary in their performance regarding economic (e.g., price), related to the product (Barba-Gutiérrez et al., 2009; Lozano et al.,
ecological (e.g., water footprint, GHG emissions), and other factors 2011). Social aspects are additionally integrated by Galán-Martín
(e.g., quality). For their case of producing green products from et al. (2016) and Izadikhah and Saen (2017).
palm-based biomass, Ramadhan et al. (2014) distinguish between The basic DEA methodology can be enhanced by several ex-
several plantations as a source of biomass, mills and biorefineries tensions. For a further differentiation of efficient DMUs, super-
for the conversion of the biomass, as well as different customers efficiency analysis (Andersen & Petersen, 1993) is applied by
for the green products. Thereby, the biomass potential, conversion Irribaren et al. (2010, 2010, 2011), Limleamthong et al. (2016), and
rates, transport distances, customer demands, and especially the Vázquez-Rowe, Villanueva-Rey, Iribarren, Teresa Moreira, and Fei-
number of fatalities at every process stage are assumed to differ joo (2012). It allows for ranking the efficient DMUs by assign-
according to their location. ing them efficiency scores greater than one. A ranking of efficient
In summary, determining an optimal product design or an DMUs can also be obtained by integrating the order-of-efficiency
optimal life cycle pathway for a given product under consideration concept (Das, 1999), which is particularly useful when a large
of economic, ecologic, and/or social objectives typically results number of criteria is analyzed (Galán-Martín et al., 2016). The con-
in complex, non-linear, stochastic multi-objective optimization cept is based on the repeated application of a standard DEA model
problems. The review of the articles indicates that MODM can for different combinations of indicators in each sustainability di-
generally facilitate sustainable product design and process deci- mension. While the endogenous optimization of weighting fac-
sions although stochastic optimization and spatial differentiation tors within DEA reduces external bias, it may lead to unrealistic
have drawn minor interest in literature so far. A posteriori meth- weighting factors. Therefore, Tatari and Kucukvar (2012) and Wier
ods have proven to be capable of obtaining a set of Pareto-optimal et al. (2005) add additional constraints to the DEA model in order
solutions when trading-off conflicting objectives related to the to enforce more realistic bounds while still allowing for some flex-
triple bottom line. However, the number of objectives that can ibility. Finally, the product systems that are represented as DMUs
be considered simultaneously is limited due to the increase in in DEA models are often viewed as black boxes with inputs and
computational effort, making the selection of relevant objectives outputs, assuming a rather aggregate perspective. More detailed
an extremely important task. The development of more efficient analyses of internal system structure are enabled by Network DEA
heuristics might be a promising approach to generating good (Färe & Grosskopf, 20 0 0; Kao, 2014). A two-stage Network DEA is
solutions to such problems in future. applied by Chen et al. (2012) to analyze the sustainable design
performance of an “industrial design” module and a “bio-design”
4.3. Data Envelopment Analysis (DEA) module. Similar approaches are presented by Mahdiloo, Jafarzadeh,
Saen, Tatham, and Fisher (2016) for car designs and by Zhu et al.
DEA is a non-parametric approach for efficiency analysis of (2014) for the production and use stage of pesticides.
decision making units (DMUs), which seeks to compare DMUs to Although stochastic and fuzzy approaches to DEA are available
their best peers (efficient frontier). The basic model, first proposed (Dyson & Shale, 2010; Hatami-Marbini, Emrouznejad, & Tavana,
by Charnes, Cooper, and Rhodes (1978), has been extended and 2011; Olesen & Petersen, 2016), only few of the articles in this re-
applied in many ways. The application of DEA for sustainability view consider uncertainty or vagueness. Most notably, Ewertowska
assessment considers the sustainability indicators as inputs and et al. (2017) use a stochastic DEA model to evaluate the environ-
outputs, and the DMUs are the alternatives to be assessed. mental efficiency of products under uncertainty. Their results show
Table 3 lists the articles in this review that use DEA to analyze that the efficiency scores obtained from the stochastic model can
the eco- or socio-efficiency of products such as food and bever- differ significantly from the scores obtained from the deterministic
ages, household appliances, and cars. In these studies, different model. Izadikhah and Saen (2017) incorporate stochastic data into
C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21 13
Table 3
Overview of articles applying DEA.
Article Product/DMUs ECOL ECON SOC DMUs Inputs Outputs Input- Output- CRS VRS Methodological features
oriented oriented
Barba-Gutiérrez et al. Electric/electronic x x – 9 3 1 x – — x –
(2009) appliances
Chen et al. (2012) Car designs x – – 23 4+2 2+4 n.a. n.a. x x Two-stage network DEA
Ewertowska et al. (2017) Electricity (generation x – – 11 9 1 x – – x Stochastic DEA
technologies)
Galán-Martín et al. (2016) Electricity (generation x x x 8 18 1 x – x – Order of efficiency concept
technologies)
González-García et al. Fishing vessels x x – 20 3 1 x – x – –
(2015)
Hwang et al. (2012) Car designs x – – 2500 6 2+4 – x – x Undesirable outputs
Iribarren et al. (2011) Dairy farms x x – 72 7 6 x – x – Super-efficiency analysis,
undesirable outputs
Iribarren, Electricity (wind farms) x x – 25 5 1 x – x – –
Martín-Gamboa, and
Dufour (2013)
Iribarren et al. (2010) Mussel cultivation sites x – – 67 9 1 x – x – Super efficiency analysis
Fishing vessels x – – 21 3 1 x – x – Intra- and intra sectorial
assessment
Fishing vessels x – – 15 3 1 x – x – Enhanced economic
dimension
Fishing vessels x – – 10 3 1 x – x – Window analysis
Izadikhah and Saen Pasta x x x 27 2+5 2+5 n.a. n.a. x – Chance-constrained two-stage
(2017) DEA
Korhonen and Luptacik Electricitiy (power plants) x x – 24 1 1+3 x x x x Multiple DEA models,
(2004) undesirable outputs
Kortelainen and Car models x x – 88 5 1 x – x x Absolute shadow prices
Kuosmanen (2007)
Limleamthong et al. Solvents x – – 125 9 1 x x – x Super-efficiency analysis
(2016)
Lozano et al. (2011) Electric/electronic x x – 9 3 1 x – – x –
appliances
Lozano et al. (2009) Mussel cultivation sites x – – 62 14 1 x – x x –
Mahdiloo et al. (2016) Car designs x – – 23 4+2 2+4 n.a. n.a. x x Multi-criteria two-stage DEA
Martín-Gamboa et al. Biohydrogen x – – 19 5 1 x – x – –
(2016)
Picazo-Tadeo et al. (2012) Olive farms x x – 55 4 1 x x x – Directional distance functions
Rebolledo-Leiva et al. Organic blueberries x x 14 5 2 – x – x –
(2017)
Sanjuan et al. (2011) Cheese production x x – 16 3 1 x – x – Monte Carlo Simulation for
scenarios sensitivity analysis
Tatari and Kucukvar Wall finishes x x – 11 9 1 x – x – Weight restrictions
(2012)
Vázquez-Rowe et al. Vineyards x – – 40 10 1 x – x – Super-efficiency analysis
(2012)
Wier et al. (2005) Commodities in x – – 11 7 1 x – x – Weight restrictions
households
Yang, Lu, Guo, and Refrigerators x x – 4 12 3 x – x – –
Yamamoto (2003)
Zhu et al. (2014) Pesticides x x – 10 3+1 1+1 n.a. n.a. x – Network DEA
∗
= multiple (not specified); n.a. = not applicable
a two-stage DEA model with undesirable outputs. Sanjuan et al. Based on the articles reviewed, we observe that DEA is a useful
(2011) carry out sensitivity analysis using Monte Carlo simulation tool for eco-efficiency assessment for large sets of alternatives but
to test the influence of price changes on the eco-efficiency of a limited number of criteria. It is applied to identify efficient pro-
different production scenarios for Mahón-Menorca cheese. They duction sites, to set target efficiency levels for currently inefficient
perform 10,0 0 0 simulation runs with varying prices and record sites, and to estimate the environmental and economic benefits
the number of times each production scenario is considered eco- of moving towards efficiency. Taking the endogenously derived
efficient. Korhonen and Luptacik (2004) investigate how different efficient frontier as a reference for improvement, however, also
modeling approaches within DEA influence the eco-efficiency of has some drawbacks. It neither allows for deriving improvement
power plants. In their case, the choice of a model variant influ- recommendations for already efficient units nor does it allow for
ences the eco-efficiency scores, but efficient units are efficient in judgements whether a state of sustainability would be achieved if
all model variants. Finally, Zhu et al. (2014) analyze the shadow all units operated efficiently.
prices from the DEA model to reveal its sensitivity to changes in
the input and output indicators. 4.4. Other methods
DEA is used for site-specific sustainability assessments in
12 articles. Most often, different production sites and sup- Various other Operations Research methods that facilitate
ply chains for a given product are compared. For example, sustainability assessment have been applied in the remaining
González-García et al. (2015) compare the efficiency of 20 Por- 13 articles (Table 4). The subsequent discussion of these articles
tuguese fishing vessels, Picazo-Tadeo et al. (2012) analyze a sample is structured according to the challenges which they address.
of 55 olive-growing farms in Southern Spain, and Vázquez-Rowe Beginning with the selection of relevant indicators, Gutierrez,
et al. (2012) analyze the grape production in 40 specific vineyards Lozano, Moreira, and Feijoo (2010) propose the use of statistical
in Northwestern Spain. The surrounding conditions at specific multivariate analysis techniques such as Principal Component
locations are also considered by Tatari and Kucukvar (2012) who Analysis (PCA) and Multi-Dimensional Scaling (MDS). PCA allows
analyze the eco-efficiency of construction materials. for reducing the dimensionality of a data set with several related
14 C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21
Table 4
Overview of articles applying other methods.
Authors and Year Product ECOL ECON SOC Attributes Methodological features
variables into a smaller data set of uncorrelated variables. MDS Cruze, Goel, and Bakshi (2015) address the problem of arbitrarily
generates graphical representations of relationships among stimuli chose allocation criteria by developing a Comprehensive Allocation
that can be used for identifying and summarizing similar indica- Investigation Strategy (CAIS) based on linear model theory to ex-
tors. Prado-Lopez et al. (2016) use a probability distribution-based amine any given inventory under all possible allocation decisions.
approach to assess the significance of performance differences Only one article proposes a notable approach for spatial
among alternatives that allows LCA practitioners to focus their differentiation. Namely, Krieg et al. (2013) determine organization-
analysis on those aspects that are most influential to the decision. specific shadow prices for environmental impacts.
The comparison of alternative products is facilitated in different
ways. Monetary valuation is applied to convert sustainability 5. Promising approaches and research needs
impacts (measured in different units) to a common monetary
scale. To determine the monetary value of environmental impacts, In this section, we synthesize the typical application scenarios
Jeong and Lee (2009) use Conjoint Analysis and Krieg, Albrecht, for product sustainability assessment, highlight the promosing
and Jäger (2013) use shadow prices that can be obtained from approaches from Operations Research, and explain how they can
the SIMPLEX algorithm. An alternative approach that compares be used to address the key challenges in sustainability assessment.
products based on qualitative judgements of the decision maker This is followed by a discussion where further research is needed.
is proposed by Santhanam and Gopalakrishnan (2013). It adopts
logical inference to avoid subjective weighting and to facilitate the 5.1. Application scenarios
interpretation of the results by the decision maker.
Addressing the issue of uncertain and incomplete data, methods The typical application scenarios of product sustainability
to obtain preliminary estimates of the product-related sustainabil- assessment can be subsumed under three groups (Table 5):
ity impacts are proposed. Gonzáles, Adenso-Díaz, and González- the development of new products, the improvement of existing
Torre (2002) develop a streamlined method for impact assessment products, and the evaluation of products. The development of
in LCA making use of fuzzy logic to avoid the need for in-depth new products is in the focus of many articles because the future
environmental knowledge and extremely accurate data, making it sustainability performance of a product can be influenced signifi-
a practicable tool for small- and medium-sized enterprises with cantly during its development stage. Since conducting LCSA at this
limited resources. Streamlined assessments also integrate Quality stage is difficult due to limited data availability and significant
Function Deployment (QFD) to identify customer preferences and uncertainties, methods to obtain rough estimates of the results are
fuzzy logic to deal with imprecise information regarding the prod- applied. For example, the sustainability impacts of a new product
uct’s environmental, financial, and technical performance (Bovea & are approximated from previous product designs or material prop-
Wang, 2003; Halog, 2004; Kuo, Wu, & Shieh, 2009). The prediction erties using neural networks (Chiang et al., 2011; Tambouratzis et
of environmental impacts of new products based on depth-first al., 2014) or depth-first-search (Kuo et al., 2016). Often, multiple
search is proposed by Kuo, Smith, Smith, and Huang (2016). Their design alternatives of the new product are developed and the best
methodology facilitates early stages of an eco-design process by alternative from a sustainability perspective must be selected. This
matching new product designs to previous designs, searching is usually done by MADM models. In some cases, it is also possible
similarity graphs, separating designs into groups, and predicting to find functional relationships between the product attributes
environmental impacts from previous designs. The approach of and its sustainability impacts, which allows for the generation of
Tambouratzis et al. (2014) estimates the environmental impacts optimal product designs by application of MODM models (e.g., Doi
of different materials from their properties using artificial neural et al., 2009; Michaud et al., 2009; Tang et al., 2016).
networks and identifies the properties of a maximally sustainable The improvement of existing products usually starts with an
material for a given application using genetic algorithms. A de- assessment of their improvement potential. Specific improvement
cision support system to estimate the CO2 emissions and cost of targets can be formulated by comparing the current sustainability
product designs adopting an evolutionary-based genetic algorithm performance with the efficient frontier derived in DEA models
and dynamic programming is developed by Su, Chu, and Wang (e.g., Galán-Martín et al., 2016; Iribarren, Vazquez-Rowe, Moreira,
(2012). Uncertainty in inventory analysis also arises when multi- & Feijoo, 2010; Lozano, Iribarren, Moreira, & Feijoo, 2009). For the
functional processes are involved and allocation is required. Hanes, exploration of improvement options, MODM models are used to
C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21 15
Table 5
Application scenarios for Operations Research methods in sustainability assessment.
find a range of Pareto-optimal solutions (e.g., Azapagic & Clift, yet there remains considerable need for further research. The key
1998, 1999; Carreras et al., 2016). For the selection of the best im- challenges to sustainability assessment, as discussed in Section 1,
provement option, MADM models (e.g., Pineda-Henson, Culaba, & are the selection of relevant indicators/impact categories, the
Mendoza, 2002; Ramzan, Degenkolbe, & Witt, 2008) or approaches normalization and weighting of different criteria, the handling of
based on monetization (e.g., Jeong & Lee, 2009) are used. uncertain and incomplete data, and the spatial differentiation in
The evaluation of products is the most prevalent application impact assessment.
scenario in the articles reviewed. Some of the proposed methods The selection of sustainability indicators is not addressed system-
focus on prioritizing the sustainability drivers of a product with atically by most articles in this review. While hundreds of different
regard to the sustainability impacts, the product components, or indicators could be identified over the entire sample, only 9.5 in-
its life cycle phases. To this end, MADM methods like AHP (e.g., dicators are used on average within a particular assessment. The
Bereketli Zafeirakopoulos & Erol Genevois, 2015) or other methods average number is slightly higher in MADM models (11.9 indica-
like Principal Component Analysis (e.g., Gutierrez et al., 2010) are tors) and lower in DEA models (7.8 indicators) and MODM models
applied. The comparison of alternative products is often facilitated (3.7 indicators). The indicators are often selected without justifi-
by MADM and DEA models. Products can not only be compared to cation, although the selection may influence the outcome of the
other products but also be assigned to a predefined set of classes assessment significantly. For example, from a comparison of the
using outranking methods (e.g., Cinelli, Coles, & Kirwan, 2014; solutions to an MODM model with different sets of indicators as
Domingues et al., 2015). objective functions, Khan et al. (2001) find that the optimization of
The application of Operations Research methods fulfills differ- selected indicators does not necessarily improve the performance
ent purposes in relation to the life cycle-based sustainability as- of other indicators. A systematic approach to analyze the relation-
sessment methods that are integrated under the LCSA framework. ships between sustainability indicators is proposed by Gutierrez et
In some articles, the Operations Research methods are used to en- al. (2010) where multivariate statistical methods like PCA and MDS
able LCSA, i.e., the Operations Research methods become an integral are applied to reduce the number of indicators without distorting
part of LCSA and solve particular problems such as allocation or the main features of the decision problem. In this regard, future
weighting (e.g., Agarski et al., 2016; Azapagic & Clift, 1998; Hanes research should attempt to better understand how the selection
et al., 2015). In most cases, the Operations Research methods are of indicators influences the assessment results and adopt more
applied to complement LCSA, i.e., the results from an LCSA study are systematic selection procedures. The analysis of the indicators
used as an input to Operations Research methods, which facilitate selected also reveals a bias towards environmental and economic
their analysis and interpretation or combine them with other in- indicators. Social aspects are only considered in 30 of 142 articles,
dicators in order to compute aggregate sustainability indices (e.g., all of which were published after 2008. This underscores the
Geldermann and Rentz, 2005; Lozano et al., 2009; Onat et al., emerging integration of the triple bottom line of sustainability.
2016). Finally, some authors apply Operations Research methods to However, because the set of potential social indicators is very large,
substitute LCSA in the sense of a streamlined assessment, for exam- justification of relevant indicators becomes even more important.
ple, by generating rankings based on expert judgements as a start- The comparison of alternative products based on multiple crite-
ing point for more detailed life cycle-based analyses (e.g., Parajuli ria has been facilitated by Operations Research methods in many
et al., 2015; Tian et al., 2016; Wang & Chan, 2013). Especially for ways. MADM methods, which have been applied in 86 articles, are
comprehensive assessments of complex product systems, the ap- used to evaluate finite sets of alternatives. In most cases, a ranking
plication of Operations Research Methods to enable or complement of alternatives is obtained by comparing the aggregated sustain-
the established life cycle-based methods appears to be a promis- ability scores. The aggregation procedures used in different MADM
ing approach that not only receives considerable attention in many methods typically involve normalization and weighting steps that
articles of this review but also in the conceptual advancement of integrate the decision maker’s preferences in a systematic way. By
sustainability assessment methods (Cinelli et al., 2014; Onat, Ku- far the most popular method for weight elicitation is AHP (applied
cukvar, Halog, & Cloutier, 2017; Zamagni et al., 2009). in 38 articles). Furthermore, it is even possible to include the pref-
erences of multiple decision makers that may represent different
stakeholder groups or contribute different expertise (e.g., De Luca
5.2. Key challenges and research needs
et al., 2015; Dorini et al., 2011; Hosseinijou et al., 2014; Kucukvar
et al., 2014; Lipušček et al., 2010; Tian et al., 2016). An emerging
The application of Operations Research methods contributes
challenge is in the integration of semi-quantitative and qualitative
to solving some of the challenges in sustainability assessment,
16 C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21
indicators, which are often used for assessing social sustainability site-independent inventory data and generic criteria weights. Only
issues. For this purpose, the application of ordinal classification 20 articles use site-specific and 20 articles use site-dependent data.
methods like the recently proposed ELECTRE TRI-nB (Fernández, Site-specific inventory data is mainly used in DEA models where
Figueira, Navarro, & Roy, 2017) appears useful. DEA models, which explicit production sites of a product are compared (e.g., Iribarren
have been applied in 25 articles, are useful to compare alternatives et al., 2010; Lozano et al., 2009; Vázquez-Rowe et al., 2012). Site-
without the explicit knowledge of the decision maker’s prefer- specific inventory data is also used in some MADM and MODM ar-
ences. However, discrimination among the efficient alternatives ticles that address social sustainability (De Luca et al., 2015; Hos-
requires the integration of additional methods like super-efficiency seinijou et al., 2014; Ramadhan et al., 2014). In addition to that,
analysis. The application of such methods can sparsely be found in site-specific weighting factors elicited from local sustainability ex-
the reviewed articles (e.g., Iribarren et al., 2011; Vázquez-Rowe et perts have been integrated into MADM models (De Luca et al.,
al., 2012), and especially the application of more recent approaches 2015; Hosseinijou et al., 2014; Lipušček et al., 2010; Myllyviita et
to increase the discriminatory power of DEA based on cooperative al., 2013; Ramanujan et al., 2014). On a coarser spatial resolution,
games (Li, Xie, Wang, & Liang, 2016) or weighted goal program- site-dependent data has mainly been integrated into MADM mod-
ming (Rubem et al., 2017) appears promising and deserves further els. For example, LCA data is derived from country-specific input-
investigation. From the 18 articles in which MODM methods have output tables (Kucukvar et al., 2014; Onat et al., 2016; Tatari &
been applied, about half uses a priori approaches whereby the Kucukvar, 2012), national reference values are used for normaliza-
different objectives are scalarized based on the decision makers tion (Domingues et al., 2015), and weighting factors reflecting the
preferences to determine one optimal solution, and half uses perspectives of different makers are investigated (e.g., Agarski et
a posteriori approaches that generate a set of Pareto-optimal al., 2016; Bloemhof-Ruwaard, Koudijs et al., 1995; Gloria, Lippiatt,
solutions from which the preferred solution is selected by the & Cooper, 2007; Hermann et al., 2007). Despite these efforts, the
decision maker. Although there is no theoretical limitation, the spatial distribution of sustainability impacts is hardly considered
number of objectives that can practically be handled in MODM at the valuation stage. For example, the environmental impact of
models is limited. In fact, the number of objectives considered by electricity use depends on the regional electricity mix, or the loss
the MODM articles in this review ranges between 2 and 5, which of manual labor in developing countries would have different con-
is much smaller than the number of criteria that are typically sequences than in industrialized countries. Furthermore, a prod-
considered in sustainability assessments. Hence, there is a need uct that is evaluated as globally sustainable due to a lower over-
to employ advanced MODM solution procedures like the multi- all impact score may aggravate the situation in a particular region.
objective branch and bound algorithm (Przybylski & Gandibleux, Therefore, appropriate methods that evaluate both global and local
2017) that are capable of handling more objectives simultane- sustainability need to be developed.
ously while keeping the computational effort at a reasonable
level.
The numerous uncertainties inherent to sustainability assess-
ment are only considered in about half of the reviewed articles. 6. Conclusion
The main sources of uncertainty are the inventory data and the
decision makers’ preferences. Both sources of uncertainty are In this paper, we survey how Operations Research methods
most often addressed by means of sensitivity analysis. In addi- have been applied to facilitate sustainability assessment of prod-
tion, MADM models have been complemented with fuzzy logic ucts. From the analysis of 142 articles, which were identified by
and simulation-based approaches. Fuzzy logic allows expression a systematic search process, we observe that many methods from
of imprecise inventory data and, more importantly, vague pref- Operations Research are increasingly used to address challenges
erence information as linguistic variables that are mapped to in sustainability assessment. The use of MADM, MODM, DEA, and
fuzzy numbers. However, the parameters used for this procedure other methods from Operations Research has introduced new per-
induce additional uncertainty, which requires further investigation spectives into traditional sustainability assessment, increasing its
(García-Diéguez et al., 2015). Therefore, it appears more reason- comprehensiveness and providing new ways of communicating re-
able to analyze feasible weight sets directly using Monte Carlo sults, instead of merely presenting a list of performance indicators
simulation and to present the resulting sustainability scores as box for the alternatives considered. This opportunity has been mainly
plots or probability distributions, or to calculate the probabilities recognized by the Environmental Management community. In
that an alternative achieves a certain rank (Prado-Lopez et al., contrast, the field of product-related sustainability assessment has
2014; Ramanujan et al., 2014; Rogers & Seager, 2009; Scott et al., received little attention by the Operations Research community
2016). DEA models eliminate one potential source of uncertainty and there is significant potential in the identification and analysis
as they do not require the decision maker to express preferences of practically relevant issues in this domain. By classifying the re-
regarding the importance of the criteria. However, the remaining lated articles according to their setting and the applied Operations
uncertainties related to input and output parameters are barely Research methods, promising approaches and important research
addressed by the articles in this review despite the availability needs have been highlighted. The increasing requirement for the
of stochastic DEA approaches (Olesen & Petersen, 2016). Hence, integration of social indicators in the assessment, leading to chal-
there is a need for bridging the gap from the theoretical DEA lenges with regard to the selection of indicators, the integration
works to the specific context the sustainability assessment. Sim- of semi-quantitative and qualitative indicators, and the simulta-
ilarly, a posteriori MODM methods determine all Pareto efficient neous consideration of global and local sustainability objectives,
solutions independent of the decision maker’s preferences. Nev- are all avenues for future research. Furthermore, there remains
ertheless, more systematic approaches to address the remaining considerable potential for the application of fuzzy and stochastic
uncertainties, such as stochastic and robust optimization mod- approaches to MODM and DEA to address the uncertainty inherent
els like the recently proposed approaches by Jornada and Leon in the inventory data and the decision maker’s preferences ap-
(2016) or Hanks, Weir, and Lunday (2017), have not found broad propriately when conducting a sustainability assessment. Finally,
application in sustainability assessment yet and deserve closer it should also be recognized that challenges such as the selection
attention. of indicators, balancing incommensurable assessment criteria, and
Spatial differences have generally received little attention by the data quality issues require additional action outside the realm of
articles in this review. The assessments in 102 articles are based on Operations Research.
C. Thies et al. / European Journal of Operational Research 274 (2019) 1–21 17
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