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detailed analysis on growth of maize in Zhangye Oasis, NW China

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  • Seediscussions,stats,andauthorprofilesforthispublicationat:http://www.researchgate.net/publication/264536086

    Assimilatingremotesensinginformationintoacoupledhydrology-cropgrowthmodeltoestimateregionalmaizeyieldinaridregionsARTICLEinECOLOGICALMODELLINGNOVEMBER2014ImpactFactor:2.07DOI:10.1016/j.ecolmodel.2014.07.013

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    6AUTHORS,INCLUDING:

    YanLiLanzhouUniversity6PUBLICATIONS17CITATIONS

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    QingguoZhouLanzhouUniversity59PUBLICATIONS131CITATIONS

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    G.F.ZhangLanzhouUniversity6PUBLICATIONS4CITATIONS

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    ChongChen2PUBLICATIONS3CITATIONS

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    Availablefrom:YanLiRetrievedon:24June2015

  • Ecological Modelling 291 (2014) 1527

    Contents lists available at ScienceDirect

    Ecological Modelling

    journa l h om epa ge: www.elsev ier .com/ locate /eco lmodel

    Assimilating remote sensing information into a chydrol ionregions

    Yan Lia, Q ng a School of Infob Cold and Arid es, Lac Lanzhou Insti ClimaProvince, Key O l Adm

    a r t i c l e i n f o

    Article history:Received 25 JaReceived in reAccepted 12 Ju

    Keywords:EnKFCoupled hydroRemote sensinEFAST

    a b s t r a c t

    Regional crop yield prediction is a signicant component of national food policy making and security

    1. Introdu

    Crop grofood securitof factors, incropland action, and gproduction crop growt

    CorrespondE-mail add

    (Q. Zhou), zhochenchong87@

    http://dx.doi.o0304-3800/Crnuary 2014vised form 11 July 2014ly 2014

    logy-crop growth modelg information

    assessments. A data assimilation method that combines crop growth models with remotely sensed datahas been proven to be the most effective method for regional yield estimates. This paper describes anassimilation method that integrates a time series of leaf area index (LAI) retrieved from ETM+ data anda coupled hydrology-crop growth model which links a crop growth model World Food Study (WOFOST)and a hydrology model HYDRUS-1D for regional maize yield estimates using the ensemble Kalman lter(EnKF). The coupled hydrology-crop growth model was calibrated and validated using eld data to ensurethat the model accurately simulated associated state variables and maize growing processes. To identifythe parameters that most affected model output, an extended Fourier amplitude sensitivity test (EFAST)was applied to the model before calibration. The calibration results indicated that the coupled hydrology-crop growth model accurately simulated maize growth processes for the local cultivation variety tested.The coefcient of variations (CVs) for LAI, total above-ground production (TAGP), dry weight of storageorgans (WSO), and evapotranspiration (ET) were 13%, 6.9%, 11% and 20%, respectively. The calibratedgrowth model was then combined with the regional ETM+ LAI data using a sequential data assimilationalgorithm (EnKF) to incorporate spatial heterogeneity in maize growth into the coupled hydrology-cropgrowth model. The theoretical LAI prole for the near future and the nal yield were obtained throughthe EnKF algorithm for 50 sample plots. The CV of the regional yield estimates for these sample plots was8.7%. Finally, the maize yield distribution for the Zhangye Oasis was obtained as a case study. In general,this research and associated model could be used to evaluate the impacts of irrigation, fertilizer and eldmanagement on crop yield at a regional scale.

    Crown Copyright 2014 Published by Elsevier B.V. All rights reserved.

    ction

    wth and yield data are critical for informing nationaly and agricultural operation and management. A rangecluding increasingly augmented populations, reducedreage and water resources, environmental deteriora-lobal climate change, signicantly affect agriculturaland threaten food security. Therefore, accurate regionalh monitoring and yield prediction are vital for the

    ing author. Tel.: +86 931 4967724.resses: liyan [email protected] (Y. Li), [email protected]@lzb.ac.cn (J. Zhou), [email protected] (G. Zhang),gmail.com (C. Chen), [email protected] (J. Wang).

    sustainable development of agriculture. In the past decades, cropgrowth monitoring and crop yield predictions have moved awayfrom conventional techniques, such as agro-meteorological modelforecasting and the establishment of relationships between remotesensing spectral vegetation indexes and eld measurements, infavour of more integrated approaches (e.g. Dente et al., 2008; deWit et al., 2012; Fang et al., 2011; Liang and Qin, 2008; Ma et al.,2013; Xu et al., 2011). For instance, operational systems for regionalcrop monitoring and yield forecasting now usually rely on an inte-grated analysis of weather data, crop simulation model results andsatellite observations.

    Using the biophysical principles of plant growth, crop growthmodels can provide detailed estimates of crop states, including phe-nological status, leaf area index (LAI) and yield for specic croptypes. The most commonly used crop growth model, WOFOST,

    rg/10.1016/j.ecolmodel.2014.07.013own Copyright 2014 Published by Elsevier B.V. All rights reserved.ogy-crop growth model to estimate reg

    ingguo Zhoua, Jian Zhoub,, Gaofeng Zhanga, Chormation Science and Engineering, Lanzhou University, Lanzhou 730000, China

    Regions Environmental and Engineering Research Institute, Chinese Academy of Scienctute of Arid Meteorology, China Meteorological Administration, Key Laboratory of Arid pen Laboratory of Arid Climate Change and Disaster Reduction of China Meteorologicaoupledal maize yield in arid

    Chena, Jing Wangc

    nzhou 730000, Chinatic Change and Reducing Disaster of Gansuinistration, Lanzhou 730000, China

  • 16 Y. Li et al. / Ecological Modelling 291 (2014) 1527

    has been applied to evaluations of production potential, optimizedcrop management, and yield gap quantication for various crops(Van Laar et al., 1997; Bouman et al., 2001; Wolf, 2002) in additionto studies of the effects of environmental variability and climaticchange on 1997; Tsujiin WOFOSTbucket apptransmissioconditions. logic cycle et al., 2006main driverShepherd e2004), andunderstandWOFOST mneeded. Linfrom researa land surfamodel (DSSvegetation.and crop grchanges onden Hoof e(JULES) andlogical cycluxes.

    Crop moat the eldrestricted bwhich resuquate accurMoulin anddifculties iof remote srecognized conditions 2008; de Wet al., 2012;been madeinformationRevill et al.,actual growcies from noVegetation rent year cgiven crop (data can beincluding, fsensitive cr

    In geneand crop gilation. The(1) recalibassimilationinitializatioto re-initialting initial function besimulated p2013). Howsuch as statFor sequenthat improvcan enhanc

    approach can combine many types of observations taken at dis-crete time steps, the state variables can be continually updatedand more accurately simulated. In particular, the EnKF, which isa sequence lter algorithm that combines a probabilistic approach

    quenin re2007s in ous

    nt dend ed Vanhis styieldy intOFOStima

    teria

    udy a

    appangyHeihperatentim, rtes m

    tharesound th

    bserv

    008,R) pncesgionltura

    founal, bi

    our fromReseogicantervand iatiopera

    lative statgrowber ere

    wery Anae org) and. Da

    (ECd he

    EC dsity crop production (Kropff et al., 1996; ten Berge et al., et al., 1998; Matthews and Stephens, 2002). However,, the soil water balance is calculated using a tippingroach within three compartments (i.e. a root zone, an zone, and a groundwater zone) under water-limitedThis approach oversimplies simulations of the hydro-in crop growth models (Eitzinger et al., 2004; Priesack). In reality, variation in available soil moisture is a

    of variation in crop yield (Rodriguez-Iturbe et al., 2001;t al., 2002; Anwar et al., 2003; Patil and Sheelavantar,

    accurate estimates of soil moisture are critical foring crop status and yield. To enhance the ability of theodel to simulate the hydrologic cycle, model coupling iskages between models have recently received attentionchers. For example, Casanova and Judge (2008) coupledce process (LSP) model with a widely used crop-growthAT) to estimate energy and moisture uxes in dynamic

    Maruyama and Kuwagata (2010) linked land surfaceowth models to estimate the effects of growing season

    the energy balance and water use in rice paddies. Vant al. (2011) coupled the Land Environment Simulator

    a crop-growth model (SUCROS) to evaluate the hydro-e and vegetation effects on energy, water, and carbon

    dels are very useful in evaluating crop growth and yield scale, but their implementation at a regional scale isy input data availability at the corresponding scale,lts in models that may not produce results with ade-acy for practical applications (Chipnashi et al., 1999;

    Guerif, 1999; Mignolet et al., 2007). To overcome thenherent to these modelling approaches, the integrationensing observations and crop growth models has beenas an important approach for monitoring crop growthand estimating yield at a regional scale (Dente et al.,it et al., 2012; Fang et al., 2011; Liang and Qin, 2008; Ma

    Xu et al., 2011). In recent years, extensive efforts have to integrate crop growth models with remote sensing

    based on the assimilation strategy (Chen et al., 2012; 2013). Satellite data can provide a synoptic overview ofing conditions and can be used to diagnose discrepan-rmal conditions. For example, a Normalized DifferenceIndex (NDVI; Rouse and Haas, 1973) prole of the cur-ould be compared to the average historic prole for aKogan, 1998; Liu and Kogan, 2002). Moreover, satellite

    used to complement crop model simulation results byor example, the impacts of re, frost, or drought duringop stages.ral, the integration of remote sensing observationsrowth models is often achieved through data assim-re are two basic strategies for data assimilation:ration/re-initialization methods and (2) sequential

    algorithms, such as the EnKF. The recalibration/re-n approach commonly uses optimization algorithmsize or re-parameterize a crop growth model by adjus-conditions or input parameters to minimize the merittween remotely sensed biophysical parameters andarameters (Dente et al., 2008; Fang et al., 2011; Ma et al.,ever, this method cannot incorporate dynamic changes,e variable updates or dynamic crop growth simulations.tial assimilation algorithms, a primary assumption isements in a state variable made in the previous step

    e the estimation accuracy in the next step. Because this

    with setainty et al., teristicVazifeddiffereoped aWit an

    In tmaize imagerthe Wcan ulscale.

    2. Ma

    2.1. St

    Wethe Zhof the cal temand po2000 mcultivasystemwater River a

    2.2. O

    In 2(WATEof Sciethis reagricucan bephysicused innantlya.s.l.). hydroldata (ierties, net radair temand re

    Theentire Septemdate won LAICanopstorag(TAGPgrowthsysteminstalletion ofUnivertial data assimilation, can account for sequential uncer-motely sensed observations (Curnel et al., 2011; Dorigo; Quaife et al., 2008) and nonlinear structural charac-crop growth models (de Wit and Van Diepen, 2007;t et al., 2009). Several EnKF assimilation schemes withgrees of complexity and integration have been devel-valuated during the last decade (Curnel et al., 2011; de

    Diepen, 2007; Vazifedoust et al., 2009; Jin et al., 2010).udy, we present a novel method for estimating regional

    that assimilates LAI values derived from remote sensingo a coupled hydrology-crop growth model (which linksT and HYDRUS models) using an EnKF. This methodtely be used to estimate crop yields at a regional

    l and methods

    rea

    lied our coupled model to the agricultural system ine Oasis (Fig. 1), an arid region in the middle reachese River basin, northwest China. This area has a typi-te continental climate, with mean annual precipitational evaporation ranging from 60 to 280 mm and 1000 toespectively. This agricultural system, which primarilyaize and wheat, employs a highly developed irrigation

    t was constructed in the last few decades. The mainrce for irrigation in this area originates from the Heihee groundwater.

    ation data

    the Watershed Allied Telemetry Experimental Researchrogram (Li et al., 2009), part of the Chinese Academy Action Plan for Western Development, was applied to

    to study the ecological and hydrological processes ofl systems (methodological information for this programd at http://westdc.westgis.ac.cn/data). The primary bio-ochemical, meteorological and hydrological parameters

    study were obtained through this program, predomi- the Yingke station (3851N, 10025 E, altitude 1519 march at this agro-ecological station focused on eco-l processes during maize growth periods and providedal: 30 min) on regional meteorology, physical soil prop-soil moisture dynamics. Meteorological data includedn, solar radiation, maximum air temperature, minimumture, precipitation, wind speed, atmospheric pressure,

    humidity.us of maize was intensively monitored throughout itsth period, which lasted from April 20, 2008 through22, 2008. The sowing date, emergence date and harvestApril 20, May 6, and September 22, respectively. Datae measured once every 15 days using a LAI-2000 Plantlyzer (LI-COR Inc., Lincoln, NE, USA). The dry weight ofans (WSO), dry weight of total above-ground biomass

    crop height were sampled every 15 days during cropta on latent ux were measured by an eddy covariance) (Li7500 & CSAT3, Cambell Scientic, USA) that wasre for long-term use at a height of 2.85 m. The correc-ata was produced with revised EdiRE software from theof Edinburgh (Xu et al., 2008). Nitrogen (329 kg ha1),

  • Y. Li et al. / Ecological Modelling 291 (2014) 1527 17

    potassium were applie

    2.3. Remote

    Sensors leled data set al., 1980;et al., 2005;sors providat relativelyOLI sensorsthe ETM+ dthe GeospatChinese AcETM+ imagered the fumodel (Tabusing groundigital elevathe Fast Lin(FLAASH) m

    2.4. The cou

    In this strst presenmodel WOFused to simzones HYDRindicator fothe ratio b

    spiration ra

    igatium aily r

    . by Fig. 1. Study region.

    (220 kg ha1) and phosphorus (87 kg ha1) fertilizersd to the maize elds throughout the growth period.

    sensing data

    The irrmaximthe da

    modelculatedonboard the Landsat satellite series provide an unparal-ource for land surface mapping and monitoring (Byrne

    Cohen and Goward, 2004; Hansen et al., 2008; Healey Masek et al., 2008; Vogelmann et al., 2001). Landsat sen-e long-term, repeated, global coverage (1972present)

    high spatial resolutions (30 m for the TM, ETM+ and; 80 m for the MSS sensors). In this study, we usedataset (L1T product for path 133, row 33) provided byial Data Cloud, Computer Network Information Centre,ademy of Sciences (http://www.gscloud.cn). Four L1Tes, which were captured on cloud-free days that cov-ll maize growth period, were selected for use in ourle 1). The L1T ETM+ data were geometrically correctedd control points and topographically corrected using ation model. Atmospheric correction was applied using

    e-of-sight Atmospheric Analysis of Spectral Hypercubesodel in ENVI (RSI, 2001).

    pled hydrology-crop growth model

    udy, we used a coupled hydrology-crop growth modelted elsewhere (Li et al., 2012). The dynamic crop growthOST (Boogaard et al., 1998) and the hydrological modelulate water ow and root water uptake in unsaturatedUS-1D (Simunek et al., 2005) were linked through anr the degree of water stress, which was dened asetween actual water uptake rate and potential tran-

    te. The basic coupling process is shown in Fig. 2:

    1965; Montis calculate

    the HYDRU

    groundwatThe root waassumed thcrop transpwater uptation based o

    for the degCO2 assimiWOFOST mlate the actuamong diffe

    model. Tmodel, morare then us

    Throughdaily time sthe coupledfrom WOFOdescription

    2.5. Sensiti

    A globagrowth modon and precipitation, the daily net radiation, the dailynd minimum temperatures, the daily wind speed and

    elative humidity are the input terms in the HYDRUS

    The potential evaporation and transpiration are cal-the Penman-Monteith combination method (Monteith,eith, 1981) in the HYDRUS model. The water uptaked according to Feddes equation (Feddes et al., 1978) in

    S model. The soil water balance, soil moisture and

    er depth are calculated using the HYDRUS model.ter uptake and actual transpiration on a daily basis aree same, because most root water uptake is consumed byiration. Therefore, the ratio between calculated actualke based on Feddes equation and potential transpira-n Penman-Monteith method is regarded as an indicator

    ree of water stress. The potential daily total grosslation of the crop, which is calculated according to theodel, is multiplied by the water stress ratio to calcu-al daily CO2 assimilation. Then, carbohydrate allocationrent crop parts is calculated according to the WOFOST

    he calculated vegetation parameters from the WOFOSTe specically rooting depth, height of the crop and LAI,ed as inputs for the HYDRUS model at the next step.

    this framework, the modules were fully coupled at atep. Two types of parameter sets were required to run

    hydrology-crop growth model: (1) crop parametersST and (2) soil parameters from HYDRUS. A detailed

    of this coupled model can be found in Li et al. (2012).

    vity analysis

    l sensitivity analysis of the coupled hydrology-cropel has been implemented with the EFAST method using

  • 18 Y. Li et al. / Ecological Modelling 291 (2014) 1527

    Table 1Information of selected ETM+ images.

    Passing date Path Raw Center location () Solar azimuth () Solar elevation () Mean cloudiness (%)

    2008-5-12 133 33 38.86N, 100.62E 130.9 61.8 1.22008-5-28 133 33 38.87N, 100.62E 125.8 64.2 0.362008-7-15 133 33 38.90N, 100.63E 122.5 62.7 7.62008-8-16 133 33 38.93N, 100.63E 133.2 56.9 17.3

    a SimLab Dynamic Link Library (http://simlab.jrc.ec.europa.eu/).Only model parameters were analyzed. Neither input variables northe initial conditions of the coupled model take part in the sensi-tivity analysis. The appropriate ranges for the input factors usedin the sensitivity analysis were dened based on values from a lit-erature review, experience, and research objectives as well as thedefault, minimum, and maximum values used in the WOFOST andHYDRUS databases. Uniform distributions were assigned to inputfactors when only the base value was known and when the rangewas considered nite if no explicit knowledge of the input fac-tors distribution was available (McKay, 1995). This conservativeassumption allowed for an equal probability of occurrence for theinput factors along the probability range (Munoz-Carpena et al.,2010). The Monte Carlo sample size was set to 5000 for each fac-tor. The parameters were divided into 11 groups according to theirphysical properties and functions. These parameter groups andtheir value ranges are shown in Table 2. A detailed description ofEFAST can be found in Saltelli et al. (2000).

    2.6. Coupled hydrology-crop model calibration

    Because the maize characteristics (e.g. drought resistance, coldresistance, plant height, leaf width, full grain of the maize vari-ety) for our study area were similar to those for the grain maize

    203 variety cultivated in Europe, we used the maize dataset pro-vided by the European Community (Boons-Prins et al., 1993) toset the basic crop parameters in the model. The crop parametergroups with high rst-order and interaction indices were calibratedusing the FSEOPT optimization algorithm developed by Stol et al.(1992). The default values in the basic parameter dataset were usedfor all other parameters (MAG 203). Two parameters related totemperature accumulation, the temperature sum from emergenceto anthesis (TSUM1), and the temperature sum from anthesis tomaturity (TSUM2) were calculated by adding the daily average tem-peratures (which were above 0 C; biological zero point) from thecollected meteorological data.

    The soil hydraulic parameters, including saturated water con-tent s (L3 L3), residual water content r (L3 L3), saturatedhydraulic conductivity Ks (L T1), the air entry parameter , the poresize distribution parameter n, and the pore connectivity parameterl, were obtained from previous research (Li et al., 2012).

    2.7. Ensemble Kalman lter

    The EnKF algorithm, proposed by Evensen (1994) and laterimproved by Burgers et al. (1998), is based on Monte Carlo orensemble generations, where the approximation of an a priori stateerror covariance matrix is forecasted by propagating an ensembleFig. 2. Illustration of the coupled hydrology-crop growth model.

  • Y. Li et al. / Ecological Modelling 291 (2014) 1527 19

    Table 2The groups of parameters and the value ranges of parameters for EFAST.

    Group Parameter Meaning Unit Values range

    Soil hydraulparameters

    (cm3 cm3) r U(0.010.1)

    Emergenceratureperat

    Phenologyrgencesis to

    LAIase ingence

    Green areaing atnction

    Assimilation

    Conversion oassimilates ibiomass

    Maintenancerespiration

    Death rates

    Correction fa

    Root parame

    of model stthe previouble of obserfrom a distrto the obseReichle et alto land dataVan Diepen2009).

    The basiing to the fo

    Aa = A + Pewhere Aa anfor the staic(HYDRUS)

    Parameters of HYDRUSmodel

    Soil hydraulicparameters

    TBASEM Lower threshold tempeTEFFMX Maximum effective tem

    TSUM1 Thermal time from emeTSUM2 Thermal time from anth

    RGRLAI Maximum relative increLAIEM Leaf area index at emer

    SPAN Life span of leaves growSLATB Specic leaf area as a fu

    stage

    SLATB1 Specic leaf area as a function

    stage

    AMAXTB Maximum leaf CO2 assimilatidevelopment stage of the crop

    AMAXTB1 Maximum leaf CO2 assimilatidevelopment stage of the crop

    AMAXTB2 Maximum leaf CO2 assimilatidevelopment stage of the crop

    AMAXTB3 Maximum leaf CO2 assimilatidevelopment stage of the crop

    AMAXTB4 Maximum leaf CO2 assimilatidevelopment stage of the crop

    fnto

    CVO Conversion efciency of assimorgan

    CVS Conversion efciency of assimCVL Conversion efciency of assimCVR Conversion efciency of assim

    RMS Relative maintenance respiratRML Relative maintenance respiratQ10 Relative change in respiration

    temperature changeRMO Relative maintenance respirat

    organsRMR Relative maintenance respirat

    due to water stress PERDL Maximum relative death ratewater stress

    ctor transpiration rate CFET correction factor transpiration

    tersRRI Maximum daily increase in roRDI Initial rooting depth RDMCR maximum rooting depth

    ates using updated states (ensemble members) froms time step. The EnKF algorithm generates the ensem-vations at each update time by introducing noise drawnibution with mean equal to zero and covariance equalrvational error covariance matrix (Burgers et al., 1998;., 2002a,b). The EnKF algorithm has been widely applied

    assimilation systems (Reichle et al., 2002b; de Wit and, 2007; Li et al., 2007; Huang et al., 2008; Jin and Li,

    c equation for the EnKF algorithm can be dened accord-llowing equation:

    HT(HPeHT + Re)1(D HA), (1)d A are the analysis and forecast matrices, respectively,

    te variable ensembles; D represents the observation

    vector; Pe avation varia(D HA) ar

    In this stable that wthrough thwas an ideinvolved, Eq

    Aai = Ai + (P

    where Aaian

    tively, for emodelled aturbed LAI o(cm3 cm3) s U(0.250.4) a U(0.020.14) n U(0.10.6)(cm d1) Ks U(10800)

    for emergence (C) U(25)ure for emergence (C) U(2030)

    e to anthesis (C d) U(700900) maturity (C d) U(8001200)

    LAI (ha ha1 d1) U(0.010.04)(ha ha1) U(0.010.03)

    35 C (d) U(3036) of development (ha kg1) U(0.0020.003)

    1

    of development (ha kg ) U(0.0010.002)

    on rate at growth

    (kg ha1 h1) U(5070)

    on rate at the rst maturity

    (kg ha1 h1) U(5070)

    on rate at the second maturity

    (kg ha1 h1) U(5070)

    on rate at the third maturity

    (kg ha1 h1) U(3050)

    on rate at the fourth maturity

    (kg ha1 h1) U(025)

    ilates into storage (kg kg1) U(0.60.8)

    ilates into stem (kg kg1) U(0.590.76)ilates into leaf (kg kg1) U(0.610.75)ilates into root (kg kg1) U(0.620.76)

    ion rate stems (kg(CH2O) kg1 d1) U(0.0130.02)ion rate leaves (kg(CH2O) kg1 d1) U(0.0270.033)

    rate per 10 C U(1.62)

    ion rate storage (kg(CH2O) kg1 d1) U(0.0050.015)

    ion rate roots (kg(CH2O) kg1 d1) U(0.010.016)

    of leaves due to (kg kg1 d1). U(0.020.06)

    rate U(0.71.2)

    oting depth (cm d1) U(23)(cm) U(714)(cm) U(90.5120)

    nd Re are the covariance matrices for the state and obser-bles, respectively; H is a measurement operator; and

    e the innovation vectors.udy, the simulated value for LAI was the only state vari-as directly assimilated from external observations (i.e.e ETM+ dataset). Because the observation operator Hntity matrix and because no other observations were. (1) can be rewritten as the following equation:

    Pe

    e + Re) (Di Ai), (2)

    d Ai are the analyzed and forecasted LAI states, respec-nsemble member i; Pe and Re are the covariances for thend observed LAI values, respectively; and Di is the per-bservation, which is used to update ensemble member

  • 20 Y. Li et al. / Ecological Modelling 291 (2014) 1527

    ion of

    i (Burgers eof multiple be used. A Evensen (20

    A owchthe EnKF-ahydrology-assisted assat a 30 m resowing datrecommend2007).

    On the to shift thethe forecastion data fothe observamLAI2, . . ., ensemble wensemble {hydrology-time t + 1. Ifensemble wdirectly. ThThe mean oof LAI at timgrowth mo

    2.8. LAI ext

    A time sgrowth staThus, the creected indataset calcfeature extrmaize areas

    Numerobetween sp

    1987ailabcovebtai

    and ng de waquirtoching oIs (T

    ips w1999mospnr, d anFig. 3. Flowchart of the EnKF assimilat

    t al., 1998). Note that, for the simultaneous assimilationobservations (e.g. soil moisture and LAI), Eq. (1) shoulddetailed description of this algorithm can be found in03).art for regional maize yield estimates made through

    ssisted assimilation of ETM+ LAI data into the coupledcrop growth model is illustrated in Fig. 3. The EnKF-imilation was performed independently per grid unitsolution. The coupled crop model was initialized at thee. The ensemble size was set at 100 according to theations of other researchers (de Wit and Van Diepen,

    rst day of simulation, white Gaussian noise was added simulated LAI and to generate the rst ensemble forted LAI {fLAI1, fLAI2, . . ., fLAIN}. If there were observa-r time t, we added a Gaussian perturbation-ensemble to

    et al., the avmaps were omentssamplisatellittical rewere sremainfour SVtionshet al., and atand Taadjustetion LAI to generate an observation ensemble {mLAI1,mLAIN}. The forecasted ensemble and the observationere then assimilated to obtain the optimal estimate

    LAI1, LAI2, . . ., LAIN}, which was added to the coupledcrop growth model to obtain the forecast ensemble for

    an observation LAI did not exist for time t, the forecastas added to the coupled hydrology-crop growth model

    is process was repeated until crop maturation occurred.f the optimal estimate ensemble was the best estimatee t, which was ultimately added to the coupled crop

    del to estimate the maize yield for each grid.

    raction from ETM+ images

    eries of NDVI values can supply information on croptus for different crops over different growth periods.haracteristics of the maize cultivating region were

    the false colour composite image created from an NDVIulated from selected ETM+ images. An object-orientedaction module (ENVI FX) in ENVI 5.0 was used to extract

    from this false colour composite image.us studies have demonstrated a strong correlationectral vegetation indices (SVIs) and LAI (e.g. Peterson

    3. Results

    3.1. Sensiti

    The EFAoutput varirst-order represents sensitivity i

    Table 3Spectral vegetspectral reecrespectively thatmospheric aadopted in the

    SVI

    NDVI

    EVI

    SAVI

    ARVI ETM+ LAI.

    ; Spanner et al., 1990a,b; Colombo et al., 2003). Withle on-site LAI measurements, LAI spatial distributionring the maize cultivation region for a selected datened based on the regression analysis of LAI measure-the spectral vegetation index (SVI) values. Regional LAIuring the crop growth period was conducted when thes scheduled to pass over the region. To meet statis-ements, 26 LAI observation samples (50% of samples)astically chosen to create the LAI spatial map, and thebservations were reserved for validation. In this study,able 3) were computed to analyze their statistical rela-ith LAI. NDVI, enhanced vegetation index (EVI) (Huete), soil adjusted vegetation index (SAVI) (Huete, 1988),herically resistant vegetation index (ARVI) (Kaufman1992) were selected as representative of intrinsic, soild atmospherically corrected indices.vity analysis

    ST method calculates sensitivity indices from modelance as an indicator of importance for input factors. The(or main) sensitivity index for the ith input factor (Si)the impact on model output of this factor alone. The totalndex for the ith input factor (STi), the sum of all effects

    ation indices used in LAI retrieval. blue, red, and nir represent thetance data in blue, red and infrared bands. Parameters L and regarde canopy adjustment coefcient (the SAVI term set equal to 0.5) anddjustment coefcient (the ARVI term set equal to 1). The coefcients

    EVI formula are C1 = 6.0, C2 = 7.5, C3 = 1, and G = 2.5.

    Formulanirrednir+redEVI = G (nirred)nir+C1redC2blue+C3SAVI = (nirred)(nir+red+L) (1 + L)ARVI = (nirrb)

    (nir+rb), rb = red (blue red)

  • Y. Li et al. / Ecological Modelling 291 (2014) 1527 21

    (rst and hoverall imptions with tin Fig. 4. Thrst-order hydraulic passimilatesrate. The vaeter groupsof soil hydra low total realistic irriwas therefoilation had total index.assimilationallocated amcrop. Theretant compoTable 4 presfor each parmentioned LAI had a re

    Table 4Sensitivity ind

    Group of par

    Soil hydraulEmergence (Phenology (gLAI (group 4Green area (AssimilationConversion o

    biomass (gMaintenanceDeath rates

    (group 9)Correction fa

    (group 10)Root parame

    3.2. Parameter estimation and validation for the coupledhydrology-crop growth model

    The calibration dataset collected at Yingke station (during themaize growand LAI. Tapled hydrosensitive crof the coup(ME), root-mand coefcand WSO wrespectivelyof 10 cm, 40and 0.023 cwere 13%, 6three layers5.9%, respecues were unoverestima

    meae co

    I ext

    ausene, way 1

    he bl), maop ared ble 7 d LAtwe

    .7288l related L

    det valu.337

    spatFig. 4. Sensitivity indices of grouped parameters.

    igher order) involving this input factor, represents theact on model output of this input factor through interac-he others. The estimated index pairs (Si, STi) are showne results showed that ve parameter groups had highand total indexes including the groups containing soilarameters, green areas, assimilation, the conversion of

    into biomass, and the correction factor transpirationlues of the rst-order and total indexes for these param-

    were more than 0.1 and 0.27, respectively. The groupaulic parameters had the highest rst-order index butindex, likely because the coupled model was run undergation conditions and the water supply for crop growthre adequate. The group of parameters for crop assim-the second highest rst-order index and the highest

    This trend can be explained by the fact that the crop process determined how many carbohydrates wereong different crop parts, driving the nal yield of the

    ET datadate thFig. 5.

    3.3. LA

    Beclate Jufrom M15 as tFig. 6(anon-crextract

    TabSVIs anship be(R2 = 0nentiasimulaused toand MEand 0

    Thefore, the crop assimilation process was the most impor-nent of crop development when water was not limited.ents the rst-order Si and interaction indexes (STi Si)ameter group. In addition to the ve parameter groupsabove, we also found that the group of parameters forlatively high interaction index at 0.3.

    ices for each parameter group.

    ameters Si STi STi Siic parameters (group 1) 0.1958 0.342 0.1462group 2) 0.0485 0.1583 0.1098roup 3) 0.0435 0.133 0.0895) 0.0432 0.3809 0.3377group 5) 0.1165 0.3696 0.2531

    (group 6) 0.1674 0.6965 0.5291f assimilates intoroup 7)

    0.113 0.38 0.267

    respiration (group 8) 0.0541 0.2723 0.2182due to water stress 0.0212 0.1629 0.1417

    ctor transpiration rate 0.1107 0.2763 0.1656

    ters (group 11) 0.0569 0.2257 0.1688

    relationshipdates in ourmaize grewin most pixseen in the tivated regimean LAI vawere 1.07, variation inopment or oland surfac

    3.4. Numer

    Becauseof the Zhanhad no obvassumed toences in control andregional scaLAI distributhis scale, ath period in 2008) included values for TAGP, WSO,ble 5 shows the estimated parameters for the cou-logy-crop growth model, including 15 of the mostop and soil hydraulic parameters. The performanceled model (Table 6) was evaluated using mean errorean-square error (RMSE), coefcient of variation (CV)

    ient of determination (R2). The RMSEs for LAI, TAGP,ere 0.346 cm2 cm2, 944.8 kg ha1, and 539.8 kg ha1,. The RMSEs for soil moisture in three layers (at depths

    cm and 100 cm) were 0.017 cm3 cm3, 0.02 cm3 cm3,m3 cm3, respectively. The CVs for LAI, TAGP, and WSO.9%, and 11%, respectively. The CVs for soil moisture in

    (at depths of 10, 40 and 100 cm) were 6.8%, 6.9%, andtively. The ME values indicated that soil moisture val-derestimated while those for LAI, TAGP, and WSO wereted. The R2 value was higher than 0.8 for all parameters.sured by an eddy covariance system were used to vali-upled model. The results of this analysis are shown in

    raction for the study region

    the NDVI values for maize tend to be low in May throughe created a false colour composite image using images2 as the red band, May 28 as the green band and Julyue band. In this false colour composite image, shown inize appears blue, other crops appear cyan or yellow andeas appear black. The information of maize cultivatingy ENVI FX is shown in Fig. 6(b).presents the different statistical relationships betweenI. The results indicated that the exponential relation-

    en NDVI and LAI had a larger determination coefcient) compared to other statistical relationships. This expo-tionship (Fig. 7a) was validated by comparing theAI with the observed LAI (i.e. those values that were notermine the empirical relationship) (Fig. 7b). The RMSEes for the estimated and observed LAI values were 0.51, respectively.ial LAI maps were extracted based of the exponential

    between NDVI and LAI for the maize crops at selected study area. LAI maps (Fig. 8) for May demonstrated that

    during the early growth period and that the LAI valueels was lower than 1.5. An apparent increase could beLAI maps (Fig. 8) for July and August over the entire cul-on, and the LAI value in most pixels exceeded 3.0. Thelues for maps for May 12, May 28, July 15, and August 161.29, 3.39, and 3.25, respectively. Temporal and spatial

    LAI is generally caused by different rates of crop devel-ther factors resulting from the spatial heterogeneity in

    e characteristics.

    ical experiments of LAI assimilation

    the same maize variety was planted throughout muchgye Oasis and because soil characteristics in this regionious changes, the calibrated parameter set could be

    be invariant in this region. However, due to differ-eld management techniques (e.g. fertilization, weed

    pest control), maize tends to grow unevenly at thele. As a comprehensive representation of crop status,tion was used to reect differences in crop growth atnd the EnKF algorithm integrated differences in maize

  • 22 Y. Li et al. / Ecological Modelling 291 (2014) 1527

    Table 5Key parameters of the coupled hydrology-crop growth model.

    Parameter Unit Lower limit Upper limit Default value Calibrated value

    SPAN kg ha1 17.00 50.00 33.00 39.05LAIEM ha ha1 0.03385 0.06287 0.04836 0.04413RGRLAI ha ha1 d1 0.0206 0.0382 0.0294 0.0281SLATB (DVS = 0) ha kg1 0.0018 0.0034 0.0026 0.0023SLATB1 (DVS = 0.78) ha kg1 0.0008 0.0016 0.0012 0.0009AMAXTB (DVS = 0) kg ha1 h1 49.00 91.00 70.00 51.50AMAXTB1 (DVS = 1.25) kg ha1 h1 49.00 91.00 70.00 51.19AMAXTB2 (DVS = 1.50) kg ha1 h1 44.10 81.90 63.00 49.20AMAXTB3 (DVS = 1.75) kg ha1 h1 34.30 63.70 49.00 58.90AMAXTB4 (DVS = 2.00) kg ha1 h1 14.70 27.30 21.00 21.06CVL (kg kg1) 0.6 0.76 0.68 0.656CVO (kg kg1) 0.45 0.85 0.671 0.71CVR (kg kg1) 0.65 0.76 0.69 0.67CVS (kg kg1) 0.63 0.76 0.65 0.64

    CFET 0.8 1.2 1.0 1.02

    r (cm3 cm3) 0.001 0.2 0.05(10 cm)0.05 (40 cm)0.05 (100 cm)

    s (cm3 cm3) 0.1 1.0 0.41 (10 cm)0.41 (40 cm)0.41 (100 cm)

    0.01 0.2 0.08 (10 cm)0.087 (40 cm)0.11 (100 cm)

    n 0.1 1 0.13 (10 cm)0.115 (40 cm)0.10 (100 cm)

    Ks (cm d1) 10 1000 569 (10 cm)344.85 (40 cm)91.62 (100 cm)

    Table 6Performance of the coupled hydrology-crop growth model.

    Soil moisture (cm3 cm3) LAI (cm2 cm2) TAGP (kg ha1) WSO (kg ha1)

    Depth 10 cm 40 cm 100 cm

    R2 0.813 0.804 0. 917 0.964 0.981 0.985RMSE 0.017 0.02 0.023 0.346 944.8 539.8ME 0.003 0.007 0.016 0.012 933.1 415.7CV 6.8% 6.9% 5.9% 13% 6.9% 11%

    Fig. 5. Comparison of estimated evapotranspiration and observed evapotranspiration.

  • Y. Li et al. / Ecological Modelling 291 (2014) 1527 23

    growth rateobtain the results of tand observtation of crobtained insample ploalso differeFig. 6. Extraction of the maize cultivating region fro

    s into the coupled hydrology-crop growth model tooptimal LAI prole for every maize-planting grid. Thehis analysis were evaluated based on the simulateded yields from fty sample plots. A visual represen-op growth and its spatial heterogeneities were also

    our LAI assimilation (Fig. 9). We found that everyt had a different growth curve for LAI (Fig. 9a), whichd from the LAI evolution curve without assimilation. In

    general, theupdating stries obtaineplot are shple yield wintegrationtions providyield.m NDVI data set.

    EnKF algorithm can inuence the LAI simulation by therategy. According to the different simulation trajecto-d in the sample plots, the nal yields for each sampleown in Fig. 9b. The RMSE, ME, and CV for the sam-ere 747.2, 546.17 kg ha1, and 8.7%, respectively. The

    of the crop growth model and remote sensing observa-ed a strong approach for estimating the regional crop

  • 24 Y. Li et al. / Ecological Modelling 291 (2014) 1527

    Fig. 7. The statistical model between the observed LAI and ETM+ NDVI (a) and model evaluation (b).

    Table 7Statistical relationships between SVIs and LAI.

    NDVI R2 EVI R2

    y = 1.05e1.41x 0.7288 y = 2.03e1.12x 0.4887y = 4.21x 0.05 0.7024 y = 3.45x + 1.86 0.5061y = 2.77ln(x) + 3.97 0.6576 y = 1.33ln(x) + 4.54 0.5075y = 3.96x2 1.44x + 1.89 0.722 y = 3.16x2 + 6.05x + 1.38 0.5107y = 4.06x0.94 0.7029 y = 4.85x0.43 0.5005

    SAVI R2 ARVI R2

    y = 2.21e0.31x 0.1987 y = 1.27e1.41x 0.6821y = 0.99x + 2.1 0.2174 y = 4.35x + 0.41 0.7054y = 0.48ln(x) + 3.19 0.0805 y = 2.6ln(x) + 4.41 0.6806y = 3.02x2 4.69 + 4.42 0.6059 y = 2.34x2 + 1.4x + 1.3 0.7091y = 3.12x0.15 0.0703 y = 4.64x0.85 0.6643

    3.5. Regional yield estimation after assimilating extracted ETM+LAI data

    The EnKF algorithm was applied to each pixel to calibrate themodel trajectory and to estimate the maize yield in the studyregion. All LAI maps were integrated into the coupled hydrology-crop growth model, and we obtained a spatially distributed yieldfor the study region at a spatial resolution similar to that of ETM+data. The spatial distribution of the regional maize yield is pre-sented in Fig. 10. In typical regions, maize yields generally do notexceed 8600.00 kg ha1. Throughout most of the Zhangye Oasis,maize yields ranged from 6500.00 to 8000.00 kg ha1, which occu-pied 89.9% of the maize planting region. A total of 17.7% of theplanted areas experienced yields that ranged from 7000.00 to7500.00 kg

    Fig. 8. LAI distribution maps for maize cultivaha1, and 60.8% of the planted areas had yields fromting region.

  • Y. Li et al. / Ecological Modelling 291 (2014) 1527 25

    Fig. 9. Simulated LAI on 50 sample plots after assimilation (a) and comparison of observed yield with the simulated yield (after assimilation of LAI) on 50 sample plots (b).

    7500.00 to 8000.00 kg ha1. The minimum, maximum and meanyields were 6502, 8590 and 7596 kg ha1, respectively. In regionswhere the yield was below the mean value, the crops could havesuffered from water stress, plant disease or insect pests. In con-trast with the coupled hydrology-crop growth model alone, theintegrated approach was able to obtain the spatial distribution andregional variation in crop yield.

    4. Discussi

    The objesupply the managemenpurpose, thETM+ LAI dhydrology-cand regiona

    evaluated using the yield observations collected from sample plots.The results showed that the assimilation of remote sensing datainto the coupled hydrology-crop growth model provided a rela-tively precise, region-wide spatial distribution for maize yield inthe Zhangye Oasis. This method has great potential for regionalcrop yield estimates.

    In this study, only the maize yield was estimated for study. Thecolouer, wpecie

    for istrib

    planl regied oainedon and conclusions

    ctive of this study was to develop a method that couldimpacts of irrigation, fertilizer application, and eldt on variations in maize yield at a regional scale. For this

    e EnKF algorithm was developed to integrate regionalata with a high spatial resolution into a fully coupledrop growth model to obtain the spatial distributionl variation in maize yield. The assimilation results were

    regiona false Howevcrop scriticalcrop dof cropationa

    Basbe obtFig. 10. Spatial distribution of the maize yields af maize cultivation region was effectively extracted fromr composite image created from an ETM+ NDVI data set.hen applied to a wider scale such as a watershed, thes are miscellaneous. Accurate crop classications arethe correct determination of temporal and spatial LAIutions. Our future studies will focus on the extractionting structures, which is an essential step toward oper-onal yield predictions.n in situ LAI observations, LAI distribution maps can

    from the statistical relationship between SVI and LAI.ter assimilation.

  • 26 Y. Li et al. / Ecological Modelling 291 (2014) 1527

    However, due to the lower temporal resolution of the ETM+ data,the temporal mismatch between the ETM+ data and ground LAIobservations will induce errors in the extraction of the LAI map. Animproved retrieval algorithm, such as the canopy radiative trans-fer model, wgrowth motemporal analso be usedsensing (De

    Only LAtranspiratiomeasuremeilation algomodel and on yield forassimilation4D-VAR, cobe combine

    Acknowled

    This worof China, gr(grant numfor the CenSSSTC (Sinogrant numbronmental providing d

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