Copyright is owned by the Author of the thesis.  Permission is given for 
a copy to be downloaded by an individual for the purpose of research and 
private study only.  The thesis may not be reproduced elsewhere without 
the permission of the Author. 
 
  
 
  
 
 
  
An environmentally-based systems approach to 
sustainability analyses of organic fruit production 
systems in New Zealand 
 
 
 
A thesis presented in partial fulfilment of the requirements for the 
degree of 
 
Doctor of Philosophy 
in 
Sustainable Agricultural Systems  
 
at Massey University, Palmerston North, 
 New Zealand 
 
 
 
 
 
Girija Page 
2009 
  
 
  
 
  
 
i  
 
ABSTRACT 
An environmentally-based systems approach to sustainability analyses of 
organic fruit production systems in New Zealand 
 
This research introduces an approach for the assessment of the sustainability of farming 
systems. It is based on the premises that sustainability has an environmental bottom line 
and that there is very limited substitutability between natural capital and other forms of 
capital. Sustainability assessment is undertaken through analyses of energy and material 
flows of the system and their impacts on the environment. The proposed sustainability 
assessment approach is based on two high level criteria for sustainability: efficient use of 
energy and non-degradation of the environment from energy and material use.  
 
Sustainability assessment of organic orchard systems in New Zealand was undertaken to 
demonstrate this approach. Five indicators which address the two criteria for the 
sustainability of the orchard systems are the energy ratio, the CO2 ratio, changes in the soil 
carbon level, nutrient balances, and the leaching of nitrogen. Organic kiwifruit and organic 
apple systems are modelled based on their key energy and material flows and their 
interactions with the natural environment. The energy and material flows are converted 
into appropriate energy and matter equivalents based on coefficients taken from the 
published literature. Sustainability indicators are estimated over one growing season using 
two computer modelling tools, Overseer® and Stella®, in a life cycle approach.  
 
Sustainability assessment of the organic orchard systems suggests that the approach is 
useful for evaluating energy use and key environmental impacts that occur in soil, water 
and atmosphere. The results indicate that the model organic orchard systems are 
sustainable in terms of energy use and are a net sink of CO2-equivalent emissions. The 
implication of this result is that organic orchard systems potentially could trade carbon 
credits under the Kyoto Protocol. The findings also suggest that the sustainability 
assessment approach is capable of identifying the trade-offs within the sustainability 
indicators associated with particular management practices. Further research to improve 
and validate the proposed approach is essential, before it can be practically used for 
decision making at the orchard level and for policy making at the national level.       
  
 
ii  
 
 
  
 
iii  
 
ACKNOWLEDGEMENTS 
It is a pleasure to thank the many who made completion of this thesis possible: 
 Massey University Doctoral Scholarship, Cecil Elliot Trust Grant, Helen E 
Akers PhD scholarship and Janet Murray scholarship for supporting me 
financially for the period of my PhD research.  
 Terry Kelly, Maria Minor and Ewen Cameron, who constituted my 
„supervisory system‟, and together offered a synergistic experience for me 
throughout my research period. Thanks, Terry, for giving me all the room to 
manoeuvre myself, helping me shape my raw ideas into a PhD topic and 
keeping the ship of my research always on course. Maria, thanks for helping me 
hone my concepts and contributing significantly towards addressing the 
possible loopholes to make my research water-tight. Ewen, you have always 
been very encouraging right from day one of my contact with Massey and later 
as my co-supervisor. It was great to learn about the organic kiwifruit and apple 
systems as I walked with you in Massey orchards. 
 Growers, who always provided more information than I had requested, and 
helped me understand the organic kiwifruit and apple systems in New Zealand. 
 Staff of Massey University and other institutions, who spared their time to 
discuss my naïve ideas during the initial stages of my research. This has greatly 
helped in developing my personality in general and shaping my research in 
particular. Thanks are due to Nigel Jollands, Anton Meister, Ed Minot, Dave 
Horne, John Holland, Brent Clothier, Nicola Shadbolt, Janet Reid, Tessa Mills, 
Anthony Cole, Troy Baisden, Allan Morton, David Gray, Russell Tillman, Alec 
Mackay, Steven Ray, ARGOS team and Zespri Innovation. Denise, thanks to 
you for making my office environment happy! 
 Staff of Massey library for their help in making available the literature around 
the world. Thanks are also due to Massey IT, who did try our patience initially, 
but finally, succumbed to attending to our IT-related requests!  
 Friends and colleagues, who comforted me with their friendship in this 
otherwise lonely PhD journey. Your presence meant a lot during those „lows‟ 
when I was working not fulltime, nor part-time, but not at all! Also, Massey 
Recreation centre for its facilities to give vent to the stress and maintain a fit 
body! 
 My mother, Ushaprabha, brother Navendu, and family in India for their love 
and support. I am awed at the freedom you have allowed me, and the faith you 
have shown in me that have encouraged me to fly higher and higher.  
 Dipti, words are yet to be invented to describe the beauty of how wonderful a 
person you are. I owe my life to you. 
  
 
iv  
 
 
 
 
  
 
v  
 
TABLE OF CONTENTS 
ABSTRACT  .................................................................................................................................I 
ACKNOWLEDGEMENTS ........................................................................................................... III 
TABLE OF CONTENTS ................................................................................................................. V 
LIST OF FIGURES ......................................................................................................................... X 
LIST OF TABLES .......................................................................................................................... XI 
CHAPTER 1 INTRODUCTION ................................................................................................ 1 
1.1 INTRODUCTION .................................................................................................................. 1 
1.2 BACKGROUND .................................................................................................................... 1 
1.3 RESEARCH CONTEXT .......................................................................................................... 4 
1.4 THESIS ORGANISATION ....................................................................................................... 6 
CHAPTER 2 UNDERSTANDING SUSTAINABILITY .......................................................... 9 
2.1 INTRODUCTION .................................................................................................................. 9 
2.2 SUSTAINABILITY CONCEPTS ............................................................................................. 10 
2.2.1 Predominantly economy-oriented perspective .......................................................... 10 
2.2.2 Predominantly society-oriented perspective.............................................................. 11 
2.2.3 Predominantly environment-oriented perspective ..................................................... 12 
2.3 WORLDVIEWS OF SUSTAINABILITY .................................................................................. 13 
2.3.1 Weak sustainability.................................................................................................... 13 
2.3.2 Strong sustainability .................................................................................................. 15 
2.4 THERMODYNAMICS AND SUSTAINABILITY ....................................................................... 16 
2.4.1 Energy and material flows ........................................................................................ 19 
2.4.2 Impacts on the environment....................................................................................... 20 
2.4.3 Systems and thermodynamics .................................................................................... 22 
2.4.4 Worldviews and thermodynamics .............................................................................. 23 
2.4.5 Theoretical principles for strong sustainability ........................................................ 23 
2.5 SUMMARY ........................................................................................................................ 25 
CHAPTER 3 AGRICULTURAL SUSTAINABILITY ASSESSMENT ............................... 27 
3.1 INTRODUCTION ................................................................................................................ 27 
3.2 APPROACHES TO SUSTAINABILITY ASSESSMENT .............................................................. 27 
3.2.1 Indicators and indices approaches to sustainability assessment ............................... 28 
3.2.1.1 Non-integrated indicators .............................................................................................. 28 
3.2.1.2 Integrated indicators ...................................................................................................... 34 
  
 
vi  
 
3.2.2 Product-related approaches to sustainability assessment ......................................... 35 
3.2.2.1 Product-related life cycle assessment ............................................................................ 35 
3.2.2.2 Product-related energy flow analysis ............................................................................. 36 
3.2.2.3 Product-related material flow analysis ........................................................................... 36 
3.2.3 Integrated assessment approaches............................................................................. 37 
3.2.3.1 Modelling as an approach to sustainability assessment ................................................. 37 
3.2.3.2 Environmental impact assessment ................................................................................. 40 
3.2.4 Summary of sustainability assessment approaches .................................................... 41 
3.3 AGRI-ENVIRONMENTAL IMPACTS AND INDICATORS .......................................................... 42 
3.3.1 Energy use ................................................................................................................. 43 
3.3.2 Impacts on soil ........................................................................................................... 44 
3.3.2.1 Soil erosion .................................................................................................................... 44 
3.3.2.2 Soil quality..................................................................................................................... 44 
3.3.3 Impacts on water ........................................................................................................ 46 
3.3.3.1 Eutrophication ............................................................................................................... 46 
3.3.3.2 Contamination of water by pesticides ............................................................................ 46 
3.3.4 Impacts on atmosphere .............................................................................................. 47 
3.3.5 Impacts on biodiversity .............................................................................................. 48 
3.4 ORGANIC ORCHARD PRODUCTION SYSTEMS AND ENVIRONMENTAL IMPACTS ................... 49 
3.4.1 Energy use ................................................................................................................. 51 
3.4.2 Impacts on soil ........................................................................................................... 52 
3.4.3 Impacts on water ........................................................................................................ 53 
3.4.4 Impacts on atmosphere .............................................................................................. 54 
3.4.5 Impacts on biodiversity .............................................................................................. 54 
3.5 ANALYTICAL APPROACH FOR SUSTAINABILITY ASSESSMENT AT THE ORCHARD 
SYSTEMS LEVEL ................................................................................................................ 55 
3.5.1 Criteria and indicators for sustainability assessment at the orchard systems 
level ............................................................................................................................ 56 
3.5.1.1 Energy ratio ................................................................................................................... 58 
3.5.1.2 CO2 ratio ........................................................................................................................ 58 
3.5.1.3 Changes in the soil carbon level .................................................................................... 59 
3.5.1.4 Nutrient balances ........................................................................................................... 59 
3.5.1.5 Leaching of N ................................................................................................................ 59 
3.5.2 Defining the organic orchard system ......................................................................... 61 
3.6 SUMMARY ........................................................................................................................ 63 
CHAPTER 4 METHODOLOGY .............................................................................................. 65 
4.1 INTRODUCTION ................................................................................................................. 65 
4.2 PRIMARY DATA COLLECTION ............................................................................................ 65 
4.3 DATA FROM PUBLISHED LITERATURE ............................................................................... 68 
4.3.1 Energy ratio ............................................................................................................... 68 
  
 
vii  
 
4.3.1.1 Energy output ................................................................................................................ 68 
4.3.1.2 Energy input .................................................................................................................. 69 
4.3.2 CO2 ratio ................................................................................................................... 77 
4.3.2.1 CO2 sequestration .......................................................................................................... 79 
4.3.2.2 CO2 emitted ................................................................................................................... 81 
4.3.3 Changes in the soil carbon level ............................................................................... 83 
4.3.4 Nutrient balances ...................................................................................................... 84 
4.3.5 Leaching of N ............................................................................................................ 85 
4.4 ANALYSING THE ORCHARD PRODUCTION SYSTEMS FOR SUSTAINABILITY ........................ 85 
4.4.1 Computerised modelling environment ....................................................................... 86 
4.4.2 Model responses to changes in model inputs ............................................................ 88 
4.4.2.1 Model responses to changes in key management practices ............................................ 88 
4.4.2.2 Model responses to changes in key model parameters ................................................... 89 
4.5 SUMMARY ........................................................................................................................ 90 
CHAPTER 5 SUSTAINABILITY OF ORGANIC KIWIFRUIT SYSTEMS ...................... 93 
5.1 INTRODUCTION ................................................................................................................ 93 
5.2 GENERAL ORCHARD DESCRIPTION.................................................................................... 93 
5.2.1 Orchard establishment .............................................................................................. 94 
5.2.2 Annual production practices ..................................................................................... 94 
5.2.2.1 Pruning .......................................................................................................................... 95 
5.2.2.2 Spraying ......................................................................................................................... 96 
5.2.2.3 Understorey management .............................................................................................. 96 
5.2.2.4 Fertiliser application ...................................................................................................... 97 
5.2.2.5 Thinning ........................................................................................................................ 98 
5.2.2.6 Harvesting ...................................................................................................................... 98 
5.2.3 Miscellaneous information ........................................................................................ 98 
5.3 THE MODEL ORGANIC KIWIFRUIT SYSTEM ...................................................................... 100 
5.4 SUSTAINABILITY ANALYSIS OF THE MODEL ORGANIC KIWIFRUIT SYSTEM ...................... 103 
5.4.1 Energy ratio............................................................................................................. 104 
5.4.2 CO2 ratio ................................................................................................................. 106 
5.4.3 Changes in the soil carbon level ............................................................................. 107 
5.4.4 Nutrient balances .................................................................................................... 107 
5.4.5 Leaching of N .......................................................................................................... 108 
5.5 MODEL RESPONSES TO CHANGES IN KEY MODEL INPUTS ................................................ 108 
5.5.1 Management scenario analysis of the model organic kiwifruit system ................... 108 
5.5.2 Sensitivity analysis of the model organic kiwifruit system ...................................... 111 
5.6 SUMMARY ...................................................................................................................... 113 
 
 
  
 
viii  
 
CHAPTER 6 SUSTAINABILITY OF ORGANIC APPLE SYSTEMS .............................. 115 
6.1 INTRODUCTION ............................................................................................................... 115 
6.2 GENERAL ORCHARD DESCRIPTION .................................................................................. 115 
6.2.1 Orchard establishment ............................................................................................. 115 
6.2.2 Annual production practices .................................................................................... 116 
6.2.2.1 Pruning ........................................................................................................................ 117 
6.2.2.2 Spraying ....................................................................................................................... 118 
6.2.2.3 Fertiliser application .................................................................................................... 119 
6.2.2.4 Understorey management ............................................................................................ 120 
6.2.2.5 Thinning ...................................................................................................................... 120 
6.2.2.6 Harvesting.................................................................................................................... 121 
6.2.2.7 Irrigation ...................................................................................................................... 121 
6.2.3 Miscellaneous information....................................................................................... 121 
6.3 TWO DIFFERENT ORGANIC APPLE SYSTEMS ..................................................................... 123 
6.3.1 The model semi-intensive organic apple system ...................................................... 124 
6.3.2 The model intensive organic apple system ............................................................... 128 
6.4 SUSTAINABILITY ANALYSES OF THE TWO MODEL ORGANIC APPLE SYSTEMS .................. 132 
6.4.1 Sustainability indicators of the model semi-intensive organic apple system ........... 132 
6.4.1.1 Energy ratio ................................................................................................................. 132 
6.4.1.2 CO2 ratio ...................................................................................................................... 134 
6.4.1.3 Changes in the soil carbon level .................................................................................. 134 
6.4.1.4 Nutrient balances ......................................................................................................... 135 
6.4.1.5 Leaching of N .............................................................................................................. 135 
6.4.2 Sustainability indicators of the model intensive organic apple system .................... 136 
6.4.2.1 Energy ratio ................................................................................................................. 136 
6.4.2.2 CO2 ratio ...................................................................................................................... 138 
6.4.2.3 Changes in the soil carbon level .................................................................................. 138 
6.4.2.4 Nutrient balances ......................................................................................................... 139 
6.4.2.5 Leaching of N .............................................................................................................. 139 
6.5 MODEL RESPONSES TO CHANGES IN KEY MODEL INPUTS ................................................ 139 
6.5.1 Management scenario analyses of the organic apple systems ................................. 140 
6.5.1.1 Management scenario analysis of the semi-intensive organic apple system ................ 140 
6.5.1.2 Management scenario analysis of the model intensive organic apple system .............. 141 
6.5.2 Sensitivity analyses of the organic apple systems .................................................... 144 
6.6 SUMMARY ...................................................................................................................... 147 
CHAPTER 7 DISCUSSION AND CONCLUSIONS ............................................................ 149 
7.1 INTRODUCTION ............................................................................................................... 149 
7.2 THE SUSTAINABILITY ASSESSMENT APPROACH ............................................................... 150 
7.2.1 Sustainability assessment of the orchard systems .................................................... 151 
7.2.2 How well does the proposed approach work for assessing sustainability? ............. 154 
7.2.2.1 Comparing the results with previously published studies ............................................ 155 
  
 
ix  
 
7.2.2.2 Model responses to changes in management practices ................................................ 157 
7.2.2.3 Model responses to changes in model parameters ....................................................... 158 
7.2.3 Sustainability of organic kiwifruit and organic apple systems in New 
Zealand .................................................................................................................... 162 
7.2.3.1 Guidance in the development of policy ....................................................................... 162 
7.2.3.2 Improvement in management to move towards more sustainable practices................. 164 
7.2.3.3 Guidance for further research to improve sustainability of organic   orchard 
systems ........................................................................................................................ 166 
7.3 CONCLUSIONS ................................................................................................................ 167 
7.4 RECOMMENDATIONS ...................................................................................................... 169 
7.5 A FINAL WORD ............................................................................................................... 171 
REFERENCES  ............................................................................................................................ 173 
APPENDIX I INTERVIEW QUESTIONNAIRE (GUIDE QUESTIONS) ......................... 197 
APPENDIX II COMPOSITION OF FERTILISERS (%)...................................................... 203 
APPENDIX III  STELLA® MAP AND EQUATIONS FOR THE MODEL 
ORGANIC KIWIFRUIT SYSTEM ................................................................ 205 
APPENDIX IV STELLA® MAP AND EQUATIONS FOR THE MODEL 
ORGANIC SEMI-INTENSIVE APPLE SYSTEM ....................................... 213 
APPENDIX V STELLA® MAP AND EQUATIONS FOR THE MODEL 
ORGANIC INTENSIVE APPLE SYSTEM ................................................... 219 
APPENDIX VI EMBODIED ENERGY IN IRRIGATION/FROST PROTECTION 
SYSTEM ............................................................................................................ 227 
GLOSSARY  ............................................................................................................................ 232 
  
 
x  
 
LIST OF FIGURES 
Figure  2.1 Model of Weak sustainability .............................................................. 14 
Figure  2.2 Model of Strong sustainability ............................................................ 16 
Figure  3.1 Orchard system and the environment (Adapted from Ruth, 
1993) .................................................................................................... 56 
Figure  3.2 Schematic diagram of an orchard system for sustainability 
assessment ........................................................................................... 63 
Figure  4.1 Study area ............................................................................................ 67 
Figure  4.2  Carbon cycle of an organic orchard system. ....................................... 78 
Figure  4.3 Schematic of the orchard system sustainability assessment ................ 86 
Figure  5.1 Calendar of key operations in an organic kiwifruit orchard in 
Bay of Plenty, New Zealand ................................................................ 95 
Figure  5.2 Energy use in the model organic kiwifruit system ............................ 106 
Figure  6.1 Calendar of key operations in an organic apple orchard in 
Hawke‟s Bay, New Zealand .............................................................. 117 
Figure  6.2 Energy use in the model semi-intensive organic apple system ......... 134 
Figure  6.3 Energy use in the model intensive organic apple system. ................. 138 
 
  
 
xi  
 
LIST OF TABLES 
Table  3.1 Indicators of sustainability at the orchard systems level ..................... 57 
Table  4.1 Embodied energy coefficients in inputs .............................................. 73 
Table  4.2 Active ingredients in spray inputs ....................................................... 74 
Table  4.3 Energy coefficients and working life of vehicles and 
implements .......................................................................................... 75 
Table  4.4 CO2 emission coefficient for embodied energy in inputs ................... 82 
Table  5.1 Rate of spray material application in organic kiwifruit orchards ........ 96 
Table  5.2 Rate of fertiliser application in organic kiwifruit orchards ................. 98 
Table  5.3 List of machinery/equipment held at the organic kiwifruit 
orchards ............................................................................................... 99 
Table  5.4 Machinery and equipment held at the model organic kiwifruit 
system ................................................................................................ 101 
Table  5.5 Spraying programme for the model organic kiwifruit system .......... 102 
Table  5.6 Fertiliser application programme for the model organic 
kiwifruit system ................................................................................. 102 
Table  5.7 Fuel consumption of the model organic kiwifruit system ................. 103 
Table  5.8 Energy use and CO2 emissions from individual 
operation/processes of the model organic kiwifruit system .............. 105 
Table  5.9 Nutrient balances of the model organic kiwifruit system 
kg/ha/yr (from Overseer®) ............................................................... 108 
Table  5.10 Comparison between compost purchased and that prepared on-
site in the model organic kiwifruit system ........................................ 110 
Table  5.11 Model responses to variation in parameters in the model 
organic kiwifruit system .................................................................... 113 
Table  6.1 The range of spray materials and their rate of application in 
organic apple orchards ...................................................................... 119 
Table  6.2 The range of fertilisers and their rate of application in organic 
apple orchards ................................................................................... 120 
Table  6.3 List of machinery/equipment held at organic apple orchards ........... 123 
  
 
xii  
 
Table  6.4 Machinery/equipment held at the model semi-intensive organic 
apple system ...................................................................................... 125 
Table  6.5 Spraying programme of the model semi-intensive organic 
apple system ...................................................................................... 126 
Table  6.6 Fertiliser application programme of the model semi-intensive 
organic apple system ......................................................................... 127 
Table  6.7 Fuel consumption of the model semi-intensive organic apple 
system ................................................................................................ 127 
Table  6.8  Machinery/equipment held at the model intensive organic 
apple system ...................................................................................... 129 
Table  6.9 Spraying programme of the model intensive organic apple 
system ................................................................................................ 130 
Table  6.10 Fertiliser application programme of the model intensive 
organic apple system ......................................................................... 130 
Table  6.11 Fuel consumption of the model intensive organic apple system ....... 131 
Table  6.12 Energy use and CO2 emissions from individual 
operation/processes of the model semi-intensive organic apple 
system ................................................................................................ 133 
Table  6.13 Nutrient balances of the model semi-intensive organic apple 
system kg/ha/yr (from Overseer®) .................................................... 135 
Table  6.14 Energy use and CO2 emissions from individual 
operation/processes of the model intensive organic apple 
system ................................................................................................ 137 
Table  6.15 Nutrient balances of the model intensive organic apple system 
kg/ha/yr (from Overseer®) ................................................................ 139 
Table  6.16 Fuel consumption in individual operations with a 40 kW tractor 
in the model intensive organic apple system ..................................... 143 
Table  6.17 Model responses to variation in parameters in both model 
organic apple systems ........................................................................ 146