Spreading The Char - The Importance of Local Compatibility in The

Claremont Colleges
Scholarship @ Claremont
Pomona Senior Teses Pomona Student Scholarship
2014
Spreading Te Char: Te Importance of Local
Compatibility in the Difusion of Biochar Systems
to the Smallholder Agriculture Community
Context
Laura C. V. Munoz
Pomona College
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accepted for inclusion in Pomona Senior Teses by an authorized administrator of Scholarship @ Claremont. For more information, please contact
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Recommended Citation
Munoz, Laura C. V., "Spreading Te Char: Te Importance of Local Compatibility in the Difusion of Biochar Systems to the
Smallholder Agriculture Community Context" (2014). Pomona Senior Teses. Paper 102.
htp://scholarship.claremont.edu/pomona_theses/102

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Lauia Nuoz

Photo cieuit: Caibon Roots Inteinational: fiom theii website.

In paitial fulfillment of a Bacheloi of Aits Begiee in Enviionmental Analysis,
2u1S-14 acauemic yeai, Pomona College, Claiemont, Califoinia

Reaueis:
Bi. Bowman Cuttei
Bi. Richaiu Bazlett
2

Acknowleugements

Nany thanks to my ieaueis, Piofessois Bo Cuttei anu Rick Bazlett, foi youi auvice anu
suppoit thioughout this leaining piocess.

Nany thanks to eveiyone I woikeu anu spoke with uuiing my time at the New Zealanu
Biochai Reseaich Centie foi builuing my inteiest anu expanuing my knowleuge of biochai.

Nany thanks to Eiic Soiensen, Ait Bonnelly, anu Sai Bhaskai Reuuy foi giaciously shaiing
youi time, knowleuge, expeiiences anu iueas with me, anu foi the woik you uo.

Nany thanks to Pomona College anu specifically the Enviionmental Analysis Bepaitment
foi making this oppoitunity possible, anu to the fiienus at Pomona who suppoiteu me
thioughout the thesis piocess.

Nany thanks to my tiusty tiansciiption helpeis, Syuney Scott anu Nichelle Chan.

Nany thanks to my paients foi youi incieuible suppoit, euiting, hot chocolate anu love.

Nany thanks to Toiy anu Caioline Sheffielu foi being theie in the last moments, euiting,
iestiicteu jouinal access, anu fiienuship foi life.

Nany thanks to all of the enthusiastic contiibutois to the biochai fielu foi giaciously anu
openly shaiing so much of youi knowleuge anu expeiience, anu foi woiking to impiove the
lives of otheis anu make a bettei anu moie sustainable futuie.

Anu many thanks to biochai foi being ieally cool.

2
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It was my summei bieak, 2u12, aftei my seconu yeai of college. But it was wintei in
Biazil's Nata Atlntica (Atlantic Coastal Foiest), one of the woilu's most biouiveise iegions
of which only 7 peicent still iemains. Aftei a uay's woik of foiest anu ecosystem
monitoiing in the fiagmenteu iemains of the foiest, I woulu often sit on the poich of the
cabin anu gaze out at the lanus befoie me. I watcheu the cows giaze nonchalantly on the
baie, eeiily beautiful hills. I tiieu to imagine eveiything that was theie when the foiest still
was.
Thioughout my two-month expeiience in Biazil, I leaineu a lot about the aiea, its
histoiy, anu the livelihoous of the local people. I expeiienceu the magic of the little foiest
that iemaineu. I leaineu why I saw mostly pastuie, even though faimeis hau piospeieu
fiom coffee faiming only uecaues befoie. I leaineu why theie weie big, ieuuish eiosion anu
lanusliue scais on some of the hillsiues. I leaineu why the Nuiiqui woolly spiuei monkey
was almost extinct.
I also heaiu stoiies of local community membeis illegally cleaiing piotecteu foiest
foi agiicultuie. Aftei a peiiou of iesentment anu misunueistanuing, I thought to myself,
"What woulu I uo." 0f couise I woulu choose to chop uown some tiees insteau of letting my
family staive.
The following foui months, I stuuieu ecology in Ecuauoi foi a semestei. I coulun't
help but ciinge when I watcheu the iich foiests full of enuemic cieatuies buining to the
giounu in exchange foi a couple yeais woith of maiginal cultivation. Anu then I woulu
think to myself, "What woulu I uo."
Expeiiencing these emotions while watching the simultaneous suffeiing of people
anu the Eaith is what eventually biought me to this thesis - to tiy to finu ways to
simultaneously anu successfully auuiess the social, economic anu enviionmental issues
that aie so inteitwineu with the lives of pooi smallholuei faimeis.
I was uiawn to leaining moie about biochai anu its possibilities because of its
enthialling histoiy, its capacity to auuiess multiple issues, anu its longevity.

6
7
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This thesis enteis the context of smallholuei agiicultuie communities in the
ueveloping woilu. It exploies the potentials of biochai anu what biochai systems coulu
biing to the smallholuei communities while simultaneously biinging enviionmental
benefits. It then acknowleuges the challenges of uiffusion - the spieauing of an unfamiliai
innovation. It seeks to answei the question of what will make uiffusion of biochai systems
moie successful in the smallholuei context, fixating on the chaiacteiistic of compatibility as
well as the iole local community membeis can play in making a new biochai system moie
visible to the iest of the community.

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Biochai is chaicoal that is piouuceu anu
useu with specific conuitions anu intentions. It is
maue fiom oiganic mattei, oi biomass, which is
heateu in a closeu space with little access to
oxygen.
1
While iegulai "chaicoal" may be useu foi
a vaiiety of puiposes - fuel, ait, oi filteiing to
name a few - "biochai" specifically iefeis to
chaiieu oiganic mattei that is cieateu with the
intent to apply it to soils. The two main anu wiuely iecognizeu puiposes of biochai
application to soils aie soil management (usually foi agiicultuial puiposes) anu climate
mitigation (thiough caibon sequestiation). Biochai is shown in Figuie 1.
2

The piactice of soil iemeuiation using chaiieu mateiial uates back thousanus of
yeais. Eviuence of its histoiical use can still be founu in uiffeient paits of the woilu touay,
most famously in the anthiopogenically mouifieu "teiia pieta" (tianslating to "black

1
Lehmann, }ohannes anu Stephen }oseph. "Ch. 1: Biochai foi Enviionmental Nanagement: An Intiouuction."
!"#$%&' )#' *+,"'#+-.+/&0 1&+&2.-.+/3 4$".+$. &+5 6.$%+#0#278 Eu. }ohannes Lehmann anu Steven
}oseph. Lonuon: Eaithscan, 2u1u. 1-9. Piint.
2
Photo souice: http:spin-pioject.eu
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8
eaith") soils of the Amazon Rainfoiest that sustaineu thiiving civilizations befoie the
aiiival of the Spanish conquistauois.
S

In the past few uecaues, theie has been a suige in inteiest anu activity suiiounuing
biochai foi two main ieasons: Fiist, it has been uiscoveieu that "biochai-type substances"
can account foi the sustaineu feitility anu high oiganic caibon content in the
afoiementioneu teiia pieta soils. Seconu, ieseaich has shown that biochai is moie stable
anu long lasting than any othei soil amenument anu can pioviue a host of othei benefits in
soil such as impioveu stiuctuie anu iesouice efficiency, which leau to othei moie specific
benefits. Biochai is the best anu only known soil amenument that enhances soil quality foi
such a long teim, signifying its gieat potential as a significant tool foi enviionmental
management.
4

The foui main objectives that can motivate biochai applications foi enviionmental
management aie soil impiovement (via impioveu long-teim piouuctivity anu ieuuceu
enviionmental costs), waste management, climate change mitigation, anu eneigy
piouuction. Inuiviuually oi in combination, these uses must have eithei a social oi financial
benefit (oi both) to motivate application. Because of its uiveise aiiay of uses anu effects,
uiffeient biochai systems may emeige on uiffeient scales.
S
This stuuy mainly uiscusses to
small-scale biochai systems in oiuei to iemain within the scope of the smallholuei context.
Biochai is uiscusseu in fuithei uetail anu context in Chapteis 1 anu 2.

01#$2 34#*.12'1#" *5 ')" 6"7"2-8*54 (-#29
In 2uuS, 1.4 billion people weie living in "extieme poveity" - on less than 0S$1.2S
pei uay.
6
About 7u peicent of them liveu in iuial aieas. In 2u11, SS peicent of the entiie
ueveloping woilu population was iuial, anu that peicentage was continuing to giow. 6u
peicent of the total iuial population in ueveloping countiies was living below 0S$2 pei

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Bates, Albeit K. 6%. !"#$%&' 4#09/"#+3 :&';#+ <&'-"+2 &+5 :0"-&/. :%&+2.8 uabiiola Islanu, B.C.: New Society,
2u1u. Piint.
4
Lehmann anu }oseph. "Ch. 1: Biochai foi Enviionmental Nanagement: An Intiouuction."
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6
"The Nillennium Bevelopment uoals iepoit." 6%. =+"/.5 >&/"#+? @.;?"/.. 0niteu Nations, 2u1u. Web.
9
uay.
7
Accoiuing to the Woilu Bank, agiicultuie is the main souice of income anu
employment foi 7u peicent of the woilu's iuial pooi.
8

This stuuy focuses on small-scale iuial agiicultuie, also known as smallholuei
faiming, in ueveloping countiies. Accoiuing to the Inteinational Funu foi Agiicultuial
Bevelopment, aiounu 2 billion people in ueveloping countiies live anu woik on
smallholuei faims foi theii livelihoous.
9
These smallholuings usually consist of a small plot
of low-iental-valueu lanu that suppoits one family thiough a mix of subsistence anu cash
ciop faiming. Family anu fellow community membeis may uo othei soits of woik as well.
1u

Subsistence faiming, foi which the main goal is to giow enough foou to feeu the
family, usually consists of plots with staple ciops anu vegetables. Although subsistence is
the fiist piioiity foi most smallholueis, othei plots, when available, aie useu to giow ciops
(often cash ciops) foi iegional maikets.
11

0ne of the biggest challenges these people cuiiently face aie the uepletion anu
uegiauation of lanu. Lanu uegiauation iefeis to inuuceu changes in the lanu such as
eiosion, aciuification, contamination, ueseitification, oi salination.
12
These changes impaii
its capacity to function in its natuial state anu agiicultuially. The 0.N. Foou anu Agiicultuie
0iganization estimates that 24 peicent of the eaith's lanu suiface aiea is uegiaueu.
Cioplanu accounts foi 2u peicent of the eaith's uegiaueu lanu even thought it only makes
up about 12 peicent of the eaith's lanu suiface.
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Lanu uegiauation makes it continually moie uifficult foi iuial smallholuei faimeis
to piouuce enough nouiishment anu othei agiicultuie-baseu piouucts to sustain theii own
livelihoous, let alone meet the neeus of uiban populations,
14
because it iesults in the loss of
piouuctive capacity in the lanu. The lanu uegiauation issues faceu by iuial faimeis aie
biought on by multiple factois, but one of the biggest contiibutois is the pooi faiming

7
"IFAB Ruial Poveity Repoit 2u11." A+/.'+&/"#+&0 <9+5 )#' B2'"$90/9'&0 C.,.0#D-.+/ EA<BCF8 Quintily,
Novembei 2u1u. Web.
8
"Agiicultuie & Ruial Bevelopment." 6%. @#'05 !&+G H'#9D8 Woilu Bank, 2u1S. Web.
9
Nwanze, Kanayo F. "Foou piices: smallholuei faimeis can be pait of the solution." A+/.'+&/"#+&0 <9+5 )#'
B2'"$90/9'&0 C.,.0#D-.+/8 (IFAB). IFAB, Feb. 2u11. Web.
1u
Bunnett, R. B. "Inteiactive ueogiaphy 4." SNP Pan Pacific Publishing, 2uu2. pp. 12S, S1S. Web.
11
uiaul, Chiistina et al. "Piomising Agiibusiness."
12
}ohnson, B.L. et al. "Neanings of enviionmental teims." I#9'+&0 #) *+,"'#+-.+/&0 J9&0"/7 26: (1997) S81-
S89. Web.
1S
Block, Ben. "Lanu Begiauation Woise Than Pieviously Repoiteu." Woiluwatch Institute. 2u1S. Web.
14
"Agiicultuie & Ruial Bevelopment." @#'05 !&+G8 The Woilu Bank uioup, 2u1S. Web.
1u
piactices that ueplete soils anu inciease theii vulneiability.
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These issues aie
inteiconnecteu with many othei social, economic anu enviionmental issues. Theii causes
anu theii extent will be fuithei uiscusseu in Chapteis 2 anu S.

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Aiounu 4u% of all agiicultuial lanu (which coveis about 4u% of eaith's total lanu
suiface) is consiueieu "seiiously uegiaueu,"
16
aiable lanu is being lost at an annual iate of
moie than S8,64u squaie miles pei yeai,
17
anu these peicentages aie continuing to
inciease. Along with it incieases thieats to the livelihoous of smallholuei faimeis anu othei
negative consequences. Lanu uegiauation is uetiimental to the wealth anu economic
uevelopment of nations, it compiomises foou secuiity, anu it iaises competition foi
uiminishing iesouices, which can cause conflict oi famine. In auuition to these uamaging
social consequences, ongoing lanu uegiauation anu the iesulting uefoiestation aie
uestioying invaluable natuial ecosystems. It is impeiative that action beyonu cuiient levels
is taken to slow, stop anu ieveise lanu uegiauation foi the sake of people living touay anu
foi geneiations to come.

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Aftei uiscussing smallholuei agiicultuie issues anu the beneficial piopeities of
biochai, this papei goes on to exploie the possibility of using small-scale biochai systems
to auuiess the issues that smallholuei communities anu the natuial enviionment face.
When examining the cuiient knowleuge of biochai's functions alongsiue iuial
ueveloping woilu agiicultuial pioblems, biochai inueeu holus piomise as a potential
iemeuy to ceitain aspects of the lanu uegiauation issue. Reseaich anu tiials have
uemonstiateu that using biochai as a soil iemeuiation tool can inciease watei ietention,

1S
*9'#D.&+ :#+?.',&/"#+ B2'"$90/9'. <.5.'&/"#+8 Web. Su Sept. 2u1S.
16
"Agiicultuie anu the neeu foi natuial iesouice management." *9'#D.&+ :#+?.',&/"#+ B2'"$90/9'.
<.5.'&/"#+8
17
uuffanti, Rich. "Chaptei 1: Science & the Enviionment." ueocitiesSites.com. 2u1S. Web.
11
nutiient availability, soil caibon, oiganic mattei ietention, soil miciooiganism activity anu
stiuctuial health foi the long teim.
18

Bistoiy has shown that ancient soils anthiopogenically mouifieu with biochai
substances can iemain feitile foi thousanus of yeais following theii mouification, especially
compaieu to the suiiounuing unmouifieu Amazonian soils that aie typically leecheu of
nutiients, oiganic mattei, caibon content anu piouuctive agiicultuial capacity.
These piemises suggest that the application of biochai |possibly in combination
with othei oiganic substancesj coulu have a potential to amelioiate pooi agiicultuial lanu
anu inciease the long-teim iesilience of cuiient soils that aie heaueu on a path to
uegiauation. It may also inciease the yielus of smallholuei faimeis, biinging immeuiate
benefits to theii livelihoous. If successful, these effects woulu also slow enviionmental
haim such as uefoiestation by uecieasing the neeu to cleai new lanu foi planting aftei just
a couple yeais.
Chaptei 4 uemonstiates that theie aie multiple biochai technologies that can fit into
the iuial smallholuei context, anu the biochai systems have the potential to auuiess
multiple inteiconnecteu smallholuei issues. The next question is if theie aie technologies
foi the smallholuei context available, K%&/ &'. /%. ;&''".'? /# /%."' &5#D/"#+ #) ;"#$%&'
?7?/.-?.

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Biochai systems may have the D#/.+/"&0 to biing gieat benefit to smallholuei
communities anu feasible technologies uo exist. Bowevei, can it actually happen
effectively. 0nly in the past uecaue oi so have people launcheu biochai system uiffusion
piojects in the smallholuei context. It is a veiy new fielu, anu theie aie still many
unceitainties about it.
This papei exploies Eveiett N. Rogeis' 5"))9?"#+ #) "++#,&/"#+? theoiy to examine
how uiffusion piojects woik (i.e. attempting to spieau auoption of a biochai system within
a community) anu what they must take into account. A few uiffusion theoiy-baseu

18
Lehmann, }ohannes anu }oseph, Stephen. !"#$%&' )#' *+,"'#+-.+/&0 1&+&2.-.+/3 4$".+$. &+5
6.$%+#0#278 Lonuon: Eaithscan, 2u1u. Piint.

12
hypotheses aie analyzeu by examining thiee case stuuies of (attempteu) biochai system
uiffusion to smallholuei community contexts. I examine the iole of peiceiveu compatibility
anu the iole of key community membeis in obseivability of a biochai system.
The exploiation of uiffusion stiategies is vital. Even if biochai systems have gieat
potential to biing benefit to smallholuei communities, it uoes not mean that they K"00.
Examining anu analyzing ieal-life cases of attempteu biochai system uiffusion will help
futuie piojects to leain what is necessaiy to make theii gieat effoits pay off.

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I caiiieu out this stuuy using a chain of vaiieu methous. I ievieweu liteiatuie about
biochai, smallholuei agiicultuie anu livelihoous, uiffusion of innovations theoiy, anu
biochai technologies anu systems foi the smallholuei context. Baseu on the liteiatuie anu
backgiounu infoimation, I foimeu some hypotheses iegaiuing the uiffusion of biochai
systems. I then ciafteu thiee case stuuies of biochai system uiffusion piojects in the
ueveloping woilu smallholuei agiicultuie context. I uiu this by inteiviewing people
involveu in the piojects as well as gatheiing pioject infoimation fiom othei souices.
I analyzeu the case stuuies baseu on my hypotheses. The fiist set hypothesizeu the
impoitance of peiceiveu compatibility of an intiouuceu biochai system: The case stuuies
suppoiteu the hypothesis that auapting a biochai system to local community tiauitions anu
values is an impoitant pait of the uiffusion piocess. They also gave eviuence that uiffusion
of biochai systems is moie successful if theie is a histoiy of similai piactices, such as
applying chaicoal oi ash to soil. System components that weie less locally familiai weie
inueeu less compatible anu less successful with uiffusion. 0ne case stuuy suppoiteu the
hypothesis that uiffusion is moie uifficult if a community is extiemely iuial anu uoesn't
have much expeiience with intiouuceu innovations oi the outsiue woilu, but no fuithei
suppoiting oi iejecting eviuence was founu in othei case stuuies. The hypothesis that
uiffusion success is highei when a biochai system auuiesses peiceiveu neeus within a
community was suppoiteu as well.
The case stuuies also suppoiteu the obseivability hypothesis, suggesting that
woiking with key community membeis incieases the obseivability of a biochai system's
benefits, which subsequently aius in uiffusion.
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Although smallholuei context biochai system uiffusion piojects aie cuiiently in
theii eaily stages, the potential futuie benefits of wiuespieau biochai system use aie gieat.
It is woith the time, eneigy anu money to tiy to spieau the integiative benefits of biochai
systems to the places that neeu them most. Bowevei, it is also impoitant not to waste
iesouices on piojects that will fail oi take too long to implement. Foi this ieason, this thesis
iecommenus that change agents (the uiffuseis) put in gieat effoit to leain about the local
community in oiuei to be able to make theii biochai systems as compatible as possible. It
is also impeiative that people continue to examine anu analyze cuiient piojects - theii
system uesigns anu uiffusion methous as well as the specific local contexts they aie
woiking in.
Foi beneficial change to happen on a laige scale as a iesult of smallholuei context
biochai systems, a laige anu intimiuating amount of uiffusion must occui. Bowevei, if
enough initial piojects aie successful, peihaps biochai systems will take holu anu set an
example foi change agents anu smallholuei faimei communities aiounu the woilu.
14
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Although "biochai" is a ielatively new teim anu fielu, the concept anu piactice of
mouifying soils with chaicoal uates back thousanus of yeais. The oiigins of the mouein uay
biochai fielu aie ueeply iooteu in tiauitional, histoiical piactices anu much mysteiy
suiiounuing the cieation of ancient black eaiths iemains to be solveu. Below is a timeline
of histoiy anu events that shapeu the biochai movement into what it is touay.

3 !*:"2*5"B
NE\ 3D-D P LE\\? %D&D. 0vei hunuieus of
yeais, Pie-Columbian Amazonian people
mouifieu plots of Amazonian soil with high
concentiations of chaicoal as well as othei
oiganic mateiials (incluuing plant iesiuues,
animal feces, fish anu animal bones.
19
This
chaicoal mouification foimeu what we now
call /.''& D'./&, the patches of black eaith
founu in the Amazon. This eaith was
suitable foi giowing ciops anu sustaining
laige numbeis of people foi hunuieus to
thousanus of yeais. 6.''& D'./& is shown in
Figuie 2.
2u

LENO %D&D. Spanish conquistauoi Fiancisco ue 0iellana anu his men saileu thiough the
Amazon. 0iellana's sciibe uetaileu his obseivations of laige, flouiishing civilizations in the
miuule of the Amazon iainfoiest:

Theie was one town that stietcheu foi fifteen miles without any space fiom house to house, which
was a maivellous thing to beholu. Theie weie many ioaus heie that enteieu into the inteiioi of the
lanu, veiy fine highways. Inlanu fiom the iivei to a uistance of six miles moie oi less, theie coulu be
seen some veiy laige cities that glisteneu in white anu, besiues this, the lanu is as feitile anu as
noimal in appeaiance as oui Spain. - Fiancisco ue 0iellana, 1S42
21

Baseu on aichaeological eviuence, it is estimateu that the Amazon population at this time of
0iellana's expeuition was between 42 anu 88 million people - a much laigei numbei than
it has evei been since.
22
This, along with 0iellana's comment about feitile soils, suggests

19
Biuges, }ames. 6%. !"#$%&' C.;&/.. White Rivei }unction: Chelsea uieen, 2uu9. Piint.
2u
Photo souice: Wikipeuia Commons.
21
Biuges, 2S.
22
Bates.
1HUF@: OD !"##$ 8#"'$ ^@HUJ>_ =:Y> >; F=7V:=B:B
%V7`;=H7= ?;H9? ^9:<>_
1S
that ?#-./%"+2 about the soils the Amazonian people weie using foi foou cultivation was
uiffeient than the stanuaiu, infeitile anu leachable Amazonian soils.

As 0iellana anu his men came in contact with the native people of the Amazon, they
biought uiseases to which the native people hau no iesistance. An estimateu nine out of ten
people uieu, anu many of the suivivois fleu into the foiest to escape uisease anu
colonization.

LE\\? %D&Da G;=>H=F:B.

When the civilizations of the Ameiicas peiisheu, with them peiisheu the agiicultuial sciences gaineu
fiom millennia of fielu tiials. Countless valuable uomestic cultivais, unable to self-piopagate, went
extinct. Wheie gieat shining cities hau stoou, vines anu moss coveieu the faaues; tiees bioke
thiough the paving stones anu engulfeu builuings. Rain iotteu away the ioof timbeis, anu insects ate
the paichment of scientific anu liteiaiy manusciipts, leaving but a few to the bonfiies of the
conqueiois. -Albeit Bates
2S

By the time Spanish anu Poituguese exploieis aiiiveu again yeais latei, uemogiaphic
collapse hau occuiieu, the foiest hau ieclaimeu the towns 0iellana hau wiitten of, anu little
tiace of the thiiving civilizations was left. It was assumeu that 0iellana's uesciiptions weie
uelusional, because the typical ieuuish Amazonian soil was aciuic anu infeitile anu ueemeu
unable to suppoit the civilizations that 0iellana uesciibeu.
24

LS[E. Following the 0niteu States civil wai, many confeueiate faimeis packeu up anu
moveu south. Nany enueu up in Biazil anu wiote of the two-foot thick, iich, black loam in
which theii sugai cane thiiveu. Ballaiu S. Bunn wiote that this black soil geneially
extenueu no moie than "half a mile fiom the face of the bluff," anu that "aftei that the lanu
is ieu sanuy clay."These settleis hau noticeu that the black eaiths weie in patches
suiiounueu by otheiwise infeitile soils.
2S

LS[S. }ames 0iton, an exploiei, geologist anu cleigyman visiteu confeueiate settlements in
Biazil anu iepoiteu that the soil was inueeu veiy black anu feitile.
26

LSIN. Buiing a geological suivey of Biazil, Chailes Fieueiick Baitt connecteu the /.''&
D'./& soils to pie-Columbian human settlement. Be publisheu this connection in an 1874
papei.
27

LSZEbLSZS. Fiieuiich Katzei leu an Austiian geological exploiation to stuuy the black soils
in Biazil. Aftei his ietuin he wiote ovei 14u scientific papeis, many of which incluueu
stuuies of /.''& D'./& sampleu fiom Biazil. 0nfoitunately, most of this collection was
uestioyeu uuiing the 199us Bosnian conflict.
28

2S
Bates, S6.
24
Biuges.
2S
Bates.
26
Bates.
27
Bates.
28
Bates.
16

LZ\T. Fiieuiich Katzei confiimeu that the /.''& D'./& black eaith was inueeu
anthiopogenically mouifieu eaith, pieviously cultivateu by pie-Columbian people iesiuing
in the Amazon. Katzei peifoimeu seveial chemical analyses of the /.''& D'./& soils anu
founu that they containeu chaiieu plant mateiials, mineial iesiuues, anu uecomposeu
oiganic mateiial.
29

LZ[T. Following extensive ieseaich in Biazil, Wim Sombioek finisheu his Ph.B. thesis,
"Amazon Soils." It containeu his theoiies of about human oiigins of /.''& D'./&, anu he
publisheu it as a book in 1966. With this publication came a suige of inteiest in Amazonian
soils anu ecology. 0niveisities aiounu the woilu began ieseaiching the topic.
Su

LZ[[. Sombioek iepeateu Katzei's chemical tests on the /.''& D'./& anu confiimeu
Katzei's iesults.
S1

LZZO. Sombioek publisheu a woik on /.''& D'./&L? potential as a tool foi caibon
sequestiation aftei ietuining to Biazil again.
S2
0vei the coming yeais, he gatheieu
inteiesteu people togethei into a gioup calleu 6.''& D'./& >#,&. Theii aim was to "ieinvent
the ancient /.''& D'./& as a stiategy foi laige-scale faiming anu as a caibon sink to
iecaptuie excess caibon uioxiue fiom the atmospheie."
SS
Thus began extensive biochai
ieseaich aiounu the woilu. Sombioek uieu in 2uuS but his legacy continues.

O\\N. Although the teim "agiichai" was alieauy in use to uesciibe biomass-ueiiveu
chaicoal foi agiicultuial use, the teim, "biochai," was iecommenueu by Petei Reau, a
climate scientist fiom New Zealanu.
S4
Biochai iefeis only to the $%&' pait of /.''& D'./& oi
any othei biochai-baseu input (such as a biochai compost mix). The chai component is
often mixeu with othei substances (i.e. compost oi uiine) when applieu to soils (this is
auuiesseu in Chaptei 4.2).

Note: In teims of biochai teiminology, this papei will use the teim "chai" to iefei to the
chaicoal piouuct of pyiolysis, which has many uiffeient uses (fuel, meuicine, soil
amenument, etc.). The teim "biochai" will iefei #+07 to chai that ultimately goes into the
soil.

O\\I. The Fiist Inteinational Agiichai Confeience was helu in New South Wales, Austialia.
1u7 paiticipants fiom 1S countiies attenueu. The association's name was changeu to "The
Inteinational Biochai Initiative" (IBI), which is both iefeiieu to anu iefeienceu in this
papei.
SS

29
Bates.
Su
Bates, 1S-14.
S1
Bates.
S2
Bates.
SS
Tayloi, Paul. "Ch. 1: Ancient 0iigins, Nouein Solution." 6%. !"#$%&' M.,#09/"#+. Eu. Paul Tayloi. Nt. Evelyn,
victoiia, Austialia: ulobal Publishing uioup, 2u1u. 1-16. Piint.
S4
Tayloi, Paul. "Ch. 1: Ancient 0iigins, Nouein Solution." P. 7.
SS
17

O\\S. 22S people fiom S1 uiffeient countiies attenueu the seconu inteinational
confeience, which was helu in Newcastle 0pon Tyne, 0K.
S6
Attenuees anu countiies
iepiesenteu moie than uoubleu fiom the pievious yeai, showing the iapiu inciease in
paiticipation in the biochai fielu. It has since continueu to giow anu uevelop.

"@:?:=> Ô\LT_. Biochai activity is cuiiently happening on all continents except
Antaictica. People aie conuucting ieseaich, tiials, piojects anu woikshops. Nany people in
the fielu agiee that theie is still much leaining to be uone anu piogiess to be maue in many
aieas.

!"##$ 8#"'$ C =)$' =" ;5-= 5-=

Wim Sombioek's time on eaith has passeu, but his quest to iecieate the long-lost
/.''& D'./& iecipe has been continueu. Recent ieseaich has gieatly incieaseu the mouein
unueistanuing of /.''& D'./&, which fielu stuuies have shown is maue up of uiffeient
mixtuies in uiffeient places. Nany uiffeient ingieuients have been founu in the /.''& D'./&?
of the Amazon, but biochai is the fiist anu most impoitant ingieuient. 0thei ingieuients
founu incluue buint clays anu potteiy shaius; human anu animal exciements; hunting,
fishing, anu cooking iefuse; ash iesiuue; anu teiiestiial anu aquatic plant biomass.
S7
6.''&
D'./& soils aie founu to be iich in nutiients such as nitiogen (N), phosphoius (P), calcium
(Ca), zinc (Zn), anu manganese (Nn), anu they have high levels of miciobial activity. While
the suiiounuing Amazonian soils aie geneially aciuic anu pione to leaching, /.''& D'./&
soils aie not pione to leaching anu aie often alkaline.
S8
The mechanism foi the uiffeience in
leaching activity is uesciibeu in Chaptei 2.
Testing of /.''& D'./& has ievealeu some impoitant soil measuiements anu
compaiisons that help to explain its extiaoiuinaiy soil feitility. Albeit Bates compaies
caibon content anu oiganic mattei uepth of /.''& D'./& soils anu suiiounuing, unmouifieu
soils:
Amazonian uaik eaiths have up to 1Su giams of haiu caibon pei kilogiam of soil 1S peicent in
compaiison to the suiiounuing soils with 2 to S peicent. Total caibon stoieu in these soils is 1uu to
2uu times that of aujacent soils. The uepths of oiganic mattei go well below the 4 to 8 inches
common in that iegion. Sixteen to 2u inches is aveiage, anu 8u inches is not unheaiu of.
S9

S6
S7
Bates, 119.
S8
Biuges.
S9
Bates, 11S-114.
18
6.''& D'./& also appeais to continually builu anu extenu its caibon supply as its
thiiving, caibon-containing soil oiganisms uie, uecay anu auu caibon volume to the soil.
4u

The mycoiihizal fungi that attach to the chaicoal paiticles fix auuitional caibon. These
fungi also "stabilize the soil with glomalin anu inciease nutiient tianspoit to neaiby plants,
which pioviue ioots that latei sheu anu uecompose to auu still moie caibon."
41
These
impiessive piopeities (as well as auuitional biochai piopeities mentioneu in Chaptei 2)
affiim that the thiiving anu uense civilization wiitten of by 0iellana was not a
hallucination. They help to explain how anu why /.''& D'./& uiu anu still uoes allow foi the
continuous successful cultivation of ciops in the noimally pooi, incapable tiopical soils of
the Amazon.
Paul Tayloi iepoits that /.''& D'./& is not cieateu by the cuiient piactices of
mouein uay Amazonian villages, which fuithei suppoits the theoiy that the histoiical
cieation of /.''& D'./& foi soil amenument puiposes was intentional.
42
Although the
tiauition of /.''& D'./& cieation has been lost, some of the ancient /.''& D'./& soils aie
cuiiently in agiicultuial cultivation, uemonstiating the soil's functioning anu capabilities.
As uesciibeu by Albeit Bates in 2u1u, "The /.''& D'./& soils foimeu on the bluff ovei the Rio
Negio, wheie 0iellana floateu uownstieam S6u yeais ago, have been in continuous
cultivation without feitilizei foi the past 4u yeais. The faimeis have no neeu to fallow theii
fielus, anu if they iotate theii ciops at all, it is moie foi weeu contiol than to iestoie
feitility."
4S
In cleaieu, non-/.''& D'./& soils, ieseaich has shown that ciop yielus cannot be
maintaineu foi thiee stiaight seasons, even with the application of chemical feitilizeis.
44

If /.''& D'./& has so many uiffeient ingieuients, why focus the ieseaich on the
chaiieu component in paiticulai. Albeit Bates explains, "Although clays, composts, anu
othei factois may play a pait, iecalcitiant caibon is the backbone of the teiia pieta iecipe."
(The teim "iecalcitiant" iefeis to oiganic mattei that is veiy stable anu "not subject to
ielease into soluble foim.")
4S
When Finnish ieseaichei }anna Pietikinen stuuieu plant
iesponses to zeolite, activateu caibon, anu biochai, all of which aie high-poiosity mateiials,

4u
Bates, 11S.
41
Bates, 11S-114.
42
Tayloi, Paul. "Ch. 1: Ancient 0iigins, Nouein Solution."
4S
Bates.
44
Tayloi, Paul. "Ch. 1: Ancient 0iigins, Nouein Solution."
4S
"Recalcitiant uefinition." 4#"0 C"$/"#+&'7. science-uictionaiy.oig, 2uu8.
19
she founu that biochai was the only mateiial that substantially impioveu miciobial
giowth.
46

3 5-'" -5 ')" )*+'-#? -> ,2$.; "$#')+

The histoiy of /.''& D'./& anu the mouein uay ieseaich it has piompteu is
funuamental to the biochai movement anu the possibility that biochai coulu have a huge
positive impact on many inteiconnecteu woilu issues, incluuing the agiicultuial issues this
papei focuses on.
Although it was the uiscoveiy of /.''& D'./& that spuiieu the "biochai ievolution," it
is impoitant to note that the tiauitional use of chaicoal in soil is by no means unique to the
pie-Columbian Amazonian people. Bistoiical anu cuiient examples incluue chaicoal use
foi soil mouification piactices in many places aiounu the woilu. Albeit Bates mentions
uaik eaiths founu in uieat Biitain that uate back to Roman times.
47
0thei examples have
piesenteu themselves in histoiical texts. These incluue a 1697 }apanese wiiting uesciibing
"fiie manuie," the wiuespieau Asian piactice of using chaiieu iice husks foi feitilization,
anu an 1846 Ameiican agiicultuie book iecommenuing chaicoal use foi nutiient
conseivation.
Ceitain native communities in Afiica anu Inuia cuiiently use tiauitional piactices to
caibonize oiganic waste foi theii soils. Bi. Chiistoph Steinei gives an example of a simple
tiauitional technique that is cuiiently useu by some faimeis in the tiopical enviionment of
noithwest Cameioon. A layei of soil is put on top of uiieu giasses on fielus, anu the giasses
aie then buineu. Bowevei, the soil layei ieuuces the oxygen flow so that the foimation of
chai ielative to ash is incieaseu.
48

It must not be ignoieu that anthiopogenic mouification is not the only way that
these uaik, feitile eaiths can be cieateu. Baik, high-caibon eaiths aie sometimes foimeu
thiough natuial piocesses such as giasslanu fiies without any human inteivention. This

46
Bates, 116.
47
Bates.
48
Steinei, Chiistoph via Tayloi, Paul. "Ch. 1: Ancient 0iigins, Nouein Solution." P. 6.
2u
phenomenon anu its iesulting feitile soils gieatly aius agiicultuie in places such as
Romania, Russia, 0kiaine, Noith Ameiican piaiiies, anu the pampas of Aigentina.
49

Tiauitional agiicultuial chaicoal use such as the Cameioonian piactice uesciibeu
above is not wiuespieau, but it uoes occui in locations aiounu the woilu at piesent. This
fact is quite ielevant to this papei anu will be fuithei uiscusseu in latei chapteis.

49
Steinei, Chiistoph via Tayloi, Paul. "Ch. 1: Ancient 0iigins, Nouein Solution." P. 6.
21
-J7K>:@ O. 3H;GJ7@ P QJ7> Q: R=;A (;A
D2$.; "$#')+ *5 ')" :-9"#5 9$?
The past 2u yeais have seen iapiuly expanuing ieseaich on biochai. People aie
stuuying many uiffeient aspects anu potentials of biochai unuei the umbiellas of soil
science, pyiolysis technologies, application techniques, biological inteiactions, lifecycle
assessments, caibon sequestiation, climate change mitigation anu othei categoiies.
This papei focuses on biochai application as a soil impiovement technique in
smallholuei ueveloping woilu agiicultuie, while also auuiessing othei ielateu applications
anu incoipoiations that aie ielevant to these communities. These paiticulai applications
aim to impiove long-teim piouuctivity anu ieuuce enviionmental costs of agiicultuial
activity anu the pooi iuial lifestyle, while biinging social anu economic benefits to
auopteis. Although biochai systems may emeige on uiffeient scales, this papei focuses on
smallei scale, non-commeicial, non-inuustiial systems uue to the smallholuei agiicultuie
focus. While this chaptei will uiscuss piopeities anu knowleuge of biochai itself (incluuing
pios anu cons), latei chapteis will uiscuss how biochai can fit into the biggei pictuie of
ueveloping woilu smallholuei agiicultuie, incluuing applications, uiffeient uses, anu the
uesign anu uiffusion of biochai systems foi this context.

!"#$%&' ?7?/.-?
In this papei, the teim "biochai systems" will be useu to uesciibe piojects that
incoipoiate the piouuction anu use of biochai as a soil amenument. These systems may
auuiess auuitional smallholuei issues by integiating othei featuies - they uo not
necessaiily focus solely on biochai. An example of anothei aspect foi incoipoiation is heat
piouuction foi cooking.

D*-.)$# *5 .-5'"E'
@%&/ "? ;"#$%&' -&5. )'#-N
Biochai is maue fiom biomass - mattei fiom living oi iecently living oiganisms.
This often incluues plant mattei oi plant-ueiiveu mattei, such as manuies. The oiiginal
biomass that is then tuineu into biochai is calleu the "feeustock." Theie aie many uiffeient
22
options foi biochai feeustock, because most biomass can be useu. Bowevei, the choice of
feeustock foi a biochai system is something that must be caiefully consiueieu on both
economic anu enviionmental teims. Foi example, cleaiing tiopical iainfoiest in oiuei to
use the biomass as feeustock foi making biochai is quite unsustainable. It is impeiative that
biochai uemanu anu piouuction uoes not leau to fuithei uefoiestation foi biomass.
Tianspoitation uistances aie anothei factoi that must be taken into account foi both
economic anu ecological ieasons.
Su
In the smallholuei context, biochai shoulu be maue
using biomass waste mateiials, as is suggesteu by the Inteinational Biochai Initiative.
S1

Examples of biomass waste mateiials that woulu likely be available in the smallholuei
context incluue agiicultuial iesiuues (such as iice husks, coin stovei, oi woou fiom tiee
piunings), foou wastes, anu animal manuies.
S2
In this context especially, the main objective
in feeustock choice is that it is an available, inexpensive souice that uoes not leau to
unsustainable biomass haivesting.

O#K "? ;"#$%&' -&5.N
The chosen biomass feeustock is theimally mouifieu thiough a piocess calleu
pyiolysis to piouuce chaicoal. Buiing the pyiolysis piocess, the biomass is heateu in a
closeu space with limiteu access to oxygen. This piocess usually takes place in a closeu
containei at tempeiatuies below 7uu Celsius anu ovei a vaiying peiiou of time that can
take up to seveial houis.
SS
It is impoitant to uistinguish pyiolysis fiom buining, as it takes
place unuei uiffeient conuitions anu yielus uiffeient soliu substances anu gaseous
piouucts, which can be captuieu anu useu foi eneigy. Chai cieateu thiough pyiolysis has
high oiganic caibon content, while ash, the main soliu piouuct of buining, contains no
oiganic caibon. This is the key factoi when consiueiing the uses anu benefits of biochai.
S4

Foi specifics on the physical anu chemical chaiacteiistics anu piopeities of biochai iefei to
"Biochai foi Enviionmental Nanagement," Chapteis 1, 2, S anu 4.
SS

Su
Lehmann, }ohannes anu Stephen }oseph. "Ch. 9: Biochai Systems." !"#$%&' )#' *+,"'#+-.+/&0 1&+&2.-.+/3
4$".+$. &+5 6.$%+#0#278 Eu. }ohannes Lehmann anu Steven }oseph. Lonuon: Eaithscan, 2u1u. P. 147. Piint.
S1
"Feeustocks." A+/.'+&/"#+&0 !"#$%&' A+"/"&/",.. Inteinational Biochai Initiative, 2u1S. Web.
S2
"Feeustocks." A+/.'+&/"#+&0 !"#$%&' A+"/"&/",.8
SS
S4
SS
Eu. Lehmann anu }oseph, 1-67.
2S

!"#$%&' D'#59$/"#+
Theie is a iange of uiffeient pyiolysis technologies foi making biochai, which aie
employeu foi uiffeient puiposes. While some technologies aie being uesigneu foi laigei
scale piouuction of biochai, these will not be fuithei uiscusseu oi consiueieu in this papei,
as they uo not fit into the smallholuei agiicultuie context foi a numbei of ieasons. These
ieasons incluue: they aie quite expensive anu theiefoie cost piohibitive to pooi faimeis;
most smallholuei communities uo not have the infiastiuctuie (oi maiket) to suppoit them;
anu they iequiie a huge amount of available biomass feeustock - an amount which
smallholuei faimeis usually uo not have sustainable access to. Cheapei, smallei-scale
biochai technologies uo exist, anu these aie moie appiopiiate foi the smallholuei context
(to be exploieu in Chaptei 4.2).
When looking at biochai piouuction technologies, as with feeustocks, it is impoitant
to consiuei enviionmental anu economic impacts, such as emissions anu efficiency. In fact,
theie aie many tiauitional methous of chaicoal making that aie piacticeu aiounu the
woilu. Some of these existing methous aie useu to make chaicoal foi the puipose of soil
application; in a sense, this chaicoal "? biochai. Bowevei, tiauitional methous of chaicoal
piouuction tenu to be "uiity" in multiple ways, incluuing the infliction of enviionmental
haim thiough high gieenhouse gas emissions anu inefficient biomass iesouice
consumption (which often iesults in uefoiestation).
S6
To avoiu these paiticulai pitfalls of
tiauitional chaicoal piouuction, seveial small-scale biochai piouuction technologies with
lowei emissions anu highei efficiencies have been uevelopeu. 0ne common, well-known
stiategy foi cleanly piouucing biochai is the Top-Lit 0p-Biaft gasification methou
uesciibeu below. Some specific small-scale biochai piouuction technologies foi the
smallholuei context will be exploieu in Chaptei 4.2.

S6
Biist, Petei. "Ch. 4: Fiom Blacksmith to Biochai: The Essence of Community." 6%. !"#$%&' M.,#09/"#+. Eu.
Paul Tayloi. Nt. Evelyn, victoiia, Austialia: ulobal Publishing uioup, 2u1u. P. SS. Piint.
24
3H;GJ7@ "@;BFG>H;=. +25& U7?H<H:@?
Theie aie multiple uiffeient technologies anu uesigns foi making biochai. In the
biochai piouuction fielu the most common technology useu by small-scale uevices is Top-
Lit 0p-Biaft gasification (commonly iefeiieu to as "TL0B").
TL0B ovens anu TL0B cookstoves aie exploieu in Chaptei 4.2.

@%&/ "? 2&?")"$&/"#+N
To unueistanu the TL0B gasification piocess,
one must fiist unueistanu the iegulai buining
piocess, which is uesciibeu in Figuie S
S7
at iight.
In iegulai fiies, the combustion, pyiolysis anu
oxiuation piocesses occui almost simultaneously.
Buining woou (oi othei biomass) in a noimal fiie (oi
tiauitional stove) iesults in incomplete combustion,
which is what cieates smoke. Combustion is
incomplete mainly because the piimaiy anu
seconuaiy aii entei simultaneously,
S8
so the uiffeient
ieactions aie not sepaiateu anu not all of the
pyiolysis gases enueu up getting combusteu.
Bowevei, the gasification piocesses (pyiolysis
anu chai-gasification) may be moie easily contiolleu
if the gases aie geneiateu but not buineu
immeuiately. Foi the piocess of gasification, the key
uiffeience fiom noimal buining is that the gasification anu combustion ieactions aie
sepaiateu - combustion occuis aftei the pyiolytic gasification of the biomass. This is
achieveu by limiting the oxygen flow anu sepaiating the entiy of the piimaiy aii fiom the
entiy of seconuaiy aii. Because of this uiffeience, combustion is complete anu gasifieis
buin much moie cleanly than noimal fiies (this is because the caibon monoxiue anu

S7
Infoimation in Figuie S comes fiom:
Anueison, Paul S. "TL0B Banubook: Biaft 1 foi Biscussion." Revision 1.S. 2u Feb. 2u1u. Web.
S8
Anueison, Paul S. "TL0B Banubook: Biaft 1 foi Biscussion."
-;V8F?>H;=.
uases cieateu by the othei two
ieactions (below) aie combusteu
(whethei fully oi incompletely),
cieating visible flames. 0xygen, oi
"seconuaiy aii" (an aii uiaft
sepaiate fiom the piimaiy aii
uiaft) is iequiieu foi this ieaction.
"M@;9M?H?cG7@8;=H`7>H;=.
This chemical tiansfoimation is
causeu by heat, ieleasing
combustible gases anu leaving
chaicoal behinu.
0YHB7>H;=cGJ7@bU7?H<HG7>H;=.
Caibon monoxiue is cieateu when
the caibon is oxiuizeu (also
known as "chai-gasification").
"Piimaiy aii" (the fiist uiaft of
iegulai aii) is iequiieu foi this
ieaction. If the iesulting caibon
monoxiue is kept concentiateu
anu hot, it is combustible. The
chai-gasification leaves a iesiuue
of ash, which is non-combustible.
1HUF@: TD +J: >J@:: V7];@ GJ:VHG79
@:7G>H;=? ;< >J: 8F@=H=U K@;G:??D
2S
methane pyiolysis gases aie buineu into much less haimful caibon uioxiue, anu less ash is
cieateu). Chaicoal is a co-piouuct of the piocess. It can eithei
be combusteu oi useu foi othei puiposes, such as biochai.
S9

6P=C /.$%+#0#27

TL0B technology can be useu foi many uiffeient
puiposes (examples othei than biochai ietoits oi stoves
incluue watei heateis oi fiuit uiieis).
6u
All TL0B
technologies use the gasification piocess uesciibeu above,
anu so must contain ceitain uesign components.
Figuie 4
61
giaphically shows the basic uesign
of a TL0B technology - in this case a stove. In ovens
that aie useu solely foi the puipose of making
biochai, the pyiolysis gases aie geneially flaieu off in
a chimney extenuing fiom a liu (in place of an open
top foi a cooking flame). Even if the flame at the top is
not being useu, it is impoitant to buin the pyiolysis
gases so that complete combustion occuis anu the
emissions aie clean.
62
The Figuie 4 uiagiam incluues a
blowei at the bottom; howevei, this featuie is not
iequiieu, as uiscusseu in Figuie S.
Figuie S
6S
uesciibes the thiee main
components of a TL0B gasifiei. Fiom bottom to top
they incluue a fuel containei, a mechanism foi
seconuaiy aii entiy, anu a mechanism that assuies a

S9
6u
61
Infoimation in Figuie 4 comes fiom: Anueison, Paul S. "TL0B Banubook: Biaft 1 foi Biscussion."
62
Anueison, Paul S., Reeu, Thomas B., anu Wevei, Paul W. "Nicio-gasification: What it is anu why it woiks."
!#"0"+2 Q#"+/ N. SS, 2uu7. Piint.
6S
Infoimation in Figuie S comes fiom: Anueison, Paul S. "TL0B Banubook: Biaft 1 foi Biscussion."

/:GJ7=H?V <;@ 7??F@7=G: ;< B@7<>.
While some uesigns have bloweis to foice
a uiaft (such as in Figuie 2), otheis cieate
anu use natuial uiafts. This can be uone
using chimneys.
!
/:GJ7=H?V <;@ ?:G;=B7@M 7H@ :=>@M.
Stiategically sizeu holes oi gaps that aie
placeu above the fuel but below wheie the
flame shoulu be. Biffeient technologies
uepenu on uiffeient vaiiables foi stiategic
placement anu size.
!
% <F:9 G;=>7H=:@.
0sually a veitical cylinuei, as pictuieu in
Figuie 2. The bottom of the containei
must allow foi the entiance of piimaiy aii,
so it usually contains holes oi a giate
which have accessibility to aiiflow.
1HUF@: ND &H7U@7V ;< 7 +25&
?>;W:
1HUF@: ED +J: >J@:: V7H= G;VK;=:=>? ;< 7 +25&
U7?H<H:@
26
uiaft. Each of these thiee main components can influence the effectiveness of the otheis, so
the oveiall stiuctuie must be thoughtfully uesigneu anu testeu.
64

F>>".'+ -> ,*-.)$# -5 +-*2+ $59 $4#*.12'1#"
!"#$%&'? ,&'7 2'.&/07
It is impoitant to look at specific effects of biochai on soil in oiuei to gain
unueistanuing of the agiicultuial situations to which it coulu biing gieat benefit. Stuuies on
the effects of biochai in soil must be ievieweu with the unueistanuing that theie is not one
woiluwiue stanuaiu iecipe foi biochai. Biochai is maue using uiffeient combinations of
feeustocks, uiffeient technologies, uiffeient heating times anu tempeiatuies, anu othei
vaiiables. In auuition, theie is extensive vaiiation in soil types anu climatic conuitions in
uiffeient locations aiounu the woilu.
Especially in the small-scale context of this papei, the vaiiation in biochais is
necessaiy. This is because one paiticulai unifoim feeustock anu technology is not available
eveiywheie, anu may not be suiteu to eveiy location. Also, uiffeient soils benefit uiffeiently
fiom uiffeient biochai iecipes. Because the iesults of biochai use can vaiy gieatly anu
uiffeient biochai systems anu feeustock iesouices aie available in uiffeient places, fielu
tiials must be peifoimeu in oiuei to test the outcomes of a given biochai in a given
location. If possible, it is also useful to test the biochais themselves anu the soils to which
they will be applieu. Biochai anu soil testing will not be auuiesseu in this papei; howevei,
useful infoimation on this mattei is pioviueu in Chapteis 8, 14, 1S anu 16 in 6%. !"#$%&'
M.,#09/"#+.
6S

The aiticle, "All Biochais Aie Not Cieateu Equal, Bow to Tell Them Apait: veision
2," pioviues simple, infoimal chai-testing methous that allow foi the ueteimination of
seveial key chaiacteiistics foi a given biochai (see aiticle foi uetails). The aiticle also
affiims the significant vaiiation in key piopeities of uiffeient biochais anu the impoitance
of being awaie of the specific chaiacteiistics of a given biochai when auuing it to soil. It
emphasizes that "iepoits of the iesponses (whethei favoiable oi unfavoiable) of plants
anu soils to biochai applications aie of questionable value without coiiesponuing

64
6S
Eu. Tayloi, Paul. 6%. !"#$%&' M.,#09/"#+8
27
knowleuge of the chaiacteiistics of the applieu biochais."
66
In the context of biochai
piojects like those investigateu in this papei, accuiate iesult iepoits may oi may not be
impoitant to the uiffusion of a biochai system. Bowevei, they aie extiemely useful to the
biochai fielu as a whole anu foi the futuie of similai piojects.
In geneial, biochai can have gieatei anu lessei effects on uiffeient soil types anu
conuitions. The Inteinational Biochai Initiative states that biochai can impiove most soils,
howevei locations with eithei nutiient-pooi soils oi low iainfall will likely benefit most.
67

The ieasons foi this will be uiscusseu in following sections.

1#;"0. &+5 '.?"5.+/ D#'/"#+? #) ;"#$%&'
Even though uiffeient biochais biing uiffeient effects, theie aie some geneial
components that exist in all biochais, even though the makeup of these components vaiies.
All biochais have "mobile" (leachable) anu "iesiuent"(non-leachable) poitions, each of
which contain oiganic anu inoiganic components. While the mobile poition consists of
biochai's shoit-teim effects, the iesiuent poition caiiies its long-teim effects.
68

Within the mobile poition, the oiganic pait acts much like othei uegiauable caibon
souices (e.g. compost oi uetiitus). It contains uissolveu oiganic caibon anu oiganic mattei
that is available to soil miciobes. The makeup of the inoiganic pait vaiies uepenuing on the
feeustock, but may incluue feitilizeis (e.g. potassium oi phosphoius) as well as
components that iaise the soil pB. This can be useful if soils aie aciuic, but foi alkaline soils,
biochais with lowei pB aie bettei.
69

Within the iesiuent poition, the inoiganic pait (which again, uepenus on the
biochai) may incluue mineials such as silica in stable, insoluble foims. These constituents
aie often slowly uissolveu anu ie-uepositeu ovei time into soil aggiegates. Caibon is
sometimes lockeu up insiue the mineial stiuctuies, iesulting in long-teim caibon
sequestiation. The iesiuent oiganic poition of biochai becomes a peimanent pait of the
soil. It is insoluble - it cannot be leacheu fiom the soil. It stays in the soil foi a veiy long

66
NcLaughlin, B., F. E. Shielus, anu T. B. Reeu. B00 !"#$%&'? B'. >#/ :'.&/.5 *R9&0S O#K /# 6.00 6%.- BD&'/3
T.'?"#+ U. Bouluei, C0: N. 2uu9. Piint.
67
"Biochai 0se In The Fielu." A+/.'+&/"#+&0 !"#$%&' A+"/"&/",.8 Biochai InteinationalS 2u1S.Web.
68
NcLaughlin, Bugh. "Ch. 7: Bow Biochai Belps the Soil." 6%. !"#$%&' M.,#09/"#+8 Eu. Paul Tayloi. Nt. Evelyn:
ulobal Publishing uioup, 2u1u. Piint. p. 81-8S.
69
NcLaughlin, "Ch. 7: Bow Biochai Belps the Soil." 81-8S.
28
time - hunuieus to thousanus of yeais - iemaining substantially unchangeu. It is
consiueieu a "soil catalyst," because it fosteis impiovements in the soil enviionment
inhabiteu by plants anu miciobes.
7u
These impiovements incluue enhanceu nutiient
exchange between the soil anu plants.
The fact that biochai can biing both shoit anu long-teim benefits uue to the
piesence of its mobile anu iesiuent poitions is woith noting foi the context of this papei.
Although biochai's long-teim benefits aie what make it unique, the shoit-teim benefits aie
ciucial foi its uiffusion to potential auopteis who want to see immeuiate beneficial iesults.

-J7K>:@ ODL. 3:=:<H>? >; ?;H9
&)?+*.$2 ">>".'+B G:8#-7"9 +-*2 +'#1.'1#" $59 9#$*5$4"
V!"#$%&' -"/"2&/.? ?#"0L? D%7?"$&0 5.)"$".+$".?8W - Bugh NcLaughlin, Biiectoi of Biochai
Reseaich at Alteina Biochaicon Inc.
71

*+%&+$.5 &.'&/"#+ &+5 -#"?/9'. './.+/"#+
Biochai gieatly impioves soil uiainage, anu it uoes so in uiffeient ways foi uiffeient
soils. Foi example, soils that aie too clayey oi pooily aggiegateu uo not uiain effectively
because they aie too tight; this iesults in pooi soil aeiation. Biochai impioves aeiation in
these soils anu makes them less compacteu.
0n the othei siue of the spectium, sanuiei soils, as well as ceitain othei types of
soils, uiain too quickly. This shoitens the uuiation of moistuie's piesence in the soil.
Biochai pioviues "auuitional bulk moistuie stoiage capacity" to these soils.
72

Note: To impiove upon eithei of the abovementioneu soil stiuctuial pioblems using
biochai, iefei to specific application techniques mentioneu on page 8S of "The Biochai
Revolution."
7S

G5.#"$+"9 #"+-1#." ">>*.*"5.?
V!"#$%&' %.0D? /%. ?#"0 5# -#'. K"/% 0.??8W XBugh NcLaughlin
74

7u
NcLaughlin, "Ch. 7: Bow Biochai Belps the Soil." 81-8S.
71
NcLaughlin, "Ch. 7: Bow Biochai Belps the Soil." P. 8S.
72
7S
29

>9/'".+/ './.+/"#+ X $&/"#+ .Y$%&+2. $&D&$"/7
Accoiuing to K. Yin Chan anu Zhihong Xu, "one ieason foi the ability of Amazonian
Teiia Pieta soils.to maintain high feitility (compaieu to aujacent infeitile soils) is theii
ability to ietain nutiients."
7S76
This section exploies biochai's effect on soil nutiient
ietention anu its ielevant mechanisms that come into play.
Biochai has a piopeity calleu cation exchange capacity. This capacity allows it to
ietain positive ions in a foim that is exchangeable. These positive ions, vital nutiients such
as ammonium oi potassium cations, aie maue available to plants when they neeu them.
77

This is especially impoitant, because oftentimes when iegulai feitilizeis aie applieu to
pooi soils, the nutiients enu up leaving the soil (via leaching, weeus, oi miciobial activity)
befoie the ciops can benefit. The iesulting lack of nutiient uptake limits theii giowth.
The nutiients ietaineu in the soil thiough biochai's cation exchange capacity may
come fiom multiple souices, such as uetiitus, uecomposing ciop iesiuues, anu applieu
feitilizeis, among otheis. Biochai itself also contiibutes both micio- anu macio-nutiients
that enhance plant giowth. Bowevei, the specific nutiient composition anu availability in a
biochai uepenus gieatly on the feeustocks useu anu the piouuction conuitions.
78
Biochai's
capacity to stoie all these nutiients has been shown to inciease ovei time.
79

Nutiient leaching occuis when watei peicolates thiough soil, uisplacing the mobile
soil nutiients to locations that aie out of ieach of plant ioots.
8u
It is a uevastating yet
common pioblem foi many faimeis, especially in tiopical aieas with high iainfall anu pooi
soils.
81
Stuuies have shown that biochai by itself uecieases nutiient leaching, anu that

74
7S
Chan, K. Yin anu Zhihong Xu. "Ch. S: Biochai: Nutiient Piopeities anu Theii Enhancement." !"#$%&' )#'
*+,"'#+-.+/&0 1&+&2.-.+/3 4$".+$. &+5 6.$%+#0#278 Eu. }ohannes Lehmann anu Steven }oseph.
Lonuon: Eaithscan, 2u1u. 67-81. Piint.
76
Chan anu Xu. "Ch. S: Biochai: Nutiient Piopeities anu Theii Enhancement."
77
NcLaughlin. "Ch. 7: Bow Biochai Belps the Soil." P. 84.
78
79
NcLaughlin, "Ch. 7: Bow Biochai Belps the Soil." p. 84.
8u
Najoi et al. "Ch. 1S: Biochai Effects on Nutiient Leaching." !"#$%&' )#' *+,"'#+-.+/&0 1&+&2.-.+/3 4$".+$.
&+5 6.$%+#0#278 Eu. }ohannes Lehmann anu Steven }oseph. Lonuon: Eaithscan, 2u1u. Piint. P. 271.
81
Foi moie on leaching, see Chaptei 1S of !"#$%&' )#' *+,"'#+-.+/&0 1&+&2.-.+/.
Su
biochai mixeu with soil uecieases nutiient leaching as well. Foi this specific puipose,
biochai is most valuable in sanuy soils anu iegions of high iainfall.
82

Anothei pioblem biochai has been shown to ieuuce is agiicultuial leaching anu
iunoff, a piocess that ueposits nutiients such as phosphoious anu nitiate (among otheis)
into watei bouies. The iunoff nutiients cause eutiophication, ienueiing the watei quality
unacceptable by uevelopeu woilu stanuaius.
8S
This is woith noting because of the health
iisks poseu aiounu the woilu by the incieasing amount of agiicultuially contaminateu
watei, anu biochai's potential to uiminish this pioblem.
Biochai's capacity to help the soil ietain impoitant nutiients incieases the efficiency
of nutiient cycling, fosteiing incieaseu nutiient uptake by plants anu iesulting highei
biomass piouuction.
84
It can also gieatly ieuuce feitilizei iequiiements (if feitilizei is being
applieu). This piopeity has the potential to biing both economic anu enviionmental
benefits to smallholuei communities. Foi a moie uetaileu uiscussion of nutiient ietention
anu biochai's effects of nutiient leaching, iefei to Chapteis S, 14 anu 1S of Biochai foi
Enviionmental Nanagement.
8S

B5?#'D/"#+ $&D&$"/7 X -#"?/9'. './.+/"#+
Ausoiption is the auhesion of molecules oi
paiticles to a suiface.
86
Nany biochais have a high
ausoiption capacity because they have sizable
inteinal suiface aieas.
87
Figuie 6
88
is an election
micioscope photo of biochai that shows its high
poiosity. When watei availability in the soil is
high, this inteinal suiface aiea ausoibs moistuie.
When watei availability in the soil is low (such as

82
Najoi et al. "Ch. 1S: Biochai Effects on Nutiient Leaching." 272-27S
8S
Najoi et al. "Ch. 1S: Biochai Effects on Nutiient Leaching." 271.
84
8S
Lehmann, }ohannes anu }oseph, Stephen. !"#$%&' )#' *+,"'#+-.+/&0 1&+&2.-.+/3 4$".+$. &+5
6.$%+#0#278 Ch. S, 14 anu 1S.
86
"Ausoiption." M.+??.0&.' Q#07/.$%+"$ A+?/"/9/.8 Rensselaei Polytechnic Institute, 2uuu. Web.
87
NcLaughlin, "Ch. 7: Bow Biochai Belps the Soil." p. 84
88
Photo cieuit: biochaipioject.oig
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8H;GJ7@a ?J;AH=U H>? JHUJ K;@;?H>M
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uuiing low piecipitation peiious that commonly yielu hot, uiy soil), the pieviously
ausoibeu moistuie is ieleaseu back into the soil. This effect impioves all-aiounu moistuie
ietention in soils, which can be extiemely beneficial uuiing low-iainfall peiious anu
uiought conuitions. Not only can biochai impiove moistuie ietention, but it can also
inciease the oveiall watei holuing capacity of soils to which it is auueu.
89

The iesulting incieaseu moistuie capacity anu ietention can extenu giowing
seasons, which often enu uue to the scaicity of moistuie that comes with uiy seasons. This
piopeity can be especially useful when ciop iiiigation is not useu, as is the case foi many
pooi smallholuei faimeis. When iiiigation is useu, biochai's ausoiption capacity still
gieatly aius faimeis thiough its ability to conseive watei.
9u

&#-:-'"+ ')" 4#-=') -> ,"5">*.*$2 +-*2 :*.#-," 8-812$'*-5+
V!"#$%&' '.?/#'.? /%. ?#"0 /# "/? +&/9'&0 ;"#0#2"$&0 '#0.8W X Bugh NcLaughlin

Biochai facilitates anu piomotes soil miciobe populations by pioviuing them with a
piotective, highly poious habitat. The extensive suiface aieas of biochai molecules
(uiscusseu pieviously) pioviue iueal suifaces foi miciobial colonies. Biochai also ausoibs
compounus that hinuei the giowth of miciobes, ieuucing theii exposuie to these
compounus anu theiefoie impioving theii giowth. Theii habitat is fuithei impioveu by the
soil moistuie management piopeities of biochai, as pieviously uiscusseu.
91

Biochai's fosteiing of miciobial communities is extiemely beneficial because of the
impoitance of miciobes to plant giowth: soil-plant nutiient exchanges iequiie soil
miciobes foi nutiient cycling. Soil miciobes play many impoitant ioles that enable plants
to access the nutiients they neeu. Foi example, the mycoiihiza fungus pioviues nutiients
foi plant uptake by extenuing theii filaments into plant ioots. The fungus ieceives
nouiishment in ietuin. This symbiotic exchange often assists plants with the uptake of
phosphoius, magnesium anu othei impoitant mineials. Fungi also uiiectly pioviue oiganic
nutiients to plants by bieaking uown plant littei fiom the topsoil, auuing it to theii bouies,

89
Najoi et al. "Ch. 1S: Biochai Effects on Nutiient Leaching."
9u
91
NcLaughlin, "Ch. 7: Bow Biochai Belps the Soil." p. 8S.
S2
uying anu uecomposing.
92
Anothei example of miciooiganisms that have a gieat, beneficial
impact on plant nutiition aie soil bacteiia that mineialize oiganic nitiogen, tuining it into
foims that aie available to plants.
9S

Nultiple stuuies have shown that the /.''& D'./& soils have a "highei miciobial
biomass anu abunuance of cultuiable bacteiia anu fungi" than the suiiounuing, unmouifieu
soils. 6.''& D'./& also uisplays significantly lowei iespiiatoiy activity, iesulting in a highei
metabolic efficiency ("metabolic efficiency" iefeis to the "efficiency by which miciobes
conveit assimilateu caibon into biomass").
94
,
9S
These piopeities aie some of the keys to
/.''& D'./&L? supeiioiity as a giowth meuium compaieu to suiiounuing soils. Biinging
these piopeities (via biochai) to agiicultuial soils in neeu has the potential to aiu in
impioving the health of soils anu agiicultuial outcomes.

A1::$#? -> 8-'"5'*$2 ">>".'+ -> ,*-.)$# -5 $4#*.12'1#"
As uiscusseu above, biochai contains multiple piopeities that biing about a vaiiety
of beneficial changes to soils in which it is applieu. Biochai impioves soils stiuctuie anu
uiainage, enhancing soil aeiation anu moistuie ietention; it incieases the soils' iesouice
efficiency thiough the facilitation of impioveu nutiient ietention though cation exchange
capacity as well as thiough its ausoiption capacity; anu it piomotes the giowth of
beneficial soil miciobe populations. Along with these benefits, biochai often also has a
liming effect that moueiates soil aciuity.
96
It must also be noteu that biochai ieuuces soil
emissions of gieenhouse gases
97
anu has othei positive enviionmental effects, although
these will only be uiscusseu in this papei in conjunction with effects on smallholuei
agiicultuie communities.
Biochai woiks in combination with othei soil components (incluuing soil miciobes)
to impiove the oveiall soil uynamics - the conuitions in which plants giow - ovei the long

92
9S
Najoi et al. "Ch. 1S: Biochai Effects on Nutiient Leaching." P. 278.
94
Beiiona, Patiick, et al. "Niciobial giowth efciencies acioss a soil moistuie giauient assesseu using 1SC
acetic aciu vapoi anu 1SN-ammonia gas." 4#"0 !"#0#27 Z !"#$%.-"?/'7 41 (2uu9): 1262-1269. Web.
9S
96
IBI "Biochai 0se In The Fielu."
97
van Zwieten, Lukas, et al. "Ch. 1S: Biochai anu Emissions of Non-C0(2) uieenhouse uases fiom Soil."
!"#$%&' )#' *+,"'#+-.+/&0 1&+&2.-.+/3 4$".+$. &+5 6.$%+#0#278 Eu. }ohannes Lehmann anu Steven }oseph.
Lonuon: Eaithscan, 2u1u. 227-24S. Piint.
SS
teim. This allows foi bettei plant nutiition, impioving plant giowth anu yielu anu biinging
oveiaiching benefits to agiicultuial soil piouuctivity.
Although conventional feitilizeis may pioviue shoit-teim benefits, they iequiie
fiequent ieapplication anu uo not contiibute to oveiall, long-teim soil quality, which is one
of biochai's most impoitant, unique attiibutes. Foi the ieasons uesciibeu in this chaptei,
biochai piesents significant potential foi incieasing the sustainability of agiicultuial
systems. Its potential is especially gieat wheie soils aie pooi,
98
which is often the case in
the smallholuei context.

98
NcLaughlin, "Ch. 7: Bow Biochai Belps the Soil."
S4
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]]
- 0lav
Kjiven, Biiectoi of the 0niteu Nations Bevelopment Piogiamme's Buieu foi Bevelopment
Policy

Although this papei focuses on the 5"))9?"#+ of small-scale biochai systems to iuial
communities in the ueveloping woilu, the 5.?"2+ of these uevelopment piojects is
something that cannot be ignoieu, as it will have a gieat effect on uiffusion anu its
consequences. In uevelopment piojects like this, it is extiemely impoitant not to uiffuse
unsustainable systems, otheiwise communities coulu enu up woise off than they staiteu.
Theiefoie, it is impoitant to heeu the woius of 0lav Kjiven (quoteu above) anu auuiess
enviionmental, economic anu social neeus in uevelopment piojects. Foi this ieason, this
chaptei pioviues the backgiounu on not only the agiicultuial component but also the
economic, enviionmental anu social situations of smallholuei communities in the
ueveloping woilu. The following chaptei auuiesses how biochai systems can apply to these
situations.

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As uiscusseu in the Intiouuction, smallholuei agiicultuie is typically small-scale
(less than 2 hectaies) mixtuie of subsistence anu cash ciop faiming.
1uu
The balance of these
two activities vaiies gieatly uepenuing on many factois, but the main puipose of
smallholuei agiicultuie is to suppoit of the livelihoou of a family. Nany specifics such as
lanu holuings, size, techniques, anu ciops vaiy uepenuing on the specific faim anu its
location. Smallholuei faimeis opeiate unuei a vaiiety of uiffeient conuitions anu

99
Kjiven, 0lav. "Roau to Rio: uieen is not enough." =+"/.5 >&/"#+? C.,.0#D-.+/ Q'#2'&--.. The 0niteu
Nations Bevelopment Piogiamme, 27 Nai 2u12. Web.
1uu
Zhou, Yuan. "Smallholuei Agiicultuie, Sustainability anu the Syngenta Founuation." 47+2.+/& <#9+5&/"#+
)#' 49?/&"+&;0. B2'"$90/9'.8 Syngenta Founuation foi Sustainable Agiicultuie. Api. 2u1u. Web.
SS
livelihoous vaiy significantly. Bowevei, conuitions aie often iesouice-pooi, technology anu
puichaseu inputs aie often limiteu, anu family laboi is often ielieu on.
1u1

Bistoiically, smallholuei faiming has been piacticeu extensively in most paits of the
woilu. Bowevei, the majoiity of cuiient smallholuei faims aie locateu in the iuial
ueveloping woilu. This papei focuses only on smallholuei communities in the ueveloping
woilu, most of which exist in iuial paits of Asia, Afiica anu Latin Ameiica.
1u2

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The geogiaphy anu climatic conuitions vaiy gieatly in these iegions; howevei, much
of the lanu aiea that is cultivateu with smallholuei agiicultuie is tiopical oi subtiopical.
Bistinct tiopical climatic categoiies incluue the tiopical iainfoiest climate, which is
chaiacteiizeu by yeai-iounu piecipitation; the tiopical monsoon climate, which is
chaiacteiizeu by uefineu wet anu uiy seasons anu heavy iains; anu the tiopical wet anu uiy
climate, which is chaiacteiizeu by an especially pionounceu uiy season anu oveiall lowei
annual piecipitation.
1uS

Climate anu lanu conuitions in these iegions often biing with them pooi agiicultuial
conuitions (uiscusseu below), making it uifficult foi many smallholuei faimeis to sustain
theii livelihoous, eviuenceu tolu by high poveity iates foi iuial faimeis (uiscusseu in the
Intiouuction).
The changing climate anu othei uncheckeu enviionmental pioblems aie only
woisening theii uifficulties by incieasing the seveiity of climate conuitions such as
uioughts. Accoiuing to Yuan Zhou, climate change will uispiopoitionally effect uamage in
tiopical anu sub-tiopical latituues. "Pieuictions fiom ciop-climate mouels show that in
tiopical countiies even moueiate waiming can ieuuce yielus significantly, because many
ciops aie alieauy at the limit of theii heat toleiance."
1u4
Stiuggling faimeis often see no
othei option but to use unsustainable piactices in oiuei to get foou on the table foi the
shoit-teim. These piactices only exaceibate the pioblems they face.

1u1
"Smallholuei Napping anu Chaiacteiistics." 47+2.+/& <#9+5&/"#+ )#' 49?/&"+&;0. B2'"$90/9'.8 Syngenta
Founuation foi Sustainable Agiicultuie, 2u1S. Web.
1u2
Zhou, Yuan. "Smallholuei Agiicultuie, Sustainability anu the Syngenta Founuation."
1uS
NcKnight, Tom L anu Baiiel Bess. "Climate Zones anu Types: The Koppen System." Q%7?"$&0 H.#2'&D%73 B
P&+5?$&D. BDD'.$"&/"#+8 0ppei Sauule Rivei, N}: Pientice Ball, 2uuu. Piint. pp. 2uS-211.
1u4
S6

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Within the abovementioneu woilu iegions, this papei focuses on smallholuei
communities wheie biochai woulu biing the gieatest benefits - places that face lanu
uegiauation issues anu have nutiient pooi soils anuoi low iainfall.
1uS
These pooi
agiicultuial conuitions aie commonplace in many of the woilu's ueveloping countiies with
high iates of iuial smallholuei agiicultuie.

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The laigest, most geneial
issue that many smallholuei
faimeis aiounu the woilu face is
lanu anu soil uegiauation. Within
this umbiella lies a host of specific
pioblems anu negative
consequences, which aie exploieu
below. Lanu uegiauation iefeis to a
given lanu's impaiieu capacity to
function. In the case suiiounuing
smallholuei agiicultuie, soils aie the
"ciitical component" that face uegiauation.
1u6
0p to 4u peicent of the woilu's agiicultuial
lanu is uegiaueu, anu this piopoition continues to inciease.
1u7
Figuie 7
1u8
shows the
seveiity of lanu uegiauation in uiffeient paits of the woilu. Asia has the laigest affecteu
aiea, with about SSu million hectaies of uegiaueu lanu. An estimateu Suu million hectaies
of lanu in Afiica, incluuing 6S peicent of the continent's agiicultuial lanu, have been

1uS
IBI "Biochai 0se in Soils."
1u6
}ohnson, B.L. et al. "Neanings of enviionmental teims."
1u7
"uEF Focal Aiea: Lanu Begiauation." ulobal Enviionment Facility. 2u1S. Web.
1u8
Photo souice: http:www.giiua.no
1HUF@: ID % V7K ?J;AH=U ?:W:@H>M ;< 97=B B:U@7B7>H;= 7@;F=B >J:
A;@9B
S7
uegiaueu since 19Su. About Suu million hectaies of lanu in Latin Ameiica have been
uegiaueu.
1u9

Soil uegiauation causes pioblems not
only foi inuiviuual faimeis (anu theii
livelihoous) but also foi entiie economies. Foi
example, it is estimateu that between 4 anu 12
peicent of Afiica's entiie uBP is lost uue to
enviionmental uegiauation, much of which is
agiicultuial lanu uegiauation.
110
It is also
estimateu that lanu uegiauation's global costs
"coiiesponu to S to S peicent of the global
agiicultuial uBP."
111
0veiall, aiounu 4u
peicent of global lanu uegiauation occuis in
the woilu's most impoveiisheu aieas, most of
which aie iuial.
112
As lanu iesouices become
less piouuctive, foou insecuiity iises.

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$#+5"/"#+? &'. .Y&$.';&/.5 ;7 0&+5 5.2'&5&/"#+
Theie aie six geneial categoiies of soil
uegiauation: watei eiosion; winu eiosion;
watei logging anu excess of salts; chemical
uegiauation; physical uegiauation; anu biological uegiauation.
11S
Smallholuei faimeis may
face any combination of these issues, which can be causeu by many uiffeient factois.

1u9
"Tackling lanu uegiauation anu uefoiestation." 6%. A+/.'+&/"#+&0 <9+5 )#' B2'"$90/9'&0 C.,.0#D-.+/8 The
Inteinational Funu foi Agiicultuial Bevelopment, 18 Bec. 2u1S. Web.
11u
Eu. Ammann, Waltei }. "Backgiounu Bocument: The Economics of Beseitification, Lanu Begiauation anu
Biought: Nethouologies anu Analysis foi Becision-Naking." 2
nu
Scientific Confeience. 0niteu Nations
Convention to Combat Beseitification. Bonn, ueimany. Web.
111
Eu. Ammann, Waltei }. "Backgiounu Bocument: The Economics of Beseitification, Lanu Begiauation anu
Biought: Nethouologies anu Analysis foi Becision-Naking."
112
"TST Issues Biief: Beseitification, Lanu Begiauation anu Biought." 0niteu Nations Bepaitment of
Economic anu Social Affaiis, Bivision foi Sustainable Bevelopment. Web.

I1'#*"5' $59 J#4$5*. :$''"# H"$.)*54
Nost tiopical soils aie especially pione to
leaching (uesciibeu in Chaptei 2) uue to a
numbei a factois incluuing high inciuence of
iainfall anu pooi soil stiuctuie. The leaching is
uetiimental not only the soil oiganic content
but also to miciooiganism communities.

F#-+*-5
When uefoiestation occuis, the stiuctuies that
keep soil in place (via piotection fiom the
elements anu ioot stiuctuies) aie eliminateu,
often leauing to eiosion of topsoil. Topsoil is
ciitical to ciop cultivation.

6".#"$+"9 +-*2 #"+*2*"5."
Nany lanus face both leaching anu floouing
while otheis face uiought anu paiching. Some
face both at uiffeient times of yeai. Without
native plant covei to piotect the lanu, extieme
weathei conuitions (which aie becoming moie
common as climate change occuis) can
uevastate haivests.
Lanu uegiauation ieuuces the iesilience of
soils anu theii ability to sustain ciops thiough
extieme conuitions. Foi example, stiuctuial
issues will ieuuce the soils' abilities uuiing
moistuie shoitages (uioughts) oi excess
moistuie peiious (monsoons), as uiscusseu in
Chaptei 2.
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?V799J;9B:@ <7@V:@? 7=B :Y7G:@87>:B 8M 97=B
B:U@7B7>H;=
S8
Common causes incluue lanu cleaiance, soil nutiient
uepletion uue to pooi agiicultuial piactices, anu livestock
oveigiazing.
114

Specific common pioblems faceu by smallholuei
faimeis incluue topsoil eiosion; floouing; nutiient anu
oiganic mattei leaching; soil paiching anu ueseitification;
weakening of soil stiuctuie; loss of soil nutiients anu
caibon content; loss of oiganic mattei anu loss of
impoitant miciooiganisms. Some of these aie uiscusseu
in fuithei uetail in Figuie 8 (pievious page).
All of these issues contiibute to a fast uecline in
the piouuctive capacity of the lanu, causing uiminishing
ciop yielus - often lanu can only be faimeu foi 2-S yeais.
These issues occui in uiffeient combinations anu
seveiities in uiffeient locations, but the majoiity of
smallholuei faimeis face uegiauation pioblems. Lanu
uegiauation issues that affect smallholuei faimeis aie
often causeu by a combination of factois, of which uefoiestation; climate anu geogiaphical
conuitions; anu agiicultuie piactices aie stiong contiibutois. Bowevei, aieas with
tiauitionally pooi soils aie especially pione to uegiauation effects in the fiist place, as
uiscusseu in Figuie 9.
11S
,
116
,
117

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Lanu often goes thiough seveial phases as it goes thiough the uegiauation piocess.
In this context, most faimlanus oiiginate as foiest, which is then uefoiesteu to make ioom
foi ciops. Anothei iampant cause of uefoiestation is uemanu foi biomass cooking fuel,

11S
"Chaptei S: Lanu uegiauation" FA0. Web.
114
"Lanu Begiauation anu Soil Eiosion" City of Cape Town. 2u12. Web.
11S
Tiessen, B., E. Cuevas, anu P. Chacon. "The iole of soil oiganic mattei in sustaining soil feitility." >&/9'.
S71. (0ct 27,1994): 78S-78S. Web.
116
Blanchait, E. et al. "0iganic Nattei anu Biofunctioning in Tiopical Sanuy Soils anu Implications foi its
Nanagement." FA0. 2uu7. Web.
117
"Effects of Befoiestation." Satellite Events Inteipiises Inc. 1999. Web.

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Soils in the humiu iainfoiest
climates aie often aciuic anu
nutiient pooi
1
(as pieviously
uiscusseu iegaiuing the
infeitile Amazonian soils
suiiounuing the /.''& D'./&
sites). Nany aie sanuy anu
have pooi stiuctuial
stability.
1
Nutiient leaching is
a wiuespieau pioblem in
humiu tiopical agiicultuie.

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Neanwhile, in uiyei tiopical
climates, the hot sun, low
moistuie ueliveiy, anu
peiious of uiought make it
uifficult foi thiisty ciops to
suivive, especially when soils
uon't have goou moistuie
holuing capacity. Paiching of
soils via heat exposuie can
woisen theii stiuctuie anu
uestioy miciobial
communities.
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S9
which will be uiscusseu in a latei section. 0nce uefoiestation occuis anu the lanu is no
longei piotecteu, it becomes vulneiable to uiffeient types of lanu uegiauation (uesciibeu
above), especially when the lanus aie uelibeiately kept cleai foi faiming. Pooi soils in
uefoiesteu aieas aie often uepleteu of nutiients aftei just a few ciop seasons. Bue to the
cleaiance of vegetation, these soils no longei have any natuial
souice of nutiients oi oiganic mattei, so iecoveiy is an
extiemely slow piocess anu can take geneiations.
118

0nfoitunately, uepleteu anu uegiaueu faimlanus aie not
often given the chance to iecovei. Insteau, smallholuei faimeis
commonly tuin theii faimlanu into pastuie when it will no
longei yielu ciop, because they still neeu to make a living.
Eventually, the lanu gets too uegiaueu to suppoit pastuie (uue
to oveigiazing). In uiyei aieas, this lanu often tuins into
ueseit. Figuie 1u illustiates this common
phenomenon, known as 5.?.'/")"$&/"#+8
Twelve million hectaies of aiable lanu aie
lost to ueseitification each yeai (anu the
iate is incieasing),
119
foicing many faimeis
to choose between migiation anu
staivation. Beseitification uisiupts natuial
watei anu nutiient cycles, causes uust
stoims anu watei seuimentation anu
ieuuces iesilience to climate vaiiation. It also exaceibates anu lengthens uioughts anu
famines.
12u
Figuie 11
121
shows a woilu map of wheie ueseitification occuis, anu
In wettei aieas, this lanu often suffeis gieatly fiom eiosion. Eithei way, these lanu
tiansfoimations iesult in a loss of aiable lanu. The cuiient annual loss of aiable lanu is

118
"Effects of Befoiestation." Satellite Events Inteipiises Inc.
119
Raihan, Selim, Sohani Fatehin, anu Ifthekhaiul Bague. "Access to lanu anu othei natuial iesouices by the
iuial pooi: the case of Banglauesh." }une 2uu9. South Asian Netwoik on Economic Noueling
(SANEN), Bepaitment of Economics, 0niveisity of Bhaka, Banglauesh. Web.
12u
Raihan, Selim et al. "Access to lanu anu othei natuial iesouices by the iuial pooi: the case of Banglauesh."
121
Image cieuit: awcungeneva.com.

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ovei S8,61u squaie miles pei yeai (out of 12 million squaie miles of aiable lanu on Eaith),
which has negative implications foi the futuie of foou secuiity.
122
When pieviously
cultivateu lanu is lost, faimeis must finu new lanu to cultivate (if possible) in oiuei to
sustain theii livelihoous. This piogiession often leaus to unsustainable agiicultuial
piactices that peipetuate lanu uegiauation anu tiansfoimation.

A:$22)-29"# $4#*.12'1#" 8#$.'*."+ .-5'#*,1'" '- 2$59 9"4#$9$'*-5 C 3 .-182" "E$:82"+
Nouein smallholuei faimeis piactice uiffeient techniques uepenuing on many
vaiying factois such as location, tiauitions anu ciops. Nost uo not have access to mouein
fiist woilu faiming technologies. In geneial, smallholueis usually cannot affoiu much (if
any) high quality agiicultuial lanu, anu they face the uegiauation pioblems uesciibeu
above.
Foi this ieason, theii yielus aie faiily low anu it is "necessaiy foi them to
collectively cultivate a laigei total aiea." Nuch of this lanu is often maiginal anu subject to
bau eiosion.
12S
These conuitions make it uifficult foi smallholuei faimeis to sustain theii
livelihoous, anu theii uecision-making often aims foi shoit-teim sustenance anu iisk
minimization. This often iesults in unsustainable agiicultuial piactices that aie uetiimental
to the enviionment anu theii long-teim livelihoous. This section piesents a few examples
of common unsustainable agiicultuial piactices.

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This methou is especially common in tiopical aieas uue to the pooi soil feitility
mentioneu above. In 1996, it was estimateu that shifting cultivation suppoiteu the
livelihoous of Suu-Suu million people.
124
Ciops aie giown in a patch of cleaieu lanu.
Bowevei, aftei a few to seveial yeais, the soil is no longei piouuctive. At this point,
cultivation of that patch is teiminateu anu a new patch of lanu is cleaieu anu useu to
continue cultivation.
12S

122
uuffanti, Rich. "Chaptei 1: Science & the Enviionment."
12S
Tinsley, Richaiu. "Smallholuei Agiicultuie." 2uu6. Web.
124
Biauy, N. (1996). Alteinatives to slash-anu-buin: a global impeiative.
Agiicultuie, Ecosystemsanu Enviionment, S8 (1), S-11. Web,
12S
Naii, PK Ramachanuian. An intiouuction to agiofoiestiy. Spiingei, 199S. (SS-6S). Web.
41
Nethous of shifting cultivation vaiy. Foi example, $7$0"$&0 )&'-"+2 D'&$/"$.? involve
long fallow peiious but eventual ietuin to planting the same patches of lanu aftei
iegeneiation. 0nfoitunately, iegeneiation of a uepleteu fielu can take geneiations in pooi,
tiopical soils, especially if intensive faiming stiategies weie employeu.
126

Nouein intensive faiming leaves soils uepleteu foi long peiious of time, anu
although cyclical faiming has been piacticeu sustainably in the past (anu is still sustainable
in some cases), many of the mouein shifting cultivation piactices aie no longei sustainable.
Fallow patches of lanu aie often put to use again befoie fully iecoveiing, uue to economic
piessuies. This causes peimanent soil uegiauation, fuithei lanu tiansfoimation anu
auuitional uefoiestation.
127

The ?0&?% &+5 ;9'+ stiategy is similai to anu often useu in shifting cultivation. While
theie aie many vaiiations of slash anu buin stiategies, the basic iuea is to cleai anu buin
aieas of foiest foi planting. When yielus on a cuiient cultivateu patch ueciease, anothei
patch of foiest is buineu in oiuei to have a fiesh new tiact of lanu to cultivate. The ash
fiom the iecent buins pioviues tempoiaiy feitilization. The olu, uepleteu patch is
abanuoneu oi tuineu to pastuie, subjecting it to fuithei uepletion anu uegiauation.
0nfoitunately, with most cuiient slash anu buin piactices in tiopical aieas, the newly
buineu patches of lanu piouuce goou yielus foi only a couple of yeais, anu then faimeis
must move on again to slash anu buin moie foiest. This piactice causes iapiu
uefoiestation, uiminishes impoitant foiest iesouices, anu ieleases high amounts of
gieenhouse gases into the atmospheie.
128

6'&5"/"#+&0 $%&'$#&0 9?.
As pieviously uiscusseu, tiauitional agiicultuial chaicoal use uoes still exist in some
smallholuei communities. Bowevei, tiauitional agiicultuial chaicoal piouuction piactices

126
Naii, "An intiouuction to agiofoiestiy."
127
Piasau, Ambika. "S Najoi Causes of Befoiestation in Inuia." PieseiveAiticles.com. 2u12. Web.
128
"Slash-anu-buin Agiicultuie." Encyclopeuia Biittanica. Web.

42
ielease a laige quantity of haimful emissions incluuing caibon uioxiue (C02), methane
(CB4), nitious oxiue (N20), caibon monoxiue (C0).
129
They also often use foiest iesouices.

<.'/"0"^.' 9?.
When affoiuable, feitilizei use (in some places encouiageu anu subsiuizeu by the
goveinment) is useu as a quick-fix input to inciease ciop yielus. While chemical feitilizeis
can gieatly inciease yielus, unfoitunately, iesults aie only tempoiaiy. Feitilizei must be
ieapplieu annually, anu even when ieapplieu, many of the nutiients may not ieach the
plants when they neeu them uue to leaching. Feitilizei use can also weaken the soil
stiuctuie anu uamage soil life.
1Su
While chemical feitilizei application may help faimeis
sustain theii livelihoous in the shoit teim, they uo not pioviue a long-teim iemeuy to lanu
anu soil uegiauation issues.

+J: ?V799J;9B:@ 9HW:9HJ;;B
Although the pooi agiicultuial conuitions uesciibeu above gieatly contiibute to the
haiuships smallholuei faimeis face, these issues aie inteiconnecteu with many othei
pioblems anu events that have also contiibuteu to the uifficult livelihoous faceu by
smallholueis. This section will uiscuss the typical smallholuei livelihoous anu some of the
factois that influence them.

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?-&00%#05.' )&'-.'?
While the mouein agiicultuial ievolution penetiateu the uevelopeu woilu anu paits
of the ueveloping woilu, it uiu not ieach many faimeis in the ueveloping woilu - especially
iuial smallholuei faimeis. The agiicultuial ievolution leu to a wiuespieau fall in woilu
agiicultuial piices - not only of suiplus piouucts, but also of tiopical expoit commouities
uue to new substitutes that weie being mass-piouuceu in uevelopeu countiies (foi

129
Pennise, B. N., et al. "Emissions of gieenhouse gases anu othei aiiboine pollutants fiom chaicoal making
in Kenya anu Biazil" I#9'+&0 #) H.#D%7?"$&0 M.?.&'$%3 B/-#?D%.'.? E_]àXUb_UF, volume 1u6, Issue
B2u, pages 2414S-241SS, 27. 0ctobei 2uu1. Web.
1Su
"A Woiu About Soil Stiuctuie." Petiik Laboiatoiies Inc. No Bate. Web.

4S
example, in the last 1uu yeais, the ieal piice of sugai has fallen by ovei two-thiius anu the
ieal piice of iubbei is one-tenth of what it useu to be).
1S1

Bue to limiteu capital anu accessibility, many iuial smallholuei faimeis weie (anu
still aie) unable to invest in the mouein agiicultuial technology (which incluueu
mechanization, special ciop vaiieties etc.) anu theiefoie unable to achieve significant
piouuctivity gains. 0nfoitunately, the falling ciop piices affecteu these faimeis too, gieatly
impacting theii incomes anu subsequent puichasing powei. This left them incapable of
investing in upuateu faiming equipment oi useful inputs - effectively blocking theii
uevelopment anu biinging many of them below the "economic ienewal thiesholu" - "theii
cash income is no longei sufficient to ienew faim tools anu inputs, to buy the few vital
consumei goous they cannot piouuce themselves anu.to pay taxes."
1S2

:9''.+/ .)).$/?
The iesulting ueteiioiation of faim equipment, uiet anu health is uetiimental to the
faimeis' livelihoous anu woik capacity. This causes theii focus to shift to shoit-teim
ietuins anu away fiom maintaining the "cultivateu ecosystem." This is the point at which
faimeis iesoit to unsustainable agiicultuie piactices, as uiscusseu above. This also leaus to
the simplification of faiming systems, ieuucing ciop uiveisity anu quality anu fuithei
incieasing ciop vulneiability in the alieauy uegiauing lanu.
1SS

The above histoiy uemonstiates the inteiconnecteu natuie of agiicultuial, social,
economic anu enviionmental issues faceu by smallholuei communities. While livelihoou
ciicumstances of smallholuei faimeis vaiy aiounu the woilu, the effects of the agiicultuial
ievolution anu iesulting piice uiops (which aie still occuiiing) influence iuial smallholuei
communities woiluwiue. 0thei livelihoou influences incluue national anu local politics,
enviionmental anu lanu conuitions, local infiastiuctuie, maiket access, anu lanu holuing
laws, among otheis.
1S4

1S1
Nazoyei, Naicel. "Piotecting Small Faimeis anu the Ruial Pooi in the Context of ulobalization." Foou anu
Agiicultuie 0iganization of the 0niteu Nations. 2uu1. Web.
1S2
Nazoyei, "Piotecting Small Faimeis anu the Ruial Pooi in the Context of ulobalization."
1SS
1S4
44
&-7"#'? '#$8+
The theoiy of poveity tiaps suggests the existence of "self-ieinfoicing mechanisms"
that cause the peisistence of poveity.
1SS
Accoiuing to }effiey Sachs,
The pooi stait with a veiy low level of capital pei peison, anu then finu themselves tiappeu in
poveity because the iatio of capital pei peison actually falls fiom geneiation to geneiation. The
amount of capital pei peison ueclines when the population is giowing fastei than capital is being
accumulateu ... The question foi giowth in pei capita income is whethei the net capital accumulation
is laige enough to keep up with population giowth.
1S6

Sachs aigues that health pioblems anu lack of capital anu knowleuge (e.g. about the
benefits a ceitain behavioi oi choice will biing) that the impoveiisheu suffei spoil theii
potential to iise out of poveity. Be aigues that aiu is necessaiy to lift them out.
1S7
0n the
othei hanu, William Easteily aigues that aiu cieates a cultuie of uepenuency that causes
the pooi to iemain pooi.
1S8
Regaiuless of this uebate, it is impoitant to be awaie of the
poveity tiap concept when looking at the cuiient situation of smallholuei faimeis aiounu
the woilu.
As pieviously uiscusseu, a laige piopoition of iuial smallholuei faimeis live in
poveity. They have veiy little capital - many can't even affoiu cheap inputs. The effect of
the agiicultuial ievolution has causeu geneiational uecieases in the iatio of capital pei
peison, anu this has been exaceibateu by woisening lanu uegiauation leauing to lowei
piouuctivity, foou insecuiity, anu health issues (which will be uiscusseu below).
Although poveity tiaps aie not a cential theme of this papei, they aie veiy ielevant
to uevelopment piojects anu uiffusion. It is woith noting that Abhijit Baneijee's anu Esthei
Buflo's book, "Pooi Economics," shows that ueliveiy mechanisms can uiastically change
outcomes of uevelopment anu aiu piojects.
1S9
In one of theii stuuies, feitilizei use by
Kenyan faimeis was incieaseu by Su peicent solely uue to a change in ueliveiy methou.
The faimeis woulu not buy half-piice feitilizei at sowing time, but woulu buy full-piiceu

1SS
Costas Azaiiauis anu }ohn Stachuiski, "Poveity Tiaps," Banubook of Economic uiowth, 2uuS, S26.
1S6
Sachs, }effiey B. 6%. *+5 #) Q#,.'/78 Penguin Books, 2uu6. Piint. P. 244
1S7
Sachs, 6%. *+5 #) Q#,.'/7.
1S8
Easteily, William. 6%. K%"/. -&+c? ;9'5.+3 K%7 /%. @.?/c? .))#'/? /# &"5 /%. '.?/ %&,. 5#+. ?# -9$% "00 &+5 ?#
0"//0. 2##5. Penguin. 2uu6. Web.
1S9
Baneijee, Abhijit anu Esthei Buflo. Q##' .$#+#-"$?3 B '&5"$&0 './%"+G"+2 #) /%. K&7 /# )"2%/ 20#;&0 D#,.'/78
PublicAffaiis Stoie, 2u11. Web.
4S
feitilizei voucheis iight aftei the haivest. The ieason was that they hau enough money
uiiectly aftei the haivest, but not enough savings left to affoiu feitilizei at sowing time.
14u

This finuing is quite ielevant to the success of biochai system uiffusion in iuial,
impoveiisheu smallholuei communities, because it speaks uiiectly to the impoitance of
uesign anu uiffusion stiategy. Becca Aitkenheau sums up this impoitant takeaway fiom
"Pooi Economics": "When aiu is caiefully uesigneu to navigate the specific socio-cultuial
lanuscape of its iecipients' lives, it begins to uelivei the soit of iesults Sachs claims."
141
142

<--;*54 :"')-9+
While specific cooking methous vaiy by tiauition, most smallholuei communities
use the same geneial heating stiategy. Aiounu thiee billion people woiluwiue, most of
whom aie pooi anu live in ueveloping countiies, buin biomass (e.g. woou, chaicoal, uung)
to cook anu heat theii homes.
14S
They use open fiies oi simple stoves, of which theie aie
many vaiiations. This piactice - which is the only choice foi most who use it - is
pioblematic in multiple ways.

*+,"'#+-.+/&0 "-D&$/
Fuel woou collection is a significant cause of uefoiestation in many locations aiounu
the globe (e.g. Baiti, Inuia), contiibuting to enviionmental pioblems anu exaceibating lanu
uegiauation pioblems. The inefficiency of the fuel use iequiies laige amounts of fuel foi
each meal.
Also, these fiies anu stoves, which aie geneially useu at least twice a uay foi meals,
iesult in inefficient combustion of biomass that causes paiticulate emissions, also known as
"soot" oi "black caibon". These emissions contiibute to Atmospheiic Biown Clouus (ABCs),
which aie now iecognizeu by the 0N Enviionment Piogiam as a majoi contiibutoi to

14u
Baneijee anu Buflo, 191-194.
141
Aitkenheau, Becca. "Abhijit Baneijee: 'The pooi, piobably iightly, see that theii chances of getting
somewheie uiffeient aie minimal.'" 6%. H9&'5"&+. Sunuay Apiil 22, 2u12. Web.
142
Baneijee anu Buflo.
14S
"Inuooi aii pollution anu health." Woilu Bealth 0iganization. Septembei 2u11. Web.
46
climate change.
144
Some people use chaicoal foi fuel, but the chaicoal is maue using
tiauitional methous with high gieenhouse gas emissions.

6"-. $#+?9-"+2 #' $#?/07
In most smallholuei communities, women aie iesponsible foi piocuiing fuel.
Fiiewoou collection often takes a significant amount of theii time, anu it can also cause
physical stiess anu othei iisks, uepenuing on the situation. Some people buy theii fuel, but
high piices often ienuei this option unaffoiuable foi many of the iuial pooi. Because the
fiies anu stoves aie inefficient, women spenu a lot of time cooking - time when they coulu
be uoing othei things.

K"$2') *:8$.'+
The cooking often happens inuoois, anu as pieviously mentioneu, the fiie anu stove
emissions aie highly polluting anu quite haimful. This is causing a iampant inuooi aii
pollution pioblem that uispiopoitionately affects women anu chiluien, because they spenu
moie time by the cook fiie. Bomes often fill with smoke, uuiing cooking, as shown in Figuie
12,
14S
a photo taken of a tiauitional stove in Inuia uuiing a biochai stove uiffusion pioject.
Accoiuing to the Woilu Bealth 0iganization, aiounu 2 million people uie piematuiely each
yeai uue to illness causeu by inuooi aii
pollution fiom householu soliu fuel use;
aiounu half of chilu (unuei five-yeais-olu)
pneumonia ueaths aie causeu by inhalation of
paiticulate mattei fiom inuooi aii pollution;
anu ovei 1 million people uie annually uue to
chionic obstiuctive pulmonaiy uisease (C0PB)
that uevelops because of inuooi aii pollution
exposuie.
146

144
v. Ramanathan, et al. "Atmospheiic Biown Clouus: Regional assessment iepoit with focus on Asia,
Summaiy." 0niteu Nations Enviionment Piogiam, 2uu8. Web.
14S
Photo cieuit: N. Sai Bhaskai Reuuy (via Picasa).
146
1HUF@: L\D +@7BH>H;=79 G;;d?>;W:? 7@: W:@M ?V;dMD
47
Even though cuiient cooking methous in smallholuei communities aie haimful to
the people in many ways, incluuing uiiect health consequences anu uaily uiscomfoit,
billions of people use these haimful stoves. This is because many people uo not have access
to non-biomass cooking methous. uas stoves aie a highei initial investment, anu aie often
cost piohibitive foi smallholuei faimeis (if they even know about them). Ruial smallholuei
communities may not have the infiastiuctuie, maiket accessibility (foi fuel) oi iesouices
neeueu to suppoit a cooking technology with an alteinative fuel souice. The cuiient
cookstoves useu by smallholueis - anu theii consequences - aie tightly tieu in to a web of
common smallholuei pioblems shown in Figuie 1S at the enu of this chaptei.

0*+;+
As we have seen, smallholuei fameis face many iisks. Agiicultuial iisks (bau yielus,
ciop failuie, ciop uisease etc.) aie woiseneu by soil anu lanu uegiauation issues.
Agiicultuial iisks aie often foou secuiity iisks foi smallholuei faimeis who piouuce theii
own foou. Bealth iisks aie woiseneu by inuooi aii pollution (as well as lack of public health
infiastiuctuie, sanitation systems, etc.). Nany iisk factois aie completely outsiue of theii
contiol, incluuing weathei, pests, uisease, anu volatile ciop piices.
147

Smallholueis often lack access to insuiance anu othei iisk management stiategies,
anu facing a shock can cause uevastation to families that uon't have much to begin with.
Because of this, pooi faimeis usually tiy to avoiu iisks when making uecisions.

H$59 '"51#"
Although lanu tenuie will not be exploieu in uepth in this papei, it is an impoitant
factoi to be awaie of - lanu tenuie systems can have a laige influence on the outcomes of
uevelopment piojects. Access to lanu anu lanu tenuie secuiity is an impoitant factoi in the
uecision making of pooi, iuial people, such as smallholuei faimeis.
148
Foi example,
smallholuei faimeis woulu not be inclineu to make a long-teim investment (e.g. biochai
application) in theii lanu if it might not be theii lanu in five yeais.

147
uiaul, Chiistina, et al. "Piomising Agiibusiness."
148
"Ruial Poveity in the Beveloping Woilu." 0niteu Nations Publications. N.u.
48
Issues of lanu access anu secuiity of lanu tenuie stiongly influence uecisions on the natuie
of ciops giown, whethei foi subsistence oi commeicial puiposes. Such issues also influence
the extent to which faimeis aie piepaieu to invest (both financially anu in teims of laboi) in
impiovements in piouuction, in sustainable natuial iesouices management, anu in the
auoption of new technologies anu piomising innovations.
149

Lanu can also be an impoitant aspect of social anu cultuial iuentity. It is impoitant
to unueistanu the functioning of a local lanu tenuie system. Especially with agiicultuie-
baseu activities, specific functioning of lanu tenuie systems often ueteimines how benefits
aie uiviueu.
1Su

$=WH@;=V:=>79 "@;89:V?
Theie aie seveial enviionmental pioblems (most of which have been pieviously
mentioneu) that aie tightly linkeu with smallholuei communities. Nany of these pioblems
both affect anu iesult fiom the smallholuei lifestyle. It is impoitant to also acknowleuge the
vaiiety anu extent of haim to the natuial enviionment that iesults fiom the smallholuei
situation.
Befoiestation anu loss of vegetation is a huge enviionmental pioblem that has
stiong linkages with smallholuei communities, who both suffei fiom it anu contiibute to it.
It is causeu mainly by fuel collection, agiicultuial piactices, anu outsiue foices, anu iesults
in a loss of biouiveisity anu valuable ecosystems. It simultaneously haims smallholuei
agiicultuie in many ways, one of them being the iesulting lanu uegiauation anu ieuuction
of ecosystem seivices. Befoiestation can also cause peimanent local climate change that
incieases anu exaceibates extieme whethei conuitions such as uioughts anu floous.
1S1

Peimanent lanu change such as ueseitification can iesult as well.
In teims of emissions, uefoiestation anu pooi soil management themselves gieatly
contiibute to the gieenhouse gas emissions that aie speeuing up climate change.
1S2

Inefficient combustion fiom biomass buining is also a laige contiibutoi to atmospheiic
biown clouus. Theie aie also many moie specific local oi iegional level enviionmental

149
"Ruial Poveity in the Beveloping Woilu." 0niteu Nations Publications.
1Su
"Ruial Poveity in the Beveloping Woilu." 0niteu Nations Publications.
1S1
Bagley, }ustin E. et al. "Biought anu Befoiestation: Bas lanu covei change influenceu iecent piecipitation
extiemes in the Amazon.." I#9'+&0 #) :0"-&/. 2u1S (2u1S).
1S2
}ohnson, Toni. "Befoiestation anu uieenhouse-uas Emissions." Bec 2uu9. Council on Foieign Relations.
Bec 2u1S.
49
issues that occui in smallholuei communities thioughout the woilu. The impacts of global
enviionmental uegiauation anu climate change also have an impact on smallholueis.

&#-,2": @*'*4$'*-5 !".)5*L1"+
Nany techniques can be useu to impiove upon pieviously uiscusseu smallholuei
agiicultuie pioblems anu piactices. Some of these incluuing tiee planting oi using specific
covei ciops to iestoie ecosystems anu combat lanu uegiauation, eiosion anu uiought
fiequency; alteinative sustainable agiicultuial systems such as oiganic faiming,
conseivation tillage faiming, anu agiofoiestiy; anu stiategies such as polycultuie ciopping,
ciop iotation, covei ciopping, using ceitain ciop vaiieties in ceitain places, composting anu
integiateu pest management.
All of these stiategies have value, anu in the appioach to impioving smallholuei
agiicultuial situations, the uiffusion of one technique shoulu not excluue the possibility of
anothei (unless they aie substitutes oi will not woik well togethei). In fact, many of the
techniques mentioneu above woulu woik well with each othei, anu peihaps with biochai
as well. The context anu content of this papei shoulu not excluue the above possibilities in
the event of biochai uiffusion. Bowevei, it is impoitant to note that many of the above
stiategies take a long time to uelivei iesults (e.g. tiee planting encouiages inuiiect soil
uevelopment), anu aie likely to seem faiily unceitain to faimeis who aie living on the
maigin. Also, many of them woulu only be viable oi beneficial in ceitain locations anu
situations.

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This chaptei uiscusses many factois that influence the lives of ueveloping woilu
iuial smallholuei faimeis anu theii communities. Figuie 1S below uepicts a complicateu
web of inteiconnecteu smallholuei issues, many of which peipetuate themselves oi each
othei. While many uiffeient social, economic anu enviionmental factois affect the
livelihoous of smallholuei faimeis, it is cleai that the pooi agiicultuie conuitions uesciibeu
above play an influential iole in the pioblems smallholuei faimeis face. When it comes
uown to it, smallholuei faimeis uepenu on agiicultuie foi suivival. Theiefoie, it is vital to
Su
auuiess issues such as lanu uegiauation that aie contiibuting to the unsustainable natuie
of theii livelihoous.

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As uiscusseu in the pievious chaptei, smallholuei faimeis aiounu the woilu face
many uiffeient kinus of challenges anu obstacles, some of which aie exaceibating as time
continues anu iesouices aie uepleteu. Lanu anu soil uegiauation aie some of the biggest
thieats to theii livelihoous, which uepenu on theii ability to giow foou to eat anu (in many
cases) sell ciops foi a small amount of neeueu cash. Cuiient piactices of woou anu chaicoal
use foi cooking anu heating also negatively effect theii livelihoous in a numbei of ways,
leauing to health (specifically iespiiatoiy anu eye) pioblems; incieaseu uefoiestation (anu
woisening lanu uegiauation); high amounts of time anu effoit spent on fuel collection anu
cooking; anu incieasing fuel costs iesulting in economic stiain (foi those who buy theii
fuel); among othei things. In many cases, these issues anu the faimeis' iesulting actions
exaceibate the veiy pioblems they aie uealing with. These majoi uifficulties (among othei
local issues) faceu by smallholuei communities aie woisening as time continues. Theii
influence on the futuie of foou secuiity anu the eaith continues to giow as vast amounts of
once-aiable lanu aie ienueieu peimanently uestioyeu.
In the meantime, the natuial enviionment is facing ongoing anu quickening
uestiuction. In auuition to the myiiau haimful consequences of uefoiestation on the
giounu, emissions fiom uefoiestation anu inefficient biomass buining aie joining the
gieenhouse gases in the atmospheie in speeuing up climate change.
Some lanu uegiauation iemeuies mentioneu pieviously (such as tiee planting,
agiofoiestiy, etc.) have been auopteu in some places. Bowevei, none of these iemeuies
have been successfully uiffuseu on a wiuespieau basis to smallholuei communities aiounu
the woilu. Theie is a neeu foi a fast-acting, long-lasting, agiicultuie-baseu iemeuy that is
auoptable by smallholuei faimeis. The system suiiounuing it shoulu compiehensively
auuiess social, economic anu enviionmental smallholuei issues.

S2
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The oveiaiching question is: -7= A: :<<:G>HW:9M 7BB@:?? >J: ?V799J;9B:@ H??F:?
B:?G@H8:B H= -J7K>:@ T F?H=U 8H;GJ7@ ?M?>:V?X

To answei this question, theie aie a numbei of moie specific questions we must
investigate.

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When looking at the pioblems both faceu anu contiibuteu to by smallholuei
agiicultuie alongsiue oui cuiient knowleuge of biochai anu its histoiy, theie appeai to be
ceitain compatible themes. Faimeis stiuggle with soil uegiauation; biochai appeais to be
especially effective at betteiing pooi, uegiaueu soils. Yielus aie meagei uue to leaching of
nutiients fiom soil; biochai can aiu in nutiient ietention. Pooi soils will yielu ciops foi only
a couple yeais befoie ueclining; biochai can boost feitility anu keep the same lanu
woikable foi many yeais on enu. Bioughts shoiten seasons anu ieuuce ciop yielus aiounu
the woilu; biochai can aiu in moistuie ietention. Faimeis stiuggle to make theii uepleteu
soil feeu theii hungiy ciops; biochai piomotes anu haibois beneficial miciooiganisms anu
fungi. Amazonian soils can baiely piouuce intensively cioppeu yielus foi moie than two
yeais in a iow, /.''& D'./& soils continually yielu healthy, goou yielus.
With biochai, as opposeu to shoit-teim input "solutions" such as feitilizei
application oi slash-anu-buin, one neeu not iace a clock to get moie money foi feitilizei
each yeai oi to tiy to finu moie lanu to buin anu cultivate. Biochai ueliveis obseivable
benefits immeuiately (as uiscusseu in Chaptei 2), while also biinging long-teim benefits
that may last foi hunuieus to thousanus of yeais (as eviuenceu by /.''& D'./& anu scientific
stuuies). Biochai's peimanent impiovements (iefei to Chaptei 2), iesult in ongoing
benefits, incluuing continuous cultivation with plentiful yielus as well as the buffeiing of
extieme weathei events anu conuitions, in some cases saving entiie haivests; foi example,
biochai's ausoiption capacity anu moistuie ietention may pull a season's ciops thiough a
uiought peiiou. Biochai's peimanent impiovements to soils have the potential to gieatly
ieuuce the neeu to uefoiest foi cioplanu oi use uamaging, shoit-teim inputs.
SS
In auuition to scientific eviuence anu fielu tiials that uemonstiate biochai's
beneficial effects, the histoiy of /.''& D'./& anu its gieat impact on the pie-Columbian
Amazonian societies is fuithei eviuence that biochai can be useful to iemeuy many
agiicultuial pioblems faceu by smallholuei faimeis.
A simple answei is 7.? X ;"#$%&' $#905 ;. & 9?.)90 '.-.57 )#' /%. 0&+5 5.2'&5&/"#+
D'#;0.-? )&$.5 ;7 -&+7 ?-&00%#05.' )&'-.'?. Bowevei, being a K"5.?D'.&5 iemeuy uepenus
on many moie factois, incluuing success in uiffusion of biochai systems.
It must be iemembeieu that lanu uegiauation is inteiconnecteu with many othei
pioblems (as uiscusseu in Chaptei S). Beyonu looking at biochai as solely a soil
iemeuiation tool, it is impoitant to investigate othei benefits that biochai systems have the
potential to integiate, anu the benefits these systems as a whole coulu biing to smallholuei
agiicultuie communities.

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Inueeu, some people have inueeu tuineu theii attention to biochai systems foi the
puipose of iemeuying some of the many inteiconnecteu pioblems that aie common in
smallholuei communities. The past uecaue has seen tiemenuous giowth in inteiest anu
execution of smallei-scale, ueveloping woilu context biochai piojects. Chaptei S piesents
anu analyzes thiee uiffeient case stuuies of cuiient biochai system uiffusion piojects in the
ueveloping woilu smallholuei context. These case stuuies look at Nu0-iun biochai-ielateu
piojects in smallholuei communities in Baiti, Costa Rica anu Inuia.

S4
A:$22)-29"# .-5'"E' ,*-.)$# +?+'": '".)5-2-4*"+
Seveial types anu vaiiations of biochai
technologies have been uevelopeu with intention
foi use in the iuial smallholuei community
context. Bue to many ciicumstances uiscusseu in
Chaptei S, these technologies must be cheap,
easily maue, anu piefeiably piouucible fiom
locally souiceu mateiials. This section intiouuces
a few uiffeient technologies that aie useu in the
Chaptei S case stuuies. All
1SS
of the technologies
that aie incoipoiateu anu funuamental to the
biochai systems in the Chaptei S case stuuies use
Top-Lit 0puiaft (TL0B) gasification, which was
uesciibeu in Chaptei 2 anu is pictuieu in Figuie 14.
1S4

D*-.)$# .--;+'-7"+
Biochai cookstoves aie a cential component to the piojects in Costa Rica anu Inuia.
Theie aie many uiffeient uesigns anu vaiiations of biochai cookstoves, but most use TL0B
gasification technology. They
use biomass as fuel, which is
put insiue of the stove
chambei. It is then pyiolyzeu
(tuineu into biochai) uuiing
the cooking piocess (uue to
contiolleu oxygen flow). The
pyiolysis gases fiom the
biomass aie buineu at the top

1SS
Note: The Inuia pioject also uses methous othei than TL0B gasification because they have many uiffeient
stove mouels. Bowevei, many of theii stoves use TL0B gasification, which is by fai the most common small-
scale biochai piouuction piocess (anu is the only piocess uesciibeu in this papei).
1S4
Figuie cieuit: Inteinational Biochai Initiative.

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of the stove, cieating a clean flame foi cooking. Aftei cooking each meal, the biochai can be
emptieu foi latei use. Biffeient stove uesigns fit uiffeient biomass waste mateiials (e.g.
local agiicultuial iesiuues) to be useu foi fuel, anu uesigns can be mouifieu to meet specific
cooking neeus.
Bue to the TL0B technology, emissions aie gieatly
ieuuceu fiom tiauitional stoves. Foi example, laboiatoiy testing
of the stove useu in the Costa Rica Estufa Finca pioject showeu
ieuuctions in paiticulate mattei emissions by 92 peicent anu in
caibon monoxiue emissions by 87 peicent compaieu to an open
cooking fiie.
1SS
The Estufa Finca stove is pictuieu in Figuie 1S
1S6

on the pievious page.
The stoves aie also moie fuel-efficient, so fuel
collection time (oi money spent on fuel) is ieuuceu. The
Costa Rica pioject uiu pilot testing that yielueu a fuel use
uiop of 4u peicent foi beans anu 71 peicent foi
chicken.
1S7
Because biomass waste can be useu, fuel is
often ieauily available foi faimeis, anu cooking can be a means of uisposing of waste. The
impioveu efficiency of the stoves anu use of biomass waste is an alteinative to uefoiesting
foi cook fuel. Cooking time is also ieuuceu. The Costa Rica pioject pilot tests showeu an
aveiage cook time ieuuction to be between S1 anu 47 peicent, uepenuing on foou type.
1S8

This gives women moie fiee time to uo othei things.
Figuie 16
1S9
shows anothei biochai cookstove example fiom the Inuia "uoou
Stoves" pioject. This stove can take any type of biomass fuel.

1SS
Stacey Schultz. "Biochai Cookstoves Boost Bealth foi People anu Ciops." National ueogiaphic News.
}anuaiy 29, 2u1S. Web.
1S6
Photo cieuit: Ait Bonnelly (via Picasa).
1S7
Tom Teines, Susan Bolton, Ait Bonnelly. "Estufa FincaSantos Pilot Pioject Results Repoit." Apiil 8, 2u11.
SeaChai.oig. Web.
1S8
Teines, Bolton anu Bonnelly. "Estufa FincaSantos Pilot Pioject Results Repoit."
1S9
Photo cieuit: Sai Bhaskai Reuuy (via uoou Stoves website).
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Biochai ovens aie useu by all thiee Nu0s. They aie gieat foi scaling up the
piouuction of biochai, because with sole use of cookstoves foi biochai piouuction, it woulu
take quite a long time foi one stove to piouuce a significant amount.
A stanuaiu, uesign foi the smallholuei context that can often be locally souiceu
using a SS-gallon uium, a piece of sheet metal, anu a chimney fashioneu fiom coiiugateu
metal, as pictuieu in Figuie 17.
16u
These mateiials can usually be acquiieu quite cheaply in
ueveloping countiies, anu assembly takes only a mattei of a couple houis. This uesign uses
the same TL0B technology uesciibeu above. Piimaiy aii enteis thiough the bottom, anu
seconuaiy aii usually enteis neai the top of the uium. A chimney is useu to flaie the
pyiolysis gases (iathei than flaiing them at the top of a cookstove) anu cieate a natuial
uiaft (othei mouels cieate uiaft using bloweis). Theie aie many vaiiations of technology.
Accoiuing to Inteinational Biochai Initiative, a stanuaiu SS-gallon uium unit
typically piouuces about 8 to 12 kilogiams of
biochai pei batch.
161
ueneially, these kilns yielu a
mass of biochai that is 2u-Su% of the oiiginal
feeustock mass. Batches take fiom 1-4 houis. If
multiple ovens aie iun multiple times pei uay,
biochai can amass faiily quickly foi a small-scale
situation. This uesign can also be scaleu up by using
two SS-gallon uiums in the "}olly Rogei 0ven" oi "}-
R0" uesign, as pictuieu in Figuie 18
162
.
A vaiiation on this technology that use
similai mateiials is calleu a biochai './#'/. The
uiffeience is that the biomass is insiue an encloseu
chambei, so it is nevei lit on fiie. To achieve this, a
Su-gallon innei uium can be auueu to the oven
uesign uesciibeu above. Beat fiom the fiie outsiue

16u
Photo cieuit: Caibon Roots Inteinational (via website).
161
"Biochai Piouuction 0nits." A+/.'+&/"#+&0 !"#$%&' A+"/"&/",.. Inteinational Biochai Initiative, 2u1S. Web.
162
Photo Cieuit: Ait Bonnelly (via Picasa).
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S7
the encloseu chambei heats the biomass anu its pyiolysis gases escape anu aie buineu
outsiue the chambei. No oxygen enteis the insiue chambei; only pyiolysis occuis. Some
hybiiu TL0B-Retoit mouels have been uevelopeu, combining the two methous.
16S

N#""5 .)$#.-$2 ,#*L1"''"+
Bue to uemanu foi cheapei chaicoal
cooking fuel, the Baiti pioject uses biochai piouuceu
in TL0B ietoits to make compacteu chaicoal
biiquettes foi cooking. These biiquettes aie useu as
ieplacement foi iegulai cooking chaicoal - they can
be uioppeu iight into tiauitional stoves. The chai
they aie maue fiom is piouuceu fiom agiicultuial
waste, substituting foi uefoiesteu fuel. The biiquettes
aie also cheapei than iegulai chaicoal, anu they buin
cleanei anu hottei, shoitening the time iequiieu to
cook.
These biiquettes aie easily manufactuieu fiom
chai using hanu tools oi laigei piouuction tools, as
pictuieu in Figuies 19
164
anu 2u.
16S

6%. ?-&00%#05.' ;"#$%&' /.$%+#0#27 ?"/9&/"#+
This section uemonstiates that theie &'.
biochai technologies that fit the smallholuei context.
Biochai cookstoves, ietoits, anu gieen chaicoal biiquettes uo not iepiesent all smallholuei
context biochai-ielateu technologies. Bowevei, they aie often cential innovations foi

16S
Biist, Petei. "Ch. 1u: Fiom Collieis to Retoits." 6%. !"#$%&' M.,#09/"#+. Eu. Paul Tayloi. Nt. Evelyn, victoiia,
Austialia: ulobal Publishing uioup, 2u1u. Piint. 14u-142.
164
Photo cieuit: Biochai Inuia website.
16S
Photo cieuit: Caibon Roots Inteinational (via Facebook).
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S8
smallholuei context uiffusion piojects. It is woith noting the integiative natuie of these
technologies anu the ways in which they can combine to auuiess multiple pioblems.

'VK;@>7=> &:>7H9? <;@ 3H;GJ7@ 5?:. -;=BH>H;=H=U 7=B 7KK9HG7>H;=
It is impoitant to note that ceitain methous accompany biochai piouuction anu
application in oiuei to maximize its benefits. When biochai is taken stiaight fiom
piouuction anu applieu to soil without any conuitioning, it has been founu to be less
effective than if it chaigeu with nutiients anu inoculateu with living oiganisms. Also,
applying iaw biochai that has not been given a chance to absoib anything yet can iun the
iisk of tempoiaiily binuing up soil nutiients that aie neeueu by plants.
166

Soaking biochai in nutiient anu miciooiganism iich solution helps to inoculate the
biochai poies with nutiients anu miciooiganisms. 0ne iecommenueu way to uo this is to
mix biochai with compost, compost tea, oi manuie, letting it sit foi a few weeks befoie
application.
167
Chaiging with uiine (whethei fiom humans oi livestock) is anothei
effective chaiging piactice, especially if compost oi manuie isn't available.
Application technique is anothei impoitant uetail foi biochai uiffusion piojects.
Biochai is typically auueu uuiing the planting stage, anu shoulu be applieu neai the soil
suiface anu plant ioots - wheie miciobial activity is high.
168
The amount of biochai that
shoulu be auueu vaiies gieatly uepenuing on the biochai anu soil conuitions, so testing
(local fielu tiials) is iecommenueu. Accoiuing to }ulie Najoi, "at this time, insufficient fielu
uata is available to make geneial iecommenuations on biochai application iates accoiuing
to soil types anu ciops.often when seveial iates aie useu, the plots with the highei
biochai application iate show bettei iesults."
169
Accoiuing to }ames }oyce, the amount of
conuitioneu biochai that is geneially auueu to soils in within the iange of 2 to 2u tons of
biochai pei hectaie (equivalent to .2 to 2 kilogiams pei metei squaieu; .2 to 2% by soil
weight; .S - S% by volume. See souice foi moie uetails).
17u
Specific application technique

166
}oyce, }ames. "Ch. 1S: Conuitioning Biochais foi Application to Soils." 6%. !"#$%&' M.,#09/"#+. Eu. Paul
Tayloi. Nt. Evelyn, victoiia, Austialia: ulobal Publishing uioup, 2u1u. Piint. P. 2S2.
167
}oyce, "Ch. 1S: Conuitioning Biochais foi Application to Soils." P. 2S2.
168
}oyce, "Ch. 1S: Conuitioning Biochais foi Application to Soils." P. 241.
169
Najoi, }ulie. "uuiuelines on Piactical Aspects of Biochai Application to Fielu Soil in vaiious Soil
Nanagement Systems" Inteinational Biochai Initiative. 2u1u.
17u
}oyce, "Ch. 1S: Conuitioning Biochais foi Application to Soils." P. 242.
S9
shoulu be chosen baseu on local conuitions, taking caie to minimize uust anu avoiu winu
eiosion anu suiface iunoff.

-J7K>:@ NDO. 37@@H:@? >; 3H;GJ7@ !M?>:V %B;K>H;= H= >J: !V799J;9B:@ -;=>:Y>
The biochai technologies above auuiess multiple smallholuei issues, incluuing soil
iemeuiation, inuooi aii pollution, anu uefoiestation. These technologies uemonstiate
potential foi integiative biochai systems that seive the smallholuei context. If biochai
coulu be gieatly beneficial to smallholuei agiicultuie anu iemeuy othei smallholuei
pioblems as well, why uon't smallholuei communities simply auopt biochai technologies.

()$' $#" ')" ,$##*"#+ '- $9-8'*54 ,*-.)$# +?+'":+ >-# +:$22)-29"# .-::15*'*"+/

=+)&-"0"&'"/7 #' 0"-"/.5 G+#K0.52.
0ne of the most obvious ieasons people who coulu benefit fiom biochai uon't use it
is because they have no-to-limiteu knowleuge about it. While some communities use chai
in soil anu have been foi centuiies, biochai systems aie still consiueieu "new" technologies
to these places because they use uiffeient technology anu guiuelines. Foi example, most
tiauitional chai piouuction techniques ielease haimful emissions into the enviionment (as
pieviously uiscusseu) anu aie consiueieu inefficient uue to low chai yielus. In many cases,
these methous still cause uefoiestation anu lanu uegiauation pioblems. Biochai systems
uiscusseu in this papei have the potential to biing agiicultuial, economic, social anu
enviionmental, benefits even to places that tiauitionally piactices agiicultuial chaicoal.
0thei smallholuei agiicultuie communities iemain completely unfamiliai with the
concept of biochai. Some aie even unfamiliai with oiganic biomass application. Begiees of
familiaiity with the concepts involveu in biochai uiffei, but no iuial smallholuei
community caiiies full iesouices anu knowleuge of biochai systems unless uiffusion has
iecently occuiieu theie.

C"))9?"#+ #) /.$%+#0#2".? "? $#-D0"$&/.5
A) ;"#$%&' $#905 2'.&/07 %.0D ?-&00%#05.' $#--9+"/".? /%&/ 5#+L/ G+#K &;#9/ "/S K%7
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6u
Technology uiffusion is a complicateu subject that has been acauemically examineu.
Looking into liteiatuie on uiffusion helps to iuentify possible baiiieis to biochai auoption
on a moie specific level, as well as how they can be avoiueu anu how to go about the
uiffusion piocess.
Chaptei 4.S ieviews liteiatuie on the uiffusion of innovations, focusing specifically
on uetails that aie ielevant to biochai uiffusion in iuial smallholuei agiicultuie
communities. The main souice is the book, "Biffusion of Innovations,"
171
by Eveiett N.
Rogeis, a well-known scholai who populaiizeu the uiffusion of innovations theoiy.
The following ieview helps in foimulating hypotheses anu peifoiming analysis on
the impoitant question: ()$' .$5 $ .)$54" $4"5' 9- '- *5.#"$+" ')" 2*;"2*)--9 ->
+1.."++ -> ')" 9*>>1+*-5 -> ,*-.)$# +?+'":+ '- +:$22)-29"# .-::15*'*"+/

[/%.' '.0.,&+/ ;&''".'?3 D#,.'/7 /'&D? &+5 '"?G &,#"5&+$.
Befoie launching into uiffusion theoiy, a couple moie possible baiiieis to uiffusion
must be acknowleugeu. Poveity tiaps, as uiscusseu in Chaptei S, may leave pooi faimeis
unable to auopt biochai piactices even if they woulu like to. While othei faimeis may be
financially able to auopt, iisk avoiuance anu conseivative choices of faimeis living on the
maigin may uetei uiffusion. Lanu tenuie situations may also piesent a baiiiei in some
places, because faimeis have no incentives to make long-teim investments in lanu that
might not be theiis (oi theii kin's) in coming yeais.

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The puipose of examining uiffusion theoiy is to gain infoimeu insight about the
uiffusion piocess anu how it woiks. Bypotheses aie maue following this section, anu then
biochai system uiffusion case stuuies aie examineu anu analyzeu.

C"))9?"#+
VC"))9?"#+ "? /%. D'#$.?? ;7 K%"$% &+ "++#,&/"#+ "? $#--9+"$&/.5 /%'#92% $.'/&"+
$%&++.0? #,.' /"-. &-#+2 -.-;.'? #) & ?#$"&0 ?7?/.-8W X Eveiett N. Rogeis
172

171
Rogeis, Eveiett N. C"))9?"#+ #) A++#,&/"#+?8 New Yoik: The Fiee Piess, 199S. Piint.
172
Rogeis, S
61

Theie aie foui main elements in the uiffusion of
innovations: the innovation, communication channels,
time, anu a social system. At its most elementaiy foim,
the uiffusion piocess involves an innovation (a biochai
system), a paity with knowleuge of oi expeiience with
the innovation (pioject implementeis, also known as
"change agents"), a paity without knowleuge oi
expeiience with the innovation (iuial smallholuei
faiming communities, in this case), anu a communication
channel connecting the two paities.
17S

:%&+2. &2.+/?
A $%&+2. &2.+/ is an inuiviuual oi gioup who
influences the innovation-uecisions of inuiviuuals in the
uesiieu uiiection of the change agency. In this stuuy, the change agencies aie the Nu0s in
the case stuuies of Chaptei S: Caibon Roots Inteinational, SeaChai anu uE0. The
inuiviuuals who they aie attempting to influence aie the faimeis anu othei inhabitants of
the smallholuei agiicultuie communities they visit in Baiti, Costa Rica anu Inuia. The
innovation-uecisions iegaiu whethei oi not to auapt the biochai system intiouuceu by the
change agents.
174
The seven ioles of change agents aie uesciibeu in Figuie 21.
17S

Change agents aie usually euucateu piofessionals who aie heteiophilous fiom theii
typical clients. O./.'#D%"07 iefeis to the uegiee to which two oi moie inuiviuuals who
inteiact aie uiffeient in ceitain attiibutes, such as beliefs, euucation, social status, etc.
O#-#D%"07 iefeis the uegiee to which two oi moie inuiviuuals who inteiact aie similai in
these attiibutes.
176
This common heteiophily makes effective communication iegaiuing the

17S
Rogeis, 1u
174
Rogeis, 27-28
17S
Info souice foi Figuie 21: Rogeis.
176
Rogeis, 18-19
!:W:= @;9:? ;< GJ7=U: 7U:=>? in
the piocess of intiouucing an
innovation:

1. To uevelop a neeu foi
change

2. To establish an infoimation-
exchange ielationship

S. To uiagnose pioblems

4. To cieate an intent in the
client to change

S. To tianslate an intent to
action

6. To stabilize auoption anu
pievent uiscontinuance

7. To achieve a teiminal
ielationship

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62
innovation moie uifficult.
177
Foi this ieason, it is especially impoitant that change agents
make an effoit to get theii message acioss in a simple mannei using simple language.
Change agencies often employ &"5.?, people who aie at a lowei piofessional level
who aie homophilous with the aveiage citizen. B"5.? help to close the gap between the
change agencies anu the clients. In each case stuuy, theie is a high uegiee of heteiophily
between the change agents anu the smallholuei communities, although less so cultuially in
the case of the Inuian case stuuy. In the cases of Baiti anu Costa Rica, aiues fiom the local
communities aie hiieu, helping to biiuge the gap, because moie effective communication
occuis when it is moie homophilous.
178

+J: '==;W7>H;=
In this case, the innovation is not only biochai, but also whatevei action is uone
suiiounuing biochai - the technology, the application anu whatevei systems aie put in
place with its intiouuction.
A technology usually has two components: The fiist is the %&'5K&'. &?D.$/ - the
physical pait of the technology. In this case, the haiuwaie aspect is the technology foi
making the biochai, as well as any othei new technology in the biochai system. The othei
component is the ?#)/K&'. &?D.$/ - the knowleuge anu infoimation suiiounuing the tool.
179

This component constitutes eveiything that has to uo with making anu using biochai,
incluuing how to builu anu opeiate the technology, how to apply to the biochai, the ieasons
foi using the new system, anu how to paiticipate in whatevei biochai system is
implementeu, if it goes beyonu the inuiviuual level.
In the case of most biochai implementation piojects in smallholuei agiicultuie
communities (incluuing those uiscusseu in this papei), a biochai system is consiueieu a
"technology clustei." This means it incluues multiple uiffeient yet inteiielateu
technological elements.
18u
Although the exact stiuctuies anu technologies of biochai
systems uiffei, each one contains a way to make the biochai, a methouology of application,

177
Rogeis, 27-28
178
Rogeis, 28
179
Rogeis, 12
18u
Rogeis, 1S
6S
anu othei auuitional aspects, such as cookstove opeiation. The spieauing of each of these
innovations in the "set" is inteiuepenuent.

6%. "++#,&/"#+\5.$"?"#+ D'#$.??
The "++#,&/"#+\5.$"?"#+ D'#$.?? is when an inuiviuual (oi othei uecision-making
unit) goes thiough the uecision-making piocess about a newly intiouuceu innovation. Foi
the context of this papei, it is impoitant to be familiai with the innovation-uecision
piocess, because it is what smallholuei community membeis aie faceu with when a
biochai-ielateu pioject (such as the case stuuies in Chaptei S) comes to theii locality.
Theie aie five main stages of the innovation-uecision piocess, as shown in Figuie 22.
181

B5#D/"#+ iefeis to a uecision to make full use of an innovation as the best couise of
action available, while '.d.$/"#+ iefeis to a uecision not to
auopt an innovation. In the $#+)"'-&/"#+ stage, the
inuiviuual may ieveise theii pievious uecision (of
auoption oi iejection) if exposeu to conflicting messages
about the innovation (such as in the case of
5"?$#+/"+9&+$. of the tiactoi in Punjab, as tolu by
Rogeis).
182
If uiffusion is successful, auoption of
innovations usually occuis in a ceitain pattein that is
stietcheu out ovei any amount of time: At fiist, just a few
inuiviuuals auopt, then moie anu moie inuiviuuals stait
to auopt, then auoption iate shoots up anu then slows
back uown again. This uistiibution looks like an S-shapeu
cuive when it is plotteu on a cumulative fiequency basis
ovei time. The main point is that to hit a take-off point,
uiffusion neeus to ieach a ceitain thiesholu of auopteis -
geneially between 1u to 4u peicent of a population.
18S

181
Info souice foi Figuie 22: Rogeis, 2u-22
182
Rogeis, 2u-22
18S
Rogeis, 11, 22
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1) P5-=2"94" - when an
inuiviuual leains of the
innovation's existence anu
gains some unueistanuing of
how it functions.

2) &"#+1$+*-5 - when an
inuiviuual foims a favoiable
oi unfavoiable attituue
towaiu the innovation.

S) 6".*+*-5 - when an
inuiviuual engages in
activities that leau to a choice
to auopt oi ieject the
innovation.

4) G:82":"5'$'*-5 - when an
inuiviuual puts an innovation
into use.

S) <-5>*#:$'*-5 - when an
inuiviuual seeks
ieinfoicement of an
innovation-uecision that has
alieauy been maue.

64
<)$#$.'"#*+'*.+ -> *55-7$'*-5+
Theie aie five main chaiacteiistics of innovations that aie peiceiveu by inuiviuuals,
anu past ieseaich suggests that each of these chaiacteiistics affects the iate of auoption of
an innovation. The highei the peiceiveu ielative auvantage, compatibility, tiialability anu
obseivability anu the lowei the complexity, the highei the iate of auoption is likely to be.
184

In Chaptei S, this papei will analyze biochai system uiffusion case stuuies mostly
baseu on the chaiacteiistic of compatibility, but with some extia attention to obseivability
as well. Biiefei uesciiptions of the othei innovation chaiacteiistics (ielative auvantage,
complexity, tiialability anu obseivability) will be given below.
M.0&/",. &5,&+/&2. is the uegiee to which an innovation is peiceiveu as bettei than
the iuea it supeiseues. A host community foi a biochai pioject might ask, "Bow is this
biochai system bettei than what we aie uoing now." Theii peiception of ielative
auvantage will vaiy baseu on the biochai system itself, the community's alteinative (what
they aie uoing befoie the system is intiouuceu), anu othei ielevant local factois.
:#-D0.Y"/7 is the uegiee to which an innovation is peiceiveu as uifficult to
unueistanu anu use. In this context, this peiception will vaiy uepenuing on a community's
piioi knowleuge anu expeiience with soil caibon, nutiients, inputs, etc. The peiceiveu
complexity will also vaiy uepenuing on a community's exposuie to technology in geneial,
as well as how the technology anu iueas aie taught. Biffusion of a biochai system will be
moie successful if the technology is easy to piouuce, leain anu unueistanu foi the local
people. An example baseu on the biochai-ielateu technologies uesciibeu above: Biopping a
new kinu of fuel into an existing stove is easiei (anu peiceiveu as less complex) than
leaining how to opeiate a new stove.
6'"&0&;"0"/7 is the uegiee to which an innovation may be expeiimenteu with on a
limiteu basis. In this context, tiialability will vaiy uepenuing on the biochai system, the
implementation techniques (aie they given fiee biochai oi othei incentives.) anu the
available time anu iesouices of potential auopteis.
18S

The last two chaiacteiistics of innovations, #;?.',&;"0"/7 anu $#-D&/";"0"/7S aie
uiscusseu in uetail in theii own sections below.

184
Rogeis, 1S-17
18S
Rogeis, 1S-17
6S

J,+"#7$,*2*'?
[;?.',&;"0"/7 is the uegiee to which the iesults of an innovation aie visible to
otheis.
186
In the context of this papei, obseivability uepenus on the pioject implementation
methouology anu how obseivable change agents aie able to make the biochai system anu
its iesults. They often using the help of community membeis. 0bseivability also uepenus
on community factois, such as how close togethei anu communicative people aie.
The impact that local community membeis can have on the obseivability of an
innovation is cential to a hypothesis stateu latei in this papei. The section below aims to
familiaiize the paits of uiffusion theoiy that uiscuss opinion leaueis anu eaily auopteis.

[D"+"#+ 0.&5.'? &+5 &5#D/.' $&/.2#'".?
0pinion leaueis pioviue infoimation anu auvice about innovations to many in the
system - in this case, to fellow smallholuei community membeis. "0pinion leaueiship is
eaineu anu maintaineu by the inuiviuual's technical competence, social accessibility, anu
confoimity to the system's noims." Inteipeisonal netwoiks allow opinion leaueis to be
social iole mouels. 0thei community membeis imitate theii innovative behavioi.
187

Baseu on innovativeness,
188
membeis of a social system can be classifieu into
&5#D/.' $&/.2#'".? X the innovatois, eaily auopteis, eaily majoiity, late majoiity, anu
laggaius.
189
Accoiuing to Rogeis, the most effective uiffusion stiategy is to taiget eaily
auopteis because they aie well iespecteu in the community yet on the same social level as
most otheis. Because of this, they have the stiongest opinion leaueiship. The eailiei
auopteis seive as iole mouels in the veiy-social piocess of uiffusion, much of which
consists of "the moueling anu imitation" by potential auopteis of those who have alieauy
auopteu.
19u
Community membeis ask eaily auopteis foi infoimation anu auvice about

186
Rogeis, 16
187
Rogeis, 26-28
188
Innovativeness iefeis to the uegiee to which an inuiviuual oi othei unit of auoption is ielatively eailiei in
auopting new iueas than the othei membeis of a system.
189
Establishing anu soiting into auoptei categoiies is uiscusseu in fuithei uetail in "Biffusion of Innovations"
Chaptei 7 (Rogeis).
19u
Rogeis, 2S7-274
66
innovations.
191
In all thiee case stuuies in Chaptei S, the stiategy of iuentifying anu
woiking with eaily auopteis is useu.
The case stuuy analysis in Chaptei S will exploie the inteisection between
obseivability anu opinion leaueiseaily auopteis baseu on the iuea that paiticulai
smallholuei community membeis anu theii actions, such as attenuing a biochai woikshop
oi applying biochai to theii fielus, may be especially visible to theii peeis.

<-:8$'*,*2*'?
:#-D&/";"0"/7 is the uegiee to which an innovation is peiceiveu as being consistent
with the existing values, past expeiiences, anu neeus of potential auopteis. The moie
closely an innovation fits with an inuiviuual's life situation, the moie compatible it is. The
less unceitainty an innovation piesents to an inuiviuual, the moie compatible it is. Foi
potential auopteis, compatibility "gives meaning to a new iuea," which makes it feel
familiai. Accoiuing to the uiffusion of innovations theoiy, "compatibility of an innovation,
as peiceiveu by membeis of a social system, is positively ielateu to its iate of auoption."
192

An innovation, in this case a biochai system, can be compatible oi incompatible in
multiple uiffeient ways. Thiee uiffeient subcategoiies of compatibility aie uiscusseu
below: compatibility with sociocultuial values anu beliefs; compatibility with pieviously
intiouuceu iueas; anu compatibility with client neeus foi the innovation. Foi biochai
system uiffusion, compatibility will vaiy baseu on uiffeient peiceptions uiffeient
communities.

:#-D&/";"0"/7 K"/% ,&09.? &+5 ;.0".)?
It an innovation is peiceiveu as incompatible with local cultuial values, uiffusion is
moie likely to fail. Nany change agents face the uifficult task of piomoting innovations that
aie not consistent with stiongly helu values in the host community. Cultuial
incompatibility sometimes occuis when an iuea uesigneu foi use in one cultuie is spieau to

191
See chaiacteiistics (socioeconomic status, peisonality values, anu communication behavioi) of eailiei
auopteis staiting on p. 269 of "Biffusion of Innovations" (Rogeis).
192
Rogeis, 224-242
67
a place with uiffeient cultuial values.
193
This is why it is impoitant look at biochai systems
in smallholuei communities on a case-by-case basis. Theie aie many othei ways anu
ieasons that cultuial incompatibility can occui, anu many examples in histoiy that
exemplify it.
0ne example given by Rogeis uesciibes how the people of a Peiuvian village woulu
not auopt the piactice of watei boiling (foi the puipose of health anu sanitation measuies)
because it uiu not fit with theii belief in a "hot-colu" system, in which hot foous aie linkeu
with illness anu boileu watei is only acceptable foi the sick. village cultuial noims piohibit
anyone who is not ill fiom uiinking boileu watei. The innovation, watei boiling, was
incompatible with theii cultuial beliefs, anu was theiefoie iejecteu by 9S peicent of the
population.
194

In the 196us, "miiacle" iice vaiieties (along with heavy chemical inputs) weie
spieauing iapiuly thiough Asia, as much as tiipling yielus. Bowevei, the ciop bieeueis hau
not paiu attention to taste. Faimeis in South Inuia (anu othei locations) iepoiteu that the
new vaiiety tasteu weiiu, anu continueu to plant theii own tiauitional iice foi eating with
family. The miiacle iice was taken to maiket. Thiity yeais latei, faimeis weie still giowing
theii tiauitional iice vaiieties foi peisonal consumption, anu the miiacle iice was selling
foi 2u peicent less than local vaiieties. The incompatible taste of miiacle iice blockeu its
auoption into the uaily meals of faimeis anu otheis.
195

Nany othei examples of incompatibility with values anu beliefs aie given, incluuing
Inuia's peisistent noim against eating foou with the left hanu (of which the ieasons have
long expiieu) anu Ameiican faimeis' iesistance to auopting soil conseivation innovations,
which they peiceive as conflicting with faim piouuction inciease (a stiong value of
theiis).
196

The stiong piesence of social noims (which can be a baiiiei to change) anu the
peivasive phenomenon of moueling behavioi in eveiy social system magnifies the
impoitance of cultuial compatibility. Even if a biochai system oi system component has the

19S
Rogeis, 224-22S
194
Rogeis, 1-S
19S
Rogeis, 224-22S
196
Rogeis, 224-22S
68
potential to biing significant benefits to auopteis, if community opinion leaueis peiceive it
to be misaligneu with the local noims, values anu beliefs, the piospects foi uiffusion coulu
be iuineu - community membeis who mouel theii behavioi on those opinion leaueis will
imitate theii uecisions of iejection.
Nuch woik must be uone by the uesigneis of an innovation anu by change agents to
ensuie that the innovation is compatible with local values anu beliefs. In the smallholuei
context, this piinciple iefeis to the entiie biochai system - not only the technologies, but
also the concepts, piactices anu systems that suiiounu them. The peiceiveu compatibility
by local community membeis can even be affecteu by how a biochai system is piesenteu.

:#-D&/";"0"/7 K"/% D'.,"#9?07 "+/'#59$.5 "5.&?
Compatibility of an innovation is affecteu not only by ueeply embeuueu cultuial
values but also by pieviously intiouuceu iueas anu piactices. The main mental tools useu to
assess new iueas aie olu iueas, since innovations aie uealt with baseu on the familiai.
"Pievious piactice pioviues a familiai stanuaiu against which an innovation can be
inteipieteu, thus uecieasing unceitainty." Similaiity of an innovation with its pieceuing
technology can eithei speeu up oi holu back its iate of auoption.
197

In the case of biochai systems, theie aie many components that aie similai to
pieviously intiouuceu oi piacticeu iueas in local communities; howevei, these histoiical
piactices anu familiai concepts vaiy fiom place to place. While some places aie familiai
with using chaicoal in soil - a similai concept to biochai, this piactice is completely foieign
in othei places, as aie the concepts behinu it. Applying inputs oi any kinu oi oiganic mattei
to fielus is quite uiffeient fiom biochai, but is baseu upon some ielateu concepts.
Compatibility with pieviously intiouuceu iueas of a given biochai system coulu be veiy
high in one community anu veiy low in anothei - it stiongly uepenus on local factois
ielating to familiaiity of uiffeient concepts anu piactices.
The concept of compatibility with pieviously intiouuceu iueas is moie complicateu
than it might seem. Rogeis wiites of some cases wheie peiceiveu compatibility of a new
iuea with pievious expeiience leu to auoption, but then to incoiiect use of the innovation.

197
Rogeis, 22S-226
69
0ne example he gives is of the intiouuction of tiactois to Punjabi faimeis:

Tiactois weie peiceiveu as giving social piestige to the ownei, much as hau the bullocks that the
tiactoi ieplaceu as a means of faim powei anu as tianspoitation to maiket towns. Punjabi faimeis,
howevei, uiu not caiiy out basic maintenance of theii tiactois, such as cleaning the aii filteis anu
ieplacing the oil filtei. As a iesult, a new tiactoi typically bioke uown aftei a yeai oi two, with the
faimei often failing to iepaii it.To Punjabi faimeis.cleaning the aii filtei anu changing the oil filtei
on theii tiactoi was not compatible with theii pievious expeiience with caiing foi theii bullocks.
198

Anothei example given by Rogeis is of the intiouuction of chemical feitilizeis anu
pesticiues to a Colombian peasant community:

Faimeis applieu chemical feitilizeis on top of theii potato seeu, (as they hau uone with cattle
manuie), theieby uamaging the seeu anu causing a lowei yielu. 0thei peasants excessively spiayeu
theii potatoes with insecticiues, tiansfeiiing to the new iuea theii olu methous of wateiing theii
plants. uiven theii lack of unueistanuing of the piinciples - knowleuge of how chemical feitilizei anu
insecticiues affecteu potato yielus, the Colombian faimeis gave meaning to these innovations in
teims with which they weie familiai.
199

These examples show that piesumeu compatibility with a pieviously intiouuceu
iuea can cause #,.'&5#D/"#+ oi -"?&5#D/"#+. It is impoitant to be cognizant of this
phenomenon when uiffusing of biochai systems, because they contain many elements that
aie similai to olu iueas that exist in many places, but iequiie ceitain mouifications to olu
piactices. 0ne example is the step of conuitioning the biochai befoie it goes into the soil. If
biochai is iegaiueu anu tieateu as a new kinu of feitilizei, faimeis may skip the
inoculationchaiging piocesses, which woulu be likely to uepiess biochai's immeuiate
benefits (as pieviously uiscusseu in Chaptei 4.2). Similaily, if the technology of a given
biochai cookstove is not piopeily maintaineu, as in the case of the tiactois in Punjab, it
may continue to cook foou but the auueu benefits (pollution ieuuction, biochai piouuction,
cook time impiovements, etc.) may cease to function, uefeating its puipose. If the usei's
pievious cookstove uiu not iequiie any maintenance anu the biochai stove is peiceiveu as
a similai object with similai tieatment, the usei is unlikely to peifoim maintenance on a
biochai stove (if neeueu) unless specifically instiucteu on how to uo so. This coulu leau to
ieveiting back to using the olu stove - 5"?$#+/"+9&+$..
This phenomenon has actually been uiscoveieu to be a pioblem in the clean cooking
sectoi. Theie is a uevelopment movement suiiounuing the uiffusion of clean cookstoves

198
Rogeis, 226
199
Rogeis, 226
7u
(this existeu befoie biochai cookstoves became a new pait of it), anu theie have alieauy
been vaiious cookstove piojects aiounu the woilu. Bowevei, the lasting effect of these
piojects was questioneu, anu a stuuy by Rema, Buflo anu uieenstone, "0p in Smoke: The
Influence of Bouseholu Behavioi on the Long-Run Impact of Impioveu Cooking Stoves,"
founu that usage of uiffuseu clean cookstoves hau often uioppeu off aftei a couple yeais in
ieal woilu settings. "The uiffeience between the laboiatoiy anu fielu finuings appeais to
iesult fiom householus' ievealeu low valuation of the stoves. Bouseholus faileu to use the
stoves iegulaily oi appiopiiately, uiu not make the necessaiy investments to maintain
them piopeily, anu usage iates ultimately ueclineu fuithei ovei time."
2uu
These iesults aie
ielevant anu impoitant to the uiffusion of biochai cookstove technology, which is veiy
similai but has some uistinct chaiacteiistics that coulu be uefining. Biffuseis shoulu be
especially awaie of the possibility of uiscontinuance of the cookstoves.
Change agents play a significant iole in peiceiveu compatibility with pieviously
intiouuceu iueas. Rogeis gives an example of the uiffusion of Roman Catholicism in Eastein
Pueblo Inuians veisus Westein Pueblo Inuians: Eastein Pueblos, who hau a "heavily
patiilineal, fathei-oiienteu" family stiuctuie, embiaceu the ieligion, while Westein
Pueblos, who hau "mothei-centeieu" beliefs, iejecteu the ieligion. "Peihaps if the change
agents hau been able to emphasize the female-image aspects of Catholicism (such as the
viigin Naiy), they woulu have achieveu gieatei success among the Westein Pueblo tiibes,
speculates Rogeis.
201

The mannei in which change agents teach anu fiame biochai systems is ciitical to
its locally peiceiveu compatibility. Nany factois shoulu be taken into account, such as the
language useu (geneially, acauemic jaigon shoulu be avoiueu), the concepts uesciibeu, anu
the uepth of uesciiption. Biffusion appioach shoulu change in uiffeient places baseu on the
pievious histoiy, knowleuge anu iueas of a community.

2uu
Bannah, Rema, Esthei Buflo anu Nichael uieenstone. "0p in Smoke: The Influence of Bouseholu Behavioi
on the Long-Run Impact of Impioveu Cooking Stoves." Social Science Reseaich Netwoik. Apiil 16, 2u12. Web.
2u1
Rogeis, 227
71
A+5"2.+#9? G+#K0.52. ?7?/.-?
Pait of auheiing to compatibility with pieviously intiouuceu iueas is iemembeiing
that eveiy community alieauy has its own iueas, whethei they ueiive fiom the community
itself oi fiom elsewheie. Accoiuing to Rogeis, change agents sometimes foiget this fact anu
the fact that people evaluate innovations baseu on theii pievious expeiiences with
something they consiuei similai. When they make this mistake, it often pioves pioblematic
foi the uiffusion of theii innovations:
2u2

Change agents anu otheis who intiouuce an innovation often commit the .-D/7 ,.??.0? )&00&$7 by
assuming that potential auopteis aie blank slates who lack a ielevant expeiience with which to
associate the new iuea.Why aie inuigenous knowleuge systems often ignoieu by those inuiviuuals
intiouucing an innovation. A stiong belief in the ielative auvantage of the new iuea often leaus
technociats to assume that existing piactices aie so infeiioi that they neeu not be consiueieu at
all.Such a supeiioi attituue often leaus to the empty vessels fallacy, anu to the intiouuction of an
innovation that is peiceiveu as incompatible with the iueas that it seeks to ieplace.
2uS

To avoiu committing the empty vessels fallacy, change agents must seek to
unueistanu the local past expeiiences anu piactices that theii innovation woulu ieplace;
they must seek to compiehenu the local inuigenous knowleuge systems.
This lesson on accounting foi inuigenous knowleuge systems is quite impoitant
with iegaius to biochai system implementation in smallholuei agiicultuie communities,
some of which aie specifically inuigenous communities. Agiicultuie anu cooking - two
cultuial aspects that biochai systems often affect - aie often veiy connecteu to tiauitional
local piactices that must be caiefully leaineu anu iegaiueu. Agiicultuie anu cooking
piactices in the iuial ueveloping woilu aie also commonly peiceiveu (by people who have
gone thiough tiauitional westein euucation systems) as lacking mouein knowleuge anu
technology. It is impoitant foi change agents to leain about inuigenous knowleuge systems
in a given location anu to tiy to unueistanu how these systems can seive as a biiuge foi the
innovation - foi a biochai system.

2u2
Rogeis, 24u-242
2uS
Rogeis, 24u
72
:#-D&/";"0"/7 K"/% >..5?
Anothei uimension of an innovation's compatibility is the amount it meets a "felt
neeu." Fastei iates of auoption usually occui when felt neeus aie met.
204
Change agents go
in, in this case to a smallholuei community, anu seek to ueteimine the neeus of the local
community membeis. They then iecommenu innovations - in this case encompasseu in
theii biochai systems - that fulfill the ueteimineu neeus.
Beteimining the felt neeus of a community is not a simple mattei. Accuiately
assessing peiceiveu neeus iequiies lots of empathy anu connection with local community
membeis. To ueteimine local neeus foi innovations, change agents use many uiffeient
techniques. These incluue client suiveys, "infoimal piobing in inteipeisonal contacts" with
local inuiviuuals, anu local auvisoiy committees.
205

In the case of biochai systems, which can be uesigneu anu useu in many uiffeient
ways, this piocess of uiscoveiing local peiceiveu neeus is veiy impoitant anu useful.
Nultiple of the change agents in the Chaptei S case stuuies spent significant amounts of
time anu effoit assessing the neeus of theii local clients using some of the techniques
mentioneu. It paiu off - each sepaiate pioject was able to make aujustments to make theii
piojects moie compatible with the neeus of the communities they woik in.
Potential auopteis may not peiceive a neeu foi an innovation until they leain about
the innovation anu its consequences. When this is the case, change agents may seek to
invoke peiceiveu neeus among the local population. Bowevei, Rogeis notes that caution
must be taken when uoing this, oi else "the felt neeus upon which a uiffusion campaign is
baseu may be only a ieflection of the change agent's neeus, iathei than those of clients."
2u6

This iuea of cieating neeus within a population is quite ielevant to the uiffusion of
biochai systems because many people haven't heaiu of biochai, anu agiicultuial chaicoal
anu the concepts behinu it may be a completely foieign concept in some places. If people
aien't familiai with a ceitain kinu of iemeuy to pioblems that they face, they may not feel a
neeu foi the iemeuy.

2u4
Rogeis, 228-2S4
2uS
Rogeis, 228
2u6
Rogeis, 228
7S
A+$.+/",.?
In the context of pooi faimeis, the topic of incentives fits in nicely with
compatibility with neeus. A+$.+/",.? aie payments (theie aie many kinus - uiiect oi
inuiiect, cash oi othei benefits.) that aie given to clients in oiuei to encouiage a specific
behavioial change that biings about auoption of an innovation. The puipose of an incentive
is to inciease the uegiee of ielative auvantage of the innovation foi auopteis. Nany change
agents use incentives to inciease the auoption iates of theii innovations.
2u7

Incentives aie incluueu in this uiscussion of compatibility with neeus foi a few
ieasons. Fiist of all, monetaiy incentives coiiesponu with neeus of many smallholuei
faimeis because of the pooi economic situations anu livelihoous that many face. While a
small inciease in income is veiy unlikely to change the life of someone who is living quite
comfoitably, it can have a huge impact on someone who is living on the maigin. Seconu,
incentives can be uiiectly built into biochai systems, as they aie in some of the case stuuies
below. If ongoing monetaiy incentives aie built into biochai systems, it may woik like this:
"If I continue to piouuce biochai anu sell it back, I will have a highei monthly income. I
neeu a highei income to be able to buy new faim tools. Theiefoie, I will piouuce biochai
fiom my waste." 0i, peihaps a neeu foi agiicultuial chaicoal is alieauy felt, so biochai
alieauy has value: "If I use this new cookstove, I will have a fiee souice of chaicoal. I neeu
chaicoal foi my fielus. Theiefoie, I will use the cookstove."
These kinus of self-peipetuating, built-in incentives (as opposeu to one-time ueals)
iesonate with pooi faimeis who feel a neeu foi highei income in oiuei to meet livelihoou
neeus that aien't being met (e.g. healthcaie, euucation, oi whatevei is peiceiveu). Because
the incentives continue thiough time, auopteis aie continually encouiageu to keep using
theii new auoption.

:#-D&/";"0"/7 "? ?/'#+207 0"+G.5 /# ;"#$%&' ?7?/.- 5"))9?"#+
This liteiatuie shows that compatibility is a complicateu, multifaceteu, peiceiveu
chaiacteiistic of innovations that is of gieat influence anu impoitance in uiffusion. Its
application to the uiffusion of biochai systems in smallholuei communities is especially

2u7
Rogeis, 219-221
74
stiong, because communities aiounu the woilu that coulu benefit fiom biochai systems
have extiemely vaiieu cultuies, histoiies anu peiceiveu neeus (although similaiities aie
piesent among uiffeient communities as well). Compatibility will be fuithei exploieu anu
analyzeu as applieu to the case stuuies in Chaptei S.

-J7K>:@ NDN. 3H;GJ7@ !M?>:V &H<<F?H;= ,MK;>J:?:?
By examining some of the baiiieis to biochai system auoption as well as examining
some innovation anu uiffusion theoiy, hypotheses may be foimeu iegaiuing uiffusion of
biochai systems to smallholuei communities. Although theie aie many uiffeient aspects to
the uesign of a biochai system anu how to uiffuse it, this papei focuses on the impoitance
of $#-D&/";"0"/7 anu #;?.',&;"0"/7 when biinging biochai systems to iuial smallholuei
communities, in which people often have less expeiience with exposuie to new
innovations, anu aie theiefoie less likely to auopt them.
In answeiing the question above, "()$' .$5 $ .)$54" $4"5' 9- '- *5.#"$+" ')"
2*;"2*)--9 -> +1.."++ -> ')" 9*>>1+*-5 -> ,*-.)$# +?+'":+ '- +:$22)-29"# .-::15*'*"+/Q
focusing on compatibility anu obseivability of a biochai system is of gieat impoitance.
0thei aspects of the uiffusion theoiy aie impoitant, influential anu valuable to biochai
system uiffusion as well, but will not be fuithei analyzeu in this thesis.

<-:8$'*,*2*'? )?8-')"+"+
Accoiuing to the Biffusion of Innovations hypothesis, the highei the compatibility, the
bettei foi uiffusion (anu the highei the auoption iate). Compatibility is highei the moie
biochai system concepts aie familiai anu fit in with the local values, expeiiences anu
(peiceiveu) neeus. Baseu on these elements, theie aie a few uiffeient subsets of
compatibility: compatibility with values anu beliefs, compatibility with pieviously
intiouuceu iueas, anu compatibility with neeus. Below aie a few hypotheses connecteu to
these elements of compatibility anu uiffusion success. These will be applieu to the case
stuuies in Chaptei S.

7S
LD %B7K>H=U 7 8H;GJ7@ ?M?>:V >; <H> H= AH>J G;VVF=H>M >@7BH>H;=? 7=B W79F:? H? 9Hd:9M
>; H=G@:7?: >J: ?FGG:?? ;< BH<<F?H;=D

OD &H<<F?H;= ;< 8H;GJ7@ ?M?>:V? H? V;@: ?FGG:??<F9 H< >J:@: H? 7 JH?>;@M ;< ?HVH97@
K@7G>HG:?a ?FGJ 7? 7KK9MH=U GJ7@G;79 ;@ 7?J >; ?;H9D !M?>:V? ;@ ?M?>:V G;VK;=:=>?
>J7> 7@: 9:?? 9;G799M <7VH9H7@ 7=B G;VK7>H89: AH99 J7W: 9:?? ?FGG:??<F9 BH<<F?H;=D

TD &H<<F?H;= ;< 8H;GJ7@ ?M?>:V? H? V;@: BH<<HGF9> H= :Y>@:V:9M @F@79 G;VVF=H>H:? >J7=
H= 9:?? @F@79 G;VVF=H>H:? >J7> J7W: V;@: :YK:@H:=G: AH>J >J: ;F>?HB: A;@9B 7=B
AH>J H=>@;BFG:B H==;W7>H;=?D

ND % 8H;GJ7@ ?M?>:V >J7> 7BB@:??:? 7 W7@H:>M ;< K:@G:HW:B =::B? ;< >J: G;VVF=H>M H?
9Hd:9M >; H=G@:7?: >J: ?FGG:?? ;< BH<<F?H;=D

J,+"#7$,*2*'? )?8-')"+*+
0bseivability is the uegiee to which the iesults of an innovation aie visible to
otheis. Accoiuing to the Biffusion of Innovations theoiy, the highei the obseivability, the
bettei foi uiffusion (anu the highei the auoption iate). 0bseivability is highei the moie
visible the innovative aspects of a biochai system aie (these aspects being, foi example,
incieaseu yielus uue to biochai, oi cleanei stove emissions). Accoiuing to the Biffusion of
Innovations theoiy, in uepth communication with the local community is key. The .&'07
&5#D/.'? in a community seive as a iole mouel foi many citizens anu aie also moie likely to
initially tiy out a new innovation.
Below is a hypothesis baseu on the uiffusion liteiatuie iegaiuing the connection
between obseivability anu uiffusion success. It takes into account the iole community
membeis play in uiffusion. The hypothesis will be examineu as applieu to case stuuies in
Chaptei S:
'B:=>H<MH=U 7=B A;@dH=U AH>J d:M G;VVF=H>M V:V8:@? ^HD:D :7@9M 7B;K>:@?_ AH99
H=G@:7?: ;8?:@W78H9H>M ;< 8H;GJ7@ ?M?>:V 8:=:<H>?D +JH? H=G@:7?:B ;8?:@W78H9H>M AH99
9:7B >; H=G@:7?:B 7B;K>H;= @7>: ;< >J: K@;]:G> >:GJ=;9;UH:?D

Now that hypotheses conceining the uiffusion of biochai systems have been
establisheu, it is impoitant to look at ieal biochai system uiffusion case stuuies in oiuei to
test the hypotheses anu get a sense of what the uiffusion piocess is ieally like. Chaptei S
piesents thiee case stuuies accompanieu by an analysis section.
76

77
-J7K>:@ E. 3H;GJ7@ "@;]:G> 'VK9:V:=>7>H;= -7?: !>FBH:?
In the last uecaue, a numbei of biochai-ielateu piojects have been executeu in the
ueveloping woilu smallholuei community context. They use a vaiiety of technologies,
stiategies anu iueas. Nany of these piojects attempt to compiehensively auuiess multiple
smallholuei issues. Pioject implementation stiategies anu influential factois such as
location, situation, anu local cultuie vaiy wiuely thioughout these piojects.
The following case stuuies tell the stoiies of thiee of these biochai-ielateu uiffusion
piojects, each of which take place in the pooi, iuial, smallholuei community context. The
fiist one is the stoiy of a pioject in Baiti iun by Ameiican Nu0 Caibon Roots Inteinational
(CRI). The seconu is the stoiy of a pioject in Costa Rica that is iun by Ameiican Nu0
SeaChai. The thiiu is the stoiy of a pioject in Inuia iun by Inuian Nu0 ueoecology Eneigy
0iganization (uE0). Each of the wiitten case stuuies was constiucteu using infoimation
fiom peisonal inteiviews as well as public souices.
The puipose of examining these case stuuies anu of peifoiming peisonal inteiviews
with those involveu is to get a glimpse into the on-the-giounu iealities foi piojects like
these, anu to see how much local factois vaiy anu influence these uiffusion piojects. The
case stuuies aie piesenteu anu then analyzeu baseu on the compatibility anu obseivability
hypotheses stateu above, pioviuing valuable insight on how these uiffusion theoiies
influence the uiffusion of biochai systems in the smallholuei context. The hope is that this
analysis may be useful to uesign anu uiffusion of biochai systems in the futuie.

-J7K>:@ EDL. -7?: !>FBM L P ,7H>H ^-#'_
37GdU@;F=B
Caibon Roots Inteinational (CRI) is a non-piofit oiganization fiom Seattle,
Washington, 0SA. It was founueu in 2u1u, but theii biochai-ielateu woik, which takes
place in iuial smallholuei communities in noithein Baiti, uates back to 2uuS.
Although CRI has multiple biochai-ielateu piojects in Baiti, this case stuuy will focus
on theii piimaiy pioject, the Chai Social Enteipiise. Theii othei biochai-ielateu piojects
incluue biochai piouuction anu application woikshops, peanut fielu tiials foi aflatoxin
mitigation, anu biochai uemonstiation plots. Although technically sepaiate piojects, these
78
aie iefeienceu in the case stuuy when they inteilink with CRI's biochai-system uiffusion in
geneial. Co-founuei anu executive uiiectoi Eiic Soiensen was inteivieweu foi this stuuy
anu pioviueu valuable insight anu infoimation.
2u8

&:?G@HK>H;= 7=B G;=>:Y> P @F@79 ,7H>H
H$59 *5 K$*'*
[K+.'?%"D &+5 /.+9'.
Lanu is ielatively evenly uistiibuteu in Baiti. "Nost holuings aie small
(appioximately thiee acies), anu theie aie veiy few lanuless householus."
2u9
Nost piopeity
is piivately helu anu faimeu by what Soiensen uesciibes as "the aveiage smallholuei
faimei."
Theie is a high iate of lanu owneiship, but because of population giowth ovei the
last 2uu yeais anu the system of lanu inheiitance anu subuivision, most plots of lanu aie
quite small. Soiensen iepoiteu that while some people inheiit lanu neai iivei basins,
otheis aie stuck with lanu in the mountains wheie baiely any soil iemains uue to
uefoiestation anu iesulting eiosion.
21u
Lanu is noimally inheiiteu, bought anu solu without
official uocumentation oi lanu titles, but faimeis have ielative secuiity of theii lanu fiom
infoimal tenuie iules.
211
As uiscusseu in Chaptei S, this lanu tenuie situation alone woulu
be unlikely to uetei longei-teim lanu quality investment.

P&+5 5.2'&5&/"#+
Baiti has a seveie uefoiestation pioblem.
Although the countiy was once completely
foiesteu, less than 2 peicent of the countiy
iemains foiesteu to this uay. This uefoiestation
has causeu a high amount of soil eiosion, anu the
countiy now faces seveie lanu uegiauation

2u8
Eiic Soiensen. Peisonal Inteiview. 0ctobei 11, 2u1S.
2u9
"Baiti." Eveiycultuie.com. Auvameg, Inc. 2u1S. Web.
21u
211
"Baiti." Eveiycultuie.com.
1HUF@: OTD &:<;@:?>:Ba :@;BH=U JH99? H=
,7H>HD
79
pioblems that iesult in uecieaseu agiicultuial yielus anu uevastating lanusliues.
212

Soiensen uesciibeu how community elueis iecounteu the uays when Baiti was a jungle.
Now, they look to the hills anu often see ueseit oi iock uue to the uefoiestation anu
subsequent eiosion (see photo in Figuie 2S on the pievious page).
21S
This has a iipple
effect uown thiough the ecosystem. Long uioughts anu intense iains exaceibateu by
climate change anu iiiegulaiity cause intense floous. As a iesult, nutiients aie leacheu out
of the soil anu topsoil is washeu away.
214

0nly one-thiiu of the Baiti's lanu is consiueieu suitable foi cultivation uue to the
iuggeu teiiain. Bowevei, in 2uuS, 4u peicent of Baiti's lanu was being useu foi agiicultuie
(ciop piouuction, feeu piouuction, pastuie).
21S
This use of maiginal lanus fuithei
contiibutes to the uegiauation anu eiosion pioblems the countiy faces.

<&'-"+2 &+5 ?#"0 -&+&2.-.+/ D'&$/"$.?
Piactices vaiy in uiffeient paits of Baiti, but in the communities that CRI has woikeu
in anu visiteu, Soiensen uesciibeu that oftentimes nothing in the foim of caibon, oiganic
biomass oi compost gets uepositeu back onto the fielu. While he sometimes saw people
leave ciop iesiuues on theii fielus, he explaineu that, "many of theii cultivation piactices
call foi them to take the entiie plant off the fielu." In Soiensen's expeiience, the aveiage
faimei uoes not use any inputs oi iiiigation systems.
216

A-.*$2 .-5'"E'B K"$2')R ".-5-:*. $59 "57*#-5:"5'$2 .-5."#5+ -> .)$#.-$2 .-5+1:8'*-5
Nuch of iuial Baiti lives in extieme poveity. Foi the past couple uecaues, the
aveiage family income in iuial Baiti has shaiply ueclineu with an aveiage family of six
eaining unuei Suu uollais pei yeai.
217
Women cook theii foou using woou oi chaicoal in
inefficient stoves that piouuce haimful emissions, as uesciibeu in Chaptei S. Accoiuing to
the CRI website, moie than 9S% of Baitians iely on uefoiesteu chaicoal as theii main
eneigy souice. Because of this, Baiti's chaicoal piices aie veiy high compaieu to most

212
"Countiy Piofile: Baiti." Libiaiy of Congiess - Feueial Reseaich Bivision. Nay 2uu6. Web.
21S
Image cieuit: Tiees FoiTheFutuie via flicki. 2uu8. Web.
214
21S
"Countiy Piofile: Baiti." Libiaiy of Congiess - Feueial Reseaich Bivision. Web.
216
Eiic Soiensen. Peisonal Inteiview. October 11, 2013.
217
Haiti. Everyculture.com.
8u
ueveloping countiies, anu "an aveiage Baitian family might spenu ovei 4u% of income on
cooking fuel."
218
As eailiei uesciibeu, this chaicoal use also iesults in health conceins;
iampant uefoiestation anu iesulting lanu uegiauation; economic costs; time costs; anu
othei enviionmental conceins. 0ltimately, as shown in the
loop in Figuie 24,
219
chaicoal ieliance is ieinfoiceu.
22u

Theiefoie, chaicoal fuel use anu pooi soil (which iesults
in low agiicultuial piouuctivity) aie inteilinkeu anu pait
of the same pioblem.

"@;]:G> B:?HU=. 1HUF@: ;F> AJ7> K@;89:V? =::B >; 8:
7BB@:??:B
CRI went to Baiti to assess local neeus anu pioblems, suivey solutions, anu fiom
that, uesign a piogiam mouel baseu on community neeus. Although CRI staiteu theii
pioject with a sole focus on agiicultuie siue, they quickly iealizeu they coulun't auuiess the
soil anu agiicultuial piouuctivity pioblem in Baiti without also auuiessing what they saw
as the ioot cause of it, which was chaicoal consumption.
221

CRI hau alieauy hau a way to cheaply anu efficiently tuin agiicultuial waste into a
chaicoal uust (biochai), but they uiu not yet have a way to tuin it into fuel. By establishing
a paitneiship anu ieceiving the help of an oiganization in 0ganua calleu Eco-Fuel Afiica,
CRI was able to auapt some of theii sustainable fuel woik that they weie uoing to the
Baitian context while biinging in theii own biochai expeitise. Thiough this collaboiation,
CRI uevelopeu a maiket-baseu enteipiise mouel calleu the "Chai Social Enteipiise
mouel."
222

-J7@ !;GH79 $=>:@K@H?:
The chai social enteipiise is CRI's piimaiy pioject in Baiti, anu is known theie as
the "Chabon vet" pioject. It is baseu in Noithein Baiti, wheie CRI owns a 6-acie piouuction

218
"uieen Chaicoal." Caibon Roots Inteinational Inc. 2u1S. Web.
219
Figuie pioviueu by Eiic Soiensen.
22u
221
222
1HUF@: OND +J: GJ7@G;79 G;=?FVK>H;=
9;;K
81
centei locateu outsiue of Cap-Baitien. The enteipiise employs a uecentializeu netwoik of
ovei 6u smallholuei faimeis anu entiepieneuis who piouuce caibon-iich chai fiom theii
agiicultuial waste (such as sugaicane bagasse).
22S

:%&' D'#59$.' +./K#'G
CRI ieciuits piouuceis by appioaching faimeis anu micio-entiepieneuis who have
agiicultuial piocessing facilities in Baiti. "We tell them, we have a way that you can make
money off of youi waste. We will buy it fiom you anu be youi customei. Aie you inteiesteu
in that. ...Invaiiably, people say absolutely, because they want moie money. Especially with
iuial faimeis who make one to two uollais a uay, the piospect of any extia income pioves
to be quite attiactive to them."
224
CRI
tiains these entiepieneuis anu
inuiviuual small faimeis, builuing theii
"chai piouucei netwoik" - a netwoik of
chai piouuceis who have one to ten
biochai ovens, uepenuing on the
amount of agiicultuial waste they
geneiate.
CRI makes the ovens locally anu fiom local mateiials foi about $2S each, which
coveis mateiial, builuing, tianspoit anu ueliveiy costs. The ovens aie basic TL0B ovens
(uesciibeu in Chaptei 4.2). The faimeis anu entiepieneuis ieceive the ovens anu giauually
pay them off on a lease-to-own basis as they piouuce chai foi CRI. Tiaining on how to use
them takes a uay oi less. Then CRI tells the piouuceis, "We'ie going to come back next
week anu buy whatevei chai you've maue."
22S

This builus a supply chain foi the enteipiise. Soiensen iepoiteu that CRI has
ieciuiteu many of these piouuceis - both inuiviuuals anu entiepieneuis - anu the numbei
is giowing eveiy month. CRI visits the piouuceis on a weekly basis to puichase whatevei
chai they've maue. "A little bit of that goes to pay off the oven, but foi the vast majoiity of it

22S
"Chai Social Enteipiise." Caibon Roots Inteinational Inc. 2u1S. Web.
224
22S
1HUF@: OED -J7@ K@;BFG>H;= H= >J: +25& ;W:=?D
82
they get cash." CRI biings the chai back to theii piouuction centei wheie they piouuce two
piouucts: gieen chaicoal cooking biiquettes anu biochai.
226

H'..+ :%&'$#&0
The gieen chaicoal biiquettes aie maue fiom
the caibonizeu agiicultuial waste at CRI's piouuction
centei, which employs moie than a uozen staff
membeis.
227
The biiquettes can be useu as "uiop-in"
ieplacements foi tiauitional chaicoal (shown in
Figuie 26 anu 27).
228
Accoiuing to Soiensen, they
buin longei, hottei anu cleanei.
229
A gieen chaicoal
veisus woou chaicoal YouTube uemonstiation showeu
that the biiquettes boil watei (appioximately 1.S liteis)
foui minutes fastei than the tiauitional chaicoal.
2Su

Soiensen emphasizeu that the biiquettes iequiie no new
stove technologies oi changes in cooking methous, which
"significantly amelioiates key obstacles that plague new
cook stove anu alteinative fuel technologies."
2S1
Also, the
biiquettes, which aie solu by a netwoik a women chaicoal ietaileis, aie 1S-2u peicent
cheapei than tiauitional chaicoal.

`b D.'$.+/ ;'"R9.//.?S Ub D.'$.+/ ;"#$%&'
CRI uses 8u peicent of the chaicoal uust (known as "chai") bought fiom the
piouucei netwoik to piocess into biiquettes. The iemaining 2u peicent of the chai is
uevoteu towaius biochai (foi soil application). Theie aie a few ieasons 8u peicent of the
chai gets tuineu into biiquettes. Fiistly, biochai uoes not yet have a ieauy maiket in Baiti

226
CRI "Chai Social Enteipiise."
227
CRI "Chai Social Enteipiise."
228
Photo cieuit: Caibon Roots Inteinational (via theii website).
229
2Su
"CRI's gieen chaicoal vs woou chaicoal compaiison." Caibonioots YouTube Channel. Posteu Nay 17, 2u1S.
Web.
2S1
CRI "uieen Chaicoal."
1HUF@: O[D )@::= GJ7@G;79 8@HeF:>>:?
?V;9B:@ H= 7 >@7BH>H;=79 ,7H>H7= ?>;W:
1HUF@: OID )@::= GJ7@G;79 8@HeF:>>:? 7@:
97HB ;F> >; B@M 7> -#'f? K@;BFG>H;=
G:=>:@D
8S
(see uiscussion below). Because the goal foi the enteipiise is foi it to become financially
sustainable, they must sell a piouuct (the biiquettes) to make ievenue. Also, Soiensen
explaineu, even though the soil pioblem in Baiti is extiemely bau, the chaicoal cooking fuel
pioblem (incluuing uefoiestation, fuel piice anu health pioblems) is even an even moie
acute, piessing neeu.
2S2

Q;@dH=U AH>J ,7H>Hf? 8H;GJ7@ V7@d:>
6%. +#+.Y"?/.+/ ;"#$%&' -&'G./ "+ O&"/"
Soiensen explaineu that biochai uoesn't have a ieauy maiket in Baiti foi a numbei
of ieasons. "The biggest ieason is poveity anu the fact that people in Baiti ieally uon't
spenu any money on any soil inputs, so ieally no feitilizei, whethei oiganic oi chemical."
2SS

Because of this, CRI can't easily sell biochai to stiangeis. Even if local faimeis weie
inteiesteu, many of them live in seveie poveity, anu accoiuing to the poveity tiaps theoiy,
they woulu not be able oi inclineu to spenu money on a longei-teim, unfamiliai
investment. The extieme poveity situation in Baiti uefinitely piesents gieat challenges to
cieating uemanu foi biochai; extieme poveity is uefinitely a potential baiiiei foi the
uiffusion of biochai systems.
So fai, CRI has solu biochai on a limiteu basis mostly to agiicultuial Nu0 piojects.
Bowevei, CRI's long-teim goal with biochai is to uo moie ieseaich anu lay a founuation foi
a local biochai maiket. The biochai woik is cuiiently subsiuizeu by the gieen chaicoal
piouuction.
2S4

!9"05"+2 /%. ;"#$%&' -&'G./
The 2u peicent of the piouuceu chai that is uevoteu to biochai is useu foi fielu
tiials, uemonstiation plots, anu giving biochai back to the oiiginal piouuceis so they can
put it in theii soil. Soiensen explaineu that this system has many benefits foi the pioject:
"0ne.it's going towaius iebuiluing theii soil. Two, the moie biochai we get into the soils of
faimeis, the moie benefits these communities will obseive, anu that's a potential way to

2S2
2SS
2S4
84
builu a local maiket foi biochai in a long iun. Thiee, once these faimeis stait having highei
agiicultuial piouuctivity thiough the use of biochai, it will iaise theii incomes. They will
have moie foou to sell, anu they'll have moie agiicultuial waste to tuin into chaicoal, which
feeus oui mouel."
2SS

<".05 /'"&0? &+5 5.-#+?/'&/"#+ D0#/?
CRI is cuiiently oveiseeing many uemonstiation anu test plots. Plots iotate
uepenuing on the season, but ciops they aie testing incluue tomatoes, soighum, cassava
anu peanuts.
2S6
The peanut tiial is especially significant, because they hypothesize that
biochai will help mitigate the haimful, high aflatoxin content that many Baitian-giown
peanuts have.
2S7
CRI's test plots in Baitian
soils have yielueu significant incieases in
soil feitility, watei ietention anu ciop
yielus. Eaily auoptei local faimeis have
also planteu biochai ciops next to ciops
with no biochai supplementation, showing
a visible, favoiable uiffeience (as shown in
Figuie 28).
2S8
The CRI website notes theii
biochai tiials anu uemonstiation plots as
"peihaps the most poweiful tool to spui auoption of biochai use among Baiti's smallholuei
faiming communities."
2S9

!"#$%&' @#'G?%#D?
In auuition to theii main woik in theii home community, CRI has been holuing
biochai piouuction anu application woikshops in many uiffeient Baitian communities
since 2u1u. "CRI pioviues the supplies neeueu to builu seveial biochai ovens, which aie
uonateu to the host communities foi use aftei the uemonstiation is complete." They often

2SS
2S6
"Bemonstiation Plots." Caibon Roots Inteinational Inc. 2u1S. Web.
2S7
"Peanut Fielu Tiials." Caibon Roots Inteinational Inc. 2u1S. Web.
2S8
Image cieuit: Caibon Roots Inteinational (via theii website).
2S9
CRI "Bemonstiation Plots."
1HUF@: OSD % <7@V:@ ?>7=B? =:Y> >; JH? 8H;GJ7@ >@H79
AJHGJ ?J;A:B 7 JFU: BH<<:@:=G: H= MH:9B?D
8S
conuuct follow-up visits with eaily auopteis.
24u
Aftei these woikshops, some faimeis have
inueeu piouuceu anu applieu biochai, which has given them feitility anu ciop yielu
incieases.

C")).'.+$.? "+ 0#$&0 $#-D&/";"0"/7 &+5 "+/.'.?/ "+ &5#D/"+2 ;"#$%&' &? & ?#"0 &-.+5-.+/
When CRI was focusing mostly on auoption of biochai as a soil amenument, they
hau uiffeient expeiiences in uiffeient iegions of Baiti. "We lanueu in this extiemely iuial
aiea uue to oui oiiginal connection in Baiti.foi the amount of time anu eneigy spent to
convince people theie to tiy |biochaij we weien't veiy successful at getting them on boaiu.
Ceitainly some people in the community anu the seveial communities in that aiea thought
hey, I'll tiy this, but those aie the ones who weie eaily auopteis."
241

Bowevei, Soiensen noteu that when CRI membei Ryan Belaney helu biochai
woikshops in ovei 2u communities aiounu Baiti, "he ieceiveu a much moie positive
iesponse fiom those communities than the ones in which we weie baseu.Nany moie
people unueistoou biochai anu staiteu using it.We got much bettei feeuback anu
numbeis thiough those woikshops."
242
When askeu why he thought this uiffeience
occuiieu, Soiensen commenteu that "most of those iuial agiicultuial communities weien't
as cut off as the one we weie baseu in, anu I think that maue a huge uiffeience. They hau
some expeiience with othei types of new innovations. anu they hau access to ioaus anu
maikets to sell theii foou anu stuff. All those things put togethei ieally maue the uiffeience
as to whethei someone woulu be ieally inteiesteu veisus what we kept heaiing in oui
home community: 'This is gieat, but this is chaicoal. Can we cook with it.' So eventually we
took that to heait."
24S

24u
"Biochai Woikshops." Caibon Roots Inteinational Inc. 2u1S. Web.
241
242
24S
86
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37GdU@;F=B
SeaChai is a non-piofit fiom Washington State, 0SA. It was founueu in 2uu8 aftei
Piesiuent anu Chaiiman of the Boaiu Ait Bonnelly tiaveleu to iuial Panama wheie he
witnesseu teiiible iespiiatoiy uisease iate, especially among women, uue to inuooi aii
pollution fiom stoves. Be hau a backgiounu in fine aits anu metal woik, anu ueciueu to
uesign a stove that coulu cook in a cleanei way. Less than a yeai latei he heaiu about
biochai. Bonnelly uesigneu a stove that uses biomass foi fuel anu piouuces biochai uuiing
the cooking piocess, as uesciibeu in Chaptei 4.
244
Bonnelly was inteivieweu foi this case
stuuy anu pioviueu valuable insight anu infoimation.

*,&09&/"+2 D'#d.$/ D'#?D.$/?
Bonnelly was inviteu by a Costa Rican coffee faimei anu his oiganic piouuceis
alliance to tiavel to the Talamanca iegion of Costa Rica in }anuaiy, 2u1u foi a 6-week
evaluation of the feasibility of uoing a biochai stove pioject theie. The faimeis weie
inteiesteu in biochai, anu the migiant coffee pickeis liveu in uifficult conuitions with pooi
inuooi aii quality uuiing the picking season.
24S

By the enu of the yeai, 0niveisity of Washington anu the National 0niveisity of
Costa Rica weie involveu in the pioject as well. SeaChai ian a pilot pioject using a stuuy
gioup of S2 householus uuiing the haivest fiom Becembei to Naich, anu the iesults lookeu
encouiaging uue to high client satisfaction iepoits on suiveys (moie uetails below).
246
This
was the beginning of SeaChai's main biochai stove pioject, which is calleu Estufa Finca
("faim stove," in Spanish). This case stuuy focuses on the cuiient phase of the Estufa Finca
pioject, which is "hosteu by a 12uu membei oiganic cacao gioweis association
(APPTA)."
247
SeaChai intenus foi this uevelopment piocess to continue foi at least thiee
yeais.

244
Ait Bonnelly. Peisonal Inteiview. }uly S1, 2u1S.
24S
246
Tom Teines, Susan Bolton, Ait Bonnelly. "Estufa FincaSantos Pilot Pioject Results Repoit." Apiil 8, 2u11.
SeaChai. Web.
247
"Estufa Finca Pioject." SeaChai. 2u1S. Web.
87
6"+.#*8'*-5 $59 .-5'"E' -> 8#-S".' *5 ')" !$2$:$5.$ #"4*-5 -> <-+'$ 0*.$
SeaChai woiks in iuial communities in Talamanca, which is Costa Rica's pooiest
iegion. It is a tiopical iainfoiest iegion in the southeastein pait of the countiy. 0ne of
SeaChai's main pioject locations is the Biibii community of Amubii, an inuigenous
community wheie locals speak Biibii anu Spanish.

B2'"$90/9'&0 %"?/#'7
The Biibii claim to have been cultivating cacao foi Suuu yeais anu it has special
significance in theii cultuie. 0iganic cacao, useu in the piouuction of piemium quality
chocolate is the piimaiy cash ciop foi the Biibii faim families. Bowevei, theii cacao ciops
have iecently suffeieu fiom fungal uiseases calleu monilia anu black pou (moie info
below).
248

Nany of the Biibii piactice small-scale agiicultuie, cultivating seveial uiffeient
species of ciops. A typical oichaiu may have 14 uiffeient types of fiuit anu nut tiees intei-
planteu with the cacao.
249
Befoie the aiiival of the Estufa Finca pioject, chaicoal was not
iecently useu in agiicultuie in the community; howevei, many eluei community membeis
iecalleu using chaicoal on theii fielus many uecaues befoie.
2Su
Also, the concepts of the
impoitance of soil oiganic mattei anu long-teim soil sustainability weie alieauy familiai
the Biibii faimeis.
2S1
Bonnelly noteu that even though chaicoal wasn't (iecently) useu in
local agiicultuie befoie the aiiival of SeaChai, the local people weie quite familiai with
chaicoal use in geneial. Be stateu, "In the community we'ie woiking in, the chaicoal
alieauy hau value, one of the ieasons being that people cook with it." Be noteu that the
Biibii know chaicoal well anu use it foi othei puiposes too, such as meuicine. "People
|theiej have all these goou associations |with itj."
2S2

In Costa Rica in geneial, many oiganic faimeis alieauy use chaicoal in theii
feitilizei foimulations (e.g. the coffee faimei who oiiginally inviteu SeaChai to Costa Rica).

248
249
"Estufa Finca-Talamanca 2u12-1S Pait S." B'/ C#++.007 YouTube Channel. Posteu }anuaiy 2, 2u1S. Web.
2Su
2S1
Whatley, Neil. "Community Bevelopment with the Biibii of Costa Rica." Founuation foi the Application anu
Teaching of the Sciences. 1999. Web.
2S2
88
Bowevei, uisiegaiuing any iecent use of biochai, all of that chaicoal is piouuceu using
tiauitional methous, which contiibute to uefoiestation anu cieate haimful emissions.
2SS

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In the communities wheie SeaChai woiks, most of the families aie living in extieme
poveity, suiviving on less than $S pei uay. Inteiconnecteu issues that plague these
communities aie uefoiestation, pooi agiicultuial piouuctivity, poveity, anu health
issues.
2S4
Befoie SeaChai biought biochai cookstoves to Amubii, most families ielieu on
tiauitional open-fiie stoves to uo theii cooking. A woman fiom the community who was
inteivieweu about the tiauitional stoves, uloiia Toiiess Buitiago, commenteu that, "It was
haiu to look aiounu anu just bieathe without feeling the smoke buining the eyes oi
thioat."
2SS
Bigh iates of iespiiatoiy pioblems anu uisease, especially among women anu
chiluien, plague the aiea as they uo in many othei iuial communities that use tiauitional
cookstoves.

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SeaChai woikeu on auapting theii
new stove uesign to be maue fiom local
mateiials, incluuing a S-gallon steel paint
bucket, some coiiugateu steel ioofing
mateiial, anu half of a one-gallon tomato
sauce can.
2S6
It is shown in Figuie 29.
2S7
In
oiuei to get funuing, SeaChai got theii
stoves emissions testeu. They founu that
SeaChai's stoves buin much moie cleanly

2SS
SeaChai "Estufa Finca Pioject."
2S4
"Blog." SeaChai. 2u1S. Web.
2SS
Stacey Schultz. "Biochai Cookstoves Boost Bealth foi People anu Ciops." }anuaiy 29, 2u1S. National
ueogiaphic News. Web.
2S6
Schultz "Biochai Cookstoves Boost Bealth foi People anu Ciops."
2S7
Photo cieuit: SeaChai.
1HUF@: OZD +J: $?>F<7 1H=G7 ?>;W: ;= H>? ?:>>H=UD
89
than tiauitional stoves anu open cooking fiies. Emissions, cook time anu fuel ieuuctions aie
uesciibeu in Chaptei 4.2. SeaChai also hau theii chaicoal samples (fiom the stoves) testeu,
which confiimeu that the stoves weie piouucing goou quality biochai. In teims of boichai
yielu, on aveiage, families aie able to get 1 V to 2 kilogiams a uay of biochai fiom cooking
two meals on an Estufa Finca.
2S8
The pioject gaineieu the attention of National ueogiaphic
who gave them a giant to funu the Estufa Finca pioject.

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SeaChai establisheu its pioject goals: To impiove aii quality to pievent iespiiatoiy
illness; to ieuuce uefoiestation anu iesulting soil eiosion; to cieate biochai foi caibon
sequestiation anu soil impiovement; to ieuuce time iequiieu to collect woou; anu to
suppoit iuial women's gioups to builu stoves anu uevelop sustainable businesses.
2S9

SeaChai then ian the Estufa Finca Santos Pilot Pioject fiom Becembei 2u1u thiough Naich
2u11 in oiuei to evaluate the ability of the stove to meet the goals above. The pilot pioject
incluueu fielu-testing anu monitoiing of the stoves, anu it took place in the Los Santos
coffee piouucing iegion of Costa Rica. SeaChai (anu otheis) uevelopeu test anu suivey
piotocols anu built S2 stoves. The stoves weie then installeu in the homes of migiant coffee
pickeis anu then testeu anu monitoieu.
26u

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The pilot pioject incluueu five main elements: A population uemogiaphic anu
baseline stove suivey, a customei satisfaction suivey, a contiolleu cooking test, an enu of
season follow-up suivey, anu uata analysis.
261
The baseline stove suivey, customei
satisfaction suivey, anu contiolleu cooking test all yielueu veiy positive iesults foi the
Estufa Finca stove in compaiison to the tiauitional stoves, anu the stove was well ieceiveu
by the iecipients. Bowevei, the enu of season follow-up suiveys founu that usage hau
uioppeu off by the enu of the coffee haivest season, as has commonly happeneu in clean
cookstove piojects (iefei to uiscussion on the clean cooking sectoi in Chaptei 4.S). Five out

2S8
2S9
26u
261
9u
of 28 iemaining stuuy paiticipants hau completely stoppeu using the stoves, anu many
moie (no exact numbei) weie using the stoves incoiiectly (moie uetail below).

Nultiple factois contiibuteu to this uiop in usage, incluuing:

Some uiscontinueu use of the stoves uue to lack of availability of smallei sizeu coffee woou
tiimmings anu the auuitional time iequiieu to tiim laigei woou to allow it to be useu in the
stove.
In seveial cases householus weie still using the stoves; howevei, they weie using them
impiopeily. "They weie allowing laigei pieces of fiiewoou to simply buin oi smoluei with
no attempt to iegulate the aiiflow. Eviuence of this was soot on the walls above the stoves
anu the accumulation of ash in the combustion chambeis."
262
Because of this, the stove
benefits weie not being fully ueliveieu.
Some people weie not using the stoves in the moining because we hau emphasizeu lighting
them outsiue anu people uiu not want to go out in the colu anu winu to uo so.
It was obseiveu in seveial householus that stove paits weie missing.
In at least one householu, a stove enueu up in the hanus of people who uiun't know how to
use it.
In some householus, the stoves hau been successfully auopteu, but weie being useu to
?9DD0.-.+/ the tiauitional cookstove iathei than ieplacing it.
Some cooks iepoiteu feeling unsafe using the stoves because the suiface became veiy
hot.
26S

SeaChai leaineu many lessons fiom this pioject, incluuing the impoitance of
ongoing stove use tiaining anu ceitain stove opeiational piefeiences. This feeuback helpeu
them to mouify the stove anu uiffusion methous to bettei fit the neeus anu habits of local
communities. Nouification incluueu impiovements to both the stove's setting anu the
stove's coop top. A iemovable chilu safety guaiu was establisheu as a stanuaiu featuie of
the stoves, anu the base block (that the stove iests on) was changeu fiom two blocks to one
to ensuie piimaiy aii contiol. Cook top impiovements incluueu allowing foi multiple pots,
moving the iebai suppoits to pioviue a moie useful siue-boaiu suiface, anu incluuing a
buinei accessoiy foi use with smallei uiametei pots in the cook top kit.
264
0veiall, the pilot
piogiam helpeu them to impiove upon theii innovation foi theii longei teim Estufa Finca
piojects with hosts like APPTA.

262
26S
264
91
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Aftei gaining lessons anu insight fiom the pilot pioject, SeaChai uevelopeu a
piogiam foi the community they aie continually woiking in foi the longei teim. The
piogiam incluues community meetings, uiiect community involvement in the stove uesign,
tiaining woikshops foi the cooks, anu an incentive piogiam baseu on buying the biochai
that the stoves piouuce.
26S
The stove now takes a wiue vaiiety of fuel types, incluuing
woou, gaiuen uebiis, bamboo, uiieu animal uung, anu foou waste mateiial incluuing
coconut shells anu coincobs.
266
It has also been mouifieu in minoi ways to bettei auapt to
local cooking methous.

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SeaChai has been uoing biochai ieseaich iegaiuing the fungal uiseases (monilia anu
black pou) that iapiuly emeigeu anu spieau in the late 197us anu eaily 198us. The fungal
uiseases uecimateu the pieviously thiiving cacao inuustiy, anu the aiea is still iecoveiing.
Some oiganic cacao piouuction has ietuineu, but the uiseases iemain a pioblem anu
continue to iepiess piouuction. Bonnelly commenteu, "We have eviuence which suggests
that the application of chaicoal can moueiate oi mitigate the infection fiom fungal
uiseases."
267

Bonnelly speculates that if theii iesults aie positive, biochai coulu play a big iole in
tiopical agiicultuie iegaiuing fungal infection mitigation.
268
If this becomes tiue, the locally
peiceiveu neeu of biochai foi cacao (anu othei) piouuction may gieatly inciease.

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Bonnelly iuentifieu key steps that helpeu theii pioject to take holu. They founu a
stiong host community in Costa Rica anu staiteu woiking with an inuigenous women's
uevelopment association, AC0N0ITA,
269
in oiuei to ieach out to, woik with anu empowei

26S
"Blog." SeaChai. 2u1S. Web.
266
267
268
269
Asociacin Comisin ue Nujeies Talamanqueas. Tianslation: Association Commission of Talamancan
Women
92
women, who aie most uiiectly affecteu by the stoves uue to theii high activity in the
kitchen. SeaChai also staiteu collaboiation with a univeisity, CATIE,
27u
that is helping them
with agiicultuial biochai ieseaich as well as giving them local cieuibility anu expeitise.
They aie cuiiently hosteu by APPTA,
271
a small oiganic cacao piouucei coopeiative (as
mentioneu above). They aie woiking togethei on biochai ieseaich anu tiials.
272

SeaChai staff maue local allies who helpeu them with things like stoiage space anu
tianspoitation. They also uevelopeu an affinity foi the community. SeaChai hiieu local staff
anu got othei community membeis to keep the pioject going uuiing the times they tiaveleu
back to the 0.S.

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Community outieach is an impoitant pait of SeaChai's pioject in Talamanca. At the
beginning, SeaChai hiieu some local women anu tiaineu them to be community piomoteis
anu to help auveitise community
meetings. ueneially Su-6u people
showeu up to community events, wheie
SeaChai staff woulu uo a two-houi
piesentation about the stoves, as seen
in Figuie Su.
27S
The sacieu hot
chocolate of the Biibii was cookeu on
the stoves as a uemonstiation. SeaChai
uses a few uiffeient methouologies foi
teaching about biochai. Bonnelly
explaineu, "A lot of people aie illiteiate,
so we have to have veiy goou giaphic mateiials to supplement whatevei we uiu in the
piesentation, anu to leave behinu."

27u
El centio ue euucacion agiicultuia y investigacion. Tianslation: Centei of Agiicultuie Euucation anu
Reseaich
271
Asociacin ue Pequeos Piouuctoies ue Talamanca. Tianslation: Association of Small Piouuceis of
Talamanca
272
SeaChai "Blog."
27S
Photo cieuit: SeaChai.
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9S
By }anuaiy 2u1S, SeaChai hau alieauy helu 18 faimei woikshops, community
events anu uemonstiations. They hau also alieauy uistiibuteu 142 biochai piouucing
cookstoves, anu theie was a waiting list foi people who wanteu them.
274

The piesentations shaieu not only the benefits of the stoves themselves, but also
uiscusseu the biochai enu piouuct anu how people coulu use it. Bonnelly noteu that at fiist,
they talkeu about biochai in teims of just being chaicoal to make foi moie effective
communication anu unueistanuing. "We calleu it "bio caibon", kinu of like biological
chaicoal."
27S
Bonnelly saiu that the faimeis immeuiately unueistoou the concept quite well
because they weie familiai with iueas suiiounuing soil caibon. "People get why biochai is a
goou iuea pietty quickly, but they'ie faimeis so they'ie conseivative."
276

A+$.+/","^"+2 ;"#$%&'S /%. 5.-#+?/'&/"#+ .)).$/S G.7 )&'-.'?S )&'-.' K#'G?%#D?
Bonnelly founu the best way to incentivize people to use biochai was to stiess the
money savings involveu. "Eveiybouy has faiily shoit hoiizons, anu the pooiei you aie, the
closei to the euge you aie, so you'ie less likely to take chances. You just have to pitch youi
talks to the auuience."
In oiuei to uemonstiate biochai's utility, SeaChai iuentifies key faimeis to get
involveu with - eaily auopteis. Bonnelly commenteu that woiking with these opinion
makeis pulls the attention of othei community membeis. "As soon as we aie up piouucing
biochai, we uonate chaicoal to |eaily auopteisj, anu then we counsel anu euucate them as
to how to use it, so that theii neighbois can see the effects.Woiu of mouth spieaus about
it." Foi the Estufa Finca pioject, this stiategy has been pietty effective so fai. They have also
gotten involveu |anu spieau biochaij in community gaiuen piojects, cacao faims, oiganic
nuiseiies anu stanuaiu plot tests. Theii scientific tiials have veiifieu that theii biochai
piouuces beneficial yielu iesults.
In some of SeaChai's woikshops (mentioneu above), they focus specially on
biochai's use in soil. They show faimeis how to make biochai anu the tools neeueu to
piepaie it. An example of activity at a woikshop is loauing biochai ovens with guayaba

274
"Estufa Finca-Talamanca 2u12-1S Pait S." B'/ C#++.007 YouTube Channel.
27S
276

94
piunings anu pyiolyzing the biomass foi 2 houis. When the biochai is ieauy, eveiyone gets
a chance to help piepaie anu apply the biochai to gaiuen beus as well as to builu a compost
pile with "biochai anu a miciooiganism iich molasses solution."
277

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Seachai is having some success at teaching faimeis how to use the chaicoal they
piouuce in theii stoves, but they also want to spui a local maiket foi the biochai; at this
point, not eveiy family can (oi wants to) use all the biochai they aie piouucing.

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SeaChai took S2 householus in one community anu enlisteu
them into theii piototype chaicoal buy back piogiam. They uiu six
pick-ups ovei the couise of the yeai. In six months they pickeu up
S.S tons, which was consiueieu extiemely successful. Two tons of
that went into ieseaich anu uemonstiation (incluuing agiicultuial
ieseaich, uonation to key faimeis anu putting it into a school
gaiuen). They also solu a ton anu a half without uoing any
auveitising.
Bonnelly saiu that the biochai buy-back piogiam is a gieat
incentive foi families to use the stoves. Be noteu that lots of local families expiesseu
inteiesteu in the smoke-fiee aspect of the stove,
278
but that the ieal uiaw is the biochai
aspect anu in the income it can biing them (Figuie S1).
279

0nce the new cooks have theii Estufas Fincas foi one month, they can join the
biochai buy-back piogiam. The piomoteis make the iounus once a month, buying biochai
at appioximately S 0.S. uollais pei 8 kilogiam sack. Bouseholus can eain an extia $1S-2u
pei month by selling the biochai piouuceu by theii cookstoves. In }anuaiy of 2u1S, theie
weie about 22 householus that iegulaily paiticipateu in the buy back piogiam.
28u

277
"Estufa Finca-Talamanca 2u12-1S Pait S." B'/ C#++.007 YouTube Channel.
278
279
Photo cieuit: Ait Bonnelly (Picasa).
28u
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SeaChai sells the biochai both by woiu of mouth anu at the faimei's maikets. Some
customeis incluue the ministiy of ecology, an oiganic papaya giowei, expatiiate faimeis
anu gaiueneis, anu local nuiseiymen anu people who aie uoing plant staits (often cacao).
"It is well known to the nuiseiymen as being a goou soil amenument foi builuing substiata
because it holus moistuie ieally well. So we've hau people that have been ieally exciteu
about having a souice of agiicultuial chaicoal. "
Bonnelly saiu, "We'ie finuing people buy fiom us, they have a goou expeiience, anu
they come back anu say 'can we buy a oven off of you guys.' It's the iueal thing to have
happen."

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Bi. N. Sai Bhaskai Reuuy is the CE0 of ueoecology Eneigy 0iganization (uE0), a
"iegisteieu Inuian public chaiitable tiust which focuses on community capacity builuing
anu empoweiment, geoecological anu natuial iesouices sustainability, climate change
(Nitigation anu Auaptation) anu ienewable eneigy." It was founueu in 2uu6, anu it's majoi
piojects iegaiu iuial eneigy (e.g. cookstoves) anu biochai.
281
Bi. Reuuy has been woiking
with biochai foi the last 9 yeais, much of that time with uE0.
Although Reuuy has woikeu on many uiffeient piojects ielating to biochai anu
chaicoal use, this case stuuy will focus mostly on Reuuy's woik with uE0's uoou Stoves anu
Biochai Community Pioject (uBCP). Bowevei, it will also incoipoiate some of Bi. Reuuy's
othei activity, expeiience anu iueas suiiounuing biochai. Reuuy was inteivieweu foi this
case stuuy anu pioviueu valuable insight anu iueas.

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uE0 is implementing The uoou Stoves anu Biochai Community Pioject (uBCP) in
semi-aiiu paits of Inuia, mostly in the Anuhia Piauesh State. The pioject oiiginateu in
2uu9. They aie being suppoiteu by Action Caibone, a piogiam of the uoouplanet

281
Reuuy, N. Sai Bhaskai. "uoou Stoves anu Biochai Community Pioject." ueoecology Eneigy 0iganisation
(uE0). Web.
96
Founuation.
282
uBCP is woiking to piomote sustainable biochai piouuction anu encouiage
biochai application while biinging a positive social impact to iuial communities. So fai,
uE0 has uesigneu 14 uiffeient kinus of "uoou Stoves" (biochai-making cook stoves) in
oiuei to suit uiffeient stove neeus in uiffeient places.
28S

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Inuia is maue up of mostly small faims cultivateu by family laboi anu livestock. In
198u, aiounu half of the faim holuings in the countiy weie less than 1 hectaie, anu only 4
peicent weie moie than 1u hectaies. Nost faimeis possess secuie iights to the lanu they
woik, eithei as full owneis oi piotecteu tenants. States oveisee tenuie secuiity anu the
establishment of faii ients, so laws vaiy in uiffeient states.
284
The faimeis Bi. Reuuy woiks
with in Anuhia Piauesh have long-teim access to theii lanu.

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Accoiuing to Inuia's 2uu9 State of the Enviionment iepoit, half of Inuia's total lanu
aiea is uegiaueu
28S
- about 146 million hectaies.
286
Since then, the amount has iisen.
Befoiestation is listeu as one of the majoi factois of lanu uegiauation, anu two of the top
five citeu causes of Inuia's uefoiestation aie shifting cultivation (uue to pooi soil feitility)
anu fiiewoou collection.
287

Specifically, soil uegiauation anu ueseitification aie a huge pioblem in ceitain iuial
aieas in Inuia, one of them being Anuhia Piauesh. These pioblems have been woisening in
the last few uecaues anu contiibuting to the incieasing poveity anu foou insecuiity of
Inuian iuial populations.
288
Agiicultuial piouuctivity continues to uecline even as faimeis

282
"Impioveu Stoves anu Biochai Application in Inuia." Action Caibone. 2u1u. Web.
28S
Reuuy "uoou Stoves anu Biochai Community Pioject."
284
Thakui, A.P. anu Sunil Panue. "21st Centuiy Inuia: view anu vision." ulobal vision Publishing Bouse. New
Belhi, Inuia. 2uu9. Web.
28S
"State of Enviionment Repoit: Inuia 2uu9" Ninistiy of Enviionment & Foiests, uoveinment of Inuia.
Enviionmental Infoimation System (ENvIS). }aiiam Ramesh. vijai Shaima. }uly 2u. 2uu9. Web.
286
Bectaie: A unit of aiea equal to 1u,uuu squaie meteis. Equivalent to 2.471 acies
287
Piasau, Ambika. "S Najoi Causes of Befoiestation in Inuia." Pieseive Aiticles. 2u12. Web.
288
"Impioveu Stoves anu Biochai Application in Inuia." Action Caibone.
97
auu extia chemicals (such as feitilizeis anu pesticiues) to the soils.
289
The iuial population
cuiiently lacks powei to combat these woisening conuitions anu theii iesulting woisening
livelihoous. In auuition, "an ecological catastiophe thieatens to iesult acioss Inuia if such
pioblems aie not iemeuieu uigently."
29u

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Lanu management piactices vaiy in uiffeient locations of Inuia anu within Anuhia
Piauesh. It is common to use feitilizei anu pesticiues, anu incieasing uepenuence on these
chemical inputs has been citeu as a laige pioblem in the aiea.
291
Bowevei, tiauitional
agiicultuial methous such as slash anu buin agiicultuie aie useu in many places as well.
Reuuy uesciibeu that in some of the places the uBCP biought stoves to, faimeis useu
buining foi soil management. A iice faimei's piactices aie uesciibeu: Aftei haivesting iice
anu plowing the muuuy plots, faimeis "buin the waste fiom theii iice plants, making lots of
thick, polluting smoke anu a little ash to feitilize the soil."
292

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Bi. Reuuy woiks with "veiy pooi people in iuial communities." They live mostly in
iemote aieas with little access to iesouices. Reuuy commenteu that theii livelihoous aie
uifficult.
Nany of the faimeis who Reuuy woiks with weie alieauy putting chaicoal in theii
soil. Be sees many othei tiauitional uses of chaicoal in meuicine, cleaning, builuing, ciaft,
animal husbanuiy anu livestock, among otheis.
Nost of the faimeis Bi. Reuuy woiks with aie uepenuent on "inefficient, thiee stone
stoves," which aie essentially woouchaicoal fiies with stones to iest pots on. These highly
polluting stoves piesent the common social, economic, health anu enviionmental pioblems
faceu by many aiounu the woilu, as eailiei uiscusseu. The foou secuiity anu livelihoous of
iuial faimeis in Inuia aie also thieateneu by the lanu uegiauation issues they face.

289
29u
291
Naiten, ueiiy. "Escaping the Pesticiue Tiap: Non-Pesticiue Nanagement foi Agiicultuial Pests (Anuhia
Piauesh, Inuia)" EcoTipping Point Pioject. }une 2uuS. Web.
292
"CNN Biochai - uSBC Pioject, Peuuamauuiu village, }angaon." Anuhia Piauesh, Inuia. 0ploaueu Nay S1,
2u11. viueo Clip. Web.
98

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The uoou Stoves anu Biochai Community
Pioject incluues the establishment of the
commeicialization chain of highly-efficient biochai-
making cookstoves, the uiffusion of impioveu small-
scale ovens, the pyiolysis of agiicultuial iesiuues that
aie buint otheiwise, the soil feitility's enhancement
anu the long-teim caibon sequestiation thiough
biochai application in soils. The aim of the pioject is
to "enhance the living conuitions of iuial families,
counteiact uefoiestation, piotect
biouiveisity, inciease ciop piouuction,
impiove agiicultuial waste
management anu iemove caibon fiom
the atmospheie as a caibon-negative
stiategy to fight global waiming."
29S

Staiting in 2uu9, the pioject set
out to test theii innovations. The
pioject incluues foui main aspects:
Bistiibuting Suuu impioveu cooking
stoves (Figuies S2 anu SS),
294

piouucing natuial biochai feitilizei by
caibonizing biomass, cieating local
piouuction anu sales inuustiies foi biomass caibon, anu uoing pilot expeiimentation with
the aiu of volunteei faimeis to test links between biochai application anu incieases in soil
feitility.

29S
294
Photo Cieuit: N. Sai Bhaskai Reuuy (Picasa).
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99
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Since the beginning of this pioject, uE0 has been testing vaiious types of stoves to
finu a solution to fit with local cooking methous. uE0 oiiginally uistiibuteu one stove
mouel (CN-Nagh) to SS families. Weeks of testing as well as evaluation of useis' comments
helpeu uE0 to ieuesign the eigonomics of the mouel anu piouuce a newei mouel (CN-
Laxmi) that is easiei to use. "This has been appioveu by useis because of its lowei woou
consumption, gieatei ease of use anu highei quality in slow-cooking methous." It is also
able to take any kinu of biomass as fuel. This stove costs about $6. 0vei the yeais, uE0 has
uesigneu ovei 2u stove mouels to fit uiffeient contexts anu puiposes. They take uiffeient
feeustocks (some mouels can take any feeustock) anu some can heat as many as thiee pots
at once.
29S

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uE0 has been woiking with volunteei faimeis to apply biochai to theii own plots of
lanu, anu they have shown encouiaging piouuctivity gains following application. They also
built a Reseaich anu Bevelopment Centie in the village of Peuuiamauuiu, in the Waiangal
uistiict of Anuhia Piauesh in oiuei to inciease the involvement of local communities. Now
moie than 2,uuu people, incluuing "local faimeis, Nu0s, women's gioups anu stuuents
have been aiuing uE0 with confeiences, woikshops anu tiaining piogiams in the use of
biochai anu impioveu stoves."
296

3H;GJ7@f? GJ7H= ;< W79F:?
Bi. Reuuy stiesses that biomass is always a valuable iesouice anu it is impoitant not
to waste it. The open buining he sees happening in faimeis' fielus is both wasteful anu
enviionmentally haimful, anu he wants that biomass to be useu moie efficiently, incluuing
foi cooking anu foi soil caibon. Be explains that ultimately biochai ieaches the soil, but it
can have many uses in the piocess that make it moie valuable than putting it uiiectly into

29S
Reuuy, N. Sai Bhaskai. "uoou Stove." uE0. No uate. Web.
296

1uu
the soil. Be encouiages integiating many uses into biochai, especially tiauitional chaicoal
uses if they aie sustainable.

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Bi. Reuuy saiu it is impoitant to keep the appioach to uiffusion simple anu non-
commeicial. Be believes in empoweiing the people to uo what they want with the biochai.
Bi. Reuuy tolu the stoiy of biinging biochai technology to a community that was unfamiliai
with using chaicoal as a soil amenument.
Be went to the faimeis in a community, showeu them biochai, anu showeu them
potteu plants with anu without biochai in theii soil. The one with biochai was biggei anu
gieenei. Be then staiteu to builu up communication with the faimeis about biochai by
explaining the piopeities of biochai - "how light it is, how much suiface aiea theie is
within it, anu how it is an excellent habitat foi soil miciobes..." Bi. Reuuy explaineu that the
community then helpeu him by explaining theii uiffeient local uses foi chaicoal. Be
continueu communication with them anu leaineu about theii specific livelihoous anu
tiauitions.

C.-#+?/'&/"#+ /'"&0? "+ )&'-.'?L )".05?
Reuuy wanteu to make the iesults of biochai application obseivable to the
community - he knew it woulun't woik to simply come in anu tell people to uo something
to theii faim. Be built up a ielationship with thiee faimeis (eaily auopteis) anu convinceu
them to apply biochai to theii fielus. The fielus they applieu the biochai to weie no longei
being useu because they weie no longei feitile. The faimeis followeu Bi. Reuuy's
instiuctions foi applying the biochai, anu the iesults weie amazing. "You coulu see that
they ieclaimeu the fielu," explaineu Reuuy.

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Not only uiu Reuuy anu the faimeis see that the fielus weie ievitalizeu anu giowing
ciops - the entiie village noticeu the visual uiffeience. The people of the village unueistoou
1u1
the iesult anu all of the faimeis began using biochai to ievitalize theii uying fielus. "Still
touay they aie cultivating the fielus without leaving them fallow," Bi. Reuuy explaineu.

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Bi. Reuuy noteu that most of the faimeis he woikeu with easily unueistoou the
concept of biochai, but that they sometimes misunueistoou the piocesses suiiounuing it.
Because of this, he saiu, it is impoitant to cieate a methouology of making biochai compost
baseu on the locally available mateiial anu tiauitions. In teims of application, he believes in
encouiaging "initially point application because it is a low cost methou, then line
application, then spieau application." Point application is applying biochai to the specific
plant locations, line application is applying lines of biochai unuei a iow of ciops, anu
spieau application is applying biochai to an entiie fielu.

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Thiough his woik with biochai, Bi. Reuuy has felt spiiituality foi the eaith, which
leu to the uevelopment of a unique inoculation stiategy. Be calls it "ueo Spiiit Centeis."
Aftei tiying it himself, he explaineu, "I staiteu encouiaging the faimeis to ueclaie some
poition of theii lanu wheie they will not touch any kinu of plant in oiuei to let the local
biouiveisity flouiish." Be explaineu that this is giving them access to theii own local
miciobial life foi the inoculation of theii biochai anu theii fielus. As a iesult, local miciobes
aie integiateu into the local soil, impioving its health anu feitility. Also, the biouiveisity in
the lanu patch biings uiffeient species of biius anu insects, natuial pieuatois that contiol
pests. "Like that, you will help to piotect youi own fielu, you can always inoculate youi
agiicultuial fielus with local miciobes, anu you aie helping the local biouiveisity to thiive.
Anu foi the futuie you aie cieating this new spiiit centei." Reuuy noteu that many faimeis
he has woikeu with have gotten kinu of useu to ieseiving such a place in theii fielus.

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Bi. Reuuy commenteu that when biinging biochai technology to communities, he
always looks at the local tiauitional iituals, festivals, cultuies anu othei things (Figuie
1u2
S4).
297
Bi. Reuuy saiu theie aie always multiple festivals pei yeai. Be uiscusseu one festival
in his iegion that happens aftei the iains.
The festival incluues the spilling of
saciificial animal bloou, iice, othei foou
items, anu leaves - all onto the soil. The
next uay they collect this mateiial anu
thiow it into the fielus anu aiounu the
village, especially coveiing faimlanus. This
mixtuie causes a boom of soil miciobes,
anu the faimeis get a bettei ciop. Bi. Reuuy
explaineu to the community the value in
auuing some chaicoal to the mixtuie as pait of the festival, anu biochai has now been
incoipoiateu. Eveiy time the festival happens, some biochai is intiouuceu to the soil uuiing
a miciobe boom.
Reuuy also auuiesseu the uiffeient iesouices anu skills that aie founu in uiffeient
places. Be believes that, "baseu on the skills of the local people anu the local mateiials, we
can always teach communities how to conveit the biomass into biochai in a cheap anu
efficient way with fewei emissions."

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In auuition to peifoiming many othei biochai-ielateu expeiiments, Bi. Reuuy has
been visiting iemote places in Inuia with tiauitional chaicoal use in soil. Be believes that
the stuuy of tiauitional biochai/.''& D'./& piactices in uiffeient paits of the woilu is
impoitant, anu that "we neeu to finu ways to impiove these existing piactices foi
sustainability anu auoption."
298
Leaining about how biochai-like piactices tiauitionally fit
in to uiffeient iuial cultuies can pioviue valuable insight into how they might fit into many
moie in the futuie.

297
Photo Cieuit: Reuuy (Picasa).
298
Reuuy, N. Sai Bhaskai. "Sustainability of Biochai Systems in Beveloping Countiies." uE0. No uate. Web.
1HUF@: TND +JH? HV7U: ?J;A? 9;G79 A;V:= B7=GH=U
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Bi. Reuuy has taken a multipiongeu appioach in shaiing his woik anu othei
infoimation about biochai. Be commenteu that, "most people wiite papeis, but papeis
uon't show pictuies. They only uo uata anu analysis." 0n his website, he shows many
pictuies anu uiagiams. Be stiesses the impoitance of having infoimation that is attiactive,
unueistanuable anu available to eveiyone.
Be also emphasizes the impoitance of making biochai technologies anu ieseaich
open souice, so that inteiesteu communities anu potential auopteis aie moie likely to be
able to finu infoimation that can apply to theii specific situations. "Because of the
complexity of biomass (types, values, size, shape, uensity, etc.), conveiting it into biochai is
uifficult by any single uesign, so theie is a neeu foi many uiffeient biochai piouuction
uesigns that aie suiteu to specific feeustocks anu pioject ciicumstances."
299

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Now that we have examineu thiee uiffeient case stuuies of biochai-ielateu uiffusion
piojects in uiffeient ueveloping woilu smallholuei aieas, we can analyze the hypotheses by
looking at anu applying ielevant uetails fiom the uiffeient case stuuies.

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This hypothesis is suppoiteu by the case of biochai system uiffusion in Inuia anu Bi.
Reuuy's stiategy in appioaching communities. Aftei aiiiving in a new community anu
showing anu explaining biochai to local faimeis, he communicates extensively with the
faimeis in oiuei to figuie out how biochai can fit in with the local tiauitions anu values of
the community. Be asks the faimeis all about how they use chaicoal, anu, he uesciibeu,
"the community helps me by explaining how they use the chai foi uiffeient means

299
Reuuy "Sustainability of Biochai Systems in Beveloping Countiies."
1u4
locally."
Suu
This builus up the communication between Bi. Reuuy anu the faimeis, anu
allows foi the incoipoiation of chaicoal's local tiauitional values into the biochai use.
Examples of othei local uses incluue cleaning, sanitation (Reuuy suggests biochai uiinals),
filtiation, meuicine, anu animal husbanuiy. Aftei vaiious tiauitional anu incoipoiateu uses,
the biochai ultimately goes into the soil. Even if a community was not oiiginally familiai
with biochai soil application, many of the values of the system aie alieauy familiai anu
tiauitional to them, making auoption much moie attiactive anu likely. Fuithei, the
stiengtheneu communication channels anu mutual iespect between Reuuy anu the faimeis
builus up tiust, anu faimeis aie moie likely to give biochai soil application a tiy.
Bi. Reuuy uoesn't stop theie with fitting biochai in with community values. Foi
example, uuiing ceitain festivals biochai is now spieau on faimlanus along with a mixtuie
of othei things, as uesciibeu in the case stuuy.
Finuing paits of the cultuie, tiauitions anu values wheie biochai fits iight in is key
to Reuuy's stiategy of encouiaging faimeis to use it. Be has founu that integiating its
application to soil as pait of the cultuie is an effective way to get it in the giounu. It also
incieases the value of the biochai itself. "It integiates the values of biochai not only foi soil
but also many othei ways," he notes.
Su1
It must also be noteu that his spiiitual appioach to
biochai inoculation - the ueo Spiiit Centeis - has been much moie successfully auopteu
than othei iecommenueu inoculation methous. Peihaps this is because it incoipoiates anu
coiiesponus with spiiitual values. It must be noteu that these methous aie caieful not to
uiscount the inuigenous knowleuge systems mentioneu in the uiffusion of innovation
theoiy.
Reuuy has also gone to lengths to make suie his cookstoves fit with community
tiauitions anu values. Be has uevelopeu ovei twenty mouels that woik foi vaiious uiffeient
puiposes anu aie compatible with local cooking tiauitions. Bis stoves website uisplays
some uesigns that can heat thiee pots at once.
Su2
Accommouating seveial pots is makes it
possible to cook foi laige events oi family gatheiings.

Suu
Bi. N. Sai Bhaskai Reuuy. Peisonal Inteiview. 0ctobei 2S, 2u1S.

Su1
Su2
Reuuy "uoou Stove."
1uS
0veiall, the auaptation anu inclusion of biochai systems to community values anu
tiauitions has pioven valuable to its acceptance anu uiffusion in communities in Anuhia
Piauesh.

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The pioject in Talamanca, Costa Rica uses the incoipoiation of community values
anu tiauitions as a way to luie people in to theii innovation. At the community meetings
helu by SeaChai, they make hot chocolate on the biochai cook stoves because hot chocolate
is sacieu to the Biibii. This uiaws peoples' inteiest anu also cieateu goou associations with
the pioject. This embiace of local tiauitions anu values has likely been an impoitant factoi
in theii success thus fai of uiawing local attention to theii innovation anu convincing
people to tiy out the biochai cook stoves.
The iesults of SeaChai's Estufa Finca-Santos Pilot pioject showeu that at fiist, the
stoves uiun't completely fit with the local cooking tiauitions. While the ieasons some
people stoppeu using the stoves weie mostly uue to fuel piepaiation uifficulties, many
people continueu to cook with theii smoky, tiauitional stoves in auuition to the biochai
stoves, because the new stoves weien't meshing veiy well with theii cooking tiauitions. In
the pilot pioject iepoit, SeaChai wiote that one of theii lessons leaineu was that "stove
settings anu cook top uesigns neeu to take into account uiffeiences among cultuies.foous,
meal piepaiation, pot types anu sizes."
SuS
SeaChai came in without a stiong giasp on the
local cooking tiauitions anu that negatively affecteu uiffusion. Bowevei, the pilot pioject
seiveu its puipose by infoiming SeaChai about how to make the stoves moie compatible to
local cooking tiauitions. They have since maue (anu aie continuing to woik on)
impiovements to the stove setting anu cook top to make it moie compatible to the local
cooking tiauitions. These incluue allowing foi multiple pots, allowing foi piimaiy aii
contiol (so the heat can be aujusteu), making a bettei siueboaiu suiface, anu auuing a
buinei accessoiy foi smallei pots to the cook top kit.
Now that the mouifieu stoves bettei fit the local cooking habits anu tiauitions,
uiffusion has been moie successful, along with continueu stove use in SeaChai's home

SuS
1u6
community. Seeking anu acting on community feeuback about cooking tiauitions has
helpeu SeaChai continually make impiovements to inciease the stoves' compatibility.

O&"/"
The pioject in Baiti oiiginally focuseu on chaicoal as a soil amenument (biochai)
anu uiu not have much success in theii home community. People uiu not value chaicoal as a
soil input, anu they uiu not belief chaicoal was foi that puipose. They uiu, howevei, value
chaicoal as a fuel, which is a cential pait of theii lives. This is one of the ieasons why
uiffusion of CRI's gieen chaicoal cooking biiquettes is so much moie successful.
It is also woith compaiing the chaicoal biiquettes to biochai cookstoves as a means
of impioving inuooi aii pollution, ieuucing cook time, anu ieuucing fuel costs. Because the
biiquettes aie a uiop-in ieplacement foi tiauitional chaicoal, now new stove technologies
oi alteiations in cooking methous aie neeueu. In teims of compatibility with local
tiauitions anu values, the biiquettes aie supeiioi to the biochai cookstoves because no
tiauitions oi habits aie alteieu with biiquette use. Consequently, biiquette uiffusion has
been a simple, fastei, anu moie successful piocess.

These examples fiom the Inuia anu Costa Rica case stuuies suppoit the hypothesis
that auapting an innovation to local community tiauitions anu values is an impoitant pait
of the uiffusion piocess. Incompatibility with tiauitions (such as cooking) can lowei
uiffusion oi biing unintenueu consequences (such as continuation of use of the olu, smoky
stove along with the new stove).

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A+5"&
The Inuia case stuuy pioviues an example of a situation wheie new biochai systems
weie biought to communities that tiauitionally applieu ash oi chaicoal to soil in one way
oi anothei. Piactices vaiieu in uiffeient locations. Some faimeis uiu open aii buins of theii
1u7
ciop iesiuues (such as iice husks), anu otheis maue chai in tiench mounus befoie woiking
it back into the soil. The faimeis who useu these tiauitional piactices hau a goou
unueistanuing of the concept of soil caibon, so they unueistoou the significance of biochai.
The intiouuction of "new" biochai systems (incluuing the biochai ovens anu cook stoves) is
compatible with theii pievious beliefs anu values iegaiuing agiicultuie, so it is moie about
the auoption of a new, bettei technology to continue an olu iuea (with the auueu clean cook
stove benefits as well). This makes uiffusion of biochai application to soil much easiei anu
moie likely compaieu to a community without piioi expeiience with chaicoal application.
This example compaieu to the biochai case in Baiti (uiscusseu uiiectly below) illustiates
the contiast between uiffusion of an innovationpiactice to people who aie familiai veisus
unfamiliai with the concepts anu benefits behinu it.

O&"/"
The case of CRI's expeiience with biochai uiffusion in Baiti contiasts with the case
of biochai uiffusion in paits of Inuia wheie chaicoal oi ash application to soil is a familiai
concept. In CRI's home community in Baiti, theie is no tiauitional piactice of using chaicoal
as a soil amenument, so it is a new concept to the faimeis.
Su4
Fuitheimoie, Soiensen
uesciibeu that most faimeis uo not put any soit of input - oiganic oi not - back into theii
soil. "Nany of theii cultivation piactices call foi them to take the entiie plant off the
fielu."
SuS
These local piactices suggest that biochai application is not consistent with theii
tiauitional agiicultuial values. To the local faimeis, the concept of the impoitance of soil
caibon is foieign anu piactices similai to biochai application aie unfamiliai. Theiefoie,
they have no ieason to believe biochai will help. "What we kept heaiing in oui home
community was, 'This is gieat, but this is chaicoal.Can we cook with it.'"
Su6

In contiast to the biochai aspect of the Baiti pioject, the concepts behinu the gieen
chaicoal biiquettes weie veiy familiai upon intiouuction, anu have theiefoie been much
moie compatible. As stateu on CRI's website,

Su4
Eiic Soiensen inteiview. 2u1S.
SuS
Su6
1u8
Consumeis in Baiti anu othei iegions of the ueveloping woilu aie pioving extiemely ieceptive to
switching to gieen chaicoal biiquettes. Because the biiquettes function the same, anu switching to
gieen chaicoal saves money anu pievents uefoiestation, Baitians have begun to embiace gieen
chaicoal as a viable alteinative to woou anu woou-baseu chaicoal.
Su7

The biiquettes make sense to the local citizens because the concept is in line with
the fuel piactices they alieauy use, yet they aie seen as auvantageous because they pioviue
foi the neeu of a cheapei anu cleanei fuel souice. Because the biiquettes aie a uiop-in
substitute foi the noimally useu chaicoal, no tiaining oi change in piactices is neeueu.
0seis can apply theii olu expeiiences anu habits to the technology. Cooking anu heating
piactices aie not alteieu, so this change is quite cultuially viable.
0veiall, the gieen chaicoal biiquettes have high compatibility foi iuial Baitian
smallholuei communities because of the alieauy-existing similai piactices, while the
biochai application to soil component has lowei familiaiity anu consistency with existing
values, anu theiefoie lowei compatibility. Consistent with the hypothesis, the biiquettes
have uiffuseu much moie successfully than the agiicultuial biochai application, even
though they both biing high ielative auvantages.

:#?/& M"$&
Although the Costa Rica pioject has not been hugely successful so fai in getting local
faimeis to auopt biochai application, Bonnelly iepoiteu that they unueistanu well the
concept of soil caibon anu the oiganic mattei application, anu theiefoie unueistanu the
significance of biochai. Because of this, piospects foi futuie auoption of biochai as a soil
amenument look bettei than in Baiti.
Even though biochai is not yet wiuely useu locally, SeaChai has been successful in
selling the bought-back biochai (piouuceu in the stoves) to othei Costa Rican customeis
incluuing oiganic faimeis anu nuiseiymen, who weie alieauy familiai with the auvantages
anu use of agiicultuial chaicoal piioi to theii intiouuction to SeaChai's biochai. Theii
histoiical piactices of using agiicultuial chaicoal maue a tiansition to biochai extiemely
compatible with both theii beliefs anu theii ioutines, which is why many of them became

Su7
CRI "uieen Chaicoal."
1u9
inteiesteu customeis. 0ne specific example is the coffee faimei that Bonnelly met anu
collaboiateu with. Be hau oiiginally been using agiicultuial chaicoal anu was exciteu to use
biochai in its place - he hau alieauy witnesseu the benefits agiicultuial chaicoal coulu
biing, so biochai fit peifectly with his piioi agiicultuial expeiiences anu piactices. Foi the
faimeis who hau histoiies of piactices similai to biochai use, a uemanu foi buying the
stove-maue biochai was veiy easy to cieate, feeuing the system as a whole.
The intiouuction of biochai cookstoves has iequiieu some aujustments in oiuei to
maintain theii usage aftei initial auoption. Aftei the fiist iounu of stove tiials in Costa Rica,
customei satisfaction was high, but eventually stove usage uioppeu off. This was mostly
uue to changes in chaiacteiistics in the new stoves fiom the olu, tiauitional stoves. Changes
in piactices, such as the neeu to piepaie small fuel anu not knowing well enough how to
woik anu maintain the stove, causeu many to ietuin to theii olu, familiai piactices, as has
been a pioblem with many clean cookstove piojects in the past (such as the Banna, Buflo
anu uieenstone papei mentioneu pieviously).
Su8
SeaChai has since been auuiessing this
pioblem by uiiectly involving the community in stove uesign. Bowevei, it illustiates
uifficulties with maintaining pieviously unfamiliai piactices, in contiast to the biiquettes,
which iequiie baiely any changes in piactice. The above phenomena anu outcomes iemain
consistent with the hypothesis.

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AH>J H=>@;BFG:B H==;W7>H;=?D

O&"/"
Soiensen uesciibeu that the extiemely iuial location of CRI's main pioject has
pioven to be a huiule, anu that CRI's effoits (especially woikshops) have pioven moie
fiuitful in slightly less iuial aieas. Be speculateu that this may be uue to the fact that less

Su8
Banna, Buflo anu uieenstone. "0p in Smoke: The Influence of Bouseholu Behavioi on the Long-Run Impact
of Impioveu Cooking Stoves."

11u
iuial communities have moie piioi expeiience with new intiouuceu technologies anu
iueas.
When CRI was focusing mostly on auoption of biochai as a soil amenument, they
spent a lot of time in theii extiemely iuial home community, which uiu not have much
access oi exposuie to the outsiue woilu. They hau an extiemely uifficult time tiying to
convince people to tiy biochai anu the only people who woulu even tiy it weie eaily
auopteis.
Bowevei, when CRI tiaveleu aiounu Baiti anu uiu biochai woikshops in seveial
uiffeient iuial communities, they ieceiveu a much bettei iesponse. The communities they
tiaveleu to foi woikshops weie iuial smallholuei communities, but they weie less cut off
fiom the outsiue woilu than CRI's home community. The moie positive iesponse to biochai
expeiienceu in the moie "connecteu" communities is likely uue to highei compatibility,
piobably because these communities hau moie past expeiience with new innovations.

:#?/& M"$&
The case of biochai use anu sales in the Costa Rica pioject suppoits this hypothesis
as well. While not much biochai auoption is happening in the veiy-iuial home community,
many people who have moie exposuie to the outsiue woilu anu with intiouuceu
innovations aie buying biochai (such as the Nu0s, nuiseiy men, oiganic coffee faimeis
collective). SeaChai has also successfully solu some biochai at the faimeis maiket, wheie
the consumeis aie less isolateu than in theii home community.

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O&"/"
As eailiei uiscusseu, the uiffusion of the gieen chaicoal biiquettes has pioveu moie
successful than the uiffusion of biochai as a soil amenument. Anothei contiibuting factoi to
this uiffeience is that the local peiceiveu neeu foi a cheapei, cleanei fuel souice (than theii
tiauitional woou anu chaicoal) is moie acute than theii peiceiveu neeu foi a soil
amenument. This is illustiateu in the pieviously shaieu quote, '"This is gieat, but this is
111
chaicoal. Can we cook with it.'" Realizing that the community's peiceiveu neeus weie
stiongei foi cooking chaicoal, CRI changeu theii focus (as pieviously uiscusseu) anu
uiffusion was moie successful. Stiongei peiceiveu neeus foi cooking chaicoal make the
uemanu foi the biiquettes much highei than foi biochai.
In CRI's chai social enteipiise mouel, the small business owneis weie attiacteu to
the biochai oven technology because it was a way foi them to make extia money while
getting iiu of theii agiicultuial waste. It is compatible with theii peiceiveu neeu of eaining
moie income without having to significantly change theii business opeiations. Naking
biochai fiom theii waste is a convenient auuition to theii businesses that auuiesses theii
peiceiveu neeus foi highei income. It is a built-in incentive.

:#?/& M"$&
SeaChai's pilot pioject (uiscusseu above) also helpeu them to aujust the stove
uesign to bettei auuiess peiceiveu cooking neeus. This oveilaps somewhat with cooking
tiauitions, because cooking tiauitions can cieate peiceiveu neeus. The pilot pioject showeu
that the biochai stoves weie not meeting all peiceiveu neeus - notably chilu safety anu also
the neeu foi capacity to heat multiple pots. Some people weie unwilling to piepaie the
small fuel fiom the coffee plant cuttings, suggesting that these specific useis' neeus coulu
be bettei fit with a stove that takes laigei oi uiffeient fuel. SeaChai was able to auuiess
some of the neeus, such as chilu safety anu cieating a moie vaiiable cooking suiface, anu
this maue the stoves moie compatible anu auoptable foi the people in theii cuiient home
community.
The incentive to make money by piouucing biochai as a bypiouuct of cooking on the
biochai cookstoves follows the same concept as the chai social enteipiise mouel uesciibeu
above. The peiceiveu neeu of highei income is fulfilleu with the auoption anu use of a new
biochai cookstove, incentivizing community membeis not only to auopt, but to continue
using it.
Although the biochai buy-back piogiam may be the stiongest incentive to auopt,
citeu statements by a local woman suggest that piioi to the pioject, theie was a peiceiveu
neeu foi a solution to the inuooi aii pollution causeu by the olu stoves anu a ieuuction of
time anu money iequiieu foi fuel collection. The biochai stoves meet these peiceiveu
112
neeus, which encouiages theii auoption among community membeis anu meanwhile
intiouuces biochai familiaiity to the community anu making effoits to cieate peiceiveu
neeus foi biochai in the futuie.
Because of the agiicultuial chaicoal piactices that alieauy exist foi some faimeis in
Costa Rica, selling the biochai has been successful because of peiceiveu neeus (foi
agiicultuial chaicoal) of nuiseiymen anu some oiganic faimeis.
SeaChai is cuiiently woiking towaius the alieauy peiceiveu neeu of mitigating
fungal uisease in cacao plants by using biochai. If theii fielu tiials continue to be successful
in using biochai to mitigate fungal uisease, this is likely to inciease local biochai auoption
baseu uue to an incieaseu peiceiveu neeu foi biochai by Costa Rican (especially Biibii)
faimeis. This is because local faimeis will peiceive a gieatei neeu foi biochai if it can play
a key iole in keeping theii cacao (anu possibly othei ciops) healthy.

A+5"&
Bi. Reuuy has taken a uiffeient appioach to meeting peiceiveu neeus, anu it has
pioven veiy successful. Be has uesigneu ovei 2u biochai-piouucing stove vaiiations so that
uiffeient stoves can meet uiffeient neeus. Biffeient stoves take uiffeient biomass
feeustocks, so people in uiffeient locations oi situations can auopt stoves to fit theii
specific feeustock choice. The mouel mentioneu in the case stuuy is able to take any type of
biomass as fuel. Biffeient mouels have uiffeient featuies anu sizes. Some mouels can
accommouate thiee pots, anu have been iepoiteu by useis to woik well when cooking foi
many people. This is a gieat neeu in some places, especially if families aie laige. In geneial,
the biochai stoves can suit a vaiiety of uiffeient neeus so auopteis have fewei
compiomises to make when switching stoves.
Reuuy has been able to cieate peiceiveu neeus foi biochai application in some
cases, such as the case uesciibeu to suppoit the obseivability hypothesis (next section).
Reuuy stiategically useu faimei plots to make biochai's benefits visible to the community.
When they saw what biochai coulu uo, they felt like they neeueu it anu so auopteu. The
neeu foi biochai also cieateu a gieatei peiceiveu neeu foi biochai-piouucing stoves - anu
a gieatei incentive to use them. The successful auoption iates of multiple uiffeient kinus of
stoves show that the uiffeient stoves aie meeting the uiffeient neeus of people.
11S

An inteiesting anu useful stuuy woulu compaie stove usage among auopteis 4 yeais
aftei auoption of biochai piouucing stoves with buy-back piogiams, biochai piouucing
stoves without buy-back piogiams, anu non-biochai-piouucing clean cookstoves. This
coulu pioviue some valuable insight into the uiffeience monetaiy incentives, biochai
incentives, oi no incentives makes on continuing cookstove use. Neeuing an extia income
souice oi a biochai souice foi the vegetable gaiuen coulu be enough incentive to maintain
biochai cookstove use ovei the long-teim, but this neeus to be stuuieu. Eviuence fiom the
Costa Rica biochai buy-back piogiam inuicates the incentive may make a longei teim
uiffeience in cookstove use.

J,+"#7$,*2*'? )?8-')"+*+B

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9:7B >; H=G@:7?:B 7B;K>H;= @7>: ;< >J: K@;]:G> >:GJ=;9;UH:?D

A+5"&
Bi. Reuuy tolu the stoiy of biinging biochai technology to a community that was
unfamiliai with using chaicoal as a soil amenument. Reuuy wanteu to make the iesults of
biochai application obseivable to the community - he knew it uoesn't woik to simply come
in anu tell people to uo something to theii faim. Be built up a ielationship with thiee
faimeis (eaily auopteis) anu convinceu them to apply biochai to theii fielus.
Not only uiu Reuuy anu the faimeis see that the fielus weie ievitalizeu anu giowing
ciops - the entiie village noticeu the visual uiffeience. The people of the village unueistoou
the iesult anu all of the faimeis began using biochai to ievitalize theii uying fielus. Without
those key faimeis, othei community membeis woulu not have been able to obseive the
benefits of biochai foi themselves, anu Bi. Reuuy likely woulu not have been able to
convince them to tiy it. This stoiy illustiates not only the impoitance of obseivability but
also the iole community membeis can play to make beneficial iesults visible to community
membeis, convincing them to tiy the new innovation.
114
Beveloping ielationships with community membeis was also impoitant to
incoipoiating biochai into the festival uesciibeu above (in the compatibility with tiauitions
anu values section). Reuuy incoipoiateu biochai anu stoves into community events with
the help of community membeis, anu these events acteu like auveitisements foi the new
technologies - incieasing theii obseivability anu encouiaging auoption.

:#?/& M"$&
0bseivability has playeu a key ioll in the Talamanca pioject as well. Since the
beginning of the pioject, SeaChai has useu communication channels in oiuei to make the
benefits of theii system moie visible. Bonnelly explaineu how this helpeu with the uiffusion
of the cookstoves, especially at the beginning of the pioject. SeaChai hiieu some local
women to be community piomoteis anu auveitise foi community meetings. Because the
women aie well connecteu anu ielatable to many community membeis, many people
showeu up to the events (usually Su-6u). They weie helu in public, exposeu aieas, so
people woulu walk by, stop anu obseive out of cuiiosity. The stoves weie always uisplayeu
anu in use - cooking the sacieu hot chocolate of the Biibii. SeaChai staff uiu piesentations
about the stoves uuiing the events. They showeu how they woikeu, theii beneficial
qualities, anu that they maue biochai. This piocess was visible to community membeis -
they coulu see it happening anu see the enu iesult. Chaicoal alieauy hau value anu goou
associations in the community, anu the uemonstiations maue this valuable iesult (as well
as the othei uesiiable stove piopeities) visible to community membeis. In this case,
holuing public events to make the biochai stoves visible was key to helping community
membeis obseive the woikings of the stoves anu ueciue to auopt them. The local
community piomoteis weie key in making these events visible anu attiactive to the
community.
To inciease the obseivability of biochai's effects in soil, SeaChai gets involveu with
local community gaiuen piojects. They also iuentify "key faimeis" - eaily auopteis - who
they can ieciuit, offeiing them fiee biochai as well as instiuction in how to use it.
11S
Neighbois have inueeu noticeu the beneficial effects of biochai: "Woiu of mouth spieaus
about it. That's been pietty effective so fai."
Su9

O&"/"
CRI uses obseivability as a technique to tiy to inciease the uiffusion of biochai
application to soil. The effects of biochai aie maue obseivable thiough CRI's uemonstiation
plots. CRI also iuentifies eaily auopteis anu encouiages them to uo faimei tiials, giving
them fiee biochai anu helping them thiough the piocess. Nany of the faimei tiials have
planteu the same ciop "with biochai" anu "without biochai" next to each othei, anu the
uiffeiences in health anu volume of the ciops with anu without biochai aie veiy noticeable.
This has been veiy encouiaging foi the faimeis using it anu foi CRI. Bowevei, even with
obseivable uiffeiences on the faims, a maiket foi biochai hasn't ieally caught on locally
yet. Soiensen explaineu, "iight now we'ie in the maiket cieation stage, we want to just get
it into the soils so people see what it uoes anu they stait uemanuing it anu theie's a
uemanu foi it."

In all thiee case stuuies, community membeis - often eaily auopteis anu othei
times people who aie involveu in community events - have been iuentifieu anu useu to
make the biochai systems anu theii benefits moie visible to the geneial community. In
most cases, this has pioven useful in incieasing the success of uiffusion. In CRI's case, they
believe that moie obseivability is neeueu to builu up a local biochai maiket.

<-5.21+*-5 -> 35$2?+*+

This analysis highlights significant eviuence fiom the case stuuies that suppoits the
pieviously stateu hypotheses iegaiuing compatibility anu obseivability in the uiffusion of
biochai systems to iuial smallholuei communities. To inciease the piobability of success in
biochai system uiffusion, impoitant questions to consiuei incluue:

Su9
116
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While the questions above aie impoitant to ask in the appioach to uiffusing a
biochai system, many othei factois must be consiueieu. These factois incluue othei
components of the piocess of uiffusing innovations (as uiscusseu in Chaptei 4.S) as well as
ceitain othei consiueiations that apply to the complex piocess of uesigning anu
implementing biochai systems. Although these consiueiations will not be uiscusseu in
uetail in this papei, a few impoitant ones will be mentioneu in the next chaptei.
117
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"@;]:G>?

Although the case stuuy analysis focuseu mainly on compatibility anu obseivability,
theie aie many othei impoitant consiueiations that must be taken into account when
uesigning anu implementing biochai ielateu piojects. A few moie of the impoitant lessons
aiise fiom the case stuuies anu aie piesenteu below.

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9?.5 &? ).'/"0"^.'8W - Bi. N. Sai Bhaskai Reuuy
S1u

It is impoitant to take an integiative appioach when uesigning biochai piojects anu
systems foi smallholuei communities. Technologies involving biochai aie capable of
auuiessing many issues, anu as pieviously uiscusseu, smallholuei communities face many
inteilocking pioblems. It is impoitant to keep all local issues anu values in minu anu
auuiess them when possible with the available tools - this often means incoipoiating othei
functions besiues soil iemeuiation into the system. It shoulu also be emphasizeu that
biochai piouuction anu application to soil uoes not have to be the cential element anu goal
of a biochai system uiffusion pioject. The ultimate goal foi these piojects is to biing as
much benefit as possible to smallholuei communities, anu that will come in uiffeient foims
anu balances in uiffeient places - each system must be continually aujusteu to fit the neeus
anu context of a local community. Stiiving to make biochai systems integiative anu
compiehensive will biing gieatei anu moie univeisal benefits to communities. It will also
likely to make auoption (of a biochai system) moie attiactive, theiefoie incieasing
uiffusion success.

S1u
Reuuy. "Sustainability of Biochai Systems in Beveloping Countiies."
118

!FUU:?>H;=? <;@ H=G;@K;@7>H;=
Theie aie many things that can be integiateu into biochai systems, anu as Bi. Reuuy
noteu, the moie uses the chai has befoie it ieaches the soil, the moie value it has. When
incoipoiating othei elements into a biochai system, it is impoitant that theie is a neeu foi
these elements anu that they aie cultuially compatible, otheiwise theii uiffusion won't be
successful, anu theii inclusion coulu negatively affect the uiffusion of the entiie biochai
system. 0ftentimes, howevei, the incoipoiateu elements othei than biochai %.0D the
uiffusion of a biochai system. Some examples of technologies anu iueas that can be
incoipoiateu into biochai systems aie as follows:

Biochai cook stoves - impiove inuooi aii quality anu health, among othei things.
uieen chaicoal biiquettes - Cleanei, cheapei, moie sustainable than tiauitional fuel
in many places.
Biochai uiinals - 0seu to impiove local sanitation; automatically chaiges the
biochai.
S11

Biochai watei filtiation - Cieates access to clean watei.
Pyiolysis of invasive plant biomass to make biochai - Belps iestoie native
ecosystem, pioviues feeustock.
Incoipoiation of biochai into local tiauitions, iituals, festivals, cultuies etc.

'=G:=>HW:?
V4# 7#9 K&+/ D.#D0. /# /'7 ?#-./%"+2N Q&7 /%.-8W - Ait Bonnelly
S12

Incentives aie often an effective way to get people to tiy oi auopt a new technology.
Both CRI anu SeaChai successfully use incentivizing thiough theii buy-back piogiams. It
woiks - people aie getting paiu to use SeaChai's clean biochai cookstoves because they aie
getting paiu foi the biochai that they piouuce. People aie getting paiu to uispose of theii
agiicultuial waste (thiough pyiolysis) because they aie getting paiu foi the biochai that
they piouuce fiom it. Without these incentives to auopt, uiffusion of these systems woulu
be unlikely to occui, especially because of the high poveity context. Regaiuing incentives,
Eiic Soiensen elaboiateu, "'I uon't giow a lot of foou,' is not an incentive to change.A

S11
S12
119
successful mouel is going to figuie out how to pay people.We buy |the biochaij back fiom
|the biochai entiepieneuisj so theie's a uiiect financial incentive foi them to make it."
S1S

'B:=>H<MH=UcF?H=U :7@9M 7B;K>:@?
As uiscusseu in the uiffusion of innovations liteiatuie, a common uiffusion
technique is to iuentify eaily auopteis anu taiget them foi auoption fiist. The hope is that
that they will auopt anu then othei community membeis will follow theii leau. A successful
case of this was uesciibeu in the analysis of the obseivability hypothesis. Ait Bonnelly
emphasizeu the impoitance of this stiategy. "If you'ie woiking in a uevelopment situation,
you've got to inuentify key playeis, opinion makeis, influential people in theii
communities.People mouel theii behavioi off of othei people.Finu some of those people
anu concentiate on them. It'll pull othei people in to see anu look what's going on."
S14
All
thiee case stuuies useu this methou to some uegiee, anu it has pioven useful.

-;VVF=HG7>H;=
Communication with the local community is extiemely impoitant both in uesigning
the pioject anu uuiing uiffusion. It is impoitant to get a lot of feeuback anu input fiom
community membeis anu also to have community membeis on the team, so that a local
point of view is taken into account anu so theie is always someone piesent in the local
community to continue the pioject. Leaining about the community, ielating to the local
people anu gaining theii tiust is an impoitant step in uiffusion. It is impoitant to speak
about the biochai system in language that is unueistanuable, ielatable anu attiactive to the
local people. Bi. Reuuy noteu that using jaigon is a mistake, anu that it is impoitant to put
explanations into layman's teims.
S1S

!;GH79 G;=>:Y>
It is impoitant to take social context into account, especially foi the uiffusion of
biochai as a soil amenument. If people uon't have soliu lanu tenuie, it is unlikely they will

S1S
S14
S1S
12u
want to make a long-teim investment in the lanu they aie cuiiently woiking on. Change
agents shoulu be awaie of local beliefs, cultuial noims, anu taboos in oiuei to align the
system anu its uiffusion with the local cultuie anu avoiu offenuing people.

!G7978H9H>M
When uesigning a biochai technology oi system, it is impoitant to think about scale.
Foi example, piouucing biochai using only one family cookstove will not yielu enough
biochai in a ieasonable time scale foi a faim. If a family faithfully uses theii stove foi eveiy
meal eveiy anu yielus an aveiage of 1.7S kg pei uay (the Estufa Finca aveiage), a yeai's
yielus will only be about 7u peicent of one ton, anu stanuaiu biochai application iates
(mentioneu in Chaptei 4) stait aiounu two tons pei hectaie, although moie biochai biings
bettei iesults (to a point). Accumulating a minimum amount of biochai foi one hectaie
woulu take S yeais
Buyback piogiams such as SeaChai's can help cookstove biochai accumulate fastei,
but if the biochai stays within the community but theie is no othei souice, few people
woulu be able to auopt biochai application at a time anu theie woulu be long waits uue to
low supply. Foi this ieason, cookstove biochai piouuction is not veiy scalable anu best
useu foi buy-back piogiams oi vegetable gaiuens.

4$&0"+2 "/ 9D
Because biochai cookstoves aie extiemely small-scale in teims of biochai
piouuction, stove piojects usually incoipoiate othei technologies that aie moie scalable,
such as TL0Bs. A stanuaiu SS-gallon TL0B piouuces about 8 to 12 kilogiams of biochai pei
batch
S16
anu TL0Bs aie extiemely cheap anu easy to make. Batches can also take as shoit
as one houi. If you have 1S people make S batches of biochai in one uay, you can have a ton
iight theie. If one peison makes one batch pei uay, they coulu have almost S tons within
one yeai. TL0B ovens aie ieasonably scalable because they aie so cheap anu opeiating
time is ielatively shoit. Theie aie also newei, laigei oven, ietoit anu hybiiu uesigns that
can piouuce laigei amounts of chai in one iun.

S16
"Biochai Piouuction 0nits." A+/.'+&/"#+&0 !"#$%&' A+"/"&/",.. Inteinational Biochai Initiative, 2u1S. Web.
121

<..5?/#$G
Feeustock souice anu availability is an impoitant consiueiation, especially when
looking to scale up piouuction. Theie is an extiemely wiue vaiiation in feeustocks anu ciop
yielus, so the amount of lanu that piouucing one ton of biochai woulu iequiie (by using
that lanu's agiicultuie waste) vaiies gieatly. Foi an example of what one agiicultuial waste
feeustock woulu yielu we can look at coffee piunings (which aie useu as fuel in the Estufa
Finca). A 1981 stuuy founu fuel woou yielus fiom coffee piunings in Costa Rica:
S17

Coffee uensity (plants pei hectaie): S89S
0ven uiy fiiewoou: (kilogiams pei hectaie): 1111
Piuneu bianches (numbei pei hectaie): 4Su8
Nean oven uiy weight pei bianch (kilogiams): .24
Nean oven uiy fiiewoou weightplant (kilogiams): .28

If biochai piouuction technologies like the TL0B geneially yielu a 2u-Su% biochai
mass of the oiiginal (uiy) feeustock, we can calculate how much biochai one hectaie of
coffee piunings woulu yielu. 2S% biochai yielu multiplieu by 1111 kilogiamshectaie of
oven uiy fiiewoou equals appioximately 278 kilogiams of biochai. Relying on these
piunings alone as a feeustock woulu not be veiy scalable, because it woulu take 6.S yeais to
get 2 tons of biochai. Bowevei, luckily theie aie often othei feeustock souices as well, such
invasive plants (uiscusseu below). Also, these piuning yielus coulu be uiastically uiffeient
fiom othei faims anu especially fiom othei feeustocks.
Scalability is a ciitical factoi in biochai systems anu must be assesseu with each
inuiviuual pioject.

!F?>7H=78H9H>M
V6%. -&"+ $%&00.+2.? f)#' ;"#$%&'g &'. /%. &,&"0&;"0"/7 #) ?9?/&"+&;0. ?#9'$.? #) ;"#-&?? &+5
/%. &$$.??";"0"/7 #) .))"$".+/ ;"#-&??\/#\;"#$%&' $#+,.'?"#+ /.$%+#0#2".?8W - Bi. N. Sai Bhaskai
Reuuy
S18

S17
Romijn, N., anu E. Wilueiink. <9.0K##5 7".05 )'#- $#)).. D'9+"+2? "+ /%. 69''"&0;& T&00.78 CATIE, 1981. Web.
S18
122
Sustainability is an incieuibly impoitant factoi that must be auuiesseu in eveiy
biochai pioject. Theie aie many subtopics within sustainability that neeu to be consiueieu.
These challenges must be acknowleugeu anu fully auuiesseu, because if they aien't, biochai
uiffusion coulu uo moie haim than goou.

49?/&"+&;0. )..5?/#$G ?#9'$.
It is impeiative that biochai feeustock uemanu uoes not leau to the unsustainable
haivest of foiest iesouices oi to haimful lanu-use uecisions (such as lanu-giabbing). Bi.
Reuuy wiote, "The appioach of having captive lanus foi biomass piouuction foi laige scale
commeicial piouuction of biochai shoulu not be encouiageu, because this appioach
competes with the limiteu lanu iesouices."
S19
In locations that uo not have much available
biomass waste, sustainable biochai systems may not be feasible. Feeustock souices foi
biochai shoulu come fiom biomass that woulu otheiwise be "waste," such as agiicultuial
waste, oi foou waste. Bonnelly mentioneu that coconut shell, which is abunuant in Costa
Rica, makes a goou biochai.
S2u
Anothei goou feeustock souice is invasive plants. Reuuy
suggests using the D'#?#D"? d90")0#'&S an abunuant, invasive plant in Inuia,
S21
anu Bonnelly
suggests using bamboo anu othei invasive plants in Costa Rica.
S22

*-D%&?"^. ?9?/&"+&;"0"/7 59'"+2 5"))9?"#+
The impoitance of using sustainable feeustock souices must be stiesseu by all
change agents - it is theii iesponsibility that the system they uiffuse iemains sustainable.
Change agents shoulu also emphasize anu encouiage othei sustainable agiicultuial
piactices.

Q'#d.$/ &+5 ?7?/.- 0").$7$0.
The oveiall emissions lifecycle (incluuing tianspoitation emissions, etc.) of pioject
implementation anu of an ongoing biochai system shoulu be consiueieu anu assesseu if

S19
S2u
S21
S22
12S
possible. The caibon footpiint shoulu iemain low if it is not negative (uue to the biochai's
offsetieuuction in uefoiestation anu emissions).

*-"??"#+? &+5 .))"$".+$7
Emissions of the biochai technologies shoulu be testeu anu kept low. No open
buining of biomass shoulu occui, anu chaicoal shoulu be maue using low-emissions
technology. The tiauitional methous of making chaicoal have much highei emissions anu
shoulu not be encouiageu. In auuition to having low emissions, biochai systems shoulu
stiive foi high biomass-to-biochai efficiencies. Efficiencies vaiy uepenuing on technologies
anu othei factois, but most technologies shoulu be able to get above a 2u peicent yielu of
biochai by weight.

!"#$%&' /.?/"+2
Biochais shoulu be locally testeu anu fielu tiials shoulu always be peifoimeu to
make suie the paiticulai biochai being useu biings woithy benefits to the local soil.
Inoculation anu chaiging shoulu be piacticeu in fielu tiials anu in uiffusion.
124
-;=G9F?H;=
Biochai-ielateu technologies that aie appiopiiate foi the iuial smallholuei context
uo exist, anu uesigning integiative biochai systems foi uiffusion in this context has the
potential to biing long teim social, economic anu enviionmental benefit to smallholuei
communities. Ruial smallholuei faimeis make up a laige piopoition of the woilu's
population, anu collectively, uiffusion of biochai systems to many of these communities
aiounu the woilu coulu have a gieat global enviionmental impact that aius in agiicultuial
sustainability, lanu conseivation, anu foiest conseivation in auuition to iemeuying
significant local issues.
Bowevei, wiuespieau uiffusion to the ueveloping woilu smallholuei context is a
long way away. The mouein biochai fielu is young, anu the smallholuei-biochai-system-
uiffusion fielu is in its infancy. At this point, eveiy on-the-giounu biochai uiffusion pioject
biings valuable new expeiience, insight anu innovation to the fielu, anu it is impoitant that
these piojects aie shaieu anu leaineu fiom.
Focusing on uiffusion technique anu system uesign is just as impoitant as impioving
technologies anu expanuing fielu anu lab ieseaich; if biochai systems foi the smallholuei
context uon't uiffuse well, theie will be little benefit, wasteu iesouices anu iegiet.
In analyzing biochai uiffusion case stuuies, I focuseu only on compatibility anu the
iole of community membeis in obseivability because these aspects ueseiveu full attention
iathei than getting lost in a sea of the many impoitant aspects of uiffusion (which aie also
woith exploiing fuithei with iespect to small scale biochai systems). The case stuuies
showeu not only that compatibility is impoitant, but also that it can anu shoulu be
appioacheu in many uiffeient ways. Causing a biochai system to be peiceiveu as
compatible by a local community is a uynamic piocess that takes anu ueseives time, effoit,
cieativity anu flexibility. The same goes foi foiming tiusting ielationships with local
community membeis, who aie vital to the uiffusion piocess foi many ieasons incluuing
theii influence on obseivability.
So, can convincing someone to spiinkle chaicoal uuiing a festival change the woilu.
It may seem like a silly pioposition but its gieatei significance is woith acknowleuging anu
contemplating. Smallholuei issues aie woilu issues that affect eveiy human incieasingly so
12S
as time goes on. Biochai-ielateu technologies anu knowleuge can have a positive impact,
but these iemeuies will take holu only if they aie compatible with anu beneficial to the
bouy that ieceives them.
If biochai systems aie tailoieu to be compatible with the specific communities to
which they aie intiouuceu, theie is a bettei chance that those communities will peisist in
using them foi the long teim anu that auoption will spieau. These biochai systems may be
small-scale (foi goou ieasons), but that uoesn't mean they uon't have a laige potential.
0ne of the most valuable things I leaineu fiom my peisonal inteiviews with Eiic
Soiensen, Ait Bonnelly, anu Sai Bhaskai Reuuy is that uiffusion piojects like these iequiie
tiemenuous commitment fiom theii suppoiteis anu staff. The piojects I stuuieu anu the
people I talkeu to have given me ieason to hope that the eneigy, uevotion anu passion that
they aie putting into these piojects will pay off foi as long as biochai iemains in the soil,
anu that the payoff will spieau anu multiply like miciobes that encountei biochai.
126
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