Plan Vivo Standards 2008

THE PLAN VIVO STANDARDS 2008

This document replaces all preceding versions of the Plan Vivo Standards and comes into force on the 11th August 2008. It can be accessed electronically at www.planvivo.org/___

Suggestions and Comments Any suggestions or comments on the contents of this document may be emailed to [email protected], or alternatively sent by post to: Plan Vivo Foundation Tower Mains Studios 18b Liberton Brae Edinburgh EH16 6AE Tel: 0044 (0)131 672 3782 Fax: 0044 (0)131 672 9299 www.planvivo.org

Contents Glossary of Selected Terminology and Acronyms ...................... 4 Scope and Structure........................................................................ 7 1 Introduction.................................................................................... 9 1.1 Applicability of the Standards..................................................................................12 1.2 The Rationale for Payments for Ecosystems Services............................................. 13 1.3 Plan Vivo Guiding Principles.................................................................................. 14 1.4 Governance of the Standards .................................................................................. 15

2 Actors ........................................................................................... 17 2.1 Plan Vivo Projects.................................................................................................... 18 2.2 Plan Vivo Foundation.............................................................................................. 18 2.3 Technical Consultants and Research Partners......................................................... 18 2.4 Project developers and Funders............................................................................... 19 2.5 Expert Reviewers..................................................................................................... 19 2.6 Third-Party Verifiers................................................................................................ 19 2.7 Purchasers (Buyers and Resellers)........................................................................... 20

3 Project Stages and Processes.................................................... 22 3.1 Concept Phase.......................................................................................................... 24 3.2 Project Design Phase................................................................................................ 27 3.2.1 Development of technical specifications.......................................................... 27 3.2.2 Review and Approval........................................................................................28 3.2.3 Development and Approval of Project Design Document (PDD).................... 32 3.3 Validation and Project Registration......................................................................... 32 3.4 Annual Reporting and Certificate Issuance............................................................. 33 3.5 Third-Party Verification........................................................................................... 35

4 Plan Vivo Project Standards ...................................................... 36 ANNEX 1: Basic eligibility checklist for an envisaged Plan Vivo project.............................................................................................. 41 ANNEX 2: Plan Vivo Project Idea Note (PIN) Template .............. 43 ANNEX 3: Plan Vivo Project Idea Note (PIN) Application Evaluation........................................................................................ 50 ANNEX 4: Template for Plan Vivo Project Design Document (PDD)................................................................................................ 52

Glossary of Selected Terminology and Acronyms Additionality

A project is ‘additional’ if it, and the activities supported by it, could not have happened were it not for the availability of carbon finance

Afforestation

Establishing forest on land that, until then, was not classified as forest

Agroforestry

Growing trees and crops on the same piece of land

Baseline

The starting reference point from which the carbon benefits of project activities can be calculated

Biodiversity

The variety of ecosystems and living organisms (species), including genetic variation within species

CO2

Carbon Dioxide

Community Technicians Plan Vivo producers that have been trained and authorised to carry out monitoring activities Deforestation

The direct human-induced conversion of forested land to another land-use or the long-term reduction of the tree canopy cover below the minimum 10% threshold

Ecosystem

A community of plants and animals (including humans) interacting with each other and the forces of nature

Forest

A land area of more than 0.5 ha, with a tree canopy cover of more than 10%, which is not primarily under agricultural or other specific non-forest land-use. In the case of young forests or regions where tree growth is climatically suppressed, the trees should be capable of reaching a height of 5m in situ, and of meeting the canopy cover requirement

Forest Restoration

The process of assisting the recovery of a forest that has been degraded or damaged

FSC

Forest Stewardship Council

GHGs

Greenhouse gases: six gases are defined in the Kyoto Protocol as contributing to climate change: carbon dioxide, hydrofluorocarbons, methane, nitrous oxide,

perfluorocarbons and sulphur-hexafluoride. These are known as greenhouse gases. ISO

International Standards Organisation

Leakage

The unintended change (normally thought of as being negative although positive leakage can occur) of carbon stocks outside the boundaries of a project resulting directly from the project activity. The change may be an increase in emissions or a decrease in sequestration, resulting in a lower carbon benefit being attributable to the project.

Native Species

A species that has arrived and inhabited an area naturally, without deliberate assistance by man, or would occur had it not been removed through past management.

Naturalised Species

A non-native species that reproduces consistently and sustains populations over more than one life cycle without direct intervention by humans

Plan Vivo

Sustainable land-management plan for a specified piece of land, drawn-up by the land-holder.

Plan Vivo Project

A project the Plan Vivo Foundation has registered following validation that it is successfully implementing and developing the systems it requires to provide quantifiable ecosystem services and promote sustainable livelihoods.

Plan Vivo PIN

A registered project proposal that has been judged by the Plan Vivo Foundation as having the potential to help communities and assure effective, quantifiable ecosystem services and promote sustainable livelihoods

Plan Vivo Registry

The official record of how many Plan Vivo Certificates have been issued by the Plan Vivo Foundation

Plan Vivo Reseller

A company, organisation or individual that has been registered by the Plan Vivo Foundation as an official reseller of Plan Vivo Certificates

Plan Vivo Producer

Someone who has written and registered a Plan Vivo with a project coordinator

Reforestation

The establishment of forest on land that has been deforested

Sustainable Land-Use

The planned use of land, consistent with meeting livelihood requirements, protecting soils, watercourses and biodiversity

Validation

The initial evaluation of a project against Plan Vivo Standards, undertaken by an expert-reviewer (preregistration)

Verification

The evaluation of a project post-registration, against the Plan Vivo Standards, by an approved third-party verifier, to ensure continued compliance with Standards

VERs

Voluntary Emissions Reductions – reductions made where there is no legal requirement to do so, i.e. out with Kyoto or any other regulatory scheme

Woodland

Vegetation in which trees, often small and characteristically short-stemmed in relation to their crown depth, are present but form only an open or sparse canopy

Scope and Structure Scope This document is split into two parts. The first part describes the governance and processes relating to the standards and registration of Plan Vivo projects and the stages of developing a Plan Vivo project. The second part contains the Plan Vivo Standards, which are the criteria a project must meet to register as a Plan Vivo project. When should I consider using the Plan Vivo Standards? Project developers and organisations should consider using the Plan Vivo Standards where: • • •

They operate or plan to operate in developing countries to promote sustainable development; They work with or plan to work with small-scale farmers and/or rural communities to deliver long-term carbon sequestration and/or conservation and other ecosystem benefits; They wish to implement a sustainable land-use project with an emphasis on rural livelihoods and native or naturalised tree species.

Structure Chapter one gives a brief introduction to Plan Vivo, its history and purpose, and guiding principles and objectives. It also describes how the System is governed and developed. Chapter two describes the different actors involved in the development, registration, operation and review of projects, which include the Plan Vivo Foundation, Plan Vivo projects, expert reviewers, approved third-party verifiers, purchasers of Plan Vivo Certificates (buyers and resellers), technical consultants and research and funding partners. Chapter three describes the different stages involved in developing and operating a Plan Vivo project, which include: •

Registering a project idea note (PDD), which is the first step towards becoming a Plan Vivo project (section 3.1);

•

Development and approval of technical specifications, which describe each land-use activity, calculate the carbon benefit, prescribe risk management and monitoring activities and contain analyses of leakage, additionality and permanence (section 3.2);

•

Development and approval of the project design document (PDD), which describes the project, its activities, internal governance structure and procedures (section 3.3);

•

Validation and project registration (section 3.4);

•

Annual reporting, which allows the Plan Vivo Foundation to continually review the progress of projects and triggers Certificate Issuance (section 3.5);

•

Third-party verification, which involves complete verification of the project against the Plan Vivo Standards by an accredited verifier approved by the Plan Vivo Foundation (section 3.6).

Chapter four contains the Plan Vivo Standards for approved projects. The standards provide the basis for the validation and verification of projects.

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1 Introduction What is the Plan Vivo System? The Plan Vivo System is a set of tools, processes, guidelines and standards which enable communities in developing countries to access payments for ecosystem services. These payments strengthen the ability of developing country communities to protect, restore and improve the natural and productive ecosystems on which they depend and which also provide global public goods. Plan Vivo was first conceived and developed in 1994, as part of a UK Department for International Development (DFID) funded research project in the Chiapas region of Southern Mexico. The development of the project was led by the Edinburgh Centre for Carbon Management (ECCM), in partnership with El Colegio de la Frontera Sur (ECOSUR), the University of Edinburgh and other local organisations. The project itself, Scolel Te (‘the tree that grows’), is the longest standing Plan Vivo project. The name of the System derives from the ‘Plan Vivo’ (living plan) that is created by farmers and communities and forms the basis of the land-use project activities. What is a Plan Vivo? A Plan Vivo or ‘living plan’ is a long-term plan for land management drawn up by an individual farmer or community (see Figure 1). Plan Vivos incorporate carbon sequestration or conservation activities which are funded by selling verifiable emission reductions in the form of Plan Vivo Certificates. When drawing up Plan Vivos, farmers receive training and guidance from local technicians. Each Plan Vivo is evaluated on the basis of its suitability for the land and compatibility with the goals of the Plan Vivo System. Once a Plan Vivo is approved, the expected carbon benefit of the sequestration activities can be calculated using the project’s technical specifications. The carbon benefit is then sold on the farmer or community’s behalf by the project coordinator. It is sold in the form of Plan Vivo Certificates. The total payment due to each producer is then divided into instalments and disbursed over many years provided the targets in each producer’s sale agreement are met. Monitoring of performance is carried out by project technicians who provide producers with continued advice and support.

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Figure 1: The first Plan Vivo, drawn up by Antonio Gomez Demera, a farmer in Chiapas, Southern Mexico, 1996. What is a Plan Vivo Certificate? A Plan Vivo Certificate is an environmental service certificate representing the long-term sequestration of one tonne CO2, plus additional ecosystem and livelihood benefits: • Biodiversity conservation through expansion and strengthening of protected areas and native species; • Poverty reduction and sustainable livelihoods through sustainable agriculture and micro-enterprises; • Restoration of degraded and degrading ecosystems; • Adaptation of natural and managed ecosystems to climate change (watershed protection, soil stabilisation, regulation of regional micro-climates); • Increased resilience to climate change and decreased dependence on aid through capacity-building, knowledge and skills transfer and community development.

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Who Can Run a Plan Vivo Project? Each project is run by an in-country project coordinator in consultation with local communities. The project coordinator is responsible for recruiting communities into the project and coordinating training, overseeing technical aspects and conducting monitoring of project activities, and coordinating carbon sales with individual farmers. The project-coordinator should be a non-governmental community-based organisation with strong links to local groups and, ideally, experience working with target communities. Eligible organisations include: • •

Existing local or national environmental non-governmental organisations (NGOs); Independent trust funds or not-for-profit companies (NFPCs) established specifically to deliver a Plan Vivo project.

Who are Plan Vivo producers? The project coordinator identifies groups of farmers or ‘producers’ who will implement activities eligible under the Plan Vivo Standards on their land. Producers may have a Plan Vivo for their own piece of land or be part of a group with a Plan Vivo for a piece of community-owned land. Producers undergo training and identify which land-use activities they want undertake (e.g. agroforestry, woodlots). Each producer (or whole community) then draws up their own Plan Vivo which is reviewed by the project coordinator, modified if necessary, and approved if suitable. Producers then form ‘sale agreements’ with the project coordinator for the calculated carbon benefit of their land management activities (which is calculated using the technical specification for that land-use system). Sale agreements place long-term obligations on producers to manage their land according to their Plan Vivo, and on the project coordinator to monitor producers’ performance against specified targets and time-frames and to make payments when producers meet their targets.

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1.1 Applicability of the Standards 1. Start Date Projects will typically use the Plan Vivo Standards from the outset. However, it is also possible for a project that is already running to become approved under Plan Vivo Project at a later date provided it can meet the Plan Vivo Standards. No retroactive crediting is possible for activities already implemented. 2. Eligible Land Types Plan Vivo projects are for rural communities with the following land types:  Small-holder owned or leased farmland;  Community owned land;  Land for which communities have agreed use rights with the owner (e.g. state land where communities have forest use rights). 3. Eligible Activities Projects must promote sustainable land-use practices that benefit communities in rural areas. Sustainable land-use is defined as the planned use of land, consistent with meeting livelihood requirements, protecting soils, watercourses and biodiversity. Eligible activities are:  Agroforestry, afforestation and small-scale timber, fruit or wood fuel plantations;  Restoration and reforestation of degraded or damaged ecosystems such as woodlands;  Conservation of forests and woodlands under threat from deforestation. Forests shall be deemed to be under threat from deforestation where concrete and credible evidence is provided All activities must be limited to the use of native or naturalised species and promote the restoration or protection of native ecosystems. Naturalised (i.e. non-invasive) species are eligible only where they can be shown to have compelling livelihood benefits and: 1. Communities have clearly expressed a wish to use this species; 2. The areas involve are not in immediate proximity to conservation areas or likely to have any significant negative effect on biodiversity; 3. The activity is still additional i.e. the producers in the area are not doing this activity or able to do this activity without the intervention and support of the project; 4. The activity will have no harmful effects on the water-table.”

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1.2 The Rationale for Payments for Ecosystems Services Land-use, land-use change and forestry (LULUCF) collectively accounted for 40% of global GHG emissions rises between 1997 and 2004 (IPCC 2007). The Intergovernmental Panel on Climate Change (IPCC, 2007), have found that: “Forest related mitigation activities can considerably reduce emissions from sources and increase CO2 removals by sinks at low costs, and can be designed to create synergies with adaptation and sustainable development.”1 The Plan Vivo System is designed specifically to create such synergies. It was developed to operate in rural communities in developing countries, where the continued conversion of forested to non-forested land is a major cause of increased levels of GHGs in the atmosphere. Land-use change in these countries is accelerating the degradation of local ecosystems and undermining the wellbeing of rural communities. The Plan Vivo System provides reliable and tested methodologies, processes, and administrative and technical models that enable project developers to deliver real benefits from land-use carbon management projects. In addition to climate change mitigation and adaptation, project activities improve ecosystems and rural livelihoods. Payments for ecosystem services (PES), in particular for carbon benefits, can provide the resources needed to help protect, restore and improve the ecosystems rural communities depend on for food, fuel, materials, medicines, soil fertility and other aspects of wellbeing. The Plan Vivo System ensures that payments go directly to communities. It empowers communities to take control of their own resources and work to break negative cycles of poverty and degradation of natural resources.

1

IPCC, 2007: Summary for Policymakers. In: Climate Change 2007: Mitigation. Contribution of Working Group III to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [B. Metz, O.R. Davidson, P.R. Bosch, R. Dave, L.A. Meyer (eds)], Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.

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1.3 Plan Vivo Guiding Principles 1. Effective and Transparent Governance Plan Vivo projects, and the Plan Vivo System itself must have an effective and transparent governance structure. This is achieved by applying standardised procedures for registering, validating, verifying and reporting all project activities, so that information can be accessed and interpreted easily. Projects use the standardised Plan Vivo database for recording producer information, transactions, monitoring results and payments, submit annual reports which are published online, and carry out activities in accordance with their operational manual and independently reviewed technical specifications 2.

Flexible and Robust Standards

The Plan Vivo Standards are designed to give high levels of assurance to purchasers and investors that multiple benefits will be delivered, whilst balancing considerations of rigour with the need for flexibility, accessibility and cost-effectiveness. Projects are encouraged to start small and scale up through a process of replication as the soundness of the project design is tested. 3. Quantifiable, Additional and Permanent Carbon Storage Plan Vivo Projects are highly additional; they work only with small-scale farmers and communities in developing countries who would otherwise lack the financial, technical and organisational capacity to implement sustainable land-use activities that result in carbon sequestration and other ecosystem benefits. Activities are not eligible if they are the direct result of legislative decrees or commercial land-use initiatives likely to have been fully enforced or economically viable in their own right without payments for ecosystem services. Activities need to have more than just long-term carbon sequestration benefits; they must be designed as part of an integrated plan for sustainable land-use which incorporates risk management. Producers are given extensive and regular support and training to ensure that ecosystem benefits and sustainable resource-use are not only initiated, but become embedded in the area. Projects will only succeed if land-use practices are viable over the long-term and provide sustainable economic benefits to communities over and above carbon payments. 4. Capacity-building, Diversification and Community-Led Design The Plan Vivo System is geared towards transferring knowledge and skills to projects and reducing dependency on external support. The standards include indicators to monitor progress towards sustainable land-use through capacity building and high levels of community engagement. Projects are required to show continuous improvement, and document training and other processes such as verification or other reviews, to ensure that projects ‘learn by14doing’. Projects should also aim to diversify their activities and develop multiple income streams over-time to ensure that an overreliance on the carbon market is not created.

1.4 Governance of the Standards The Plan Vivo Standards are managed, developed and overseen exclusively by the Plan Vivo Foundation, whose governance structure is summarised below. Plan Vivo Foundation Board of Directors • Approve or reject amendments to the Plan Vivo Standards and provide strategic guidance.

• • • • • •

•

Plan Vivo Foundation Develop the Plan Vivo System and Standards Review and register projects and resellers. Issue Plan Vivo Certificates Approve verifiers. Inform directors of registration and certificate issuance decisions Information dissemination and general promotion of the Standard

Stakeholder Forum Provide input and feedback on the Plan Vivo Standards and projects

•

Plan Vivo Technical Advisory Board Review technical specifications and provide advice on all technical aspects of projects and carbon accounting.

Figure 2: Plan Vivo Foundation Governance Structure. The Foundation has the competence and responsibility to do the following: •

Take all decisions on the registration of project concepts and status of operational projects; 15

• • • • • • •

Annually review projects based on project self-assessment (annual reporting) and periodically audit projects by undertaking site visits; Approve technical specifications and coordinate peer reviews; Issue Plan Vivo Certificates to purchasers of carbon credits on behalf of Plan Vivo projects and record all Certificate Issuances in a central database; Approve verifiers; Approve and register Plan Vivo Resellers and provide resellers with quality information about projects; Review, update and develop the Plan Vivo Standards in consultation with stakeholders; Maintain and disseminate clear and up-to-date information about the Plan Vivo system, standards and projects, principally through its website.

All amendments to the Standards must be approved by the Plan Vivo Foundation Board of Directors. The Directors’ expertise includes forest ecology and conservation, environmental management, sustainable livelihoods, community and international development, business administration, finance, climate change and environmental sustainability, bioenergy and project management. The Board of Directors meets a minimum of four times per year. The Plan Vivo Technical Advisory Board (TAB) provides independent, advice to the Foundation on all scientific and technical aspects of the standards and the projects. TAB Board members are selected because of their professional expertise in forestry, land-use activities and monitoring as well as carbon accounting. The TAB Board meets no less than twice per year on an unpaid basis (expenses may be recovered) to discuss: • • • •

The development of new technical specifications and carbon accounting methodologies; Outcomes of technical specification reviews; New developments in the science of carbon sequestration and climate change impacts; Other technical issues arising in Plan Vivo Projects.

The Stakeholder Forum is an informally constituted group representing the projects, research partners and other users and stakeholders in Plan Vivo. It feeds into the consultation process to ensure the System develops in a pragmatic way and continues to meet the needs of those who use or have a stake in it. Funding The Plan Vivo Foundation is primarily funded through a levy imposed on the issuance of Plan Vivo Certificates and project and reseller registration fees. It may also receive donations, grants and funding contributions from the private and public sector. 16

2 Actors This chapter describes the roles and competences of the main actors in the Plan Vivo System, shown in Figure 3 below.

Plan Vivo Foundation Expert reviewers

Third party verifiers

Project developers and funders

Technical consultants and research institutes

Producers

Producers

Carbon buyers and resellers

Project coordinators

Producers

Producers

Figure 3: Actors in the Plan Vivo System

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Producers

Producers

2.1 Plan Vivo Projects The Project Coordinator Plan Vivo projects are managed by a project coordinator, who is responsible for negotiating carbon sales with purchasers, forming sale agreements with producers, coordinating monitoring activities and administering payments to producers where monitoring targets are met. •

Project Administrative, Social and Technical Teams

Projects must have an effective system of governance that includes administrative, technical and social capabilities. There is no prescribed structure for a Plan Vivo project as long as the governance structure is found to be effective, transparent and accountable, and able to support core project functions such as checking land-tenure, effective monitoring, training and coordinating community meetings. Producers Plan Vivo producers are land-holders that have written and registered Plan Vivos, and signed sale agreements with the project coordinator agreeing to carry out specified monitoring and management activities in return for staged payments.

2.2 Plan Vivo Foundation See section 1.4.

2.3 Technical Consultants and Research Partners Projects normally require some external technical assistance, especially in the early stages, to design and implement land-use systems and develop technical specifications. The Plan Vivo Foundation can provide advice on suitable organisations to contact. Research institutes may be involved in providing technical information, helping develop technical specifications and supporting project technicians with: • • • •

Biomass surveys; Baseline studies; Carbon modelling; Advice on particular technical problems; 18

• •

Training workshops for producers; Biodiversity surveys. Projects may also in later stages wish to conduct research into the wider ecosystem benefits of implemented activities by measuring factors such as soil nutrient analysis, stream surveys of water quantities, flow patterns and quality characteristics.

2.4 Project developers and Funders Most projects will also require external funding in the early stages in order to develop technical specifications, build internal capacity and carry out other aspects of project design and implementation. Once projects are capable of carbon sales, they become more reliant on carbon finance to fund operational expenses. Financial self-sufficiency through carbon sales is the goal of Plan Vivo projects. However, even fully operational projects may still require some external support until carbon sales reach a sufficient scale for carbon finance to provide complete financial independence.

2.5 Expert Reviewers The Plan Vivo Foundation selects and commissions expert reviewers to conduct an initial validation of each new project. They are chosen on the basis of their professional experience, knowledge or expertise in any of the following: • • • •

Forestry and carbon sequestration projects; Carbon accounting; Native ecosystems and social dynamics of the host country; Organisations involved in the project.

The names of reviewers are published on the Plan Vivo website.

2.6 Third-Party Verifiers Verifiers assess projects against the Plan Vivo Standards based on terms of reference agreed between project coordinators and verifiers. Verifiers deliver a Verification Report to the project and the Foundation. Verifiers are chosen by projects but must be approved by the Plan Vivo Foundation (see section 3.5). Verification reports are published on the Plan Vivo website. Wherever possible, projects should seek to make allowance for verification by building the costs into the price of carbon. 19

Approval of Verifiers The Plan Vivo Foundation will approve verifiers that:  Have appropriate experience and expertise in forestry and carbon sequestration projects;  Have appropriate experience working in developing countries;  Have documented experience in verifying GHG reductions and using sustainability metrics;  Are accredited by an international certification authority such as the CDM, ISO 14064, California Climate Action Registry, FSC or other forestry certification programmes deemed appropriate by the Plan Vivo Foundation.

2.7 Purchasers (Buyers and Resellers) Purchasers of Plan Vivo Certificates may be companies, organisations and individuals that wish to compensate for or ‘offset’ their carbon footprint in a way that promotes sustainable development. Purchasers may purchase Plan Vivo Certificates directly from projects through the project-coordinator or use the Plan Vivo ESCROW facility. Certificates are issued at the end of each year by the Plan Vivo Foundation. Registration of Resellers The accurate representation of projects and the way in which Plan Vivo Certificates are bought and sold in the market is essential. Every purchaser wishing to resell Plan Vivo Certificates must therefore register as a Plan Vivo Reseller with the Plan Vivo Foundation and agree to comply with a Code of Good Practice which seeks to recognise and reinforce the importance of professional reselling, prohibits double-selling, and promotes the transparent flow of quality information. A list of current Plan Vivo resellers can be viewed on the Plan Vivo website, along with contact details. Purchasers who are not registered as Plan Vivo Resellers cannot resell Plan Vivo Certificates, and the carbon benefit must therefore be ‘retired’. Organisations wishing to become resellers should contact the Foundation for more information. Who Can Register? 20

Any company or organisation may register as a Plan Vivo Reseller provided they are not directly involved in project validation, verification or Certificate Issuance. Resellers Code of Good Practice The Code of Good Practice is designed: • • • •

To prevent people from misrepresenting or double-selling Plan Vivo Certificates and ensure the multiple benefits are communicated to purchasers; To ensure transparency and equal treatment of all resellers; To ensure the core proposition of Plan Vivo - channelling resources directly to rural communities – is fulfilled; To provide a high level of support to resellers by providing them with quality information about Plan Vivo and the projects.

The Resellers Code www.planvivo.org/___

of

Good

Practice

21

can

be

viewed

online

at

3 Project Stages and Processes Figure 4 summarises how projects progress from the concept phase through to producing and selling Plan Vivo Certificates and becoming independently verified.

Figure 4: Stages of Plan Vivo Project Development

Process

Carried by

out- Method

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Result

CONCEPT PHASE PROJECT DESIGN PHASE

Project Idea Note (PIN)

Project developer

PIN evaluation and registration

The Plan Vivo Foundation

Development of technical specifications and project design document

Approval of technical specifications and PDD

Project developer and other partners (i.e. research institutes, external technical support) in consultation with communities and Foundation Plan Vivo Foundation and expert reviewers

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Define main aspects of project including target groups, activities and describe area and project aims Desk-based review

Research and formulation of technical specifications and design of governance system

review of outputs by the Foundation

Submit concept application to Plan Vivo Foundation

Concept Registration (Certificate and entry into website register) Approved operational manual and technical specifications.

REGISTRATION PHASE ACTIVE PROJECT

Validation

Plan Vivo project registration

Annual reporting

Plan Vivo Foundation or expert Reviewer chosen by the Plan Vivo Foundation. Plan Vivo Foundation

Project

Certificate issuance

Plan Vivo Foundation

Third-party verification

Approved third-party verifier

3.1 Concept Phase What is a Project Idea Note? 24

Field visit to review project against Plan Vivo Standards.

Project validation report

Desk-based review of op.manual, technical specifications and validation report Field assessments, compilation of sales, monitoring, and qualitative data

Registered project competent to sell carbon sequestration benefits

Review of Annual Report and issuance of Certificates against carbon sales in that year Complete deskbased review of project documentation, including technical specifications, database and operational manual and field visit.

Annual Report and complete database submitted to Plan Vivo Foundation for consideration Certificates issued as confirmation to purchasers of delivery of ecosystem services Verification report and corrective actions to strengthen the integrity of project and ensure continuous improvement.

The first step towards becoming Plan Vivo Project is submitting a Plan Vivo project idea note (PIN). A project idea note (PIN) defines the main elements of a proposed project and how it will contribute to sustainable livelihoods. Purpose The purpose of PIN registration is to facilitate effective project design, and specifically to: • • • • • • • • •

Provide projects with access to information, guidance, support and specialist advice for development; Give projects a platform to attract investment and partnerships; Facilitate communication and information sharing between projects/prospective projects; Assess a project’s long-term viability at an early stage and make recommendations about project design elements such as the institutional structure and roles, and the identification of effective local partners; Promote transparency - e.g. if a Project Concept fails to become operational, the reasons for this will be published; Help project developers keep costs down by using tested project design methods; Ensure project developers have ‘host-country approval’; Identify potential risks associated with land-tenure, creating bank accounts, conducting community consultation, or any other cultural, political or legal issues; Scope out the availability of technical data and make an estimate of the possible magnitude of the carbon sequestration benefit.

Application Process The project developer must compile specific information about the proposed project and submit a report to the Plan Vivo Foundation using the standard Plan Vivo PIN template. Producing a Plan Vivo PIN is a significant task. Project developers with less experience or technical expertise may need to engage external technical assistance from the outset. In many cases research carried out during a feasibility study will form the basis of the application. Project developers wishing to use the Plan Vivo Standards are encouraged to contact the Plan Vivo Foundation in advance of undertaking a feasibility study in order to receive information and advice on whether the project may be eligible. 25

The feasibility study can then be conducted with the Plan Vivo concept application in mind. Recommended providers of technical assistance are listed on the Plan Vivo website, and project developers may wish to contact the Plan Vivo Foundation for advice in selecting one. Before making any claim to develop a Plan Vivo project, project developers must first initiate a dialogue with the Plan Vivo Foundation with a view to registering a PIN. Approval and Registration Evaluation of a PIN involves a desk-based review carried out by Plan Vivo Foundation staff. All requested information must be submitted to the Plan Vivo Foundation. For a Plan Vivo concept to be registered and entered into the ‘Plan Vivo Projects Register’ it is necessary that: 1.

The proposed project has the demonstrable potential to provide quantifiable ecosystem services and promote sustainable livelihoods over a long-term period. The main criteria for this are: a) Organisational Capacity Project coordinator, target groups and partners have the organisational capacity to undertake a long-term community-led project. Organisational capacity may be demonstrated through history of project delivery where relevant administrative, technical and social functions have been carried out. Where no history of project delivery exists, the project coordinator must show how those functions will be fulfilled detailing the experience of relevant project staff, and how capacity will be built e.g. through induction programmes or partnership with a ‘parent’ or other organisation that will assist in fulfilling project functions until sufficient capacity has been built. b) Land-tenure Project involves land over which individuals or communities have ownership (or usufruct) rights. There are no significant disputes or issues in the proposed project area directly relating to land-use rights or carbon payments which could affect the implementation or long-term viability of the project. c) Suitable land-use activities Project activities will promote sustainable land-use and sustainable livelihoods, and produce quantifiable carbon benefits and additional ecosystem benefits. 26

2.

The project developer agrees to comply with the principles contained in the Plan Vivo Standards. The application fee must be paid in full (for up-to-date information on fees see the Plan Vivo website, www.planvivo.org), which is a nominal fee to cover evaluation expenses.

Once a PIN is registered, the project developer may: 1. Claim to be developing a Plan Vivo project. 2. Install the Plan Vivo project database. 3. Use the Plan Vivo logo in its materials.

3.2 Project Design Phase 3.2.1 Development of technical specifications What are Technical Specifications? The carbon benefit of each Plan Vivo is calculated using technical specifications. A technical specification is an evidence-based document developed for each land-use activity in a single project. It includes analyses of project additionality, leakage, permanence and wider ecological impacts. A technical specification prescribes appropriate management and monitoring systems and what risk management measures should be applied. Development Developing technical specifications is an extensive process, and project developers should seek to involve local institutions as much as possible. External consultants or educational/research institutes may also be involved to provide technical information, help develop technical specifications, and support project technicians with: • • • • • •

Biomass surveys; Baseline studies; Carbon modelling; Advice on particular technical problems; Training workshops for producers; Biodiversity surveys.

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3.2.2 Review and Approval The Plan Vivo Foundation will approve technical specifications if they have been: • •

Reviewed by an external expert reviewer to ensure the credibility of all assumptions used and calculations made; Assessed by the Plan Vivo Technical Advisory Board and found to meet the requirements below. Tools for assessing additionality and leakage, are included in the Plan Vivo Manual.

Technical specifications are working documents and should be reviewed at least every five years and subject to re-approval by the Plan Vivo Foundation.

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Requirements for Technical Specifications The following table shows the core requirements for approval of a technical specification by the Plan Vivo Foundation. Specific guidance and elaboration on how to meet these requirements can be found in the Plan Vivo Guidance Manual. Theme

Requirement

Description of activity

Suitability of activity described, including map of geographic area, ecosystem type, climatic conditions (i.e. mean annual temperature and precipitation at given elevation), tree stocking and density information (e.g. trees per area) and social context (i.e. what livelihood benefits could be gained from the proposed activity) Crediting period defined and appropriate to activity (lower limit = 10 years, upper limit 100 years) with 10 year increments

Carbon Accounting

Transparent assumptions with justifications Best available evidence used Most conservative scenarios are used in calculations Implementation scenario included Estimates of leakage are subtracted from the expected carbon benefit Ecosystem variables considered

Baseline

Credible and comprehensive baseline scenario defined clearly using appropriate indicators

Additionality Analysis of additionality thorough and convincing and satisfies financial, legal and barriers tests (see Standards p39)

Assessment indicates very low risk of potential leakage Leakage and other risks Control measures likely to be effective and appropriate.

Management objectives defined and appropriate to activity. Management Management requirements described properly and capacity to meet them is evident. Good practice measures identified. Risks to permanence of carbon stocks properly identified and assessed, expressly including consideration of: Permanence

• • • •

risks from natural disturbance such as fire, drought or hurricanes; risks of pests and diseases; security of tenure; risks from political or social instability both within the project and within the country or region.

Measures to mitigate those risks are identified and practicable. Risk buffer recommendation included and appropriate in light of any potential risks of reversal.

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Monitoring Procedures

Timeframes for monitoring are identified and appropriate (i.e. relevant to activity and cost-effective). Targets for monitoring are identified and appropriate. Crediting period for monitoring is identified and appropriate.

Monitoring indicators are clear, cost-effective (e.g. live tree biomass monitoring capable of being carried out be community technicians) and provide a sound basis for evaluating progress towards targets, including: • What carbon pools will be monitored and what field measurements that will necessitate • Field measurements are based on accepted principles e.g. IPCC Special Report on LULUCF (2000) • Resources needed for monitoring • How the monitored areas (i.e. Plan Vivos) will be sampled • Where community technicians are used, how their work will be verified (e.g. 10% checked by project technicians) Biodiversity impacts considered and likely to be positive Biodiversity Evidence that there will be no negative impact on water quality or water-tables Communityled Design

Evidence that activities designed to meet the needs of target groups and are likely to have livelihood benefits over and above carbon payments. Evidence of participatory design (meetings).

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3.2.3 Development and Approval of Project Design Document (PDD) Development The project design document (PDD) should pull-together all relevant information on the project, including the technical specifications, in order for ease of access to information and to facilitate the compiling of annual reports etc. The purpose of the PDD is not only to evaluate the soundness of project design but also to ensure transparency of procedures, ensure institutional learning by documenting all improvements in procedures, and to avoid over-reliance on the knowledge of key staff members through maintaining an up-to-date set of procedures and explanatory notes. Requirements The PDD should follow the template contained in Annex 4. Review and Approval Projects must submit their PDD for review by the Plan Vivo Foundation before validation. The operational manual will be approved where: • •

All of the required information is included; Procedures and systems described conform to the Plan Vivo Standards and Guiding Principles.

3.3 Validation and Project Registration To become registered as a Plan Vivo project, a project must be validated and found to meet all Plan Vivo project standards as defined in Chapter 5. A Plan Vivo project is a project the Plan Vivo Foundation has registered following validation that it is successfully implementing and developing the systems it requires to provide quantifiable ecosystem services and promote sustainable livelihoods. Validation Validation takes place following:

• • •

A field visit by an expert reviewer, chosen by the Plan Vivo Foundation, confirming the project is implementing systems in accordance with the Plan Vivo Standards; Approval of the project’s operational manual by the Plan Vivo Foundation; Approval of technical specifications by the Plan Vivo Foundation.

Registration Following a successful review of the validation report and any other evidence deemed necessary by the Plan Vivo Foundation, projects are entered into the Plan Vivo Projects Register. This is published on the Plan Vivo website. Once registered, projects can enter into sales contracts with purchasers of Plan Vivo Certificates.

3.4 Annual Reporting and Certificate Issuance Purpose Annual reporting enables the Plan Vivo Foundation to oversee projects, certify that carbon sold is being sequestered, review progress and facilitate their continued development and improvement. The approval of annual reports also triggers the issuance of Plan Vivo Certificates for that year’s vintage to buyers on behalf of projects. Process Each Plan Vivo project is required to submit its annual report and project database to the Plan Vivo Foundation by the 5th November. An annual reporting template is provided to all projects. This makes it more efficient for projects to collect and present the required information. It also ensures the Plan Vivo Foundation applies consistent criteria when assessing each project. The Foundation will review annual reports and project databases before the end of the calendar year, unless reasonable circumstances exist for delay. The annual review process includes a re-assessment of each project’s prescribed risk buffer. When the Plan Vivo Foundation approves the annual report it shall also define the size of the risk buffer that must be maintained for the following year. If a project has good reasons for delaying submission, it may apply to the Foundation for an extension of up to 30 days. Failure to submit an annual report and the project database by the end of the extension period may result in suspension of Plan Vivo status.

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Where a project has failed to supply the required information, or the information is inconsistent or inadequate, the Plan Vivo Foundation will inform the project and give it a reasonable timeframe within which to provide further or improved information. Where an annual report or project database shows a violation of Plan Vivo Standards, corrective actions shall be imposed on the project with a time-frame for compliance (e.g. within 30 days, by the time of the next annual report, or by the time of the next allocation of carbon sales to producers etc.). The imposition of corrective actions does not affect the Plan Vivo status of a project or the issuance of Plan Vivo Certificates (i.e. an annual report may be approved with corrective actions attached). Suspension Where a project is found to be operating in a manner that grossly contradicts the aims and principles contained in the Plan Vivo Standards, Plan Vivo registration shall be suspended until the issue is resolved. Failure to resolve the issue shall result in termination of Plan Vivo registration. Where projects fail to comply with corrective actions within the specified timeframe, Plan Vivo Registration shall be suspended until the issue is resolved. Projects are not permitted to sell Plan Vivo carbon benefits while Plan Vivo registration is suspended. Where the issue is determined to be irresolvable, Plan Vivo registration shall be terminated. Approval Approval of a project’s annual report and project database triggers the issuance of Plan Vivo Certificates. It also means automatic continuation of Plan Vivo project registration. Certificate Issuance Plan Vivo Certificates for ecosystem services are denominated in tonnes carbon dioxide (tCO2). Each certificate is marked with a unique serial code linking the carbon benefit to a specific project. The serial code is entered into a central register (which is publicly available on the Plan Vivo website), to ensure traceability and prevent double-counting. Projects levy a fee on the price of each tCO2 sold in order to pay the Foundation a certification fee2. By issuing Plan Vivo Certificates, the Plan Vivo Foundation confirms that, based on its analysis of all available information, the corresponding carbon benefit will 2

See www.planvivo.org for information on the certification fee.

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be delivered in accordance with the Plan Vivo Standards. The Foundation does not take liability for Plan Vivo Certificates sold.

3.5 Third-Party Verification Verification of a Plan Vivo project is a process involving evaluation and improvement of a project’s systems, procedures and practices against the Plan Vivo standards. Verification is conducted by an independent, third-party organisation called a verifier. To verify a Plan Vivo project, the verification entity must be approve by the Plan Vivo Foundation (see section 2.6). Verification raises project credibility and thus reinforces the value of Plan Vivo Certificates. It does so by ensuring Plan Vivo Projects comply with Plan Vivo Standards and identifying improvements required to ensure closer compliance with the standards. The verification process therefore provides greater certainty that ecosystem services are delivered and sustainable livelihoods promoted. Verification is an expensive process. New projects are unlikely to have the resources to undertake verification. This is why projects are initially validated and registered based on expert review, and then required to work towards verification by a process of continuous improvement and by scaling up carbon finance through increased sales of Plan Vivo Certificates. This approach makes verification more cost-effective, as verifiers will be able to take a long-term perspective when evaluating systems for monitoring and administering payments and all other key project activities. The Plan Vivo approach to verification ensures projects are able to operate as fully validated Plan Vivo Projects and then verify their robustness to the marketplace at a point that makes sense both economically and in terms of having sufficient information for verifiers to evaluate. The approach is designed to provide the maximum possible benefit for communities.

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4 Plan Vivo Project Standards This chapter contains the standards a Plan Vivo project must meet. Guidance on developing a Plan Vivo project can be found in the Plan Vivo Guidance Manual. Certain standards and indicators may only be relevant for verification and review rather than initial validation, for example the existence of approved annual reports. Theme

Standard

Indicators for Validation/Verification

Project has established an effective governance structure. Roles and lines of accountability are clear. The project coordinator has the following core capabilities:

•

Approved PDD containing all statutes, articles and agreements stating individual and organizational roles and responsibilities, as well as documented processes for key project activities.

•

Evidence of individual/organisation’s relevant experience.

•

Evidence of community meetings (e.g. minutes, lists of attendees).

•

Evidence of effective communication between project coordinators and producers (e.g. records of training days, meetings, emails).

•

Populated, effectively managed database; staff able to explain and demonstrated database functions.

Administrative: •

Effective and Transparent Project Governance

Legal and organisational framework with the ability and capacity to aggregate carbon from multiple land-owners and transact to purchasers, and monitor progress across all project operations. This must include: 1. A legal entity (project coordinator) able to enter into sale agreements with multiple landowners or communities for carbon services; 2. Standard sale agreement templates for the provision of carbon services; 3. Transparent and audited financial accounts able to the secure receipt, holding and disbursement of payments to producers; 4. All necessary legal permissions to carry out the intended activities; 5. Mechanisms for participants to discuss issues associated with the design and running of the project.

Technical: •

Able to assist communities in planning and implementing productive, sustainable and economically viable forestry and agroforestry systems, and provide support for silvicultural and other management operations.

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Carbon benefits are calculated using recognised carbon accounting methodologies and conservative estimates of carbon uptake/storage that take into account risks of leakage and reversibility.

Carbon benefits are measured against a clear and credible carbon baseline.

Carbon Benefits

Carbon benefits are additional, i.e. the project and activities supported by the project could not have happened were it not for the availability of carbon finance. Specifically this means demonstrating, as a minimum: (1) The project does not owe its existence to legislative decrees or to commercial land-use initiatives likely to have been economically viable in their own right without payments for ecosystem services; and (2) In the absence of project development funding and carbon finance, financial, social, cultural, technical, ecological or institutional barriers would have prevented the project activity. •

•

Potential risks to permanence of carbon stocks are identified in project technical specifications and effective mitigation measures implemented into project design, management and reporting procedures. Producers enter into legal sale agreements with the project coordinator agreeing to maintain activities, comply with the monitoring, implement management requirements and re-plant trees felled or lost. 38

•

Activities relate to one or more approved technical specifications which are being utilised by local technicians.

•

Baseline analysis.

•

Additionality analysis

•

Evidence of subtraction and recording of risk buffer from database.

•

Evidence of management regimes implemented to minimise risks.

Planting activities are restricted to native and naturalised species. Ecosystem benefits

Naturalised (i.e. non-invasive) species are eligible only where they can be shown to have compelling livelihood benefits and: 1. Communities have clearly expressed a wish to use this species; 2. The areas involve are not in immediate proximity to conservation areas or likely to have any significant negative effect on biodiversity; 3. The activity is still additional i.e. the producers in the area are not doing this activity or able to do this activity without the intervention and support of the project; The activity will have no harmful effects on the water-table. Wider ecological impacts have been identified and considered.

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•

Approved technical specifications and example Plan Vivos.

•

Staff awareness of conservation aspects and priorities.

Livelihood Benefits

Project has undergone a farmer/community-led planning process aimed at identifying and defining sustainable land-use activities that serve the community’s needs and priorities.

1. Records of meetings and lists of attendees. 2. Training materials and team notes.

Mechanisms are in place for continued training of producers and participation by producers in project development. •

Records of existing sale agreements or templates including type of landholding.

Farmers/communities have recognised carbon ownership via tenure or land-use rights;

•

Staff are able to explain sale agreement conditions and process.

Agreements specify quantity, price, buyer, payment conditions, risk buffer, and monitoring milestones;

•

Records of consultation/ training meetings with communities.

•

Verbal evidence from producers.

Project has procedures for entering into sale agreements with producers based on saleable carbon from Plan Vivos, where: • • •

Producers enter into sale agreements voluntarily.

Project has an effective and transparent process for the timely administration and recording of payments to producers, where: • •

Payments are delivered in full when monitoring is successfully completed against milestones in sale agreements;

•

Evidence of legally constituted and financially audited Plan Vivo Fund/ Account.

•

Approved Plan Vivo project Database with evidence of data management and back-up systems.

•

Staff able to explain processes for sale agreements and producer

Payments are recorded in the project database to ensure traceability of sales.

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ANNEX 1: Basic eligibility checklist for an envisaged Plan Vivo project 1. Project participants    

Must to be small-scale farmers in developing countries Must be willing and keen to participate in project activities on a voluntary basis Must be organised into producer or community-based groups Must have existing forest/ woodland or other land that can be used for project activities without undermining livelihood needs

2. Land tenure/ use rights  Must be secure (land tenure or use rights) so that there can be clear ownership, traceability and accountability for carbon reduction or sequestration benefits

3. Intended project activities  Must enable communities to plan and take control of their resources in a sustainable 

  

way that promotes rural livelihoods and other environmental and social co-benefits Must be eligible to receive payments for ecosystem services (PES) under the Plan Vivo System, i.e: – Afforestation / reforestation – Agroforestry – Forest restoration – Avoided deforestation Must be additional, not liable to cause leakage, and provide foundations for permanence, as described in the Plan Vivo Standards Must involve the planting of indigenous or naturalised tree species and/or the restoration and protection of indigenous woodlands or forests, as described in the Plan Vivo Standards Must encourage the development of local capacity and minimise dependency on external support

4. Project landscape  Must have clear boundaries that can be mapped  Must be suited to the replication and expansion of project activities into new areas 5. Expansion ambitions

 Must be based on an commitment to initiating activities on a pilot basis, gaining experience, and identifying improvements (‘learning by doing’)  Must be based on practical capabilities ‘on the ground’, not on high level targets imposed from above (‘plant x no. of trees in y years’)

6. Project co-ordinator  Must have a strong in-country presence and the respect and experience required to work effectively with local communities and partners  Must be focused and have the organisational capability and an ability to mobilise the necessary resources to develop the project  Must have the capability to negotiate and deal with government, local organisations & institutions, and buyers of ecosystem services  Must have the ability to mobilise and train participants, implement and monitor project activities, carry out technical functions

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ANNEX 2: Plan Vivo Project Idea Note (PIN) Template 1. Describe the project’s overall aims, specific objectives and identify target groups/communities and Identify the proposed project’s overall aims and specific objectives. These objectives must make specific reference to the project’s target groups i.e. how the project will benefit the target groups. “Target groups” are those communities, groups and individuals that are expected to benefit from the project (e.g. rural communities in a certain district, or women agricultural workers in a certain district). Project developers should look for groups in the area that already have a certain level of organisational capacity and have some ability to mobilise (e.g. existing farmers associations or cooperatives, women’s groups or other associations), as this will facilitate community-led design and training. 2. Description of proposed project area (i.e. baseline description) 

Physical environment

Briefly describe the physical environmental context of the proposed project, including the following information:  A map with proposed project areas marked;  Physical description of the land (i.e. topography, soils, geology etc.);  Local climate (i.e. seasonality, temperature, rainfall etc.);  Existing habitat types;  Land-use history and current land-use (e.g. natural forests have been degraded over the past 20 years; farmers have switched from maize to sorghum, crops planted, main methods of production, approximate yields etc.) Include any local land degradation processes or trends (i.e. a summary of information known about deforestation, soil erosion or land degradation);  Any conservation areas overlapping or adjacent to the projects should be identified;

43

 Availability of water resources. 

Socio-economic environment

Briefly describe the socio-economic context of the proposed project, including the following information:  A description of local cultural groups;  A summary of relevant local and national governance structures including the national climate change focal point;  Levels of income in the area, typical livelihoods and poverty level. Additional information: Availability of Technical Data The carbon baseline can be defined as the current status of carbon stocks or emissions (and expected changes or trends) in the absence of the project. The carbon-offset potential of a project is calculated relative to this baseline. Application to register a Plan Vivo project concept does not require a comprehensive analysis of the carbon baseline, but any information held on the carbon potential of the proposed activities may facilitate the registration process. The applicant should look for existing sources of technical data and expertise e.g. national biomass or other surveys, local universities or research institutes, other land-use projects etc. 3. Ownership of carbon rights – Land-tenure Plan Vivo Certificates can only be generated through activities where communities or individuals have ownership of the carbon credits. This can be demonstrated through land-tenure or long-term recognised use rights. Demonstrate that the proposed producers have ownership rights to the carbon associated with proposed activities. Include a brief description of the type of land-holdings and size ranges. Ownership of carbon credits will normally be through land-tenure, but where rights of ownership are not clear the producer must be able to show that recognised use rights exist and no other party could make a reasonable claim to the carbon. Deeds of title are not strictly required if land-tenure can be shown to be lawful and widely recognised. If project activities are to be undertaken on government 44

owned land that individuals or communities have use-rights for, it should be demonstrated that the government body will recognise the community’s ownership of the carbon credits and any timber or the products associated with the project activities. Background questions: What are the different forms of land-tenure and use in the project area? How difficult is it to prove land-tenure? Is there any existing conflict about ownership of the proposed areas? Is there a system of national or regional land reform underway that could affect the project? 4. Summary of proposed project activities and ecosystem impacts Describe all proposed project activities (e.g. reforestation, agroforestry, forest conservation), with a summary of the rationale for these activities (e.g. diversification of farm income, reverse trends of land-degradation, promote biodiversity). Identify the main ecosystem impacts anticipated as a result of the proposed activities, and outline how the project will seek to maximise environmental benefits. Particular attention should be paid to impacts on local biodiversity, soil quality and watershed protection where applicable. Projects must show a willingness to promote the use of indigenous species. In determining appropriate project activities, in addition to the physical environment the applicant should consider the following factors:  Outcomes of preliminary discussions with stakeholders (see section 8);  Economic viability (i.e. availability of areas, compatibility with current farming systems);  Input requirements (e.g. quality seedlings);  The level of technical support that may be required;  What skills/expertise are locally available. 5. Description of applicant organisation(s) and proposed governance structure Identify which organisations, communities, groups and individuals may/will be involved in the project and what their roles will be. Institutional 45

responsibilities must be clearly defined, appropriate to the organisation, group or individual and reflect actual capabilities. Firstly, the organisation(s) making the application (the ‘applicant’) must provide the following information about itself: Legal status (e.g. registered NGO); Brief history and achievements; Summary of current activities including details of scale and range; A list of personnel with details of relevant qualifications, skills and experience;  Potential sources of funding for project set up;  Long-term objectives.    

The organisational structure must describe how the following roles will be fulfilled: • • • •

project coordinator technical team social team external support services (if required)

If the applicant organisation intends to fulfil the role of project coordinator, they must show that they have an existing presence and experience in the area. The Plan Vivo System does not prescribe a specific organisational structure, as this is likely to vary depending on the social and institutional background. More than one role may be fulfilled by the same body, for example an NGO may have sufficient expertise and capacity to fulfil administrative, technical and social roles. Below is a summary of the main responsibilities of each role. 5.1 Project Coordinator Generally responsible for the management and co-ordination of the project on the ground. This will normally be an existing organisation with extensive social capabilities, including an understanding of the local conditions and project experience in the target communities. Main responsibilities:  

Recruitment of producers / training / advising and registration of producers into project; Setting up infrastructure; 46

        

Selecting target groups; Conducting consultations with producers; Making carbon sale agreements with producers; Managing the use of carbon finance in the Plan Vivo fund (e.g. determining what proportion of carbon finance may be used to cover project technical and administrative costs); Organising how project finances are to be audited; Making payments to producers from the trust fund on behalf of purchasers; Organising and recording the results of monitoring; Maintaining the project database which shows how much carbon has been sold; Organising the allocation of sale opportunities to producers;

The Plan Vivo fund is essentially an account that holds funds provided for carbon credits in trust for the purchaser, and is administered by the project coordinator. Funds are paid into the account and held until producers meet the conditions of their agreements (i.e. have sequestered/protected the required amount of carbon), at which point they receive payments from the trust fund. 5.2 Technical Team Main responsibilities:       

Providing technical support to producers in planning and implementing project activities; Developing forestry and agroforestry systems; Evaluating the producers’ management plans; Monitoring projects; Collecting data associated with calculating carbon sequestration; Managing the supply of tree seedlings; Supporting activities that require field measurements.

It is preferable if the technical team is an institution or organisation based in the host-country. Technical roles are often carried out by the project coordinator where they have the capacity and expertise. 5.3 Social Team Projects may have an in-country social team who will work with the technical team and project coordinator to advise on social aspects of project design and implementation, for example: • •

The selection of target groups; Conducting preliminary discussions and workshops with new groups;

47

• • • •

Gathering socio-economic information for project registration and reporting purposes; Helping groups/individuals to prove land-tenure; Helping groups to select representatives to liaise with the project; Advising on issues such as mobilisation, setting up bank accounts etc.

5.4 External Technical Support Services Project co-ordinators will normally require a significant amount of technical assistance to set up technical aspects of the project. External support is contracted by the project coordinator or developer. As such the external technical body has no responsibilities under the Plan Vivo System beyond what it is contracted to do, but will generally play an instrumental role in developing the project and providing support during the initial stages. The external technical body will generally: • • • •

Assist in all aspects of project design and development; Provides training to relevant stakeholders; Develop carbon modelling and technical specifications (see section…); Help projects prepare for validation and verification.

The external technical body may also be given a role in supervising the administration of finance in the early stages of the project to help ensure that all funds are used in the interests of the producers. This can help increase purchaser confidence in project management and help project coordinators to be cost-effective. External technical bodies should work with a view to transferring knowledge and skills to the project staff so that their support can be gradually withdrawn over time as the project builds capacity. 6. Community-led design plan submitted Submit a brief plan for achieving participation in the proposed Plan Vivo project with target groups, and ensuring that the project plans are based around the producers’ own needs and priorities. This plan must include a mechanism for ongoing consultation with target groups and producers. Creating a ‘stakeholder forum’ that regularly meets, initially to identify suitable project activities, and in an ongoing capacity to discuss issues arising could satisfy this. 48

Participation in Plan Vivo must always be informed and voluntary, which can be demonstrated through consultation and participatory design processes Projects should at an early stage initiate preliminary discussions with target groups in the identification of project activities. The following issues should be covered in these discussions:   

Introduction to the concepts of climate change and carbon trading; What activities target groups would like to see implemented; How payments will be made in instalments in return for the fulfilment of agreements.

7. Additionality Analysis Provided Briefly describe how the project and activities are additional, through:  A brief analysis of the barriers to implementing the proposed activities in the absence of the project. Barriers to implementing activities could include, for example, lack of finances, lack of technical expertise, lack of institutional capacity, or prohibitive political or cultural environments.  Describing how the project will overcome these barriers (e.g. provision of materials, technical support, training). Additionality is a key requirement for the sale of carbon services. A project can be described as additional where it could not take place without carbon finance, and activities can be described as additional where they would not have gone ahead in the absence of the project. 8. Compliance with relevant national and international regulations Provide evidence (e.g. a copy of a letter or email) of notification of the relevant national regulatory body of the intended project. Provide a statement of intention to comply with all relevant national and international regulations. 9. Sources of start-up funding identified Start-up funding is an internal issue for developers. However, start-up funding can be a significant hurdle for new projects therefore projects are encouraged to consider potential funding sources at an early stage. Carbon finance only becomes available after technical specifications have been developed, community training undertaken, and multiple other costs such as hiring staff, travel and external consulting costs. 49

ANNEX 3: Plan Vivo Project Idea Note (PIN) Application Evaluation

Applicant organisation: Application author(s): Main contact: Project area: Date of receipt of application: Date of review: Approved? Subject to conditions? Requirement

Met? Y/N

Identify Target Groups Project Area Described Ownership of Carbon Rights Clear Project Activities Described and Eligible Applicant organisation described Governance structure defined Sustainable development objectives identified Community-led design plan included 50

Notification of relevant national body Ecosystem impacts identified Additionality Analysis Additional Comments/Questions: Signed: Checked:

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ANNEX 4: Template for Plan Vivo Project Design Document (PDD) The Plan Vivo Project Design Document (PDD) (formerly Operational Manual) is a compilation of all relevant information on the project governance structure, its technical design and its internal processes. The PDD template is designed to cover all information requirements that would be expected from a CDM project, however, there are additional information requirements for a Plan Vivo project3, notably: -

detailed information on project governance and the way in which in interacts with local communities; a structure for presenting technical information to reflect the multi-site and multi-activity nature of Plan Vivo projects; a structure for updating information as the Plan Vivo develops from pilot scale to regional scale.

CONTENTS A.

General description of the proposed project activities - Description of project area - Socio-economic context and land tenure - Project objectives and target groups - Activities to be implemented through the project - Project organizational structure and governance - Relationship with national bodies

B.

Duration of the project activity and crediting period

C.

Technical Specifications to be used

D.

Measures to ensure permanence and reduce leakage

E.

Monitoring and Technical Support Plan

F.

Environmental impacts of the proposed project activities

G.

Socio-economic impacts of the proposed project activities

H.

Additional activities supported by the project

3

The CDM Project Design Document format is based on the idea of a single activity being undertaken on a fixed scale from a single starting date. However, community based land management activities cannot be practically implemented in this way. The Plan Vivo system is designed to enable communities to participate in a way that meets their needs and requirements.

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Annexes Annex 1: List of responsible staff and contact information Annex 2: Information regarding public and other sources of co-funding Annex 3: Technical specifications Annex 4: Farmer agreement template Annex 5: Monitoring plan Annex 6: Database template Annex 7. Forest Management Plans Annex 8. Permits and legal documentation Annex 10. Stakeholders’ comments Related Documents Project Reports Verification Reports Corrective Action Reports SECTION A. General description of the proposed Plan Vivo Project:

A.1. Title of the proposed Plan Vivo Project: >> A.2. Description of the proposed project activity: >>Please provide a brief (under 200 words) description of the nature of the project A.3. Project participants: >>Please list the names of the project participants and the type of organization in Table A3. Contact details should be provided in Annex 1. Parties must give their approval before a PDD is registered with the Plan Vivo Foundation. Table A3.3 Party

Type of organization

Nationality 53

Role

A.4. Description of location and boundaries of the project: >> Please describe the location of the project, including Country, State, Province, and provide a map with geographical co-ordinates. Note that detailed boundaries of Plan Vivo plots and management areas should not be included here, as these will be provided within individual Plan Vivo management plans. A.5. Description of the project area: >>Please provide a description of the physical, climatic and ecological conditions in the project area and an account of recent changes in land use and ecosystems. Provide a description of any rare or endangered species or high conservation value habitats in the vicinity of the project.

A.6. Description of socio-economic context and land tenure: >> Please provide a description of the socio-economic context, including information on farming systems / livelihoods, demographic change, land tenure and other social information relevant to the project. Note that a more detailed description of the land tenure in relation to the rights to sell carbon should be provided in Section A.9.

A.7. Description of the project objectives and target groups: >> Please provide a description of the sustainable development objectives of the project and how these have been endorsed or supported by local stakeholders.

A.8. Description of the proposed Plan Vivo project activities: >>Please complete table A.8 to provide details of the agroforestry, forest management, forest restoration and other systems to be applied within the project (1 row per Technical Specification). Only enter technical specifications which have been approved or have been submitted for approval by Plan Vivo Foundation. Table A.8. Title

Type of activity Technical E.g., Specification Agroforestry, Title Restoration,

Objectives Brief Description E.g. Species and Timber, management firewood, 54

Target areas / groups E.g. coffee growers, or smallholder

Forest Management

fruit, fodder

maize growers

…

A.9. Description of land tenure in relation to the rights to provide carbon services >>Please provide a description of the forms of land tenure in the project area and how, and subject to what conditions, participants are able to enter agreements to provide carbon services.

A.10. Project organisational structure, governance and community participation: >>Please provide a description of the organisational structure and governance of the project, including an organisational diagram. Please state how communities / participants participate in the project (as individuals and/or groups, and how they are represented in project organisational structures. Please complete table A10. Please state how the Copies of any relevant statutes and permits should be provided in Appendix 8. Table A.10. Key Function

Legal Status of Provider

Directors / Trustees

Brief Description of activities in relation to project governance

Project Trust Fund Project Technical Operations Project Administration

A.11. Relationship to national organisations: >>Please describe how the project relates to national organisations and programmes. To what extent does the project provide support or finance that is not currently available? Does the project require government approval to operate?

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A.12. Technology transfer and training: >>Please provide a description of the technology transfer and training that will be provided by the project. How will local organisations and/or communities take on long-term roles relating to sustainable management and monitoring? A.13. Project financial structure: >>Please provide a description of the financial structure for the project, showing the approximate proportions of carbon sales received by project management, operations and project participants (individuals and groups). A.14. Estimated amount of net anthropogenic GHG removals by sinks and avoided GHG emissions over the project lifetime: >> Please complete table A.14, and provide an estimate of the total realizable potential net GHG removals resulting from the project. Table A.14 Technical Specification

Estimated long-term potential carbon benefit t CO2e Areas Areas Areas Estimated established established established realisable in in in Year 3 potential Year 1 Year 2

T. Spec 1. …

SECTION B. Duration of the project activity and crediting period:

B.1. Proposed duration of project activities and carbon benefits: >>Please provide a description of the timescales for the following activities; project establishment; pilot activities; scaling-up; carbon uptake period; carbon storage period. SECTION C. Technical specifications to be used:

C.1. Estimated long-term carbon benefits for project activities, per hectare: >>Please complete table C.1 to provide details of the carbon benefits per hectare of each Technical Specification (1 row per Technical Specification). Table C.1. Summary of baseline and project carbon uptake or avoided emissions per hectare 56

Title of technical specification

Baseline carbon uptake / emissions (t CO2e / ha)

Long-term carbon uptake with management (t CO2e / ha)

…

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Expected losses from leakage (t CO2e / ha)

Net carbon benefit (t CO2e / ha)

SECTION D. Measures to ensure permanence and address leakage:

D.1. Measures to address risks and ensure permanence: >>Please provide a description of the measures used within the project to address risk and potential non-permanence of carbon uptake and storage by vegetation and soils. Please summarise the measures used to address the main risks in Table D.1. Able D.1. Permanence Risks E.g. fire, drought, grazing

Management Measures

D.2. Measures to address Leakage: >>Please provide a description of the potential means by which project activities could give rise to leakage (unintended releases of GHGs outside the project boundary) and how the project manages the risk of leakage. Please summarise the measures used to address leakage in Table E.1. Able D.2. Leakage Risks E.g. displacement of agricultural activity

Management Measures

SECTION E. Monitoring and Technical Support Plan:

E.1. Monitoring of carbon indicators: >>Please describe who will be responsible for monitoring the indicators set out the in the Technical Specifications. E.2. Verification of monitoring : 58

>>Please describe who will be responsible for verifying the quality monitoring of indicators set out the in the Technical Specifications. E.3. Technical support and review: >>Please describe who will provide technical support such as forest inventory, tree nurseries, agroforestry extension, and indicate level of experience.

E.4. Administrative support: >>Please describe who will provide any administrative support, such as database management or accounting services. SECTION F. Environmental impacts of the proposed activities:

F.1. Expected environmental impacts of the proposed activities: >>Please provide a description of the main expected impacts of project activities on the local environment. Please complete table F.1. Table F.1. Summary of expected impacts of project activities on key environmental services Title of Biodiversit Water Soil Air quality technical y impacts availability conservatio impacts specification impacts n impacts …

F.2. Monitoring of environmental impacts of the proposed activities: >> Please complete table F.2, with descriptions of how the impacts of proposed activities will be monitored. Please indicate any key thresholds or indicators that may be used to set specific management interventions or project reviews. Table F.2. Methods of monitoring environmental impacts of proposed activities Impacts Methods and thresholds Biodiversity impacts Water availability impacts Soil 59

conservation impacts Air quality impacts

SECTION G. Socio-economic impacts of the proposed activities:

G.1. Expected socio-economic impacts of the proposed activities: >>Please provide a description of the main expected impacts of project activities on the participants and local society. Please complete table G.1. Table G.1. Description of expected socio-economic impacts Local incomes Local food production Landless families Women

G.2. Monitoring of environmental impacts of the proposed activities: >> Please complete table F.2, with descriptions of how the impacts of proposed activities will be monitored. Please indicate any key thresholds or indicators that may be used to set specific management interventions or project reviews. Table G.2. Methods of measurement of expected socio-economic impacts Area of impact Method of measurement Local incomes Local food production Landless families Women

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SECTION H. Additional activities supported by the project:

H.1. Additional activities to be supported by the project: >>Please describe any additional businesses or livelihood improvement activities that will be supported by the project (E.g., sustainable charcoal production, carpentry or beekeeping. How will the success of these associated activities be monitored? How will their management be structured?

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