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 planvivo@brdt.org, 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 (pre-
registration)

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.

8
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.

9
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.

10
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.

11
 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.”

12
 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.

13
 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 over-
reliance 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 Plan Vivo Technical

• Provide input and Advisory Board
feedback on the Plan • Review technical
Vivo Standards and specifications and provide
projects 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 Third party

reviewers verifiers

Project Carbon
developers buyers and
and funders resellers

Technical
consultants Project
and research coordinators
institutes

Producers Producers Producers Producers Producers Producers

Figure 3: Actors in the Plan Vivo System

17
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 of Good Practice can be viewed online at

www.planvivo.org/___

21
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 out- Method Result

by

22
CONCEPT PHASE
Define main
aspects of Submit concept
Project Idea Note Project project including application to
(PIN) developer target groups, Plan Vivo
activities and Foundation
describe area
and project
aims

PIN evaluation The Plan Vivo Desk-based Concept

and registration Foundation review Registration
(Certificate and
entry into
website
register)
PROJECT DESIGN PHASE

Development of Research and

technical Project formulation of Approved
specifications developer and technical operational
and project other partners specifications manual and
design document (i.e. research and design of technical
institutes, governance specifications.
external system
technical
support) in
consultation
with
communities
and
Foundation
Approval of Plan Vivo review of
technical Foundation outputs by the
specifications and expert Foundation
and PDD reviewers

23
 REGISTRATION PHASE
Validation Plan Vivo Field visit to Project
Foundation or review project validation
expert against Plan report
Reviewer Vivo Standards.
chosen by the
Plan Vivo
Foundation.
Desk-based Registered
Plan Vivo project Plan Vivo review of project
registration Foundation op.manual, competent to
technical sell carbon
specifications sequestration
and validation benefits
report
ACTIVE PROJECT

Field Annual Report

assessments, and complete
Annual reporting Project compilation of database
sales, submitted to
monitoring, and Plan Vivo
qualitative data Foundation for
consideration
Review of Certificates
Annual Report issued as
Certificate Plan Vivo and issuance of confirmation to
issuance Foundation Certificates purchasers of
against carbon delivery of
sales in that ecosystem
year services
Complete desk- Verification
based review of report and
project corrective
Third-party Approved documentation, actions to
verification third-party including strengthen the
verifier technical integrity of
specifications, project and
database and ensure
operational continuous
manual and improvement.
field visit.

3.1 Concept Phase

What is a Project Idea Note?

24
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.

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 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 Suitability of activity described, including map of geographic area,

of activity 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

Transparent assumptions with justifications

Carbon
Accounting
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.

30
 Timeframes for monitoring are identified and appropriate (i.e.
Monitoring relevant to activity and cost-effective).
Procedures

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

Community- Evidence that activities designed to meet the needs of target groups
led Design 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.

33
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 time-
frame, 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.

34
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 market-
place 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 • Approved PDD containing all statutes,
lines of accountability are clear. The project coordinator has the following articles and agreements stating
core capabilities: individual and organizational roles and
responsibilities, as well as
Administrative: documented processes for key project
activities.
• Legal and organisational framework with the ability and capacity to
aggregate carbon from multiple land-owners and transact to • Evidence of individual/organisation’s
purchasers, and monitor progress across all project operations. relevant experience.
This must include:
1. A legal entity (project coordinator) able to enter into sale • Evidence of community meetings (e.g.
Effective and agreements with multiple landowners or communities for minutes, lists of attendees).
Transparent carbon services;
Project 2. Standard sale agreement templates for the provision of • Evidence of effective communication
Governance carbon services; between project coordinators and
3. Transparent and audited financial accounts able to the producers (e.g. records of training
secure receipt, holding and disbursement of payments to days, meetings, emails).
producers;
4. All necessary legal permissions to carry out the intended • Populated, effectively managed
activities; database; staff able to explain and
5. Mechanisms for participants to discuss issues associated demonstrated database functions.
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 • Activities relate to one or more
methodologies and conservative estimates of carbon uptake/storage that approved technical specifications
take into account risks of leakage and reversibility. which are being utilised by local
technicians.

• Baseline analysis.
Carbon benefits are measured against a clear and credible carbon
baseline. • Additionality analysis

• Evidence of subtraction and

Carbon Carbon benefits are additional, i.e. the project and activities supported by recording of risk buffer from
Benefits the project could not have happened were it not for the availability of database.
carbon finance.
• Evidence of management regimes
Specifically this means demonstrating, as a minimum: implemented to minimise risks.
(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
 Planting activities are restricted to native and naturalised species.
• Approved technical specifications
Ecosystem Naturalised (i.e. non-invasive) species are eligible only where they can be and example Plan Vivos.
benefits shown to have compelling livelihood benefits and:
1. Communities have clearly expressed a wish to use this species; • Staff awareness of conservation
2. The areas involve are not in immediate proximity to conservation aspects and priorities.
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.

39
Livelihood Project has undergone a farmer/community-led planning process 1. Records of meetings and lists of
Benefits aimed at identifying and defining sustainable land-use activities that serve attendees.
the community’s needs and priorities.
2. Training materials and team notes.
Mechanisms are in place for continued training of producers and
participation by producers in project development.

Project has procedures for entering into sale agreements with producers • Records of existing sale agreements
based on saleable carbon from Plan Vivos, where: 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.
• Producers enter into sale agreements voluntarily.
• Verbal evidence from producers.

Project has an effective and transparent process for the timely • Evidence of legally constituted and
administration and recording of payments to producers, where: financially audited Plan Vivo Fund/
Account.
• Payments are delivered in full when monitoring is successfully
completed against milestones in sale agreements; • Approved Plan Vivo project
Database with evidence of data
• Payments are recorded in the project database to ensure management and back-up
traceability of sales. systems.

• Staff able to explain processes for

sale agreements and producer

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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:

51
 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.

52
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 Role

53
 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 Objectives Brief Target areas /
activity Description groups
Technical E.g., E.g. Species and E.g. coffee
Specification Agroforestry, Timber, management growers, or
Title Restoration, firewood, smallholder

54
 Forest fruit, fodder maize growers
Management

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 Directors / Brief Description of
of Provider Trustees 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?

55
 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 Estimated long-term potential carbon benefit t CO2e
Specification 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 Baseline Long-term Expected Net carbon
technical carbon carbon losses benefit
specification uptake / uptake with from (t CO2e / ha)
emissions management leakage
(t CO2e / (t CO2e / ha) (t CO2e /
ha) ha)

57
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 Management Measures
E.g. fire, drought,
grazing

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 Management Measures
E.g. displacement of
agricultural activity

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

60
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?

61