NAME OF THE GRANT / PROJECT

Process Framework (PF)

Access Restrictions – Livelihoods Restoration – Limited Resettlement

This document presents the indicative content of a Process Framework (PF) for grants/projects with Access Restriction, Livelihoods Restoration, and Limited Resettlement. It is aligned with MAR Fund’s ESS 5 § 22 to 48 and responds to the guidelines contained in the ESS 5 § 60 to 70.

The content of this document is aligned with the Guidance Note for ESS 5 of the World Bank.

This PF should be prepared by a qualified person. The PF is to be prepared in close collaboration with the affected communities.

Date: MONTH – DAY - YEAR

Version: Draft - Final

Circulation: MAR Fund – Other parties - Open

Elaborated by: Name of person (s)

Reviews by: Name of person (s)

The MF-PF-F-NUMBER IS PART OF MAR FUND’s ESMS

TABLE OF CONTENTS

Glossary	iv

1	Introduction	2-6

2	Description of the Grant/Project	2-6

2.1	Purpose and objectives of the Grant/Project	2-6

2.2	Description of the Area	2-6

2.1	Description of resettlement Requirements and access restrictions	2-7

3	Legal and Institutional Framework	3-7

3.1	The Applicable National Legal Framework	3-7

3.1.1	Obligations of {insert country} Under International Law	3-7

3.2	MAR Fund requirements	3-8

3.3	Requirements of co-financiers	3-8

3.4	Gap Between the Applicable National Legal Framework and MAR Fund’s Requirements	3-8

3.5	Institutional Framework	3-8

4	Stakeholder Engagement	4-9

4.1	Purpose and Objectives	4-9

4.2	Stakeholder Identification and Analysis	4-9

4.2.1	Key Issues	4-10

4.3	Stakeholder Engagement	4-10

4.3.1	Free, Prior, and Informed Consent (FPIC)	4-10

4.3.2	Gender aspects of the Stakeholder Engagement	4-10

4.3.3	Engagement Methods	4-11

4.3.4	Information Disclosure	4-11

4.3.5	Record Keeping and Documentation	4-11

4.3.6	Stakeholder Engagement conducted to date	4-11

4.4	Grievance Mechanism	4-12

5	Existing Socio-Economic conditions	5-12

5.1.1	Baseline Information and Data Collection and Analysis	5-12

5.1.2	Census	5-13

6	Measures to Avoid and Minimize Loss of Livelihoods or Displacement	6-13

7	Mitigation Measures	7-13

7.1	Identification of Affected Persons	7-14

7.1.1	Livelihood Lost and Economic Displacement Identification	7-14

7.1.1	Physical Displacement Identification	7-14

7.1	Eligibility & Entitlements	7-15

7.1.1	Eligibility Criteria	7-15

7.1.1	Entitlement Matrix	7-15

7.1.2	Mitigation measures to restore and compensate livelihoods	7-15

7.1.1	Mitigation measures to resettle affected persons	7-16

8	Implementation Arrangements	8-16

8.1	Roles and responsibilities	8-16

8.1	Monitoring arrangements	8-16

8.1	Implementation Schedule	8-17

8.2	Budget	8-17

TABLES

Table 1: Entitlement Matrix	7-15

Glossary

Due Diligence	Environmental and Social Due Diligence
EIA	Environmental Impact Assessment
ERP	Emergency Response Plans
ESAP	Environmental and Social Commitment Plan
ES	Environmental and Social
ESDD	Environmental and Social Due Diligence
ESIA	Environmental and Social Impact Assessment
ESMF	Environmental and Social Management Framework
ESMP	Environmental and Social Management Plan
ESMS	Environmental and Social Management System
ESPF	Environmental and Social Performance Framework
ESSQ	Environmental and Social (ES) Screening Questionnaire
ESS	Environmental and Social Safeguards
FPIC	Free, Prior, and Informed Consent
GHG	Greenhouse gas
GMO	Genetically Modified Organism
H&S	Health & Safety
LGBTQ+	Lesbian, gay, bisexual, transgender, queer (or sometimes questioning) and others. + represents other sexual identities including pansexual and Two-Spirit.
MAR	Mesoamerican Reef
MAR Fund	Mesoamerican Reef Fund
OH&S	Occupational Health & Safety
PF	Process Framework
PPE	Personal Protective Equipment
PS	Performance Standards
RfP	Request for Proposals
SEA	Sexual Exploitation and Abuse
SECF	Stakeholder Engagement and Communication Framework
SECP	Stakeholder Engagement and Communication Plan
SGBV	Sexual and Gender-Based Violence
SIA	Social Impact Assessment
ToR	Terms of Reference

Introduction

Include here a description of the structure of the document, a two-sentence about the grant/project, mentioning the fact that it is a Category B+ grant/project due to the risks and impacts from access restrictions, livelihood loss, or limited resettlement that were identified in the environmental and social assessment.

Include a description of the participatory process that led to the preparation of the Process Framework and name the persons from the community that actively participated in the elaboration of this document. Also, include the name and the positions of the persons who prepare the document. Specify whether it is a draft version of the Process Framework (PF) or a final version.

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Description of the Grant/Project

Describe the grant/project, including its activities, expected results, indicative budget, environmental and social issues, context, and background, affected communities, and any other pertinent element. Present your organization’s experience in this type of activities.

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Purpose and objectives of the Grant/Project

Present the purpose and objectives of the grant/project. Explain the conservation goals that require the resettlement and/or access restrictions. Keep in mind that MAR Fund only supports access restrictions to natural resource to achieve the recovery or restauration of the resources and the protection or conservation of ecosystems and their functionality (ESS 5 § 24).

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Description of the Area

Describe the area where the grant/project will be implemented. Describe the Protected Area management plan (if there is any) Describe any conservation agreement with the affected communities.

Indicate the area where the community may be affected by access restrictions or resettlement. Define the current uses of the area by the community.

Describe the future restricted area, the potential buffer areas, and the community use areas. Include the available cartography (GIS, social mapping).

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Description of resettlement Requirements and access restrictions

Describe the potential access restrictions that will be adopted, or the displacement of people required by the grant/project (resettlement). Describe any conservation agreement with the affected communities. Describe the land / marine tenure assessment, including the formal / legal tenure and the informal, customary systems.

Be truthful and succinct.

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Legal and Institutional Framework

Briefly describe and analyze the legal and institutional framework governing the grant/project. Include the requirements of any co-financiers, if there is the case.

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The Applicable National Legal Framework

Include an analysis of the applicable national legislation of {Mexico, Belize, Honduras, Guatemala}. Use the pertinent portion of the National Legislation Overview.

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Obligations of {insert country} Under International Law

List the International Agreements, Conventions and other Instruments signed, ratified by, or otherwise applicable to, {Mexico, Belize, Honduras, Guatemala} and present how the obligations of {Mexico, Belize, Honduras, Guatemala} derived from these instruments affect the grant/project.

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MAR Fund requirements

Include here the requirements of MAR Fund. Refer to MAR Fund’s ESS 5 § 22 to 48 and ESS 5 § 60 to 70.

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Requirements of co-financiers

Identify the environmental and social requirements of the co-financiers, if there is any.

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Gap Between the Applicable National Legal Framework and MAR Fund’s Requirements

Compare the requirements derived from the applicable legal framework, including the obligations of {NAME OF COUNTRY} under international law, and the requirements of MAR Fund. Keep in mind that when MAR Fund’s environmental and social provisions are to be considered in parallel with the provisions of any of the Governments of Mexico, Belize, Guatemala and Honduras, the most stringent environmental and social Policy provision should apply.

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Institutional Framework

Include a summary of the national and local governance structures that are relevant to the grant/project. Include the different organisations involved (for this purpose, you may use the relevant information of the SECP). Include a brief description of the approval processes related to the implementation of Livelihood Restoration or Resettlement Action Plans.

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Stakeholder Engagement

This section must be aligned with the grant/project Stakeholder Engagement and Communication Plan (SECP) and may be considered as a part of that SECP.

For the entire section 4., refer to the grant/project’s SECP.

Describe the engagement processes with the affected stakeholders and how you achieved their full participation in the elaboration of the Process Framework. Include a description of their customary approach to natural resources management. Describe their participation in the elaboration of the grant/project ESIA.

The stakeholder engagement process related to the PF (of Access Restrictions, Livelihood Restoration, and Limited Resettlement) shall include the Free, Prior, and Informed Consent (FPIC) of the affected communities (ESS 5 § 25).

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Purpose and Objectives

Present the purpose and objectives of the stakeholder engagement. Keep in mind that MAR Fund’s ESS 5 establishes that it is necessary to have the Free, Prior, and Informed Consent (FPIC) of the affected communities to proceed with planning and implementing grants that will result in the resettlement of these communities or in the imposition of access restrictions to natural resources (ESS 5 § 9 Note 2, and ESS 5 § 25).

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Stakeholder Identification and Analysis

Describe the affected stakeholders and other stakeholders of the Activity. Describe their interest and their influence or power over the grant/project.

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Key Issues

Present in this section the key issues that have emerged from the stakeholder analysis and the engagement process. Include the perceptions of the affected communities of the loss of livelihoods, economic displacement, and physical displacement.

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Stakeholder Engagement

This section presents the stakeholder engagement process that supports the formulation of this PF and the implementation of the Access Restrictions, Livelihood Restoration and Limited Resettlement related to the grant/project.

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Free, Prior, and Informed Consent (FPIC)

This section shall present the stakeholder engagement and meaningful consultation to obtain FPIC. Refer to the requirements of FPIC established in the ESS 7 § 22 to 34 (Although that Safeguard is addressed to Indigenous Peoples and Traditional Local Communities, the requirements and characteristics of FPIC established there apply to all grants/projects seeking the FPIC of affected communities, as it is the case with Access Restrictions, Livelihoods Loss, and Limited Resettlement.)

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Gender aspects of the Stakeholder Engagement

Present in this section the specific measures and actions taken to ensure that women’s perspectives were obtained, their interests factored into all aspects of resettlement planning and implementation, and the engagement and consultation process reflected the concerns of people of all genders, gender identities, and sexual orientations. (Refer to the ESS 9 § 27 to 30 and to ESS 9 § 31 to 35).

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Engagement Methods

Present the methods to engage with stakeholders, including public hearings, public meetings, and working sessions, engagement by sub-categories of stakeholders, especial arrangement for the engagement with vulnerable stakeholders, etc.

Be as specific as possible.

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Information Disclosure

Include the Information Disclosure Matrix of the grant/project (follow guidance of the ESS 10). Include the concrete arrangement to widely disseminate the cut-off date for eligibility throughout the affected area. Name concrete examples of different media to be used, including written information, nonwritten forms (as graphics and other visuals), audio using local radio broadcasters, and social media as well. Remember that properly dissemination of the cut-off date will discourage ineligible persons - opportunistic livelihood-seekers.

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Record Keeping and Documentation

Describe the arrangements for record keeping and documenting the stakeholder engagement process. These shall satisfy the requirements set forth by the ESS 7 concerning FPIC and by the ESS 10.

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Stakeholder Engagement conducted to date

Describe the stakeholder engagement activities conducted in the frame of this grant/project.

Include references to the documentation of these activities (such as photos, minutes of meetings, reports, and other methods).

Include any agreements reached and commitments adopted by the parties (the affected stakeholders and the grantee).

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Grievance Mechanism

Present the procedures and tools to receive and address concerns and facilitate resolution of grievances related to the processes included in this PF (Access Restrictions, Livelihood Restoration, and Limited Resettlement).

This Grievance Mechanism must be in accordance with the grant/project grievance mechanism (it could be the same) and in alignment with MAR Fund’s mechanism. Follow the guidance presented in the ESS 10 § 52 to 72.

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Existing Socio-Economic conditions

Note that all section 5 should be based on the ESIA study. Present in this section the existing socio-economic conditions of the affected area. Refer to the results from the ESIA or the SIA and include the methodology used.

The timeframe of the procedures related to Access Restrictions, Livelihood Restoration, and Limited Resettlement is presented in ESS 5 § 59. It is expected that an ESIA/SIA study is conducted prior the elaboration of this PF.

If an ESIA/SIA has not yet been conducted, explain the reasons of not having done that yet and present the expected timeline for its execution. If that is the case, this PF will be provisional, and its finalization and approval will be contingent to the ESIA study.

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Baseline Information and Data Collection and Analysis

If the ESIA/SIA was conducted already, include the demographic and socio-economic information and the results of the analysis, including the results and analysis of surveys undertaken.

If the ESIA/SIA has not yet been conducted, present the proposed data-gathering activities.

Include the data sources, the review process, the survey methodology and preparation, the data collection tools, the data analysis, and the baseline construction process.

Include information about household structure; education and literacy; health; livelihoods and other economic sources; living standards (including inventory of assets and other physical infrastructure as referred to by the ESS 5); natural resource use; access to sites of special cultural, spiritual meaning.

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Census

If a census to collect socio-economic baseline data has been conducted, include its results. If the census has not yet been conducted, include the ToR, the cut-off date and the timeline to do it. The census shall cover the total affected population.

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Measures to Avoid and Minimize Loss of Livelihoods or Displacement

Present in this section a summary of measures and actions to avoid the loss of livelihoods, the economic displacement, and the physical displacement of the affected communities. Use the results from the ESIA or the SIA. Include the identified environmental and social risks and impacts, the recommended avoidance measures, the recommended mitigation, and minimization measures.

Include all the changes made to the grant/project to avoid and minimize risks and impacts related to loss of livelihoods and displacement.

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Mitigation Measures

Present in this section a detailed description of the measures (executed and planned) intended to mitigate the loss of livelihoods, the economic displacement, and the physical displacement of the affected communities. If the grant/project just involves access restrictions, the sections related to resettlement (physical displacement) are not necessary.

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Identification of Affected Persons

Include in this section the requirements and standards for identifying the affected persons, following the guidance of ESS 5 § 30. The affected persons will be classified in the following categories:

Persons who have formal legal rights to land or assets.

Persons who do not have formal legal rights to land or assets but have a claim to land or assets that is recognizable by the law of Mexico, Belize, Guatemala, or Honduras (as the case may be).

Persons who have no recognizable legal right or claim to the land or assets they occupy or use.

Establish the different entitlements of the affected persons with special attention to gender differences and the need of the most vulnerable, in a transparent, equitable, and consistent way.

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Livelihood Lost and Economic Displacement Identification

Identify the loss of livelihoods, impacts on the income generation, or otherwise the economic displacement of people. It also shall establish the different entitlements of the affected persons with special attention to gender differences and the need of the most vulnerable, in a transparent, equitable, and consistent way

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Physical Displacement Identification

Identify the persons affected by physical displacement.

If the Activity does not involve physical displacement, this section is not necessary.

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Eligibility & Entitlements

In this section present the criteria for eligibility for compensation, resettlement, other assistance, and other benefits and the entitlements of each beneficiary. Include considerations related to vulnerable and disadvantaged stakeholders. Use the A., B., C., categorization.

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Eligibility Criteria

Present the eligibility criteria, which shall reflect the requirements of ESS 5. Use the A., B., C., categorization.

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Entitlement Matrix

Include an entitlement matrix. This matrix may be refined as a result of further engagement with the affected community.

Table 1: Entitlement Matrix

IMPACT	ELEGIBLE PARTY	ELIGIBILITY CRITERIA	ENTITLEMENT	MITIGATION MEASURE

Mitigation measures to restore and compensate livelihoods

Present in this section detailed information about the restoration and compensation of livelihoods. This section shall include concrete information about the plan to achieve sustainable livelihood restoration (and perhaps improvement) with tailored programs based on the current livelihood activities of the affected stakeholders, including improvement and sustainable management of replacement land resources, and enhancement of natural resources and livelihood activities.

For grants/projects with limited impacts on livelihoods and economic displacement, this section fully developed may constitute the Livelihood Restoration and Compensation Plan. For Activities with larger impacts on livelihoods, this section will be the basis for the Livelihood Restoration and Compensation Plan (which will be a stand-alone document).

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Mitigation measures to resettle affected persons

Present in this section detailed information about the resettlement plan.

For grants/projects with limited physical displacement, this section fully developed may constitute the Resettlement Action Plan. For grants/projects with larger physical displacement, this section will be the basis for the Resettlement Action Plan (which will be a stand-alone document).

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Implementation Arrangements

Present the arrangements for implementation, including the organizational framework, capacity building, management plan, implementation schedule and budget. Describe the linkages between the grant/project team and other organizations and agencies that are relevant. Include a detailed description of the mechanisms to allow for community participation in the planning, implementation, monitoring, and evaluation.

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Roles and responsibilities

Present the roles and responsibilities for the implementation of the mitigation measures, including role of the grantee and other partners and agencies responsible for implementing aspects of the Process Framework.

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Monitoring arrangements

Present the arrangements for monitoring the execution of the Livelihood Restoration and compensation Plan or the Resettlement Action Plan and opportune adoption of any required corrective action. Include a description of the mechanisms to allow for the active participation of the affected communities. Keep in mind that, as per the ESS 5, the results of the implementation of Plans are to be assessed as part of a separate completion audit of the grant/project.

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Implementation Schedule

Include a realistic implementation schedule, agreed upon with the affected communities.

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Budget

Include the budget of the mitigation measures implementation. Keep in mind that the costs of implementing a Livelihood Restoration and Compensation Plan and a Resettlement Action Plan must be part of the budget of the grant/project.

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The cut-off date is the commencement date of the census and the asset inventory. It represents the cut-off date for compensation eligibility. The information about the cut-off date must be disseminated widely throughout the affected area at different opportunities and by different media including written information, nonwritten forms (as graphics and other visuals), audio using local radio broadcasters, and social media as well.