1.2 Requirements and Status Subsection Objectives: Determine the organization’s legal registration and compliance with national and local laws Resources: Registration documents, permits, and approvals; charter, constitution, articles of incorporation, and by-laws; relevant major laws and regulations (tax, labor, occupational health and safety, and environment); senior manager questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 1 2 3 4 1.2 Legal The organization has The organization has The organization has The organization has Requirements Not legally registered or has Applied for legal status, but Legally registered and Legally registered and is and Status an expired registration is not yet legally obtained all required in fully compliance with recognized permits and licenses all required permits and No charter, constitution, or licenses by-laws A charter, constitution, or A charter, constitution, or by-laws, but they are by-laws that are A charter, constitution, Inadequate knowledge or 1.2) incomplete or out of date. appropriate, but may need or by-laws that are unaware of all permits or some updating updated as needed licenses required for Applied for, but not yet operation or has not applied obtained, all permits or Adequate awareness of its Good awareness of its for them licenses required for obligations under its obligations its operation licenses and permits licenses and permits Inadequate knowledge of its obligations required Partial knowledge of Adequate awareness of Good awareness of licenses and permits national and local tax, national and tax, national and local tax, labor, occupational health labor, occupational health labor, occupational Inadequate knowledge of and safety, environmental, and safety, environmental, health and safety, national and local tax, labor, or other laws and other laws environmental, and other occupational health and laws safety, environmental, and Not achieved compliance Achieved substantial other laws with these laws, but has compliance with these Achieved full compliance begun taking corrective laws or has corrective with these laws Not achieved compliance actions to comply with actions underway for full with these laws and is not Pending actions or some laws compliance taking corrective actions ownership changes are Pending legal actions or Pending legal actions or unlikely to have a Pending legal actions or ownership changes may ownership changes are significant adverse ownership changes may have significant adverse unlikely to have significant effects on operations jeopardize operations effects on operations adverse effects on operations
1.2 Requirements and Status Subsection Objectives: Determine the organization’s legal registration and compliance with national and local laws Resources: Registration documents, permits, and approvals; charter, constitution, articles of incorporation, and by-laws; relevant major laws and regulations (tax, labor, occupational health and safety, and environment); senior manager questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 1.2 Legal Requirements and Status 1.2) 1 2 3 4 The organization has Not legally registered or has an expired registration No charter, constitution, or by-laws Inadequate knowledge or unaware of all permits or licenses required for operation or has not applied for them Inadequate knowledge of its obligations required licenses and permits Inadequate knowledge of national and local tax, labor, occupational health and safety, environmental, and other laws Not achieved compliance with these laws and is not taking corrective actions Pending legal actions or ownership changes may jeopardize operations The organization has Applied for legal status, but is not yet legally recognized A charter, constitution, or by-laws, but they are incomplete or out of date. Applied for, but not yet obtained, all permits or licenses required for operation Partial knowledge of national and local tax, labor, occupational health and safety, environmental, or other laws Not achieved compliance with these laws, but has begun taking corrective actions to comply with some laws Pending legal actions or ownership changes may have significant adverse effects on operations The organization has Legally registered and obtained all required permits and licenses A charter, constitution, or by-laws that are appropriate, but may need some updating Adequate awareness of its obligations under its licenses and permits Adequate awareness of national and tax, labor, occupational health and safety, environmental, and other laws Achieved substantial compliance with these laws or has corrective actions underway for full compliance Pending legal actions or ownership changes are unlikely to have significant adverse effects on operations The organization has Legally registered and is in fully compliance with all required permits and licenses A charter, constitution, or by-laws that are updated as needed Good awareness of its obligations its licenses and permits Good awareness of national and local tax, labor, occupational health and safety, environmental, and other laws Achieved full compliance with these laws Pending actions or ownership changes are unlikely to have a significant adverse effects on operations
ocawithfacilitatorsguidewithnupas7.27.2015.docx