Part A — Management Systems
Legal and authority compliance register
Workbook section 4
Owner
HSE Manager / Document Controller
Review / trigger
Annual review; update immediately if legal, authority, project, client, or scope requirements change.
Primary references
Plans TOC - Part A; Plan H74 Fall Protection and Re; Plan H84 Concrete Pouring Pumpi; Plan I94 Construction Environme; Plan I104 Sustainability Energy
Checkpoints
88
| # | Area | Checkpoint / Requirement | Evidence / Acceptance Criteria | Responsible | Frequency |
|---|---|---|---|---|---|
| 1 | Trade License & Corporate Legal Status | Valid DED/Free Zone trade license covering scope of construction works | Copy of current trade license cross-checked against activity code; renewal date tracked | HSE Manager / Legal | Quarterly |
| 2 | Trade License & Corporate Legal Status | Establishment card (MOHRE) valid and matching license activities | Establishment card copy verified against MOHRE portal printout | HR Manager | Quarterly |
| 3 | Trade License & Corporate Legal Status | Chamber of Commerce membership certificate current | Certificate copy filed with expiry tracker | Admin Manager | Annually |
| 4 | Trade License & Corporate Legal Status | Memorandum of Association / Local Service Agent agreement in force where applicable | MOA/LSA copy reviewed by legal counsel | Legal Advisor | Annually |
| 5 | Trade License & Corporate Legal Status | Municipality/Trakhees contractor registration valid for project emirate/zone | Registration certificate matched to project location | Project Manager | Per project |
| 6 | Trade License & Corporate Legal Status | VAT registration certificate (FTA) valid and TRN displayed on invoices | FTA TRN certificate on file; sample invoice check | Finance Manager | Annually |
| 7 | Trade License & Corporate Legal Status | Corporate bank guarantee/insurance broker license verified for bonds issued | Broker license and guarantee authenticity confirmed with bank | Contracts Manager | Per contract |
| 8 | Trade License & Corporate Legal Status | Ultimate beneficial owner (UBO) declaration filed per Cabinet Resolution 58/2020 | UBO register submitted to licensing authority, receipt on file | Legal Advisor | Annually |
| 9 | Civil Defence & Fire Safety Approvals | Civil Defence NOC obtained for site setup and temporary facilities | NOC certificate displayed at site office | HSE Manager | Per project |
| 10 | Civil Defence & Fire Safety Approvals | Approved firefighting and fire alarm system design (Civil Defence stamped drawings) | Stamped shop drawings on site, matching as-built | Fire & Safety Officer | Per project |
| 11 | Civil Defence & Fire Safety Approvals | Fire extinguishers inspected and tagged per Civil Defence code | Inspection tags dated within last month, service records | Fire & Safety Officer | Monthly |
| 12 | Civil Defence & Fire Safety Approvals | Hot work permit system aligned with Civil Defence fire safety code | Permit register cross-referenced with Civil Defence code requirements | HSE Officer | Per hot work activity |
| 13 | Civil Defence & Fire Safety Approvals | Temporary site accommodation/labour camp fire safety approval | Civil Defence approval certificate for camp facilities | Camp Boss / HSE | Annually |
| 14 | Civil Defence & Fire Safety Approvals | Fireman/fire watch personnel certified by Civil Defence approved training centre | Training certificates verified and logged | Fire & Safety Officer | Per assignment |
| 15 | Civil Defence & Fire Safety Approvals | Emergency evacuation plan approved and displayed at site entrances | Approved evacuation plan copy posted; muster point signage verified | HSE Manager | Per project |
| 16 | Civil Defence & Fire Safety Approvals | Civil Defence periodic inspection findings closed out within stipulated timeframe | Closure report and photographic evidence submitted to Civil Defence | HSE Manager | Per inspection |
| 17 | Building Permits & Municipality/Trakhees Compliance | Building permit issued by Dubai Municipality/Trakhees/relevant authority prior to mobilization | Permit certificate matched to approved drawings and plot number | Project Manager | Per project |
| 18 | Building Permits & Municipality/Trakhees Compliance | Approved structural, MEP and architectural drawings held on site (latest revision) | Drawing register with revision control, stamped copies on site | Design Manager | Per project |
| 19 | Building Permits & Municipality/Trakhees Compliance | No Objection Certificate (NOC) from utility authorities (DEWA/Etisalat/Du) obtained | NOC copies filed prior to excavation/service diversion works | Project Manager | Per project |
| 20 | Building Permits & Municipality/Trakhees Compliance | Excavation and shoring permit obtained where applicable | Permit certificate cross-checked with geotechnical report | Site Engineer | Per activity |
| 21 | Building Permits & Municipality/Trakhees Compliance | Site boundary wall/hoarding permit compliant with municipality specification | Approved hoarding permit and inspection sign-off | Site Engineer | Per project |
| 22 | Building Permits & Municipality/Trakhees Compliance | Building completion certificate process tracked (as-built submission plan) | As-built submission schedule aligned with municipality requirements | Project Manager | At handover |
| 23 | Building Permits & Municipality/Trakhees Compliance | Traffic diversion/road cut permit obtained from RTA/municipality where required | Permit copy and approved traffic management plan on file | Traffic Marshal Supervisor | Per activity |
| 24 | Building Permits & Municipality/Trakhees Compliance | Waste management/skip bin service registered with municipality-approved contractor | Registration certificate and waste transfer notes verified | Environmental Officer | Ongoing |
| 25 | OSH Framework (MOHRE/ADOSH-SF) | OSHMS registered and certified under ADOSH-SF (or equivalent emirate OSH framework) | OSHAD/ADOSH-SF certificate current and scope matches project activities | HSE Manager | Annually |
| 26 | OSH Framework (MOHRE/ADOSH-SF) | Company OSH policy signed by senior management, aligned with UAE OSH Framework | Signed and dated policy displayed at site and head office | HSE Manager | Annually |
| 27 | OSH Framework (MOHRE/ADOSH-SF) | Risk assessments and method statements approved prior to activity commencement | RAMS register with approval signatures and revision dates | HSE Officer | Per activity |
| 28 | OSH Framework (MOHRE/ADOSH-SF) | Incident/accident reporting procedure compliant with MOHRE notification timelines | Incident log with MOHRE notification receipts where applicable | HSE Manager | Per incident |
| 29 | OSH Framework (MOHRE/ADOSH-SF) | OSH Framework mandatory elements (ADOSH-SF EHSMS or ADOSH-SF) self-assessment completed | Self-assessment scorecard submitted to regulator | HSE Manager | Annually |
| 30 | OSH Framework (MOHRE/ADOSH-SF) | Permit to work system operational for high-risk activities (confined space, LOTO, working at height) | Permit register with closed-out permits and authorisation signatures | HSE Officer | Per activity |
| 31 | OSH Framework (MOHRE/ADOSH-SF) | Statistics (LTIFR, TRIR) reported to relevant authority as required | Monthly/annual statistics submission acknowledgement | HSE Manager | Monthly |
| 32 | OSH Framework (MOHRE/ADOSH-SF) | Third-party OSH audit conducted by ADOSH-SF approved auditing firm | Audit report and corrective action tracker on file | HSE Manager | Annually |
| 33 | Environmental Compliance (EAD/Municipality) | Environmental permit/approval obtained from EAD or municipality prior to works | Permit certificate matched to project scope and location | Environmental Officer | Per project |
| 34 | Environmental Compliance (EAD/Municipality) | Environmental Impact Assessment (EIA) approved where project scale requires | EIA approval letter and mitigation measures register | Environmental Consultant | Per project |
| 35 | Environmental Compliance (EAD/Municipality) | Hazardous waste generator registration with municipality/EAD in place | Registration certificate and manifest tracking system | Environmental Officer | Annually |
| 36 | Environmental Compliance (EAD/Municipality) | Hazardous waste transported only by licensed carriers to licensed disposal facilities | Waste transfer manifests matched to licensed carrier certificates | Environmental Officer | Per consignment |
| 37 | Environmental Compliance (EAD/Municipality) | Dust and air emission control measures compliant with local air quality regulations | Dust monitoring records and mitigation log (water spraying, screens) | Environmental Officer | Weekly |
| 38 | Environmental Compliance (EAD/Municipality) | Noise level monitoring compliant with municipality permissible limits | Noise monitoring reports compared to regulatory thresholds | Environmental Officer | Monthly |
| 39 | Environmental Compliance (EAD/Municipality) | Groundwater dewatering discharge permit obtained where applicable | Discharge permit and water quality test results filed | Site Engineer | Per activity |
| 40 | Environmental Compliance (EAD/Municipality) | Marine/coastal works NOC obtained from EAD/Trakhees where project is near marine environment | NOC certificate and marine mitigation plan on file | Environmental Officer | Per project |
| 41 | Labour Law & Welfare Compliance (MOHRE) | All workers hold valid work permits/labour cards issued by MOHRE | Sample audit of labour cards against MOHRE portal records | HR Manager | Monthly |
| 42 | Labour Law & Welfare Compliance (MOHRE) | Wage Protection System (WPS) compliance verified for all employees | WPS transfer confirmation reports reviewed monthly | Payroll Manager | Monthly |
| 43 | Labour Law & Welfare Compliance (MOHRE) | Employment contracts registered with MOHRE and match unified contract format | Sample contract audit against MOHRE registration records | HR Manager | Per new hire |
| 44 | Labour Law & Welfare Compliance (MOHRE) | Working hours and overtime compliant with UAE Labour Law (Federal Decree Law 33/2021) | Timesheet audit against statutory limits, especially summer midday break | HR Manager | Monthly |
| 45 | Labour Law & Welfare Compliance (MOHRE) | Summer midday work ban compliance (15 June-15 Sept, 12:30-15:00) | Site activity logs showing no work during banned hours, signage posted | HSE Manager | Daily (seasonal) |
| 46 | Labour Law & Welfare Compliance (MOHRE) | End of service benefits calculated and provisioned per Labour Law entitlements | Payroll provision report reviewed by finance/HR | Finance Manager | Quarterly |
| 47 | Labour Law & Welfare Compliance (MOHRE) | Labour accommodation standards compliant with MOHRE/municipality camp regulations | Camp inspection checklist and approval certificate | Camp Boss | Quarterly |
| 48 | Labour Law & Welfare Compliance (MOHRE) | Grievance and non-discrimination mechanism established per Labour Law requirements | Grievance log and resolution records maintained confidentially | HR Manager | Ongoing |
| 49 | Insurance & Bonds | Contractors All Risk (CAR) insurance policy active for full project duration | Policy schedule matched to project value and duration | Insurance/Contracts Manager | Per project |
| 50 | Insurance & Bonds | Workmen's Compensation/Employer's Liability insurance covering all workforce | Policy certificate with coverage limits verified against headcount | Insurance/Contracts Manager | Annually |
| 51 | Insurance & Bonds | Third Party Liability (TPL) insurance in place with adequate coverage limits | Policy certificate reviewed against contract insurance requirements | Contracts Manager | Per project |
| 52 | Insurance & Bonds | Performance bond issued by UAE-licensed bank/insurer per contract conditions | Bond certificate validated with issuing bank | Contracts Manager | Per contract |
| 53 | Insurance & Bonds | Advance payment guarantee issued and tracked for reduction against payments | Guarantee value reconciled with payment certificates | Finance Manager | Per payment cycle |
| 54 | Insurance & Bonds | Professional indemnity insurance held by design consultants where applicable | PI insurance certificate reviewed for adequate coverage period | Design Manager | Per project |
| 55 | Insurance & Bonds | Insurance policies list authority/employer as co-insured/beneficiary where required by contract | Policy endorsement confirming co-insured status | Contracts Manager | Per project |
| 56 | Insurance & Bonds | Claims history and insurance renewal tracked to avoid coverage lapse | Renewal tracker with lead-time alerts reviewed by management | Insurance/Contracts Manager | Monthly |
| 57 | Plant, Equipment & Vehicle Registration | Cranes and lifting equipment registered and inspected by third-party certifying body | Third-party inspection certificate current, load test records on file | Lifting Supervisor | Every 4-12 months per type |
| 58 | Plant, Equipment & Vehicle Registration | Heavy vehicles/equipment registered with RTA/municipality traffic department | Registration cards matched to equipment on site | Plant Manager | Annually |
| 59 | Plant, Equipment & Vehicle Registration | Operators hold valid UAE-recognized licenses/certifications for equipment operated | License copies verified against equipment operated on site | HR Manager | Per assignment |
| 60 | Plant, Equipment & Vehicle Registration | Scaffolding erected/inspected by competent scaffolder with valid certification | Scaffold tag system and inspection register maintained | Scaffolding Supervisor | Weekly |
| 61 | Plant, Equipment & Vehicle Registration | Pressure vessels/boilers registered and inspected per Civil Defence/municipality code | Inspection certificate current and displayed on equipment | Plant Manager | Annually |
| 62 | Plant, Equipment & Vehicle Registration | Temporary electrical installations inspected and certified by licensed electrician | Electrical test certificate (megger/earth continuity) on file | Electrical Supervisor | Quarterly |
| 63 | Plant, Equipment & Vehicle Registration | Fuel storage tanks comply with Civil Defence/municipality storage licensing | Storage license and bunding inspection records verified | HSE Officer | Annually |
| 64 | Plant, Equipment & Vehicle Registration | Generator sets registered with noise and emission compliance certificates | Compliance certificates and location approval on file | Plant Manager | Annually |
| 65 | Sustainability & Green Building Compliance | Al Sa'fat/Estidama Pearl rating compliance documentation submitted where mandated | Green building compliance certificate matched to project category | Sustainability Manager | Per project |
| 66 | Sustainability & Green Building Compliance | Construction waste management plan targets diversion rate per municipality policy | Waste diversion report reviewed against target percentage | Environmental Officer | Monthly |
| 67 | Sustainability & Green Building Compliance | Energy and water efficiency measures documented per Dubai Municipality Green Building Regulations | Compliance checklist submitted with building permit application | Sustainability Manager | Per project |
| 68 | Sustainability & Green Building Compliance | Sustainable materials sourcing documented (recycled content, regional sourcing) | Material data sheets and sourcing certificates on file | Procurement Manager | Per project |
| 69 | Sustainability & Green Building Compliance | Solar water heating/renewable energy provisions verified where regulation mandates | Design compliance certificate reviewed by MEP consultant | Design Manager | Per project |
| 70 | Sustainability & Green Building Compliance | Carbon footprint/emissions reporting submitted where required by authority | Emissions report submission acknowledgement filed | Sustainability Manager | Annually |
| 71 | Data Protection, Health & Statutory Records | Employee medical fitness certificates issued by MOHAP/DHA-approved centres | Medical certificates verified against employee file | HR Manager | Per employment/renewal |
| 72 | Data Protection, Health & Statutory Records | Occupational health surveillance records maintained per exposure risk (noise, dust, chemicals) | Health surveillance register cross-referenced with risk assessment | Occupational Health Nurse | Annually |
| 73 | Data Protection, Health & Statutory Records | Statutory record retention (payroll, permits, incident reports) compliant with regulatory retention periods | Document retention schedule audited against Federal Law requirements | Document Controller | Annually |
| 74 | Data Protection, Health & Statutory Records | Personal data handling complies with UAE Federal Data Protection Law (Federal Decree Law 45/2021) | Data protection policy and consent forms verified | Legal Advisor | Annually |
| 75 | Data Protection, Health & Statutory Records | COVID-19/public health directives compliance maintained per DHA/MOHAP circulars | Health protocol compliance log and any active circular tracked | HSE Manager | Ongoing |
| 76 | Data Protection, Health & Statutory Records | Statutory notices (labour law summary, emergency numbers) displayed in required languages | Site notice board inspection checklist | HSE Officer | Monthly |
| 77 | Data Protection, Health & Statutory Records | Whistle-blower/anti-corruption policy compliant with UAE anti-corruption regulations | Policy acknowledgement records signed by staff | Compliance Officer | Annually |
| 78 | Data Protection, Health & Statutory Records | ISO 45001 certification surveillance audits completed and certificate valid | Surveillance audit report and certificate validity confirmed | HSE Manager | Annually |
| 79 | Tax & Financial Statutory Compliance | Corporate Tax registration completed with Federal Tax Authority (Federal Decree Law 47/2022) | FTA corporate tax TRN certificate on file | Finance Manager | Annually |
| 80 | Tax & Financial Statutory Compliance | VAT returns filed on time with no outstanding penalties | FTA filing acknowledgement and payment receipts reviewed | Finance Manager | Quarterly |
| 81 | Tax & Financial Statutory Compliance | Economic Substance Regulation (ESR) notification/report filed where applicable | ESR filing confirmation on file | Legal Advisor | Annually |
| 82 | Tax & Financial Statutory Compliance | Audited financial statements filed with relevant licensing authority | Auditor's report and filing receipt verified | Finance Manager | Annually |
| 83 | Tax & Financial Statutory Compliance | Anti-Money Laundering (AML) compliance program registered with goAML where applicable | goAML registration certificate on file | Compliance Officer | Annually |
| 84 | Site Security & Public Safety Compliance | Security Industry Regulatory Agency (SIRA) licensed guards deployed at site entry points | SIRA license copies for deployed security personnel verified | Security Supervisor | Per assignment |
| 85 | Site Security & Public Safety Compliance | Public safety barricading and signage compliant with municipality road safety code | Signage/barricade inspection checklist completed | Traffic Marshal Supervisor | Weekly |
| 86 | Site Security & Public Safety Compliance | CCTV surveillance system compliant with data retention and privacy requirements | CCTV system audit log and data retention policy on file | Security Supervisor | Quarterly |
| 87 | Site Security & Public Safety Compliance | Site access control and visitor management system compliant with company/authority policy | Visitor log and induction record audit | HSE Officer | Weekly |
| 88 | Site Security & Public Safety Compliance | Neighbouring property protection and public interface risk assessment approved by authority | Approved method statement for interface works on file | Project Manager | Per activity |
Each checkpoint records Status (Yes / No / N/A), Comments, Corrective Action and Sign-off. Switch to Complete in-app to fill it here, or download the blank version to complete on site.
Next step
Turn this into evidence you can hand over
Replace scattered spreadsheets and WhatsApp threads with one HSE operations system built around UAE authority expectations.
- Built around UAE authoritiesADOSH-SF, Trakhees, DM, DCD, MOIAT and ISO 45001 structures.
- Usable the same dayTemplates and registers are pre-filled with your company details.
- Evidence, not just formsEvery record carries dates, signatures and an export you can hand over.