Management Systems Procedure

Regulatory and Statutory Approvals

Procedure No.: HLG/ENG/PR/00138 REV 04
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Revision History

Rev.
Date Summary of Revision
No.

00 23 Oct 2008 First Issue.

01 13 Aug 2012 Rewritten to suit Business needs.

02 04 Mar 2014 Updated document number and forms references.

General update. HLG/ENG/FM/00781 – Responsibility Matrix for

03 08 Dec 2015
Obtaining- Regulatory and Statutory Approvals withdrawn.
04 Apr 2017 Rewritten to suit Business needs.

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Contents

Section Page No
Revision History ............................................................................................................................. 2
1.0 Purpose and Scope .............................................................................................................. 4
2.0 Definitions and Abbreviations ............................................................................................. 4
3.0 Responsibilities.................................................................................................................... 4
4.0 Procedure ............................................................................................................................. 4
4.1 Pre-Contract Award Process .................................................................................................. 4
4.2 Post Contract Award Process................................................................................................. 5
4.3 Approved Documentation, No Objection Certificates and Authority Notifications. ................... 5
REFERENCES ................................................................................................................................. 6

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1.0 Purpose and Scope

a) This procedure describes the HLG guidelines on statutory approvals to ensure all
necessary Regulatory and Statutory Approvals are obtained within a specific time, to
enable a timely completion of the works, from all the relevant authorities to ensure
compliance with legal, statutory and regulatory requirements as laid down by the local
laws.

b) This procedure applies to all projects irrespective of their scope of works.

2.0 Definitions and Abbreviations

Asset Holders local authorities or organizations (private or public) that

own property of services that are affected by the project
scope of works.

Legislation the process of making or enacting laws, laws considered

collectively.

No Objection Certificate (NOC) a contractual certificate issued by any authority

confirming their No Objection to the works or the design
of the works, usually caveated with respect to the
authority witnessing parts of the works or the works
complying with certain criteria and specification laid
down by the authority.

Regulatory Authority a public authority or a government agency responsible

for exercising autonomous authority over some are of
human activity, i.e., water, gas, electricity, public
transport.

Statutory Authority a body set up by law which is authorized to enact

legislation on behalf of the relevant country or Emirate.

3.0 Responsibilities

The following personnel have responsibilities mentioned in this procedure:

̶ Bid Leader (BL)

̶ Delegated Person (preferably the Engineering Manager)

̶ Project Commercial Manager (PCM)

̶ Planning Manager (PLM)

̶ Project Director/Project Manager (PD/PM)

4.0 Procedure

4.1 Pre-Contract Award Process

a) As early as possible during the tendering period, the BL shall assign a person responsible
to identify all the Statutory and Regulatory Authority requirements for NOC and approvals,
and to develop a matrix using the HLG/ENG/FM/00782 – Regulatory and Statutory

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Approval Status. The matrix shall clearly identify the different stages of approvals that will
be require, i.e., design related such as building permits, design approvals, and construction
related such as NOC based on shop drawing approvals, materials etc., for both permanent
and temporary works.

b) The responsible person shall clearly identify all the authority approval requirements and
highlight where appropriate, those submissions and approvals that require a third party to
deal with the authorities. This could take the form of an approved Consultant for building
permits and certificates, or a specialized designer such as a traffic management specialist.
Due consideration shall be taken in to the tender by the BL.

c) The BL shall in coordination with the PLM, ensure that the timescales for the Statutory and
Regulatory Authority approvals are adequately covered in the tender programme, and
precede all other works at site.

4.2 Post Contract Award Process

a) Upon contract award, the assigned PD/PM shall delegate a person responsible for the
coordination and management of the Statutory and Regulatory Authority approval process.
Ideally this person shall be the Engineering Manager.

b) The Delegated Person shall obtain a copy of the approval matrix created at tender stage,
review its contents for completeness and amend where necessary.

c) Where required under the project or in accordance with the statutory authorities
procedures, the main contractor shall appoint an approved Consultant or Specialist
Designer to deal directly with the authorities, for all submissions.

d) The Delegated Person shall liaise with the Consultant/Specialist Designer and or the
authorities to determine the detail and format of the information that requires to be
submitted for approval. The Delegated Person shall also appraise himself and the site
team of the consequence of not following the correct procedures or obtaining the
necessary approvals prior to commencing the works at site.

e) The Delegated Person shall maintain and monitor the approval status matrix, ensuring that
submissions are made on a timely basis and that documents being withheld by the
authorities longer than normal are highlighted to the PD/PM for further follow up and
appropriate action. The matrix requires to be updated weekly and distributed to all
concerned parties, including the PCM and Client/Client’s Representative who needs to
receive a formal copy in case of any future claim by the main contractor.

f) No works shall commence at site unless authority approvals/no objections have been
received.

4.3 Approved Documentation, No Objection Certificates and Authority Notifications.

a) All authority approvals are generally given subject to certain conditions and caveats, which
are required to be known by the construction team. Any conditions and or expiration date
of the approval shall be recorded in the status matrix and reviewed regularly.

b) No Objection Certificates that require regular renewal shall be renewed in good time and,
at all times, prior to the expiration date of the previous document.

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c) The PD/PM shall ensure that the construction team acts immediately upon receipt of any
non-conformance notices given by the concerned authority, to circumvent the approvals
being rescinded and fines being applied. Under no circumstances shall the site ignore any
instruction or notice given by the authority.

d) The Delegated Person shall ensure that all approvals, NOC, non-conformance notices and
correspondence with the authorities shall be separately filed and for part of the ‘End of
Project Report’, through HLG/CPL/PR/00130 – End of Project Report procedure.

REFERENCES FORMS

HLG/CPL/PR/00130 – End of Project Report HLG/ENG/FM/00782 – Regulatory/Statutory

Approval Status

HLG/ENG/PR/00138 Rev 04