Governance and Compliance

Inspections and Audits

Inspections rarely find something nobody knew about. They find the thing that was known, deferred and never fixed — and they find it because **the records were not there to show otherwise**. Readiness is a records problem far more than a behaviour problem.

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Inspections and Audits

Being ready, and what to do on the day

Inspections rarely find something nobody knew about. They find the thing that was known, deferred and never fixed — and they find it because the records were not there to show otherwise. Readiness is a records problem far more than a behaviour problem.

ItemDetail
Company[COMPANY NAME], [licence] [NUMBER]
Who may inspectMOHRE, FTA, municipality, civil defence, immigration, sector regulators, data protection
Inspection lead[NAME], [PHONE]
Deputy[NAME], [PHONE]
Reception briefed[Y/N] — they meet the inspector first
Document pack location[PHYSICAL AND DIGITAL]
Last internal review[DATE]
Version and date[NUMBER], [DATE]

1. Who Inspects What

AuthorityTypically examines
MOHRERegistered contracts, WPS payment, Emiratisation, permits, wage complaints, working conditions, midday ban
Federal Tax AuthorityCorporate tax and VAT records, invoices, QFZP evidence, transfer pricing, seven-year retention
ImmigrationVisas, permits, establishment file, anyone on site
MunicipalityPremises use, signage, health and safety, activity-specific requirements
Civil defenceFire systems, extinguishers, alarms, evacuation routes and certificates
Economic departmentLicence, activities, consumer matters, promotions and pricing
[Sector regulator]Activity-specific requirements
[Data protection regulator]Records of processing, breach register, DPO, transfers

1.1Several may be unannounced. MOHRE and municipality inspections in particular arrive without notice, which is why the pack in Section 2 has to exist before it is asked for.

2. The Pack

Generated from www.helionerp.com1

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Notes for use

These notes accompany the template and explain the drafting choices, the compliance points and the mistakes most often made with this document. They appear as a final page in the Word file, intended to be deleted before the document is executed.

Inspections find what was known and deferred

They rarely uncover something nobody was aware of. They find the item that was known, postponed and never fixed — and they find it because the records were not there to show otherwise. Readiness is mostly a records problem.

Keep the pack current, not assembled on the day

A document pack compiled under pressure while an inspector waits looks exactly like what it is, and the gaps are more visible than they would otherwise have been. Maintain it quarterly.

Brief reception specifically

They meet an unannounced inspector first, and an untrained response — refusing entry, calling nobody, or handing over files unaccompanied — sets the tone for everything that follows. One conversation, refreshed annually.

Never conceal, alter or remove a document

It is categorically worse than whatever the document would have shown, converting a compliance finding into a question of integrity. This is the one thing that cannot be remediated afterwards, and it should be said explicitly to anyone who might be asked.

Do not guess an answer

Saying you will confirm and coming back is always better than a wrong answer given confidently. Inaccurate information given to an inspector is difficult to correct and colours everything else.

Nobody is left alone with an inspector

Not to obstruct, but so that what was asked and what was said is recorded. The log matters later, particularly where findings are contested.

Check objection deadlines immediately

Appeal and objection windows are short, and by the time an internal discussion concludes that a finding is wrong, the window has typically closed. Diarise it the day the findings arrive.

Fix the cause, not the finding

Remediating the specific item while the process that produced it continues means the next inspection finds the same thing. Repeat findings are treated far less sympathetically than first ones.

Several authorities may arrive unannounced

MOHRE and municipality inspections in particular come without notice. Free zone entities are not exempt from all of them, and a site with contractors or supplied labour is inspected as your site.

WPS and Emiratisation are checked from data

Neither requires an inspector to visit — they are visible in the systems. A monthly reconciliation and recalculation is what prevents the finding, not what answers it.

Everyone on site needs a valid permit for their work

Including contractors and supplied labour. The inspector counts people present, not people on your payroll, and a permit mismatch on your premises is your problem to explain.

Keep the midday ban records

Rosters and site logs evidencing that outdoor work stopped during the prohibited window are what answer that inspection. Verbal assurance is not evidence.

Free zone entities are inspected too

By the zone authority, and by federal authorities for federal matters including tax. Being in a free zone changes who arrives, not whether anyone does.

Run a quarterly self-inspection

Against the same list an inspector would use. It costs half a day, finds the same things, and discovering them yourself is simply cheaper and less consequential.

Current as of

Reflects UAE practice current as of {{DATE OF USE}}. Inspection powers, documentary requirements, penalty levels and objection procedures differ by authority and emirate and change — confirm the current position with the relevant authority, and take advice promptly where an inspection produces a penalty or a serious finding.

This is a ready-to-use template provided for convenience. Laws and requirements change, and every situation is different — please have it reviewed by a qualified professional (a lawyer, corporate secretary, or accountant as relevant) before you rely on it.