Appendix: NEC4 ‘Toolkit’

Communication checklist

In accordance with good project management principles, NEC4 communications are intended to cover the entire project and it is therefore no surprise that all the core clause sections include communication requirements.

The range of communications is wide and intended to be exhaustive in relation to the ability to manage a project.

The reciprocal nature of communications under NEC4 can take some practice for architects who are used to administering older style standard form contracts where communication is a little more one way, from contract administering architect to contractor.

The following checklists are intended to give architects for whom NEC4 is a new experience a quick overview of the contractual communications which are foreseen. Most architects will find that mastering these communications is key to successful contract administration under NEC4, and the checklists can still provide a useful aide-memoire to relatively experienced NEC4 users. It’s also useful to note that NEC4 includes Example Communication Forms in the Appendices to the User Guides.

Communications BY CLAUSE NUMBER

D = Discretionary Communication /M = Mandatory Communication

Action Clause no. Communication Issued By
Notification of agreed extension to period for reply 13.5 Notification Project Manager
Instruction to change Scope or a Key Date 14.3 Instruction D/M Project Manager
Notification of ‘cost/time/quality’ early warning matters 15.1 Notification M PM/Contractor
Notification of other early warning matter 15.1 Notification D PM/Contractor
Instruction to attend early warning meeting 15.2 Instruction D PM/Contractor
Revise Early Warning Register to record early warning meeting 15.4 Record Project Manager
Notification of an ambiguity or inconsistency 17.1 Notification Project Manager
Instruction to resolve the ambiguity or inconsistency 17.1 Instruction M Project Manager
Notification of illegal or impossible requirements 17.2 Notification PM/Contractor
Instruction as to how to deal with prevention event 19.1 Instruction Project Manager
Instruction to remove an employee 24.2 Instruction Project Manager
Acceptance of Subcontractor 26.2 Acceptance Project Manager
Acceptance of Subcontract 26.3 Acceptance Project Manager
Completion Certificate 30.2 Certificate Project Manager
Acceptance of programme 31.3 Acceptance Project Manager
Notification of non-acceptance of programme 31.3 Notification Project Manager
Instruction to stop or not to start work 34.1 Instruction Project Manager
Take over Certificate 35.4 Certificate Project Manager
Instruction to submit quotation for acceleration 36.1 Instruction Project Manager
Instruction to search for defects 43.1 Instruction Supervisor
Notification of defects 43.2 Notification Supervisor/Contractor
Defects Certificate 44.3 Certificate Supervisor
Notification of extension to defects correction period 44.4 Notification Project Manager
Acceptance of quotation to accommodate defect 45.2 Acceptance Project Manager
Instruction to change Scope, Prices and Completion Date 45.2 Instruction Project Manager
Assessment of amount of money due 50.1 Assessment Project Manager
Payment Certificate 51.1 Certificate Project Manager
Notification of compensation event 61.1 Notification Project Manager
Instruction to submit quotation for compensation event 61.2 Instruction Project Manager
Notification of failure to give early warning 61.5 Notification Project Manager
Notification of correcting compensation event effect 61.6 Notification Project Manager
Instruction to submit alternative quotations 62.1 Instruction Project Manager
Acceptance of a quotation 62.3 Acceptance Project Manager
Instruction to submit a revised quotation 62.3 Instruction Project Manager
Notification of PM’s own assessment 62.3 Notification Project Manager
Notification of extension of quotation period 62.5 Notification Project Manager
Notification of PM’s assessment of compensation event 64.3 Notification Project Manager
Instruction to deal with objects of value/historic interest 73.1 Instruction Project Manager
Acceptance of insurance details 84.1 Acceptance Project Manager
Termination Certificate 90.1 Certificate Project Manager
Notification of default 91.2 Notification Project Manager

Communications BY TYPE

D = Discretionary Communication / M = Mandatory Communication

Action Communication Issued By Clause no.
Acceptance of Subcontractor Acceptance Project Manager 26.2
Acceptance of Subcontract Acceptance Project Manager 26.3
Acceptance of programme Acceptance Project Manager 31.3
Acceptance of quotation to accommodate defect Acceptance Project Manager 45.2
Acceptance of a quotation Acceptance Project Manager 62.3
Acceptance of insurance details Acceptance Project Manager 84.1
Assessment of amount of money due Assessment Project Manager 50.1
Completion Certificate Certificate Project Manager 30.2
Take over Certificate Certificate Project Manager 35.4
Defects Certificate Certificate Supervisor 44.3
Payment Certificate Certificate Project Manager 51.1
Termination Certificate Certificate Project Manager 90.1
Instruction as to how to deal with prevention event Instruction Project Manager 19.1
Instruction to remove an employee Instruction Project Manager 24.2
Instruction to stop or not to start work Instruction Project Manager 34.1
Instruction to submit quotation for acceleration Instruction Project Manager 36.1
Instruction to search for defects Instruction Supervisor 43.1
Instruction to change Scope, Prices and Completion Date Instruction Project Manager 45.2
Instruction to submit quotation for compensation event Instruction Project Manager 61.2
Instruction to submit alternative quotations Instruction Project Manager 62.1
Instruction to submit a revised quotation Instruction Project Manager 62.3
Instruction to deal with objects of value/historic interest Instruction Project Manager 73.1
Instruction to attend early warning meeting Instruction D PM/Contractor 15.2
Instruction to change Scope or a Key Date Instruction D/M Project Manager 14.3
Instruction to resolve the ambiguity or inconsistency Instruction M Project Manager 17.1
Notification of agreed extension to period for reply Notification Project Manager 13.5
Notification of an ambiguity or inconsistency Notification Project Manager 17.1
Notification of illegal or impossible requirements Notification PM/Contractor 17.2
Notification of non-acceptance of programme Notification Project Manager 31.3
Notification of defects Notification Supervisor/Contractor 43.2
Notification of extension to defects correction period Notification Project Manager 44.4
Notification of compensation event Notification Project Manager 61.1
Notification of failure to give early warning Notification Project Manager 61.5
Notification of correcting compensation event effect Notification Project Manager 61.6
Notification of PM’s own assessment Notification Project Manager 62.3
Notification of extension of quotation period Notification Project Manager 62.5
Notification of PM’s assessment of compensation event Notification Project Manager 64.3
Notification of default Notification Project Manager 91.2
Notification of ‘cost/time/quality’ early warning matters Notification M PM/Contractor 15.1
Notification of other early warning matter Notification D PM/Contractor 15.1
Revise Early Warning Register to record early warning meeting Record Project Manager 15.4

Communications BY ISSUER

D = Discretionary Communication / M = Mandatory Communication

Action Issued By Clause no. Communication
Notification of illegal or impossible requirements PM/Controctor 17.2 Notification
Notification of ‘cost/time/quality’ early warning matters PM/Contractor 15.1 Notification M
Notification of other early warning matter PM/Controctor 15.1 Notification D
Instruction to attend early warning meeting PM/Controctor 15.2 Instruction D
Notification of agreed extension to period for reply Project Manager 13.5 Notification
Instruction to change Scope or a Key Date Project Manager 14.3 Instruction D/M
Revise Early Warning Register to record early warning meeting Project Manager 15.4 Record
Notification of an ambiguity or inconsistency Project Manager 17.1 Notification
Instruction to resolve the ambiguity or inconsistency Project Manager 17.1 Instruction M
Instruction as to how to deal with prevention event Project Manager 19.1 Instruction
Instruction to remove an employee Project Manager 24.2 Instruction
Acceptance of Subcontractor Project Manager 26.2 Acceptance
Acceptance of Subcontract Project Manager 26.3 Acceptance
Completion Certificate Project Manager 30.2 Certificate
Acceptance of programme Project Manager 31.3 Acceptance
Notification of non-acceptance of programme Project Manager 31.3 Notification
Instruction to stop or not to start work Project Manager 34.1 Instruction
Take over Certificate Project Manager 35.4 Certificate
Instruction to submit quotation for acceleration Project Manager 36.1 Instruction
Notification of extension to defects correction period Project Manager 44.4 Notification
Acceptance of quotation to accommodate defect Project Manager 45.2 Acceptance
Instruction to change Scope, Prices and Completion Date Project Manager 45.2 Instruction
Assessment of amount of money due Project Manager 50.1 Assessment
Payment Certificate Project Manager 51.1 Certificate
Notification of compensation event Project Manager 61.1 Notification
Instruction to submit quotation for compensation event Project Manager 61.2 Instruction
Notification of failure to give early warning Project Manager 61.5 Notification
Notification of correcting compensation event effect Project Manager 61.6 Notification
Instruction to submit alternative quotations Project Manager 62.1 Instruction
Acceptance of a quotation Project Manager 62.3 Acceptance
Instruction to submit a revised quotation Project Manager 62.3 Instruction
Notification of PM’s own assessment Project Manager 62.3 Notification
Notification of extension of quotation period Project Manager 62.5 Notification
Notification of PM’s assessment of compensation event Project Manager 64.3 Notification
Instruction to deal with objects of value/historic interest Project Manager 73.1 Instruction
Acceptance of insurance details Project Manager 84.1 Acceptance
Termination Certificate Project Manager 90.1 Certificate
Notification of default Project Manager 91.2 Notification
Instruction to search for defects Supervisor 43.1 Instruction
Notification of defects Supervisor/Contractor 43.2 Notification
Defects Certificate Supervisor 44.3 Certificate
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