NEC Early Warning Checklist

Proposed Checklist: NEC Early Warning Procedures (NEC3/NEC4 - UK & Ireland)

Purpose: To help parties (Clients, Project Managers, Contractors, Supervisors) using NEC3 or NEC4 contracts follow the Early Warning (EW) process correctly to foster collaboration and mitigate risks proactively.

Key Areas:

1. Identifying Early Warnings (Clause 15/16):

• (Project Manager & Contractor): Are you actively considering matters that could potentially:

  • Increase the total Prices?

  • Delay Completion or meeting a Key Date?

  • Impair the performance of the works in use?

  • (NEC4 only) Impair the performance of the Client's works (if applicable)?

• Are both parties aware of their mutual obligation to raise EWs?

2. Notifying Early Warnings:

• (PM & Contractor): When an EW matter is identified, is an Early Warning Notice issued as soon as reasonably possible?

• Is the EW Notice communicated in writing in a form that can be read, copied, and recorded (Clause 13)?

• Does the notice clearly describe the potential risk/matter?

3. Managing the Early Warning Register (Risk Register in NEC3):

• Is an Early Warning Register being maintained by the Project Manager (Clause 15.2 / 16.2)?

• Does the Register include:

  • All notified Early Warning matters?

  • Decisions on actions to be taken?

  • Who is responsible for taking those actions?

• Is the Register kept up-to-date following EW meetings?

• Is the Register available/issued to relevant parties?

4. Early Warning Meetings:

• Does the Project Manager instruct Early Warning meetings?

• Was the first EW meeting held within the contractually required timeframe (e.g., two weeks of Starting Date in NEC4)?

• Are further EW meetings held regularly (as needed, or at intervals stated in Contract Data)?

• Do required attendees (PM, Contractor) attend? Are others invited if needed to address specific risks?

• Does the meeting focus on:

  • Considering proposals to avoid or reduce the impact of notified EW matters?

  • Seeking solutions that benefit all parties?

  • Deciding on actions to be taken and who will take them?

  • Reviewing previously agreed actions?

• Are decisions and actions clearly recorded in the Early Warning Register?

5. Link to Compensation Events:

• Are parties aware that failure to give an Early Warning (which could have mitigated an issue) can lead to the assessed value of a related Compensation Event being reduced (Clause 63.7 / 63.5)?

Disclaimer: This checklist is for general guidance on NEC Early Warning procedures and is not a substitute for reading the specific NEC contract clauses or obtaining professional advice. Procedures may vary based on the specific NEC version (NEC3/NEC4) and any Z clauses.