NEC forms fall into two groups: the Contract Data and other contract documents, which NEC publishes in a set format, and the day-to-day forms for notices, certificates and registers, which you mostly need to create yourself. NEC doesn't prescribe a form for most communications, though your Scope may name a system or format.
This page lists what you need for the NEC4 Engineering and Construction Contract (ECC), who issues each one, and where to find a sample on this site. For the wider routine, see managing NEC contracts.
Forms at contract formation
| Document | Who completes it | Purpose |
|---|---|---|
| Contract Data part one | Client | Sets the Options, dates, periods, people and many key values |
| Contract Data part two | Contractor | Fee percentage, key people, cost rates, first programme if offered, and so on |
| Scope | Client, plus any Scope the Contractor provides for its own design | What the works are, plus constraints |
| Site Information | Client | What is known of the Site and its surroundings |
| Activity Schedule or Bill of Quantities | Contractor, as the Option needs | Sets the Prices |
| Contract form of agreement | Parties | Binds the Parties. Check what your organisation uses, as many have their own form |
Forms during the job
| Form | Who issues it | Clause | Sample |
|---|---|---|---|
| Early warning notice | Project Manager or Contractor | 15.1 | Template |
| Early Warning Register | Project Manager | 15.2, 15.4 | Template |
| Instruction | Project Manager, or Supervisor for tests and Defects | 14.3 and others | Template |
| Compensation event notice | Contractor or Project Manager | 61.1, 61.3 | Template |
| Reply to a notified event | Project Manager | 61.4 | Sample wording |
| Quotation | Contractor | 62.2, 62.3 | Template |
| Project Manager's assessment | Project Manager | 64.1, 64.3 | Use the quotation build-up, with reasons |
| Programme submission | Contractor | 31.1, 32.2 | Template |
| Application for payment | Contractor | 50.2 | See payment applications |
| Payment certificate | Project Manager | 51.1 | Contract-specific |
| Pay less notice | Either Party, Option Y(UK)2 | Y2.3 | See pay less notices |
| Defect notification | Supervisor or Contractor | 43.2 | Sample wording |
| Completion certificate | Project Manager | 30.2 | Date and extent |
| Take-over certificate | Project Manager | 35.3 | Date and extent |
| Defects Certificate | Supervisor | See Defects Certificate | Lists Defects, or states none |
| Final assessment | Project Manager (or Contractor if it isn't issued in time) | 53.1, 53.2 | See final assessment |
What makes a form good enough
A form is valid if it does what the contract requires, whatever it looks like. That usually means it is readable and can be copied and kept on record (13.1), and a notification or certificate is separate from other communications (13.7). Beyond that, a good form does three things:
- Prompts for facts people forget, such as the date of awareness in a compensation event notice.
- Carries the role and clause on its face, so nobody has to ask what it is two years on.
- Feeds a register, with no retyping if you can avoid it.
Other forms and editions
- NEC3 ECC: Contract Data parts are similar, with Works Information and the Employer. The final assessment isn't there, and Defects clauses are numbered differently. See NEC3 vs NEC4.
- Short contracts: these include a pack of contract forms and Contract Data set out in a simple way. See the Engineering and Construction Short Contract.
- Term and service contracts: you need a Task Order form and a Service Manager's versions of the above. See Task Orders explained.
Don't paste NEC clause wording into your own forms unless you have the right to. A short clause reference does the job, and our sample wording is written so you can use it freely.
Related guides
- Managing NEC Contracts: A Practical Guide
- NEC Templates: A Practical List
- Tracking NEC Contracts in Spreadsheets
- Keeping a Clear NEC Audit Trail
- Project Manager Instruction Template
- Programme Submission Template
See how this works in practice
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This guide is general information in our own words, not legal advice. Your contract and its Contract Data always govern. NEC, NEC3 and NEC4 are trade marks of Thomas Telford Ltd; Contract Status is not affiliated with or endorsed by NEC.