The NEC3 risk register is the contract's own record of the risks listed in the Contract Data and the matters notified as early warnings, along with the actions to deal with them. The Project Manager keeps it under clause 16 of the NEC3 Engineering and Construction Contract (ECC). In NEC4 it became the Early Warning Register.
If you are running an NEC3 contract, it remains the live term. For the edition generally, see the NEC4 contracts guide. The term is also explained in the Risk Register definition.
How it works
| Step | Who | Clause |
|---|---|---|
| Risks listed in Contract Data parts one and two start the register | Employer and Contractor at tender | 11.2(14) |
| Either side gives an early warning of a matter; it's entered on the register | Project Manager enters it | 16.1 |
| A risk reduction meeting considers each registered risk and decides actions | Those attending | 16.3 |
| The register is revised and issued, with any change to the Works Information instructed at the same time | Project Manager | 16.4 |
Each entry should describe the risk and the actions for avoiding or reducing it, as the definition requires.
What it is not
Most confusion comes from the name. The contract's register isn't the same as a company or project risk register.
| NEC3 Risk Register | Typical corporate risk log | |
|---|---|---|
| Source | The Contract Data and early warnings | Workshops, any part of the business |
| Owner | The Project Manager, under the contract | Often the company's own risk manager |
| Seen by | Both sides | Often internal only |
| Contains | Description and actions | Often scores, probabilities and cost allowances |
| Allocates liability? | No. Entering a matter doesn't change who is liable | Not usually relevant |
That point about liability is worth stressing. A risk on the register stays where the contract puts it. Clause 80.1, the Employer's risks, and the compensation events decide who bears it, not the register.
A sample entry
A fictional NEC3 Option C contract for a sewer upgrade.
| Ref | Description | Actions | Who | Status |
|---|---|---|---|---|
| R12 | Unconfirmed utility crossing at chainage 340 could delay the tunnelling drive and raise the Prices. Warned by the Contractor on 12 May. | Trial hole by 19 May. Project Manager to ask the utility for records by 16 May. | Contractor; Project Manager | Open. Review at the next risk reduction meeting. |
The entry says what could happen, what will be done, and who will do it. It doesn't try to decide who pays.
What replaced it in NEC4
| Point | NEC3 | NEC4 |
|---|---|---|
| Name | Risk Register | Early Warning Register |
| Clause | 16 | 15 |
| First issue | No set time | Within 1 week of the starting date |
| Revised issue | After each meeting, no set time | Within 1 week of the meeting |
| Meetings | When instructed | When instructed, and at the Contract Data interval |
See early warnings in NEC4 for more. The NEC4 register has its own guide at the early warning register.
Running it well on a live NEC3 job
- Issue it early, even though no time limit requires it. Include the Contract Data risks from the start. An empty register for the first three months is a warning sign.
- Keep it short. A list of a few hundred items nobody reads won't help anyone.
- Close items. Clause 16.3 includes deciding which risks have been avoided or have passed. A register that only grows isn't being used.
- Keep the register and the meeting notes consistent. The register is the record of decisions.
- Use a separate compensation event record. An early warning entry isn't a notified event. The Contractor still needs to notify under 61.3 within eight weeks of becoming aware.
What people get wrong
- Listing generic Contract Data risks. "Weather" or "ground conditions" on every job says very little. Name the actual concern.
- Pricing risks on the register. Cost allowances belong in the Contractor's own plans, not in a shared contract record.
- Assuming a missed risk is the other side's problem. The Contractor's exposure for a missing warning under 61.5 and 63.5 still applies, as covered in missed early warnings.
Related guides
- NEC4 Contracts: A Complete Guide
- NEC3 Risk Reduction Meetings
- Works Information vs Scope
- Employer vs Client in NEC
- NEC3 Main Options
- Moving From NEC3 to NEC4
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.