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NEC4 Pro Forma

NEC Early Warning Notice Form

A blank, ready-to-complete NEC4 clause 15 early warning notice. Fill in the boxes, tick the effects that apply, and serve it on the Project Manager — every field the notice needs, in the order NEC4 expects it.

1 · Notice details

Project name
Full project name as stated in the subcontract
Subcontract / contract reference
Exactly as it appears in the subcontract
Early Warning Notice number
Sequential — e.g. EWN-001
Date of notice
DD/MM/YYYY
From — issuing party
Company, contact name and role
To — Project Manager
As named in the Contract Data — not the site manager
Method of service
Email
Post (tracked)
Hand delivery
Proof of service retained

2 · Matter giving rise to this early warning (clause 15.1)

Description of the matter — be specific and factual
Name the programme activity, design submission or contract obligation affected, what has happened, and the relevant dates. Avoid vague language such as “potential delays”.
Date you first became aware of the matter
DD/MM/YYYY — clause 15.1 requires notice as soon as you become aware
Reason for any gap between awareness and this notice
If applicable
Contract clause / programme activity / document references
e.g. programme activity A3.4; design release schedule rev C; subcontract clause 31.2
Evidence attached
Programme extract
Email chain
Photographs
Other (list below)

3 · This matter could — tick all that apply (clause 15.1)

Increase the total of the Prices (Defined Cost)
Delay Completion
Delay meeting a Key Date
Impair the performance of the works in use

4 · Effect on Defined Cost

Cost categories affected
Labour
Plant
Materials
Subcontract
Prelims
Design / coordination
Abortive work
Preliminary estimate of additional Defined Cost
£ — flag clearly as an estimate subject to revision
Period assumed
e.g. if the delay continues for X weeks
Assumptions behind the estimate
State the basis and assumptions — a reasonable estimate with clear assumptions meets the NEC4 obligation
Mitigation — steps taken or proposed to avoid or reduce the impact (clause 15.1 co-operation)
What you are doing, and what you need the Contractor / PM to do

5 · Effect on Completion and Key Dates

Programme activities affected (per the Accepted Programme)
e.g. A3.4 frame Level 3; A4.1 M&E first fix Level 3 — link the event to specific accepted programme activities
On the critical path?
Yes
No
To be confirmed — float stated below
Preliminary estimate of delay
Working days — qualify as preliminary
Revised forecast Completion / Key Date
DD/MM/YYYY if known

6 · Risk register and action required

Please enter this matter in the Early Warning Register (clause 15.2)
Early warning meeting requested (clause 15.4) — within working days
Action required from the Contractor / Project Manager
Be explicit — e.g. issue the outstanding design information; confirm responsibility; agree a revised programme; proposed agenda items for the meeting

7 · Compensation event reservation

This matter may constitute a compensation event — all rights reserved

An early warning is not a compensation event notification. If the matter materialises, notify the compensation event separately within 8 weeks of becoming aware (clause 61.3).

8 · Issued by

Signed
Name and position
Date
DD/MM/YYYY
PM acknowledgement — received by
Name / signature
Date received
DD/MM/YYYY
Early Warning Register reference
Assigned by the PM

How to use this form

  1. 1

    Complete section 1 in full, using a sequential EWN number, and address the notice to the Project Manager named in the Contract Data — not the site manager.

  2. 2

    Describe the matter factually in section 2: name the programme activity, design submission, or obligation affected and attach your evidence.

  3. 3

    Tick every clause 15.1 effect that applies in section 3, then give preliminary cost and programme estimates in sections 4 and 5 — a reasonable estimate with stated assumptions is enough.

  4. 4

    Use section 6 to require the matter to be entered in the Early Warning Register and, if urgent, to call an early warning meeting with a clear agenda.

  5. 5

    If the matter could become a compensation event, tick the reservation in section 7 — and remember the separate clause 61.3 notification has an 8-week time bar.

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