NEC4 ECC Contractor Submission/Submission for Acceptance Template

Use this free downloadable template to help you create a Contractor Submission under the NEC4 Engineering and Construction Contract (ECC). 

The ECC requires the Contractor to make submissions to the Project Manager on various matters that arise during the course of a construction project some of which require acceptance. The ECC goes a step further than most traditional contracts by requiring the Project Manager to not only respond to a submission, but to respond with reasons. A reason outside those listed in the contract will be a compensation event.

You can use this NEC4 ECC template for a Contractor’s submission of the following:

• Submit under clause 16.1 a proposal to change the Scope to reduce the amount the Client pays to the Contractor (period for reply is 4 weeks)
• Submit under clause 16.3 for acceptance a proposal to add an area to the Working Area (period for reply is period for reply)
• Submit under clause 20.4 forecasts of the total Defined Cost for the whole of the works (main Options C, D, E and F) (no reply)
• Submit under clause 21.2 for acceptance of particulars of design (period for reply is period for reply)
• Submit under clause 23.1 for acceptance of particulars of design for an item of Equipment (period for reply is period for reply)
• Submit under clause 24.1 for acceptance of details of a replacement person (period for reply is period for reply)
• Submit under clause 25.1 information to Others (no reply)
• Submit under clause 26.2 for acceptance of the name of a proposed Subcontractor (period for reply is period for reply)
• Submit under clause 26.3 for acceptance of proposed subcontract documents (period for reply is period for reply)
• Submit under clause 26.4 of pricing information for each subcontract (main Options C, D E and F) (no reply)
• Submit under clause 27.1 design for approval (no reply)
• Submit under clause 29.2 to publicise the works (no reply)
• Submit under clause 36.1 to propose an acceleration to achieve Completion before the Completion Date (period for reply is period for reply)
• Submit under clause 36.1 a quotation for acceleration (period for reply is 3 weeks)
• Submit under clause 50.9 for acceptance of records demonstrating Defined Cost has been correctly assessed (main Options C, D, E and F) (period for reply is 13 weeks)
• Submit under clause 50.9 a reply to a submission of records demonstrating Defined Cost has been correctly assessed (main Options C, D, E and F) (period for reply is 4 weeks)
• Submit under clause 50.9 for acceptance of further records in connection with Defined Cost (main Options C, D, E and F) (period for reply is 4 weeks)
• Submit under clause 50.9 a reply to a submission of further records in connection with Defined Cost (main Options C, D, E and F) (no reply)
• Submit under clause 55.3 for acceptance of a revised Activity Schedule (main Option A) (period for reply is period for reply)
• Submit under clause 84.1 for acceptance certificates of insurance (period for reply is period for reply)
• Submit under clause X4.1 an ultimate holding company guarantee (no reply)
• Submit under clause X4.2 for acceptance of an alternative guarantor (period for reply is period for reply)
• Submit under clause X8.5 signed copies of the undertakings (no reply)
• Submit under clause X9.1 documents transferring rights (no reply)
• Submit under clause X10.4(1) for acceptance of a first Information Execution Plan (period for reply is 2 weeks)
• Submit under clause X10.4(2) a reply to a submission of a first Information Execution Plan for acceptance (period for reply is period for reply)
• Submit under clause X10.4(2) a reply to a submission of a revised Information Execution Plan for acceptance (period for reply is period for reply)
• Submit under clause X10.4(3) for acceptance of a revised Information Execution Plan (period for reply is 2 weeks)
• Submit under clause X10.6 information transferring rights (no reply)
• Submit under clause X13.1 for acceptance of details of a bank or insurer to provide a performance bond (period for reply is period for reply)
• Submit under clause X13.1 a performance bond (no reply)
• Submit under clause X14.2 for acceptance of details of a bank or insurer to provide an advanced payment bond (period for reply is period for reply)
• Submit under clause X14.2 an advance payment bond (no reply)
• Submit under clause X15.6 for acceptance of certificates of insurance (period for reply is period for reply)
• Submit under clause X16.3 a retention bond (no reply)
• Submit under clause X16.3 for acceptance of a bank or insurer to provide a retention bond (period for reply is period for reply)
• Submit under clause X20.2 a report of performance (no reply)
• Submit under clause X20.3 proposals for improving performance (no reply)
• Submit under clause X21.1 a proposal that the Scope is changed in order to reduce the cost of operating and maintaining an asset (period for reply is period for reply)
• Submit under clause X21.2 a quotation to reduce the cost of operating and maintaining an asset (period for reply is period for reply)
• Submit under clause X22.2(1) for acceptance of detailed forecasts of the total Defined Cost for Stage One (period for reply is 1 week)
• Submit under clause X22.2(2) a reply to a submission of the total Defined Cost for Stage One for acceptance (period for reply is period for reply)
• Submit under clause X22.2(5) forecasts of the Project Cost (no reply)
• Submit under clause X22.3(1) proposals for Stage Two (no reply)
• Submit under clause X22.3(2) for acceptance of proposals for Stage Two (period for reply is period for reply)
• Submit under clause X22.3(6) for approval or consent (no reply)
• Submit under clause Y1.4 for acceptance of details of the banking arrangement for the Project Bank Account (period for reply is period for reply)
• Submit under clause Y1.4 copies of communications with the Project Bank (no reply)
• Submit under clause Y1.5 the details of the Project Bank Account (no reply) – inform?
• Submit under clause Y1.6 for acceptance of a proposal to add a Supplier to the Named Suppliers (period for reply is period for reply)
• Submit under clause Y1.9 a copy of the Payment Schedule (no reply)
• Submit under clause Y1.9 information in the Payment Schedule (no reply)
• Submit under clause Y1.14 the Project Bank Account Tracker (no reply)

For simplicity, you can use this template for a ‘request’ under clause 26.2 and X22.3(6), ‘report’ under clause X20.2, ‘gives’ under X4.1, X13.1, X14.4 and X16.3, and a ‘provision’ under clauses 25.1, X8.5, X9.1, X10.6, Y1.4 and Y1.9.

You can also use this NEC4 ECC template for the Project Manager’s reply.