NEC4 ECC Contractor Submission/Submission for Acceptance Product Description and

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)

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 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)

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  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.

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For information, below are the permitted replies to each submission for acceptance. Note, if
the reply is ‘not accepted’ for ‘Other reason’ then it will be a compensation event.

16.3 a proposal to add an area to the Working Area

Accepted
Not Accepted as:
More information is needed
The proposed area is either not necessary for providing the works or used for
work not in the contract
Other reason

21.2 of particulars of design

Accepted
Not Accepted as:
More information is needed
The Contractor's design does not comply with either the Scope or the
applicable law
Other reason

23.1 of particulars of design for an item of Equipment

Accepted
Not Accepted as:
More information is needed
The design will not allow the Contractor to Provide the Works in accordance with:
The Scope
The Contractor's design which the Project Manager has accepted
The applicable law
Other reason

24.1 of details of a replacement person

Accepted
Not Accepted as:
More information is needed
The proposed person's relevant qualifications and experience are not as good as
those of the person who is to be replaced
Other reason

26.2 of the name of a proposed Subcontractor

Accepted
Not Accepted as:
More information is needed
The Subcontractor's appointment will not allow the Contractor to Provide the Works
Other reason

26.3 of proposed subcontract documents

Accepted
Not Accepted as:
More information is needed
The subcontract conditions:
will not allow the Contractor to Provide the Works
do not include a statement that the parties will act in a spirit of mutual
trust and cooperation
Other reason

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50.9 of records demonstrating Defined Cost has been correctly assessed (main Options C, D, E
and F)
Accepted
Not Accepted as:
Further records are needed
There are errors in the assessment
Other reason

50.9 of further records in connection with Defined Cost (main Options C, D, E and F)
Accepted
Not Accepted as:
Further records are needed
The Project Managers assessment is notified
Other reason

55.3 a revised Activity Schedule (main Option A)

Accepted
Not Accepted as:
More information is needed
The Activity Schedule
Does not relate to the operations on the Accepted Programme
Any changed Prices are not reasonably distributed between the activities
The total of the Prices is changed
Other reason

84.1 of certificates of insurance

Accepted
Not Accepted as:
More information is needed
The insurance certificates do not comply with the contract
Its commercial position is not strong enough to carry the insured liabilities
Other reason

X4.2 of an alternative guarantor

Accepted
Not Accepted as:
More information is needed
Its commercial position is not strong enough to carry the guarantee
Other reason

X10.4(1) of a first Information Execution Plan

Accepted
Not Accepted as:
More information is needed
it does not comply with the Information Model Requirements
It does not allow the Contractor to Provide the Works
Other reason

X10.4(3) of a revised Information Execution Plan

Accepted
Not Accepted as:
More information is needed
it does not comply with the Information Model Requirements
It does not allow the Contractor to Provide the Works
Other reason

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X13.1 of a bank or insurer to provide a performance bond
Accepted
Not Accepted as:
More information is needed
Its commercial position is not strong enough to carry the bond
Other reason

X14.2 of a bank or insurer to provide an advanced payment bond

Accepted
Not Accepted as:
More information is needed
Its commercial position is not strong enough to carry the bond
Other reason

X15.6 certificates of insurance

Accepted
Not Accepted as:
More information is needed
The insurance does not comply with clause X16 and/or the insurer's commercial
position is not strong enough to carry the insured liability
Other reason

X22.2(1) of detailed forecasts of the total Defined Cost for Stage One
Accepted
Not Accepted as:
More information is needed
It does not comply with the Scope
It includes work which is not necessary for Stage One
Other reason

Y1.4 of details of the banking arrangement for the Project Bank Account
Accepted
Not Accepted as:
More information is needed
The banking arrangements do not provide for payments to be made in accordance
with the contract
Other reason

Y1.6 of a proposal to add a Supplier to the Named Suppliers

Accepted
Not Accepted as:
More information is needed
The addition of the Supplier does not comply with the Scope
Other reason

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 Contractor Submission/Submission for Acceptance

Project Name: …
Contract No: …
Date: …

Issued by: [Client/Contractor/Project Manager]

To: [Client/Contractor/Named Suppliers/Project Bank/Project Manager/Others]

Submission No : …

Subject: …

We submit the following [for acceptance] under clause:

[select one of the following clauses 16.1, 16.2, 16.3, 20.4, 21.2, 23.1, 24.1, 25.1, 26.2, 26.3, 26.4,
27.1, 29.2, 36.1, 50.9, 55.3, 84.1, X4.1, X4.2, X4.3, X8.5, X9.1, X10.4(1), X10.4(2), X10.4(3), X10.6,
X13.1, X14.2, X15.6, X16.3, X20.2, X20.3, X21.1, X21.2, X21.3, X22.2(1), X22.2(2),X22.2(5), X22.3(1),
X22.3(2), X22.3(6), Y1.4, Y1.5, Y1.6, Y1.9, Y1.14]

Details:
…
[here is some suggested wording]
16.1 to change the Scope to reduce the amount the Client pays to the Contractor
16.3 of a proposal to add an area to the Working Area
20.4 of forecasts of the total Defined Cost for the whole of the works (main Options C, D, E and F)
21.2 of particulars of design
23.1 of particulars of design for an item of Equipment
24.1 of details of a replacement person
25.1 of information to Others
26.2 of the name of a proposed Subcontractor
26.3 of proposed subcontract documents
26.4 of pricing information for each subcontract (main Options C, D E and F)
27.1 of design for approval
29.2 to publicise the works
36.1 of an acceleration to achieve Completion before the Completion Date
36.1 of a quotation for acceleration
50.9 of records demonstrating Defined Cost has been correctly assessed (main Options C, D, E and
F)
50.9 of a reply to a submission of records demonstrating Defined Cost has been correctly assessed
(main Options C, D, E and F)
50.9 of further records in connection with Defined Cost (main Options C, D, E and F)
50.9 of a reply to a submission of further records in connection with Defined Cost (main Options C,
D, E and F)
55.3 a revised Activity Schedule (main Option A)
84.1 of certificates of insurance
X4.1 an ultimate holding company guarantee
X4.2 of an alternative guarantor
X8.5 of signed copies of the undertakings
X9.1 of documents transferring rights
X10.4(1) of a first Information Execution Plan
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X10.4(2) of a reply to a submission of a first Information Execution Plan for acceptance
X10.4(2) of a reply to a submission of a revised Information Execution Plan for acceptance
X10.4(3) of a revised Information Execution Plan
X10.6 of information transferring rights
X13.1 of a bank or insurer to provide a performance bond
X13.1 a performance bond
X14.2 of a bank or insurer to provide an advanced payment bond
X14.2 an advance payment bond
X15.6 certificates of insurance
X16.3 a retention bond
X16.3 of a bank or insurer to provide a retention bond
X20.2 of performance
X20.3 of proposals for improving performance
X21.1 of a proposal that the Scope is changed in order to reduce the cost of operating and
maintaining an asset
X21.2 of a quotation to reduce the cost of operating and maintaining an asset
X22.2(1) of detailed forecasts of the total Defined Cost for Stage One
X22.2(2) of a reply to a submission of the total Defined Cost for Stage One for acceptance
X22.2(5) of forecasts of the Project Cost
X22.3(1) of proposals for Stage Two
X22.3(2) of proposals for Stage Two
X22.3(6) for approval or consent
Y1.4 of details of the banking arrangement for the Project Bank Account
Y1.4 of copies of communications with the Project Bank
Y1.5 the details of the Project Bank Account
Y1.6 of a proposal to add a Supplier to the Named Suppliers
Y1.9 of a copy of the Payment Schedule
Y1.9 information in the Payment Schedule
Y1.14 of the Project Bank Account Tracker

Attachments: …

Distribution: …

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 Project Manager reply to Contractor Submission

Project Name: …
Contract No: …
Date: …

Issued by: Project Manager

To: Contractor

Submission No : …

Subject: …

The above submission is [accepted/withheld/not accepted/no reply]

If it is not accepted or withheld, the reason is:

…

If applicable the changes to the Prices, Completion Date and Key Date are as follows:
Change to the Prices: …

Delay to planned Completion: …

Programme Details: …

The length of time that the

Completion Date is delayed: …

Attachments: …

Distribution: …

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