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Practical Guide to the NEC3 Professional Services Contract
von: Michael Rowlinson
Wiley-Blackwell, 2012
ISBN: 9781118406397 , 264 Seiten
Format: PDF, OL
Kopierschutz: DRM
Preis: 91,99 EUR
A Practical Guide to the NEC3 Professional Services Contract
5
Contents
7
1 Introduction
13
1.1 General
13
1.2 Mechanics not law
14
1.3 A simple formula for understanding a contract
14
1.4 Mandatory or discretionary
15
1.5 Conditions precedent
16
1.6 Note on use of upper case in key words and phrases
16
2 Background to the NEC Family of Contracts
18
2.1 The background: First editions
18
2.2 The second edition
19
2.3 The third edition
20
2.4 Endorsement of NEC3 by the Office of Government Commerce
20
2.5 General philosophy: Aims and objectives
21
2.6 Flexibility
21
2.7 Clarity and simplicity
22
2.8 Stimulus to good management
23
2.9 Other characteristics
24
3 The Options: An Overview
25
3.1 General arrangement of the PSC
25
3.2 Other documents referred to
27
3.3 Contract Data
28
3.4 The published documents
28
3.5 Main options: General outline
29
4 ‘Spirit of Mutual Trust and Cooperation’
30
4.1 Introduction
30
4.2 Core clause 10.1
30
4.2.1 ‘Shall act’
30
4.2.2 The first requirement
31
4.2.3 The second requirement
31
4.2.4 Discretionary actions
32
4.3 What does it mean?
32
4.4 Practical issues
33
4.4.1 Co-location
33
4.4.2 Attitudes and behaviour
34
4.4.3 Appreciating each other’s goals
35
4.4.4 Communicating
35
5 The Cast of Characters
37
5.1 Introduction
37
5.2 The Employer
37
5.3 The Employer’s Agent
39
5.4 The Consultant
41
5.5 The Adjudicator
41
5.6 Subconsultants
42
5.7 ‘Others’
42
5.8 CDM Coordinator
43
5.9 Principal Contractor
44
5.10 Practical issues
44
5.10.1 Roles not job titles
44
5.10.2 People bring success
45
5.10.3 More than one Employer’s Agent
45
6 Communications, Early Warnings and other General Matters
46
6.1 Introduction
46
6.2 Communications: The clause
46
6.3 Communications: Practical issues
48
6.3.1 Good practice
48
6.3.2 Single-issue communications
49
6.3.3 Electronic communication systems
49
6.3.4 Different addresses for the receipt of different classes of communication
49
6.4 Early warnings: The clause
50
6.5 Early warnings: Practical issues
51
6.5.1 Purpose
51
6.5.2 Risk management in practice
52
6.5.3 Recognising the purpose of the Risk Register
52
6.5.4 Increases to the Consultant’s cost
53
6.5.5 Volume of early warnings
53
6.5.6 Contents of the Risk Register
53
6.5.7 Removing expired risks
54
6.5.8 Preparing the Risk Register for following Contracts
54
6.6 Other matters: The clauses
54
6.6.1 Navigation tools
54
6.6.2 Consultant remains responsible
55
6.6.3 Ambiguities, discrepancies and impossibilities
55
6.6.4 Prevention
55
6.6.5 Law and interpretation
56
6.7 Other matters: Practical issues
56
6.7.1 Completing the Contract Data
56
6.7.2 Prevention
57
7 The Parties’ Main Responsibilities
58
7.1 Introduction
58
7.2 The Employer’s obligations
58
7.3 The Consultant’s obligations
59
7.4 Other matters
60
7.4.1 People
60
7.4.2 Coordination
62
7.5 Practical issues
64
7.5.1 Importance of the Scope
64
7.5.2 Forecasting the Time Charge
64
7.5.3 The importance of key people
64
7.5.4 Access to people, places and things not listed in the Contract Data
65
8 Subconsulting
67
8.1 Introduction
67
8.2 Definition of a Subconsultant
67
8.3 The core clauses
68
8.4 Provisions in the main options
68
8.5 Practical issues
69
8.5.1 Shortcuts to the process
69
8.5.2 Accepting the supply chain
69
8.6 Using the PSC as a Subcontract
70
9 Quality
71
9.1 Introduction
71
9.2 Quality management system
71
9.3 What is a Defect?
72
9.4 The Defects procedure
73
9.5 Uncorrected Defects
74
9.6 Practical issues
74
9.6.1 Compatibility of quality management systems
74
9.6.2 Communications policy
75
9.6.3 Multiple defects dates
75
9.6.4 Correction of everyday defects
75
10 Rights to Material
77
10.1 Introduction
77
10.2 The core clauses
77
10.3 Secondary option X9
78
10.4 Practical issues
79
10.4.1 Managing rights to material across several consultancy agreements
79
10.4.2 Maintaining title after termination
79
11 Indemnity, Insurance and Liability
80
11.1 Introduction
80
11.2 The core clauses
80
11.2.1 Allocation of risk
80
11.2.2 Insurances to be provided
81
11.2.3 Limitation on liability
82
11.3 Secondary option X18: Limitation of liability
82
11.4 Practical issues
83
11.4.1 Insurance of Employer’s property
83
11.4.2 Self insuring by Employers
84
11.4.3 Project insurance
84
11.4.4 Employer’s option if Consultant does not insure
85
12 Time
86
12.1 Introduction
86
12.2 The programme: Contents
87
12.2.1 Fixed and variable dates
87
12.2.2 The Consultant’s activities
88
12.2.3 The activities of the Employer and Others
89
12.2.4 Supporting statements
90
12.2.5 Other information
91
12.2.6 Summary
91
12.3 The programme: Submitting, accepting and revising
91
12.4 The programme: Practical issues
94
12.4.1 Accept the inaccuracies
94
12.4.2 Proportionality
94
12.4.3 Developing the programme
96
12.4.4 Key Dates and Conditions
97
12.4.5 Float
98
12.4.6 Time risk allowances
99
12.4.7 A family of documents
99
12.4.8 Resourced programme
100
12.4.9 Using programming software
101
12.4.10 Showing access as being later than the access date
102
12.5 Starting and finishing
102
12.5.1 Starting work
102
12.5.2 Completion
103
12.5.3 Key Dates
104
12.5.4 Option G
105
12.6 Other matters
105
12.6.1 Stopping and starting work
105
12.6.2 Acceleration
106
12.7 Secondary options related to Time
107
12.7.1 General
107
12.7.2 Sectional Completion: Secondary option X5
107
12.7.3 Bonus for early Completion: Secondary option X6
108
12.7.4 Delay damages: Secondary option X7
108
12.8 Practical issues
109
12.8.1 Instructions to stop or not start any work
109
12.8.2 Bonuses for early Completion
110
12.8.3 Using the bonus for early Completion and delay damages secondary options together
111
13 Payment
112
13.1 Introduction
112
13.2 The payment process
112
13.2.1 The assessment process
112
13.2.2 Interest
114
13.3 Payments in multiple currencies
114
13.4 The amount due and the Price for Services Provided to Date
115
13.4.1 Main option A
117
13.4.2 Main options C and E
117
13.4.3 Main option G
119
13.5 Supporting documents and records
119
13.5.1 Activity Schedule
119
13.5.2 Task Schedule
121
13.5.3 Task Orders
121
13.5.4 Records
122
13.6 The Consultant’s share
123
13.7 The Consultant’s share: Practical issues
124
13.7.1 Principles and accuracy
124
13.7.2 ‘Win-win’ outcome
124
13.7.3 Guaranteed Maximum Price
125
13.7.4 Target exceeded before Completion
125
13.8 Special provisions for the UK
126
13.8.1 From 1 May 1998
126
13.8.2 From 1 October 2011
127
13.9 Related secondary options
128
13.9.1 X1 : Price adjustment for inflation
128
13.10 Practical issues
130
13.10.1 Interest
130
13.10.2 Taxes
131
14 Compensation Events: Theory and Events
132
14.1 Introduction
132
14.2 The theory
132
14.2.1 Underlying principles
132
14.2.2 What is a compensation event?
133
14.2.3 What other contractual entitlements apply?
133
14.3 The events
134
14.3.1 Event 1
135
14.3.2 Event 2
135
14.3.3 Event 3
135
14.3.4 Event 4
136
14.3.5 Event 5
136
14.3.6 Event 6
137
14.3.7 Event 7
137
14.3.8 Event 8
138
14.3.9 Event 9
138
14.3.10 Event 10
138
14.3.11 Event 11
139
14.3.12 Event 12
139
14.3.13 Event 13 (main option G)
140
14.3.14 Event 14 (main option G)
140
14.3.15 Event 15 (main option G)
140
14.3.16 Clause 60.2 (main option G)
141
14.3.17 Secondary option X2
141
14.3.18 Secondary option X12
141
14.3.19 Secondary option Y( UK )2
142
14.3.20 Additional compensation events
142
14.4 Practical issues
142
14.4.1 Events not in the list
142
15 Compensation Events: Procedures
144
15.1 Introduction
144
15.2 Notification by the Employer
145
15.2.1 Of actual compensation events
145
15.2.2 Of potential compensation events
147
15.3 Notification by the Consultant and the Employer’s reply
148
15.3.1 The notification
148
15.3.2 The reply
149
15.4 Other matters associated with notifying compensation events
151
15.4.1 Failure to give an early warning
151
15.4.2 Latest time for notifying an event
152
15.4.3 Giving assumptions
152
15.5 Quotations: Substance
153
15.5.1 What is a quotation?
153
15.5.2 Status of quotations: If instructed
153
15.5.3 Status of quotations: If not instructed
154
15.5.4 Cost of preparing quotations
154
15.6 Quotations: Submission and reply
154
15.6.1 The requirement for quotations
154
15.6.2 Procedure and timetable
155
15.6.3 Revised quotations
156
15.6.4 The timetable simplified
157
15.6.5 Extended time for quotations and replies
157
15.6.6 Failure to reply to quotations
158
15.7 Assessments by the Employer
159
15.7.1 The trigger events
159
15.7.2 Assessing the programme
159
15.7.3 Timing of the Employer’s assessment
160
15.7.4 If the Employer fails to do the assessment
160
15.8 Implementing compensation events
160
15.8.1 Procedure and timing
160
15.8.2 Effect of implementation
161
15.9 Practical issues
161
15.9.1 Employer’s instructions and other notifications
161
15.9.2 Events which do not constitute compensation events
162
15.9.3 Not identifying compensation events when instructing change
162
15.9.4 Simplifying the quotation procedure
163
15.9.5 The time periods are not long enough!
165
15.9.6 Compensation events and main option E
165
16 Compensation Events: Assessment
166
16.1 Introduction
166
16.2 Changes to the Prices
167
16.2.1 Basic principle
167
16.2.2 Cost risk allowances
168
16.2.3 Assumption that the Consultant reacts competently and promptly
169
16.2.4 Reduction in Prices
169
16.2.5 No staff rates
170
16.2.6 Deduction of insurable factors
171
16.3 Changes to the Completion Date and any Key Dates
171
16.3.1 The key principles
171
16.3.2 Time risk allowances
173
16.3.3 Assumption that the Consultant reacts competently and promptly
173
16.4 Employer’s assumptions
174
16.5 Other related matters
175
16.5.1 Failure to give early warning
175
16.5.2 Assessing the effects of ambiguities or inconsistencies
176
16.5.3 Change to the Condition for a Key Date
177
16.6 Practical issues
177
16.6.1 The Accepted Programme contains all the clues
177
16.6.2 The time effect of a number of small compensation events
178
17 Termination
180
17.1 Introduction
180
17.2 Reasons for termination
180
17.2.1 Employer and Consultant defaults
181
17.2.2 Employer-only defaults
181
17.2.3 Consultant-only default
182
17.2.4 For other reasons
182
17.2.5 For convenience
182
17.3 Secondary option X11: Termination by the Employer
183
17.4 Implementing termination
183
17.5 Procedures after termination
184
17.6 Payment on termination
185
17.6.1 Under the core clause
185
17.6.2 Main options
186
17.7 Practical issues
186
17.7.1 Maintaining title after termination
186
17.7.2 Avoiding duplication when assessing the amount due
187
18 Dispute Resolution
188
18.1 Introduction
188
18.2 Option W1
189
18.2.1 Appointment of the Adjudicator
189
18.2.2 Referral to the Adjudicator
189
18.2.3 Powers of the Adjudicator
191
18.2.4 Review by the tribunal
191
18.3 Option W2
192
18.3.1 Appointment of the Adjudicator
193
18.3.2 Referral to the Adjudicator
193
18.3.3 Powers of the Adjudicator
194
18.3.4 Review by the tribunal
196
18.4 Practical issues
197
18.4.1 A dispute resolution option is not selected
197
18.4.2 Continuing as if nothing is wrong
197
18.4.3 Identifying differences before they become disputes
198
18.4.4 Resolving differences before they become formal disputes
198
18.4.5 Evolving common law
199
19 Secondary Options
200
19.1 Introduction
200
19.2 X2: Changes in the law
200
19.3 X4: Parent company guarantee
201
19.4 X8: Collateral warranty agreements
201
19.5 X12: Partnering
202
19.5.1 Introduction
202
19.5.2 Entries in Contract Data Part One
202
19.5.3 Role of the Partnering Information
203
19.5.4 Identifying the Partners
203
19.5.5 Actions of the Partners
204
19.5.6 Actions of the Core Group
205
19.5.7 Incentives
206
19.6 X13: Performance bond
206
19.7 X20: Key Performance Indicators
207
19.8 Y(UK)3: The Contracts (Rights of Third Parties) Act 1999
208
19.9 Z: Additional conditions of contract
208
19.10 Practical issues
209
19.10.1 Selection of options
209
19.10.2 Electronic changes
209
20 Completing the Contract Data
211
20.1 Introduction
211
20.2 Purpose and form of the Contract Data
211
20.3 Part One: Data for the core clauses
212
20.3.1 Standard entries
212
20.3.2 Optional statements
215
20.4 Part One: Data for the main option clauses
216
20.4.1 Main option A
216
20.4.2 Main options C, E or G
216
20.4.3 Main option C
217
20.5 Part One: Data for the secondary option clauses
217
20.5.1 Option X1
217
20.5.2 Option X2
217
20.5.3 Option X3
218
20.5.4 Options X5 , X6 and X7
218
20.5.5 Option X8
218
20.5.6 Option X10
219
20.5.7 Option X12
219
20.5.8 Option X13
219
20.5.9 Option X18
219
20.5.10 Option X20
220
20.5.11 Option Y( UK )3
220
20.5.12 Option Z
220
20.6 Part Two: Data for the core clauses
221
20.7 Part Two: Data for the optional statements
221
20.8 Practical issues
223
20.8.1 Failing to fully complete the Contract Data
223
20.8.2 Using a previous project as the template
223
20.8.3 Rearranging the entries
224
20.8.4 Expenses to be paid to the Consultant
224
20.8.5 Controlling allowable expenses
225
21 The Supporting Documents: Need and Content
226
21.1 Introduction
226
21.2 Scope
226
21.2.1 Introduction
226
21.2.2 Importance and purpose
227
21.2.3 Location
227
21.2.4 General contents: Specifies and describes
228
21.2.5 General contents: Constraints
228
21.2.6 The work to be done by Completion: Clause 11.2(2)
229
21.2.7 Form of retained documents: Clause 13.6
229
21.2.8 Exchanging information with Others: Clause 23.1
229
21.2.9 Attendance at and number of meetings: Clause 23.2
230
21.2.10 Matters relating to Subconsultants: Clause 24
230
21.2.11 Health and safety requirements: Clause 25.4
230
21.2.12 Any additional information to be included in the programme: Clause 31.2
230
21.2.13 Quality management system: Clause 40.1
231
21.2.14 Quality policy statement and quality plan: Clause 40.2
231
21.2.15 Details to be included in invoices: Clause 50.2
231
21.2.16 Permitted purpose for the use of material provided by the Consultant: Clause 70.1
232
21.2.17 Use of material provided by the Consultant for other purposes: Clause 70.4
232
21.2.18 Parent company guarantee: Clause X4 .1
232
21.2.19 Transfer of rights: Clause X9 .1
233
21.2.20 Performance Bond: Clause X13 .1
233
21.3 Practical issues
233
21.3.1 ‘The Scope is in’
233
21.3.2 Using ‘constraints’
234
21.3.3 Reference to Work Stages
234
21.3.4 Developing services from concept to detail
235
Bibliography
236
Further Reading
237
Appendix 1 Tables of Clause Numbers, Case Law and Statutes
238
Appendix 2 Tables of Employer’s, Consultant’s and Adjudicator’s Actions
245
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