Definition

In an APC context, early warning is an obligation requiring any party who becomes aware of a matter likely to affect cost, programme or quality to notify the other parties promptly, before the event escalates. Partnering is a structured collaborative arrangement in which project stakeholders agree at the outset to share information, align objectives and resolve emerging issues jointly rather than through adversarial claims. Both mechanisms are promoted by the RICS guidance note on Conflict Avoidance and Dispute Resolution in Construction.

Why this matters for Conflict Avoidance, Management and Dispute Resolution

  • APC candidates must be able to describe an early warning system and identify at least three partnering techniques used on construction projects.
  • Disputes are far less expensive to prevent than to resolve — a single adjudication can cost tens of thousands of pounds and disrupt the project programme for weeks.
  • NEC contracts require early warning notices as a condition of entitlement; failure to give notice can bar a contractor's time and cost claims.
  • Partnering and collaborative working are cited in RICS guidance as first-line conflict avoidance mechanisms that responsible professionals are expected to promote.

Key principles

Early warning notices

Under NEC contracts, either party must give an early warning notice as soon as they become aware of any matter that could increase cost, delay completion or impair performance. The notice triggers a risk-reduction meeting at which the parties evaluate options and record agreed actions. A contractor who fails to give a timely notice may not recover additional cost or time for that event.

Partnering and collaborative working

Formal partnering involves a non-binding charter setting out shared goals, a joint risk register and an agreed escalation ladder for emerging issues. Informal collaborative working achieves similar aims through regular progress meetings and co-located project teams. Both approaches build communication habits that defuse tension before it becomes a claim.

Applying the techniques in practice

When a risk emerges on a project using innovative materials, the surveyor issues an early warning notice immediately, convenes a risk-reduction meeting within the NEC timeframe, and records the agreed mitigation actions. Partnering workshops at key programme milestones provide structured forums for reviewing progress and re-aligning on cost and time targets.

Link to dispute resolution

Early warning and partnering sit at the preventative end of the conflict management spectrum. If they fail, the parties move along the ADR ladder to negotiation, mediation, adjudication or arbitration. Showing that preventative options were exhausted first is evidence of professional conduct and may influence any subsequent costs award.

Relevant RICS guidance and legislation

  • RICS guidance note: Conflict Avoidance and Dispute Resolution in Construction — identifies early warning, partnering and collaborative working as primary conflict avoidance tools.
  • Housing Grants, Construction and Regeneration Act 1996 — provides the statutory right to adjudication for construction disputes; understanding this right makes the case for investing in prevention.
  • RICS Rules of Conduct (effective 2 February 2022) — Rule 2 (competence) and Rule 5 (service) require members to act competently in their role, which includes proactive risk management.
  • Pre-Action Protocol for Construction and Engineering Disputes — requires parties to exchange information and attempt to settle before issuing proceedings; preventative measures support compliance with this protocol.

Ethics and Rules of Conduct angle

Rule 2 of the RICS Rules of Conduct requires members to act competently. Allowing a known risk to develop into a dispute without issuing an early warning notice, or failing to engage with contractually recommended partnering mechanisms, indicates substandard practice. Rule 5 (service) reinforces the obligation to act in the client's best interests: preventing a dispute costs far less than resolving one. Where a surveyor deliberately withholds information to gain a commercial advantage in a later claim, that conduct engages Rule 1 (honesty and integrity) and could warrant a disciplinary referral.

APC-style Q&As

Q (Level 1)What is an early warning notice and when must it be given?

An early warning notice is a formal notification issued under the contract — most commonly NEC contracts — requiring any party who becomes aware of a matter that could increase cost, delay completion or impair performance to notify the other parties promptly. It must be given as soon as the notifying party becomes aware of the risk, before the event escalates.

Q (Level 1)Name three partnering techniques used on construction projects.

A partnering charter setting out shared goals, a joint risk register reviewed at regular project meetings, and co-location of the project team are three widely used techniques. Open-book accounting and joint value-engineering workshops are also common on larger projects.

Q (Level 2)What happens if a contractor fails to give an early warning notice under an NEC contract?

Under NEC contracts, if the contractor failed to give an early warning that an experienced contractor would have given, compensation is assessed as if the warning had been given — meaning the contractor may receive less time and money than they would have recovered. Both parties therefore benefit from maintaining an active early warning register.

Q (Level 2)How does partnering reduce the risk of disputes on a construction project?

Partnering builds communication habits that prevent misunderstandings hardening into claims. By aligning parties on shared targets at the outset, agreeing an escalation ladder for emerging issues and conducting regular joint risk reviews, problems are surfaced and resolved collectively before they generate a contractual entitlement.

Q (Level 3)On a project where the contractor is using untested building materials and a delay is emerging, how would you use the early warning and partnering framework to protect the client's position?

(example) On a project using composite cladding panels with no UK track record, I advised the client to include a risk allowance in the cost plan and insert an NEC early warning obligation. When the panels began delaminating after the first-floor installation, I issued an early warning notice immediately and convened a risk-reduction meeting within five days. The meeting agreed a revised specification, a revised programme and a compensation event quotation. The project completed four weeks late against an original risk of twelve weeks, and no formal dispute arose.