Progress Reports Under FIDIC 1999 & 2017: Clause 4.21 vs 4.20 Explained

1️⃣ Purpose of Clause 4.21 (1999) / Clause 4.20 (2017)

Alright, so what’s the big idea behind these clauses? In both the 1999 and 2017 editions, the core goal is simple yet powerful: keep the Employer and Engineer fully in the loop about how the Contractor is progressing with the Works.

Think of these reports as the heartbeat of the project. They ensure that everyone involved — from the Engineer to the Employer — has a transparent, up-to-date view of:

• How the design is going.
• What’s happening in procurement and fabrication.
• What’s landed on-site.
• What’s been built, tested, or maybe delayed.

But here’s where it gets interesting…

In the 1999 edition, the focus is a bit more on basic tracking — like showing physical progress, noting tests, and highlighting delays. The format is mostly hard copy (yep, six physical copies!).

“Unless otherwise stated in the Particular Conditions, monthly progress reports shall be prepared by the Contractor and submitted to the Engineer in six copies.” – Clause 4.21, 1999

By the time we hit the 2017 edition, FIDIC has clearly modernized. Now we’re talking digital reports, the addition of video, and even compliance verification elements. Plus, the 2017 clause steps up the legal clarity — it specifically says that progress reports are not Notices under the contract, so there’s no confusion later.

“Progress Reports shall not constitute a Notice under the Contract.” – Clause 4.20, 2017

🧠 Historical Shift:

• From “simple updates” → to “project governance tools”.
• From “paper binders” → to “interactive digital records”.

---

2️⃣ Breakdown of the Clause

Let’s unpack exactly what these clauses require. Here’s where the rubber meets the road.

⏳ Timing of Submission

1999: You start submitting these reports monthly after the Commencement Date. First report? Due at the end of the first calendar month. Then, like clockwork, every 7 days after each month-end. Hard copies — six of them!

2017: Same rhythm, but we’re in the digital age now. Submit:

• One original paper copy 🧾
• One electronic copy 💻
• Plus any additional copies as the Particular Conditions might require.

No more excuses about courier delays or lost binders.

---

📑 What Goes Into the Report?

Buckle up — both editions are pretty exhaustive, but 2017 adds a modern touch.

Here’s a curated list from the 1999 version:

Each report shall include:

• charts and detailed descriptions of progress, including each stage of design, Contractor’s Documents, procurement, manufacture, delivery to Site, construction, erection, testing, commissioning and trial operation;
• photographs showing the status of manufacture and of progress on the Site;
• for each main item: name of manufacturer, location, percentage progress, dates for start of manufacture, inspections, tests, shipment, and arrival;
• details described in Sub-Clause 6.10;
• quality assurance documents, test results, certificates;
• list of Variations, and notices under Sub-Clause 2.5 and 20.1;
• safety stats, environmental details;
• actual vs planned progress, risk assessments, and recovery measures.

Now flip over to 2017, and we get all of the above plus:

• 🎥 Optional video clips to show progress visually.
• ✅ Compliance verification and quality control system updates.
• 📬 Reference to claims under the newer Clause 20.2.1, which replaced 20.1.

🎯 Key Insight: These reports are not just a summary — they’re evidence, narrative, and audit trail all rolled into one.

---

3️⃣ Key Interpretations and Implications

Let’s get real — what does this mean in practice?

🚨 Why It Matters

• You must submit these reports. They’re part of your contractual obligations, not an optional good practice.
• If you skip them, you could:
  • Jeopardize payments (the Engineer might withhold certification).
  • Undermine your ability to support claims for time or money.
  • Breach Clause 4.1, which covers your general obligations.

✅ It’s Not a Notice

The 2017 edition draws a very important legal line: your progress report is not a formal Notice. So if you have a claim under Clause 20, you still need to issue a proper Notice. You can’t rely on the report to do that job — it’s more of a supporting actor, not the lead role.

“Progress Reports shall not constitute a Notice under the Contract.” – Clause 4.20, 2017

---

4️⃣ Cross-Referencing with Other Clauses

This clause doesn’t stand alone — it connects with a bunch of others. Let’s trace those lines:

🔗 Clause	What It Adds
6.10	You need to include records of your workforce and equipment — numbers, deployment, changes, and rotations. These records should provide a clear picture of how many people are working on-site at any given time, what roles they are performing, and whether there are any significant increases or decreases in staffing levels. For equipment, you’ll want to detail not only the type and quantity but also their current condition, location, and operational status. For example, if one of your tower cranes is under maintenance or awaiting parts, that needs to be noted — because it can impact progress. These details help the Engineer understand resource deployment and evaluate how well the Contractor is adhering to the planned programme.
8.3	Progress reports should align with the construction programme. They help check if you’re sticking to schedule, and provide a vital benchmark to compare planned progress with actual achievements. When reports mirror the programme, it becomes significantly easier to detect delays early, understand their causes, and assess their impact on the overall project timeline. This alignment also enhances the Engineer’s ability to validate payment claims and evaluate whether critical path activities are being delivered as expected. By integrating programme-based analysis, progress reports evolve from simple updates into proactive planning and risk mitigation tools.
14.3	These reports can feed into payment applications, especially if progress is tied to milestones. Engineers often rely on the detailed data within the reports to verify whether specific deliverables or sections of the work have been completed to the required standard and within the expected time frame. The more comprehensive and well-structured the report is, the smoother the payment certification process becomes. For instance, if the payment milestone is tied to completion of foundation works, the report should include photos, test records, and status updates that validate the milestone was met. This ensures quicker processing, minimizes disputes, and fosters better cash flow management for the Contractor.
20.1 (1999) / 20.2.1 (2017)	If there’s a claim, the report can document the underlying facts — such as dates of disruption, affected activities, or delays in delivery — and it can support the Contractor’s version of events with photos, charts, and timelines. However, even though it contains helpful and relevant information, it’s not a claim notice on its own. A proper Notice of Claim, under Clause 20.1 (1999) or Clause 20.2.1 (2017), must be formally issued with all required information and within the stipulated time limits. The progress report is more like the documentary backdrop — useful for context and validation, but not a contractual trigger in itself.

---

5️⃣ What-If Scenarios?

Here’s where it gets juicy — some real-world, head-scratching situations:

❓ What if the report says everything is fine, but there’s actually a delay brewing?

Oof. This can backfire. If you say things are “on track” in your report, and then submit a claim for delay later, the Employer might push back. They’ll say, “But your own report didn’t flag any problems!”

Lesson: Be honest in your reports. Use them to document early warnings.

---

❓ Can the Engineer reject the format or content of the reports?

While the contract doesn’t say the Engineer can “reject” a report per se, they can definitely request more detail or clarification. If they feel the report isn’t helping them manage the contract effectively, that’s a problem — and it can escalate.

---

❓ Is there a risk if reports are submitted late?

Yes. Late reports could:

• Delay payment processing.
• Undermine claims (especially if the delay or event isn’t documented on time).
• Lead to a perception of poor contract management — which could damage trust.

---

6️⃣ Suggestions for Clarity and Improvement

Let’s be proactive. Even though both clauses are solid, here are some ways to make things even clearer:

📍 Define the Submission Format

Instead of just saying “electronic copy”, specify:

• PDF with bookmarks for easy navigation.
• Excel for tables.
• MP4 for video (if used).

🧾 Create a Template

A standard Employer-provided report template helps avoid disputes over what’s “complete” or “sufficient”.

❗ Add a Reminder About Notices

In the 1999 edition, consider inserting a line like:

“Progress reports do not constitute Notices under the Contract.”

This avoids confusion and aligns with the 2017 approach.

---

7️⃣ Final Takeaways

Let’s wrap this up in a bow:

✅ Progress Reports are not just admin tasks — they are strategic tools. 📅 They track real progress, document delays, and support claims or defenses. 🧠 The 2017 edition reflects modern practices — digital submissions, clearer legal lines, and integrated compliance tools. 🚧 For Contractors: treat reports seriously. Be accurate, be thorough, and never miss a deadline. 🛡️ For Employers/Engineers: use them to anticipate issues, validate claims, and steer the project safely.

🗂️ Progress Report Compliance Checklist (FIDIC 1999 – Clause 4.21 / FIDIC 2017 – Clause 4.20)

✅ Item	Details
Submission & Format
Report Frequency	Monthly, within 7 days of period end
First Report	Covers up to end of first calendar month after Commencement
Format – 1999	6 paper copies
Format – 2017	1 paper + 1 electronic copy, or as specified
Structured Format	Should align with the construction programme
Work Progress
Progress Charts	Stages: Design, Documents, Procurement, Manufacture, Site Works, Testing
Site & Factory Photos	Visual documentation of progress
Plant & Materials	Manufacturer name, location, % complete, key dates (start, test, ship, arrival)
Personnel & Equipment (Clause 6.10)
Manpower	Breakdown by category and roles, changes, total count
Equipment Log	Type, quantity, condition, operational status
Notes on Downtime	Record idle or under-maintenance equipment
Documentation Attached
QA/QC Records	Test results, quality certificates
Variations List	List of instructed and ongoing variations
Claims Summary	Notices under Clause 2.5, 20.1 (1999), or 20.2.1 (2017)
Safety Data	Statistics, incidents, HSE records
Environment & PR	Community interaction, complaints, sustainability updates
Programme Alignment
Actual vs Planned	Table/chart comparison with explanations
Delay Analysis	Events or risks affecting delivery
Recovery Strategy	Corrective measures with dates and responsibilities
Legal & Contractual Awareness
Claims Clarification	Clearly state: This report is NOT a Notice of Claim
Separate Notices Issued	For all claims under Clause 20
Claims Tracker	Date, reference number, status of claims
Optional Enhancements
Gantt Overlay	Progress shown over baseline programme
Key Risks Summary	With mitigation actions and responsible parties
Link to IPC (Clause 14.3)	Tie-in with payment claims
Executive Summary	1-page digest for quick Engineer review

📄 Sample Letter

📄 Sample Letter 1: Submission of Monthly Progress Report

[Contractor’s Letterhead]  
[Date]

To: The Engineer  
[Engineer’s Name]  
[Engineer’s Address]  

Subject: Submission of Monthly Progress Report for [Month/Year]  
Contract: [Project Title]  
Contract No.: [Insert Contract Number]

Dear [Engineer’s Name],

In accordance with **Clause 4.21 of the FIDIC Conditions of Contract for Plant and Design-Build (1999 Edition)** [or **Clause 4.20** in 2017], please find attached our Progress Report for the period ending [Insert Date].

The report includes:
- Charts and narrative descriptions of progress to date.
- Updated workforce and equipment logs in accordance with **Sub-Clause 6.10**.
- Status of design, procurement, and construction activities.
- Quality assurance records and test certificates.
- Summary of Variations and Notices.
- Comparison with the approved programme.
- Updated safety and environmental statistics.

Please do not hesitate to contact us should you require any clarifications.

Yours faithfully,  
[Name]  
[Position]  
For and on behalf of [Contractor’s Company Name]

---

📄 Sample Letter 2: Delay in Progress Report Submission

[Contractor’s Letterhead]  
[Date]

To: The Engineer  
[Engineer’s Name]  
[Engineer’s Address]  

Subject: Notification of Delay in Submission of Progress Report  
Contract: [Project Title]  
Contract No.: [Insert Contract Number]

Dear [Engineer’s Name],

We refer to our obligation under **Clause 4.21 [or 4.20]** to submit the monthly progress report for the period ending [Insert Date].

Due to [brief explanation: e.g., system outage, data compilation delay, etc.], we regret to inform you that there will be a short delay in submission. We anticipate finalizing and delivering the report by [New Submission Date].

We apologize for any inconvenience and confirm that this delay will not impact our obligations under the Contract or affect current site activities.

Yours faithfully,  
[Name]  
[Position]  
For and on behalf of [Contractor’s Company Name]

---

📄 Sample Letter 3: Clarification That Progress Report Is Not a Notice of Claim

[Contractor’s Letterhead]  
[Date]

To: The Engineer  
[Engineer’s Name]  
[Engineer’s Address]  

Subject: Clarification Regarding Progress Report and Notices under Clause 20  
Contract: [Project Title]  
Contract No.: [Insert Contract Number]

Dear [Engineer’s Name],

We wish to clarify that while the [Month/Year] Progress Report contains references to certain events (e.g., delayed permit approvals, inclement weather), this document is intended for reporting purposes only and does not constitute a formal Notice of Claim under **Clause 20.1 [FIDIC 1999]** or **Clause 20.2.1 [FIDIC 2017]**.

Should any matter give rise to a potential claim for additional time or cost, a separate and formal Notice of Claim shall be submitted in accordance with the provisions of the Contract.

This is to avoid any misunderstanding and to comply fully with the procedural requirements under the Contract.

Yours faithfully,  
[Name]  
[Position]  
For and on behalf of [Contractor’s Company Name]