Notice and Certificate of Substantial Completion

NOTICE AND CERTIFICATE OF SUBSTANTIAL COMPLETION

PART 1: CONTRACTOR'S NOTICE OF SUBSTANTIAL COMPLETION

PROJECT: [________________________________]

OWNER: [________________________________]

CONTRACTOR: [________________________________]

ARCHITECT/ENGINEER: [________________________________]

PROJECT LOCATION: [________________________________]

DATE OF NOTICE: [__/__/____]

CONTRACTOR'S CERTIFICATION

The Contractor hereby certifies that the Work (as defined in the Contract Documents) has reached Substantial Completion.

Substantial Completion is defined as the stage in the progress of the Work when the Work, or designated portions thereof, is sufficiently complete in accordance with the Contract Documents so that the Owner can occupy or utilize the Work for its intended purpose.

Date Work Substantially Completed: [__/__/____]

Reason for Substantial Completion Claim:

☐ Entire project reach

☐ Phase or building section (identify): [________________________________]

☐ Designated portion (identify): [________________________________]

DESCRIPTION OF WORK COMPLETED

The Contractor certifies that the following work has been substantially completed:

[________________________________]

[________________________________]

[________________________________]

PART 2: ARCHITECT/ENGINEER'S CERTIFICATE OF SUBSTANTIAL COMPLETION

ARCHITECT/ENGINEER CERTIFICATION

Based on [his/her/their] site inspection conducted on [__/__/____], the undersigned certifies:

☐ The Work (or portion identified below) has achieved Substantial Completion.

☐ The Work has NOT achieved Substantial Completion (see deficiencies below).

Architect/Engineer Name: [________________________________]

License Number: [__________] State: [____]

Firm: [________________________________]

Signature: _________________________ Date: [__/__/____]

CERTIFICATION NOTES

[________________________________]

[________________________________]

PART 3: PUNCH LIST AND INCOMPLETE ITEMS

Outstanding Work Items (Punch List)

The following work items remain incomplete and shall be completed by the Contractor in accordance with the Contract Documents. Completion of punch list items does not delay the Substantial Completion certificate.

Contractor's Acknowledgment: The Contractor acknowledges receipt of the punch list and agrees to complete all items by the dates specified above, or by [__/__/____].

Contractor Representative: [________________________________]

Signature: _________________________ Date: [__/__/____]

PART 4: OWNER'S ACKNOWLEDGMENT OF SUBSTANTIAL COMPLETION

OWNER'S RECEIPT AND OCCUPANCY

The Owner hereby acknowledges:

☐ Receipt of the Certificate of Substantial Completion.

☐ The right to occupy and utilize the Work (or designated portion) for its intended purpose.

☐ The Contractor's obligations for punch list completion remain in force.

☐ The Owner assumes responsibility for security, maintenance, and utilities for the occupied portions.

Important Notice: Occupancy of the Work does not constitute final acceptance. The Contractor remains responsible for completion of punch list items and all warranty obligations.

Owner's Representative: [________________________________]

Title: [________________________________]

Signature: _________________________ Date: [__/__/____]

PART 5: WARRANTY START NOTICE

COMMENCEMENT OF WARRANTY PERIODS

NOTICE TO ALL PARTIES:

Pursuant to the Contract Documents and applicable law, the following warranty periods commence on the date of Substantial Completion (or date of Final Completion if later):

Statute of Repose Note:

The applicable statute of repose in [__________] provides that claims arising out of defects in design or construction must be brought within [__________] years from the date of Substantial Completion or occupancy, whichever is earlier.

Contractor's Responsibility: The Contractor shall maintain all warranty documentation and shall respond to warranty claims within the timeframes specified in the Contract Documents or applicable law.

PART 6: RETAINAGE RELEASE REQUEST

PARTIAL RETAINAGE RELEASE (Upon Substantial Completion)

AIA G704 REFERENCE: This Certificate corresponds to AIA Document G704 (Certificate of Substantial Completion).

Pursuant to the Contract Documents, the Contractor requests partial release of retainage held by the Owner.

Contract Amount: $[__________]

Total Retainage Percentage: [____]%

Retainage Held: $[__________]

Release Request (Upon Substantial Completion): $[__________]

Retainage to be Held (Until Final Completion): $[__________]

RETAINAGE RELEASE CONDITIONS

The release of retainage is conditioned upon:

☐ Architect/Engineer certification of Substantial Completion.

☐ Owner's acknowledgment of occupancy rights.

☐ Contractor's agreement to complete punch list items.

☐ Contractor's maintenance of builder's risk insurance.

☐ Receipt of final lien waivers for the released amount (if required).

☐ No material liens or claims on file.

Contractor Certification: The Contractor certifies that all subcontractors and suppliers have been paid from previous draws, subject only to the retained amounts.

Contractor Signature: _________________________ Date: [__/__/____]

PART 7: INSURANCE AND RISK OF LOSS

TRANSFER OF RESPONSIBILITY

Upon Substantial Completion:

☐ The Owner assumes responsibility for maintenance, utilities, security, and casualty insurance for the occupied portions.

☐ The Contractor shall maintain builder's risk insurance for any incomplete portions and punch list items until Final Completion.

☐ The Contractor shall provide current certificate of insurance upon request.

FINAL SIGNATURES

By execution below, all parties acknowledge Substantial Completion and the terms outlined herein.

CONTRACTOR

Company: [________________________________]

Authorized Representative: [________________________________]

Title: [________________________________]

Signature: _________________________ Date: [__/__/____]

ARCHITECT/ENGINEER

Firm: [________________________________]

Professional Name: [________________________________]

License: [__________] State: [____]

Signature: _________________________ Date: [__/__/____]

OWNER

Name/Entity: [________________________________]

Representative: [________________________________]

Title: [________________________________]

Signature: _________________________ Date: [__/__/____]

SOURCES AND REFERENCES

• AIA Document A201-2017: General Conditions of the Contract for Construction (Section 8.2 – Contractor's Liability; Section 9.8 – Substantial Completion)
• AIA Document G704: Certificate of Substantial Completion
• The ConsensusDocs 135: Standard Form Agreement between Owner and Contractor (Design-Bid-Build, Lump Sum)
• Uniform Commercial Code (UCC): Sections 2-601, 2-607 (Buyer's Rights on Improper Delivery)
• State Bar Associations: Review statutory repose periods in your jurisdiction (typically ranging 6–15 years from Substantial Completion or Final Completion)
• National Association of Home Builders (NAHB): Homeowner Warranty Standards