国际工程合同管理程序指南-第二十节
第二十节 实质性完工
在工程项目中，实质性完工的概念有别于合同竣工，它通常是指在合同竣工之前，但是大部分的主要工作已经完成，只剩余部分清理、整改项目等，出于有利于双方的目的，合同双方可以认为工程已经实质性完工。通常实质性完工可能发生在以下一些情况下：
- 工程项目的主要部分已经完成，只剩余部分清理及整改工作
- 一部分建筑、区域或者系统已经完成，但是其余部分仍然在进行施工
- 业主提前占有工程对其有利
- 合同原有工作范围已经完成，承包商仍然在进行变更的工作，但是合同原有工期已经结束
一般工程合同中不会有明确的关于实质性完工的规定，实质性完工一般在合同尚未完全关闭前，承包商将工程移交给业主，对于业主方也更加有利。在前面一节中提到的业主提前占有情况，双方也可能确定为工程已经实质性结束，但是业主并非一定要这么做。
在确定工程实质性结束时，合同各方的代表也要对工程进行验收，然后以消项单的形式确定为完成和存在缺陷的工作。需要主要的是，消项单不仅要包括现场中未完成或者是存在缺陷的工作，也包括管理、合同等为了关闭合同需要完成的工作，如竣工图、工程验收需要提交的文件等。合同竣工时，所有这些项目都需要被关闭。
一般实质性竣工需要下发正式的证书，证书需要各方签署，在实质性竣工证书中应该包括需要承包商完成工作的消项单。
在下发了实质性竣工证书后，业主将会承担对于工程进行维护的责任。在下发实质性完工证书后，承包商应该根据证书中要求的时间完成消项单中的内容，从而最终关闭合同。消项单中的项目完成后，业主、咨询师和承包商的代表需要共同对其中的项目进行验收。
附表1是咨询师发给承包商的实质性完工的通知的示例，附表2是实质性完工证书的示例。
Notice of Substantial Completion 表1
[ADDRESSED TO CONTRACTOR]
Attention:
Project Manager
Subject: XYZ Project
Contract No. 12345-M-XXX
Certificate of Substantial Completion
(Reference: If Contractor has requested Substantial Completion, reference its letter)
Dear,
It has been mutually agreed that [all work under the contract] [a portion of the work under the contract] is substantially complete. In accordance with the General Conditions, attached herewith is a fully executed
Certificate of Substantial Completion covering [all work under the contract] [that part of contract work described in the Certificate] and the Punch List of remaining items has been resolved. As reflected in the
Certificate, the work is determined to be substantially complete as of.
The provisions of warranty as described in General Conditions continues to be in full force and effect, and are supplemented by other requirements of the technical specifications. Maintenance of the work subsequent to [will be performed by others] [will remain your responsibility until Final Completion and Acceptance of the contract by the customer].
Please note that a formal billing for all costs or fees which you believe to be due under the contract must be submitted within thirty (30) days of the date of the Substantial Completion, or.
Very truly yours,
COMPANY
_____________________________________________
____/__
Attachment
Response Required:
Certificate of Substantial Completion – Contractor 表2
Date: ____________________________________
FACILITY/AREA:
_________________________________________
DESCRIPTION OF FACILITY/AREA:
_________________________________________
CONTRACTOR:
_________________________________________
CONTRACT NO. :
_________________________________________
PUNCH LIST COMPLETION DATE:
_________________________________________
This is to certify the work described above has been substantially completed in accordance with the contract and associated documents. The facility/area designated above has been inspected by representatives of all parties, and is complete with the exception of the attached Punch List which contractor agrees to complete by the date designated.
The extended warranty period commences on the date the remedial work is completed as described in the punch list or from the date of Final Acceptance of the Project as a whole, whichever is later.
INSPECTION CERTIFICATE
CONTRACTOR: _____________________________ DATE: _____________________________
ACCEPTED BY
COMPANY:__________________________________DATE:_____________________________
CUSTOMER
