ARE 5.0 Construction & Evaluation (CE) - Comprehensive Study Guide
The Construction & Evaluation (CE) division covers everything that happens after construction documents are complete - from bidding and negotiation through construction administration to project closeout. CE tests your understanding of the architect's role during construction, contractual procedures, and the documentation that governs the construction process. Many candidates find CE approachable because the content aligns closely with real-world construction administration experience.
CE contains approximately 75 questions with a 3 hour 20 minute time limit. Questions focus on procedures, sequencing, and the architect's authority and responsibilities during construction. A thorough understanding of AIA A201 (General Conditions) is essential for this division.
Key Content Areas
| Content Area | Approximate Weight |
|---|---|
| Preconstruction Activities | ~18% |
| Construction Observation | ~31% |
| Administrative Procedures & Protocols | ~31% |
| Project Closeout | ~20% |
Bidding and Negotiation
The bidding phase establishes the construction contract. Understanding bidding procedures is critical for CE:
- Competitive Bidding: Open (public - any qualified contractor may bid) or invited (private - selected contractors only). Public projects typically require open competitive bidding. The architect prepares bidding documents and assists the owner in evaluating bids.
- Negotiated Contracts: The owner selects a contractor based on qualifications, experience, and negotiated price. Common with CM-at-Risk and design-build delivery. Less emphasis on lowest price, more on value and relationship.
- Bidding Documents: Include the Invitation to Bid, Instructions to Bidders, Bid Form, bid security requirements (bid bond), and the proposed contract documents (drawings, specifications, general conditions, supplementary conditions).
- Addenda: Issued during the bidding period to modify or clarify the bidding documents. Addenda become part of the contract documents. Typically issued no later than 4-7 days before bid opening to allow bidders to incorporate changes. Addenda must be acknowledged on the bid form.
- Bid Evaluation: The architect assists the owner by reviewing bids for completeness and responsiveness. The architect may recommend award but does not have authority to award the contract - that is the owner's decision.
- Substitution Requests: During bidding, substitution requests are processed through addenda. During construction, substitution requests follow the submittal process and require architect review and approval.
Construction Administration
Construction administration (CA) is the architect's largest area of responsibility during construction. Per AIA B101, the architect's CA responsibilities include:
- Site Visits: The architect visits the site at intervals appropriate to the stage of construction to become generally familiar with the progress and quality of the work and to determine if the work is being performed in general accordance with the contract documents. The architect is NOT responsible for construction means, methods, techniques, sequences, procedures, or safety precautions - those are the contractor's responsibility.
- Rejection of Work: The architect has authority to reject work that does not conform to the contract documents. However, the architect cannot stop the work. If necessary, the architect can recommend that the owner order the contractor to stop work.
- Interpretation of Documents: The architect is the initial interpreter of the contract documents. The architect renders interpretations necessary for the proper execution or progress of the work with reasonable promptness.
- Certification of Payment: The architect reviews and certifies the contractor's Applications for Payment. Certification represents that the work has progressed to the point indicated, quality is in accordance with the contract documents, and the contractor is entitled to payment in the amount certified.
Submittals
The submittal process is one of the most heavily tested topics on CE:
- Purpose: Submittals demonstrate how the contractor intends to fulfill the contract requirements. They are NOT part of the contract documents - they are the contractor's proposed means of compliance.
- Types: Shop drawings, product data, samples, mock-ups, test reports, certificates, manufacturer's instructions, and closeout submittals (warranties, O&M manuals, as-built drawings).
- Process: (1) Contractor prepares and reviews submittals for compliance with contract documents. (2) Contractor transmits to architect with a transmittal identifying deviations from contract documents. (3) Architect reviews for conformance with design intent. (4) Architect returns with an action stamp.
- Action Stamps:
- Approved / No Exceptions Taken: Proceed with fabrication or installation.
- Approved as Noted: Proceed with fabrication incorporating noted corrections. Resubmittal not required unless noted.
- Revise and Resubmit: Make revisions and resubmit for review. Do not proceed with fabrication.
- Rejected: Does not comply with contract documents. Prepare a new submittal.
- Architect's Review: The architect reviews submittals only for conformance with the design concept and compliance with the contract documents. The architect's review does not extend to the contractor's means, methods, sequences, or construction techniques, and does not relieve the contractor of responsibility for errors in the submittal.
Requests for Information (RFIs)
- Purpose: The contractor submits an RFI when the contract documents are unclear, ambiguous, or appear to contain conflicts. RFIs request clarification or additional information needed to proceed with the work.
- Process: The contractor submits the RFI to the architect. The architect researches the question and responds in writing. If the response involves additional cost or time, it may generate a change order. The architect should respond promptly - delays in RFI responses can become contractor claims for time extensions.
- Documentation: Maintain an RFI log tracking the number, date submitted, subject, date responded, and status. RFI responses become part of the project record and may modify the contract documents.
- Important Distinction: RFIs clarify existing contract requirements. If the owner wants to change the scope of work, that requires a change order, not an RFI.
Change Orders
Changes to the contract during construction are managed through a structured process:
- Change Order: A written agreement signed by the owner, contractor, and architect that modifies the contract sum, contract time, or both. All three parties must agree to a change order.
- Construction Change Directive (CCD): Issued when the owner and architect agree a change is needed but have not yet agreed with the contractor on cost or time. The contractor must proceed with the work. Cost is determined by one of four methods: (1) mutual agreement, (2) unit prices in the contract, (3) cost plus a fee, or (4) the architect's determination if the contractor fails to respond.
- Architect's Supplemental Instructions (ASI): Minor clarifications or changes that do not affect the contract sum or time. If the contractor believes an ASI will affect cost or time, the contractor must notify the architect before proceeding.
- Order of Magnitude: Change order → most formal and binding. CCD → owner-directed, cost TBD. ASI → minor, no cost/time impact. Field order → minor field adjustment.
Pay Applications
The payment process during construction follows a defined sequence:
- Schedule of Values: The contractor submits a detailed breakdown of the contract sum by trade or work activity at the start of construction. The architect reviews and approves the schedule of values as the basis for progress payments.
- Application for Payment: Typically submitted monthly. The contractor reports the percentage of each line item completed and materials stored on-site. The total less retainage less previous payments equals the current amount due.
- Retainage: A percentage (typically 5-10%) withheld from each payment as security for completion. Retainage is released upon substantial or final completion, depending on the contract and jurisdiction.
- Architect's Certificate for Payment: The architect reviews the application, verifies progress, and issues a certificate for the amount the architect determines is properly due. The architect can withhold certification for defective work, claims, failure to pay subcontractors, or other contract violations.
- Lien Waivers: The contractor and subcontractors provide lien waivers with each payment application, confirming they have been paid for previous work and waiving lien rights for that period.
Substantial Completion and Final Completion
- Substantial Completion: The stage when the work is sufficiently complete that the owner can occupy or use the project for its intended purpose. The architect inspects and, if appropriate, issues a Certificate of Substantial Completion. This establishes the date of substantial completion, fixes the time for the contractor to complete remaining punch list items, and establishes responsibilities for insurance, utilities, and maintenance.
- Punch List: A list of incomplete or defective items that the contractor must correct after substantial completion. The architect and owner prepare the punch list during the substantial completion inspection. The contractor has a defined period (typically 30 days) to complete punch list work.
- Final Completion: All punch list items are corrected, all closeout documents are submitted, and the work fully complies with the contract documents. The architect confirms final completion and issues a final Certificate for Payment, including release of retainage.
- Warranty Period: Typically begins at substantial completion (not final completion). The standard warranty period per AIA A201 is one year. Extended warranties for specific systems (roofing, waterproofing) may be specified separately.
Project Closeout
Closeout requires specific deliverables from the contractor:
- As-Built Drawings (Record Drawings): The contractor marks up a set of construction documents to show actual conditions as installed. The architect may be retained to prepare formal record drawings from the contractor's mark-ups.
- Operation and Maintenance Manuals: Compiled for all building systems and equipment. Include manufacturer information, spare parts lists, maintenance schedules, and warranty documents.
- Training: The contractor provides training to the owner's facilities staff on building systems operations. Training sessions should be documented.
- Warranties and Guarantees: Compiled and transmitted to the owner. Include both the contractor's general warranty and manufacturer warranties for specific products and systems.
- Final Lien Waivers: All contractors and subcontractors provide final lien waivers confirming full payment and releasing all lien rights.
- Consent of Surety: If a performance or payment bond was required, the surety must consent to final payment.
Claims and Disputes
- Claims Process per A201: Claims must be initiated within 21 days of the event giving rise to the claim. The claim is first submitted to the architect for an Initial Decision. If the architect's Initial Decision is not accepted, the claim proceeds to mediation, then to binding arbitration or litigation (as specified in the contract).
- Architect as Initial Decision Maker (IDM): Per AIA A201, the architect is the IDM for claims between the owner and contractor. The architect must render an impartial decision within a reasonable time. The IDM role can be assigned to a third party.
- Mediation: Required before arbitration or litigation per AIA contracts. A neutral mediator facilitates negotiation. Mediation is non-binding - either party can walk away.
Sample Question Format
Scenario: During a site visit, the architect observes that installed window flashing does not match the approved shop drawings. The windows have not yet been installed above the flashing. What should the architect do first?
This type of question tests your understanding of the architect's authority during construction and the proper sequence of actions. The correct response involves notifying the contractor of the nonconforming work in writing and requesting corrective action before proceeding.
Study Tips for CE
- Read AIA A201 thoroughly. More than any other division, CE is governed by A201 General Conditions. Understand the architect's authority (and its limits), the contractor's responsibilities, the change order process, and the claims procedure. There is no substitute for reading the actual document.
- Master the submittal process. Know the types of submittals, the review process, the meaning of each action stamp, and the scope of the architect's review. This is among the most heavily tested topics on CE.
- Understand the sequence of events. CE questions often test whether you know the correct order: RFI before change order, substantial completion before final completion, retainage release after final completion. Create a timeline of the construction process from bidding through closeout.
- Know the difference between change orders, CCDs, and ASIs. Questions may present scenarios and ask which instrument is appropriate. The key distinctions are whether cost/time is affected and whether all parties agree.
- Practice with realistic scenarios. CE questions are often scenario-based. Our CE mini exams present realistic construction administration scenarios. Use our CE flashcards to reinforce terminology and procedures.
Read our CE Exam Tips for test-taking strategies, and prepare with our CE Exam Day Guide. Review CE Common Mistakes to avoid common pitfalls, and keep the CE Glossary handy for quick definitions.
For a quick-reference on submittals, change orders, and pay applications, download our Construction Admin Cheat Sheet.
Join AREprep to access the full CE question bank, detailed answer explanations, and track your readiness for the Construction & Evaluation division.