Understanding construction administrative procedures and protocols is essential for ARE candidates preparing for the Construction & Evaluation (CE) exam. Furthermore, this comprehensive guide breaks down CE Section 3, explaining the documentation and communication systems that support construction observation. Additionally, Section 3 covers the “behind-the-scenes” paperwork that makes construction run smoothly, representing 32-38% of the CE exam questions.
Moreover, construction administrative procedures represent the critical documentation backbone of construction administration. While Section 2 covered being physically on the job site, Section 3 focuses on all the paperwork and communication protocols that support those site visits. Therefore, these aren’t just bureaucratic requirements—they’re the essential systems that protect all parties and ensure clear communication throughout the construction process.
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Understanding the ARE Structure
The Architect Registration Exam (ARE) is organized hierarchically, divided into different divisions or exams. Additionally, each exam is further broken down into sections, and each section contains multiple objectives. Furthermore, this structure is important because when NCARB provides feedback on exam performance, they typically identify failures at the section level—like “Section 3″—not at the specific objective level.
One crucial insight for effective exam preparation: if you’re not studying at NCARB’s objectives and getting clear about the scope of the test, you’re not actually studying for the architect exam. Moreover, these objectives and sections are the framework NCARB uses when writing questions, making them the most important information for your preparation.
If you’re preparing for the ARE exams, our ARE 101 course Membership provides comprehensive materials organized by these sections and objectives.
Construction & Evaluation Exam Overview
According to NCARB, the Construction & Evaluation exam:
“This division will assess objectives related to construction contract administration and post-occupancy evaluation of projects. This division will focus on issues related to bidding and negotiation processes, support of the construction process, and evaluation of completed projects.
Candidates must demonstrate an understanding of and abilities in construction contract execution, construction support services (including construction observation and shop drawing or submittal review), payment request processing, and project closeout. In addition, candidates must also demonstrate an understanding and abilities in project evaluation of integrated building systems and their performance.”
The CE exam is divided into four sections:
- Section 1: Preconstruction Activities
- Section 2: Construction Observation
- Section 3: Administrative Procedures & Protocols
- Section 4: Project Closeout and Evaluation
Essentially, CE covers what happens after the design is complete. The drawings and designs are finished, and now you’re dealing with bidding, procurement, starting construction, reaching substantial completion, what happens after substantial completion, and post-occupancy follow-up.
As we covered in our previous articles about preconstruction activities and construction observation, Section 3 builds directly upon these foundations to create a comprehensive understanding of construction administration.
Section 3: Administrative Procedures & Protocols Overview
NCARB defines Section 3 as addressing:
“The previous section is about the onsite responsibilities of an architect. This section is about the documentation necessary to the construction process. Clear written communication is an essential aspect of the construction process.”
This section is all about paperwork, documentation, and communication. Therefore, it’s like the paper trail that follows the physical work discussed in Section 2. Additionally, think of Section 3 as your architectural paper shield—all the documentation that protects everyone when things don’t go according to plan.
Furthermore, Section 3 makes up about 32-38% of the CE division—so it’s a significant chunk of the exam. Moreover, it’s further broken down into four objectives:
- Objective 3.1: Determine appropriate additional information to supplement contract documents
- Objective 3.2: Evaluate submittals including shop drawings, samples, mock-ups, product data, and test results
- Objective 3.3: Evaluate the contractor’s application for payment
- Objective 3.4: Evaluate responses to non-conformance with contract documents
In real practice, proper documentation is absolutely critical. Furthermore, having those paper trails—or digital trails these days—is what keeps projects running smoothly and protects everyone involved. Additionally, the first question when issues arise is always, “Where’s the paperwork?” or “Was this documented?”
Objective 3.1: Determine Appropriate Additional Information to Supplement Contract Documents
NCARB states:
“As an architect, you will need to evaluate contractor requests for additional information and determine if a request, unexpected disruption, or other situation requires a change in the construction contract. You will need to determine the appropriate documents for communicating requested information and design revisions due to a scope change, schedule delay, or unforeseen condition.”
This objective focuses on understanding when and how to provide additional information to the contractor during construction. Additionally, it’s about knowing which document to use for which situation and establishing a clear paper trail for every decision.
Moreover, documentation in construction administrative procedures is like your insurance policy—you hope you never need it, but you’ll be really glad it’s there if things go sideways.
Here are the five critical document types you need to master:
RFIs (Requests for Information)
These are formal written questions from contractors about the construction documents or drawings that they need clarification on. RFIs must be logged, tracked, and responded to within contractual timeframes. Good RFI responses are clear, concise, and directly address the question. Bad RFI responses are vague, incomplete, or create more questions.
RFIs are a normal part of construction—they’re not a sign that your documents are bad. Even the best documents will generate RFIs because contractors need to confirm their understanding.
Think of RFIs like text messages in a relationship—if you don’t respond promptly and clearly, things are going to get awkward real fast!
ASIs (Architect’s Supplemental Instructions)
Used for minor clarifications or interpretations that don’t affect cost or time. These are documented on AIA G710 form and can be initiated by the architect (not just in response to contractor questions). ASIs don’t require owner signature (unlike change orders) and must be consistent with design intent in original documents.
A really important thing to remember is that ASIs cannot change the contract sum or time. The minute money or schedule is affected, you’re in change order territory.
Change Orders
Required whenever there’s a change to contract sum, time, or scope. These are documented on AIA G701 form and must be signed by owner, architect, AND contractor. Change orders can originate from various sources: owner requests, unforeseen conditions, design changes, and should include detailed description of the change and associated costs.
The change order process can be like a three-way negotiation. The owner wants to minimize costs, the contractor wants to maximize them, and you’re in the middle trying to ensure fairness to all parties.
Construction Change Directives (CCDs)
Emergency change orders when work must proceed before price is agreed. These are documented on AIA G714 form and only require owner and architect signatures (not contractor). CCDs allow work to proceed while cost negotiations continue and eventually get converted to a change order once price is agreed.
CCDs are like your emergency credit card—you only use it when you absolutely have to, but it can save the project when time is critical.
Supplemental Drawings
Additional drawings that clarify or elaborate on the original documents. Often attached to ASIs, Change Orders, or RFI responses, these should be clearly labeled with date and reference to the associated document. Supplemental drawings become part of the contract documents once issued.
You need to really understand which document type to use in which situation, how they’re processed, and the contractual implications of each. This knowledge directly impacts your ability to handle construction administrative procedures effectively.
Objective 3.2: Evaluate Submittals Including Shop Drawings, Samples, Mock-ups, Product Data, and Test Results
NCARB describes this objective:
“Architects must assess the contractor’s understanding of the project scope by reviewing the contractor’s submittals against the contract documents. They also must determine appropriate responses to the contractor and evaluate requests for substitutions.”
This objective focuses on the submittal review process—which is easily one of the most time-consuming parts of construction administration. Additionally, on a medium-sized project, you might review hundreds of submittals.
For a comprehensive understanding of this process, refer to our detailed guide on construction submittals, which covers the complete submittal workflow.
Furthermore, the submittal process is quality assurance before construction starts—it’s much easier to catch and fix problems on paper than it is once things are built!
Purpose of Submittals
Submittals serve multiple critical functions in construction administrative procedures:
- They confirm the contractor understands what they’re supposed to build
- They provide detailed information about specific products and systems
- They serve as a final check before materials are ordered and installed
- They create a record of what was actually installed
- They catch discrepancies or coordination issues before construction
Remember, no matter how detailed your construction documents are, they don’t show every nut and bolt. Submittals fill in those details.
Types of Submittals
Different submittal types serve different purposes:
- Shop Drawings: Detailed fabrication drawings showing how things will be manufactured and assembled
- Product Data: Manufacturer specifications, cut sheets, technical data
- Samples: Physical examples of materials, colors, textures
- Mock-ups: Full-scale physical models of assemblies or systems
- Test Results: Performance verification for materials or systems
Each type serves a different purpose, and you need to know what to look for in each.
Submittal Review Process
The construction administrative procedures for submittal review follow a structured process:
- Contractor must review and approve submittals before sending to architect
- Submittals should be logged and tracked upon receipt
- Architect reviews for conformance with design intent
- Consultants review for technical aspects in their specialty
- Review comments are documented and returned to contractor
- Resubmittals may be required for items not in compliance
The submittal review is not a treasure hunt! You’re not trying to catch every tiny mistake—focus on whether it meets the design intent and contract requirements.
Review Actions and Stamps
Each stamp has specific contractual implications:
- “Approved” or “No Exceptions Taken”: Proceed with work as submitted
- “Approved as Noted“: Incorporate minor comments, no resubmittal needed
- “Revise and Resubmit“: Make corrections and submit again
- “Rejected“: Does not comply with contract documents, prepare new submittal
- “For Information Only“: No approval needed, retained for record
Substitution Requests
Contractors often want to substitute specified products with alternatives. You must evaluate against specified requirements for quality, performance, appearance. Some substitutions require owner approval (especially if visible), proper documentation is critical (including cost implications), and may require contract modification if accepted.
Substitutions are like blind dates your contractor sets you up on—they might be great, but you need to carefully check their credentials before saying yes!
Submittal Review Responsibilities
Key responsibilities in construction administrative procedures include:
- Architect focuses on design intent, not means and methods
- Don’t review what you don’t understand—defer to consultants
- Contractor remains responsible for dimensions, quantities, installation
- Review doesn’t relieve contractor of contract compliance
- Missing errors doesn’t transfer responsibility to architect
There’s a common misconception that submittal review transfers responsibility to the architect. The AIA A201 is very clear that it doesn’t.
Objective 3.3: Evaluate the Contractor’s Application for Payment
NCARB states:
“Reviewing the contractor’s application for payment against the completed work is a critical component of the construction process. This is done based on observations during construction site visits and a concurrent review of the contractor’s schedule of values and approved change orders. You will also need to evaluate methods of retainage and their application throughout the project.”
This objective is all about money—specifically, how contractors get paid during construction. Additionally, it’s one of the architect’s most important roles in protecting the owner’s interests.
Furthermore, payment certification is like being a referee between the owner’s checkbook and the contractor’s invoice!
Schedule of Values (SOV)
A detailed breakdown of the contract sum into line items, submitted by contractor for architect’s approval before first payment. The SOV forms the basis for all future payment applications and should reasonably reflect the actual value of each component. Each line item typically includes material and labor components.
The schedule of values is the financial roadmap for the entire project. If it’s set up poorly at the beginning, you’ll have problems throughout construction.
Red flags to watch for in the SOV include:
- Mathematical errors in calculations
- Front-loading (inflating early work to improve contractor cash flow)
- Uneven distribution (some items unreasonably high, others too low)
- Inadequate breakdown (too many costs lumped under “general conditions”)
- Missing items that are clearly required by the documents
Payment Application Documents
Key documents in construction administrative procedures include:
- AIA G702: The main form that summarizes the payment request
- AIA G703: The continuation sheet that details line items and percentages
- Supporting documentation (may include material invoices, payroll records, etc.)
These forms track the original contract sum, change orders, and payment history. Think of the G702 as the dashboardand the G703 as the engine—both are essential for the vehicle to run!
Payment Application Review Process
The structured process involves:
- Contractor submits application (typically monthly)
- Architect reviews claimed percentages against observed progress
- Architect may adjust amounts if work is not as complete as claimed
- Architect certifies payment to owner
- Owner makes payment based on architect’s certification
This is one area where your role shifts from designer to financial guardian. The owner is relying on you to verify that they’re not paying for work that hasn’t been done.
Retainage
Retainage represents a percentage of payment withheld as security (typically 5-10%) that protects owner against incomplete work or liens. It’s calculated on each payment application, often reduced after substantial completion (e.g., from 10% to 5%), and released in full at final completion after all requirements are met.
Retainage is like an insurance policy—it gives the owner leverage to ensure the contractor finishes all work, including punch list items.
Special Payment Considerations
Additional factors in construction administrative procedures include:
- Stored Materials: Materials delivered but not installed
- Change Orders: Must be properly incorporated into SOV
- Lien Waivers: May be required with each payment application
- Subcontractor Payments: Owner may require proof that subs are being paid
Understanding how to properly review and certify payments, what to look for in the schedule of values, and how retainage works throughout the project is essential for effective construction administrative procedures.
Objective 3.4: Evaluate Responses to Non-conformance with Contract Documents
NCARB describes this final objective:
“After non-conforming work is identified during site observations, you must be able to determine the source of the nonconformance; analyze the cost, schedule, and design implications; evaluate possible resolutions of the non-conformance; and communicate the selected solution to the team. These steps will need to be taken in coordination with your consultants and the owner’s consultants.”
This objective deals with what happens when the contractor builds something that doesn’t comply with the contract documents. It tests your ability to problem-solve when things don’t go according to plan.
Handling non-conforming work is like being both a detective and a judge—you have to figure out what went wrong and then decide how to make it right!
Identifying Non-Conformance
Recognizing when work doesn’t meet contract requirements involves understanding common types of non-conformance:
- Wrong materials or products installed
- Incorrect installation methods
- Work that doesn’t meet specified quality standards
- Dimensions or locations that don’t match drawings
- Work that doesn’t meet code requirements
Non-conformance is usually discovered during site observations but may be reported by testing agencies, owner, or even the contractor.
The sooner you catch non-conforming work, the easier it is to fix. Once it’s covered up or built upon, correction becomes much more complicated and expensive.
Determining the Source/Cause
Critical analysis includes identifying whether issues stem from:
- Design error or omission: Maybe the documents were unclear or conflicting
- Contractor mistake: Failed to follow clear directions
- Subcontractor coordination: Issues between trades
- Material substitution: Unapproved product used
- Unforeseen condition: Existing conditions different than expected
- Owner-directed change: Informal direction without proper documentation
This step is critical because it affects who bears responsibility (and cost) for correction.
Analyzing Implications
Construction administrative procedures require evaluating:
- Cost impact: What will it cost to fix? Who pays?
- Schedule impact: Will correction delay project completion?
- Design impact: Does it compromise design intent or performance?
- Code compliance: Does it create a code violation?
- Warranty implications: Will it affect manufacturer warranties?
- Coordination impact: Does it affect other building systems?
Remember, the implications extend beyond just the immediate issue. You need to think about domino effects throughout the project.
Resolution Options
Potential solutions include:
- Remove and replace: The most straightforward but often most expensive
- Repair or modify in place: Sometimes possible if defects are minor
- Accept as-is with credit: If functional but not aesthetically perfect
- Accept as-is with extended warranty: If durability concerns
- Alternative solutions: Might include additional elements to compensate for deficiency
There’s a hierarchy of preferred solutions, but the right approach depends on the specific situation, its impact on the project, and who’s responsible.
Documentation and Communication
Essential construction administrative procedures include:
- Field reports: Document issues as they’re discovered
- Non-conformance notices: Formal notification to contractor
- Direction for correction: Clear instructions on remedy
- Tracking system: Monitor until resolved
- Change orders or credits: If financial adjustments are needed
The AIA A201 General Conditions Section 12 covers “Uncovering and Correction of Work” and outlines the contractor’s obligation to correct non-conforming work at their expense if it’s their fault.
Remember, the owner has the right to accept non-conforming work (with appropriate credit), but you need to advise them of potential consequences.
Common Mistakes in Section 3
Common pitfalls in construction administrative procedures include:
- Using the wrong document for changes—Using an ASI when the change affects cost or time is a huge mistake. The documents aren’t interchangeable—each has specific contractual implications.
- Not documenting verbal conversations—If it wasn’t written down, it didn’t happen. Million-dollar disputes can hinge on conversations that weren’t documented.
- “Rubber-stamping” submittals—Reviewing submittals requires actual attention, not just a quick stamp. Contractors might test architects by deliberately submitting non-compliant items.
- Not involving consultants in specialized reviews—You’re not an expert in everything. If a submittal involves structural, mechanical, or other specialized systems, get your consultants to review it.
- Over-certifying payments—Certifying payment for work that’s not complete puts the owner at risk. Once the money is gone, your leverage disappears.
- Failing to track and log communications—When dealing with hundreds of RFIs and submittals, you need a system to track them. Otherwise, things fall through the cracks.
- Misunderstanding limits of architect’s authority—The A201 clearly outlines what you can and can’t do. Exceeding your authority can create liability issues.
- Delayed responses to RFIs or submittals—Most contracts specify response times. Missing these deadlines can lead to delay claims.
- Accepting substitutions informally—Substitutions should go through proper channels with appropriate documentation and sign-offs.
- Confusing basic services vs. additional services—Not all administrative tasks are included in basic services. Know what’s included in your contract.
- Not reading what you’re signing—Whether it’s a payment application or change order, understand what you’re certifying with your signature.
- Inconsistent application of standards—If you’re strict about some issues but casual about others, it undermines your credibility.
Think of construction administrative procedures like the rules of the road—they only work if everyone follows them consistently!
Being clear but collaborative gets better results than being adversarial. Remember, the goal isn’t to “catch” the contractor doing something wrong—it’s to ensure the project is built correctly. When contractors and clients understand that these procedures protect everyone, not just the architect, they’re more likely to engage with the process constructively.
Studying for Construction Evaluation
Understanding the Study Requirements
Section 3 requires both factual knowledge and practical application—you need to know the construction administrative procedures and how to apply them in specific situations.
Course Resources and Materials
At Young Architect Academy, we’ve created a comprehensive approach to CE in our CE 101 course, which includes:
- Two detailed case studies that walk through real-world scenarios from bid through post-occupancy
- Flashcards for key terms, document types, and processes
- In-depth breakdowns of all construction administrative procedures and when to use each
- Our special AHPP Companion document that points you to exactly which pages in the Architect’s Handbook cover each objective
- Over 200 practice questions with about 70 specifically focused on Section 3
- Video tutorials breaking down each objective and document type
- AIA document samples with annotations explaining key sections
Additionally, the case studies are especially valuable because they show you how all these processes connect in real projects. Furthermore, it’s one thing to memorize what an RFI is, but it’s another to see how it flows into a potential change order and then affects payment applications.
Moreover, when you sign up for CE 101, you also get access to our AIA Contracts 101 course. This is the only ARE-focused AIA Documents course available, where Lorenzo goes through every AIA document being tested on the ARE in incredible detail. Thousands of people have used this course to get licensed—it’s really a game-changer for understanding these documents that are so critical to Section 3.
Practical Study Strategies
Beyond prep courses, here are top recommendations for mastering construction administrative procedures:
- Get familiar with the actual AIA documents—Not just what they’re called, but what’s in them. Additionally, look at G702/G703 payment forms, G701 change orders, G710 ASIs, G714 CCDs, and G716 RFIs.
- Draw process flowcharts—Map out the flow of communication for RFIs, submittals, and changes. Furthermore, this helps you understand how everything connects.
- Practice reviewing a submittal—Get a product data sheet and specification and practice comparing them for compliance.
- Mock up a payment application review—Take a schedule of values and try marking it up as if you were reviewing a payment application.
- Study real project documentation—Ask coworkers if you can look at actual RFIs, submittals, and change orders from their projects.
- Read the A201 General Conditions—Especially Article 3.12 (Shop Drawings, Product Data and Samples), Article 7 (Changes in the Work), Article 9 (Payments and Completion), and Article 12 (Uncovering and Correction of Work).
- Read the Project Delivery Practice Guide from CSI—It’s an excellent resource for construction administrative procedures.
- Practice writing clear, concise responses—The exam will test your ability to communicate effectively in writing.
Remember, NCARB isn’t testing whether you can recite definitions—they’re testing your ability to synthesize information and make the right decision as the architect.
Conclusion
Section 3 of the CE exam covers the construction administrative procedures that are essential to construction administration. This isn’t just paperwork—it’s the backbone that supports the entire construction process.
Section 3 makes up about a third of the CE exam, so it’s worth investing time to really understand these concepts. Focus on:
- Knowing which document to use in which situation
- Understanding submittal review procedures and limitations
- Learning how to properly evaluate payment applications
- Developing a systematic approach to non-conforming work
These aren’t just exam topics—they’re skills you’ll use throughout your entire career. A project with great design but poor administration often ends in disputes, while a project with solid construction administrative procedures has a much better chance of success.
The CE exam isn’t testing whether you can recite definitions. It’s testing whether you can apply these concepts in real-world scenarios. So as you study, always ask yourself, “How would this work in a real project?”
These construction administrative procedures are where architects really earn their fee during construction. The design is important, of course, but proper administration is what ensures that design actually becomes reality. This knowledge gives you incredible confidence on job sites and in meetings with contractors and owners. You’ll know what document to reach for in any situation and how to handle issues professionally as they arise.
While these procedures may seem dry at first, they’re actually about relationships and communication. Clear documentation fosters trust between all parties and helps everyone understand their responsibilities.
Ready to master construction administrative procedures and the entire Construction & Evaluation exam? Join hundreds of successful candidates in our ARE Boot Camp, an online study group for structured guidance and accountability, or access our self-paced CE 101 course for comprehensive study materials.
