AIA Contracts CE - 002

CORRECT RESPONSE
A Termination Fee paid by the architect, contingent on the architect receiving one from the owner

AIA C401–2017, Section 9.1.2, specifically addresses termination for the owner’s convenience. It states that if the architect receives a Termination Fee from the owner, the architect shall pay the consultant a Termination Fee as stipulated in their agreement. This makes the payment contingent on the architect first being paid.

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Question 4 — C401

The owner terminates the Prime Agreement with the architect for the owner’s convenience. The architect, in turn, must terminate their AIA C401–2017 agreement with the MEP engineer.

What is the MEP engineer entitled to receive as compensation?

The full value of their contract, as the termination was not their fault

A Termination Fee paid directly by the owner

Only payment for services performed up to the date of termination

A Termination Fee paid by the architect, contingent on the architect receiving one from the owner

CORRECT RESPONSES
The failure to include an item on the list does not alter the contractor’s responsibility to complete all work
The AIA G704–2017 form states, “The failure to include any items on such list does not alter the responsibility of the Contractor to complete all Work in accordance with the Contract Documents.”

The warranty for items on the list typically begins on the date of the final Certificate for Payment
The AIA G704–2017 form clarifies this exception: “Unless otherwise agreed to in writing, the date of commencement of warranties for items on the attached list will be the date of issuance of the final Certificate of Payment…”

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Question 10 – G704

An architect is filling out an AIA G704–2017 Certificate of Substantial Completion and must provide a cost estimate for the work remaining on the punch list.

What are the implications of the items on this list?
Check the two that apply.

The contractor is only responsible for correcting the items explicitly named on the list

The warranty for items on the list typically begins on the date of the final Certificate for Payment

The owner is responsible for completing any items on the list that the contractor fails to correct

The contractor must complete the work on the list before the Certificate can be considered valid

The failure to include an item on the list does not alter the contractor's responsibility to complete all work

The cost estimate for the remaining work is the final amount that will be withheld from the contractor

CORRECT RESPONSES
Withhold certification for the value of the defective work not remedied
AIA A201–2017, Section 9.5.1.1, lists “defective Work not remedied” as a reason for the architect to withhold certification.

Nullify a part of a previously issued Certificate for Payment due to subsequently discovered evidence
AIA A201–2017, Section 9.5.1, allows the architect to “nullify the whole or a part of a Certificate for Payment previously issued” because of subsequently discovered evidence.

Withhold certification if there is reasonable evidence that the Work cannot be completed for the unpaid balance of the Contract Sum
AIA A201–2017, Section 9.5.1.4, lists this as a reason for the architect to withhold certification to protect the owner from loss.

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Question 7 – A201

During a monthly site visit, the architect identifies several items of defective work. The contractor disputes the architect’s findings. The architect needs to protect the owner from potential loss due to these issues.

According to AIA A201–2017, what actions can the architect take on the next Application for Payment?
Check the three that apply.

Withhold certification if there is reasonable evidence that the Work cannot be completed for the unpaid balance of the Contract Sum

Instruct the owner to hire a separate contractor to correct the defective work

Require the contractor to provide a bond to cover the cost of the disputed work

Nullify a part of a previously issued Certificate for Payment due to subsequently discovered evidence

Terminate the contract for cause due to the contractor's failure to perform

Withhold certification for the value of the defective work not remedied

CORRECT RESPONSE
The owner can occupy or utilize the Work for its intended use

The AIA G704–2017 form defines Substantial Completion as “the stage in the progress of the Work when the Work or designated portion is sufficiently complete in accordance with the Contract Documents so that the Owner can occupy or utilize the Work for its intended use.” Minor corrective items do not preclude this.

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Question 11 – G704

An architect is preparing an AIA G704–2017 Certificate of Substantial Completion for a new office building. Several minor items, such as scuffed paint and a missing piece of hardware on a non-essential cabinet, remain to be corrected.

According to the definition on the G704 form, what is the primary condition that must be met for the architect to certify Substantial Completion?

All warranties required by the contract documents have officially commenced

The owner can occupy or utilize the Work for its intended use

The contractor has completed all work, including every item on the punch list

The Certificate of Occupancy has been issued by the authority having jurisdiction

CORRECT RESPONSE

Issue the addendum and postpone the date for receipt of bids
AIA A701–2018, Section 4.1.3, directly addresses this scenario: “Sums shall be expressed in both words and numbers…In case of discrepancy, the amount entered in words shall govern.”

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Question 2 – A701

A bidder submits a bid for a project. In the space for the Base Bid amount on the bid form, the bidder writes “One Million Two Hundred Thousand Dollars” in words and enters “$1,020,000” in numbers.

According to AIA A701–2018, what is the value of the Base Bid?

The bid is considered non-responsive and must be rejected

The amount entered in numbers shall govern

Issue the addendum and postpone the date for receipt of bids

The average of the two amounts is used to determine the bid value

CORRECT RESPONSE
A Modification to the Agreement.

AIA Document A101–2017, Section 4.2.2, states, “Upon acceptance, the Owner shall issue a Modification to this Agreement.” A Change Order (AIA Document G701) is a type of Modification. An ASI is for minor changes with no cost/time impact, and a CCD is used when there is a lack of agreement on cost/time.

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Question 2 – A101

An owner and contractor execute an AIA A101–2017 agreement for a new office building. After construction begins, the owner decides to accept one of the alternates listed in Section 4.2.2 of the agreement.

What document must the owner issue to formally accept this alternate?

An Architect's Supplemental Instruction (ASI).

A Construction Change Directive (CCD).

A written directive from the owner's representative.

A Modification to the Agreement.

CORRECT RESPONSE
The requirement that all communications with the contractor be forwarded through the architect

AIA C401–2017, Section 1.5, establishes the architect as the central point of communication. It states, “Except as otherwise authorized by the Architect, all communications between the Consultant and the Owner, Contractor, or other consultants for the Project shall be forwarded through the Architect.”

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Question 2 — C401

During construction, a contractor submits an RFI directly to the MEP engineer regarding a ductwork conflict. The MEP engineer, wanting to be helpful, responds directly to the contractor with a proposed solution.

What provision of the AIA C401–2017 has the MEP engineer violated?

The duty to render written recommendations on claims and disputes promptly

The requirement that all communications with the contractor be forwarded through the architect

The duty to coordinate its services with those of other consultants

The responsibility for the methods and means used in performing its services

CORRECT RESPONSE
The contractor, because they failed to notify the architect of the deviation
AIA A201–2017, Section 3.12.8, states that the contractor is not relieved of responsibility for deviations from the contract documents by the architect’s approval unless the contractor “has specifically notified the Architect of such deviation at the time of submittal” and received written approval for the change.

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Question 2 – A201

A contractor submits shop drawings for custom millwork that include a deviation from the dimensions shown in the contract documents. The contractor does not specifically notify the architect of this deviation in writing. The architect reviews and approves the submittal. When the millwork is delivered, the owner notes the dimensional discrepancy.

According to AIA A201–2017, who is responsible for the cost of correcting the non-conforming work?

The architect, because they approved the shop drawings

The millwork subcontractor, as the fabricator of the non-conforming item

The contractor, because they failed to notify the architect of the deviation

The owner, because the deviation is considered a minor change in the work

CORRECT RESPONSES
It is not part of the Contract and its provisions are not binding.
AIA Document A101–2017, Article 1, states that the Contract Documents consist of the enumerated items and form the entire and integrated agreement, superseding prior negotiations. If a document is not listed in Article 9, it is not part of the contract.

It is considered information furnished by the Owner but not part of the formal agreement.
AIA Document A101–2017, Section 9.1.9, provides a note that information furnished by the owner (like a geotechnical report) is not part of the Contract Documents unless enumerated in the agreement. It serves as background information, not a contractual obligation.

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Question 9 – A101

During contract negotiations using AIA A101–2017, the owner and contractor discuss the inclusion of a detailed geotechnical report as a binding document. The final executed A101 agreement is signed, but the geotechnical report is not listed in Article 9, Enumeration of Contract Documents.

What is the contractual status of the geotechnical report?
Check the two that apply.

It is not part of the Contract and its provisions are not binding.

It can be incorporated later by an Architect's Supplemental Instruction (ASI).

It is considered a Contract Document because it was discussed during negotiations.

The architect must interpret its status as the Initial Decision Maker.

Its requirements supersede the specifications where conflicts exist.

It is considered information furnished by the Owner but not part of the formal agreement.

CORRECT RESPONSE
The architect has the authority to reject the nonconforming work

AIA B101–2017, Section 3.6.2.2, grants the architect the “authority to reject Work that does not conform to the Contract Documents.” The architect does not have the authority to stop the work (§ 3.6.1.2) or direct the contractor’s means and methods.

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Question 2 – B101

While visiting a project site, an architect observes that a masonry subcontractor is installing brick veneer using a mortar mix that clearly does not conform to the specifications in the contract documents.

What is the architect’s authority in this situation according to AIA B101–2017?

The architect has the authority to reject the nonconforming work

The architect should direct the subcontractor on the proper method for mixing the mortar

The architect must stop the work in the affected area immediately

The architect must first obtain the owner's approval before rejecting the work

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AIA Contracts CE – 002