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Joseph A. Demkin, AIA, Executive Editor

John Wiley & Sons, Inc.

The Architect’sHandbookof ProfessionalPractice

Fourteenth Edition

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This book is printed on acid-free paper.

Copyright © 2008 by The American Institute of Architects. All rights reserved. “AIA” and the AIA logoare registered trademarks and service marks of The American Institute of Architects.

Published by John Wiley & Sons, Inc., Hoboken, New Jersey

Published simultaneously in Canada

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Library of Congress Cataloging-in-Publication Data:

The architect's handbook of professional practice / Joseph A. Demkin, executive editor.—14th ed.

p. cm.“American Institute of Architects.”Includes bibliographical references and index.ISBN 978-0-470-00957-4 (cloth/cd)

1. Architectural practice—United States—Handbooks, manuals, etc. 2. Architectural services marketing—United States—Handbooks, manuals, etc. I. Demkin, Joseph A. II. American Institute of Architects.

NA1996.A726 2008720.68—dc22

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Foreword v

Preface vi

Acknowledgments vii

About the Handbook x

PA R T 1 THE PROFESSION 1

1 Professional Life 21.1 Ethics and Professional Conduct 2

2004 AIA Code of Ethics & Professional Conduct 10

1.2 Participating in Professional Organizations 14

1.3 Public Service and Community Involvement 22

1.4 The Architect in the Political Process 25

1.5 Participating in Architecture Education 30

2 Legal Dimensions of Practice 362.1 Architects and the Law 36

Copyright Law for Architects 43The Architect as Expert Witness 48

2.2 Regulation of Professional Practice 50Mandatory Continuing Education 54

3 Professional Development 573.1 Lifelong Learning 573.2 Mentoring 66

PA R T 2 THE FIRM 81

4 Firm Development 824.1 Starting an Architecture Firm 824.2 Firm Legal Structure 934.3 Strategic Planning for the Design

Firm 1034.4 Firm Identity and Expertise 115

Establishing a Niche Practice 126

4.5 Team Building for Architects 1284.6 Firm Peer Review 1394.7 Alliances 1444.8 Practicing in a Global Market 1534.9 Ownership Transition 163

5 Marketing and Public Relations 1765.1 Marketing Strategy and Planning 1765.2 Seeking the Project 189

Proposal Development 196The Project Interview 199

5.3 Public Relations 201

6 Client Relations 2116.1 How Clients Select Architects 2116.2 Communicating with Clients 2226.3 Building Client Relationships 232

7 Human Resources 2447.1 Human Resources Management 244

Architects as Employers: Legal Requirements 251

7.2 Recruiting and Hiring 253Staffing Alternatives 263New Employee Orientation 266

7.3 Developing and Using Job Descriptions 270

7.4 Staff Compensation and Benefits 2797.5 Staff Development and Retention 2857.6 Developing Leadership Skills 2937.7 Resignation, Termination, and Staff

Reduction 307

8 Financial Management 3128.1 Financial Planning 3128.2 Financial Management Systems 322

Computerized Financial Systems 3308.3 Maintaining Financial Health 3328.4 Acquiring Capital 341

9 Risk Management 3489.1 Risk Management Strategies 348

How to Use Risk Assesment Matrixes 3609.2 Insurance Coverage 368

Contents

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9.3 Managing and Avoiding Disputes 3859.4 Dispute Resolution Methods 396

10 Firm Operations 40510.1 Office Administration 40510.2 Computer Technology in Practice 41710.3 Information Management 42810.4 Developing and Managing Multiple-

Office Firms 43410.5 Retaining and Archiving Records 445

PA R T 3 THE PROJECT 459

11 Project Definition 46011.1 Defining Project Services 46011.2 Architectural Services and

Compensation 46911.3 Negotiating Agreement 47911.4 Project Delivery Methods 491

Construction Management 501Design-Build Project Delivery 504

12 Project Delivery 50712.1 Programming 50712.2 Design Phases 52012.3 Construction Documentation 531

The U.S. National CAD Standard 559AIA MASTERSPEC 560

12.4 Bidding or Negotiation Phase 56212.5 Construction Contract

Administration 57412.6 Project Closeouts 59212.7 Sustainable Design 60212.8 Environmentally Preferable Product

Selection 61612.9 Research Methods for Architects 62812.10 Digital Architectural Survey

Technologies 64212.11 Value Analysis 65612.12 Life Cycle Costing 673

13 Project Management 69213.1 The Effective Project Manager 69213.2 Managing Architectural Projects 69913.3 Project Controls 718

Project Scheduling 73113.4 Managing Fast-Track Projects 73513.5 Construction Cost Management 744

14 Quality Management 76014.1 Quality Management in Practice 76014.2 Maintaining Design Quality 770

15 Building Codes and Regulations 78215.1 Community Planning Controls 78215.2 Building Codes and Standards 803

The International Building Code 817

PA R T 4 CONTRACTS ANDAGREEMENTS 825

16 Types of Agreements 82616.1 Agreements with Owners 82616.2 Owner-Generated Agreements 83516.3 Project Design Team Agreements 852

Joint Venture Agreements 86216.4 Construction Contracts 865

17 AIA Contract Documents 87517.1 The AIA Documents Program 875

2007 AIA Contract Documents 88517.2 AIA Contract Documents Synopses

by Family 887

Appendices 907A: Allied Professional Organizations 907B: State Registration Boards 914C: Schools of Architecture 917D: Sample AIA Contract Documents 923E: Glossary 983

Index 1005

Note: Topic backgrounders are shown in italics.

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v

The management and operation of an architecture firm, regardless of its size, ismore important than ever. Keeping a design practice competitive and viableinvolves obtaining new commissions, nurturing client relationships, preparing

contracts, controlling project schedules and budgets, recruiting and hiring staff, anddealing with myriad business and administrative activities.

Almost a century ago, members of our profession had the foresight to recognizethat architects need information about the business component of practice and, to meetthis need, the Institute developed and published the first edition of the Architect’s Hand-book of Professional Practice. In the years since, thirteen editions of the Handbook havedelivered an evolving and expanding body of knowledge to help guide architectsthrough the business terrain of practice.

In the spirit of the Institute’s 150th anniversary theme—“Celebrating the Past,Designing the Future”—the 14th edition of the Handbook looks both backward andforward by weaving tried and proven material with that which is new and emerging.Comprehensive in scope, the subject matter in this edition, with an emphasis on basics,has been thoroughly updated and thoughtfully organized.

I highly recommend this compendium of practice knowledge for architects, build-ing design professionals, and others aspiring to become more informed about the com-plexities and intricacies of architecture practice. Whether looking for information abouta particular practice issue, checking on a specific point, or explaining a concept to oth-ers, those in or associated with the building design and construction community canrely on the Handbook for answers to the issues and challenges they confront in theirprofessional life and work.

Marshall E. Purnell, FAIA, PresidentThe American Institute of ArchitectsMarch 2008

Foreword

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vi

The Architect’s Handbook of Professional Practice has been a definitive source of infor-mation about the business and administrative aspects of architecture practice sinceit was first published in 1920. Continuing this legacy, this 14th edition brings

together new and thoroughly revised material responsive to the needs of today’s archi-tects and building design professionals.

Since the release of the 13th edition in 2001, a number of significant changes andtrends in the practice environment have prompted the need for a new edition. Some ofthese changes are advances in digital technology, new and emerging approaches to proj-ect delivery, the adoption of new building codes, and the introduction of new andrevised AIA contract documents.

We were deeply honored when the Institute asked us to serve on the HandbookSteering Group to provide guidance and leadership for developing the 14th edition.This challenging yet exciting assignment involved a variety of tasks, which were carriedout individually and in meetings of the Steering Group with the AIA editorial staff atInstitute headquarters.

We began our work with a review of the findings from a survey of 8,000 Handbookusers conducted in December 2004, along with the results of several Handbook focusgroups. Armed with this important user feedback, we proceeded to carefully evaluate,topic by topic, the entire content of the 13th edition. To better understand the Hand-book’s history and development, we also reviewed earlier Handbooks, including thefirst edition.

Working closely with Handbook editorial staff, these efforts resulted in the iden-tification of new topics, topics to be revised, and recommendations for material to bedropped or replaced. The planning effort also included defining a framework for organ-izing the Handbook’s extensive body of information, which eventually resulted in itsfinal structure and table of contents.

During the content development phase, the Steering Group provided ongoinginput, advice, and suggestions. This included identifying prospective authors andreviewers, suggesting resources for specific practice subjects, reviewing selected mate-rial, and participating in preliminary marketing planning for the 14th edition.

We believe the many hours spent listening, reading, researching, and advising haveproduced an indispensable resource that will support the professional endeavors of botharchitects and their allied professionals. We sincerely hope that your copy of this edi-tion becomes as dog-eared over time as have our own copies of past editions. We’reconfident you will reach for this volume often as you confront the many decisionsrequired to develop and run a successful architecture practice.

Members of the Handbook Steering Group

James B. Atkins, FAIA, ChairGlenn W. Birx, AIAKaren L. W. Harris, AIADavid L. Hoffman, FAIAPeter Piven, FAIAJill M. Rothenberg, Assoc. AIARobert P. Smith, AIANorman Strong, FAIA, ex officio

Preface

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vii

The AIA is deeply indebted to all who participated in developing the 14th editionof the Handbook. Particular thanks go to contributing authors who prepared newmaterial, along with bringing subject matter up-to-date from the 13th edition.

The Institute also extends its appreciation to those who reviewed drafts and provideduseful suggestions for improving content.

Special acknowledgments go to Handbook Steering Group members for theirexpert guidance and advice throughout the Handbook’s planning and developmentstages. Jim Atkins, FAIA, who chaired the steering group, deserves special recognitionfor his leadership and for the extraordinary amount of time he devoted to working withAIA Handbook editorial staff throughout the project.

Notes of appreciation go to AIA staff members who assisted in a variety of ways.The AIA Documents Program staff, including Suzanne Harness, Esq., AIA, ManagingDirector; Kenneth Cobleigh, Esq., Senior Director & Associate Counsel; and MichaelBomba, Esq., Associate Counsel, provided numerous legal insights and ongoing infor-mation about the 2007 cycle of AIA documents, which were being developed concur-rently with the Handbook. Reviews of manuscripts by Jay Stephens, Esq., GeneralCounsel; Gregory Hancks, Esq., Associate General Counsel; and Terrence Canela,Esq., Associate General Counsel, are much appreciated, as is the ongoing support andguidance of Richard L. Hayes, AIA, Managing Director of Knowledge Resources.

A special thank-you goes to Pamela James Blumgart, the Handbook’s developmenteditor. Her knowledge of the Handbook’s subject matter was tapped throughout theeffort and her editing skills were well applied in turning mountains of draft material intofinal manuscripts. Notes of appreciation also go to Tracye McQuirter, Jody Curtis, andJanet Rumbarger for their assistance in editing and manuscript preparation, and also toJamie Shrestha for attending to detailed tasks to keep things running smoothly.

The efforts of AIA’s publishing partner John Wiley & Sons, Inc., are most appre-ciated. John Czarnecki, Assoc. AIA, Wiley’s architecture and design acquisitions editor,was always available to offer insight and advice on publishing matters, and editorialassistant Raheli Millman was extremely helpful in addressing numerous administrativedetails. Michael Olivo, Wiley production editor, was instrumental in keeping the bookon track during production.

On a personal note, I want to express my sincere thanks to each and every personwho contributed to the development of this edition. In addition to being a highlyrewarding experience, it was truly a privilege to work with such a distinguished anddedicated group of colleagues.

Joseph A. Demkin, AIAExecutive EditorThe American Institute of ArchitectsWashington, D.C.

Acknowledgments

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Handbook Steering GroupJames B. Atkins, FAIA, ChairGlenn W. Birx, AIAKaren L. W. Harris, AIADavid L. Hoffman, FAIAPeter Piven, FAIAJill M. Rothenberg, Assoc. AIARobert P. Smith, AIANorman Strong, FAIA, ex officio

Contributing AuthorsAva Abramowitz, Esq., Hon. AIAJames B. Atkins, FAIA*Phillip G. Bernstein, FAIA*Gordon B. Bingaman, AIAGlenn W. Birx, AIA*Brien Bowen*Christopher Bushnell, AIA*Ann CassoWilliam Charvat, FAIAEdith Cherry, FAIADavid S. Collins, FAIARichard B. Cook, FAIAKaren Courtney, AIA*Kenneth C. Crocco, FAIAPhilip R. Croessmann, Esq., AIARichard D. Crowell*Clark Davis, AIA*Michael Dell’Isola, PE*William Dexter*Laurie Dreyer-HadleyJames T. Dunn, CPA, Assoc. AIAKristine K. Fallon, FAIADebra Fiori *Ellen Flynn-HeapesPhillip H. Gerou, FAIA*Lowell V. Getz, CPA*Howard Goldberg, Esq.*Susan Greenwald, FAIADavid Greusel, AIADennis J. Hall, FAIA*Cara Shimkus Hall, Esq., AIAGregory Hancks, Esq., AIA*Suzanne Harness, Esq., AIA*Douglas C. Hartman, FAIAHugh HochbergDavid L. Hoffman, FAIA*Mark Johnson, FAIAJoseph H. Jones Jr., Esq., AIA*David F. Kinzer, III, CPASteven Kirk, FAIA

David Koren, Assoc. AIA*Eugene Kremer, FAIAPeggy LawlessMarsha Littell*Thom Lowther*Nadav Malin*Kathleen Maurel*Paul T. Mendelsohn*Elena Marcheso MorenoCliff S. Moser, AIAFrank Musica, Esq., Assoc. AIARobert Mutchler, FAIATawny Ryan Nelb*James J. O’Brien, Esq.Jack D. Patton, AIABradford Perkins, FAIAPeter Piven, FAIA*Brenda D. Richards, Hon. AIAJack RiegleTony Rinella, Assoc. AIA*William C. RoncoWilliam Roschen, AIAPatricia P. RosenzweigAndrea RutledgeAaron B. Schwartz, FAIAEvan H. Shu, FAIAKirsten Sibilia, Assoc. AIAHenry Siegel, FAIASoren D. Simenson, AIAGrant Armann Simpson, FAIA*Debra L. Smith, AIARobert P. Smith, AIA*Frank A. Stasiowski, FAIASteven G. M. Stein, Esq.Larry Strain, FAIATimothy R. Twomey, Esq., AIA*Suzanna Wight, AIA*Roger B. Williams, FAIAHoward L. Wolff*

ReviewersPeter Aaslestad, AIAHarold Adams, FAIAVicki Allums, Esq.Michael A. Alost, AIALee Askew, FAIAJames Bedrick, AIADouglas M. Brinkley, FAIAPaul Brosnahan, AIARobert Burnham, AIAJohn A. Burns, AIATerrence Canela, Esq.

viii Acknow l edgmen t s

Handbook Participants

* Also served as a reviewer

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Kathleen S. CartusLee Casaccio, AIAGregory Clement, FAIARandolph Collins, AIARaymond R. Crawford Jr.John N. Cryer, III, AIAMichael F. Czap, AIAVictoria David, AIABruce Dicker, FAIAEd Feiner, FAIAHollye C. Fisk, Esq., FAIAKevin J. Flynn, AIARolf FuesslerCynthia Gayton, Esq.Doug Gordon, Hon. AIATodd Gritch, FAIARonald P. Gronowski, AIANancy HadleyKaren L. W. Harris, AIASteinberg Harris, FAIAHelen Hatch, AIADavid J. Hatem, Esq.John Hayes, FAIAClay F. Hickerson, AIALance Hosey, AIARobert W. JohnsonLance Josal, AIADuane Kell, FAIALeevi Kiil, FAIAPeter Krajnak, AIALarry LeMaster, CPAFoster Lynn, AIAJud Marquardt, FAIAMuscoe Martin, AIARobert F. Mattox, FAIAMark C. McConnel, AIAThomas L. McKittrick, FAIAAndrew D. Mendelson, AIAJon Miller, AIAKurt M. Neubek, FAIAJill Olney

Karenlee OreoWendy Ornelas, FAIASteven L. Parshall, FAIANeil I. Payton, AIAMichael Perry, Hon. AIAKathryn T. Prigmore, FAIACarroll Lee Pruitt, FAIAJohn Pucetas, AIAStephen Quick, AIAMichael ReillyStephan Reinke, FAIAJames Robertson, AIAJill M. Rothenberg, Assoc. AIACatherine Roussel, AIASteven G. Shapiro, Esq.Roger B. Shluntz, FAIAChristopher G. Smith, FAIAJohn W. Sorce, AIAStephen R. Souter, FAIARay W. Spano, AIAPeter Steinbreuck, AIAJay Stephens, Esq.Michael Strogoff, AIAJoy Swallow, AIABart Trudeau, AIAJean ValenceSteven F. Weiss, FAIAR. Craig Williams, Esq., AIADan Williams, FAIA

AIA Project StaffRichard L. Hayes, AIAJoseph A. Demkin, AIAPamela James BlumgartJamila Shrestha

Wiley Project StaffJohn Czarnecki, Assoc. AIARaheli MillmanMichael Olivo

Acknow l edgmen t s ix

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The Handbook brings together information about the development and operationof architecture firms, and the delivery of building design services. This editionalso addresses various facets of professional life, along with how agreements for

professional services are developed and used. Current practice issues such as lifelonglearning and mentoring, ways of staying competitive, sustainable design, building infor-mation modeling, and the still-evolving concept of integrated practice are among thoseincorporated in this edition. Where appropriate, matters of concern to small firm prac-titioners are highlighted.

THE HANDBOOK AUDIENCE

Although written primarily for practicing architects, the 14th edition also is a usefulresource for those planning to enter the architecture profession and for those alliedwith it. Members of this community include the following:

• Architects with at least five years’ experience in traditional practice settings who areon career paths toward management or ownership positions in their firms

• Principals, associates, and experienced architects who wish to launch initiatives toenhance some aspect of their firm (e.g., firm identity, marketing, project delivery,leadership development, mentoring)

• Recently licensed architects seeking a deeper understanding about issues that designprofessionals cope with in their daily work

• Architects aspiring to start their own firms• Interns and students of architecture looking to increase their understanding of the

profession• Engineers, consultants, attorneys, contractors, and others allied with the design pro-

fession seeking information on working with architects• Building owners seeking information about architectural services

DIFFERENCES BETWEEN THE 13TH AND 14TH EDITIONS

About a third of the material in the 14th edition is entirely new, including ten topicsfrom Handbook Update volumes 2003 through 2006. All material carried forward fromthe 13th edition has been revised and thoroughly updated. In addition, all referencesto AIA documents have been aligned with the 2007 versions of those documents.

Organizationally, the 14th edition has four major parts: “The Profession,” “TheFirm,” “The Project,” and “Contracts and Agreements.” This structure replaces theparts of the 13th edition—”Client,” “Business,” “Delivery,” and “Services.” In the 14thedition, selected client-related topics and business subjects from the 13th edition areincluded in Part 2: “The Firm.” Selected subjects from the 13th edition’s “Delivery” and“Services” sections now appear in Part 3: “The Project.”

In addition to sample PDFs of all AIA contract documents, the CD-ROMs that accom-pany the 14th edition contain the complete Handbook text in a searchable format.

CONTENT OVERVIEW

Each section of the Handbook contains information about a component of practice:• Part 1: The Profession addresses the ethical, legal and regulatory aspects of archi-

tecture practice and discusses ways that architects can advance careers through

About the Handbook

x

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Abou t t h e Handbook xi

lifelong learning and mentoring. It also covers how professionals can contribute tocommunity, public, and educational initiatives.

• Part 2: The Firm includes subjects about starting, positioning, and managing archi-tecture firms. Guidance is given on such matters as developing strategic plans andfirm identity; forming and participating in alliances; conducting a global practice;getting work through effective marketing; building lasting client relationships;understanding human resource intricacies of recruiting, hiring, managing, andretaining staff; implementing and updating financial management systems; dealingwith risk; and developing and running administrative, computer technology, andinformation management functions.

• Part 3: The Project focuses on issues associated with defining the scope of proj-ect services; negotiating agreement for contracts, disputes, and related matters; andselecting and working with various options for project delivery. Related subjectsaddress processes associated with the delivery of core architectural services (e.g.,programming, design, construction documentation, construction procurement, con-struction contract administration, closeouts, etc.), quality and cost management forarchitectural projects, and building code fundamentals.

• Part 4: Contracts and Agreements brings together information about developingowner-architect and project team member agreements, understanding constructioncontracts, and working effectively with owner-generated agreements. This sectionalso overviews the AIA documents program, describing how it operates and themajor changes embodied in the 2007 documents cycle.

• Appendixes contain contact information for professional organizations associatedor allied with the design profession, state registration boards for architects, andaccredited schools of architecture. The appendix also includes reference copies ofAIA Documents A201 and B101, as well as a glossary of terms frequently encoun-tered in practice.

MAJOR HANDBOOK ELEMENTS

The topic is the basic unit of Handbook content. Each topic addresses a specific aspectof practice within a practice area designated by a chapter, and each chapter contains twoor more topics. For example, the chapter “Firm Development” contains topics on start-ing an architecture firm, firm legal structure, and strategic planning for the design firm,among others.

Some topics include backgrounders that elaborate on a portion or some aspect ofthe topic. For example, the topic “Recruiting and Hiring” contains backgrounders onstaffing alternatives and new employee orientation.

Most topics conclude with a “For More Information” section, which lists anddescribes relevant resources about the subject. These resources may include publica-tions as well as organizations.

NAVIGATIONAL FEATURES

The Handbook has multiple entry points. Topics can be read individually and in anyorder. The index, which contains key words and concepts, will help readers readily findspecific information. In addition, margin elements on the topic pages contain both nav-igational and informational features by

• Pointing to related Handbook topics and backgrounders• Summarizing relevant findings from the 2006 AIA firm survey• Highlighting key ideas in brief notes or comments• Reinforcing some aspect of the narrative with a quote

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HANDBOOK USES

The Handbook can be used for a wide variety of purposes. Architects and design pro-fessionals may wish to refer to information in the Handbook to

• Check on a specific practice principle, concept, or technique• Explain or clarify some aspect of project services to a client• Develop an effective project proposal• Select and use appropriate AIA contract documents• Implement a marketing or public relations initiative• Create or update the firm’s long-range business plan• Learn about risk and professional liability issues• Verify facts about professional liability and other insurance• Train staff members as leaders and managers• Inform team members about project assignments• Enhance project management abilities and skills• Upgrade or select a new financial management system• Develop job descriptions• Obtain guidance for starting a design firm• Understand the ethical and legal aspects of practice• Support professionals preparing for licensing exams• Set up and conduct a mentoring program• Find other sources of relevant practice information

THE HANDBOOK AND THE “STANDARD OF CARE”

Architects are expected to perform within the legal concept of the “standard of care,”which considers what reasonably prudent architects would do in the same communityat the same time, facing the same or similar circumstances. As a result, fixed or uniformstandards cannot be used to evaluate the performance of architects. Thus, the Hand-book does not contain absolute rules and procedures. Rather, it presents concepts, prin-ciples, techniques, and other fundamental information that together provide guidancefor the day-to-day needs of architects and other building design professionals.

xii Abou t t h e Handbook

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The day-to-day practice of architecture is

governed by an assortment of laws,

regulations, and ethical codes that define

the obligations of architects to the public,

their clients, and their peers. Other aspects

of professional life include professional

development and advancement achieved

through lifelong learning, involvement in

professional organizations, participation in

public and community service, and

mentoring of emerging professionals.

P A R T 1THE PROFESSION


1.1 Ethics and Professional Conduct

Phillip H. Gerou, FAIA

Architects are confronted daily with moral choices, competing loyalties, and ethi-cal dilemmas. Although such situations can be ambiguous or paradoxical, basictenets held in common by the profession can help architects determine how torespond to them.

The need to articulate and advocate ethical standards has never been more critical.Concern about professional ethics, while not a recent development, has certainlybecome more conspicuous in recent years. This visibility has led to extensive

inquiries into the sources, development, interpretation, and enforcement of ethicalcodes. Principles guiding professional conduct are based on the core values held bythat profession. These core values originate in legal definitions, social mores, moralcodes, and common business practices.

Legal systems are based on historical precedent and commonly accepted socialinteractions between individuals or legal entities. The rights of individuals are pro-tected by mutual acceptance of this legal structure. Contractual and other legal respon-sibilities and their consequences are generally well defined in law and in writtenagreements. But when these responsibilities and their consequences are specific to aprofession, they may prove difficult to legally enforce.

There are many social conventions, moral beliefs, and ethical dilemmas that arenot legislated or enforced by any regulatory agency. These may include widely acceptedvalues but are not part of our legal system because they lack consensus or representconflicting opinions. These values are often defined by religious doctrine, corporatepolicies, or societal rules. While morality describes behavior that is generally accepted

Professional Life

Phillip H. Gerou is a former director and vice president of the American Institute of Archi-tects and served six years as a member and chairman of the AIA National Ethics Council.

C H A P T E R 1

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as either correct or incorrect, ethical situations often present dilemmas in which equallyrelevant positions compete.

Ethics is traditionally defined as the rules or standards for moral behavior. Oftenthe terms morality and ethics are used interchangeably, and to many there is no distinc-tion between the two. The definition of ethics has also evolved to express a set of val-ues held by a unique and finite group of individuals, such as a corporation, legislature,industry, or profession. Ethical codes are based on common values and moral laws suchas religious doctrine, social conventions, secular beliefs, and traditional philosophies;they may even incorporate the values of courtesy, civility, mutual respect, or equality.Ethical standards for doctors or priests are different in their details from those of archi-tects or engineers, although the core beliefs and the moral guidelines on which they arefounded may be nearly identical. The distinction in ethical standards depends on thespecific practices of a particular group.

Ethics also define fairness and equity and quite often relate to issues in which twoparties may hold opposing but equally valid points of view or an individual may be tornbetween two compelling positions. For example, an individual may find that speaking thetruth could breach a confidence, someone’s dedication to a friendship might result ininjury to others if an obligation to protect the public is ignored, or a client’s goals couldbe at odds with protection of the environment. In certain situations, ethical standardsmay take precedence over other important standards. For example, life safety issues areusually perceived as a primary concern in comparison to, for example, obligations toemployers. Although a solution that positively addresses each competing issue is pre-ferred, occasionally a choice is necessary. Ethical codes address such situations, but it isoften left to an informed and impartial observer to make the final judgment.

ETHICAL STANDARDS FOR ARCHITECTS

In the United States, there are two widely used standards of conduct for architects. In1977 the National Council of Architectural Registration Boards (NCARB) issued a setof model rules of conduct for use by its member boards. NCARB rules are guided bycertain core values as they pertain to the protection of the life, safety, and welfare of thepublic, issues to which architects are legally bound by individual state licensure laws.NCARB’s rules of conduct have been adopted, with modifications, by various NCARBmember boards as part of the licensing regulations that apply to individual architects.

The American Institute of Architects (AIA) has established a Code of Ethics andProfessional Conduct. This code addresses life safety and public welfare issues, andalso includes rules of conduct that deal with professional interactions between archi-tects and their colleagues and their clients. Members of the AIA are also held account-able by the code for such broad issues as seeking aesthetic excellence and respectingthe environment.

The first AIA ethical code was established in 1909. By today’s standards, some of theoriginal principles seem out-of-date. Under the original code, design-build was a for-bidden practice and paid advertising by architects was not allowed. The code also pro-hibited architects from competing on the basis of fees or entering design competitionsthat were not in keeping with Institute principles. These restrictions were derived morefrom the common business practices of the day than universal core values or widelyaccepted moral principles.

By the late 1970s, the AIA code of ethics had been significantly amended. Design-build became an accepted approach to project delivery, and advertising was no longerthe anathema it had been. By 1972 the U.S. Justice Department had determined thatthe 1890 Sherman Antitrust Act demanded that architects be allowed to compete on thebasis of fees and that not doing so constituted an unreasonable restraint of trade. In a1978 case involving the National Society of Professional Engineers, the Supreme Courtruled that unfettered competition was essential to the health of a free-market econ-omy, and the only lawful way competition could be constrained was through state or

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federal legislation. In its opinion, the court dismissed arguments stressing the possiblenegative effects of fee competition on the health, safety, and welfare of the public.

In 1977, an architect sued the Institute for civil damages when his AIA membershipwas suspended for violating the AIA code of ethics by supplanting another architect ona project. Although the violation was not disputed, in 1978 a federal district court ruledthat enforcement of this particular rule in the code violated federal antitrust laws andthe accused architect was awarded substantial monetary damages.

In response to these rulings, in 1980 the AIA suspended its code of ethics. The fol-lowing year a statement of ethical principles was established as a guideline for the vol-untary conduct of members. Recognizing a need for mandatory professional guidelines,the AIA Board of Directors subsequently appointed a task force to propose a substituteCode of Ethics and Professional Conduct. In 1986 the membership adopted the newcode at the AIA National Convention. Since that time, minor revisions have been madeto keep pace with current technologies, economic realities, and changing social demands.

AIA Code of Ethics and Professional Conduct

The current AIA Code of Ethics and Professional Conductdefines in detail the obligations of AIA members. The codeis organized into five canons that describe broad principlesof conduct: general obligations, obligations to the public,obligations to the client, obligations to the profession, andobligations to colleagues.

Each canon is defined by a number of ethical standards.These standards provide more defined goals, which mem-bers should aspire to in their professional performance andbehavior. Individual ethical standards incorporate specificrules of conduct that are mandatory and enforceable. Vio-lation of a rule by an AIA member may be grounds for dis-ciplinary action by the Institute. Commentary, which isoffered to clarify or elaborate the intent of the rule, is pro-vided for some of the rules of conduct.

The code applies to the professional activities of allAIA members regardless of their membership categoryand is enforced by the AIA National Ethics Council.Only AIA members are obligated to comply with thesestandards.

AIA National Ethics Council

The National Ethics Council (NEC) is made up of sevenAIA members selected and appointed according to specific credentials. Each of theseven members represents a diverse constituency. They come from various regionsof the country and different types of practice and professional backgrounds, andthey are representative of the general membership based on diverse demographiccriteria. Prospective NEC members are recommended to the AIA Board of Direc-tors, which makes the final decision and appointment. Appointments are for a three-year term, although members of the NEC may be, and usually are, reappointed fora second three-year term. An NEC member may not serve more than two consec-utive full terms.

The full ethics council meets three times per year to hear and consider complaints.The particulars of each case, along with a recommendation for resolving it, are pre-sented to the NEC by one of its members who serves as a hearing officer. This indi-vidual is then excused while the remaining NEC members consider the report andrecommendation and ultimately decide whether to accept, reject, or modify the hear-ing officer’s recommendation or to return the case for rehearing.

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PROFESSIONAL ASPIRATIONS VS.ETHICAL CONDUCT

Some ethical situations are not regulated by the AIACode of Ethics and Professional Conduct. For exam-ple, the profession of architecture as a whole mayaspire to contribute to the preservation of historicaland cultural resources by helping to develop appropri-ate building codes or formulating aesthetic guidelines.Nonetheless, some architects are more suited to suchtasks than others; for instance, participation in thiseffort may not be a reasonable requirement for an AIAmember whose expertise lies in financial managementor graphic design. Similarly, it is not a requirementthat all AIA members provide pro bono services, assome may choose to support causes or organizationsby other means. A code of ethics cannot embraceevery aspiration of a profession. Rather, it must exhibitrestraint in defining actions to which all members mayreasonably submit.


The principal responsibility of the NEC as defined by the AIA Bylaws isenforcement of the AIA Code of Ethics and Professional Conduct. However, theNEC also provides guidelines to the public and within the Institute on a variety ofprofessional topics. In addition, the NEC presents programs at the AIA NationalConvention, to AIA components, and to schools of architecture throughout thecountry.

AIA NATIONAL ETHICS COUNCIL RULES OF PROCEDURE

Local AIA components manage ethical situations in a variety of ways. Some compo-nents provide advice and mediation for ethical violations through experienced membersor established committees, while others simply refer local inquiries to the nationalorganization. The general counsel’s office at the national component is available toanswer technical questions concerning the AIA Code of Ethics and Professional Con-duct and can provide other information to members and nonmembers.

The AIA National Ethics Council has established strict rules of procedure forconsidering ethics cases. If it is believed that a member has violated the code of ethics,anyone—a member or nonmember of the AIA—may initiate a formal complaint. Theprocess followed by the NEC is as follows.

Filing a Complaint

A formal, written complaint may be filed with the AIA general counsel following a well-defined procedure. Complaints must be filed within one year of the date when the com-plainant becomes aware of the alleged infraction. Once a complaint has been filed, theAIA general counsel’s office informs the accused AIA member of the complaint andrequests a written response.

Initial Chair Review

The complaint, any response, and any other documents provided by either party aresent to the chair of the NEC for review. If the chair, in consultation with the AIA gen-eral counsel, determines that the complainant’s allegations would sustain a violation ofthe Code of Ethics if proven true, the case is assigned to a hearing officer. If the chairdetermines that no violation of the code would exist even if all the complainant’s accu-sations were verified, the chair may dismiss the case. Any case that is currently beinglitigated or is under consideration by a regulatory authority will be deferred until afterresolution of the legal action.

Assignment of Hearing Officer

If the chair determines the case should be heard, a hearing officer is assigned fromamong the current NEC members. Personal knowledge of the AIA member or otherparty or of the case involved, geographic proximity to the case, or professional back-ground may be grounds for recusal. Once a case has been assigned to a hearing offi-cer, the officer reviews the case to confirm its viability. Although it rarely happens,the hearing officer may recommend dismissal if the facts of the case indicate no vio-lation occurred or it was de minimis. Normally, however, the hearing officer will agreewith the findings of the chair and will inform the general counsel that the case shouldproceed.

Pre-Hearing Conference

A pre-hearing conference call is arranged with the complainant and the respondentto discuss the issues and the possibility of a resolution. If no resolution resultsfrom this call, the hearing officer will determine the location and timing for ahearing.


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Ethics complaints against AIAmembers should be addressed to:Chair, National Ethics CouncilThe American Institute of Architects1735 New York Avenue NWWashington, DC 20006


The Hearing

At the hearing, the parties may represent themselves or be represented by legal coun-sel. The complainant will state the basis for the claim and reference specific rule infrac-tions. The respondent is allowed to present testimony and additional factual evidence,but may not introduce documentation not previously disclosed. Witnesses are allowedto testify. The entire procedure is usually concluded in one day.

Repor t, Recommendation, and Decision

The hearing officer, in conjunction with the AIA general counsel, prepares findings of factin the case and determines a course of action. If no violation is found, the case is dis-missed and the parties notified. If the respondent is found to have violated the code, thehearing officer recommends one of four levels of penalty: admonition (private sanction),censure (public sanction), suspension of membership, or termination of membership. Awritten and oral report is then made to the NEC at its next scheduled meeting. The NECthen votes to uphold or amend the recommendations without the hearing officer pres-ent. Extenuating circumstances, such as the respondent’s acknowledgment of responsi-bility or a unique situation, may have a mitigating effect on the hearing officer’s reportor the NEC’s deliberations. The NEC’s final written determination is sent to each party.

Penalty and Notification

The penalties available to the NEC are as follows:

• Admonition (private). A letter of the ruling is sent to the parties involved and kept inthe respondent’s membership file.

• Censure (public). A letter is sent and notification of the case and ruling is publishedto the AIA membership.

• Suspension of membership. The respondent’s membership is suspended for a period oftime, usually one or two years, and the ruling is published.

• Termination of membership. The respondent’s membership is terminated and the rul-ing is published.

Appeal of Decision

The respondent may appeal the NEC’s decision to the AIA Executive Committee,whose subsequent ruling is final except in cases in which termination of membershipis the penalty. Those cases are automatically appealed to the AIA Board of Directors.

COMMON ETHICS VIOLATIONS

Although the AIA Code of Ethics and Professional Conduct regulates a wide range ofprofessional activities, several issues generate the majority of complaints. These includethe following:

• Attribution of credit (i.e., stating or giving proper credit for project involvement)• Accurate representation of qualifications• Attainment and provision of examples of work• Basic honesty

The predominant reason these four issues continually resurface is that each has an iden-tifiable injured party—an angry colleague or an upset client—who is intent on seeing jus-tice served. Also, even if the alleged infraction does not have legal or contractualconsequences, it may still comprise an ethical breach. More serious issues, such as misap-propriation of a client’s or partner’s funds, tend to be presented to the NEC less frequently.If a member knowingly violates the law (Rule 2.101) or displays discrimination (Rule 1.401),for instance, other forums with more severe remedies are available to the offended party.

To offer some guidance on issues commonly presented to the NEC, the followingdetailed illustrations are offered.


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Attribution of Credit

Architecture is a profession in which design capability and originality is prized. Intel-lectual property is the most common proof of worth in terms of talent and experience.However, the collaborative nature of contemporary practice sometimes obscures theindividual contributions of each team participant. The more complex the project andthe more prolonged the design and construction process, the more individuals may layvalid claim to credit for some part of the work.

The most frequent violation of the code of ethics is improperly taking or not giv-ing appropriate credit and recognition. The NEC recognizes that these infractions arefrequently due to an incomplete understanding of the ethical standards and rules of conduct that direct members in this area. The following ethical standards apply tothis issue:

Ethical Standard 4.2, Dignity and Integrity: Members should strive, throughtheir actions, to promote the dignity and integrity of the profession, and to ensurethat their representatives and employees conform their conduct to this Code.Ethical Standard 5.3, Professional Recognition: Members should build their pro-fessional reputation on the merits of their own service and performance and shouldrecognize and give credit to others for the professional work they have performed.

The rules associated with these standards mandate the required professional conduct:

Rule 4.201: Members shall not make misleading, deceptive, or false statements orclaims about their professional qualifications, experience, or performance and shallaccurately state the scope and nature of their responsibilities in connection withwork for which they are claiming credit.Rule 5.301: Members shall recognize and respect the professional contributions oftheir employees, employers, professional colleagues, and business associates.

Based on these standards and rules, the NEC has adopted guidelines to help AIAmembers determine how to handle this concern, although individual cases may presentcircumstances not explicitly covered. These guidelines are recommended for applica-tion to any oral, written, or graphic representation of an architect’s work, whether it wasdeveloped for use in a public or private presentation.

Following are the AIA “Guidelines for the Attribution of Credit” (also publishedon the AIA Web site) that should be considered when making representations of anarchitect’s work:

• An architectural project, built or unbuilt, involves any of the services provided by orunder the direction of an architect.

• In analyzing attribution-of-credit issues, the National Ethics Council typically viewsthe Architect-of-Record as the legal entity that has contracted for and completed thework in question. [The entity] can be a corporation, partnership, or individual archi-tect. If the Architect-of-Record takes credit for a project, there is no further needto define the role or state “Architect-of-Record.” Unless specific attribution is noted,it is assumed the Architect-of-Record is making a representation of completeresponsibility for a project, including the design, production of construction docu-ments, and construction observation.

• A Member taking credit for a project or a specific role on a project other than as theArchitect-of-Record must clearly define that role. In addition to the Member’s spe-cific role, the Architect-of-Record must be acknowledged.

• It is not necessary to present a complete or exhaustive list of all the team participants.The acknowledgment of major team participants is recommended.

• Designation of the Member’s role and/or the Architect-of-Record must be obvious,plainly visible, and legible at the anticipated viewing distance. The reference textshould be no less obvious than the text used to describe the project. The description


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must be specific enough to make clear the services the Member rendered on thisproject. In the instance of a mailer/postcard that shows only an image of a project onthe front, it is necessary to give the appropriate credit on the other side. The Mem-ber shall not overstate, actually or implicitly, his/her involvement in a project.

• If attribution of credit is not previously defined in a written agreement, and to avoidpotential conflict, it is recommended that Members open a dialogue between allconcerned parties prior to making any representations.

Accurate Representation of Qualifications

It is human nature and good business practice to present professional qualificationsin the best light. However, overstatement, even if well-intentioned, can lead to unre-alistic expectations on the part of the client or other project participants and thus tosubsequent owner dissatisfaction. The architect-of-record must ultimately be respon-sible for complying with laws and codes as well as with other commitments, such asthe project budget, a client’s goals, a building’s function, or environmental standards.

Rule 1.101: In practicing architecture, Members shall demonstrate a consistent pat-tern of reasonable care and competence, and shall apply the technical knowledge andskill which is ordinarily applied by architects of good standing practicing in the samelocality.Rule 3.102: Members shall undertake to perform professional services only whenthey, together with those whom they may engage as consultants, are qualified byeducation, training, or experience in the specific technical areas involved.

As an architecture firm evolves, its expertise may become somewhat different fromthat stated in promotional materials or in a previous statement of qualifications. Mem-bers are obliged to always ensure that the expertise and resources presented matchthose that are currently available.

Professionals are often compelled to make commitments regarding time, cost, orresults based more on the urgency of the moment than on rational evaluation. Toooften, architects make changes that affect the scope or budget of a project without pre-senting viable options or possible ramifications of the proposed changes. Architectsmay also feel pressure to articulate results by describing the final product of the workin terms that naturally speak well of the process and the architect’s capabilities to attainthose results. Great care and restraint should be taken in clarifying expectations relat-ing to budget, building function, quality of materials, and other anticipated results ofthe design process. Project and individual responsibilities should be clearly definedcontractually and verbally. Revisiting the following statements of obligation periodicallythroughout the life of a project is beneficial:

Rule 3.103: Members shall not materially alter the scope or objectives of a proj-ect without the client’s consent.Rule 3.301: Members shall not intentionally or recklessly mislead existing orprospective clients about the results that can be achieved through the use of theMember’s services, nor shall the Members state that they can achieve results bymeans that violate applicable law or this Code.

Helping the client reach realistic expectations is important. The medical professioncharacterizes this as informed consent, where a patient must be informed of a situationto the level of understanding that allows an informed decision. Clients in every pro-fession deserve the same consideration.

Attainment and Provision of Samples of Work

In light of current technologies and the variety of roles that architects perform, defin-ing an architect’s work is increasingly difficult. For example, should an architect who


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predominantly created or adapted computer software or developed unique technicaldetails be given copies of that work upon leaving a firm? How can the rights of the firmand of the employee be protected? Ethical Standard 5.3 pertaining to professionalrecognition provides a framework for guidance (see above). The specific rules that applyto this question are these:

Rule 5.302: Members leaving a firm shall not, without the permission of theiremployer or partner, take designs, drawings, data, reports, notes, or other materi-als relating to the firm’s work, whether or not performed by the Member.Rule 5.303: A Member shall not unreasonably withhold permission from a departingemployee or partner to take copies of designs, drawings, data, reports, notes, or othermaterials relating to work performed by the employee or partner that are not confi-dential.

In addition, the code provides the following commentary: “A Member may imposereasonable conditions, such as the payment of copying costs, on the right of departingpersons to take copies of their work.”

The best advice is that the question of whether and how copies of work will begranted to an employee should be discussed before an employee decides to leave a firmor at least during the departure process. This discussion may help mitigate an awk-ward, emotional, or volatile termination process. A departing employee should expectto receive reasonable examples of work; the employer is not obligated to make the entirevolume of work produced by the employee available. Theintent is to allow the employee a reasonable opportunityto present qualifications to future employers or potentialclients. It is equally important for the firm to retain pro-prietary or confidential materials and the work products itrightfully owns, such as renderings, photography, or pro-prietary software. The AIA has published a Best Practicesarticle titled “Personal Use of Documents: A Sample FirmPolicy” to help firms establish policies for the ethical use ofdocuments during and after employment.

THE FUTURE

Defining professional ethics for the architecture professionwill remain the duty of the American Institute of Architectsand its National Ethics Council. As they have in the past, theAIA Board of Directors and NEC will periodically reevalu-ate the Code of Ethics and Professional Conduct based onthe profession’s core values while responding to societal pres-sures, changing business practices, advancing technologies,and lessons learned from the results of future litigation.

For More InformationThe AIA Web site at www.aia.org/about_ethics providescurrent information and resources. The process for filinga complaint is described. Also posted are the NEC’s previ-ous decisions and advisory opinions, the rules of procedure,the AIA Code of Ethics and Professional Conduct, guide-lines for attribution of credit, and answers to frequentlyasked questions. Specific questions may be directed to theOffice of the General Counsel at (202) 626-7311. Mem-bers of the AIA National Ethics Council may be availableto offer programs, which include case studies, at AIAnational and local events.


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COMPETING VALUES

It seems simple enough to be honest, but even well-meaning professionals from time to time are presentedwith competing obligations, such as family responsibili-ties or religious convictions. For example, employeesmay decide to work outside the office to build a clientbase, take advantage of opportunities to demonstratedesign talent, or simply make money. In doing so, theymay unwittingly expose the firm to liability and may com-promise their own ability to perform adequately for thecompensation they are receiving. Or, an employee mayuse the firm's software for personal use, believing that noharm is done by making a copy of it. Architects havecertainly lied, stolen, defrauded, or taken advantage ofa situation. Sometimes the individual is well-intentioned,sometimes not, but almost always he or she feels justifiedin his or her actions.

Architecture is a profession replete with competing values. Within every project are decisions to be madeabout quality of materials versus budget constraints,owner-prescribed requirements versus building codes orarchitectural review committees, and confidentiality ver-sus truthfulness. Resolving these conflicts does not requiredecisions about right and wrong, but rather decisions toresolve situations in which competing principles areequally correct but may be mutually exclusive.


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B A C K G R O U N D E R

THE AMERICAN INSTITUTEOF ARCHITECTS

F R O M T H E O F F I C E O F G E N E R A L C O U N S E L

2004 Code of Ethics& Professional ConductPreambleMembers of The American Institute of Architects are dedicated to the highest standards of professionalism, integrity, and competence. This Code of Ethics and Professional Conduct states guidelines for the conduct of Members in fulfilling those obligations. The Code is arranged in three tiers of statements: Canons, Ethical Standards, and Rules of Conduct:

Canons are broad principles of conduct. Ethical Standards (E.S.) are more specific goals toward which Members should aspire in professional performance and behavior. Rules of Conduct (Rule) are mandatory; violation of a Rule is grounds for disciplinary action by the Institute. Rules of Conduct, in some instances, implement more than one Canon or Ethical Standard.

The Code applies to the professional activities of all classes of Members, wherever they occur. It addresses responsibilities to the public, which the profession serves and enriches; to the clientsand users of architecture and in the building industries, who help to shape the built environment; and to the art and science of architecture, that continuum of knowledge and creation which is the heritage and legacy of the profession.

Commentary is provided for some of the Rules of Conduct. That commentary is meant to clarify or elaborate the intent of the rule. The commentary is not part of the Code. Enforcement will bedetermined by application of the Rules of Conduct alone; the commentary will assist those seeking to conform their conduct to the Code and those charged with its enforcement.

Statement in Compliance With Antitrust LawThe following practices are not, in themselves, unethical,unprofessional, or contrary to any policy of The American Institute of Architects or any of its components:

(1)submitting, at any time, competitive bids or price quotations, including in circumstances where price is the sole or principal consideration in the selection of an architect;

(2)providing discounts; or (3)providing free services.

Individual architects or architecture firms, acting alone and not on behalf of the Institute or any of its components, are free to decide for themselves whether or not to engage in any of these practices. Antitrust law permits the Institute, its components, or Members to advocate legislative or other government policies or actions relating to these practices. Finally, architects should continue to consult with state laws or regulations governing the practice ofarchitecture.

CANON I

General Obligations

Members should maintain and advance their knowledge of the art and science of architecture, respect the body of architectural accomplishment, contribute to its growth, thoughtfully consider the social and environmental impact of their professional activities, and exercise learned and uncompromised professional judgment.

E.S. 1.1 Knowledge and Skill: Members should strive to improve their professional knowledge and skill.

Rule In practicing architecture, 1.101 Members shall demonstrate a

consistent pattern of reasonable care and competence, and shall apply the technical knowledge and skill which is ordinarily applied by architects of good standing practicing in the same locality.

Commentary: By requiring a "consistent pattern" of adherence to the common law standard of competence, this rule allows for discipline of a Member who more than infrequently does not achieve that standard. Isolated instances of minor lapses would not provide the basis for discipline.

E.S. 1.2 Standards of Excellence: Members should continually seek to raise the standards of aesthetic excellence, architectural

education, research, training, and practice.

E.S. 1.3 Natural and Cultural Heritage: Members should respect and help conserve their natural and cultural heritage while striving to improve the environment and the quality of life within it.

E.S. 1.4 Human Rights: Members should uphold human rights in all their professional endeavors.

Rule Members shall not discriminate in 1.401 their professional activities on the

basis of race, religion, gender, national origin, age, disability, or sexual orientation.



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2 0 0 4 C O D E O F E T H I C S A N D P R O F E S S I O N A L C O N D U C T

E.S. 1.5 Allied Arts & Industries: Members should promote allied arts and contribute to the knowledge and capability of the building industries as a whole.

CANON II

Obligations to the Public

Members should embrace the spirit and letter of the law governing theirprofessional affairs and should promote and serve the public interest in their personal and professional activities.

E.S. 2.1 Conduct: Members should uphold the law in the conduct of their professional activities.

Rule Members shall not, in the conduct2.101 of their professional practice,

knowingly violate the law. Commentary: The violation of any law, local, state or federal, occurring in the conduct of a Member's professional practice, is made the basis for discipline by this rule. This includes the federal Copyright Act, which prohibits copying architectural works without the permission of the copyright owner: Allegations of violations of this rule must be based on an independent finding of a violation of the law by a court of competent jurisdiction or an administrative or regulatory body.

Rule Members shall neither offer nor 2.102 make any payment or gift to a

public official with the intent of influencing the official's judgment in connection with an existing or prospective project in which the Members are interested.

Commentary: This rule does not prohibit campaign contributions made in conformity with applicable campaign financing laws.

Rule Members serving in a public 2.103 capacity shall not accept

payments or gifts which are intended to influence their judgment.

Rule Members shall not engage in 2.104 conduct involving fraud or

wanton disregard of the rights of others.

Commentary: This rule addresses serious misconduct whether or not related to a Member's professional practice. When an

alleged violation of this rule is based on a violation of a law, or of fraud, then itsproof must be based on an independent finding of a violation of the law or a finding of fraud by a court of competent jurisdiction or an administrative or regulatory body.

Rule If, in the course of their work 2.105 on a project, the Members’

become aware of a decision taken by their employer or client which violates any law or regulation and which will, in the Members’judgment, materially affect adversely the safety to the public of the finished project, the Members shall: (a) advise their employer or client against the decision, (b) refuse to consent to the decision, and (c) report the decision to the local building inspector or other public official charged with the enforcement of the applicable laws and regulations, unless the Members are able to cause the matter to be satisfactorily resolved by other means.

Commentary: This rule extends only to violations of the building laws that threaten the public sa fety. The obligation under this rule applies only to the safety of the finished project, an obligation coextensive with the usual undertaking of an architect.

Rule Members shall not counsel or 2.106 assist a client in conduct that the

architect knows, or reasonably should know, is fraudulent or illegal.

E.S. 2.2 Public Interest Services: Members should render public interest professional services and encourage their employees to render such services.

E.S. 2.3 Civic Responsibility: Members should be involved in civic activities as citizens and professionals, and should strive to improve public appreciation and understanding of architecture and the functions and responsibilities of architects.

Rule Members making public 2.301 statements on architectural issues

shall disclose when they are being compensated for making such statements or when they have an economic interest in the issue.

CANON III

Obligations to the Client

Members should serve their clients competently and in a professional manner, and should exercise unprejudiced and unbiased judgment when performing all professional services.

E.S. 3.1 Competence: Members should serve their clients in a timely and competent manner.

Rule In performing professional 3.101 services, Members shall take into

account applicable laws and regulations. Members may rely on the advice of other qualified persons as to the intent and meaning of such regulations.

Rule Members shall undertake to 3.102 perform professional services

only when they, together with those whom they may engage as consultants, are qualified by education, training, or experience in the specific technical areas involved.

Commentary: This rule is meant to ensure that Members not undertake projects that are beyond their professional capacity. Members venturing into areas that require expertise they do not possess may obtain that expertise by additional education, training, or through the retention of consultants with the necessary expertise.

Rule Members shall not materially 3.103 alter the scope or objectives of a

project without the client's consent.

E.S. 3.2 Conflict of Interest: Members should avoid conflicts of interest in their professional practices and fully disclose all unavoidable conflicts as they arise.

(continued)



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Rule A Member shall not render 3.201 professional services if the

Member’s professional judgment could be affected by responsibilities to another project or person, or by the Member’s own interests, unless all those who rely on the Member’s judgment consent after full disclosure.

Commentary: This rule is intended to embrace the full range of situations that may present a Member with a conflict between his interests or responsibilities and the interest of others. Those who are entitled to disclosure may include a client, owner, employer, contractor, or others who rely on or are affected by the Member’s professional decisions. A Member who cannot appropriately communicate about a conflict directly with an affected person must take steps to ensure that disclosure is made by othermeans.

Rule When acting by agreement of the 3.202 parties as the independent

interpreter of building contract documents and the judge of contract performance, Members shall render decisions impartially.

Commentary: This rule applies when the Member, though paid by the owner and owing the owner loyalty, is nonetheless required to act with impartiality in fulfilling the architect’s professional responsibilities.

E.S. 3.3 Candor and Truthfulness: Members should be candid and truthful in their professional communications and keep their clients reasonably informed about the clients’ projects.

Rule Members shall not intentionally 3.301 or recklessly mislead existing or

prospective clients about the results that can be achieved through the use of the Members’ services, nor shall the Members state that they can achieve results by means that violate applicable law or this Code.

Commentary: This rule is meant to preclude dishonest, reckless, or illegal representations by a Member either in the course of soliciting a client or during performance.

E.S. 3.4 Confidentiality: Members shouldsafeguard the trust placed in them by their clients.

Rule Members shall not knowingly 3.401 disclose information that would

adversely affect their client or that they have been asked to maintain in confidence, except as other wise allowed or required by this Code or applicable law.

Commentary: To encourage the full and open exchange of information necessary for a successful professional relation- ship, Members must recognize and respect the sensitive nature of confidential client communications. Because the law does not recognize an architect -client privilege, however, the rule permits a Member to reveal a confidence when a failure to do so would be unlawful or contrary to another ethical duty imposed by this Code.

CANON IV

Obligations to the Profession

Members should uphold the integrity and

dignity of the profession.

E.S. 4.1 Honesty and Fairness: Members should pursue their professional activities with honesty and fairness.

Rule Members having substantial 4.101 information which leads to

a reasonable belief that another Member has committed a violation of this Code whichraises a serious question as to that Member’s honesty, trustworthiness, or fitness as a Member, shall file a complaint with the National Ethics Council.

Commentary: Often, only an architect can recognize that the behavior of another architect poses a serious question as to that other’s professional integrity. In those circumstances, the duty to the professional’s calling requires that a complaint be filed. In most jurisdictions, a complaint that invokes professional standards is protected from a libel or slander action if the complaint was made in good faith. If in doubt, a Member should seek counsel before reporting on another under this rule.

Rule Members shall not sign or seal 4.102 drawings, specifications, reports,

or other professional work for which they do not have responsible control.

Commentary: Responsible control means the degree of knowledge and supervisionordinarily required by the professional standard of care. With respect to the work of licensed consultants, Members may sign or seal such work if they have reviewed it, coordinated its preparation, or intend to be responsible for its adequacy.

Rule Members speaking in their 4.103 professional capacity shall not

knowingly make false statements of material fact.

Commentary: This rule applies to statements in all professional contexts, including applications for licensure and AIA membership.

E.S. 4.2 Dignity and Integrity: Members should strive, through their actions, to promote the dignity and integrity of the profession, and to ensure that their representatives and employees conform their conduct to this Code.

Rule Members shall not make 4.201 misleading, deceptive, or false

statements or claims about their professional qualifications, experience, or performance and shall accurately state the scope and nature of their responsibilities in connection with work for which they are claiming credit.

Commentary: This rule is meant to prevent Members from claiming or implying credit for work which they did not do, misleading others, and denying other participants in a project their proper share of credit.

Rule Members shall make reasonable 4.202 efforts to ensure that those over

whom they have supervisory authority conform their conduct to this Code.

Commentary: What constitutes “reasonable efforts” under this rule is a common sense matter. As it makes sense to ensure that those over whom the architect exercises supervision be made generally aware of the Code, it can also make sense to bring a particular provision to the attention of a particular employee when a situation is present which might give rise to violation.



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CANON V

Obligations to Colleagues

Members should respect the rights and ac- knowledge the professional aspirations and contributions of their colleagues.

E.S. 5.1 Professional Environment: Members should provide their associates and emp loyees with a suitable working environment, compensate them fairly, and facilitate their professional development.

E.S. 5.2 Intern and Professional Development: Members should recognize and fulfill their obligation to nurture fellow professionals as they progress through all stages of their career, beginning with professional education in the academy, progressing through internship and continuing throughout their career.

E.S. 5.3 Professional Recognition: Members should build their professional reputation on themerits of their own service andperformance and should recognize and give credit to others for the professional work they have performed.

Rule Members shall recognize and 5.301 respect the professional

contributions of their employees, employers, professionalcolleagues, and businessassociates.

Rule Members leaving a firm shall not, 5.302 without the permission of their

employer or partner, take designs, drawings, data, reports, notes, or other materials relating to the firm’s work, whether or notperformed by the Member.

Rule A Member shall not unreasonably 5.303 withhold permission from a

departing employee or partner to take copies of designs, drawings,data, reports, notes, or other materials relating to work performed by the employee or partner that are not confidential.

Commentary: A Member may impose reasonable conditions, such as the payment of copying costs, on the right of departing persons to take copies of their work.

RULES OF APPLICATION, ENFORCEMENT, AND AMENDMENT

ApplicationThe Code of Ethics and Professional Conduct applies to the professional activities of all members of the AIA.

EnforcementThe Bylaws of the Institute state procedures for the enforcement of the Codeof Ethics and Professional Conduct. Suchprocedures provide that:

(1) Enforcement of the Code isadministered through a National Ethics Council, appointed by the AIA Board of Directors.

(2) Formal charges are filed directly with the National Ethics Council by Members, components, or anyone directly aggrieved by the conduct of the Members.

(3) Penalties that may be imposed by the National Ethics Council are:

(a) Admonition(b) Censure(c) Suspension of membership for a

period of time (d) Termination of membership

(4) Appeal procedures are available.

(5) All proceedings are confidential, as is the imposition of an admonishment; however, all other penalties shall be made public.

Enforcement of Rules 4.101 and 4.202 refer to and support enforcement of other Rules.A violation of Rules 4.101 or 4.202 cannot be established without proof of a pertinent violation of at least one other Rule.

AmendmentThe Code of Ethics and Professional Conduct may be amended by the convention of the Institute under the same procedures as are necessary to amend the Institute’s Bylaws. The Code may also be amended by the AIA Board of Directors upon a two-thirds vote of the entire Board.

*2004 Edition. This copy of the Code of Ethics is current as of September 2004.Contact the General Counsel’s Office for further information at (202) 626-7311.


1.2 Participating in Professional Organizations

Andrea S. Rutledge, SDA, CAE

Participating in professional organizations can help architects enrich theircareers and contribute to the advancement of the profession.

It seems as though there is an association for everything. Nearly every profession,vocation, avocation, or trade has a society or association organized to meet thespecific needs of its members, and the United States has the most fully developed

association sector in the world. Even Garrison Keillor spoofed our national proclivityfor forming associations, inventing the American Duct Tape Council as a fictitioussponsor of his radio show, A Prairie Home Companion.

The most basic function of associations is to distinguish their members from oth-ers in similar professions or types of commerce or to bring together individuals withcommon vocational interests (e.g., the American Industrial Hygiene Association) oravocational interests (e.g., the Road Runners Club of America). Such organizationsare most often formed to provide information to the public; to set standards for aprofession, system, or service; to represent their members’ interests before legisla-tures or regulatory bodies; or to provide services or products that enable their mem-bers to succeed.

EMERGENCE OF ASSOCIATIONS

Groups of people associated by the business they engage in have been around for along time. The most recognizable precursors of today’s professional associations arethe guilds of Western Europe. The guild system, with its formalized apprenticeshipsand protective regulations, has its origins in Roman culture. Guilds established stan-dards for production, set prices, monitored sales, oversaw wages and hours, and main-tained training and apprentice programs. Membership was not voluntary, and thecompetition with similar guilds from other cities could be fierce. In many cities, guildscame to wield substantial political power and were able to influence civic decisions aswell as some of those made by the church. For example, in 1418, the Wool Guild in Flo-rence was involved in design and construction of the famous cathedral dome. And inLondon, the annual election of the Lord Mayor of the City of London was heavilyinfluenced by the guilds.

The guilds lost power and influence as the modern market economy and dem-ocratic principles began to spread. Instead of guilds designed to control trade fortheir members in a specific commodity or trade within a specific city or town,organizations of merchants and other artisans formed to encourage and supportcommon commercial interests. For example, the first chamber of commerce wasformed in New York State in 1768, and the New York Stock Exchange was estab-lished in 1792.

During the nineteenth century Industrial Revolution, new trade associations andprofessional societies began forming in the United States, particularly among busi-ness owners. By 1890 many of these were well established and were lobbying Con-gress, holding regular meetings, and maintaining offices. The American Institute of


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Andrea Rutledge is executive director of the National Architectural Accrediting Board inWashington, D.C.


Architects falls into this category. Founded in 1857, the AIA celebrated its thirty-third anniversary in 1890 and had just elected its third president. Other familiarorganizations were founded later: the American Bar Association (1878), theNational Society of Professional Engineers (1905), the Associated General Con-tractors of America (1918), and the American Council of Engineering Companies(1934).

In the twentieth century, associations and professional societies became moreorganized, hiring staff trained to support activities of the group, codifying rules andprocedures for boards, establishing criteria for membership, and developing anexpanding range of services for their members. These groups have coalesced intoseveral distinctive types. The following definitions come from The Association LawHandbook:

Professional societies are “composed of individuals or members who haveacquired knowledge and experience that qualifies them as specialists in perform-ing particular services.” These groups can be horizontal, “servicing one functionallevel of an industry or profession; alternatively they can be vertical, serving allfunctional levels.” Professional societies related to design and construction includethe International Facility Management Association, the Building Owners andManagers Association, the American Society of Landscape Architects, the Societyfor Design Administration (SDA), and the American Institute of Architects, amongothers.

Trade associations are “composed of individuals or firms concerned with a singleproduct or service or those concerned with a number of related products or serv-ices.” A number of trade associations represent participants in the design and con-struction industry, including the Associated General Contractors of America(AGC), the National Association of Home Builders, and the National Manufactur-ers Association.

Charitable institutions are composed “of members with interests in whatever kind ofscience, educational area, or charity is represented by the association.” Included in thiscategory are the American Architectural Foundation, the Corcoran Museum of Art,and the Smithsonian Institution.

ROLES PROFESSIONAL SOCIETIES PLAY

People often decide to join professional associations because of an invitation fromanother professional in their field. Members renew their membership over time becausethey value specific services the association provides. The services commonly providedby professional societies are described in this section.

Bringing People Together to Effect Change

In his 2001 book Principles of Association Management, Henry L. Erstthal, CAE, sug-gests “the uniqueness of associations rests in their members’ strong feelings of own-ership and involvement in decision making. Members believe they can makethemselves heard and effect change within and through their associations.” This is acentral reason many cite for joining a professional society or trade association. In a2006 survey of AIA members’ needs, 64 percent of respondents indicated they joinedthe Institute “to show my commitment to the profession.” These individuals clearlybelieve that collectively, under the aegis of a professional society, they have greatercontrol over the elements that shape and influence their work. In addition to con-tributing to their professions, many join associations to develop professional net-works and contacts. Many experienced professionals remark on the value of spendingtime in the company of other professionals talking about the things that matter, devel-oping lifelong networks and relationships, and learning from one another in informalsettings.

1 .2 Pa r t i c i pa t i ng i n P r o f e s s i o na l O rgan i za t i o n s 15

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Providing Resources to Members

Another reason people join professional societies is to gain access to knowledge andservices that will help them address particular problems. These resources take manyforms depending on the association. The AIA, for instance, has for many years pub-lished contract documents for use in the design and construction industry, as well asa monthly economic report (Work-on-the-Boards), which analyzes the economictrends that affect design and construction. The Society for Design Administrationhas developed a software program for tracking the continuing education require-ments of a firm’s licensed professionals. Most professional associations today providemembers-only Web sites with much information valuable to the everyday life oftheir members.

It is against the law for associations to deny nonmembers access to products andservices they provide to their members if, as cited in the Association Law Handbook,those products or services may be considered to “confer important competitive or eco-nomic benefit.” However, it is considered lawful to charge nonmembers a higher feefor products and services as long as the difference between the member fee and thenonmember fee is not so high it “compels membership.” In other words, the mem-ber/nonmember price difference for the 2006 AIA Firm Survey cannot be the same asthe current dues rate.

Promoting the Value of Professional Members

Most professional associations aggressively promote their members as better pre-pared, more knowledgeable, and more likely to serve the public than nonmembers.For example, many associations, through public relations and marketing campaigns,promote their members as providers of the highest degree of professional service tothe client.

Connecting Groups of Allied Professionals

In his 1997 book Professional Practices in Association Management, John B. Cox, CAE,says, “The fundamental proposition undergirding all coalitions is simple: People whoshare a common purpose and perspective can accomplish more when they collabo-rate than when they pursue narrower interests on their own.” And while associationsare themselves coalitions, they often work institutionally with other, related organi-zations to achieve common goals. Sometimes associations form coalitions for spe-cific purposes; for example, in 2006 the American Society of Association Executives(ASAE) led a broad-based coalition of associations to lobby for passage of federal leg-islation that would enable associations to form groups for the purpose of providinghealth insurance for their members’ small businesses (e.g., sole practitioners). Othercoalitions are formed for more general purposes, as the AIA/AGC Joint Committee,which has met twice each year for more than fifty years to discuss “issues of mutualinterest and concern.”

Offering Continuing Education Programs

Licensing of professionals, especially those whose business may affect the health,safety, and welfare of the public, is a state responsibility. Consequently, each state hasestablished requirements for receiving and maintaining a professional license. Inmany cases, maintaining a license includes a requirement for continuing education.This is especially true in architecture and the law. Professional societies are often theprimary provider of continuing education for their members, and because profes-sional societies are precluded by law from excluding nonmembers from the programsthey offer, the societies become the primary provider of continuing education for theentire profession.


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