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Preamble
Members 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 clients
and 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 be determined 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 Law
The following practices are not, in themselves, unethical, unprofessional,
or contrary to any policy of The American Institute of Architects
or any of its components:
- 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;
- Providing
discounts; or
- 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 of architecture.
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
1.101
In practicing architecture, 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
1.401
Members shall not discriminate in their professional activities
on the basis of race, religion, gender, national origin, age, disability,
or sexual orientation.
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
their professional 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
2.101
Members shall not, in the conduct 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
2.102
Members shall neither offer nor 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 does not prohibit campaign contributions made in conformity
with applicable campaign financing laws.
Rule
2.103
Members serving in a public capacity shall not accept payments or
gifts which are intended to influence their judgment.
Rule
2.104
Members shall not engage in 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 its proof
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
2.105
If, in the course of their work 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 safety. 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
2.106
Members shall not counsel or 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
2.301
Members making public 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
3.101
In performing professional 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
3.102
Members shall undertake to 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
3.103
Members shall not materially 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.
Rule
3.201
A Member shall not render 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 interests of others. Those who are entitled to disclosure
may include a client, owner, employee, 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 other means.
Rule
3.202
When acting by agreement of the 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
3.301
Members shall not intentionally 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 should safeguard the trust placed in them
by their clients.
Rule
3.401
Members shall not knowingly disclose information that would adversely
affect their client or that they have been asked to maintain in
confidence, except as otherwise allowed or required by this Code
or applicable law.
Commentary:
To encourage the full and open exchange of information necessary
for a successful professional relationship, 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
4.101
Members having substantial information which leads to a reasonable
belief that another Member has committed a violation of this Code
which raises 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
4.102
Members shall not sign or seal drawings, specifications, reports,
or other professional work for which they do not have responsible
control.
Commentary:
Responsible control means the degree of knowledge and supervision
ordinarily 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
4.103
Members speaking in their 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
4.201
Members shall not make 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
4.202
Members shall make reasonable 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.
CANON
V
Obligations To Colleagues
Members should respect the rights and acknowledge the professional
aspirations and contributions of their colleagues.
E.S.
5.1
Professional Environment: Members should provide their associates
and employees 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 the merits of their own service and performance and
should recognize and give credit to others for the professional
work they have performed.
Rule
5.301
Members shall recognize and respect the professional contributions
of their employees, employers, professional colleagues, and business
associates.
Rule
5.302
Members leaving a firm shall not, 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 not performed
by the Member.
Rule
5.303
A Member shall not unreasonably 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
Application
The Code of Ethics and Professional Conduct applies to the
professional activities of all members of the AIA.
Enforcement
The Bylaws of the Institute state procedures for the enforcement
of the Code of Ethics and Professional Conduct. Such procedures
provide that:
- Enforcement
of the Code is administered through a National Ethics Council,
appointed by the AIA Board of Directors.
- Formal
charges are filed directly with the National Ethics Council by
Members, components, or anyone directly aggrieved by the conduct
of the Members.
- 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
- Appeals
procedures are available.
- 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.
Amendment
The 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.
AIA
Connecticut, A Chapter of The American Institute of Architects
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