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Joseph A. Demkin, AIA, Executive Editor
John Wiley & Sons, Inc.
The Architect’s
Handbook
of Professional
Practice
Fourteenth Edition
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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 2008
720.68—dc22
2007046856
Printed in the United States of America
10987654321
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Foreword v
Preface vi
Acknowledgments vii
About the Handbook x
PART 1 THE PROFESSION 1
1
Professional Life 2
1.1 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 36
2.1 Architects and the Law 36
Copyright Law for Architects 43
The Architect as Expert Witness 48
2.2 Regulation of Professional Practice 50
Mandatory Continuing Education 54
3
Professional Development 57
3.1 Lifelong Learning 57
3.2 Mentoring 66
PART 2 THE FIRM 81
4
Firm Development 82
4.1 Starting an Architecture Firm 82
4.2 Firm Legal Structure 93
4.3 Strategic Planning for the Design
Firm 103
4.4 Firm Identity and Expertise 115
Establishing a Niche Practice 126
4.5 Team Building for Architects 128
4.6 Firm Peer Review 139
4.7 Alliances 144
4.8 Practicing in a Global Market 153
4.9 Ownership Transition 163
5
Marketing and Public Relations 176
5.1 Marketing Strategy and Planning 176
5.2 Seeking the Project 189
Proposal Development 196
The Project Interview 199
5.3 Public Relations 201
6
Client Relations 211
6.1 How Clients Select Architects 211
6.2 Communicating with Clients 222
6.3 Building Client Relationships 232
7
Human Resources 244
7.1 Human Resources Management 244
Architects as Employers:
Legal Requirements 251
7.2 Recruiting and Hiring 253
Staffing Alternatives 263
New Employee Orientation 266
7.3 Developing and Using Job
Descriptions 270
7.4 Staff Compensation and Benefits 279
7.5 Staff Development and Retention 285
7.6 Developing Leadership Skills 293
7.7 Resignation, Termination, and Staff
Reduction 307
8
Financial Management 312
8.1 Financial Planning 312
8.2 Financial Management Systems 322
Computerized Financial Systems 330
8.3 Maintaining Financial Health 332
8.4 Acquiring Capital 341
9
Risk Management 348
9.1 Risk Management Strategies 348
How to Use Risk Assesment Matrixes 360
9.2 Insurance Coverage 368
Contents
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9.3 Managing and Avoiding Disputes 385
9.4 Dispute Resolution Methods 396
10
Firm Operations 405
10.1 Office Administration 405
10.2 Computer Technology in Practice 417
10.3 Information Management 428
10.4 Developing and Managing Multiple-
Office Firms 434
10.5 Retaining and Archiving Records 445
PART 3 THE PROJECT 459
11
Project Definition 460
11.1 Defining Project Services 460
11.2 Architectural Services and
Compensation 469
11.3 Negotiating Agreement 479
11.4 Project Delivery Methods 491
Construction Management 501
Design-Build Project Delivery 504
12
Project Delivery 507
12.1 Programming 507
12.2 Design Phases 520
12.3 Construction Documentation 531
The U.S. National CAD Standard 559
AIA MASTERSPEC 560
12.4 Bidding or Negotiation Phase 562
12.5 Construction Contract
Administration 574
12.6 Project Closeouts 592
12.7 Sustainable Design 602
12.8 Environmentally Preferable Product
Selection 616
12.9 Research Methods for Architects 628
12.10 Digital Architectural Survey
Technologies 642
12.11 Value Analysis 656
12.12 Life Cycle Costing 673
13
Project Management 692
13.1 The Effective Project Manager 692
13.2 Managing Architectural Projects 699
13.3 Project Controls 718
Project Scheduling 731
13.4 Managing Fast-Track Projects 735
13.5 Construction Cost Management 744
14
Quality Management 760
14.1 Quality Management in Practice 760
14.2 Maintaining Design Quality 770
15
Building Codes and Regulations 782
15.1 Community Planning Controls 782
15.2 Building Codes and Standards 803
The International Building Code 817
PART 4 CONTRACTS AND
AGREEMENTS 825
16
Types of Agreements 826
16.1 Agreements with Owners 826
16.2 Owner-Generated Agreements 835
16.3 Project Design Team Agreements 852
Joint Venture Agreements 862
16.4 Construction Contracts 865
17
AIA Contract Documents 875
17.1 The AIA Documents Program 875
2007 AIA Contract Documents 885
17.2 AIA Contract Documents Synopses
by Family 887
Appendices 907
A: Allied Professional Organizations 907
B: State Registration Boards 914
C: Schools of Architecture 917
D: Sample AIA Contract Documents 923
E: Glossary 983
Index 1005
Note: Topic backgrounders are shown in italics.
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v
T
he management and operation of an architecture firm, regardless of its size, is
more important than ever. Keeping a design practice competitive and viable
involves obtaining new commissions, nurturing client relationships, preparing
contracts, controlling project schedules and budgets, recruiting and hiring staff, and
dealing with myriad business and administrative activities.
Almost a century ago, members of our profession had the foresight to recognize
that architects need information about the business component of practice and, to meet
this 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 have
delivered an evolving and expanding body of knowledge to help guide architects
through 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 and
forward 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 about
a 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 can
rely on the Handbook for answers to the issues and challenges they confront in their
professional life and work.
Marshall E. Purnell, FAIA, President
The American Institute of Architects
March 2008
Foreword
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vi
T
he Architect’s Handbook of Professional Practice has been a definitive source of infor-
mation about the business and administrative aspects of architecture practice since
it 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 and
trends in the practice environment have prompted the need for a new edition. Some of
these 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 and
revised AIA contract documents.
We were deeply honored when the Institute asked us to serve on the Handbook
Steering Group to provide guidance and leadership for developing the 14th edition.
This challenging yet exciting assignment involved a variety of tasks, which were carried
out individually and in meetings of the Steering Group with the AIA editorial staff at
Institute headquarters.
We began our work with a review of the findings from a survey of 8,000 Handbook
users conducted in December 2004, along with the results of several Handbook focus
groups. 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 the
first 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 be
dropped or replaced. The planning effort also included defining a framework for organ-
izing the Handbook’s extensive body of information, which eventually resulted in its
final structure and table of contents.
During the content development phase, the Steering Group provided ongoing
input, advice, and suggestions. This included identifying prospective authors and
reviewers, 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 have
produced an indispensable resource that will support the professional endeavors of both
architects 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’re
confident you will reach for this volume often as you confront the many decisions
required to develop and run a successful architecture practice.
Members of the Handbook Steering Group
James B. Atkins, FAIA, Chair
Glenn W. Birx, AIA
Karen L. W. Harris, AIA
David L. Hoffman, FAIA
Peter Piven, FAIA
Jill M. Rothenberg, Assoc. AIA
Robert P. Smith, AIA
Norman Strong, FAIA, ex officio
Preface
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vii
T
he AIA is deeply indebted to all who participated in developing the 14th edition
of the Handbook. Particular thanks go to contributing authors who prepared new
material, along with bringing subject matter up-to-date from the 13th edition.
The Institute also extends its appreciation to those who reviewed drafts and provided
useful suggestions for improving content.
Special acknowledgments go to Handbook Steering Group members for their
expert guidance and advice throughout the Handbook’s planning and development
stages. Jim Atkins, FAIA, who chaired the steering group, deserves special recognition
for his leadership and for the extraordinary amount of time he devoted to working with
AIA 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, Managing
Director; Kenneth Cobleigh, Esq., Senior Director & Associate Counsel; and Michael
Bomba, 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., General
Counsel; Gregory Hancks, Esq., Associate General Counsel; and Terrence Canela,
Esq., Associate General Counsel, are much appreciated, as is the ongoing support and
guidance of Richard L. Hayes, AIA, Managing Director of Knowledge Resources.
A special thank-you goes to Pamela James Blumgart, the Handbook’s development
editor. Her knowledge of the Handbook’s subject matter was tapped throughout the
effort and her editing skills were well applied in turning mountains of draft material into
final manuscripts. Notes of appreciation also go to Tracye McQuirter, Jody Curtis, and
Janet Rumbarger for their assistance in editing and manuscript preparation, and also to
Jamie 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 editorial
assistant Raheli Millman was extremely helpful in addressing numerous administrative
details. Michael Olivo, Wiley production editor, was instrumental in keeping the book
on track during production.
On a personal note, I want to express my sincere thanks to each and every person
who contributed to the development of this edition. In addition to being a highly
rewarding experience, it was truly a privilege to work with such a distinguished and
dedicated group of colleagues.
Joseph A. Demkin, AIA
Executive Editor
The American Institute of Architects
Washington, D.C.
Acknowledgments
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Handbook Steering Group
James B. Atkins, FAIA, Chair
Glenn W. Birx, AIA
Karen L. W. Harris, AIA
David L. Hoffman, FAIA
Peter Piven, FAIA
Jill M. Rothenberg, Assoc. AIA
Robert P. Smith, AIA
Norman Strong, FAIA, ex officio
Contributing Authors
Ava Abramowitz, Esq., Hon. AIA
James B. Atkins, FAIA*
Phillip G. Bernstein, FAIA*
Gordon B. Bingaman, AIA
Glenn W. Birx, AIA*
Brien Bowen*
Christopher Bushnell, AIA*
Ann Casso
William Charvat, FAIA
Edith Cherry, FAIA
David S. Collins, FAIA
Richard B. Cook, FAIA
Karen Courtney, AIA*
Kenneth C. Crocco, FAIA
Philip R. Croessmann, Esq., AIA
Richard D. Crowell*
Clark Davis, AIA*
Michael Dell’Isola, PE*
William Dexter*
Laurie Dreyer-Hadley
James T. Dunn, CPA, Assoc. AIA
Kristine K. Fallon, FAIA
Debra Fiori *
Ellen Flynn-Heapes
Phillip H. Gerou, FAIA*
Lowell V. Getz, CPA*
Howard Goldberg, Esq.*
Susan Greenwald, FAIA
David Greusel, AIA
Dennis J. Hall, FAIA*
Cara Shimkus Hall, Esq., AIA
Gregory Hancks, Esq., AIA*
Suzanne Harness, Esq., AIA*
Douglas C. Hartman, FAIA
Hugh Hochberg
David L. Hoffman, FAIA*
Mark Johnson, FAIA
Joseph H. Jones Jr., Esq., AIA*
David F. Kinzer, III, CPA
Steven Kirk, FAIA
David Koren, Assoc. AIA*
Eugene Kremer, FAIA
Peggy Lawless
Marsha Littell*
Thom Lowther*
Nadav Malin*
Kathleen Maurel*
Paul T. Mendelsohn*
Elena Marcheso Moreno
Cliff S. Moser, AIA
Frank Musica, Esq., Assoc. AIA
Robert Mutchler, FAIA
Tawny Ryan Nelb*
James J. O’Brien, Esq.
Jack D. Patton, AIA
Bradford Perkins, FAIA
Peter Piven, FAIA*
Brenda D. Richards, Hon. AIA
Jack Riegle
Tony Rinella, Assoc. AIA*
William C. Ronco
William Roschen, AIA
Patricia P. Rosenzweig
Andrea Rutledge
Aaron B. Schwartz, FAIA
Evan H. Shu, FAIA
Kirsten Sibilia, Assoc. AIA
Henry Siegel, FAIA
Soren D. Simenson, AIA
Grant Armann Simpson, FAIA*
Debra L. Smith, AIA
Robert P. Smith, AIA*
Frank A. Stasiowski, FAIA
Steven G. M. Stein, Esq.
Larry Strain, FAIA
Timothy R. Twomey, Esq., AIA*
Suzanna Wight, AIA*
Roger B. Williams, FAIA
Howard L. Wolff*
Reviewers
Peter Aaslestad, AIA
Harold Adams, FAIA
Vicki Allums, Esq.
Michael A. Alost, AIA
Lee Askew, FAIA
James Bedrick, AIA
Douglas M. Brinkley, FAIA
Paul Brosnahan, AIA
Robert Burnham, AIA
John A. Burns, AIA
Terrence Canela, Esq.
viii Acknowledgments
Handbook Participants
* Also served as a reviewer
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Kathleen S. Cartus
Lee Casaccio, AIA
Gregory Clement, FAIA
Randolph Collins, AIA
Raymond R. Crawford Jr.
John N. Cryer, III, AIA
Michael F. Czap, AIA
Victoria David, AIA
Bruce Dicker, FAIA
Ed Feiner, FAIA
Hollye C. Fisk, Esq., FAIA
Kevin J. Flynn, AIA
Rolf Fuessler
Cynthia Gayton, Esq.
Doug Gordon, Hon. AIA
Todd Gritch, FAIA
Ronald P. Gronowski, AIA
Nancy Hadley
Karen L. W. Harris, AIA
Steinberg Harris, FAIA
Helen Hatch, AIA
David J. Hatem, Esq.
John Hayes, FAIA
Clay F. Hickerson, AIA
Lance Hosey, AIA
Robert W. Johnson
Lance Josal, AIA
Duane Kell, FAIA
Leevi Kiil, FAIA
Peter Krajnak, AIA
Larry LeMaster, CPA
Foster Lynn, AIA
Jud Marquardt, FAIA
Muscoe Martin, AIA
Robert F. Mattox, FAIA
Mark C. McConnel, AIA
Thomas L. McKittrick, FAIA
Andrew D. Mendelson, AIA
Jon Miller, AIA
Kurt M. Neubek, FAIA
Jill Olney
Karenlee Oreo
Wendy Ornelas, FAIA
Steven L. Parshall, FAIA
Neil I. Payton, AIA
Michael Perry, Hon. AIA
Kathryn T. Prigmore, FAIA
Carroll Lee Pruitt, FAIA
John Pucetas, AIA
Stephen Quick, AIA
Michael Reilly
Stephan Reinke, FAIA
James Robertson, AIA
Jill M. Rothenberg, Assoc. AIA
Catherine Roussel, AIA
Steven G. Shapiro, Esq.
Roger B. Shluntz, FAIA
Christopher G. Smith, FAIA
John W. Sorce, AIA
Stephen R. Souter, FAIA
Ray W. Spano, AIA
Peter Steinbreuck, AIA
Jay Stephens, Esq.
Michael Strogoff, AIA
Joy Swallow, AIA
Bart Trudeau, AIA
Jean Valence
Steven F. Weiss, FAIA
R. Craig Williams, Esq., AIA
Dan Williams, FAIA
AIA Project Staff
Richard L. Hayes, AIA
Joseph A. Demkin, AIA
Pamela James Blumgart
Jamila Shrestha
Wiley Project Staff
John Czarnecki, Assoc. AIA
Raheli Millman
Michael Olivo
Acknowledgments ix
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T
he Handbook brings together information about the development and operation
of architecture firms, and the delivery of building design services. This edition
also addresses various facets of professional life, along with how agreements for
professional services are developed and used. Current practice issues such as lifelong
learning and mentoring, ways of staying competitive, sustainable design, building infor-
mation modeling, and the still-evolving concept of integrated practice are among those
incorporated 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 useful
resource for those planning to enter the architecture profession and for those allied
with it. Members of this community include the following:
•
Architects with at least five years’ experience in traditional practice settings who are
on career paths toward management or ownership positions in their firms
•
Principals, associates, and experienced architects who wish to launch initiatives to
enhance 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 design
professionals 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 topics
from Handbook Update volumes 2003 through 2006. All material carried forward from
the 13th edition has been revised and thoroughly updated. In addition, all references
to AIA documents have been aligned with the 2007 versions of those documents.
Organizationally, the 14th edition has four major parts: “The Profession,” “The
Firm,” “The Project,” and “Contracts and Agreements.” This structure replaces the
parts of the 13th edition—”Client,” “Business,” “Delivery,” and “Services.” In the 14th
edition, selected client-related topics and business subjects from the 13th edition are
included 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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About the Handbook xi
lifelong learning and mentoring. It also covers how professionals can contribute to
community, 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 and
firm 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, and
retaining staff; implementing and updating financial management systems; dealing
with risk; and developing and running administrative, computer technology, and
information 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; and
selecting and working with various options for project delivery. Related subjects
address 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 for
architectural projects, and building code fundamentals.
•
Part 4: Contracts and Agreements brings together information about developing
owner-architect and project team member agreements, understanding construction
contracts, and working effectively with owner-generated agreements. This section
also overviews the AIA documents program, describing how it operates and the
major changes embodied in the 2007 documents cycle.
•
Appendixes contain contact information for professional organizations associated
or allied with the design profession, state registration boards for architects, and
accredited schools of architecture. The appendix also includes reference copies of
AIA 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 aspect
of practice within a practice area designated by a chapter, and each chapter contains two
or 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 of
the topic. For example, the topic “Recruiting and Hiring” contains backgrounders on
staffing alternatives and new employee orientation.
Most topics conclude with a “For More Information” section, which lists and
describes 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 any
order. The index, which contains key words and concepts, will help readers readily find
specific 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 community
at the same time, facing the same or similar circumstances. As a result, fixed or uniform
standards 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 guidance
for the day-to-day needs of architects and other building design professionals.
xii About the 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.
PART1
THE PROFESSION
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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, basic
tenets held in common by the profession can help architects determine how to
respond to them.
T
he need to articulate and advocate ethical standards has never been more critical.
Concern about professional ethics, while not a recent development, has certainly
become more conspicuous in recent years. This visibility has led to extensive
inquiries into the sources, development, interpretation, and enforcement of ethical
codes. Principles guiding professional conduct are based on the core values held by
that profession. These core values originate in legal definitions, social mores, moral
codes, and common business practices.
Legal systems are based on historical precedent and commonly accepted social
interactions 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 written
agreements. But when these responsibilities and their consequences are specific to a
profession, they may prove difficult to legally enforce.
There are many social conventions, moral beliefs, and ethical dilemmas that are
not legislated or enforced by any regulatory agency. These may include widely accepted
values but are not part of our legal system because they lack consensus or represent
conflicting opinions. These values are often defined by religious doctrine, corporate
policies, 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.
CHAPTER
1
2
PART 1: THE PROFESSION
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as either correct or incorrect, ethical situations often present dilemmas in which equally
relevant positions compete.
Ethics is traditionally defined as the rules or standards for moral behavior. Often
the 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 such
as 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 are
founded may be nearly identical. The distinction in ethical standards depends on the
specific practices of a particular group.
Ethics also define fairness and equity and quite often relate to issues in which two
parties may hold opposing but equally valid points of view or an individual may be torn
between two compelling positions. For example, an individual may find that speaking the
truth could breach a confidence, someone’s dedication to a friendship might result in
injury to others if an obligation to protect the public is ignored, or a client’s goals could
be at odds with protection of the environment. In certain situations, ethical standards
may take precedence over other important standards. For example, life safety issues are
usually perceived as a primary concern in comparison to, for example, obligations to
employers. Although a solution that positively addresses each competing issue is pre-
ferred, occasionally a choice is necessary. Ethical codes address such situations, but it is
often 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. In
1977 the National Council of Architectural Registration Boards (NCARB) issued a set
of model rules of conduct for use by its member boards. NCARB rules are guided by
certain core values as they pertain to the protection of the life, safety, and welfare of the
public, issues to which architects are legally bound by individual state licensure laws.
NCARB’s rules of conduct have been adopted, with modifications, by various NCARB
member boards as part of the licensing regulations that apply to individual architects.
The American Institute of Architects (AIA) has established a Code of Ethics and
Professional Conduct. This code addresses life safety and public welfare issues, and
also 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 respecting
the environment.
The first AIA ethical code was established in 1909. By today’s standards, some of the
original 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 competitions
that were not in keeping with Institute principles. These restrictions were derived more
from the common business practices of the day than universal core values or widely
accepted 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 longer
the anathema it had been. By 1972 the U.S. Justice Department had determined that
the 1890 Sherman Antitrust Act demanded that architects be allowed to compete on the
basis of fees and that not doing so constituted an unreasonable restraint of trade. In a
1978 case involving the National Society of Professional Engineers, the Supreme Court
ruled 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
1.1 Ethics and Professional Conduct 3
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federal legislation. In its opinion, the court dismissed arguments stressing the possible
negative 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 membership
was suspended for violating the AIA code of ethics by supplanting another architect on
a project. Although the violation was not disputed, in 1978 a federal district court ruled
that enforcement of this particular rule in the code violated federal antitrust laws and
the 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 substitute
Code of Ethics and Professional Conduct. In 1986 the membership adopted the new
code at the AIA National Convention. Since that time, minor revisions have been made
to 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 Conduct
defines in detail the obligations of AIA members. The code
is organized into five canons that describe broad principles
of conduct: general obligations, obligations to the public,
obligations to the client, obligations to the profession, and
obligations 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 and
behavior. Individual ethical standards incorporate specific
rules 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 is
offered 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 all
AIA members regardless of their membership category
and is enforced by the AIA National Ethics Council.
Only AIA members are obligated to comply with these
standards.
AIA National Ethics Council
The National Ethics Council (NEC) is made up of seven
AIA members selected and appointed according to specific credentials. Each of the
seven members represents a diverse constituency. They come from various regions
of the country and different types of practice and professional backgrounds, and
they are representative of the general membership based on diverse demographic
criteria. 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 for
a 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 and
recommendation and ultimately decide whether to accept, reject, or modify the hear-
ing officer’s recommendation or to return the case for rehearing.
4 Professional Life
PART 1: THE PROFESSION
PROFESSIONAL ASPIRATIONS VS.
ETHICAL CONDUCT
Some ethical situations are not regulated by the AIA
Code of Ethics and Professional Conduct. For exam-
ple, the profession of architecture as a whole may
aspire to contribute to the preservation of historical
and cultural resources by helping to develop appropri-
ate building codes or formulating aesthetic guidelines.
Nonetheless, some architects are more suited to such
tasks than others; for instance, participation in this
effort may not be a reasonable requirement for an AIA
member whose expertise lies in financial management
or graphic design. Similarly, it is not a requirement
that all AIA members provide pro bono services, as
some may choose to support causes or organizations
by other means. A code of ethics cannot embrace
every aspiration of a profession. Rather, it must exhibit
restraint in defining actions to which all members may
reasonably submit.
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The principal responsibility of the NEC as defined by the AIA Bylaws is
enforcement of the AIA Code of Ethics and Professional Conduct. However, the
NEC also provides guidelines to the public and within the Institute on a variety of
professional topics. In addition, the NEC presents programs at the AIA National
Convention, to AIA components, and to schools of architecture throughout the
country.
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 members
or established committees, while others simply refer local inquiries to the national
organization. The general counsel’s office at the national component is available to
answer 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 for
considering 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. The
process 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, the
AIA general counsel’s office informs the accused AIA member of the complaint and
requests a written response.
Initial Chair Review
The complaint, any response, and any other documents provided by either party are
sent 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 of
the Code of Ethics if proven true, the case is assigned to a hearing officer. If the chair
determines 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 being
litigated or is under consideration by a regulatory authority will be deferred until after
resolution of the legal action.
Assignment of Hearing Officer
If the chair determines the case should be heard, a hearing officer is assigned from
among the current NEC members. Personal knowledge of the AIA member or other
party 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 agree
with the findings of the chair and will inform the general counsel that the case should
proceed.
Pre-Hearing Conference
A pre-hearing conference call is arranged with the complainant and the respondent
to discuss the issues and the possibility of a resolution. If no resolution results
from this call, the hearing officer will determine the location and timing for a
hearing.
1.1 Ethics and Professional Conduct 5
PART 1: THE PROFESSION
Ethics complaints against AIA
members should be addressed to:
Chair, National Ethics Council
The American Institute of Architects
1735 New York Avenue NW
Washington, DC 20006
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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 allowed
to testify. The entire procedure is usually concluded in one day.
Report, Recommendation, and Decision
The hearing officer, in conjunction with the AIA general counsel, prepares findings of fact
in 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, the
hearing officer recommends one of four levels of penalty: admonition (private sanction),
censure (public sanction), suspension of membership, or termination of membership. A
written and oral report is then made to the NEC at its next scheduled meeting. The NEC
then 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 report
or 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 in
the respondent’s membership file.
•
Censure (public). A letter is sent and notification of the case and ruling is published
to the AIA membership.
•
Suspension of membership. The respondent’s membership is suspended for a period of
time, 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 membership
is 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 of
professional activities, several issues generate the majority of complaints. These include
the 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 contractual
consequences, 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 following
detailed illustrations are offered.
6 Professional Life
PART 1: THE PROFESSION
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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 the
individual contributions of each team participant. The more complex the project and
the more prolonged the design and construction process, the more individuals may lay
valid 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 are
frequently due to an incomplete understanding of the ethical standards and rules
of conduct that direct members in this area. The following ethical standards apply to
this issue:
Ethical Standard 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.
Ethical Standard 5.3, Professional Recognition: Members should build their pro-
fessional 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.
The rules associated with these standards mandate the required professional conduct:
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.
Rule 5.301: Members shall recognize and respect the professional contributions of
their employees, employers, professional colleagues, and business associates.
Based on these standards and rules, the NEC has adopted guidelines to help AIA
members determine how to handle this concern, although individual cases may present
circumstances not explicitly covered. These guidelines are recommended for applica-
tion to any oral, written, or graphic representation of an architect’s work, whether it was
developed for use in a public or private presentation.
Following are the AIA “Guidelines for the Attribution of Credit” (also published
on the AIA Web site) that should be considered when making representations of an
architect’s work:
•
An architectural project, built or unbuilt, involves any of the services provided by or
under the direction of an architect.
•
In analyzing attribution-of-credit issues, the National Ethics Council typically views
the Architect-of-Record as the legal entity that has contracted for and completed the
work 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 need
to 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 complete
responsibility 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 the
Architect-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 text
should be no less obvious than the text used to describe the project. The description
1.1 Ethics and Professional Conduct 7
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must be specific enough to make clear the services the Member rendered on this
project. In the instance of a mailer/postcard that shows only an image of a project on
the 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 avoid
potential conflict, it is recommended that Members open a dialogue between all
concerned parties prior to making any representations.
Accurate Representation of Qualifications
It is human nature and good business practice to present professional qualifications
in 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 to
subsequent owner dissatisfaction. The architect-of-record must ultimately be respon-
sible for complying with laws and codes as well as with other commitments, such as
the 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 and
skill which is ordinarily applied by architects of good standing practicing in the same
locality.
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.
As an architecture firm evolves, its expertise may become somewhat different from
that stated in promotional materials or in a previous statement of qualifications. Mem-
bers are obliged to always ensure that the expertise and resources presented match
those that are currently available.
Professionals are often compelled to make commitments regarding time, cost, or
results based more on the urgency of the moment than on rational evaluation. Too
often, architects make changes that affect the scope or budget of a project without pre-
senting viable options or possible ramifications of the proposed changes. Architects
may also feel pressure to articulate results by describing the final product of the work
in terms that naturally speak well of the process and the architect’s capabilities to attain
those results. Great care and restraint should be taken in clarifying expectations relat-
ing to budget, building function, quality of materials, and other anticipated results of
the design process. Project and individual responsibilities should be clearly defined
contractually and verbally. Revisiting the following statements of obligation periodically
throughout 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 or
prospective clients about the results that can be achieved through the use of the
Member’s services, nor shall the Members state that they can achieve results by
means that violate applicable law or this Code.
Helping the client reach realistic expectations is important. The medical profession
characterizes this as informed consent, where a patient must be informed of a situation
to 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
8 Professional Life
PART 1: THE PROFESSION
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predominantly created or adapted computer software or developed unique technical
details be given copies of that work upon leaving a firm? How can the rights of the firm
and of the employee be protected? Ethical Standard 5.3 pertaining to professional
recognition provides a framework for guidance (see above). The specific rules that apply
to this question are these:
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 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 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 confi-
dential.
In addition, the code provides the following 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.”
The best advice is that the question of whether and how copies of work will be
granted to an employee should be discussed before an employee decides to leave a firm
or at least during the departure process. This discussion may help mitigate an awk-
ward, emotional, or volatile termination process. A departing employee should expect
to receive reasonable examples of work; the employer is not obligated to make the entire
volume of work produced by the employee available. The
intent is to allow the employee a reasonable opportunity
to present qualifications to future employers or potential
clients. It is equally important for the firm to retain pro-
prietary or confidential materials and the work products it
rightfully owns, such as renderings, photography, or pro-
prietary software. The AIA has published a Best Practices
article titled “Personal Use of Documents: A Sample Firm
Policy” to help firms establish policies for the ethical use of
documents during and after employment.
THE FUTURE
Defining professional ethics for the architecture profession
will remain the duty of the American Institute of Architects
and its National Ethics Council. As they have in the past, the
AIA Board of Directors and NEC will periodically reevalu-
ate the Code of Ethics and Professional Conduct based on
the 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 Information
The AIA Web site at www.aia.org/about_ethics provides
current information and resources. The process for filing
a 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 frequently
asked questions. Specific questions may be directed to the
Office of the General Counsel at (202) 626-7311. Mem-
bers of the AIA National Ethics Council may be available
to offer programs, which include case studies, at AIA
national and local events.
1.1 Ethics and Professional Conduct 9
PART 1: THE PROFESSION
COMPETING VALUES
It seems simple enough to be honest, but even well-
meaning professionals from time to time are presented
with competing obligations, such as family responsibili-
ties or religious convictions. For example, employees
may decide to work outside the office to build a client
base, take advantage of opportunities to demonstrate
design talent, or simply make money. In doing so, they
may unwittingly expose the firm to liability and may com-
promise their own ability to perform adequately for the
compensation they are receiving. Or, an employee may
use the firm's software for personal use, believing that no
harm is done by making a copy of it. Architects have
certainly lied, stolen, defrauded, or taken advantage of
a situation. Sometimes the individual is well-intentioned,
sometimes not, but almost always he or she feels justified
in his or her actions.
Architecture is a profession replete with competing
values. Within every project are decisions to be made
about quality of materials versus budget constraints,
owner-prescribed requirements versus building codes or
architectural review committees, and confidentiality ver-
sus truthfulness. Resolving these conflicts does not require
decisions about right and wrong, but rather decisions to
resolve situations in which competing principles are
equally correct but may be mutually exclusive.
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10 Professional Life
BACKGROUNDER
THE AMERICAN INSTITUTE
OF ARCHITECTS
FROM THE OFFICE OF GENERAL COUNSEL
2004 Code of Ethics
& Professional Conduct
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:
(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 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 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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1.1 Ethics and Professional Conduct 11
PART 1: THE PROFESSION
2004 CODE OF ETHICS AND PROFESSIONAL CONDUCT
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 Members shall not, in the conduct
2.101 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
f
inancing 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 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 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 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 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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12 Professional Life
PART 1: THE PROFESSION
2004 CODE OF ETHICS AND PROFESSIONAL CONDUCT
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 other
means.
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
f
ulfilling 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 should
safeguard 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 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 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 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 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 mak e 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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1.1 Ethics and Professional Conduct 13
PART 1: THE PROFESSION
2004 CODE OF ETHICS AND PROFESSIONAL CONDUCT
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 the
merits of their own service and
performance 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, professional
colleagues, and business
associates.
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 not
performed 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
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:
(1) Enforcement of the Code is
administered 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.
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.
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1.2 Participating in Professional
Organizations
Andrea S. Rutledge, SDA, CAE
Participating in professional organizations can help architects enrich their
careers and contribute to the advancement of the profession.
I
t seems as though there is an association for everything. Nearly every profession,
vocation, avocation, or trade has a society or association organized to meet the
specific needs of its members, and the United States has the most fully developed
association sector in the world. Even Garrison Keillor spoofed our national proclivity
for forming associations, inventing the American Duct Tape Council as a fictitious
sponsor 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 with
common vocational interests (e.g., the American Industrial Hygiene Association) or
avocational interests (e.g., the Road Runners Club of America). Such organizations
are most often formed to provide information to the public; to set standards for a
profession, 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 a
long time. The most recognizable precursors of today’s professional associations are
the guilds of Western Europe. The guild system, with its formalized apprenticeships
and 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 the
competition with similar guilds from other cities could be fierce. In many cities, guilds
came to wield substantial political power and were able to influence civic decisions as
well 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 in
London, the annual election of the Lord Mayor of the City of London was heavily
influenced 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 for
their members in a specific commodity or trade within a specific city or town,
organizations of merchants and other artisans formed to encourage and support
common commercial interests. For example, the first chamber of commerce was
formed 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 and
professional 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
14 Professional Life
PART 1: THE PROFESSION
Andrea Rutledge is executive director of the National Architectural Accrediting Board in
Washington, D.C.
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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 familiar
organizations were founded later: the American Bar Association (1878), the
National 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 more
organized, hiring staff trained to support activities of the group, codifying rules and
procedures for boards, establishing criteria for membership, and developing an
expanding range of services for their members. These groups have coalesced into
several distinctive types. The following definitions come from The Association Law
Handbook:
Professional societies are “composed of individuals or members who have
acquired knowledge and experience that qualifies them as specialists in perform-
ing particular services.” These groups can be horizontal, “servicing one functional
level of an industry or profession; alternatively they can be vertical, serving all
functional levels.” Professional societies related to design and construction include
the International Facility Management Association, the Building Owners and
Managers Association, the American Society of Landscape Architects, the Society
for Design Administration (SDA), and the American Institute of Architects, among
others.
Trade associations are “composed of individuals or firms concerned with a single
product 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 of
science, educational area, or charity is represented by the association.” Included in this
category 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 from
another professional in their field. Members renew their membership over time because
they value specific services the association provides. The services commonly provided
by 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 make
themselves heard and effect change within and through their associations.” This is a
central reason many cite for joining a professional society or trade association. In a
2006 survey of AIA members’ needs, 64 percent of respondents indicated they joined
the Institute “to show my commitment to the profession.” These individuals clearly
believe that collectively, under the aegis of a professional society, they have greater
control 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 spending
time in the company of other professionals talking about the things that matter, devel-
oping lifelong networks and relationships, and learning from one another in informal
settings.
1.2 Participating in Professional Organizations 15
PART 1: THE PROFESSION
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Providing Resources to Members
Another reason people join professional societies is to gain access to knowledge and
services that will help them address particular problems. These resources take many
forms 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 as
a monthly economic report (Work-on-the-Boards), which analyzes the economic
trends that affect design and construction. The Society for Design Administration
has developed a software program for tracking the continuing education require-
ments of a firm’s licensed professionals. Most professional associations today provide
members-only Web sites with much information valuable to the everyday life of
their members.
It is against the law for associations to deny nonmembers access to products and
services 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 fee
for products and services as long as the difference between the member fee and the
nonmember 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 as
the 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 to
the 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 who
share a common purpose and perspective can accomplish more when they collabo-
rate than when they pursue narrower interests on their own.” And while associations
are 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 providing
health insurance for their members’ small businesses (e.g., sole practitioners). Other
coalitions 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 mutual
interest 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 has
established requirements for receiving and maintaining a professional license. In
many cases, maintaining a license includes a requirement for continuing education.
This is especially true in architecture and the law. Professional societies are often the
primary provider of continuing education for their members, and because profes-
sional societies are precluded by law from excluding nonmembers from the programs
they offer, the societies become the primary provider of continuing education for the
entire profession.
16 Professional Life
PART 1: THE PROFESSION
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