of Ethics Online Collection: None
CODE OF ETHICS AND 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.
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Canons are broad principles of conduct.
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Ethical Standards (E.S.) are more specific goals toward which Members should aspire in professional performance and behavior.
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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 the 1990 Consent Decree: 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:
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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;
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providing discounts; or
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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. The Consent Decree 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 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, then its proof 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 2.105
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 which
are beyond their professional capacity. Members venturing into areas which
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
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 5.201
Members shall recognize and respect the professional contributions of
their employees, employers, professional colleagues, and business associates.
Rule 5.202
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 5.203
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:
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Enforcement of the Code is administered through a National Ethics Council, appointed by the AIA Board of Directors.
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Formal charges are filed directly with the National Ethics Council by Members, components, or anyone directly aggrieved by the conduct of the Members.
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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.
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All proceedings are confidential, as shall the imposition of an admonishment; however, all other penalties shall be made public.
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.
* 1997 edition. This copy of the Code of Ethics is current as of March 22, 1997. Contact the General Counsel’s Office for further information at 202-626-7391.
