Code of Ethics and Professional Conduct
AIA Document J330 Revised October 1, 1979
PREAMBLE
This code, which applies to Institute members' professional activities wherever they occur, is comprised of three kinds of statements: canons, ethical standards, and rules of conduct. The canons are broad principles of conduct. The ethical standards, more specific, are both goals toward which members should aspire and guidelines for professional performance and behavior. The rules of conduct are mandatory, and their violation is subject to disciplinary action by The Institute.
1. Members of The American Institute of Architects should serve and promote the public interest in improving the human environment.
E.S. 1.1 Members should respect the natural environment while striving to improve the built environment and the nation's quality of life.
E.S. 1.2 Members should help to conserve natural resources and the heritage of the past.
E.S. 1.3 Members should seek continually to raise the standards of aesthetic excellence, architectural education, research, training and practice.
E.S. 1.4 Members should promote allied arts and contribute to the knowledge and capability of the building industry as a whole.
E.S. 1.5 Members should seek opportunities to be of service in civic affairs.
E.S. 1.6 Members should be involved, as citizens and professionals, in matters of policy and planning related to settlement and growth.
2. Members of The American Institute of Architects should communicate with the public, including potential clients, in a professional manner.
E.S. 2.1 Members should work to improve public understanding of architecture and of the functions and responsibilities of architects.
E.S. 2.2 Members should strive to make clear to the client public that the primary considerations in selection of architects should be ability and competence to provide the services required.
E.S. 2.3 Members should not compromise the quality or adequacy of the services to be provided in establishing compensation.
E.S. 2.4 Members should provide the public with information on the availability of architectural services.
R. 201 Members shall not make exaggerated, misleading, deceptive or false statements or claims about their professional qualifications, experience or performance in their brochures, correspondence, listings, advertisements or other communications.
R. 202 Members may produce brochures, pamphlets or newsletters describing their experience and capabilities for distribution to those potential clients whom they can identify by name and position.
R. 203 Members may identify themselves as architects and members of AIA in or on business cards and stationery, temporary job signs at construction sites, building plaques, architectural books and publications, architectural documents, office identification signs, building directories, and similar professional notices.
R. 204 Members may purchase dignified advertisements and listings only in newspapers, periodicals, directories or other publications, indicating firm name, address, telephone number, staff, descriptions of fields of practice in which qualified, and availability and cost of basic services. Such advertisements shall adhere to the standards stated in R. 201 and shall not include testimonials, photographs or comparative references to other architects
A. 205 Members shall neither publicly endorse a building product or service, nor permit the use of their names or photographs to imply such endorsement. However, they may be identified with any building, building product or system designed or developed by them, so long as they have not purchased such identification.
It. 206 Members shall neither solicit nor permit others to solicit in their names advertisements for any publication presenting their work.
It. 207 Members, when being considered with other architects for a commission, shall not offer or provide free design sketches, models or other architectural services, except through design competitions. Premature design solutions may deceive the client in evaluating the capabilities of the architect.
It. 208 Members may participate in an architectural design competition only when sufficient information concerning the project and the client has been provided to make possible an adequate design solution. AIA Document J332, "Guidelines for Architectural Design Competitions" is recommended for such use.
R. 209 Members participating in any architectural exhibition for which a charge is made to offset the expenses of the exhibition and/or subsequent publication may do so only when the exhibition is approved by the AIA or an appropriate AlA component.
3. Members of The American Institute of Architects should uphold all human rights.
E.S. 3.1 Members should provide their associates and employees with a suitable working environment, compensate them fairly, and facilitate their professional development.
R. 301 Members shall not discriminate against any business associate, employee, employer, or applicant because of race, religion, sex, national origin, age or handicap.
R. 302 Members shall recognize and respect the professional contributions of their employees and business associates.
4. Members of The American Institute of Architects should serve their clients competently and exercise unprejudiced professional judgment on their behalf.
E.S. 4.1 Members should undertake only that work which they are competent to perform by reason of training, education, experience or association with other professionals.
E.S. 4.2 In the performance of professional services, members should not allow their own financial or other interests to affect the exercise of independent professional judgment on behalf of their clients.
It. 401 Members shall represent truthfully to their clients, prospective clients or employers their professional qualifications.
R. 402 Members shall not neglect assignments entrusted to them.
It. 403 Members may engage in construction management as professionals for professional compensation.
It. 404 Members engaging as professional consultants in designconstruction activities involving contractual relationships in which they are not directly employed by the owner, shall exercise professional judgment without partiality to the interests of any affected parties.
It. 405 Members participating as principals in design construction activities involving contractual relationships where compensation is affected by profit or loss on labor and materials furnished in the building process, shall do so subject to the following conditions:
a. That the owner receive a full and timely written disclosure of the existence of the member's conflict of interest and the elements of this Code of Ethics and Professional Conduct governing such conflict. Full disclosure shall include notice that the member's compensation will be affected by profit or loss on labor and materials furnished on the advice of the member and that the owner may wish to obtain independent professional advice.
b. That such disclosure shall not relieve the member of the responsibility for the exercise of professional judgment without partiality to the interests of any affected parties.
c. That during the course of the design construction process the terms of construction subcontracts and any other cost data shall be available for the owner's review.
d. That during the course of the design construction process the owner shall be fully informed of the cost and other consequences of any proposed change or substitution and shall approve such change or substitution.
R. 406 Members participating as principals or employees in building contracting activities not including the design of buildings, or members employed in any other aspect of the commerce or industry of building construction shall do so subject to the following conditions:
a. That they comply with all relevant provisions of this code.
b. That references to professional training, credentials or AIA membership shall not be used by members, their employers or employees to imply a professional relationship or otherwise mislead owners or the public.
c. That the professional authority and responsibility of the design architect be respected.
R. 407 Members shall not have any significant financial or other interest, or accept any contribution or gift, not subject to the safeguards in R. 405, if these would reasonably appear to compromise the members' professional judgment or prevent members from serving the best interest of their clients
S. Members of The American Institute of Architects should pursue their professional activities with honesty and fairness.
E.S. 5.1 Members should conduct themselves in a professional manner to inspire the confidence, respect and trust of their clients and of the public.
R. S01 Members shall conform to all laws relating to their profession and shall not engage in any conduct involving fraud, deceit, misrepresentation or dishonesty in their professional or business activity.
R. S02 Members may use a representative in seeking work from a prospective client provided that:
a. The agreement to do so is made in writing before the representative begins solicitation of the work.
b. The representative's compensation is based entirely on work to be performed and does not in any way constitute a bribe.
c. The representative agrees to represent only one firm in search of a particular project.
d. The representative at all times accurately represents the architect's experience and capabilities.
e. The representative discloses the relationship to the prospective client.
f. The member takes full responsibility for the acts of the representative and in particular for full compliance with this code.
g. The representative, by reason of his or her position, is not a direct participant in the award of the commission.
6. Members of The American Institute of Architects should maintain the integrity and high standards of the architectural profession.
E.S. 6.1 Members should strive to maintain and improve their professional knowledge and competence through participation in continuing education and other professional development programs.
E.S. 6.2 Members should refrain from illegal and immoral conduct and should reveal voluntarily to the proper officials all unprivileged knowledge of the conduct of members which they believe to be in violation of this code.
R. 601 Members may make contributions of professional services, sponsorship, time or money for the public good, in compliance with applicable laws and this code.
R. 602 Members shall preserve the confidence of their clients except in matters of legal violations.
R. 603 Members shall preserve the confidence of their employees or employers except in matters of legal or ethical violations.
R. 604 Members shall not knowingly make false statements about the professional work of other architects nor maliciously injure or attempt to injure their prospects or practice.
R. 605 Repealed, effective May 1, 1979.
R. 606 Members shall neither contribute nor promise to contribute directly or indirectly, any gift, compensation or other valuable consideration in order to retain or obtain work or employment or to reward anyone for the award of work or employment except as allowed by this code.
R. 607 Members making a political contribution shall do so in compliance with applicable laws.
FINAL STATEMENT
The enumeration of particular duties and the proscription of certain conduct in this code does not negate the existence of other obligations logically flowing from such principles. Conduct proscribed as unethical shall be construed to include such lesser offenses as attempted misconduct and aiding-and-abetting of misconduct.
Members shall not knowingly associate in practice with others who violate or intend to violate this code in the normal course of business. Members employed by nonmember owned or controlled organizations which act contrary to this code in the normal course of business are themselves in violation of the code. Members employed by member owned or controlled organizations which act contrary to this code in the normal course of business are themselves in violation if the violation occurs in the employed member's area of responsibility for policy or practice or the employed member takes part in the violation.
Members who violate the Rules of Conduct contained in this code shall be subject to discipline by The Institute in proportion to the seriousness of the violation. The Board of Directors of The Institute, or its delegated agent, shall have the sole power of interpreting these canons, ethical standards and rules of conduct; its decisions shall be final, subject to the provisions of the Bylaws. AIA component organizations do not have authority to make binding interpretations, clarifications or additions to this code.
Members having information or documents relevant to any charge or investigation of alleged unprofessional conduct shall testify or produce such documents at any hearing of the National judicial Committee when so required.
SELECTED RELEVANT BYLAW PROVISIONS
Chapter XIV, Article 1, Section 1(c):
c. Application
c-1 The Code of Ethics and Professional Conduct applies to the professional activities of all classes of members wherever they occur.
c-2 Members or associate members are not immune from charges of unprofessional conduct or disciplinary action because they practice or operate as partners, associates, or as members, stockholders, executive officers, directors or employees of any association, corporation or other legal entity.
Chapter XIV, Article 1, Section 2: Section 2. Violations.
a. Duty. It is the duty of all members to conduct themselves at all times in conformity with the standards established by the Institute in the Code of Ethics and Professional Conduct and its published interpretations.
b. Charges of Unprofessional Conduct.
b-1. A charge of unprofessional conduct shall be based upon violation of one or more of the Standards of Ethical Practice or the Rules under the Code of Ethics and Professional Conduct in effect at the time of the alleged unprofessional conduct.
b-2. Discipline by a state board of licensing or registration shall constitute grounds for a charge of unprofessional conduct to be reviewed by the National judicial Committee to determine whether the member should be subject to additional discipline by the Institute.
c. Obligation to Bring Charges. It is the duty of all members and associate members and of every component of the Institute to bring to the attention of the Secretary, and be willing to offer evidence and testimony in support of, every case of alleged unprofessional conduct of which they are aware.
Chapter XIV, Article 5, Section 1: Section 1. Privilege.
a. Charges and Proceedings. Every formal charge of unprofessional conduct of a member or associate member and all records and proceedings relating to the charges shall be confidential and shall not be disclosed or discussed except in connection with the proceedings or procedure of the Institute.
b. Release of Confidentiality. In unusual situations, the President of the Institute (or the Secretary in the absence of the President) may determine after consideration of all of the circumstances that the best interests of the profession, or of the Institute, or a member or a component requires authorization of release of sufficient information concerning a formal charge of unprofessional conduct to meet the situation.
Last Modified December 19, 2007
