Code of Ethics and Professional Conduct (1977)

AIA Document J330 Revised July 1, 1977

 

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 or false statements about their professional qualifications or experience in their brochures, correspondence, newsletters 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 purchasing listings in telephone directories, or in other directories or lists approved by AIA, may indicate specialties so long as such specialty listings do not use bold face type or display advertising.

 

R. 205 Members shall not purchase advertising in the public media to offer architectural services. Members who advertise other services or products in the public media, shall refer neither to the architectural profession nor to their AIA membership

 

R. 206 Members may be included and identified as such in listings of donors and patrons in publications or programs of charitable, cultural, or educational organizations.

 

R. 207 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.

 

R. 208 Members shall neither solicit nor permit others to solicit in their names advertisements for any publication presenting their work.

 

R. 209 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.

 

R. 210 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. 211 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 AIA 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 Members should exercise professional judgment free of compromising interests and loyalties.

 

R. 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.

 

R. 403 Members shall not undertake any activity or employment, have any significant financial or other interest, or accept any contribution, if these would reasonably appear to compromise the members' professional judgment or prevent members from serving the best interest of the client.

 

R. 404 Members may not engage in building contracting where compensation, direct or indirect, is derived from profit on labor and materials furnished in the building process except as participating owners. Members may engage in construction management as professionals for professional compensation only.

 

5. 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. 501 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. 502 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 Members shall not attempt to obtain, offer to undertake or accept a commission for which they know another legally qualified individual or firm has been selected or employed until they have evidence that the selection, employment or agreement has been terminated and they have given the prior individual or firm written notice that they are so doing.

 

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 employed by organizations offering architectural services to the public which are owned or controlled by nonmembers, and which act in violation of this code, are themselves in violation of this code. However, if members are employed in such organizations owned or controlled by a member, and if they do not take part in the violation, then they shall not be deemed to be in violation of this code. Members shall not knowingly associate in practice with other architects who violate or intend to violate this code.

 

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 Inquiry Committee and/or the National Judicial Board when so required.

 

SELECTED RELEVANT BYLAW PROVISIONS

 

Chapter X/V, Article 1, Section 1 (c):

c Violations.

c-1 Any deviation by a member or associate member from the Rules of Conduct contained in the Code of Ethics and Professional Conduct or from any of the published interpretations supplementary thereto, or any action by a member that is detrimental to the best interests of the profession and The Insitute shall be deemed to be unprofessional conduct on the member's part and ipso facto such member shall be subject to discipline by The Institute.

Chapter X/V, Article 1, Section 3: Section 3. Formal Charges of Unprofessional Conduct.

a Complainant. It shall be the duty of every member and associate member and of every chapter of The Institute to bring to the attention of the Secretary and be willing to offer testimony in support of every case of alleged unprofessional conduct of which they are cognizant; any legally constituted state board that registers architects or issues licenses to them may bring to the attention of the Secretary any case of alleged unprofessional conduct of a member or associate member of The Institute of which such board is cognizant.

 

Chapter XIV, Article 5, Section 1:

Section 1. Charges Privileged.

Every formal charge of unprofessional conduct shall be privileged. Except as noted in this Article, all charges, proceedings, evidence, data, notices, transcripts and any other matters relating to the charges shall apply to any material coming before a chapter governing body or committee in any matter, formal or informal, of alleged unprofessional conduct.

In unusual situations the President of The Institute (or the Secretary in the absence of the President) may deterrnine, after consideration of all the circumstances, that the best interests of the profession, or The Institute, or one of its component bodies require the authorization of release of sufficient information concerning a case to meet the situation.