P ART 1

THE PROFESSION
The day-to-day practice of architecture is
governed by on assortment of laws,
regulations, end etficol codes thot defne
the obligotiom cJ orch,tects to the public,
their clients end their peers Other aspects
of profess onollife mdude pro!essionol
developmeri and odvoncemert ochieveci
through lifelong leomng ~nvolvemeri in
professenol orgonizolions porticipolion in
public ono comrrunity serviCe, end
mentoring of emerg"ng pro!essionols

Content s
93

~hn.,ingw d..\r(l6ng Ouput5

9 .4

Di!pn Resoh:tiDn~fcthock l96

1QFifm Operations
Foreword v
Prefoce vi
Adcnowledgmenh vi

About the HCII dlook x

ihiil
I ..I

1.3

lA

i.l

Codt ofEdiia t-

I0
P>rcap:ttmgm PraEtmeoal
Or~utioru 14
Public Stm tn~ Community
lnvokement 22
Tbe.l.rcltite<t in tht Polltiol
Pr001_ss 2S
i'2rtioponng m Ardlite<mrr
E6:1noo ;o

2 Legal Dimensions of Practice

l.l

2.2

ihiiJ

Lifdong Lnrnmg
.\lentoring 66

P!tMmg I ;6
Steldng the Projm IS9
Prcp4141 Dt:!lilpllftiU 196
Tilt Pnjta lllltn it;;, 199
I'Ubli~ Rtktioru 201

11

:;
.4
j

.6

57

THE FIRM- - - -- - -

8
81

S~r~= Pb nnms for du O..i;;n

IH
EruNism, .\irbt ftJj[!i:t 116

;o312

Fintnti2l Pbnning lll

63

~ftinn!ningFinlllcla!Hulth

S.4

~ulrin,; Ctpittl

Finmci21 ~~m~emtnt S)sttms 3 21

Co11'1!nrir~~tdFindISyrrufft

Star;ngtnAr<bh:uuFirro 81
Firm Ltgal Saucmrr 9l

SalfCoropensttion llldBtnt6ts 29
Sa if 0.\~bponmtt od Rtunuon l&5
Dmlopinglacusbip Slo Bs 293
Rf!lgnttion, TtraunJtJ<m, tnc Suff

Financial Management

HQ

;n

HI

Risk Management 348

91

S07

Rldt .\l111 ~tmau Strut!"' l4S

HT~r,C:tRii}J!.mJII'ft1U.\~cl'ixt!

i6

14.1
14.2

7 t1J

Q1!lln.-~hnogcmtntm Pncu t

~f.,nui r:uog O.!lgn

Qulil}'

6()

--o

15 Building Codes and Regulations

782

16 Types of Agreements

826

16.1 Agttmtninmh 0-.ncrs SZ6

16.2 0-.n erC. "' a <=~ As n till t11 a S;s

16.l Projta: Desi!n Turn Ayttllltrlli SSl
}iacJnf!iUt.igRtNJla 152
j

31

T t".S. S~""al CAD S,,.i,d S59

&HUS'TrRSFEC S61i
12.4 Bl!i~g or X<;<~tiwon Phut )62
IZ.l Construction Contrtct

zo

14 Quality Management

AGREEMENTS, _ _ __ 825

"''f'

12.1 Pro;nmmms ;o
12.2 ooisn Phti" m
IU Con sm:aiGn OOOl rnu111110n

692

IJ.I Tho EffmiltProjta~ftnsrr 692

ll.l ~!tJUgingArchitt<t11tsl PrO)tCI< 699
IU ProjtctConttols 1 s
Ptojta Sctdrhf ;1
DA )ftn>;Jng Ftr. TuckPm)lla:S ;s
I U Corutrua:ion CoS<)fmogomtnt 44

111111 CONTRACTS AND

C<>mrwci,. .\1
..nr SO/
Dtrigr. Bdd Pn;ta Dtli:'ti'J SIJ4

DmlopingtM t:singJcb

8.1
Sl

~9

11.4 PI'OJ<:t Ddnry ~fa hoes 491

Rtawun; u:: Hlrm; l B

Rt~rrtion

11.1 Oefinir:g Projea Stn1<:~ts 48l

I l l Atchi-~caml Stl\i cu tn<!

12 Pro jed Deli.tery

13 Pro jed Managemerl

l S.l Community Pltnning Conuok sz

l S.l BllliCingCodes21ld Sand trois SOl
Tk~/ Bai~Codt 1r

Pro jed Definition 460

Co::n paso: 10a

Human Resou rtts ~fmogtmtnt 144

Oesaiptions

THE PROJECT- - - - - 459

IU X <;<~tw m3 .-\yum tnt 4.9

HnClma Stlta: .>.reba a:< 111

Con:munaang ..,rb Chtna 221
Bdrl ing Clitnt Rt b tionllupo m

St-:EM;Jo)lt Ori,.ua.. 166

Firml~tnriry m~ E>ptrnst

111 ill

~ltrketingStruogytn~

So_iirg ..n ..... rr.u 16>

36

f irm IOl

4.4

176

Ltpl Rtiflilfii<II<I HI

Fir m Deelopment 82
4..1
4.2
4.l

IQ3 lcformu.ion~lonsuntlll 4ZS

10.4 O..-.!opmgm::\!tn'31DS~fulr:ipl!
Ofliet Hrms 434
IO.S R!l.llong ~ Ar:lniJ>; Roe cis 445

.irthi".urs Ill EM;h)ln;

.z

~OS

IO.l CompuurTrchnclcgy in Pucdce 41.

Human Resources 244

..1

405

I Q I Office .-\cminii<DtJOn

dient Relations 211

6.1
6.2
6.3

Ar:hltws tn~ tho u w l6

Ccpyigl:r L.-. fr Ard!ir1ta ;
Tht A rmiu<us Erpm Wirntu 4 B
ReguluionofProisu:unl Pnaio. i O
.\141"'] CoaiBiifEdra~ 54

3 Professional Development
U

FUID Pw: Rt'itw ll9

Alltmces 144
Pn:ridng int GbbtL\!ubt I s;
<Nnl'r".hip Tnnuoon 16l

P1>;1UJi:tl111 C.oitt

1.2

4.6
4.
4.S
4.9

S.1
S.l

Ethics m~ ProhundCmeua
l~!i' .il.i

Tt t.'ll Building for Artbit~a< l lS

5 Marlceting and Publ ic Relatio ns

THE PROFESSION

1 Professiona ILife

4j

;;;

.-l.d miNsmdon s:
12.6 Projt:t Ch<<outs S92
a SllSoi.nablt Ouign 602
H.S EnrirOil!I:tnally Prtfmblt Prooc:<
Sehlion 616
12.9 Resmch ~!.tho:!s for Archlte<U 6lS
I Z.l~ Digiul .- \rclutwunl Sumy
'l!chnob!)ts 642
12.1 1 Yt hu Anti)1U 6 S6
12.11 LlffCycltConing 6;

16.4 Corutrua:ion Contrtca S6S

17 AlA Contrad Documents

875

1.1 Tht ..>J.ADocamamProgrtlll

100~ .-iH

Ccliintt Dumtl/II

1.2 Ali. ConmttOocumtna Synopw

by Fwily ss

Appendices 907
.-\. AI lite! Prof!sioot.l OrgarutttiDn< 90
B Sutt Rt;Utn.tion Botrds 914

C: School! aiAr:l:it?Ctmt 91
0 : Sur:pltAL-\Contrtct Docllmtnu 92l
E: Glctnry 9&3

Index 1005

s s
85

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CHAPTER

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Professiona I Life

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11.

as tither correct or incorrect, ethical situations ofrtn prtstnt c ltmn:u in which equally
relt\'lllt petitions compe:tt.
EII:its is tnditionallwC!DMd as the rui!S or mncards for moral hebt\iOr Often
the terms JY_"f1"JJ!iry 1nd ;chi!J ue u..sd intercbw~e1.bly1 tnd to mtny there is no disrin~
tion bmnon the two. The definition of ethic:; bas tlso eralwl ro uprts< 1 ~~ of1-.1ues held by unique and finite group of inc!ividutls, such u t corpontion, legisluure,
induttry, or prof!!Sion. Ethical codes ue btd on common l'tlues and mora! It~ such
as reli~ou; docrrine, soda! c:onl'entions, seculu belief<, and traditional philosophies;
they mtyenn incorporttt the l"tluesof coumsy, civility, muru.J respeet, oroqutliry.
Ethiol s12ndarc!s for doacrs or pritm m differt nr in thir &toils from 1ha of trcbitasor enginter<, 2lthough the core beliefs tml tht man.! guidelines on which they are
founded my be neuly identicaL The distinction in ethical s11nduds depends on the
sptcilic pra.otie<sof t putirulu group.
Ethic:; ilia tle6ne fairness mclequity tnd quite oft!n relttt to ismes in "'hich 1wo
putis lll1Y bolO opposing b1>t qually ,..,ud poim! of1iew ortn imlilidu.t n:y he rom
betwten t'II'O compelling positions. f or enmple, tn ind~idu2l may find that speaking the
truth could bretch 1 confidenoe, someone'<dedication ro frien1llhip might result in
injury to others if t n oblig:uion ro protect the pclllic is i~nore-j 1 or1 clients gotls couJd
b.e u o.=rls hh protecr:bn of the em;ronmmt. In c:truin simtti!l~ ethkal sundtrd5
may 12la precedence over other irnpomnt standud~ f cr mmple, life Wt!f issU!s are
wually perceived as a primary conrtm in comptrison ro, for extmple, obligations ro
employm. Although 1 solution thu positi1e!y tddusm each competing issu. is pr<
ferred 1 OC'ClSiorully t choie is ne:ess-uy. Etbk.tJ oodes 1ddr~ sucll siw tions, but it is

1.1

Eth ics and Profess ional Conduct

Philip H. Gerou, fAlA

Architecl> are conlror.tsd daily with mord choices, compeNngloyaltie;, o ne

col dilem111os. A~hough sud. situations can be ambiguous orparadoxical !
tenels held in common by the profession can help architeds determine how
respond to them.
he need to tnic:u!ttt tnd tO\'oc:1te ethi< mndttds bts nti'U been more c.
Conrun about profession.! ethics, -.bile not a reoent development, boo ce1

beoome more conipkuous in r!coent ,urs. Tb.is \;sibiliry hts hd m ext!

inquiries imo the sources, Ctnloprcent, i~urprernion, '1Ild e~forcercem of*
<<>des.. Prin<iplos guiding prof!!siont.l c:ondun '" bmo on th >r< nlu" b
thtt profesilon. These core vtlues originttt in leg2l delinitions. soci.J mores,
codes., tnd common business pncti>.
Le~l systems Uf hue-rl on hi!toriffi preC~trl:nt tnrl roJrt...monly tre-epte'd
int.eru:dons between inCi\; rluili or l!gtl tntitits. The rights of indi\"irlu11! u 1
tecud bymuraal tceepttnce of !his JesalstnXwre. ContnJ:IU11 tnd other legs! re
sibilities tnd their consequences trt genenlly well defined in ltll' tnd in w
tgrttments . Bur "hen these respon.$ibilities ud their coru:~uences are spuiti
profession, theyrey prove diftimlt to leg>lly enforce.
Thtrt are mtny socil conventions, mor.J beliefs, tnd ethical d~emmu tl
not l~islmd or enfcrad by tny resu!trory agency. Th!!t may mclude 'll'iddy ~
l'tlues hut ue not put of our lesaJ '}'Item he<""&<< they ltclt consensm or rep
conilining: opinions. These \ "till!! u e ofrn dtiineci by rtligjous ~o~nin 1 COC]
p!~lides, or~odttal rules. \Yhi!e morllity 3f!ttibt! behl,;or clut is gtnenlly 1tt

often l!ft to"' infonn!d tnol imp:orti.J ob~n-.r 10 mtl:e the linal judgmenL

ETH ICA L STANDARDS FOR ARCHITECTS

In the t:nittrl Stitt~ there are two\\; dely wd stm~urlsof condutt foruchitetts. In
19" i the ::\'ttionl Council of Archit!crural Registration Soard; (;\C.\Rll) is<ud a set
of model rules of conductforust by its member botrds. KCARB rules are guided by

certain core vtlues u they penain tD the protection of the life, sUt!f, and welfare of the
public, issu!S 10 which ucbittru ue lesaJly bound by indilidual state licensure It\\~.
1\CARB's rules of oondutl bt,-. hesn t dopred, with modifiations, by V"'.rious :\'(ARB
me.mber boud; as part of thtllcensing reguluions thtt apply to incli1idu2l trchill<ts.
Tht ..\merion lnnirure of Arehirtcts (AlA) bts enablished t Cod of Ethics md
Profession2l CondurL This code tddre<< life stfety mel publir -.elfue ismes, tnd
tlso includes rules of conduct that deal ~>i th prof;ssional intenctions between arcbi
""" tnd their collngues tnd their clients . .\!tmbtrsof tht AlA tre tlso hel:ltcc:ount
1ble by the cod for such broad i""'' "stelcing t!!thtic oxcellence and nspocting
the en,ironme:nt.
The first At\ ethiol corl! was est1blished in 1909. By to<hy'smndtrds, <ome of the
original principles <eem out-of.O.tt. Cneer the original code, design build "~' a for
bidden practice tnd ptid d1-.rtising by ucbiteru ,.,., no1.JIQwed. The code tlso pro
bibittd orchittcli from >mpeting on the buisof fees or entering design >mp<titions
thu were not in laeping with lnstiD.It! principles. Th!!t resmctio!ll "ere derind more
from the common bu;iness pnaices of the day thtn uni1ersal core I""Jues or widely
=p1.-d mor>l prindples.
Sy the hte 19"~, the AlA code of ethics hd been signifiam:ly>mended. D<>ign
build became tn acapttd approach to project delivery, tnd advertising was no longer
the tnuhema it had been. By W2 the C.S. Justice Deparunent had dtttrmined that
the 1890 Sherm1n .Ultitrust ..\ctdemmCed thu l!dlitects be 21lowed to compete on the
buis of fees IDd that not doin~ so com-titur:ed an unre:as.on1ble restri.int of mde. ln 1
19; S ru:e invoking the r\ttion~ Soci!ty of Prof::sdontl Engine-trs1 the Supreme Coun
ruled that unfmered competition wz essential ro the health of a free-muktt econ

"'"'t.MMI!'Io-riri.M 'I A'V'ml~ N

1'1.1''1'1'~ 1ft~ rlu "'"'h l..n-il1

AY~ Mt11'1in~tl u<t ( rhrl'mlfh

( !1'1fl:' "'"

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fedenllegislation.ln its opinion, the court dismiss-eo u~ments messing th! possible
negtti\'t efferuof fu competiti~n on the het!th, stftty, tn"!l wdfm of the public.
In 19ii, tn ucllia rued the lnstit111e for civil dam~e; when hil AlA membmhip
m ruspendd foni obting the AlA ~e ofethi by suppl>nting motheruchittct on
t projecL Although the ,;oJ.tion Wti not dispute"!l, in 19"St fedenl dimictcoun ruled
thn enforcement of this ptrticulu rule in tht code\iobttrl f~ul antitru.st Jz.s and
the .ccuserl architect w.sa...u oled subsonti.J moneurydamages.
In response to tbm rulings, in 1980 the AlA suspended itl code of ethics. The follo-.ing yur 1 mtement of ethi~ principles '0'2S established ts 1 guiceline for the \ol
unary conduct of members. Recognizing a neell for mmlawry professioJU! .gnidflines,
rhe AlA Board of Diuaors subs~uendy awoimerl t ask force to propo;e t substit111e
Code of Ethics md Professiontl Conduct. In 19S6 the membership ~opted th new
co~e at the AlA ~ation.J Con\;<ntion. Since thtt time, minor w ; sions M\'t bun mace
to keep p~ with currennechnclo~es, economic rulits, aru! changings.ocialdemmds.

.....

"'"<

PROFESSIONAL ASPIRATIONS VS.

ETHICAL CONDUCT
Some eticol ;iuo-ion; oe r e~ reg-J!oHI by fe AJA
Code ol N.~; and ?ro'.s>ior.a Cond.ci. for xom
pie, lhe pro',.,;ioo ol orchaenre a; a w~.ole may
ospie o comribLE 10 the or~votion of ~istOricol
or.d cut Lral resource; by ~~pir.g to de"'lap appropri
o~: b.ldic g code; oriorm loir g a~; it~ ric guid~lir~s.
Nor~teles;, some orchreo::tsor;, more sLiled o such
tt11h 1f.cn oil!n ; for inst~oc;,, oonicipotion in ilis
af'on may n<r be o reosOM~l: r~uiremw ~r on AlA
member who;: e>Oer"i;; lie; in finor.ciol monogeme~
or graphic desian. Similarly, i i; w o r.qt.iremor,.
rhot oil AJA membeJS provid: pro booo ;ervic:;, o;
;ome may choo;e 10 ;upoon causes or orgcnizJrions
byotl-er m;.ors. A code of ethics conro; embrace
every OS?irOlion r.f o pro'es;ior.. Rotf-er, i1 most exf i!>it
rostroict i~ de \r.i ~ oclions o whichaDmember; may
reo;ooob~ sLbnit.

AlA Code of Ethics and Professional Conduct

The current AU Corle of Ethics nrl Professiontl Conduct
&fine:s in cntil the ob~ttion; of.U-1. members. The
isorgtnizell inw fi,e etnons thu desaibebroad principles
oi conduce ~enenl obli.gmons, oblig:ations to the publie,
ob~g:ations to the dim~ ob~.g:ations to the profession, :md
obligations ro coUe2.gues.
Etch onoo isdefinec bva number of erhicalst:md:ards.
These sttndtrds provide m~re defined ~otis, which membersshould aspire ro in their probsional performmce and
behtvior. Inrlivid-Jt! ethi~J sondards incorpoTtte specific
rules of conduct thuue mtndttorvtnrl enforcet ble. \'iolttion oft rule by m AlA member ~y be grounds for disciplinary action by the lnstituie. Commenttry, ,.hich is
oifHd mcltrifyor eJ.borm the inttntof the rule, is pro
,; &d for some of rhe rules of conduct.
The coce tpp~es to rhe professional acti\ities of ill
AlA member; regardless of their membership category
tnd is enforced by the ALl. :\ttiont! Erhics Council.
Only JJA members m obligmd to comply with rhese
sr:mdards.

coee

AlA National Ethics Council

The Nationtl Ethics C.ountil (:\EC) is m:ade up of seven
tnd :appointed according to specific credentills. E>eh of the
!t ven mem hers repretents 1 ci\ers eoon sti we ncy. They come from \"trious regions
of the country ana diffrent types of pneliee ani profession.J btcl:y ounds, and
rhty ue represon a ti\e of the gwen! membership btsP.d on di,erse ce.n:o~nphic
criterit. Prospeetin KEC mmbm are recommended w the All. Board of Directors, which malces rhe final decision and appointmenL Appointmen!S tre for 1 three
year term, t!thoush members of the NEC mty be, tnd usu:ally m , reappointerl for
secono three-year term. An NEC member may not serve n:ore rhtn 1'0'0 con!tC
uti,e full terms.
The full ethics council meets three times per yeu to hear tnd coosidercompltints.
The puticulm of uch em, tlong .,.ith 1 recommenrlttion for resolving it, m pre
sen ted tD rhe NEC by one of its members who runs as 1 hearin~ of6cer. This inrli
.U~ mem bm selected

The principtl mponsibitity of rhe NEC as define~ by the AL\ Byltws is

enforcereent of th AlA Coce of Erhics tnd Prof.siontl Conduct Ho..-.nr, the
XEC lso provices ~uirlelines to the public tnd -.ithin the lnnimte on 1 l'trity of
professional wpics.ln addition. the KEC presents progumsu rhe AlA ~ttion.J
Convention, to AlA components, tnd to schools of trchittcture throughout rht
country.

AlA NATIONAL ETHICS COUNCIL RULES OF PROCEDURE

Loc.J AlA components mtnt~e erhic.J siwations in a nriety of >ny>. Some components prO\~rle ao\ice tno meCittion for ethi~ violttions thrrugh nperienced members
or emblisherl comminzes, while orhers simply refer local inquiries m th nttion.J
orgtnintion. The ~neTt! coun!tl's office at rhe nttion.J component is 1\'1ibble to
answer rechnic.Jquestions conttrning the AlA Code of Ethics tnd Profssional C.onduct tnd etn pro\ide other information to members tnd nonmembers.
The AU :\ttion.J Ethics Council hts esttblished mitt rules of proce~urt for
considering erhicsc=s.If it is believed thtt a member lm \iobted the code of ethics,
nyone- member or nonme.mber of the AIA-m1yinitim forn:.J compltint. The
proms foU<1.-ed by the :\'EC is as foUo"''
f1hics complaint; og airl$t AJA
m!mbers sf.ot;ld be cddres;ed 10:
Choir, Nonor.ol bh~;Council
A form.!, written compbint mty be 6l!d'11ith th AlA genert! coUJI!e! foUo,.;ng 1 "'ellT~~ Am<ricor.Jr.;i"ll"~ oi Archcec:s
defined procedure. Complaints mu;t be 61erl wirhin one ym oi the dm when the oom1735 Now Yorl Av;,r.w NW
phintnt becomes twue of the tllegell inrnction. Once 1 complt.int hts been filell, rhe
Wmhing!QII, OC :!l006
AL\ ~ener-.1 counsel's office informs the tccused JJA member of the com pltint tnd
requests 1 "Ti!!en response.
F ~i ng

a Compla int

Initial Chair Review

The com pbint, tny response, and tny other document1 prO\i~ed by eirher party m
sent to rhe chtir of the XEC for review. If the ch:air, in cansulttion wirh the AlA gener.J counsel, determines rhu the compbintnt's allegations would susoin t ,; o!ttion of
rhe Code of Ethics if prO\-en aut, the case is tsslsned to a hetring officer. ! f the cluir
dmrmines thuno viobtion of the co<le ,.oulrl exist even iftU rhe compbintnd t ccust.tions '11'ernerified, the cluir may dismiss the cue. Any em thu is currently being
titig1wl or i; llndu consirltJttion by. rtgul>tory tuthoriry-.ill bt ceferrell until after
resolution of rhe le~.J action.

Assignment of Hearing Officer

If rhe chtir determines the ~ !hould be heu~, 1 betting officer is tssignell from
tmong the current KEC membm. P.rson.J knowldge of the AlA membtr or other
prt] or of the case involved, geognphic prol'iJl'Jty w the case, or professionti b>clcground m:ay be younrls for recustl. Once 1 ctse has bun 1:>signe1l to 1 hearing officer, the officer mi ew; the cue to confirm its ,;ability. Although it rtrely happens,
the hetring officer my recommend dismiss-al if the f~ts of rhe em inCicare no viobtion occurred or it wts dt minimiJ. Xol'lll2lly, ho,.enr, the hearing officer will tyee
-.oirh the findings of the chtir tnd will inform the genml counsel thu the ctse sholllrl
procee~.

Pre-Hearing Conference
Apre-heuingconference ctU is trrangell with rhe compltintnt and rhe retpondent
to di~uss the issues and the possibility of a resolution. If no resolution results

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Attribution of Credit
The Heoring

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At me heoring, the puties may reprmnt rhe.muh-.s oc be repreunrerl by legal 00\!1\

s.l. T he oomphintnrwill nat< the basi; for thechim and refereno.spe<ilic rule infnction. The re<poncenr is allowerl ro pre<..<nr testimony mda~dition:ol facru.J evidence,
but In')' not inttorluo. documentttion notprexi ouslydi<tlo!!O. Wimess ue allowe1l
to testify. The entire proeCure is u.sU>IIy oonduced in one day.

Report, Recommendation, and Decision

The b02ri~ officer, in con)maion llith me AlA senml COWlst~ prepare< 6ndin;s offoct
in the e><t mo cmrroines a cour<..e of action. If no ,;ob.rnn is found, the e><t is osrnisserlanrl the puties notified. If the respondent is found to have \iobteo the co~e, the
heuing officer reoomrnends one offour J.vels of penalty: admonition (privat< sanction),
ensure (public!tnction), su.spen;ionof rnember!hip, orterroimtion of rnember!hip.A
written andoru reponi; then made totheXEC at itsnen~heduledmeetins. The XEC
then vot<S to uphold or amend me reoomrnend:ations \lirhout the hearin~ officer pre<
em. Enenumng circums12noes, such "' the respondent's oclcnolli edgrnent of re<ponsi
biliry or a unique siruwon, may hm a mitigating eff,ct on the heuing offioer'; report
ortheXEC'scelibmtions. The 1\t:C$ 6ntlrinen ca:erroiJution isseni w etch pmy.

Penalty and Notification

T he pensltiestl""aibble to the XEC mas follows:
lfdmor.iricr. F 'llll}. A!mer of the ruling is sent to the pttties in\olred tnd kept in

the respondents membership 61!.

Ctr.JUTt (pu!lil). A !mer is 9.Jl[ tnd notilication of me C1!'- tn~ rulin~ is published

m the AL\membmhip.
S!l!fm!b~ of~tuJI'Jm}Ap. The responrlen!'s rnembmhip is Sll!p'..nrled fort peri~ of

time, usutlly one or two yean, .nd the ruling is published.

Ttrlllir..tli~r. ~1mn.Am!:ip. The respondent~ membership is t<rmin1ud md the rulin~ is published.

Appeal of Decision
T he responcent mty appe.J me XEC"s decision to the AU EX!cuti\e Committ.e,
whose subsequent ruling is nntl except in cases in whith cerminttion of membership
is the pen:olty. Those caus <retutomatically tppe.Jerl to the AU Boud of Di.rector;.

COMMON ETHICS VIOLATIONS

Altho~h

the AI.A Code of Ethics tnd Professional Conduct reguhm a llide r.nge of
professionu tctilities, u ver-J issu" genertre the majority of compbints. Th<Se include
the follo'ling:

Attribution of credit (i.e., mting or gi'ing prope.r credit for project in\olnmem)
AroJnte represenution ofquilitie2tions
Aa>inmem tnd pro1i sion of enmples of ..ork
Bz ic hones.ty

The predominm rmon these fouriSSU$ continusDyresurfaC!! is that e~hhistnidm

ti6tble injured p1rty-1D tngry colleague or an upset client- who is int<nt on seeing jus
tice m ved. .ilia, a-en if the alleged infraction does no1 hwe legtl or conrracrua.l
consequences, it may sti! comprise tn e<hic:ol bretch. .\{ore strious i<roes, such as mi<>ppropriuionoh dient'sorptnner'sftmds, t<nrlto be presented m me:\"EC k!s frequmd~.
If> member knOilin~y violi!<s mela'I{Rule U Ol)or di;play<Ci!erirninuion(Rule 1.401),
for insttJU, other forums11i1h moce severe remetlie< m n-.ilthle to the offended p1r!f.
TAAffM ~M.o '''ni~!'IN M it"n Nt.l'l'\mMht M.o<.mr>Od ' "' rh;o '-'Tr rN fnlll'luir~ ~r

Architecnm i; a profe<sion in which design capability mrl originality is priud. lnt<lletru:ol property is the most common proofof worth in terms of ttl!nt and experience.
HoweYer, the collabora tire naru.re of contemporuy procrice sometirn.s obures the
in~iYdu.J contributions of ch te>m p<rticipanL The rnore oornplex the project and
the more prolonged the cesign and coostruction process, me more indi\iduili may lay
nlid d>im to cre.:!it for some pan of the ..-ork.
The most frequent viohtion of the co~e of ethi01 is improperly ttl<in g or not giving tppropriat< crdit tnd re~gnition. The :'\EC recognizes th" theu infrrtions ue
frequendy due to 1n inron:plete un~mun~ing of the ethical st2ncuds md rules
of ~nduct that direct member; in this area. The follo..ing ethical nancards tpply to
this is!\!!:

Ethical St:an<brd 4.2, Dignicr and lru<grit)' .\{embm should sttin, th.rough
mei.r actions, !0 promo!< the dignityan<l integrity of the prof..sion, md to ensure
!hit the.ir representatins tnd employees conform the.ir conduct"' this Code.
Ethical Sc.md:ird 5.3, Prof<Ssional Rro.gnicion: .\{emher!should build mei.rpro
fessiona.l reputation on the writs of !heir own ;.micund ptrformance anc should
recog:nize and gin cr.Cit to others far the profe<sion:ol "'ark they ha"' performed.
The rules associmd with th~ standards mandm the requiwl profmiond conduct:
Rul 4.101: .\{embm sh21l not mtlcl midetdins, dectptive, or f.Jse statements or
eltims tbout thei.r prof<Ssional quali6otions, experienct, or performance and shtll
occumely mtt the >>pe t nd nuure of their responsibilitiu in connection ..iili
work for ..hich they m dtiming credit.
Rul ).301: .\!embm shall reco~u tnd rupea the professional contributions of
mei.r employees, employers, professiontl cal leagues., and business tssMittes.
Bmd on thm sund1rds tnd rules, the ~t: C h25 do purl ~idelines oo help AU
members derennine bowrohtno!le thisconctrn, tlthoughindil; dutl ""'' mty pre~m
circumntnces nouxplkidy conud. These guidelines m recommenced for tpplica
tion "'tnyora~ ritun, or gFophic repre<entation of an archiuct's work, whethEr it ns
developed far u.se in t pubUc orpri1-ate prmntttion.
Follo'l'ingue the AlA Gui~elines for me Attribution of Credit' (tho pubUshed
on the AU Web site) that should be considered when mal<ing reprmntttions of an
u chitea's worlc:
An uchiucrunl projett, built orunbuil~ invoiYes any ofthe smices pro1i dec ~or
1Jnrler the direction of an architect
In tnalyzing attribution-of-credit issues, the i'\ttion:ol Ethics Cound 1!-"Pically views
the Archito?ct-of-Record as the legale ntity thtt h>s contracted for md complet<d the
work in question. [The entiryi can bet corpontion, partnership, or incil"idutl archito?ct.lf the Archittu-of-Re~rd takes credit for projea, there is no fur mer need
m define the role or ttato? "Architecr-of-Rorod. t nless specifio tttriburnn is noterl,
it i> assumed the Architect-of-Record i> mal<ing repre~ntation of complete
responsibility for a proj<ct, including the design, produaionof oonsttuotion documtnts.: t.nd consuuction obstn"'ttion.
A.\lember ttlcing credit fora projector a sptti6c role on a projea other than a; the
Architea-of-Record mustdetrly define thtt role. In ~C.ition m the .\{en:ber'sspe
cific role, the Architect-of-Record must be acknowleC.ged.
ltis not netesstry to presentt complete or ahtU>"ti\0 li;r of all the tetm puticipams.
ThetcknO\\Iedgmem of mtjor team pttticipants is reco=enC.ed.
Oe<i~nation of the .\{ember's role and/or the Architea-of-Record mu.st be ob,iou;,
pltini] 1isible, tnd legible tt the anticiptto?c 1in'ing distance. The referenct ten
should be no hss obrious than the !!xt l!i!d m describe the projecc The description

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mu;t be <p<cific enou~h "' make clnr me H rli C<!S me Momber r<ndered on thi!
projed. In t.h! instance of mtil er/pos=cl !htt shows onlytn inuge of projttt or
the front. it is nerestry to gile the tppropriut credit on the o!her side. The .\!em
her shall not onntnet tctullly or L!IJ1.plicidy, tDslher inmlvernmt in 2 project
lftttributi~n of crelit is not previously defined in t l.. ritun tgreement, tnd to tU>i>
pottntW conBict, it is recommended that .\ftmbm ope.n t ditlogue bmne.n tl
concem01l parties prior to m2.king ny represenmions.

Accurate Representation of Qualifications

It is human ntrure 2nd good business pr>cli to prestnt professiontl qu21ificati~n
in the best light. Ho11ner, Ovtl>l2Un::ent, eren if ll'tll-inttntiond, on lead to unre
alistic e>pectttions on the ptn of the cliem ar o!hu project ptrticiptnr> and thus "
rubsequent o"ner diss-.ti<fction. The ucl>itect-of-reoord mustultirntuly be respon
sible for compl}ing ..;th l2ws tnd eocles ts well as with o!hu commitments, such 2
the project budget, a client's goili, builcing's funttion, or eD\; ronn:ennl sttnlards

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Rule 1.101: In practicing architecnm, .\fembm shall demonstrate a consistentptt

tun of rmootble ctrund canpeunu, tnd sball tpply t.h! technieal kno'll-leclge tn>
sldD ,.bich is<rdino.ri~ pplied by o.rchittc<S of good sttnc!ingpncticillg in the
loality.

Rule l.!Ol: Memberssb.ll underul:eto perform professiontl services only "'btl

!hey. together with those whom they mty eJIS2g<as consulonts, ue qutli6ed bJ
due:uion, tr-aining, or experience in the s-pecifituchn.ietlue'is im~oln1.
As 1n uch.it!trure firm e\oh-es, its exp.u-ti!.e ID'cy become Mmewhtt different fron
thusott d in promotiontl mtt!rials or in t prtli ousmmnent of~utlifiroions. .\!em
bers ue obliged m tlwty< e.nsure that the e>pertise tn~ ri!S<lUices prestnttd mud
tho<e !Mt ue currently 11'liltble.
Proftssi~nili ue ofl!l! compelled to mah commianenu re~ucling time, cost. o
result> bued more on the urgency of me moment than on r>tiontl eraluuion. Toe
often, uchiw:ts make chtnges thl! aff.ctth scope or burlg<t ofa project 10ithoutpre
stnting vitble options or possible nmificttions of the proposed chtnges. Architect
mayt!so feel pressurtto mkulttt result> by describin~ the fintl produet of me wor
in ttrms thttntruullyspe.l: 'II' el l of the proc.sHnd the uchiuot'; ctptbilities to 2tttil
thost mults. Grettctrt md restnint<houl~ be wen in ehrifying expecotions rebt
ing to buc!;et, bwlding f1lllction, qu.lity of muerials, md otheranticipmd result> o
the cesign process. Projett tnd individu21 responsibilities should be cleuly definer
contrattU.Uytnd verb.Uy. Re1isiting the follo11ing mumentsofobli3ation periodictll
throughout the life of a projea is btnefi<ial:

Rule 3.103: .\{embers shill not mmritlly Iter m <eope objectim of 1 proj
e ..ithout the client's consent
Rule 3.301: :\!embers shtll not inte.ntiontlly ar reddessly misletcl existing o
prospectin clie.nts abour the results that c-.n be aohiev01l !hrough the use of th
.\{ember's !!rvi~. norwll me .\{embm ;me thtt they C1D achieve rerults b
metns thani oluupplio ble ltw or this Code.
Helping the die.nt ruoh rulistie e>pecotions is impomnt The medial professior
chtncterizes this ts informed constnt, where 1 ptti!nt must be infnrTt!ed of 1 simtrioJ
to the level of undmttnding !htt 2l1011s an informerl decision. Clients in \'t ty pro
fessionCe~n-e the s-o~Jne considention.

Attainment and Provis ion of Sam ples of Work

In light of curre.nt technologies m;l the v-.riety of roles thu architects p<rfonn, cefin

in

tn

archiu<t's work is incre>sin ly difficult. Forerun le, should tn trchi ttct wh,

predomintntly ern ted t6pted computer softwo.re or developed uniq"" r.echnicol

cmili begivencopiesof thu w<rkuponbvinga firm: Howan th~ rights of !he firm
tnd of the employee be protecr.ed: Ethi~ Sunclud ;.; pemining to profession!
ree<>gnition pro\i~est fr-.:rr.eworlc for guihnce (see abo,e). The sp.cific rules thu apply
t!l this que:stion ttt th~:
Rule 5.JOZ: .\embm lming a firm w ll not, wi!hout the permissi~n of their
employer or ptrmer, olce designs, cn,.;ngs, dttt, reporu, nor.es, or other mtteri,J; relating to me firm\: "'orlc, whether or not perfonr.ed by the Member.
Rule 5.303: AMembersh.U not unreasontblywi!hhold permisgon fromt departing
employee or ptrmerm ol:e copies ofd~signt, dr211'ings, dttt, reporu,nott;., or other
maernls rehting to ..o rlc perfonnsd by the employee or parm.r thu :ue not e<>nfi
C!ntial.
In addition, the co~e provides the followingcommeni".J)o' "AMemb.r mtyimpost
reosontbleconditions, ;uch >< the ptp r:emof cop}ing com, on the right ofceptrting
persons TO oh copies of their work."
The best advice is thu me question of whe!her tnd boll copies of ,.orlc will be
gram01l TO an employee should be discuss: before an employee decides"' lm e firm
or ttl east during the depmuu process. This discussion '"'Yhelp mitigl!e an ' "'lc
wo.rd, emotional, or 1obt.ile termination process. Adepo.rtingemployee should e>pect
to recek e retsontble tumpluof work; me emplOfer is not obligtr.ed to mtl:e me entire
\'O iume of work produce<! by the employee 11-ailtble. The
intent is to tllow the employee a re>sonable oppormnir:y
to preso.nt qualification> to furore err.ployw or potential
COMPETING VALUES
cli!nts. It is equal ly impon'mt for the firm to rttlln pro
primry or con6dentitl mmri1lstnrl the work produru it
rightfully owns, such u ren~!fin~ phowgraph)i or pro
l'l".:'Oriing prd e! sionok :rom iimeio time or: pr::.:r..le-d
primry softwo.re. The .U\ htspublishec 1 Btst Prtctices
~o~iil> Caflllir~ abliJtrions, ;ud a; 'omiy responsibi>
trticle titlec ' Persontl t:soofOocuments: .\Stn:ple Firm
Policy~ to help firms establish pokies for me ethictl US< of
risor r.~gioiJS corvic:ion ' or oxamplo, emf>oyo;;s
docume.nrs during and fteremployment.
nay dedde10 worl:o~id: i>e ollie: 10 bo.:ilda dierJ
base, roh od>erJoge of oppor~nioa; o d:mo111~oe
d:si9' r~ or simply mole mooy. ln do~ so, ilty
THE FUTURE
mayurwnri~ly .x;>~ "' firm ., ;,biliy cod rnoycam
Defining prof~sionaletbics for t.h! o.rchite:we profession
promi,. r!l.ir """ abniy 10 porbrm ad;.gcooy 'or ltle
...;~ remtin the duty of the .\meric-.n ln!tirute of Archittcts
compe101ion r!l.y are rec:i.,jr~ . Or. on e-npbyee moy
tn~ its 1'\ationtl Ethics Council..\s they b11e in !he past, the
LJ< rf.e firm~ !OMr. lor ;>"r<or-ol use, believ~ t.or r.o
AlA Boo.rd of Oireaor; tnd ::-IEC 'll'iB periodically reenlu
ttt the Codt of Ethic-und Professiontl C<>ndutt bt!ed on
Mrm isdw by rrokir~ a copy of it Arch~ecr; l-ave
the profession~ ee 1-alues'llbih responding to socieol prescer10irlly li.d, >Jolon, defrauded, or rcl:=nad>en'Jg. ol
runs1chtnging bminets pncti~1 1d\"'1ncing tt-chnologi~
a lin.a-ion. Somorirnes ire ildividual is wo ~r erui oned,
an;l le,;ons lmnd from the results offurore ~t.igtti~n.
lOrne ri""'.; 1101, b:n akr>:>sraf...oys ~. or lhe f;,els j~srin.d

For More Informati on

The AlA Web site" .....w.ait.org!tbout...etbics pro1irles
curr<nt informttion tnd resources. The proc.ss for filing
tcompbintis described. Also pomo m the :>1EC's pm; .
ousdecisionstnd t<lli..<-ory opinion;, the rules ofproc01lure,
theAU Code of E!hics tnd Profes$iontl Conduct, .guidelines for uuibution of credit, tncl tnswe~> to frequendy
tSkd questions. Specific q>Jestions mty b.e diremd to the
Office of the Genertl Counlli tt (202) 626-i 311. .\fembm of the AlA !'\ttion21 E!hics Council mt y be tV1iltble
to offer progrun;., 'll'hioh induce C><e srudies, 21 AL.\
nttiontltnd !oct! events.

in ~is a ~~ o::~oos.

Ardjjecur: is a prot::.sior r: pJe,-:- with COOl~~

110kle>. Wiilin,...ry pojoc1 are d:cisior> o be modo

cil01.1 qoliryof moe rio~ "!!rM bcQ;ol consJro~ls,
awnerp mcrib.d re ~i remetll vem sb;idir.g cod:sor
archi"r. rol revi:wco!Miae.;, or.d corJid:nndiry"!!r
.,. tru+.fdress. i:e;o lv~ tr,e;e corJii:-;do.; oo r:quire
deci;ionsabo" rif!.: a<l wror~ bll" r~r.r decisions.,
r:colV<? smLmions in whichcomp:ri~ prindplesar:
:q.aly ' ""'""' bor moy ~ mu-ually xd.sive.

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BACKGROUNDER
2004 COD E OF ETHI CS AND PROFESSIONA L CONDUCT
E.$ . 1.5 .\!itod .\m & bd""J!:ries:
~L"'!t.bers ~o:ddtan:..J~ llli..~

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TBI: ,-\.,IERICIX!XSTinII:

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or .-IRCHJITCTS

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Ethics

FROM THE OFFI CE OF GENERAL COUNSEL

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t.-..s l!ld c-o~ :n1r:~t.: :o ~e

bowledse .mdc &;~,t, ii:yo f!he
;~liin;: inchs-"'et ;u' who1e~

2004 Code of Ethics

&Professional Conduct
Praambla

Cccr.muy is ?10'\;ded {or SOft of :he Rcle~ of Cd'%\. nu:

cc:r.:r~ nt::.e.m: :odzrify or eh.!lan:.e Q e L-m o f~ e !"Jle.
T~ can::r~ :l.i}' ism: j!t= of ~ e Codt.. Enf:K~ wiD ';e
d~ned by ;t?li::.z.:io:~ of ~ e Rcle:-1 ci Caru:b:: t bne: ~
~~:c:n=r.::n:l.l"')"i l u sr.t lh:lse s:tlir. :o ca.tf:tm: ~Orca:~d:Jc: t:t
u-~ Codt nd :bosec~ U!>~ l'oi:h i!s ~fazc.!l!;.ern.

~L~b~ oftb: .b:.eri.::m lu.ci:..r :-ofA.rdii ~.:s. r

e d~tced :o SUttmtl\1 ill COmpliance WD Al\1l1NSt Law

the m~s~ ~d::e of pf~ui=!lis::r., an:;:~ . !:II! The- 6 Dowit;; ;r:dcz.s ue :oo:, in ~ e= eh't':S., =dial.
c.o~:.:n:t-e. Thi1Cod: of E ~i:: ~ m~ ?.-ofe::ri.:lw.l Candr. n: ~
unpDr~ m:!!l. or OJr::r_ry 1:1 .!.~ ?Oti:J cr nr -"~
;~~li:! el f'C! :he (l)::sd:!C: or ~r.:n":!m in fllfil &%12' :bo~
Ins:i!.l.:tcf A:ch~3 ar .a:~y ofi:..sc.<r.:.?Ondi:S :
obJi? :iac.s. The Cod! is mm~ in 't:!! ~ eo of a.:~...~ :
( l)obc-..::i=; 1i 1:1)' ti!r..e. ecrt.j:e'iiU\": ~id s cr pt:K,:
C!roru,. E-JU:ilS.t~ d!!~ ~d R:~l~ c:fCo!ld"Y!:
q""X~U.~:ZS. D:bdt~ iu c:irC'.c=..r.ce Ytile1! ;R..e n ~
C ma~s ue~ FJnci?J = oico:cd:.c:....
sole cr :rJnci;.:.l c<.~nsidetz.i)n i: :he se!:Qo:~ of 1.:1
' E~ S=l:rd: (.5,.) "' "'"" '!"'if< ! Olh n-.rd
t:cl:i!e.J:;
l"oici~Me:rZo ~a;~ld ~p.: iop::a:euXm.tl;:~o:.r...t..'lC;e
(l'fD lidin di ~q.m=o; or
.m:f:.Su.\io:(!'JllDridln b e senl:.es.
Rw ofCoo:bo(Rllo) c ....;.""l' ncht1:11 of
R.cle u gouois r~ dirl;:linuy .tdC!fl by ~ lm::na..
R2.s ofC.on:bc_ in !Alit.! in.s:C~<:e:1. 1%:.?}~ :r.ore 1W tndi'Vid~ ::c...iileesor udrc ~::e fi:::t:, u::i%1~ u~ ::d %:0'!
':!e.i:Jfoft..:lru.:ir-J:: cow:l)' ofi:.lc..o~u-~ .c free :od!Cide
on : C!.~~o! E!ltl S..!nihrd.
fo r'5 ~2h-es whe-.lt~ nm 1:1 ~-?;e in J...'"'!'f oi ~..e p!'r.V.~
Tre Codt !?Flies r~ ~he ro~si:lr:2.l ~d ,, :ies of Ul cluses of .\.mi:rJ:: h:\\?e-m::i:S t.ebls::inz:e.. i scr.?Onents. cr Me:r.!ers
.!1\'0C.~ 1 ~-ts h:i-:e a! o?. ~ EO\"e'::~ j!Olicie ar r.ia!ls
~1..-n:~.\\il ~s- :!:ey oca t :.0:!~21 r~ansi=ili:i= :o !he
;nOli:, \\~ ~ lhe jll'c:fession s:rres .t:d e::1rdt: s; D :...~etas rek:in: 2 =e :a-a.c:ic:,e-.1. Fir.:.D.y, .udieas ~or.:.ld. CDn:izr.te ~ o
connh \\i ~ S!.C h:ws o: reB"iirions 0l"ernil:!. :he ;trl.::i:.e c!
2nd~ of tdlile:Qre D:i io ':l:e'Xildin ~ 1:cb:its. w!lo he~
:.."'Cl:S:ec::;c-e.
:o sh~ :h.: ~mh emio:m:~; t:.ld ;c :be:..-: 1.1-d s :~c.e of
m:l!i~tre, ~a: <tin"J!Ct cf l::xrtY~ m:l at:;o: which is
:be h:ri~ e udJe:J.cyaf ~ : p~e:;.:s}.,n..

CANON I

M~ben sh3cld. rr-imun utd .liv:!!:c.e

~he:i: k:xrwJe.d:._"":ofZ !:'ll:ld s.:i e~ cz o f
u:b.t e:-...u-e.,res ~ :.b:':ladycf

c.asutu::on ?l;l:m of lUStCntblr

are ed<tiie'n;C-e, a~d s!uJ
q;~ :he oousi,a!laso""de
cd w1Jmso ;, rimrilj
q;lle:ibytdlitusof:x-J
s:t::ldi:nf pod::m in the scr~
]OQ.tO)'

cow ...r.r;;:ry Bpt;r.rt",Z Q 1101'.!!:-!ll:Z

:.r..Jii~=-&1 U:-CDn:;tislm'.:n:. C.:ri:l::e

:o 1:s =OW~ ~'~Jflr.:'l'~y ca:ui:::l ~ :he
soci!l ~ de"!!VltC:I ~l='.Ft:Cf~ er

~:mf of~_F...tnl'~~ Zt !hc,:~.!P~.d~

?;.J:(e.:sio:ul u:::ivi::ies., 1..~ ex."!ci?.

len$! :.:xt o;~:.:c_;mr.;ised ~:cf~si<=&l

jlfl'd:sq:. M t:!J.C.II:Mrll'~t!JIJ "l

ju:!:::r..= t.
f 5 . 1.1

K=w~ : "'d !>:ill: M::r.!=

~"Jld s::ri\>t :oir:;trot"e ~eir
:zrafezi:mlll:n~1od: 1.1-d d:IL

Rule

ln;~::O u-Jm e:t'=~"~

UM

!Jer.~m-slWide::r~nsn!et

:::ni:lioj '".P l2'1\:t, zi:s r~ Qfb~

f .S. 1.2 S:cl.uds .afi :JCeJie:no::

~t ~=-s ~~d co::i:r.lll1y se6:

tonis:th: r..u.:h.
.
..-dsofc deit
ov.D ~-e. L~i!~ ::~r-1

Obflgstion to the Pubi c

Rult

II. i:l Ute: course of Oeu w-,t\:

Utl

011

aprojoo,:h: l.t<m~s
=~am. no cf' de::i.sion :a.tc
bytb!'ir ~ Joys or c.li~~ wbtcll

.u d ~ rv t;l:e ?iblic in:~~: 0 ~e:ir

viclr-..es .myll-,on~~ticrnatd
whi:h will. Cl ~.e M~~ '

?rnon.:J .wi?:ofessXual u:ivi:ie:s

jwt~r=. mat=ri&Uy

j!'Oission&l SlcZ!\'C:I'S,
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de-:isi:rn,. z:nd
(t:) r~:pon theL-nsl:lr. utbe Jo-.::.&1

cf'd!:t'ir ;ta!~sit~ru.lpn~::: ,
k.now-m.;ly VJele '!he llw.

(Q!'S.!'Jtn:ry TN v :.:~ I.=:.M~-~ l~lti.

b.ildZ ir..s;-aocr c1h~ pgblic

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Obligs!ion to the Client

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of:iu"'P)T'..j}u crw.~ttr: A ll ~r.Dtu of

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~i cin!cr~r:Js;>e:trv e p:aj ~ m

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3.101

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tivfir..;;iu!pm;c r. an o~dlf~O~
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1.116

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m !he '~:ifi: ~:hltic.al cas

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CANON Ill

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pr:Jm:l, ll!!l~4t m ~ h~r:s Ji:.rr d:sap111!t

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lJOl

ue:

for rulcin
nell swerr~o.s onrhen '3!ey

offidaldl.& r~ed wiU. Ule

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M =.~ Mnotdiscrit::iu:e in

:!:le'i ;f~=Nll\ri\'C6on :M
~sis of :z.~. relia-D:c. ::~de!.

M.."':D:en sh.tll:
{a) &d~iie their e:cployeror c.lieru.

~zt:.hensllll no:.intll.:c.on:b:::

\'lOlr::ti0/!.1 oj1lu ntlt MlUt ~~ b~:.tioa

&frte::

~hmety :lte uf:ty to Ule p ~b llc:

of !he finis.hedproj~--:., the

5 . 2.1 CandJ.ct: "J e::n.':m sl!crJ\::1

-.!phlld t.e h w in 1le ~li:d :J(.: cf
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lJOl

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J'llr..sd;.;:onor .lO:: wl~u:.:srr.:law ar

CANON II

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c,em$e'!'\'e :lte-e-n_:tlf:l r~ dcobnl
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e ~.i tmm'zn: !..'"ld :h e q-J.!l~
cilifewDn i:.
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\':~~c.,. of,: Io. or ojjo:d, :hill w

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tende:- s"Jcl! 2 rvl: e1-

E S. lJ Chi: Re$f!Orai;i!ity:
M:m::n sb ould~e i W\'Olr:d 1t1
civi:: ac.tivi~es .u c:i:i::~ s &Dd
p:o:ession.tls, :u~dsboWd S'!ri\'e 1)
~;ro\-e jl~b l ic ! ?f:uirion !nd
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Role
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sllouldtvol~c:cc fti c:-.J o f in ::: ~:
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c"'::tfic.s u :h: y L-; s:.

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(cct~r.nu@!/]

2004 CODE OF ETHICS AND PROFESSIONAL CONDUCT

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tu C.4t or applablt law.

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nt.is Code.
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fahe

meriticf!Uiro.'lllm1cearu!
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Ditttt~.

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(a) A~i:la:

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Amendment

t.tw;josoft!<ig~S, d'!,..ilt~
btl, ttporu, CQ;;:;, 0< O'.l:<t

..urul.i ttl1tll!g to ..ode

ptr(Dtmt<! by!U l!l!l!icyteot

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....

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/jl.fcia!i:'l.

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CC!!~&!:!"..t:.'T.' E:!c: ..;~

5) AI proc:t~ att cor.ii:!a::ala; u

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Appicalion

m;b,m.prda!IDe!l

Role ll!:m!l!rs sblll aul:r tas:altlt

Utl .Un ::oa!Sll't:l:aiilosto..

:!o.J:r ocfu ft\, o:..,:,.t..., trd,

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AMENDMENT

) It !!Ibm sbll t!t~ ~

It!pte!

z
Q

ENFOfi:Er.ENT, AND

<ecn'b::!iocscJtbit..,f~

lbl.161! 1~!

C=~"'!c:.t:r) OJa.ci)'a:ard.~t:!c:.e
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pro!mio~ t!j~Uttrloo ot ~e

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RULES OF APfi.ICATION,

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1.2 Participating in Professional

Organizations
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Ancroo S. Rutledge, SDA, CAE

( 1 934~

Participo~n9 in profes sional arganizafions can help architects enrich their

careers and confribule fo the odvoncemerl of the profession.

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..\rchi!!ru Wls into this etli!gory. Foundtll in 185i, the Al~celebrated it! thirty
thin! anninrsary in 1890 2nd hac just elecreo its third president. Other fm.iliu
gtni zations ,.,ere founded luer: the American Bu Association (ISI S), the
or_
X; tion.J Society of Professiond Engineers (1905), the Associmd General Con
rnttors of .luneri~ (1918), and the .\meri~n Council of Ensinwing Comptnies

t seems ts though there is tn tssociation for everything. Xeuly enry profession,

vocation, avocation, or trade hast soeiery or tssociation orgtni z.ed to meet the
specific needs of it< member< , md the tnittll Sates hts the mo!! fully em loped
tssodtion sumr in the ,.,orld. Even Gmi;on Keillor spoofedour n.tion.J prodility
for form~ tssocittions, inventing the American Duet T tpe Council ~ 2 fictitious
sponsor of his raCio sha.~, ;I Prairie Hcmt Comp~lli'11.
The most basic function of >SSOaations is to distinguish their membm from oth
m in simihr professions or t}-pts of Cilmmerce or to bring mgeth!! indivirluals ,.,itb
ccmn:on 1ocationtl interests (e.g., the American Industri.J Hygiene .J.ssocittion) or
vocation..! interests (e.g., the Rotc Runnm Club of America). Sum orgmiutions
ue most often formtll m pro,;de information m the publie; to set st1nduds for a
profession, system, or S>O..niee; 10 represent their members' interest> before legish
rum or re~uhtory bo~ies; or to pro1i de SJvit"'s or proouet> thu enable their mem.
bm m succeed..

EMERGENCE OF ASSOCIATIONS
Groops of people mocimo by the business they engtse in hm been uound for 2
long time. The mon rerogniztble precu!!ors of to<h}"s professiontlt!:SOciations ue
the ~Ids of Western Europe. The suild symm, with its formtlized apprenticeships
tnd protecme regulttions, has its origins in Romtn culture. Guile!; esublished s ttn
cues for procuction, ~t prices, monitored !ties, o\emwnges tnd hours, tnd main
ttined training tn~ apprentice programs. Membmhip was not >ol~ntuy, tnd the
competition with similu suilds from other citiesrould be fierce. In mtnycitie;, guilds
esme to ,.;eld substmtitl politic..! po,.er md nre tble to inflllence cilicdecisionsas
well as some of those made by the church. for example, in 1418, the Wool Guild in f lorence was inrolvec in design tnd ronstr~rtion of the fan:oos cathdr-.1 dome. And in
london, the tnnml election of the lord :\hyor of the Ciry ofloncon was hmi ly
in6uenced by the guilds.
The guiles lost power tn~ in6uence" the mo;dern muket eronom)' tnd dem
oerttic principles begtn to spmd. lnsti!ad of suilds desisned to ronrrol moe for
their members in a specifir rommodity or rrade within a specific city or t0\\1l,
orsuizations of merchants and other misans formed to encourage and support
rommon rommercitl interem. for uan:ple, the first chtmber of rommerce was
formed in 1\ew York Stm in li6S, tnd the Xew York Stock Eachtnge 1\'ts mah
lished in l i92 .
During the ninetttnth oenrury Induttri.J Re\olution, nn trace >Stocittions tnd
profeHiontl societies began forming in the tni ted State>, ptrtkularly among busi
ness owner<~ By 1890 many of these ,.,ere well esu.btished tnd ,.ere lobbyi ng Con
gress, holding nsuhr meetings, tnd mtint~ning offices. The .lunerictn Institute of

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In the Nentieth century, associations tnd professiontl societies became more

organiuc, hirins st~ff mined to s"Pport acti1iti~ of the sroup, codif)ing rules tnrl
procedures for botrds, esttblishing criterit for membmhip, tnd devdoping tn
exptnding ranse of S>O.nioo for their members. The~ sroups han rotleseed into
sereral distinctive typts. T he follo\\ing definitions rome from The A!!bti~rion LtJ:.'
fhndht:

Profmional sociHiu tre "romposed of ind i1idu.Js or members ll'ho htn

tcquired knowledge tnd experience thuquilifies them as specitlim in perform
ing puticulu services." These groups etn be horizontt~ smi ting one functiontl
level of tn indumy or profession; t ltern.rively they ctn be vertict~ serving aU
funetion.J levels. Profession..! societies relmd to cesign mdronstruction induce
the lnternation.J hciliry :\hnagemem .J.ssoeiuion, the Building Owners tnd
.\!tntgers..\ssocittion, the American Societyo fl tnostlpe ..\rchitetts, the Socie ty
for Desi~n Adminismtion (SDA), tno the .\meri~n Institute of Architms, an:on(
others.

Tr.dta!11!(/11!i'IU ue ' Mmposerl ofindi1icu.Js or firms roneerned .,.;th t single

product or service or those Mneernerl .,.;th t number of rtlued produru or sen
ioes. Anumber of trade mociations represent ptrticipmt> in the desisn tnd ron
suuction industry, including the Associtttll General Conrrtctors of Americt
(AGC), the Nation.! Association of Home Buildm, tnd the Xttiond :\ftnufoetur
!n ..\.s!Otitti{)n.

Chriwlt insrinui~mue composed "of members ,.;thinteresIS in ,.bmnr kind of

science, education.! uea., or charity is representd by the ~socittion." Indudtll in this
ettegoty tre the .\meri~n ..\rchitecnml Foundttion, the CorMran :\!useum of An,
tnd the Smithsonitn lnttimtion.

ROLES PROFESSIONAL SOCIETIES PLAY

People often cetid to join profession-.1 tssodations beaus. of tn iDI; tltion from
another profession..! in their fielll. :\{embers renew thei r membership over time because
they ,"2Jue specificseni ces the 'I>SOcittion pro1ides. The senices ccmn:only pro1ided
by profession..! societies ue cesaibed in this section.

Bringing People Together to Effect Change

In his 100 1book Pri1:dplts ofAwtit1!ion Managtmtfl~ Henry L Ermhd, CAE, sug
gem "the uniqueness of tssocittions rem in their membm' suong feellnss of Olm
ership tnd involvement in decision mtking. :\!embers belim they esn mth
themselves hetcd tnd effett chtnge within me through their tssocittions." This is a
central retson mtny cite for joining t professions! society or trade t!socittion. In t
1006 surrey of Al\ member>' neds, 64 percent of respondent> indict ted they joined
the InstiruH to sho,., my romminnent to the profession." These individuals deuly
believe thtt rollectirely, under the aegis of 1 professiontl society, they h11e sruur
rontrol orer the tlemen!S that shape and influence their work. In tddition to ron
tributing to their professions, mtny join >Ssoeittigns to ~evelop profession..! net
.,.orks tnd ronttru. Mtny e>perien~rl prof!ssiontls remuk on the n lue of sptnding
time in tht rompany ofotherprof!s!ionals ttlking about the things thtt muter, dt\"eloping Melong networks and relationships, tnd letrning from one tnother in informal
settings.

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Providing Resources to Members

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Another r<t son p<ople join profes>ion.J societies is to p in tcce>< to knowldge w d

,..,,;~, thu..ill help them tcdr<s< putioul:u problems. Th<9. r t<our~< ttie mwy
fom:s depenc!ing on the usodttion. The AlA, for insance , lm for mwy yeors publishd contn :t documents forust in the design tnd construction incusuy, ts well ts
t monthly economic report (Worl-c~>-tht-Boards), 11hkh wtlym the economic
rren~s that tffm.!esign 'lllO construction. The Society for Design Administrttion
h>< developed t softwtr< prognm for tneJdng the continuing eCUcttion r<1JUir<
ments oft firm's licensed professiontls. ,\{ost professioJUI tssociuions rodty pro\ide
membm-only Web sites wi th much informttion nlutble to the e\etydty life of
their merobm.
It is tgtinst the ltw for usocittions to deny nonmembers rem to produm wd
;mices they provirle to their members if,'' dttcl in the A.Irxi111i<11 Lro H1111ilh>c},
those produmor ffi'\i ces mty be CODsiC!red to COD fer imporunt competiti\e or economic b.!nebt.." Ho>.r eer, it is oonsirlered Jt..fnl to du~e nonmemb.!" higher fee
for procU<t! tn-d <e!\it'<S tS Jong tS the cifl'erence bet11'!eD the member fee 100 the
nonmemb.!r f<e is not so high it compels memberdup." In other word., the mem
b<r/nonmembtr pri~ diff<ren~ for the Z006i!Li Firm Sur:ty ctnnot be theswe ts
the cur r<nt dues rttt.

Promoting the Value of Professional Members

.\{o>t professiontl tssociuions tggressin ly promote their mem bus ts better prepued, more kno..lecgetble, wd more likely ro run the public thtn norur.ember<.
For enmple, nuny us~cittiDns, through public relatiDns and mukeling amptigns,
promote their mtmbers ts pro,i ders of the hi.ghm de~ree of professiontl senice to
the client.

Connecting Groups of Allied Professionals

In his 199i book ProfwbuJ Praiw i11 A11i6lb11 J11!lgtmtnr, John B. Cox, CAE,
st}~, 'The fundtroenttl proposition W!Oergirding ill cotlit ions is simple: People who

shtre t common pur post tnd pmpective ctn 2Ceomplish more when they co lithorue dun -.ben the y purn1e nuro~er interests on their o\\n. u Anrl -.biJe tssochtions
ue thems!l\es coditions, th~y ofttn 11'0rk institution.Uy 11itb other, related orgtniu tions to 1chie,t comn::on got.ls. Sometimes as!Ocittions form cotlitions forspt
d6e purpo!!<; for er.ample, in 1006 the Ameri<tn S<>ciery of AssocittiDn I x.ruti\es
(ASAI )Ied t broad-b2<ed cotlition of tssocimonsto lobby for P'<stge of fedmllegislttion thu ..oulrlenable 2<sociations to form grouP' for the purpose of provirling
hetlth insurtn~ for their members' smtll businesses (e.s., sole prrtitionm~ Other
coalitions n farmed for more gentrtl purposes, tsthe AL.VAGC Joim COIDmin..,
which hts mer twice e~h yetr for more tlun fifty yem to disl:uss "issues of murutl
intuesr and concern."

In sonoe etses, professiontl societi!S \rork together to provirle cross-disciplinuy

mining fortheirmembe ... f or ample, etd! yeu AS.~ offersa symposium on association ltw. The program is op~n to tnyone interested in the issuesi hownu ~ asrodi-o
tion e>eruties tnd morneys tnen~ingth progrtm e>n etrn sil: ofthe education urut!
th11 mty be requird for certifiettion (in the Ctse of t!SOCittion uecutives) mtin
~ining bar membmhips (in the etse of tr.orneys~

Conducting Advo cacy and Lobbying

As~ocittions lobby

for is;ue;s of nlue 10 their membus- induding legislation or

reguluions rhtaff<et their tbi lity to con~uu business in" "'" or other juris~i<
tion. lobb}in~ hts btcome t significan t effonof nuny associations. In adCition to
emplo}ing professiontl lobb}ists on suff or rettining t lobb}ii! ro represent
the usocittion, mtny professiontl socielits engt~e their member. ts grusroots
~d,octres."

In ~nssroot! progr-.ms, incli\i dutl members tre brought to Washington, D.C., or

the suce c-.pitt~ whm they ue briefed on specmcissues oa ptrtieulu piece of legislttion tnrl encourt~<d to visit their decrerl repr<9.012tim tD discuss them. ,\{my tssocittians htve tlso emblished politietl tction committees (P.\Cs) . .\{embers ctn mtke
\'oluntu ycontributions to the PAC, whi<h, in turn, mtkescontributions to etnci<lms
for s1:1tt or fee en! office 11ho suppon positions favored by members. ..\!5cciaaons ue
regultttd by the =eln~ thtt tffeer othu lobh}iru. This metru they mus16le reports
\\'ith mu wrl fedenltuthoritiestnd cw be limittd in the tmoWlt ci money they spend
on lobb~in~ tctivities. Similuly, tssodation PACs ue subject to the stme reporting
requirm:ent! t> o-J\.r PACs.

Ra ising Funds for Special Needs

T~~e 2<socit tions tnd prciessional societies, gene~lly spwg, rein tu-<ntr.pt
saru.s undersection 50l (c)(6) of the t:.S. 1:1~ code. While t!Us sotus exempts ts<O
cittions from ceruin rues, it does nor tllow gifts of money or "'rviee:s ~iYen by tn
inci\icul ro bedesignm~ts ru...Jecuctible. This hmirs the ability oftssocittions
to n.ise funds for specitl needs such as scholuships or m~uch. In respon>e, some
professiontl societies wd trt~e tssoc.i>tions htre formd foWldt!ions or chtria ble
organiutions (e.g., th .werictn Architecw.J foWldttion, or AAf, t nd the AGC
Eductliontl and Resmch FoW!~ation) Ull.!ermtion 50l(c)(3) of the t:.S. t2Xcode,
whi<h sives th<9. orgulizttions ux-e>empt SU!U$. Such foWldt!ions htn specific
eduationtl, culrurtl, or sdentificpurpov..s tlur m directly relmd to the profession.
For enmple, the AAF supports serertl scholmhip programs for students enrolled
in architecture prognms (q , the ,\{inoriry wd Oistdvsna.~ed S<holmhip Program). l'ndu specitl circummnces, related foWldations may tlso esablish special
funds for distster relief or other philwthropict~tiviry . .\{embers of the tssocimon,
wd nonmember. as 11tll, ue tble ro mtke tu-<leductible ~fts 10 these foundttions
insuppon of spui6c initiatives.

Offering Continuing Education Programs

Licensing of professiontk, erpecitlly those whose business mty tfl'm the hetlth,
!:tfety, wd wel&re of the publi~, is a so te respon;ibility. C<>n!!quently, each mt! hu
esoblished requirments for rectiving anrl mtinttinin g 1 professioMI Iictnse . ln
mwy ""' mtinttirung license includes requirttiOent fDr rontinuing education.
This is espe10itlly true in trchitttture md the ln . Profmion.J societies ue often the
primuy pro\i der of continuing duettion for their membrs, wd bectuse prof.,.
siontl societies tre prtcluded by 1.... from excluding nanmembe.rs from the prognms
they offer, the s<>cieties b.!oome the primuypra~ider of continuing eduettion for the
entire profession.

Providing Insurance and Other Benefits

Most tssociations provide benefit! for their munbm.ln the et!! of 1 professiontl soci<1); mwyof these ue directerl t011'Udirnprovement of the inrlivirlual mernber'stbilir;
to succeed in his or her profession. f or enmple, the AlA offm uchittm access to
professiontllitbility tnd he.Jth in;urw<e progr1l!:s. SO.\ off'" e<rtifiottion progrun forirsmembm, wd the .\merkw Council of Engineering Compt!Uesoffm tn
orgtnizmontl p<<r revie"' progrtro to uchirecrure tnd engineering firms. In the etse
of chtri1:1ble organizations, the b.!ne6t often ttkes the form of rerluced pri<t! for subscriptions or tidcets to ennti.

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