Professional Documents
Culture Documents
The Architects
Handbook
of Professional
Practice
Fourteenth Edition
Copyright 2008 by The American Institute of Architects. All rights reserved. AIA and the AIA logo
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Library of Congress Cataloging-in-Publication Data:
The architect's handbook of professional practice / Joseph A. Demkin, executive editor.
14th ed.
p. cm.
American Institute of Architects.
Includes bibliographical references and index.
ISBN 978-0-470-00957-4 (cloth/cd)
1. Architectural practiceUnited StatesHandbooks, manuals, etc. 2. Architectural services
marketingUnited StatesHandbooks, manuals, etc. I. Demkin, Joseph A. II. American
Institute of Architects.
NA1996.A726 2008
720.68dc22
2007046856
Printed in the United States of America
10 9 8 7 6 5 4 3 2 1
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Contents
Foreword
T more important than ever. Keeping a design practice competitive and viable
involves obtaining new commissions, nurturing client relationships, preparing
contracts, controlling project schedules and budgets, recruiting and hiring staff, and
dealing with myriad business and administrative activities.
Almost a century ago, members of our profession had the foresight to recognize
that architects need information about the business component of practice and, to meet
this need, the Institute developed and published the rst edition of the Architects Hand-
book of Professional Practice. In the years since, thirteen editions of the Handbook have
delivered an evolving and expanding body of knowledge to help guide architects
through the business terrain of practice.
In the spirit of the Institutes 150th anniversary themeCelebrating the Past,
Designing the Futurethe 14th edition of the Handbook looks both backward and
forward by weaving tried and proven material with that which is new and emerging.
Comprehensive in scope, the subject matter in this edition, with an emphasis on basics,
has been thoroughly updated and thoughtfully organized.
I highly recommend this compendium of practice knowledge for architects, build-
ing design professionals, and others aspiring to become more informed about the com-
plexities and intricacies of architecture practice. Whether looking for information about
a particular practice issue, checking on a specic point, or explaining a concept to oth-
ers, those in or associated with the building design and construction community can
rely on the Handbook for answers to the issues and challenges they confront in their
professional life and work.
v
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Preface
T mation about the business and administrative aspects of architecture practice since
it was rst published in 1920. Continuing this legacy, this 14th edition brings
together new and thoroughly revised material responsive to the needs of todays archi-
tects and building design professionals.
Since the release of the 13th edition in 2001, a number of signicant changes and
trends in the practice environment have prompted the need for a new edition. Some of
these changes are advances in digital technology, new and emerging approaches to proj-
ect delivery, the adoption of new building codes, and the introduction of new and
revised AIA contract documents.
We were deeply honored when the Institute asked us to serve on the Handbook
Steering Group to provide guidance and leadership for developing the 14th edition.
This challenging yet exciting assignment involved a variety of tasks, which were carried
out individually and in meetings of the Steering Group with the AIA editorial staff at
Institute headquarters.
We began our work with a review of the ndings from a survey of 8,000 Handbook
users conducted in December 2004, along with the results of several Handbook focus
groups. Armed with this important user feedback, we proceeded to carefully evaluate,
topic by topic, the entire content of the 13th edition. To better understand the Hand-
books history and development, we also reviewed earlier Handbooks, including the
rst edition.
Working closely with Handbook editorial staff, these efforts resulted in the iden-
tication of new topics, topics to be revised, and recommendations for material to be
dropped or replaced. The planning effort also included dening a framework for organ-
izing the Handbooks extensive body of information, which eventually resulted in its
nal structure and table of contents.
During the content development phase, the Steering Group provided ongoing
input, advice, and suggestions. This included identifying prospective authors and
reviewers, suggesting resources for specic practice subjects, reviewing selected mate-
rial, and participating in preliminary marketing planning for the 14th edition.
We believe the many hours spent listening, reading, researching, and advising have
produced an indispensable resource that will support the professional endeavors of both
architects and their allied professionals. We sincerely hope that your copy of this edi-
tion becomes as dog-eared over time as have our own copies of past editions. Were
condent you will reach for this volume often as you confront the many decisions
required to develop and run a successful architecture practice.
vi
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Acknowledgments
he AIA is deeply indebted to all who participated in developing the 14th edition
vii
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Handbook Participants
Handbook Steering Group David Koren, Assoc. AIA*
James B. Atkins, FAIA, Chair Eugene Kremer, FAIA
Glenn W. Birx, AIA Peggy Lawless
Karen L. W. Harris, AIA Marsha Littell*
David L. Hoffman, FAIA Thom Lowther*
Peter Piven, FAIA Nadav Malin*
Jill M. Rothenberg, Assoc. AIA Kathleen Maurel*
Robert P. Smith, AIA Paul T. Mendelsohn*
Norman Strong, FAIA, ex ofcio Elena Marcheso Moreno
Cliff S. Moser, AIA
Contributing Authors Frank Musica, Esq., Assoc. AIA
Ava Abramowitz, Esq., Hon. AIA Robert Mutchler, FAIA
James B. Atkins, FAIA* Tawny Ryan Nelb*
Phillip G. Bernstein, FAIA* James J. OBrien, Esq.
Gordon B. Bingaman, AIA Jack D. Patton, AIA
Glenn W. Birx, AIA* Bradford Perkins, FAIA
Brien Bowen* Peter Piven, FAIA*
Christopher Bushnell, AIA* Brenda D. Richards, Hon. AIA
Ann Casso Jack Riegle
William Charvat, FAIA Tony Rinella, Assoc. AIA*
Edith Cherry, FAIA William C. Ronco
David S. Collins, FAIA William Roschen, AIA
Richard B. Cook, FAIA Patricia P. Rosenzweig
Karen Courtney, AIA* Andrea Rutledge
Kenneth C. Crocco, FAIA Aaron B. Schwartz, FAIA
Philip R. Croessmann, Esq., AIA Evan H. Shu, FAIA
Richard D. Crowell* Kirsten Sibilia, Assoc. AIA
Clark Davis, AIA* Henry Siegel, FAIA
Michael DellIsola, PE* Soren D. Simenson, AIA
William Dexter* Grant Armann Simpson, FAIA*
Laurie Dreyer-Hadley Debra L. Smith, AIA
James T. Dunn, CPA, Assoc. AIA Robert P. Smith, AIA*
Kristine K. Fallon, FAIA Frank A. Stasiowski, FAIA
Debra Fiori * Steven G. M. Stein, Esq.
Ellen Flynn-Heapes Larry Strain, FAIA
Phillip H. Gerou, FAIA* Timothy R. Twomey, Esq., AIA*
Lowell V. Getz, CPA* Suzanna Wight, AIA*
Howard Goldberg, Esq.* Roger B. Williams, FAIA
Susan Greenwald, FAIA Howard L. Wolff*
David Greusel, AIA
Dennis J. Hall, FAIA*
Cara Shimkus Hall, Esq., AIA Reviewers
Gregory Hancks, Esq., AIA* Peter Aaslestad, AIA
Suzanne Harness, Esq., AIA* Harold Adams, FAIA
Douglas C. Hartman, FAIA Vicki Allums, Esq.
Hugh Hochberg Michael A. Alost, AIA
David L. Hoffman, FAIA* Lee Askew, FAIA
Mark Johnson, FAIA James Bedrick, AIA
Joseph H. Jones Jr., Esq., AIA* Douglas M. Brinkley, FAIA
David F. Kinzer, III, CPA Paul Brosnahan, AIA
Steven Kirk, FAIA Robert Burnham, AIA
John A. Burns, AIA
* Also served as a reviewer Terrence Canela, Esq.
viii Acknowledgments
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Acknowledgments ix
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T of architecture rms, and the delivery of building design services. This edition
also addresses various facets of professional life, along with how agreements for
professional services are developed and used. Current practice issues such as lifelong
learning and mentoring, ways of staying competitive, sustainable design, building infor-
mation modeling, and the still-evolving concept of integrated practice are among those
incorporated in this edition. Where appropriate, matters of concern to small rm prac-
titioners are highlighted.
CONTENT OVERVIEW
Each section of the Handbook contains information about a component of practice:
Part 1: The Profession addresses the ethical, legal and regulatory aspects of archi-
tecture practice and discusses ways that architects can advance careers through
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lifelong learning and mentoring. It also covers how professionals can contribute to
community, public, and educational initiatives.
Part 2: The Firm includes subjects about starting, positioning, and managing archi-
tecture rms. Guidance is given on such matters as developing strategic plans and
rm identity; forming and participating in alliances; conducting a global practice;
getting work through effective marketing; building lasting client relationships;
understanding human resource intricacies of recruiting, hiring, managing, and
retaining staff; implementing and updating nancial management systems; dealing
with risk; and developing and running administrative, computer technology, and
information management functions.
Part 3: The Project focuses on issues associated with dening the scope of proj-
ect services; negotiating agreement for contracts, disputes, and related matters; and
selecting and working with various options for project delivery. Related subjects
address processes associated with the delivery of core architectural services (e.g.,
programming, design, construction documentation, construction procurement, con-
struction contract administration, closeouts, etc.), quality and cost management for
architectural projects, and building code fundamentals.
Part 4: Contracts and Agreements brings together information about developing
owner-architect and project team member agreements, understanding construction
contracts, and working effectively with owner-generated agreements. This section
also overviews the AIA documents program, describing how it operates and the
major changes embodied in the 2007 documents cycle.
Appendixes contain contact information for professional organizations associated
or allied with the design profession, state registration boards for architects, and
accredited schools of architecture. The appendix also includes reference copies of
AIA Documents A201 and B101, as well as a glossary of terms frequently encoun-
tered in practice.
NAVIGATIONAL FEATURES
The Handbook has multiple entry points. Topics can be read individually and in any
order. The index, which contains key words and concepts, will help readers readily nd
specic information. In addition, margin elements on the topic pages contain both nav-
igational and informational features by
Pointing to related Handbook topics and backgrounders
Summarizing relevant ndings from the 2006 AIA rm survey
Highlighting key ideas in brief notes or comments
Reinforcing some aspect of the narrative with a quote
HANDBOOK USES
The Handbook can be used for a wide variety of purposes. Architects and design pro-
fessionals may wish to refer to information in the Handbook to
Check on a specic practice principle, concept, or technique
Explain or clarify some aspect of project services to a client
Develop an effective project proposal
Select and use appropriate AIA contract documents
Implement a marketing or public relations initiative
Create or update the rms long-range business plan
Learn about risk and professional liability issues
Verify facts about professional liability and other insurance
Train staff members as leaders and managers
Inform team members about project assignments
Enhance project management abilities and skills
Upgrade or select a new nancial management system
Develop job descriptions
Obtain guidance for starting a design rm
Understand the ethical and legal aspects of practice
Support professionals preparing for licensing exams
Set up and conduct a mentoring program
Find other sources of relevant practice information
P A R T 1
THE PROFESSION
PA R T 1 : T H E P R O F E S S I O N
C H A P T E R 1
Professional Life
Architects are confronted daily with moral choices, competing loyalties, and ethi-
cal dilemmas. Although such situations can be ambiguous or paradoxical, basic
tenets held in common by the profession can help architects determine how to
respond to them.
he need to articulate and advocate ethical standards has never been more critical.
T Concern about professional ethics, while not a recent development, has certainly
become more conspicuous in recent years. This visibility has led to extensive
inquiries into the sources, development, interpretation, and enforcement of ethical
codes. Principles guiding professional conduct are based on the core values held by
that profession. These core values originate in legal denitions, social mores, moral
codes, and common business practices.
Legal systems are based on historical precedent and commonly accepted social
interactions between individuals or legal entities. The rights of individuals are pro-
tected by mutual acceptance of this legal structure. Contractual and other legal respon-
sibilities and their consequences are generally well dened in law and in written
agreements. But when these responsibilities and their consequences are specic to a
profession, they may prove difcult to legally enforce.
There are many social conventions, moral beliefs, and ethical dilemmas that are
not legislated or enforced by any regulatory agency. These may include widely accepted
values but are not part of our legal system because they lack consensus or represent
conicting opinions. These values are often dened by religious doctrine, corporate
policies, or societal rules. While morality describes behavior that is generally accepted
Phillip H. Gerou is a former director and vice president of the American Institute of Archi-
tects and served six years as a member and chairman of the AIA National Ethics Council.
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as either correct or incorrect, ethical situations often present dilemmas in which equally
relevant positions compete.
Ethics is traditionally dened as the rules or standards for moral behavior. Often
the terms morality and ethics are used interchangeably, and to many there is no distinc-
tion between the two. The denition of ethics has also evolved to express a set of val-
PA R T 1 : T H E P R O F E S S I O N
ues held by a unique and nite group of individuals, such as a corporation, legislature,
industry, or profession. Ethical codes are based on common values and moral laws such
as religious doctrine, social conventions, secular beliefs, and traditional philosophies;
they may even incorporate the values of courtesy, civility, mutual respect, or equality.
Ethical standards for doctors or priests are different in their details from those of archi-
tects or engineers, although the core beliefs and the moral guidelines on which they are
founded may be nearly identical. The distinction in ethical standards depends on the
specic practices of a particular group.
Ethics also dene fairness and equity and quite often relate to issues in which two
parties may hold opposing but equally valid points of view or an individual may be torn
between two compelling positions. For example, an individual may nd that speaking the
truth could breach a condence, someones dedication to a friendship might result in
injury to others if an obligation to protect the public is ignored, or a clients goals could
be at odds with protection of the environment. In certain situations, ethical standards
may take precedence over other important standards. For example, life safety issues are
usually perceived as a primary concern in comparison to, for example, obligations to
employers. Although a solution that positively addresses each competing issue is pre-
ferred, occasionally a choice is necessary. Ethical codes address such situations, but it is
often left to an informed and impartial observer to make the nal judgment.
federal legislation. In its opinion, the court dismissed arguments stressing the possible
negative effects of fee competition on the health, safety, and welfare of the public.
In 1977, an architect sued the Institute for civil damages when his AIA membership
was suspended for violating the AIA code of ethics by supplanting another architect on
a project. Although the violation was not disputed, in 1978 a federal district court ruled
PA R T 1 : T H E P R O F E S S I O N
that enforcement of this particular rule in the code violated federal antitrust laws and
the accused architect was awarded substantial monetary damages.
In response to these rulings, in 1980 the AIA suspended its code of ethics. The fol-
lowing year a statement of ethical principles was established as a guideline for the vol-
untary conduct of members. Recognizing a need for mandatory professional guidelines,
the AIA Board of Directors subsequently appointed a task force to propose a substitute
Code of Ethics and Professional Conduct. In 1986 the membership adopted the new
code at the AIA National Convention. Since that time, minor revisions have been made
to keep pace with current technologies, economic realities, and changing social demands.
4 Professional Life
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PA R T 1 : T H E P R O F E S S I O N
country.
Pre-Hearing Conference
A pre-hearing conference call is arranged with the complainant and the respondent
to discuss the issues and the possibility of a resolution. If no resolution results
from this call, the hearing officer will determine the location and timing for a
hearing.
The Hearing
At the hearing, the parties may represent themselves or be represented by legal coun-
sel. The complainant will state the basis for the claim and reference specic rule infrac-
tions. The respondent is allowed to present testimony and additional factual evidence,
but may not introduce documentation not previously disclosed. Witnesses are allowed
PA R T 1 : T H E P R O F E S S I O N
Appeal of Decision
The respondent may appeal the NECs decision to the AIA Executive Committee,
whose subsequent ruling is nal except in cases in which termination of membership
is the penalty. Those cases are automatically appealed to the AIA Board of Directors.
6 Professional Life
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Attribution of Credit
Architecture is a profession in which design capability and originality is prized. Intel-
lectual property is the most common proof of worth in terms of talent and experience.
However, the collaborative nature of contemporary practice sometimes obscures the
individual contributions of each team participant. The more complex the project and
PA R T 1 : T H E P R O F E S S I O N
the more prolonged the design and construction process, the more individuals may lay
valid claim to credit for some part of the work.
The most frequent violation of the code of ethics is improperly taking or not giv-
ing appropriate credit and recognition. The NEC recognizes that these infractions are
frequently due to an incomplete understanding of the ethical standards and rules
of conduct that direct members in this area. The following ethical standards apply to
this issue:
Ethical Standard 4.2, Dignity and Integrity: Members should strive, through
their actions, to promote the dignity and integrity of the profession, and to ensure
that their representatives and employees conform their conduct to this Code.
Ethical Standard 5.3, Professional Recognition: Members should build their pro-
fessional reputation on the merits of their own service and performance and should
recognize and give credit to others for the professional work they have performed.
The rules associated with these standards mandate the required professional conduct:
Rule 4.201: Members shall not make misleading, deceptive, or false statements or
claims about their professional qualications, experience, or performance and shall
accurately state the scope and nature of their responsibilities in connection with
work for which they are claiming credit.
Rule 5.301: Members shall recognize and respect the professional contributions of
their employees, employers, professional colleagues, and business associates.
Based on these standards and rules, the NEC has adopted guidelines to help AIA
members determine how to handle this concern, although individual cases may present
circumstances not explicitly covered. These guidelines are recommended for applica-
tion to any oral, written, or graphic representation of an architects work, whether it was
developed for use in a public or private presentation.
Following are the AIA Guidelines for the Attribution of Credit (also published
on the AIA Web site) that should be considered when making representations of an
architects work:
must be specic enough to make clear the services the Member rendered on this
project. In the instance of a mailer/postcard that shows only an image of a project on
the front, it is necessary to give the appropriate credit on the other side. The Mem-
ber shall not overstate, actually or implicitly, his/her involvement in a project.
If attribution of credit is not previously dened in a written agreement, and to avoid
PA R T 1 : T H E P R O F E S S I O N
8 Professional Life
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PA R T 1 : T H E P R O F E S S I O N
Rule 5.302: Members leaving a rm shall not, without the permission of their
employer or partner, take designs, drawings, data, reports, notes, or other materi-
als relating to the rms work, whether or not performed by the Member.
Rule 5.303: A Member shall not unreasonably withhold permission from a departing
employee or partner to take copies of designs, drawings, data, reports, notes, or other
materials relating to work performed by the employee or partner that are not con-
dential.
In addition, the code provides the following commentary: A Member may impose
reasonable conditions, such as the payment of copying costs, on the right of departing
persons to take copies of their work.
The best advice is that the question of whether and how copies of work will be
granted to an employee should be discussed before an employee decides to leave a rm
or at least during the departure process. This discussion may help mitigate an awk-
ward, emotional, or volatile termination process. A departing employee should expect
to receive reasonable examples of work; the employer is not obligated to make the entire
volume of work produced by the employee available. The
intent is to allow the employee a reasonable opportunity
to present qualications to future employers or potential
clients. It is equally important for the rm to retain pro- COMPETING VALUES
prietary or condential materials and the work products it
rightfully owns, such as renderings, photography, or pro- It seems simple enough to be honest, but even well-
prietary software. The AIA has published a Best Practices meaning professionals from time to time are presented
article titled Personal Use of Documents: A Sample Firm with competing obligations, such as family responsibili-
Policy to help rms establish policies for the ethical use of ties or religious convictions. For example, employees
documents during and after employment. may decide to work outside the ofce to build a client
base, take advantage of opportunities to demonstrate
THE FUTURE design talent, or simply make money. In doing so, they
may unwittingly expose the rm to liability and may com-
Dening professional ethics for the architecture profession
will remain the duty of the American Institute of Architects promise their own ability to perform adequately for the
and its National Ethics Council. As they have in the past, the compensation they are receiving. Or, an employee may
AIA Board of Directors and NEC will periodically reevalu- use the rm's software for personal use, believing that no
ate the Code of Ethics and Professional Conduct based on harm is done by making a copy of it. Architects have
the professions core values while responding to societal pres- certainly lied, stolen, defrauded, or taken advantage of
sures, changing business practices, advancing technologies, a situation. Sometimes the individual is well-intentioned,
and lessons learned from the results of future litigation. sometimes not, but almost always he or she feels justied
BACKGROUNDER
PA R T 1 : T H E P R O F E S S I O N
2004 Code of Ethics Commentary is provided for some of the Rules of Conduct. That
commentary is meant to clarify or elaborate the intent of the rule.
& Professional Conduct 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.
Preamble
Members of The American Institute of Architects are dedicated to Statement in Compliance With Antitrust Law
the highest standards of professionalism, integrity, and The following practices are not, in themselves, unethical,
competence. This Code of Ethics and Professional Conduct states unprofessional, or contrary to any policy of The American
guidelines for the conduct of Members in fulfilling those Institute of Architects or any of its components:
obligations. The Code is arranged in three tiers of statements: (1)submitting, at any time, competitive bids or price
Canons, Ethical Standards, and Rules of Conduct: quotations, including in circumstances where price is the
Canons are broad principles of conduct. sole or principal consideration in the selection of an
Ethical Standards (E.S.) are more specific goals toward
architect;
which Members should aspire in professional performance
(2)providing discounts; or
and behavior.
(3)providing free services.
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 Individual architects or architecture firms, acting alone and not on
one Canon or Ethical Standard. 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 Code applies to the professional activities of all classes of Antitrust law permits the Institute, its components, or Members to
Members, wherever they occur. It addresses responsibilities to the advocate legislative or other government policies or actions
relating to these practices. Finally, architects should continue to
public, which the profession serves and enriches; to the clients
and users of architecture and in the building industries, who help consult with state laws or regulations governing the practice of
to shape the built environment; and to the art and science of architecture.
architecture, that continuum of knowledge and creation which is
the heritage and legacy of the profession.
10 Professional Life
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E.S. 1.5 Allied Arts & Industries: alleged violation of this rule is based on a Rule Members making public
Members should promote allied violation of a law, or of fraud, then its 2.301 statements on architectural issues
arts and contribute to the proof must be based on an independent shall disclose when they are
PA R T 1 : T H E P R O F E S S I O N
knowledge and capability of the finding of a violation of the law or a being compensated for making
building industries as a whole. finding of fraud by a court of competent such statements or when they
jurisdiction or an administrative or have an economic interest in the
CANON II regulatory body. issue.
Obligations to the Public Rule If, in the course of their work CANON III
2.105 on a project, the Members
Members should embrace the spirit and become aware of a decision taken
letter of the law governing their Obligations to the Client
by their employer or client which
professional affairs and should promote violates any law or regulation and
and serve the public interest in their Members should serve their clients
which will, in the Members
personal and professional activities. competently and in a professional manner,
judgment, materially affect
and should exercise unprejudiced and
adversely the safety to the public unbiased judgment when performing all
E.S. 2.1 Conduct: Members should of the finished project, the
uphold the law in the conduct of professional services.
Members shall:
their professional activities. (a) advise their employer or client E.S. 3.1 Competence: Members should
against the decision, serve their clients in a timely and
Rule Members shall not, in the conduct (b) refuse to consent to the
2.101 of their professional practice, competent manner.
decision, and
knowingly violate the law.
(c) report the decision to the local Rule In performing professional
Commentary: The violation of any law,
building inspector or other public 3.101 services, Members shall take into
local, state or federal, occurring in the
official charged with the account applicable laws and
conduct of a Member's professional
enforcement of the applicable regulations. Members may rely
practice, is made the basis for discipline
laws and regulations, unless the on the advice of other qualified
by this rule. This includes the federal
Members are able to cause the persons as to the intent and
Copyright Act, which prohibits copying
matter to be satisfactorily meaning of such regulations.
architectural works without the permission
resolved by other means.
of the copyright owner: Allegations of
Commentary: This rule extends only to Rule Members shall undertake to
violations of this rule must be based on an
violations of the building laws that 3.102 perform professional services
independent finding of a violation of the
threaten the public sa fety. The obligation only when they, together with
law by a court of competent jurisdiction or
under this rule applies only to the safety of those whom they may engage as
an administrative or regulatory body.
the finished project, an obligation consultants, are qualified by
coextensive with the usual undertaking of education, training, or experience
Rule Members shall neither offer nor
an architect. in the specific technical areas
2.102 make any payment or gift to a
public official with the intent of involved.
Rule Members shall not counsel or Commentary: This rule is meant to ensure
influencing the official's
2.106 assist a client in conduct that the that Members not undertake projects that
judgment in connection with an
architect knows, or reasonably are beyond their professional capacity.
existing or prospective project in
should know, is fraudulent or Members venturing into areas that require
which the Members are
illegal. expertise they do not possess may obtain
interested.
Commentary: This rule does not prohibit that expertise by additional education,
E.S. 2.2 Public Interest Services: training, or through the retention of
campaign contributions made in
Members should render public consultants with the necessary expertise.
conformity with applicable campaign
interest professional services and
financing laws.
encourage their employees to Rule Members shall not materially
render such services. 3.103 alter the scope or objectives of a
Rule Members serving in a public
E.S. 2.3 Civic Responsibility: project without the client's
2.103 capacity shall not accept
payments or gifts which are Members should be involved in consent.
intended to influence their civic activities as citizens and
judgment. professionals, and should strive to E.S. 3.2 Conflict of Interest: Members
improve public appreciation and should avoid conflicts of interest
Rule Members shall not engage in understanding of architecture and in their professional practices and
2.104 conduct involving fraud or the functions and responsibilities fully disclose all unavoidable
wanton disregard of the rights of of architects. conflicts as they arise.
others.
Commentary: This rule addresses serious
misconduct whether or not related to a
Member's professional practice. When an
(continued)
Rule A Member shall not render Rule Members shall not knowingly Commentary: Responsible control means
3.201 professional services if the 3.401 disclose information that would the degree of knowledge and supervision
Members professional judgment adversely affect their client or ordinarily required by the professional
PA R T 1 : T H E P R O F E S S I O N
could be affected by that they have been asked to standard of care. With respect to the work
responsibilities to another project maintain in confidence, except as of licensed consultants, Members may sign
or person, or by the Members other wise allowed or required by or seal such work if they have reviewed it,
own interests, unless all those coordinated its preparation, or intend to
this Code or applicable law.
who rely on the Members be responsible for its adequacy.
Commentary: To encourage the full and
judgment consent after full
open exchange of information necessary
disclosure. Rule Members speaking in their
for a successful professional relation-
Commentary: This rule is intended to 4.103 professional capacity shall not
ship, Members must recognize and respect
embrace the full range of situations that knowingly make false statements
the sensitive nature of confidential client
may present a Member with a conflict of material fact.
communications. Because the law does not
between his interests or responsibilities Commentary: This rule applies to
recognize an architect -client privilege,
and the interest of others. Those who are statements in all professional contexts,
however, the rule permits a Member to
entitled to disclosure may include a client, including applications for licensure and
reveal a confidence when a failure to do
owner, employer, contractor, or others AIA membership.
so would be unlawful or contrary to
who rely on or are affected by the
another ethical duty imposed by this Code.
Members professional decisions. A
E.S. 4.2 Dignity and Integrity:
Member who cannot appropriately
CANON IV Members should strive, through
communicate about a conflict directly with
their actions, to promote the
an affected person must take steps to
dignity and integrity of the
ensure that disclosure is made by other Obligations to the Profession
profession, and to ensure that
means.
their representatives and
Members should uphold the integrity and employees conform their conduct
Rule When acting by agreement of the dignity of the profession.
3.202 parties as the independent to this Code.
interpreter of building contract
E.S. 4.1 Honesty and Fairness: Rule Members shall not make
documents and the judge of
Members should pursue their 4.201 misleading, deceptive, or false
contract performance, Members
professional activities with statements or claims about their
shall render decisions impartially. professional qualifications,
Commentary: This rule applies when the honesty and fairness.
experience, or performance and
Member, though paid by the owner and shall accurately state the scope
owing the owner loyalty, is nonetheless Rule Members having substantial
and nature of their responsibilities
required to act w ith impartiality in 4.101 information which leads to
in connection with work for
fulfilling the architects professional a reasonable belief that another
which they are claiming credit.
responsibilities. Member has committed a Commentary: This rule is meant to prevent
violation of this Code which Members from claiming or implying credit
E.S. 3.3 Candor and Truthfulness: raises a serious question as to that for work which they did not do, misleading
Members should be candid and Members honesty, others, and denying other participants in a
truthful in their professional trustworthiness, or fitness as a project their proper share of credit.
communications and keep their Member, shall file a complaint
clients reasonably informed about with the National Ethics Council. Rule Members shall make reasonable
the clients projects. Commentary: Often, only an architect can 4.202 efforts to ensure that those over
recognize that the behavior of another whom they have supervisory
Rule Members shall not intentionally architect poses a serious question as to authority conform their conduct
3.301 or recklessly mislead existing or that others professional integrity. In those to this Code.
prospective clients about the circumstances, the duty to the Commentary: What constitutes
results that can be achieved professionals calling requires that a reasonable efforts under this rule is a
through the use of the Members complaint be filed. In most jurisdictions, a common sense matter. As it makes sense to
services, nor shall the Members complaint that invokes professional ensure that those over whom the architect
state that they can achieve results standards is protected from a libel or exercises supervision be made generally
by means that violate applicable slander action if the complaint was made aware of the Code, it can also mak e sense
in good faith. If in doubt, a Member to bring a particular provision to the
law or this Code.
Commentary: This rule is meant to should seek counsel before reporting on attention of a particular employee when a
preclude dishonest, reckless, or illega l another under this rule. situation is present which might give rise
representations by a Member either in the to violation.
course of soliciting a client or during Rule Members shall not sign or seal
performance. 4.102 drawings, specifications, reports,
or other professional work for
which they do not have
E.S. 3.4 Confidentiality: Members should
responsible control.
safeguard the trust placed in them
by their clients.
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2 0 0 4 C O D E O F E T H I C S A N D P R O F E S S I O NA L C O N D U C T
CANON V Commentary: A Member may impose *2004 Edition. This copy of the Code of
reasonable conditions, such as the payment Ethics is current as of September 2004.
of copying costs, on the right of departing Contact the General Counsels Office for
PA R T 1 : T H E P R O F E S S I O N
Obligations to Colleagues
persons to take copies of their work. further information at (202) 626-7311.
Members should respect the rights and ac-
knowledge the professional aspirations and RULES OF APPLICATION,
contributions of their colleagues.
ENFORCEMENT, AND
E.S. 5.1 Professional Environment: AMENDMENT
Members should provide their
associates and emp loyees with a Application
suitable working environment, The Code of Ethics and Professional
compensate them fairly, and Conduct applies to the professional
facilitate their professional activities of all members of the AIA.
development.
E.S. 5.2 Intern and Professional Enforcement
Development: Members should The Bylaws of the Institute state
recognize and fulfill their procedures for the enforcement of the Code
obligation to nurture fellow of Ethics and Professional Conduct. Such
professionals as they progress procedures provide that:
through all stages of their career,
beginning with professional (1) Enforcement of the Code is
education in the academy, administered through a National Ethics
progressing through internship Council, appointed by the AIA Board of
and continuing throughout their Directors.
career.
E.S. 5.3 Professional Recognition: (2) Formal charges are filed directly with
Members should build their the National Ethics Council by Members,
professional reputation on the components, or anyone directly aggrieved
merits of their own service and by the conduct of the Members.
performance and should recognize
and give credit to others for the (3) Penalties that may be imposed by the
professional work they have National Ethics Council are:
performed. (a) Admonition
(b) Censure
Rule Members shall recognize and (c) Suspension of membership for a
5.301 respect the professional period of time
contributions of their employees, (d) Termination of membership
employers, professional
colleagues, and business (4) Appeal procedures are available.
associates.
(5) All proceedings are confidential, as is
Rule Members leaving a firm shall not, the imposition of an admonishment;
5.302 without the permission of their however, all other penalties shall be made
employer or partner, take designs, public.
drawings, data, reports, notes, or
other materials relating to the Enforcement of Rules 4.101 and 4.202 refer
firms work, whether or not to and support enforcement of other Rules.
performed by the Member. A violation of Rules 4.101 or 4.202 cannot
be established without proof of a pertinent
Rule A Member shall not unreasonably violation of at least one other Rule.
5.303 withhold permission from a
departing employee or partner to Amendment
take copies of designs, drawings, The Code of Ethics and Professional
data, reports, notes, or other Conduct may be amended by the
materials relating to work convention of the Institute under the same
performed by the employee or procedures as are necessary to amend the
partner that are not confidential. Institutes Bylaws. The Code may also be
amended by the AIA Board of Directors
upon a two-thirds vote of the entire Board.
EMERGENCE OF ASSOCIATIONS
Groups of people associated by the business they engage in have been around for a
long time. The most recognizable precursors of todays professional associations are
the guilds of Western Europe. The guild system, with its formalized apprenticeships
and protective regulations, has its origins in Roman culture. Guilds established stan-
dards for production, set prices, monitored sales, oversaw wages and hours, and main-
tained training and apprentice programs. Membership was not voluntary, and the
competition with similar guilds from other cities could be erce. In many cities, guilds
came to wield substantial political power and were able to inuence civic decisions as
well as some of those made by the church. For example, in 1418, the Wool Guild in Flo-
rence was involved in design and construction of the famous cathedral dome. And in
London, the annual election of the Lord Mayor of the City of London was heavily
inuenced by the guilds.
The guilds lost power and influence as the modern market economy and dem-
ocratic principles began to spread. Instead of guilds designed to control trade for
their members in a specific commodity or trade within a specific city or town,
organizations of merchants and other artisans formed to encourage and support
common commercial interests. For example, the first chamber of commerce was
formed in New York State in 1768, and the New York Stock Exchange was estab-
lished in 1792.
During the nineteenth century Industrial Revolution, new trade associations and
professional societies began forming in the United States, particularly among busi-
ness owners. By 1890 many of these were well established and were lobbying Con-
gress, holding regular meetings, and maintaining ofces. The American Institute of
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Architects falls into this category. Founded in 1857, the AIA celebrated its thirty-
third anniversary in 1890 and had just elected its third president. Other familiar
organizations were founded later: the American Bar Association (1878), the
National Society of Professional Engineers (1905), the Associated General Con-
tractors of America (1918), and the American Council of Engineering Companies
PA R T 1 : T H E P R O F E S S I O N
(1934).
In the twentieth century, associations and professional societies became more
organized, hiring staff trained to support activities of the group, codifying rules and
procedures for boards, establishing criteria for membership, and developing an
expanding range of services for their members. These groups have coalesced into
several distinctive types. The following denitions come from The Association Law
Handbook:
Professional societies are composed of individuals or members who have
acquired knowledge and experience that qualifies them as specialists in perform-
ing particular services. These groups can be horizontal, servicing one functional
level of an industry or profession; alternatively they can be vertical, serving all
functional levels. Professional societies related to design and construction include
the International Facility Management Association, the Building Owners and
Managers Association, the American Society of Landscape Architects, the Society
for Design Administration (SDA), and the American Institute of Architects, among
others.
Trade associations are composed of individuals or firms concerned with a single
product or service or those concerned with a number of related products or serv-
ices. A number of trade associations represent participants in the design and con-
struction industry, including the Associated General Contractors of America
(AGC), the National Association of Home Builders, and the National Manufactur-
ers Association.
Charitable institutions are composed of members with interests in whatever kind of
science, educational area, or charity is represented by the association. Included in this
category are the American Architectural Foundation, the Corcoran Museum of Art,
and the Smithsonian Institution.
16 Professional Life