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AIArchitect
11./lOO
Membership Terminated for Violation of AIA Code of
Ethics

The Institute's Board of Directors has terminated the membership of Samuel Y. Harris
in the Institute and in the College of Fellows for violating Rule 2.104 of the Institute's
Code of Ethics and Professional Conduct (1997}, In doing so, the Board concurred in
an earlier decision by the Institute's Executive Committee approving the decision and
penalty imposed in this case by the National Ethics Council rNEC" or "Council").
Section 8.142 of the Institute's Bylaws and Chapter 8 of the Rules of the Board
require that the Board review and concur in all terminations of membership for
violations of the Code of Ethics.

The complainants filed the complaint in this case with the NEC in 2001. They alleged
that Harris had violated two rules of the Code of Ethics (1997):

Rule 2,101 states that "Members shall not, in the conduct of their professional
practice, knowingly violate the law,"
Rule 2.104 of the Code of Ethics states that "Members shall not engage in
conduct involving fraud or wanton disregard of the rights of others." The
Commentary for Rule 2.104 provides that this rule addresses serious
misconduct whether or not related to a Member's professional practice.

Harris was invited to respond to the complainant's allegations, but declined to submit
a response. According to the facts alleged by the complainants and not disputed by
Harris, the complainants and Harris be-came partners in an architecture firm in 1984,
Harris was responsible for the financial affairs of the partnership. The complainants
discovered in the fall of 1999 that, beginning in 1992, Harris had used monies from
the partnership for his personal use. In late October or early November 1999, Harris
admitted that he had taken monies belonging to the firm for his personal use, and
thereafter resigned his partnership, Subsequently, the complainants filed a civil action
against Harris with a state court, which issued a judgment in their favor and against
Harris in the amount of $134,000,

The NEC hearing officer assigned to this case prepared a report and recommendation
finding that this evidence was sufficient to establish a violation of Rule 2.104 which,
as noted above, forbids Members to engage in conduct involving fraud or wanton
disregard for the rights of others. The hearing officer also found that there was
insufficient evidence to find a violation of Rule 2.101, which prohibits Members from
knowingly violating the law in the conduct of their professional practice. In doing so,
the hearing officer was guided by the Commentary for Rule 2.101, which states:
"Allegations of violations of this rule must be based on an independent finding of a
violation of the law by a court of competent juri sdiction or an administrative or
regulatory body." The court judgment mentioned above found civil liability but no
viola tion of law, and therefore was i nsufficient to support a finding that Harris had
violated Rule 2.101.

Harris appeared before the NEC when the Council considered the hearing officer's
report and recommendation in this case in December 2003, Afterwards, it held that
Harris had violated Rule 2.104 in that, for a period of seven years, he wrongfully used
substantial sums of partnership funds for his own personal benefit. It also found that
any reasonable person would have known that this conduct, which occurred over a
span of seven years, would cause the complainants substantial financial harm by
denying them their full share of the revenue from the partnership.

In determining the penalty to be imposed in this case, the NEC noted Harris' failure to
file a response to the complaint when first given the opportunity to do so in February
2002, and either to mount a defense to the charges against him or to provide an
explanation for his conduct until the last stage in the NEC process-consideration of
the hearing officer's report and recommendation by the Council, It also noted his
admissions, during his appearance before the Council, that the complainants'
allegations were true and that in March 2002 he had pleaded guilty to the crime of
theft a felony in the third degree, in connection with his misuse of partnership funds.
Final ly, the NEC expressed concern that the Respondent had become a member of the
College of Fellows after he had been convicted of a felony directly connected with his
practice as an architect, and while this case was pending before the Council.

Although the NEC has generally reserved the penalty of termination for conduct
potentially affecting the public health, safety, and welfare, it be lieved that the
negative circumstances in this case were so compelling that the most severe
penalty-termination of membership-should be imposed. The Executive Committee
approved the decision of the N ational Ethics Council and the penalty imposed, and the
Board has concurred in the decision of the Executive Committee.

Therefore, effective December 3, 2004, Samuel Y. Harris' membership in the Institute

has been terminated, and in accordance with Section 2.085 of the Institute's Bylaw,
he has lost all rights and privileges granted by law or the Bylaws, including the right
to use the Institute's name, initials, induding "FAIA," and symbols.

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