Architecture Case St dies Case Studies and Applicable AIA Code ...

Design Professional Ethics 

Architecture 

Case Studies 

and 

Applicable AIA Code Sections 

pg. 1

Case Study # 1 


• An architect spent over thirty years developing 

expertise and personal credibility in health care 

facility design and retired at age 65; 

• Some months later, a competing firm invited the 

architect to serve as a consultant for an upcoming 

proposal; 

• The architect agreed and provided the firm with 

graphics and photographs of completed projects 

from his previous work; 

pg. 2


• The proposal was prepared and submitted for 

a large hospital expansion project; 

• Thereafter the architect’s former employer 

submitted almost the exact same materials 

and examples of work; 

• The client, wanting to avoid an 

uncomfortable situation, rejected both 

proposals. 

pg. 3


• Question: What were some of the ethical 

issues involved in this case? 

pg. 4


Issue: Attribution 

• The most common violation i of the AIA A Code of 

Ethics is improper attribution; 

• Creativity it and design innovation is highly hl prized in 

architecture; 

• The collaborative nature of practice makes 

individual contribution difficult to define or 

document; 

• Dynamic and fluid nature of practice and the market 

attribution complicated and problematic 

pg. 5


• Assigning proper attribution is further 

complicated by the wide variety of media; 

• Printed proposals, websites, mailers, 

PowerPoint presentations and e-mail all offer 

complexities of presentation and scale that 

require individual solutions. 

pg. 6


• AIA Code of Ethics - Ethical Standard 4.2: 

Dignity i and Integrity. Members should 

strive, through their actions, to promote the 

dignity i and integrity i of the profession, and to 

ensure that their representatives and 

employees conform their conduct to this 

Code. 

pg. 7


• AIA Code of Ethics - Ethical Standard 5.3. 

Members should provide their associates and 

employees with a suitable working 

environment, compensate them fairly, and 

facilitate their professional development. 

pg. 8


• AIA Code of Ethics – Rule 4.201: Members 

shall hllnot make misleading, il deceptive, or fl false 

statements or claims about their professional 

qualifications, i experience, or performance 

and shall accurately state the scope and 

nature of their responsibilities i in connection 

with work for which they are claiming credit. 

pg. 9



shall hllrecognize and respect the professional 

contributions of their employees, employers, 

professional colleagues, and business 

associates. 

pg. 10


• NCARB Rules of Conduct Rule 3.2.: An 

architect shall accurately represent to a 

prospective or existing client his/her 

qualifications, i capabilities, i experience, and 

the scope of his/her responsibility in 

connection with work for which h he/she h is 

claiming credit. 

pg. 11

Commentary 


• Case illustrates the overlap that sometimes 

exists between law and ethics and how ethics 

(e.g. trade secrets, confidentiality, copyright, 

etc.) 

pg. 12



• An architect was asked to design a strip 

shopping center in a suburban community; 

• The client had completed several similar 

projects, however, previous projects were not 

as large as the new project; 

• Although not particularly enthusiastic, the 

architect recognized that the project could be 

profitable and also offer design opportunities; 

pg. 13


• The architect was also hesitant because the 

architect’s previous experience was limited to 

residential projects, including the client’s home; 

• The client’s program called for 34,000 square feet 

of retain space; 

• The client assured the architect that commercial 

design was not difficult and supplied drawings and 

specifications from previous projects to provide an 

idea of the projects complexity and requirements; 

pg. 14


• The client also had in-house staff to assist 

with ihcost estimation, i material and system 

selections, bidding and negotiation with 

contractors, and project supervision; 

i 

• The architect was advised that he developer’s 

staff typically handled all of the day to day 

work during construction and that 

construction contract administration would 

not be required; 

pg. 15


• The architect completed the work as 

contracted and, through the mechanical 

engineer, specified mechanical systems 

recommended by the client; 

• The structural engineer relied on the soil test 

provided by the client; 

• The project proceeded appropriately, the 

architect performed the requested services, 

produced the required construction drawings 

and was paid as agreed; 

pg. 16


• When the project was put out to bid, costs exceeded 

the owner expectations by 30%; 

• The owner asked the architect to redesign the 

project to bring it in on budget, however, no 

directions were provided on necessary program 

adjustments to reduce costs; 

• The architect explained to the owner that in the 

current market, ,price escalations on material and 

labor were to be expected and a reduction in scope 

would be necessary to reduce the budget; 

pg. 17


• The owner decides to build the project as 

originally i 

drawn; 

• Following completion and for the next two 

years after occupancy, there were continual 

problems with the mechanical systems; 

• Constant repairs were required and, after two 

years, all main air-handling units had to be 

replaced; 

pg. 18


• Cracks in the ceramic floor tiles in several 

retail spaces were evidence of cracks in 

concrete slabs; 

• Although the cracks were not substantial, 

they resulted in tenant complaints. 

pg. 19




pg. 20


Issue: Qualifications 

• Presentation of qualifications is often 

problematic; 

• It is human nature to want to present one’s 

credentials in the best possible light; 

• In competitive situations, trying to convince a 

new client or existing firm to hire an architect 

can create unrealistic expectations; 

pg. 21


• Although legal and contractual obligations 

are generally well-defined, dfi dproject goals, 

client needs, building functions and other 

competitive ii factors place pressure on the 

architect and often make practice issues more 

subjective and more open to interpretation. 

i 

pg. 22


• AIA Code of Ethics – Rule 1.101: In 

practicing ii architecture, members shall hll 

demonstrate a consistent pattern of 

reasonable care and competence, and shall 

apply the technical knowledge and skill 

which h is ordinarily il applied by architects of 

good standing practicing in the same locality 

pg. 23



shall hllundertake to perform professional 

services only when they, together with those 

whom they may engage as consultants, are 

qualified by education, training, or 

experience in the specific technical areas 

involved. 

pg. 24


• NCARB Rules of Conduct – Rule 1.3: An 

architect shall undertake to perform 

professional services only when he/she, 

together with those who the architect may 

engage as consultants, is qualified by 

education, training, i and experience in the 

specific technical areas involved. 

pg. 25


• The realities of the design and construction 

industry and the job market underscore the 

importance of qualifications in relation to 

ethics; 

• Practice evolves over time and new 

competencies are developed with existing 

employees though practice and education; 

• However, expertise in a specific building 

type may be lost through staff attrition; 

pg. 26


Commentary: 

• In addition to misstating qualifications, architects 

are often compelled to make statements about 

projects that could unintentionally yprove 

misleading; 

• Comments regarding budget or timing made in an 

informal manner may be misconstrued as 

commitments, it is incumbent upon the firm and the 

principals, p to assure that proposals, p marketing 

materials and statements accurately represent the 

firm’s current capabilities and resources. 

pg. 27



• An architect was hired in the design of a 

single family home for a young couple; 

• A revision in the agreement excluded the 

architect from a specific budget, although the 

approximate size of the house was defined; 

• By their own estimation, the owners had a 

reasonable budget; 

pg. 28


• However the architect was concerned about 

their hi budget bd and, at the completion of fh the 

schematic design, offered to have three 

contractors review the drawings and provide 

preliminary cost estimates; 

• Based on three favorable estimates, the 

clients directed the architect to continue with 

the construction drawings’; 

pg. 29


• The final drawings did not alter the scope of 

the project; 

• However, additional details were provided 

defining the foundation, structural 

components and architectural features; 

• When the drawings were put out for bid, the 

cost of construction had escalated beyond the 

client’s resources; 

pg. 30


• Even though the reasons for the cost 

increases were strictly market-driven, di the 

clients were upset. 

pg. 31




pg. 32


Issue: Expectations and Results 

• Responsibility for cost is a common 

complaint against architects; 

• An architect’s restraint in discussing 

expectations related to budget, building 

function, quality of materials and other 

anticipated results of the proposed p services 

may help to minimize potential 

misrepresentation; 

pg. 33


• Contractual definition of all parties’ 

responsibilities and reiteration of this 

definition as the project progresses can 

further minimize potential misrepresentation. 

pg. 34



shall not materially alter the scope or 

objectives of a project without the client’s 

consent. 

pg. 35



shall not intentionally or recklessly mislead 

existing or prospective clients about the 

results that can be achieved through the use 

of the member’s services, nor shall the 

members state that they can achieve results 

by means that violate applicable law or this 

Code. 

pg. 36

Commentary: 


• The medical profession uses the concept of 

“informed consent” in which a patient must 

be informed of a situation to a level of 

understanding that allows for the patient to 

make an informed decision; 

• Architectural clients deserve and often 

demand the same consideration; 

pg. 37


• In order to achieve this, it is critical to keep 

expectations realistic, i and attainable; 

• Frequent verbal and written communication 

with the client at every stage of the project is 

a standard practice that architects employ to 

keep the project on track; 

• It also keeps the client involved, up to date, 

and able to make informed decisions that 

minimize potential misrepresentations. 

pg. 38



• An architect who had worked for a firm for 

just over six years, was offered a position 

with a competing firm; 

• The new firm offered higher pay and new 

opportunities for growth; 

• The architect accepted the offer and provided 

two weeks notice; 

pg. 39


• Although the architect offered to complete 

project responsibilities, i the firm declined d and 

terminated the employment contract 

immediately; 

• The firm agreed to compensate the architect 

for outstanding vacation time, however, the 

firm offered no other severance or assistance; 

pg. 40


• During six years with the firm, the architect’s 

responsibilities i ranged from drafting and 

CAD operation to project design and finally 

project management; 

• The firm’s marketing department possessed 

extensive project documentation, renderings 

by professional illustrators depicting his 

projects and a professional photographer 

documented completed projects; 

pg. 41


• The firm also produced in-house computerdimages 

of some of the projects; 

generated • The architect believed he was entitled to 

copies of project renderings and photographs; 

• The architect was willing to pay for the 

copies but the firm was not cooperative; 

• Architect makes copies of some of the 

documents without advising the firm 

pg. 42




pg. 43


Issue: Examples of Work 

• For a wide variety of reasons, obtaining 

examples of professional work, particularly 

from a previous employer or firm, can be 

difficult and occasionally can result in an 

ethical violation; 

• Defining an architect’s role and specific work 

product can be difficult with today’s complex 

projects and electronic technologies; 

pg. 44


• Rights and obligations of both employee and 

firm must be protect; 

• However, technological complexities and 

differing viewpoints make honoring both 

firm rights and employee rights problematic. 

pg. 45



leaving a firm shall not, without the 

permission of their employer or partner, take 

design, drawings, data, reports, notes, or 

other materials, relating to the firm’s work, 

whether or not performed by the member. 

pg. 46



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 confidential. 

pg. 47

Commentary: 


• Employees rightfully expect to be permitted 

to retain and use reasonable documentation 

of their professional experience with a firm; 

• Determining which examples of projects 

might be useful in the future is not an issue 

that most employees consider during 

employment; 

pg. 48


• Because departure from a firm or termination 

of employment is often awkward, emotional, 

or even volatile, the discussion of the right to 

retain examples of work is often overlloked 

or carefully avoided. 

pg. 49


• Employers are not obligated to make the 

entire documentation available to employees; 

• Firms have an interest in retaining control of 

confidential materials and the work product it 

rightfully owns, such as copyrighted 

drawings, renderings, photography, or 

proprietary software. 

pg. 50


Other Issue: Conflicting Loyalties 

• Honesty – at face value – seems easy enough, 

even effortless for most of us; 

• However, principled professionals are 

occasionally ypresented with competing 

obligations; 

• Business and financial responsibilities, 

family duties or professional aspirations and 

other considerations could easily conflict; 

pg. 51


• For example, an employee may decide to 

“moonlight” to build a client base, take 

advantage of opportunities to demonstrate 

design creativity, i or simply make extra 

money; 

• In doing so, the employee could unwittingly 

expose the firm to liability; 

• The employee may even compromise their 

own performance; 

pg. 52


• Moonlighting is generally discouraged and 

often formally restricted by company policy; 

• An employee may decide to use the firm’s 

software for personal use, believing (or 

rationalizing) that no harm is done or that the 

firm can easily afford it. 

pg. 53


Summary and Conclusion 

pg. 54

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