code of ethics & professional conductE.S. 2.3 Civic Responsibility: Members should be involved in civic activities ascitizens and professionals, and should strive to improve public appreciation andunderstanding of architecture and the functions and responsibilities of architects.Rule 2.301 Members making public statements on architectural issues shalldisclose when they are being compensated for making such statements olwhen they have an economic interest in the issue.CANON lllObligations to the ClientMembers should serve their clients competently and in a professional manner,and should exercise unprejudiced and unbiased judgment when performing allprofessional services.E.S. 3.1 Competence: Members should serve their clients in a timely and competentmanner.Rule 3.101 In performing professional services, members shalltake intoaccount applicable laws and regulations. Members may rely on the advice ofother qualified persons as to the intent and meaning of such regulations.Rule 3.102 Members shall undertake to perform professional services onlywhen they, together with those whom they may engage as consultants, arequalified by education, training, or experience in the specific technical areasinvolved.Commentary: This rule is meant to ensure that members not undertakeprojects thot are beyond their professional copacity. Members venturinginto oreas that require expertise they do not possess may obtain thatexpertise by additional education, training, or through the retention ofconsultonts with the necessary expertise.Rule 3.103 Members shall not materially alter the scope or objectives of aproject without the client's consent.E.S. 3.2 Conflict of Interest: Members should avoid conflicts of interest in theirprofessional practices and fully disclose all unavoidable conflicts as they arise.Rule 3.201 A Member shall not render professional services if the member'sprofessional judgment could be affected by responsibilities to another proiector person, or bythe member's own interests, unless allwhom rely on themember's judgment consent after full disclosure.Commentary:This rule is intended to embroce thefull range ofsituotions that may present o member with a conflict between his orher interests or responsibilities and the interest of others.Those who areentitled to disclosure may include a client, owner, employer, controctor,or others who rely on or are affected by the member's professionaldecisions. A member who connot oppropriately communicate about aconflict directly with an affected person must take steps to ensure thotdisclosure is made by other means.Rule 3.202 When acting by agreement of the parties as the independentinterpreter of building contract documents and the judge of contractperformance, members shall render decisions impartially.Commentary: This rule applies when the member, though poid by theowner and owing the owner loyoky, is nonetheless required to act withimpartiolity in fulfi Iling the architect's professional responsibilities.E.S. 3.3 Candor and Truthfulness: Members should be candid and truthful in theirprofessional communications and keep their clients reasonably informed about theclients' projects.Rule 3.301 Members shall not intentionally, or recklessly, mislead existing orprospective clients about the results that can be achieved through the usebf tne members'services, nor shall the members state that they can achieveresults by means that violate applicable law or this Code.Commentary:This rule is meant to preclude dishonest, reckless, orillegal representations by a member either in the course of soliciting aclient or during performance.E.S. 3.4 Confidentiality: Members should safeguard the trust placed in them by theirclients.Rule 3.401 Members shall not knowingly disclose information that wouldadversely affect their client or that they have been asked to maintainin confidence, except as otherwise allowed or required by this Code orapplicable law.Commentary:To encouroge the full and open exchange of informationnecessary for a successfulprofessionol relotionship, members mustrecognize and respect the sensitive nature of confidentiol clientcommunications.The law does not recognize an orchitect-clientprivilege, however, the rule permits o member to reveal a confidencewhen a failure to do so would be unlawful or contrary to another ethicolduty imposed by this Code.CANON IVObligations to the ProfessionMembers should uphold the integrity and dignity of the profession.E.5.4.1 Honesty and Fairness: Members should pursue their professional activitieswith honesty and fairness.Rule 4.101 Members having substantial information which leads to areasonable belief that another member has committed a violation ofthis Code, which raises a serious question as to that member's honesty'trustworthiness, or fitness as a member, shall file a complaint with theNational Ethics Council.Commentary: Often, only an architect can recognize thot thebehavior of another architect poses a serious question os to thatother's professionol integrity. ln those circumstonces, the duty tothe professionol's calling requires that a complaint be filed. ln mostjurisdictions, a complaint that invokes professional standards isprotected from a libel or slander action if the complaint was mode ingood faith. lf in doubt, a member should seek counsel before reportingon onother under this rule.Rule 4.102 Members shall not sign or seal drawings, specifications, reports, orother professional work for which they do not have responsible control.Commentary: Responsible control means the degree of knowledge ondsupervision ordinorily required by the professional stondard of core.With respect to the work of licensed consultonts, members moy sign orseal such work if they have reviewed it, coordinoted its preparation, orintend to be responsible for its odequacy.Rule 4.103 Members speaking in their professional capacity shall notknowingly make false statements of material fact.Commentory:This rule opplies to statements in oll professionalcontexts, including applicotions for licensure and AIA membership.E.5.4.2 Dignity and Integrity: Members should strive, through their actions, topromote the dignity and integrity of the profession, and to ensure that theirrepresentatives and employees conform their conduct to this Code.Rule 4.201 Members shall not make misleading, deceptive, or falsestatements or claims about their professional qualifications, experienceor performance, and shall accurately state the scope and nature of theirrejponsibilities in connection with work for which they are claiming credit.Commentary: This rule is meont to prevent members from claiming orimplying creditfor workwhich they did not do, misleoding others anddenying other participants in o proiect their proper shore of credit.Rule 4.202 Members shall make reasonable efforts to ensure that those overwhom they have supervisory authority conform their conduct to this Code.Commentory: What constitutes "reosonoble efforts" under this rule iso common sense motter. As it makes sense to ensure that those overwhom the architect exercises supervision be made generally awore ofthe Code, it con also make sense to bring o particular provision to theattention of a particular employee when a situation is present whichmight give rise to violotion.168
code of ethics & professional conductCANON VObligations to ColleaguesMembers should respect the rights and acknowledge the professional aspirationsand contributions of their colleagues.E.S. 5.1 Professional Environment: Members should provide their associates andemployees with a suitable working environment, compensate them fairly andfacil itate their professional development.E.5. 5.2 Intern and Professional Development Members should recognize and fulfilltheir obligation to nurture fellow professionals as they progress through all stagesof their career, beginning with professional education in the academy, progressingthrough internship and continuing throughout their career.E.5. 5.3 Professional Recognition: Members should build their professionalreputation on the merits of their own service and performance, and shouldrecognize and give credit to others for the professional work they have performed.Rule 5.301 Members shall recognize and respect the professionalcontributions of their employees, employers, professional colleagues andbusiness associates.Rule 5.302 Members leaving a firm shall noL without the permission oftheir employer or partner, take designs, drawings, data, reports, notes orother materials relating to the firmt worlC whether or not performed by themember.Rule 5.303 A member shall not unreasonably withhold permission from adeparting employee or partner to take copies of designs, drawings, data,reports, notes or other materials relating to work performed by the employeeor partner that are not confidential.Commentary: A member may impose reasonoble conditions, such asthe poyment of copying costs, on the right of departing persons to takecopies of their work.CANON VIObligations to the EnvironmentMembers should promote sustainable design and development principles in theirprofessiona I activities.E.S.6.1 Sustainable Design: In performing design work, members should beenvironmentally responsible and advocate sustainable building and site design.RULES OF APPLICATION, ENFORCEMENT ANDAMENDMENTAPPTICATIONThe Code of Ethics and Professional Conduct applies to the professionalactivities of all members of the AlA.ENFORCEMENTThe Bylaws of the Institute state procedures for the enforcement of the Code ofEthics and Professional Conduct. Such procedures provide that:('l) Enforcement of the Code is administered through a National Ethics Council,appointed by the AIA Board of Directors.(2) Formal charges are filed directly with the National Ethics Council by members,components or anyone directly aggrieved by the conduct of the members.(3) Penalties that may be imposed by the National Ethics Council are:(a)Admonition(b) Censure(c) Suspension of membership for a period of time(d) Termination of membership.(4) Appeal procedures are available.(5)All proceedings are confidential, as is the imposition of an admonishmenqhowever, all other penalties shall be made public.Enforcement of Rules 4.10l and 4.202 refer to and support enforcement of other Rules.Aviolation of Rules 4.101 or 4.202 connot be established without proof of a pertinentviolation of ot least one other Rule.AMENDMENTThe Code of Ethics and Professional Conduct may be amended by the conventionof the Institute under the same procedures as are necessary to amend the Institute'sBylaws. The Code may also be amended by the AIA Board of Directors upon a twothirdsvote of the entire Board.x2OO7 Edition. This copy of the Code of Ethics is current as of December 2007.Contoct the General Counsel's Office for further informotion at(202) 626-731 t.E.S.6.2 Sustainable Development: In performing professional services, membersshould advocate the design, construction, and operation of sustainable buildingsand communities.E.S.6.3 Sustainable Practices: Members should use sustainable practices within theirfirms and professional organizations, and they should encourage their clients to dothe same.169
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