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P A R T 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
profess enol orgonizolions porticipolion in public ono
comrrunity serviCe, end
mentoring of emerg"ng pro!essionols
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Foreword v
Prefoce vi
Contents
Adcnowledgmenh vi
About the HCIIdlook x
ihiil THE PROFESSION 1 Professiona I Life 2
I ..I Ethics m~ ProhundCmeua l~!i' .il.i Codt of Ediia t-
P1>;1UJi:tl111 C.oitt I 0 1.2 P>rcap:ttmgm PraEtmeoal
Or~utioru 14 1.3 Public Stm tn~ Community
lnvokement 2 2 lA Tbe.l.rcltite.reba a:< 111 6.2 Con:munaang
.. ,rb Chtna 221 6.3 Bdrl ing Clitnt Rt b tionllupo m
7 Human Resources 244 ..1 Human Resou rtts ~fmogtmtnt 144
.irthi".urs Ill EM;h)ln; Ltpl RtiflilfiiC mrwci,. .\1 "''f' ..nr
SO/ Dtrigr. Bdd Pn;ta Dtli:'ti'J SIJ4
Pro jed Deli.tery S07 12.1 Pro;nmmms ;o 12.2 ooisn Phti" m IU
Con sm:aiGn OOOl rnu111110n j 31
T t".S. S~""al CAD S,,.i,d S59 &HUS'TrRSFEC S61i
12.4 Bl!i~g or X
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C H A P T E R 1
Professiona I Life
1.1 Eth ics and Profess ional Conduct Philip H. Gerou, f AlA
Architecl> are conlror.tsd daily with mord choices,
compeNngloyaltie;, o ne col dilem111os. A~hough sud. situations can
be ambiguous or paradoxical ! tenels held in common by the
profession can help architeds determine how respond to them.
The need to tnic:u!ttt tnd tO\'oc:1te ethi< mndttds bts nti'U
been more c. Con run 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* 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
hel prindples.
Sy the hte 19"~, the AlA code of ethics hd been
signifiam:ly>mended. Dign 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 1'1.1''1'1'~ 1ft~ rlu "'"'h l .. n-il1 "'"'t
.MMI!'Io-riri.M 'I A'V'ml~ N AY~Mt11'1in~tl u
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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 foniobting the AlA ~e of ethi 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 fol-lo-.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\;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 cutLral
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 nOer"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
which aD member; 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 coee 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 mem-bersshould aspire
ro in their probsional performmce and behtvior. Inrlivid-Jt! ethi~J
sondards incorpoTtte specific rules of conduct thuue mtndttorvtnrl
enforcetble. \'io-lttion oft rule by m AlA member ~y be grounds for
dis-ciplinary action by the lnstituie. Commenttry, ,.hich is oifHd
m cltrifyor 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.
AlA National Ethics Council The Nationtl Ethics C.ountil (:\EC)
is m:ade up of seven .U~ mem bm selected tnd :appointed according
to specific credentills. E>eh of the !t ven mem hers repretents
1 ci\ers e oon sti we ncy. They come from \"trio us regions of the
country ana diffrent types of pneliee ani profession.J btcl:y
ounds, and rhty ue represona 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 Direc-tors, 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
,;~ 1 1 i< rhn '"M clc-ground m:ay be younrls for recustl.
Once 1 ctse has bun 1:>signe1l to 1 hearing offi-cer, 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 vio-btion 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 A pre-heuing conference ctU is trrangell
with rhe compltintnt and rhe retpondent to di~uss the issues and
the possibility of a resolution. If no resolution results
f1hics complaint; og airl$t AJA m!mbers sf.ot;ld be cddres;ed
10: Choir, Nonor.ol bh~;Counci l
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The Heoring 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 member knOilin~y violi!"ti\0
li;r of all the tetm puticipams. ThetcknO\\Iedgmem of mtjor team
pttticipants is reco=enC.ed.
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"' 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 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
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 btnefisin ly difficult. Forerun le, should tn trchi ttct
wh,
predomintntly ern ted t6pted computer softwo.re or developed
uniq"" r.echnicol cmili begivencopiesof thu wpect to recek e
retsontble tumpluof work; me emplOfer is not obligtr.ed to mtl:e me
entire \'Oiume of work producesonable oppormnir:y to preso.nt
qualification> to furore err.ployw or potential 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 primry softwo.re. The .U\ htspublishec 1 Btst
Prtctices trticle titlec ' Persontl t:soofOocuments: .\Stn:ple
Firm
Policy~ to help firms establish pokies for me ethictl US< of
docume.nrs during and fteremployment.
THE FUTURE Defining prof~sionaletbics for t.h! o.rchite:we
profession ... ;~ remtin the duty of the .\meric-.n ln!tirute of
Archittcts
tn~ its 1'\ationtl Ethics Council..\s they b11e in !he past, the
AlA Boo.rd of Oireaor; tnd ::-IEC 'll'iB periodically reenlu ttt
the Codt of Ethic-und Professiontl Cndutt bt!ed on the profession~
ee 1-alues 'llbih responding to socieol pres-runs1 chtnging bminets
pncti~1 1d\"'1ncing tt-chnologi~ an;l le,;ons lmnd from the results
of furore ~t.igtti~n .
For More Information The AlA Web site" .....
w.ait.org!tbout...etbics pro1irles curr1EC's pm; . ousdecisionstnd
tJestions mty b.e diremd to the Office of the Genertl Counlli tt
(202) 626-i 311. .\fem-bm of the AlA !'\ttion21 E!hics Council mt y
be tV1iltble to offer progrun;., 'll'hioh induce C> Caflllir~
abliJtrions, ;ud a; 'omiy responsibi> risor r.~gioiJS corvic:ion
' or oxamplo, emf>oyo;;s
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
mayurwnri~ly .x;>~ "' firm ., ;,biliy cod rnoycam promi,.
r!l.ir """ abniy 10 porbrm ad;.gcooy 'or ltle compe101ion r!l.y are
rec:i.,jr~ . Or. on e-npbyee moy LJ< rf.e firm~ !OMr. lor
;>"rJolon, defrauded, or rcl:=nad>en'Jg. ol a lin.a-ion.
Somorirnes ire ildividual is wo ~reruioned, lOrne ri""'.; 1101, b:n
akr>:>sr af...oys ~. or lhe f;,els j~srin.d 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, awnerpmcrib.d re~iremetll vem
sb;idir.g cod:sor archi"r. rol revi:wco!Miae.;, or.d
corJid:nndiry"!!r .,. tru+.fdress. i:e;olv~ tr,e;e corJii:-;do.; oo
r:quire deci;ionsabo" rif!.: a
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BACKGROUNDER
TBI: ,-\.,IERICIX!XS Tin II: or .-IRCHJITCTS Ethics
FROM THE OFFICE OF GENERAL COUNSEL
2004 Code of Ethics & Professional Conduct Praambla
~L~b~ oftb: .b:.eri.::m lu.ci:..r:-ofA.rdii~.:s. r e d~tced :o
the m~s~ ~d::e of pf~ui=!lis::r., an:;:~ . !:II! c.o~:.:n:t-e.
Thi1Cod: of E~i:: ~ m~ ?.-ofe::ri.:lw.l Candr. n:~
;~~li:!el f'C! :he (l)::sd:!C: or ~r.:n":!m in fllfil&%12'
:bo~ obJi? :iac.s. The Cod! is mm~ in 't:!! ~eo of a.:~ ... ~:
C!roru,. E-JU:ilS.t~d!!~ ~d R:~l~c:fCo!ld"Y!:
Cma~s ue~FJnci?J= oico:cd:.c:.... ' E~ S=l:rd: (.5,.) "' "'""
'!"'if< ! Olh n-.rd
l"oici~Me:rZo ~a;~ld ~p.: iop::a:euXm.tl;:~o:.r...t..'lC;e .m:f:
.. Su.\io:-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~o.J~ r.~;>:r. mlh: l;> c,em$e'!'\'e
:lte-e-n_:tlf:l r~dcobnl bethe: v.'bile s :riv~ :o in:;nr:t\~ e
~.itmm'zn: !..'"ld :heq-J.!l~ cilifewDni:. cow .. .r.r;;:ry
Bpt;r.rt",Z Q 1101'.!!:-!ll:Z ~:mf of~_F...tnl'~~ Zt !hc,:~.!P~.d~
:::ni:lioj '".Pl2'1\:t, zi:s r~ Qfb~ jlfl'd:sq:.M
t:!J.C.II:Mrll'~t!JIJ"l !'.!""'
ufc~.:n.:l) "-'c rorac!Jwocz!:J :rl...::rl J'solc::td:~
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1.2 Participating in Professional Organizations Ancroo S.
Rutledge, SDA, CAE
Participo~n9 in profes sional arganizafions can help architects
enrich their careers and confribule fo the odvoncemerl of the
profession.
I 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 spoofed our
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 m em. 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 toStocittions tnd profeHiontl societies
began forming in the tni ted State>, ptrtkularly among busi ness
ownerSOcittion pro1ides. The senices ccmn:only pro1ided by
profession..! societies ue cesaibed in this section.
Bringing People Together to Effect Change In his 1001 book
Pri1:dplts of Awtit1!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\"el-oping Melong networks and relationships, tnd letrning from
one tnother in informal settings.
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Providing Resources to Members Another r< to knowldge w d
,..,,;~, thu .. ill help them tcdr