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

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

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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!:

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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