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Flashcards in Practice Management - Ethical Standards Deck (19)
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1

What are the 2 guides for industry ethical standards? What are their main objectives?

NCARB Model Rules of Conduct
- Objective = protection of the health, safety, and welfare of the public

AIA The Code of Ethics and Professional Conduct:
Addresses responsibilities to:
- the public
- the client
- building industries
- the art and science of architecture
- continuum of knowledge and creation

2

NCARB Model Rules of Conduct - what is its objective and what are its rules?

Rules for ethical standards with the objective to protect the safety, health and welfare of the public.

Rule 1: Competence
Rule 2: Conflict of Interest
Rule 3: Full Disclosure
Rule 4: Compliance with Laws
Rule 5: Signing and Sealing Documents

3

NCARB Model Rules of Conduct: Rule 1

Competence:
An architect should:
- primary duty = protect public's health, safety, and welfare
- act with reasonable care and competence (standard of care)
- design in accordance with applicable building laws
- perform services only when having the necessary knowledge and skill
- not be permitted to practice if member board deems professional competence to be substantially impared

4

NCARB Model Rules of Conduct: Rule 2

Conflict of Interest
An architect should:
- not accept compensation from more than one party on a project, unless fully disclosed in writing by all
- not solicit or accept compensation from material or equipment suppliers for endorsing their products in design/project
- not perform service is there is a conflict of interest not fully disclosed and waived in writing (ie. financial gains or judgment adversely affected)
- Render decision impartially when acting as independent interpreter of the contract documents or judge of contract performance
- when acting as AXP supervisor, not enter into inappropriate relationship with mentee

5

NCARB Model Rules of Conduct: Rule 3

Full Disclosure
An architect should:
- not make statements that are misleading, deceptive, or false
- disclose if being compensated for making public statement on architectural matters
- not misrepresent qualifications, capabilities, and experience of themselves or their firm
- not misrepresent or overstate scope fo responsibility on work claiming credit for
- Take the 3 following actions if the architect becomes aware of a decision made by the architect’s employer or client, against the architect’s advice, that violates applicable federal, state, or local building laws and regulations, and that will, in the architect’s judgement, materially and adversely affect the health and safety of the public:
1. Refuse to consent to the decision
2. Report the decision to the official charged with enforcement of building laws and regulations
3. Terminate the provision of services unless the architect is able to cause the matter to be resolved by other means

6

What are the 3 actions an architect must take if they become aware of a decision made by their employer or client, against the architect's advice, that violates applicable building laws and regulations, and that will, in the architect’s judgement, materially and adversely affect the health and safety of the public?

1. Refuse to consent to the decision
2. Report the decision to the official charged with enforcement of building laws and regulations
3. Terminate the provision of services unless the architect is able to cause the matter to be resolved by other means

7

NCARB Model Rules of Conduct: Rule 4

Compliance with Laws
An architect should:
- not violate the laws in relation to practice
- do not conduct fraud or deliberate disregard of others' rights
- comply with licensing laws
- not bribe public officials about their projects
- be subject to discipline if having violated employee's lawful rights

8

NCARB Model Rules of Conduct: Rule 5

Signing and Sealing Documents
An architect should sign and seal only those technical submissions that were prepared under their responsible control except:
- those supplied by manufacturers, suppliers, installers, contractors, or the architect's own consultants when submission will be included in architect's technical submission and architect has reviewed for accuracy
- prototypical building documents prepared by a licensed architect as long as they comply with the requirements of project's jurisdiction and are incorporated into architect's own technical submission

9

What are the 3 tiers of statements of the AIA Code of Ethics and Professional Conduct?

- Canons: broad principles of conduct
- Ethical Standards (ES): specific goal toward which members should aspire
- Rules of Conduct: mandatory; violations result in disciplinary action by AIA

10

Who does the AIA appoint to enforce the AIA Code of Ethics and Professional Conduct?

National Ethics Council

11

National Ethics Council (NEC)

- appointed by AIA to enforce Code of Ethics and Professional conduct
- proposes revisions to the Code
proposes revisions to the NEC's Rules of Procedure, which govern the process for handling a complaint
- educates the public and AIA members on ethical issues in architecture

Filing a complaint:
- anyone can file formal charges with them
- penalties include: admonition (private sanction), censure (public sanction), suspension of membership, termination of membership
- appeal procedures are available
- proceedings are confidential
- penalties are public

12

How many Canons are in the AIA Code of Ethics and Professional Conduct? What are they?

Canon I: General Obligations
Canon II: Obligations to the Public
Canon III: Obligations to the Client
Canon IV: Obligations to the Profession
Canon V: Obligations to Colleagues
Canon VI: Obligations to the Environment

13

AIA Code of Ethics and Professional Conduct

AIA members are dedicated to the highest standards of professionalism, integrity and competence. The AIA Code of Ethics guides members’ conduct in fulfilling those obligations.

Addresses responsibilities to:
- the public
- the client
- building industries
- the art and science of architecture
- continuum of knowledge and creation

Requirement for AIA membership

Violation of rules subject to disciplinary action by National Ethics Council (NEC)

14

AIA Code of Ethics and Professional Conduct: Canon I

General Obligations
Members should:
- maintain and improve knowledge and skill
- seek to raise architectural standards in aesthetics, education, research, training, and practice
- respect and seek to improve society and the environment
- respect and help conserve their natural and cultural heritage
- not engage in conduct involving wanton disregard of the rights of others
- not in engage in harassment of discrimination based on race, sex, religion, national origin, age, disabilities, caregiver status, gender, gender identity, or sexual orientation
- design for human dignity and the health, safety, and welfare of the public
- promote allied arts and contribute to the knowledge of the building industries as a whole

15

AIA Code of Ethics and Professional Conduct: Canon II

Obligations to the Public
Members should:
- uphold the law
- never try to influence a public official with a payment
- never accept payment intended to influence their judgment
- never help a client with anything fraudulent or illegal
- Take the 3 following actions if the architect becomes aware of a decision made by the architect’s employer or client, against the architect’s advice, that violates applicable federal, state, or local building laws and regulations, and that will, in the architect’s judgement, materially and adversely affect the health and safety of the public:
1. Refuse to consent to the decision
2. Report the decision to the official charged with enforcement of building laws and regulations
3. Terminate the provision of services unless the architect is able to cause the matter to be resolved by other means
- promote and serve public interest
- render pro bono services
- be involved in civic activities
- promote fairness and safety in providing services
- make reasonable efforts to advice clients of their obligations to the environment
- make reasonable efforts to inform clients of potential environmental impacts that may occur as a result of their work

16

AIA Code of Ethics and Professional Conduct: Canon III

Obligations to the Client
Members should:
- serve clients competently, professionally, and in a timely manner
- exercise unbiased judgment
- avoid conflicts of interest
- be truthful and candid in professional encounters
- keep clients informed about their projects
- maintain client confidentiality

17

AIA Code of Ethics and Professional Conduct: Canon IV

Obligations to the Profession:
Members should:
- uphold the integrity and dignity of the profession
- practice with honesty and fairness
- file a complaint with the National Ethics Council if another member has committed a violation
- not sign and seal documents for which they do not have responsible control
- not knowingly make false statements
- promote the dignity and integrity of the profession
- be honest about their qualifications and the work they claim credit for
- ensure that their employees/those under their authority conform to the Code of Ethics

18

AIA Code of Ethics and Professional Conduct: Canon V

Obligations to Colleagues
Members should:
- respect the rights of colleagues and acknowledge their professional contributions
- provide associates and employees with suitable working conditions and fair compensation
- nature fellow professionals through their education, internship, and careers
- reasonable assist individuals in an internship program in proper timely documentation
- give credit to others for their professional work
- not leave a firm taking drawings, designs, or other materials without the permission of their employer
- not withhold permission from a departing employee to take copies of non-confidential drawings, etc related to their work

19

AIA Code of Ethics and Professional Conduct: Canon VI

Obligations to the Environment
Members should:
- acknowledge their professional responsibilities to promote sustainable design and to implement energy and resource conscious design
- set ambitious performance goals for greenhouse gas emission reduction for each project
- optimize water conservation for each project
- select and use building materials to minimize exposure to toxins and pollutants
- consider with clients the impact of each project on the environment
- incorporate adaption strategies to anticipate extreme weather events and minimize adverse effects on the environment, economy, and public health