ARE Daily | PcM #06 — Ethical Standards: AIA Code of Ethics Structure & Canons I–III

Quick Recall (from #05 — Office Regulations)

An architect is licensed in New York. A client wants to hire them for a project in California. What does the architect need to do before practicing there, and what makes California unusual?

The architect must apply for reciprocal licensure in California by submitting documentation of education, experience, and exam status to California's licensing board — NCARB certification simplifies this process. California is unusual because it requires an additional exam, the California Supplemental Examination, beyond the ARE. Most states accept the ARE alone.

Today's Content

The AIA Code of Ethics and Professional Conduct is the primary ethical framework for the profession, and the ARE treats it as required knowledge. Even if you're not an AIA member, you need to understand its structure and content — and NCARB expects ARE candidates to be familiar with it.

The Code is organized into three tiers. Canons are broad principles of conduct — the highest-level statements of what architects should aspire to. Ethical standards are more specific goals that members should work toward; they're aspirational but not mandatory. Rules of conduct are the most specific tier: mandatory statements that members must follow. Violating a rule of conduct is grounds for disciplinary action. This tiered structure matters for the exam — know which tier carries mandatory enforcement.

If a violation is found, sanctions range from a private admonishment (non-public) to censure (violation published in an AIA periodical) to suspension or termination of membership. The most severe sanction is termination.

It's also worth knowing what architects are now permitted to do under the Code that was once prohibited. The original 1909 Code was more restrictive. Today, AIA members may: compete for projects on the basis of fee, advertise (as long as no false or misleading statements are made), supplant another architect on a project, participate in design-build, and offer free preliminary design services to secure a commission — provided the prospective client isn't misled about the completeness or nature of the work.

Canon I — General Obligations covers members' duties to the profession itself and to personal conduct. Members should maintain and improve their knowledge and skill, seek to raise architectural standards, exercise professional judgment, uphold human rights, and not discriminate on the basis of race, religion, national origin, age, disability, or sexual orientation. The non-discrimination rule is a Rule of Conduct — mandatory.

Canon II — Obligations to the Public addresses the architect's role in broader society. Members should uphold the law, never attempt to improperly influence a public official, never accept payments intended to influence their professional judgment, promote the public interest, render pro bono services, be involved in civic activities, and never assist a client with anything fraudulent or illegal. The prohibition on improper payments to public officials is a Rule of Conduct.

Canon III — Obligations to the Client focuses on the professional relationship with the client. Members should serve clients competently, exercise unbiased judgment, not accept projects beyond their capacity, avoid conflicts of interest, be truthful in communications, keep clients informed, and maintain client confidentiality. The confidentiality obligation and the conflict of interest prohibition are Rules of Conduct.

Today's Questions

1. What are the three tiers of the AIA Code of Ethics, and which tier carries mandatory enforcement?
2. What is the most severe sanction the AIA can impose on a member found in violation?
3. Under the current Code, can an architect advertise? Can they compete for a project on fee alone? Were these always permitted?
4. An architect discovers their client is asking them to falsify permit documents. Under Canon II, what is the architect obligated to do?

Next up: AIA Code of Ethics — Canons IV–VI & Permitted Conduct

Answers from #05 — Office Regulations

1. What is a COA and when is it required? → A certificate of authorization is a filing with the state architectural registration board required in some states before a firm can offer services to the public. It's separate from business licenses and corporate registration.
2. IRS form for Employer Identification Number? → Form SS-4 is the application. The EIN is used in all tax filings and IRS correspondence — it's the business's tax identity number.
3. NY architect wants to practice in Texas — process? → Apply for reciprocal licensure by submitting documentation to Texas's licensing board. NCARB certification facilitates this — NCARB can send documentation directly to other boards. Texas (unlike California) does not require an additional exam.
4. Difference between ARE and AXP? → The ARE is the examination — it tests the knowledge and judgment required for licensure. The AXP (formerly IDP) is the experience documentation program — it tracks and verifies structured internship hours under a licensed architect. Both are required for licensure in most states.

Additional Quick Recalls

From #01 — Sole Proprietorship & Partnerships What is the main tax disadvantage of a general partnership compared to an LLC?

Both have pass-through taxation (income taxed at individual rates, not the entity level). The LLC has no specific tax disadvantage there — but in a general partnership, partners also pay self-employment tax on their share of income. More importantly, the LLC offers liability protection the partnership doesn't. The partnership's real disadvantage isn't tax — it's unlimited personal liability.

From #03 — Standard of Care Can an architect avoid negligence liability by pointing to the fact that their structural engineer made the error?

Generally no. The architect of record is responsible for coordinating consultant work. Delegating a task to a consultant doesn't eliminate the architect's duty to review and coordinate that work. The engineer carries direct liability too, but the architect can't simply pass the responsibility downstream.

From #05 — Office Regulations What are the two key NCARB programs that lead to licensure?

The ARE (Architect Registration Examination) and the AXP (Architectural Experience Program). The ARE tests competency; the AXP documents structured professional experience. NCARB administers both and facilitates reciprocal licensure between states through NCARB certification.