CODE OF PROFESSIONAL CONDUCT

This code was adopted by the Board in November 1986. Only those numbered items in bold print were adopted by the Board. The commentary has been added for explanation and understanding only.


1. COMPETENCE

1.1 In practicing architecture, an architect shall act with reasonable care and competence, and shall apply the technical knowledge and skill which is ordinarily applied by architects of good standing, practicing in the same locality.

Commentary: It is clear that the public expects that incompetence will be disciplined and, where appropriate, will result in revocation of the registration. 1.1 sets forth the common law standard which has existed in this country for a hundred years or more in judging the performance of architects. While some courts have stated that an architect, like the manufacture of goods, impliedly warrants that his/her design is fit for its intended use, this rule specifically rejects the minority standard in favor of the standard applied in the vast majority of jurisdictions that the architect need be careful but need not always be right. In an age of national television, national universities, a national registration exam, and the like, the reference to the skill and knowledge applied in the same locality may be less significant than it was in the past when there was a wide disparity across the face of the United States in the degree of skill and knowledge which an architect was expected to bring to his/her work. Nonetheless, the courts have still recognized this portion of the standard, and it is true that what may be expected of an architect in a complex urban setting may vary from what is expected in a more simple, rural situation.


1.2 In designing a project, an architect shall take into account all applicable state and municipal building laws and regulations. While an architect may rely on the advice of other professionals (e.g. attorneys, engineers, and other qualified persons) as to the intent and meaning of such regulations, once having obtained such advice, an architect shall not knowingly design a project in violation of such laws and regulations.

Commentary: It should be noted that the rule is limited to applicable state and municipal building laws and regulations. Every major project being built in the United States is subject to a multitude of laws in addition to the applicable building laws and regulations. As to these other laws, it may be negligent to the architect to have failed to taken them into account, but the rule does not make the architect specifically responsible for such other laws. Even the building laws and regulations are of sufficient complexity that the architect may be required to seek the interpretation of other professionals. The rule permits the architect to rely on the advice of such other professionals.

1.3 An architect shall undertake to perform professional services only when he or she, together with those whom the architect may engage as consultants, are qualified by education, training, and experience in the specific technical areas involved.

Commentary: While an architect is registered to undertake any project which falls within the definition of the practice of architecture, as a professional, the architect must understand and be limited by the limitations of his/her own capacity and knowledge. Where an architect lacks experience, the rule supposes that he/she will retain consultants who can appropriately supplement his/her own capacity. If an architect undertakes to do a project where he/she lacks knowledge and where he/she does not seek such supplementing consultants, the architect has violated the rule.

1. No person shall be permitted to practice architecture if, in the Board's judgment, such person's professional competence is substantially impaired by physical or mental disabilities.

Commentary: Here the Alabama State Registration Board is given the opportunity to revoke or suspend a registration when the Board has suitable evidence that the registrant's professional competence is impaired by physical or mental disabilities. Thus, the board need not wait until a building fails in order to revoke the registration of an architect whose addiction to alcohol, for example, makes it impossible for him/her to perform his professional services with necessary care.

2. CONFLICT OF INTEREST

2.1 An architect shall not accept compensation for his or her services from more than one party on a project unless the circumstances are fully disclosed to and agreed to (such disclosure and agreement to be in writing) by all interested parties.

Commentary: This rule recognizes that in some circumstances an architect may receive compensation from more than one party involved in a project but that such bifurcated loyalty is unacceptable unless all parties have understood it and accepted it.


2.2 If an architect has any business association or direct or indirect financial interest which is substantial enough to influence his or her judgment in connection with his or her performance of professional services, the architect shall fully disclose in writing to his or her client or employer the nature of the business association or financial interest, and if the client or employer objects to such association or financial interest, the architect will either terminate such association or interest or offer to give up the commission or employment.

Commentary: Like 2.1, this rule is directed at conflicts of interest. It requires disclosure by the architect of any interest which would affect the architect's performance.

2.3 An architect shall not solicit or accept compensation from material or equipment suppliers in return for specifying or endorsing their products.

Commentary: This rule appears in most of the existing state standards. It is absolute and does not provide for waiver by agreement.


2.4 When acting as the interpreter of building contract documents and the judge of contract performance, an architect shall render decisions impartially, favoring neither party to the contract.

Commentary: This rule applies only when the architect is acting as the interpreter of building contract documents and the judge of contract performance. This rule recognizes that that is not an inevitable role and that there may be circumstances (for example, where the architect has an interest in the owning entity) in which the architect may appropriately decline to act in those two roles. In general, however, the rule governs the customary construction industry relationship where the architect, though paid by the owner and owing the owner his/her loyalty, is nonetheless required, in fulfilling his/her role in the typical construction industry documents, to act with impartiality.


3. FULL DISCLOSURE

3.1 An architect, making public statements on architectural questions, shall disclose when he or she is being compensated for making such statement.

Commentary: Architects frequently, and appropriately, make statements on questions affecting the environment in the architect's community. As citizens and as members of a profession acutely concerned with environmental change, they doubtless have an obligation to be heard on such questions. Many architects may, however, be representing the interests of potential developers when making statements on such issues. It is consistent with the probity which the public expects from members of the architectural profession that they not be allowed under the circumstances described in the rule to disguise the fact that they are not speaking on the particular issue as an independent professional but as a professional engaged to act on behalf of a client.


3.2 An architect shall accurately represent to a prospective or existing client or employer his or her qualifications and the scope of his or her responsibility in connection with work for which he or she is claiming credit.

Commentary: Many important projects require a team of architects to do the work. Regrettably, there has been some conflict in recent years when individual members of that team have claimed greater credit for the project than was appropriate to their work done. It should be noted that a young architect who develops his/her experience working under a more senior architect has every right to claim credit for the work which he/she did. On the other hand, the public must be protected from believing that the younger architect's role was greater than was the fact.

3.3 If, in the course of his or her work on a project, an architect becomes aware of a decision taken by his or her employer or client, against the architect's advice, which violates applicable state or municipal building laws and regulations and which will, in the architect's judgment, materially affect adversely the safety to the public of the finished project, the architect shall:
a. report the decision to the local building inspector or other public official charged with the enforcement of the applicable state or municipal building laws and regulations, and
b. refuse to consent to the decision, and
c. in circumstances where the architect reasonably believes that other such decisions will be taken notwithstanding his objection, terminate his services with reference to the project. In the case of a termination in accordance with c., the architect shall have no liability to his/her client or employer on account of such termination.

Commentary: This rule holds the architect to the same standard of independence which has been applied to lawyers and accountants. In the circumstances described, the architect is compelled to report the matter to a public official even though to do so may substantially harm the architect's client. Note that the circumstances are a violation of building laws which adversely affect the safety to the public of the finished project. While a proposed technical violation of building laws (e.g., a violation which does not affect the public safety) will cause a responsible architect to take action to oppose its implementation, the Board specifically does not make such a proposed violation trigger the provisions of this rule. The rule specifically intends to exclude safety problems during the course of construction which are traditionally the obligation of the contractor. There is no intent here to create a liability for the architect in this area. Clause c. gives the architect the obligation to terminate his/her services if he/she has clearly lost professional control. The standard is that the architect reasonably believes that other such decisions will be taken notwithstanding his/her objection. The rule goes on to provide that the architect shall not be liable for a termination made pursuant to clause c. Such an exemption from contract liability is necessary if the architect is to be free to refuse to participate on a project in which such decisions are being made.

3.4 An architect shall not deliberately make a materially false statement or fail deliberately to disclose a material fact requested in connection with his or her application for registration of renewal.

Commentary: When our registration board grants registration or renews registration on the basis of a misrepresentation by the applicant, the board must have the power to revoke that registration.


3.5 An architect shall not assist the application for registration of a person known by the architect to be unqualified in respect to education, training, experience, or character.


3.6 An architect possessing knowledge of a violation of these rules by another architect shall report such knowledge to the Board.

Commentary: This rule's thrust is consistent with the special responsibility which the public expects from architects.


3.7 a. On a project where a building permit has been issued and the sealing architect has not been engaged, or is no longer engaged, to perform at least minimum construction administration services, as defined in subsection b. below, the sealing architect must report to the building official and the Board that he or she has not been, or is no longer, so engaged.

b. The minimum construction administration services expected of the sealing architect deemed necessary to protect the health, safety, and welfare of the public shall be periodic site observations of the construction progress and quality, review of contractor submittal data and drawings, and reporting to the building official and owner any violations of codes or substantial deviations from the contract documents that the architect observed.

Commentary: Construction administration is a component of the practice of architecture. § 34-2-30(2), ALA. CODE (1975). When the sealing architect cannot perform construction administration, it is necessary to ensure that another qualified professional performs construction administration services until the project is completed. If the architect informs the Board and the local building official that he or she will not perform such services, the Board and building official can take any steps it deems necessary for the protection of the health, safety, and welfare of the public. As with other architectural services, qualified employees of registered architects may perform construction administration services under the instruction, direct control and supervision of their employers. § 34-2-32a.(1), ALA. CODE (1975).


4. COMPLIANCE WITH LAWS

4.1 An architect shall not, in the conduct of his or her architectural practice, knowingly violate any state or federal criminal law.

Commentary: This rule is concerned with the violation of a state of federal criminal law while in the conduct of the registrant's professional practice. Thus, it does not cover criminal conduct entirely unrelated to the registrant's architectural practice. It is intended, however, that rule 5.3 will cover reprehensible conduct on the part of the architect not embraced by rule 4.1.


4.2 An architect shall neither offer nor make any payment or gift to a government official (whether elected or appointed) with the intent of influencing the official's judgment in connection with a prospective or existing project in which the architect is interested.

Commentary: This tracks a typical bribe statue. It is covered by the general language of 4.1, but it is the board's view that 4.2 should be explicitly set out in the code for professional conduct. Note that all of the rules under this section look to the conduct of the architect and not to whether or not the architect has actually been convicted under a criminal law. An architect who bribes a public official is subject to discipline by the state registration board, whether or not the architect has been convicted under the state criminal procedure.


4.3 An architect shall comply with the registration laws and regulations governing his or her professional practice in any United States jurisdiction.

Commentary: For the reasons set out under 4.1, the board chooses to limit this rule to United States jurisdictions.


5. PROFESSIONAL CONDUCT

5.1 Each office maintained for the preparation of drawings, specifications, reports, or other professional work shall have an architect resident and regularly employed in that office having direct knowledge and supervisory control of such work.

Commentary: This rule addresses the subject of main, branch or satellite offices of an architectural firm and protects the public in that such offices are continually supervised by an architect registered in the jurisdiction where the office is located.

5.2 An architect shall neither offer nor make any gifts, other than gifts of nominal value (including, for example, reasonable entertainment and hospitality), with the intent of influencing the judgment of an existing or prospective client in connection with a project in which the architect is interested.

Commentary: 5.2 is the correlative of 4.2, but the latter describes criminal conduct under most state laws for it involves both "private bribes" (which are ordinarily not criminal in nature) and the unseemly conduct of using gifts to obtain work. Note that the rule realistically excludes reasonable entertainment and hospitality and other gifts of nominal value.

5.3 An architect shall not engage in conduct involving fraud or wanton disregard of the rights of others.

Commentary: Violations of this rule may involve criminal conduct not covered by 4.1 or other reprehensible conduct which the board believes should warrant discipline. The board believes that a state board must, in any disciplinary matter, be able to point to a specific rule which has been violated. An architect who is continuously involved in nighttime burglaries (no connection to his daytime professional practice) is not covered by 4.1 (crimes committed "in the conduct of his/her architectural practice"). The board believes that serious misconduct, even though not related to professional practice, may well be grounds for discipline. The board assumes that murder, rape, arson, burglary, extortion, grand larceny, and the like, would be conduct subject to the rule, while disorderly conduct, traffic violations, tax violations, and the like, would not be considered subject to the rule. It applies to conduct which would be characterized as wicked, as opposed to minor breaches of the law.

5.4 An architect shall not sign or seal drawings, specifications, reports or other professional work for which he or she does not have direct professional knowledge and direct supervisory control; provided, however, that in the case of the portions of such professional work prepared by the architect's consultants, registered under this or another professional registration law of this state, the architect may sign or seal that portion of the professional work if the architect has reviewed such portion, has coordinated its preparation, and intends to be responsible for its adequacy.

Commentary: This provision reflects current practice by which the architect's final construction documents may comprise the work of other professionals as well as work of the architect. The reference to "registered under this or another professional registration law" means the laws of the State of Alabama. The reference is most commonly to persons registered under the engineering registration law, although it covers registered architects as well, who may be engaged to do a portion of the work without being subject to the principal architect's supervisory control. If an architect does not expect to be responsible for the adequacy of his/her consultant's work, the architect should not sign or seal such work and should otherwise comply with the Alabama law in order to avoid responsibility.

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