Rules_of_Conduct.pdf

Model Rules of Conduct National Council of Architectural Registration Boards Customer Service: 202-879-0520 | Main: 202-783-6500 www.ncarb.org © National Council of Architectural Registration Boards (NCARB) This document was last updated in July 2023. NCARB MISSION NCARB, in collaboration with li...

Model Rules of Conduct National Council of Architectural Registration Boards Customer Service: 202-879-0520 | Main: 202-783-6500 www.ncarb.org © National Council of Architectural Registration Boards (NCARB) This document was last updated in July 2023. NCARB MISSION NCARB, in collaboration with licensing boards, facilitates the licensure and credentialing of architects to protect the health, safety, and welfare of the public. NCARB VISION Ensuring safe spaces and places for all communities. CORE VALUES The National Council of Architectural Registration Boards believes in being: OPEN Our success depends upon working together. We earn the respect of others by actively partnering, engaging, and collaborating with them. By being transparent and sharing our expertise, approaches, and knowledge, we help create dynamic partnerships that achieve more. RESPONSIVE By being receptive and quick to react, we demonstrate our natural human desire to be helpful. Our dedication and determination to be straightforward and deliver outstanding service experiences give our customers confidence and drive satisfaction levels upward. RESTLESS We are sensitive to the diverse and changing needs of our stakeholders. By being proactively curious about new possibilities and the world around us, we advance our knowledge, simplify our processes, and refine our thinking for the benefit of all. NCARB is a nonprofit corporation comprising the legally constituted architectural registration boards of the 50 states, the District of Columbia, Guam, Northern Mariana Islands, Puerto Rico, and the U.S. Virgin Islands as its members. Model Rules of Conduct National Council of Architectural Registration Boards Customer Service: 202-879-0520 | Main: 202-783-6500 www.ncarb.org This document was revised in July 2023 and supersedes all previous editions. MODEL RULES OF CONDUCT FOREWORD...................................................................................................................4 INTRODUCTION..........................................................................................................4 GUIDING PRINCIPLES................................................................................................. 5 RULE 1 COMPETENCE.................................................................................................6 RULE 2 CONFLICT OF INTEREST..............................................................................6 RULE 3 FULL DISCLOSURE.........................................................................................6 RULE 4 COMPLIANCE WITH LAWS......................................................................... 7 RULE 5 SIGNING AND SEALING DOCUMENTS.................................................... 7 RULE 6 FURTHER OBLIGATIONS TO THE PROFESSION AND THE PUBLIC.... 7 | 3 | MODEL RULES OF CONDUCT FOREWORD These Model Rules of Conduct are published by the National Council of Architectural Registration Boards (NCARB) as a recommended set of rules for Member Boards—the jurisdictional licensing boards—having the authority to promulgate and enforce rules of conduct applicable to those licensed in their jurisdiction. INTRODUCTION In July 1975, following a directive from delegates at its Annual Business Meeting, NCARB began to develop rules on professional conduct that it could recommend to its Member Boards. The committee conducted extensive research, produced several drafts, and conducted reviews with various governmental agencies and professional organizations in March 1976 and again in November 1976. In February 1977, the committee finalized the first version of NCARB’s Model Rules of Conduct and subsequently gained their acceptance and approval by its Member Boards at the Annual Business Meeting in June 1977. Over a two-year period, NCARB undertook a study of the conduct rules of various jurisdictions and other learned professions, held in- depth interviews with a number of government consumer affairs officials, and carried out other research inquiries. These efforts led to the formulation of NCARB’s Model Rules of Conduct. Their substance was drawn from the following series of considerations: The Rules, which will serve as the basis for the regulating and disciplining of architects, should be mandatory rules and should not include aspirational rules that often comprise the codes of professional associations; The Rules should have as their objective the protection of the public and not the advancement of the interests of the profession of architecture; The architect should not be burdened unfairly with rules and expectations that are unreasonable. The public, however, expects to find an architect in a leadership position on a construction project to protect its interests. Consequently, while the architect is primarily enjoined to serve a client’s best interests, the architect also has a supervening duty to the public; and The Rules are intended to set out those areas of behavior for which an architect risks being disciplined, including suspension or revocation of the privilege to practice, by a jurisdictional licensing board. As a result of these considerations, NCARB’s Model Rules of Conduct, as approved and recommended to its Member Boards who have the authority to promulgate such rules, center on five areas: competence, conflict of interest, full disclosure, compliance with laws, and signing and sealing documents. Over time, NCARB’s Model Rules of Conduct have been revised to ensure they remain relevant to contemporary practice and to ensure the expected professional and ethical conduct of architects found in law remains focused on the protection of the health, safety, and welfare of the public. JULY 2023 | 4 | MODEL RULES OF CONDUCT GUIDING PRINCIPLES FOR THE DEVELOPMENT OF NCARB’S MODEL RULES OF CONDUCT A. A set of rules of conduct, which will be the basis for regulating and disciplining members of the profession, should be mandatory rules and should not include those aspirational rules that are often found in a list of obligations promoted by a professional association. B. The objective of these Model Rules of Conduct is the protection of the public health, safety, and welfare. There are two general areas of concern. First, non-architects (beginning with the client and including all other members of the construction industry) dealing with an architect should be protected against misrepresentation, fraud, and deceit. Second, the users of a project on which the architect has worked must be protected from a building which is unsafe. C. These Model Rules of Conduct, when referenced to “law,” are concerned only with violations of U.S. law and not with violations of the laws of other nations. It would be extremely difficult for a jurisdictional licensing board to obtain suitable evidence of the interpretation of foreign laws and it is not unusual for such laws to be at odds with the laws of the United States. D. These Model Rules of Conduct address the conduct of the architect irrespective of the architect’s having been convicted under a criminal law. An architect is subject to discipline by the jurisdictional licensing board whether or not the architect has been convicted by a court of law. E. The public views the architect as the primary registered design professional involved in the planning and design of a building project and relies on the architect to help safeguard the public interest. While architects are obligated to defend vigorously the position of their clients, architects may be compelled to insist on positions that are not in their clients’ interest in order to protect the health, safety, and welfare of the public. F. The public expects that professions will be guided by a commonly accepted standard of conduct and that architects will assume a primary role in ensuring ethical conduct by their colleagues. For example, this principle is the foundation of the requirements to report violations found in Rule 3.9. An architect’s accountability in this regard extends to the actions of parties external to their practice and to their practice colleagues. Accordingly, for the purposes of these Model Rules of Conduct, any architect who, alone or with others, is in charge of a firm’s architectural practice will be deemed to have violated these rules if the firm has violated these rules. G. Architects who act as Architectural Experience Program (AXP) Supervisors of candidates for licensure play a critical role in the protection of the public and a central role in the training of future license holders. NCARB and the jurisdictional licensing boards rely on AXP Supervisors to both confirm that the expected experience has been gained and to serve as the primary “quality assurance” guarantor regarding the efficacy of the candidate’s experience. Accordingly, these Model Rules of Conduct include several provisions intended to protect the integrity of the experience verification process and other elements of the qualifications reporting system that jurisdictional licensing boards rely on when making licensure decisions. JULY 2023 | 5 | MODEL RULES OF CONDUCT RULE 1 COMPETENCE 2.4 An architect, when acting by agreement of the parties 1.1 In practicing architecture, an architect’s primary duty as the independent interpreter of building contract is to protect the public’s health, safety, and welfare. In documents or as the judge of contract performance, shall discharging this duty, an architect shall act with reasonable render decisions impartially.4 care and competence, and shall apply the knowledge 2.5 An architect serving as an AXP Supervisor for a candidate for and skill ordinarily applied by architects in good standing, licensure shall not have, nor enter into, any relationship with the practicing in the same locality.1 candidate that would interfere with the objectivity of the AXP 1.2 In designing a project, an architect shall take into account Supervisor’s certification of the candidate’s experience.5 the applicable federal, state, and local building laws and 2.6 An architect serving in a public capacity, whether paid regulations. While an architect may rely on the advice of or voluntary, shall not accept payments or gifts that are other professionals (e.g., attorneys, engineers, and other intended to influence the architect’s professional judgment. qualified persons) as to the intent and meaning of such laws and regulations, once having obtained such advice, an architect shall not knowingly design a project in violation of RULE 3 FULL DISCLOSURE such laws and regulations. 3.1 An architect shall not make statements that are misleading, 1.3 An architect shall perform professional services only when deceptive, or false. the architect, together with those whom the architect 3.2 An architect making public statements on architectural may engage, has the necessary knowledge and skill in the matters shall disclose if the architect is being compensated specific technical areas involved. for making such statements or has an economic interest 1.4 An architect shall not be permitted to practice in the issue. architecture if, in the Board’s judgment, the architect’s 3.3 An architect shall not misrepresent the architect’s professional competence is substantially impaired. The qualifications, capabilities, and experience or that of the assessment of impairment should be performed by an architect’s firm. appropriately qualified professional.2 3.4 An architect shall not misrepresent or overstate the scope of the architect’s responsibility in connection with RULE 2 CONFLICT OF INTEREST work for which the architect or the architect’s firm is 2.1 An architect shall not accept compensation in connection claiming credit. with services from more than one party on a project unless 3.5 If, in the course of an architect’s work on a project, the the circumstances are fully disclosed and waived in writing architect becomes aware of a decision made by the by all parties. architect’s employer or client, against the architect’s advice, 2.2 An architect shall not solicit or accept compensation from which violates applicable federal, state, or local building laws material or equipment suppliers for specifying or endorsing and regulations and which will, in the architect’s judgment, their products in connection with a project. As used herein, materially and adversely affect the health and safety of the “compensation” shall not mean customary and reasonable public, the architect shall:6 business hospitality, entertainment, or product education.3 (a) refuse to consent to the decision, and 2.3 An architect shall not perform professional services in the (b) report the decision to the official charged with face of a conflict of interest that is not fully disclosed and enforcement of building laws and regulations, and waived in writing by all parties. An architect has a conflict (c) in circumstances where the architect reasonably of interest when: believes that other such decisions will be taken (a) the architect has or may acquire a financial or notwithstanding the architect’s objection, terminate other interest in the project, someone the provision of services with reference to the participating in it, or any component of it; or (b) the architect’s judgment may be adversely affected 4 This rule governs the construction industry relationship where the architect by a relationship with another party. is to act impartially as the interpreter of building contract documents and/ or the judge of contract performance, even though paid by the owner. The rule recognizes that these roles are not inevitable and that there may be 1 This rule is based on the common law “standard of care” that has been circumstances (for example, where the architect has an interest in the owning accepted by courts in this country for over 100 years in judging the entity) in which the architect may appropriately decline to act in either of performance of architects. these two roles. 2 This rule empowers the Board to act preemptively in the interest of public 5 AXP Supervisors are required to balance their duty to protect the public with health, safety, and welfare when the Board becomes aware of an architect’s their role in licensure candidate development. Balancing these duties makes the impaired competence rather than waiting until the impaired competence AXP Supervisors’ objectivity critical. causes harm. 6 In the circumstances described, the architect is compelled to report the matter 3 Unlike Rule 2.1, this rule does not provide for waiver by agreement. Customary to the appropriate building official even though to do so may adversely affect and reasonable business hospitality, entertainment, and product education may the client’s interests. The rule specifically intends to exclude matters of safety be determined by jurisdictional ethics laws, company policies, and tax guidelines. during the course of construction that are the obligation of the contractor. JULY 2023 | 6 | MODEL RULES OF CONDUCT project unless the architect is able to cause the RULE 5 SIGNING AND SEALING DOCUMENTS matter to be resolved by other means. 5.1 An architect shall sign and seal only those technical 3.6 An architect shall not make a false statement or fail to submissions that were prepared under the architect’s disclose accurately and completely a material fact lawfully responsible control except as noted in rule 5.2 and 5.3. requested by the Board in connection with the architect’s 5.2 An architect of record may sign and seal technical application for licensure or renewal. submissions not required by law to be prepared by an 3.7 An architect shall not knowingly sign any verification architect including information supplied by manufacturers, document related to licensure that contains false suppliers, installers, contractors, or from the architect of or misleading information and shall not assist in the record’s consultants, when that information is intended application for licensure of a person known by the to be incorporated into the architect of record’s technical architect to be unqualified. submissions and the architect of record has reviewed such information and can reasonably trust its accuracy. 3.8 An architect possessing knowledge of an licensure candidate’s qualifications for licensure shall cooperate 5.3 An architect of record may sign and seal prototypical with the candidate, the Board, and/or NCARB by building documents prepared by an architect licensed in responding appropriately and in a timely manner any U.S. jurisdiction, but only if the architect of record regarding those qualifications. determines that such documents are in compliance with the requirements of the project’s jurisdiction and 3.9 An architect possessing knowledge of a violation of incorporates them into the architect of record’s own the jurisdiction’s laws or rules governing the practice of technical submissions. architecture by another shall report such knowledge to the Board. It is the professional duty of the architect to do so. RULE 6 FURTHER OBLIGATIONS TO THE PROFESSION AND THE PUBLIC 6.1 An architect serving as an AXP Supervisor for a candidate RULE 4 COMPLIANCE WITH LAWS for licensure shall reasonably assist the candidate in proper 4.1 An architect shall not violate the law of the United States and timely documentation in accordance with or any U.S. jurisdiction that in any material way relates to that program. the conduct of the architect’s practice. 4.2 An architect shall not engage in conduct involving fraud or deliberate disregard of the rights of others. 4.3 An architect shall not counsel or assist a client in conduct that the architect knows, or reasonably should know, is fraudulent or illegal. 4.4 An architect shall comply with the licensing laws and regulations governing the architect’s professional practice in any U.S. jurisdiction. An architect may be subject to disciplinary action if the architect is disciplined in any other U.S. jurisdiction. 4.5 An architect shall neither offer nor make any payment or gift with the intent of influencing an official’s judgment in connection with a prospective or existing project in which the architect is interested. 4.6 An employer engaged in the practice of architecture found by a court or administrative tribunal to have violated the law of the United States or any U.S. jurisdiction protecting the rights of persons working for the employer, such as those pertaining to harassment, discrimination, and unfair compensation, shall be subject to discipline. JULY 2023 | 7 |