This is a summary description of the essential steps for handling a charge that an AIA member has violated a Rule of Conduct under the Code of Ethics and Professional Conduct. This summary is not a substitute for the Rules of Procedure of the National Ethics Council of the AIA, which govern all enforcement proceedings under the code. A copy of the Rules of Procedure will be sent upon the filing of a complaint or may be obtained by writing to the General Counsel, The American Institute of Architects, 1735 New York Avenue, NW, Washington, DC 20006-5292.

1. Case Initiation. Any person directly aggrieved by the conduct of an AIA member may initiate a case by filing a complaint with the National Ethics Council of the AIA. A complaint must be filed within one year of the alleged violation unless good cause is shown for further delay. If the complaint appears to warrant further consideration, it is sent to the member charged to allow for the filing of a response.

2. Hearing. If the charges are denied, the case goes to hearing before a member of the National Ethics Council. The parties may have counsel or an advisor. The complaining party has the burden of proving that the member has violated a Rule of Conduct under the Code of Ethics. On the basis of evidence presented at the hearing, the hearing officer prepares a report and recommendation to the National Ethics Council.

3. Decision by National Ethics Council. After appropriate opportunity for the parties to comment on the report and recommendation of the hearing officer, the National Ethics Council decides the case and issues a written decision. The council may accept, reject, or modify the recommendation of the hearing officer or send the case back for further hearing or consideration. If the council finds a violation of the Code of Ethics, it can impose a penalty in the form of admonition, censure, suspension, or termination of membership.

4. Appeal. A responding member who is dissatisfied with a decision of the National Ethics Council may appeal to the Executive Committee of the AIA Board of Directors. Any decision of the council to terminate membership is automatically reviewed by the Board of Directors.

Associate General Counsel Jay Stephens is available to answer questions on procedures, phone 202-626-7311 or fax 202-626-7426.

Copyright 2002 The American Institute of Architects. All rights reserved.