National Ethics Council Decisions & Advisory Opinions

This list of past National Ethics Council Decisions and Advisory Opinions is provided for general information.

Notice about case decisions & opinions

The information set forth herein is specific to the unique facts and circumstances of a particular case. The case decisions are provided for general information only. AIA does not represent that past National Ethics Council (NEC) decisions reflect the views or opinions of the current NEC. The current NEC is in no way bound by prior NEC decisions as past decisions were based upon the unique facts and circumstances of each case. AIA is not liable for use and reliance upon this information or for inaccuracies, errors, changes, or updates. These materials do not and are not intended to provide legal advice.

List of NEC case decisions

Applicable rules of the AIA Code of Ethics and Professional Conduct are shown in brackets. Rule content and numbering may have been amended after the decision was issued.

87-4 (pdf/3pgs/108k) Misrepresentation of qualifications [4.201]

87-6 (pdf/3pgs/112k) Inaccurate claim of professional credit; Failure to give credit where due [4.201; 5.301]

88-8 (pdf/2pgs/92k) Alleged false statement and partiality toward a party to a contract [2.101; 2.104; 3.202; 4.103]

88-14 (pdf/4pgs/132k) Negligent interpretation of zoning regulations; Misleading the client [1.101; 3.101; 3.301]

89-8 (pdf/4pgs/140k) Inaccurate claim of professional credit; Failure to give credit where due [4.201; 5.302]

90-1 (pdf/2pgs/96k) Material alteration of project scope and objectives without client’s consent [3.103]

90-2 (pdf/4pgs/188k) Failure to file a formal ethical complaint against an Associate Member who had lied about his status as a graduate of an architecture school; Making misleading, deceptive, or false statements about the professional qualifications of employees; Failing to make reasonable efforts to ensure that employees conform their conduct to the Code [4.101; 4.201; 4.202]

90-4 (pdf/2pgs/96k) Fraud and wanton disregard of the rights of others [2.104]

90-12 (pdf/2pgs/112k) Making misleading, deceptive, or false statements about the professional qualifications and experience of the employees of a firm [4.201]

91-2 (pdf/3pgs/132k) Unreasonable refusal by employer to give departing employee access to material relating to the employee’s work while with the firm [5.303]

91-8 (pdf/2pgs/128k) Inaccurate representation of qualifications and scope and nature of design work; Making misleading, deceptive, of false statements or claims about professional qualifications, experience, or performance [4.201]

92-3 (pdf/2pgs/104k) Giving appropriate credit to associated architect in media articles and design award program [4.201; 5.301]

92-5 (pdf/3pgs/148k) Inaccurate representation of qualifications and scope and nature of design work; Making misleading, deceptive, or false statements or claims about professional qualifications, experience, or performance [4.201; 5.301]

92-7 (pdf/3pgs/132k) Failure of one joint venture partner to properly credit another joint venture partner in a subsequent statement of qualifications [4.201; 5.301]

92-12 (pdf/5pgs/204k) Failing to design in conformance with applicable laws and regulations; Materially altering the scope or objective of a project without the client’s consent; Intentionally or recklessly misleading a client about the results that could be achieved through the use of a Member’s services [1.101; 2.101; 2.104; 3.101; 3.103; 3.301; 4.201]

93-4 (pdf/3pgs/124k) Failing to develop a design that could be constructed for the client’s stated budget [2.104; 3.301; 4.103]

93-5 (pdf/3pgs/124k) Conflict of interest—Pursuing zoning change for client’s property located adjacent to architect’s property [3.201]

93-7 (pdf/3pgs/128k) Knowingly violating the law in the conduct of Member’s professional practice by making illegal campaign contributions [2.101]

93-13 (pdf/3pgs/132k) Unreasonably withholding permission for a departing employee to take copies of work performed in the employer’s service [5.303]

94-2 (pdf/2pgs/100k) Misleading claim of credit for projects done while at a previous firm [4.201; 5.301]

94-5 (pdf/2pgs/112k) Accurately representing professional qualifications; Recognizing the professional contributions of business associates [4.201; 5.301]

94-7 (pdf/3pgs/132k) Failure to accurately represent the scope and nature of ones responsibilities in connection with work for which credit is claimed [4.201; 5.301]

94-9 (pdf/2pgs/104k) Withholding permission to take copies of non-confidential work performed in the employer’s service [5.303]

94-12 (pdf/3pgs/140k) Failure to give appropriate design credit; Unreasonably withholding permission for a departing employee to take copies of work performed while in the employer’s service [4.201; 5.301; 5.303]

94-16 (pdf/2pgs/108k) Copying of measured drawings; Signing and sealing construction drawings incorporating work of others [4.102]

96-07 (pdf/3pgs/76k) Failure to accurately credit work performed for previous employer [4.201]

96-08 (pdf/2pgs/76k) Failure to identify project experience as personal experience of employees while employed by other firms [4.201]

96-12 (pdf/2pgs/72k) Professional credit inaccurately stated by others [4.201]

96-15 (pdf/2pgs/60k) Admitted violation of licensing law [3.101]

96-16 (pdf/2pgs/84k) Violation of state licensing laws; Holding out as an architect when not licensed within state [2.101; 4.201]

98-06 (pdf/2pgs/80k) Pleading guilty to an aggravated misdemeanor [2.101]

99-07 (pdf/3pgs/88k) Preparing certificate of merit for professional malpractice claim against another architect as fraud or wanton disregard of the rights of others [2.104; 2.106]

2000-02 (pdf/6pgs/110k) Misusing business funds; Making misrepresentations about others; Wanton disregard of the rights of others [2.104; 4,101; 4.201]

2000-04 (pdf/2pgs/80k) Overbilling and taking money from clients; Larceny conviction; Knowingly violating the law; Fraud or wanton disregard of the rights of others [2.101; 2.104; 3.301]

2000-05 (pdf/7pgs/120k) Inaccurate statements of scope and nature of responsibilities in connection with work; Failure to give credit where due [3.301; 4.101; 4.201; 5.301]

2000-11 (pdf/6pgs/108k) Misleading statements of professional qualifications and experience; Inaccurate statements of scope and nature of responsibilities in connection with work; Failure to give credit where due [4.201; 5.301; 5.302]

2001-04 (pdf/6pgs/104k) Ignoring contractual obligations imposed on client; Counseling or assisting client in fraudulent or illegal conduct [2.101; 2.106]

2001-09 (pdf/4pgs/92k) Using partnership funds for personal use; Wanton disregard of the rights of others [2.101; 2.104; 4.101]

2001-20 (pdf/6pgs/108k) Failure to give credit where due; Discrimination on the basis of gender; Conflict of interest when architect serves on building committee; Withholding permission from departing employee to take copies of work [1.401; 2.101; 3.201; 3.202; 4.101; 4.201; 4.202; 5.301; 5.303]

2002-04 (pdf/9pgs/124k) Charging fee for initial appointment with client; Filing mechanic’s lien in fee dispute; Making false statement of material fact [2.104; 3.301; 4.103; 4.201]

2002-09 (pdf/5pgs/100k) Taking into account applicable laws and regulations; Recklessly misleading a client about the results that can be achieved through the use of a Member’s services [3.101; 3.301]

2002-16 (pdf/9pgs/132k) Failure to develop a design that meets client’s requirements and budget; Failure to provide consulting engineering services; Signing or sealing construction drawings incorporating work of others [1.101; 2.104; 3.102; 3.103; 3.301; 4.102]

2002-19 (pdf/14pgs/160k) Failure to demonstrate a consistent pattern of reasonable care and competence [1.101; 2.101; 2.104; 2.106; 3.101; 3.301; 4.101; 5.301]

2002-21 (pdf/5pgs/108k) Using photographs of another architect’s work on firm’s Web site; Inaccurate claim of professional credit [4.201]

2002-22 (pdf/5pgs/100k) Copying construction documents prepared by others without permission; Inaccurate statement of scope and nature of responsibilities in connection with work [2.101; 3.102; 4.201]

2003-03 (pdf/3pgs/100k) Withholding permission from departing employee to take copies of computer files; Compensation as means of recognizing the professional contributions of employees [5.301; 5.303]

2003-13 (pdf/8pgs/260k) Disclosure of information that would adversely affect client; Making false statements of material fact [3.401; 4.103]

2003-17 (pdf/6pgs/160k) Failure to demonstrate a consistent pattern of reasonable care and competence; Intentionally or recklessly misleading clients about the results that can be achieved; Making false statement of material fact [1.101; 3.301; 4.103; 4.201]

2004-05 (pdf/3pgs/88k) Misleading claim of credit for projects done while at a previous firm [4.201; 5.301]

2004-10 (pdf/5pgs/105k) Misleading or deceptive claim of credit for projects done while at a previous firm; Failure to give appropriate credit; Taking copies of photographs from a previous firm without permission [4.201; 5.301; 5.302]

2004-18 (pdf/5pgs/104k) Payment to a public official with the intent of influencing the official’s judgment; Taking into account applicable laws and regulations; Materially altering the scope of a project without the client’s consent [2.102; 3.101; 3.103]

2005-09 (pdf/10pgs/130k) Failure to demonstrate a consistent pattern of reasonable care and competence; Materially altering the scope or objectives of a project without the client’s consent [1.101; 2.104; 2.106; 2.301; 3.103; 3.201; 3.202; 3.301; 3.401; 4.103]

2005-11 (pdf/5pgs/100k) Inaccurate statement of scope and nature of responsibilities in connection with work; Failure to give appropriate credit [4.201; 5.301]

2005-15 (pdf/4pgs/156k) Wanton disregard of clients’ rights by failing to maintain valid architectural license [2.104; 3.102]

2006-09 (pdf/4pgs/230K) Theft; Wanton disregard of the rights of others [2.104]

2006-11 (pdf/5pgs/230k) Failure to recognize professional contributions of colleague [4.103; 4.201; 5.301]

2006-14 (pdf/5pgs/160k) Inaccurate statement of scope and nature of responsibilities in connection with work; Failure to give appropriate credit; Recklessly misleading a client about the results that can be achieved through the use of a Member’s services [3.301; 4.201; 5.301]

2006-15 (pdf/16pgs/227k) Failure to demonstrate a consistent pattern of reasonable care and competence; Wanton disregard of the rights of others; Making false statement of material fact; Failure to respect the professional contributions of colleagues [1.101; 2.104; 4.103; 5.301]

2006-20 (pdf/8pgs/260k) Failure to demonstrate a consistent pattern of reasonable care and competence and technical knowledge and skill; Rendering professional services when judgment could be affected by Member’s own interests [1.101; 2.140; 3.103; 3.201]

2006-21 (pdf/11pgs/280k) Wanton disregard of the rights of others; Failing to resolve or notify others of unsafe condition resulting from client decision; Making false statement of material fact; Failing to ensure ethical conduct of employee [2.101; 2.104; 2.105; 2.106; 3.101; 3.201; 4.101; 4.103; 4.201]

2007-14 (pdf/5pgs/240k) Misleading or deceptive claim of credit for projects done while at a previous firm; Failure to give appropriate credit; Taking copies of photographs from a previous firm without permission [4.201; 5.301; 5.302]

2007-16 (pdf/3pgs/225k) Delay in filing a complaint; Misconduct as part of court proceedings [1.101; 2.104; 3.301]

2007-18 (pdf/4pgs/230k) Failure to demonstrate a consistent pattern of reasonable care and competence and technical knowledge and skill [1.101; 1.401]

2007-22 (pdf/2pgs/212k) Failure to file complaint within one year of the alleged violations [2.103; 2.104; 2.301; 3.101]

2007-23 (pdf/6pgs/238k) Wanton disregard of the rights of others; Making false statement of material fact [2.101; 2.104; 4.103; 5.301]

2008-04 (pdf/3pgs/216k) Making false statement of material fact [4.101; 4.103]

2008-08 (pdf/2pgs/216k) Making false statement of material fact; Failure to demonstrate a consistent pattern of reasonable care and competence and technical knowledge and skill; Failure to take applicable regulations into account; Materially altering the scope of objectives of a project without the client’s consent; Disclosure of information that would adversely affect client; Making false statement of material fact [1.101; 3.101; 3.103; 3.401; 4.103]

2008-14 (pdf/5pgs/236k) Inaccurate statement of scope and nature of responsibilities in connection with work; Failure to give appropriate credit [4.201; 5.301]

2008-15 (pdf/2pgs/212k) Failure to file complaint within one year of the alleged violations [3.103; 3.201; 3.301]

2008-20 (pdf/2pgs/212k) Making false statement of material fact [4.103]

2009-06 (pdf/5pgs/160k) Wanton disregard of the rights of others; Inaccurate statement of scope and nature of responsibilities in connection with work; Taking copies of photographs from a previous firm without permission [2.104; 4.201; 5.302]

2009-12 (pdf/57pgs/165k) Inaccurate statement of scope and nature of responsibilities in connection with work; failure to give appropriate credit [4.201; 5.301]

2010-02 (pdf/4pgs/155k) Wanton disregard of the rights of others; Failure to give appropriate credit [2.104; 4.201]

2010-07 (pdf/5 pgs/160k) Wanton disregard of the rights of others; Failure to give appropriate credit [2.104; 4.201]

2010-09 (pdf/7pgs/175k) Disclosure of compensation or economic interest when making public statements on architectural issues [2.301]

2010-14 (pdf/8pgs/175k) Knowing violation of law; Payment to a public official in connection with project; Fraud or wanton disregard of the rights of others; Assisting a client in fraudulent or illegal conduct [2.101; 2.102; 2.103; 2.104; 2.106]

2010-15 (pdf/5pgs/160k) Failure to take applicable regulations into account; materially altering the scope or objectives of a project without the client’s consent [3.101; 3.103]

2010-18 (pdf/5pgs/160k) Failure to file complaint within one year of the alleged violations [1.101; 3.103]

2013-12 (pdf/6pgs/92k) Taking and Using Photographs of Client’s Home on Firm’s Website and Magazines [3.401; 4.103]

2014-06 (pdf/9pgs/120k) False Statements to Fulfill One’s Own Economic Interests [2.301; 3.201; 3.202; 4.101; 4.103]

2015-01 (pdf/10pgs/123k) Materially Altering the Scope of Objectives Without the Client’s Consent; Professional Services Affected by Another Project; Misleading the Results that can be Achieved Through the Use of a Member’s Services [3.103; 3.201; 3.301]

2017-12 (pdf/12pgs/3.8 MB) Putting Financial Interests Over the Interests of the Clients [2.104; 3.103; 3.201; 3.301; 4.103; 4.201]

2019-01 (pdf/5pgs/1.6 MB) Intentionally or Recklessly Mislead Existing or Prospective Clients About the Results that Can Be Achieved [3.102; 3.103; 3.202; 3.301; 4.103]

2019-17 (pdf/5pgs/1,127KB) Discrimination on the basis of gender; Failure to provide an equitable working environment [1.401; 4.202; 5.101; 5.201; 5.303]

2020-02 (pdf/5pgs/1,423KB) Knowingly Violating the Law; Engage in Conduct Involving Fraud; Failure to Give Credit Where Due [2.101; 2.104; 4.103; 5.302]

2020-04 (pdf/3pgs/905KB) Materially Altering the Scope of Objectives Without the Client’s Consent; Misleading the Results that Can Be Achieved [3.103; 3.301; 4.101]

2020-05 (pdf/2pgs/71KB) Discrimination on the Basis of Race, National Origin, or Gender [1.401]