2 Title Page Copyright About the CD-ROM Please Read the Following Before Opening the Software Package Fourteenth Edition Student Handbook Participants About The Architecture Student's Handbook of Professional Practice Title and Organization of the Book A New Approach to Practice Part 1: The Profession Chapter 1: Professional Life 1.1 Architecture as a Profession 1.2 Ethics and Professional Conduct 1.3 Service Leadership in Architecture Practice 1.4 Participating in Professional Organizations Chapter 2: Legal Dimensions of Practice 2.1 Architects and the Law 2.2 Regulation of Professional Practice Chapter 3: Professional Development 3 3.1 Developing Leadership Skills 3.2 Developing Communication Skills Part 2: Practice Chapter 4: Developing a Practice 4.1 Starting an Architecture Firm 4.2 Firm Legal Structure 4.3 Firm Identity and Expertise 4.4 Team Building 4.5 Marketing Strategy and Planning 4.6 How Clients Select Architects Chapter 5: Running a Practice 5.1 Financial Planning 5.2 Financial Management Systems 5.3 Maintaining Financial Health 5.4 Risk Management Strategies 5.5 Insurance Coverage 5.6 Managing and Avoiding Disputes 5.7 Information Management 5.8 Computer Technology In Practice Part 3: The Project Chapter 6: Running a Practice 6.1 Defining Project Services 6.2 Architectural Services and Compensation 6.3 Programming 6.4 Research and Analysis 6.6 Integrated vs. Traditional Practice 4 Chapter 7: Running a Practice 7.1 Sustainable Design 7.2 Environmentally Preferable Product Selection 7.3 Design Phases 7.4 Value Analysis 7.5 Life Cycle Costing Chapter 8: Project Delivery 8.1 Project Delivery Methods 8.2 Integrated Project Delivery* 8.3 Construction Documentation 8.4 Bidding or Negotiation Phase 8.5 Construction Contract Administration Chapter 9: Project Management 9.1 The Effective Project Manager 9.2 Managing Architectural Projects 9.3 Project Controls 9.4 Construction Cost Management 9.5 Maintaining Design Quality 9.6 Project Closeouts Chapter 10: Building Codes and Regulations 10.1 Community Planning Controls 10.2 Building Codes and Standards Part 4: Contracts and Agreements Chapter 11: Types of Agreements 11.1 Agreements with Owners 11.2 Owner-Generated Agreements 11.3 Project Design Team Agreements 5 11.4 Construction Contracts Chapter 12: AIA Contract Documents 12.1 The AIA Documents Program 12.2 AIA Contract Documents Synopses by Family Appendix A: Resources for Intern Architects The Intern Development Program The Emerging Professional’s Companion Appendix B: Allied Professional Organizations Appendix C: Schools of Architecture Appendix D: State Registration Boards Appendix E: Glossary Index Download CD/DVD content 6 7 This book is printed on acid-free paper. 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Library of Congress Cataloging-in-Publication Data: The architecture student's handbook of professional practice / the American Institute of Architects. —14th ed. p. cm. Rev. ed. of: Architect's handbook of professional practice. student ed., 13 th ed. Includes 8 bibliographical references and index. ISBN 978-0-470-08869-2 (alk. paper/cd) 1. Architectural practice—United States—Handbooks, manuals, etc. 2. Architectural services marketing—United States—Handbooks, manuals, etc. I. American Institute of Architects. II. Architect's handbook of professional practice. NA1996.A726 2008b 720.68—dc22 2008018988 9 About the CD-ROM Contents of the CD-ROM The CD-ROM contains samples of all AIA Contract Documents (in PDF format for Mac and PC computers) that were released through 2007. 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You are licensed to use this software as described in the software and the accompanying book. Copying the software for any other purpose may be a violation of the U.S. Copyright Law. This software product is sold as is without warranty of any kind, either express or implied, including but not limited to the implied warranty of merchantability and fitness for a particular purpose. Neither Wiley nor its dealers or distributors assumes any liability for any alleged or actual damages arising from the use of or the inability to use this software. (Some states do not allow the exclusion of implied warranties, so the exclusion may not apply to you.) To place additional orders or to request information about other Wiley products, visit www.wiley.com. 11 Fourteenth Edition Student Handbook Participants Student Edition Steering Group Michael Hricak, FAIA, Chair Joseph Bilello, FAIA Jonathan Cohen, FAIA Ed Friedrichs, FAIA Richard L. Hayes, AIA Barbara Jackson, Ph.D., DBIA Marvin J. Malecha, FAIA, ACSA Deborah Sweitzer James B. Atkins, FAIA (ex-officio) Contributing Authors AIA California Council James B. Atkins, FAIA Phillip G. Bernstein, FAIA Glenn W. Birx, AIA Brian Bowen Christopher Bushnell, AIA Ann Casso William Charvat, FAIA David S. Collins, FAIA Kenneth C. Crocco, FAIA Philip R. Croessmann, Esq., AIA Richard D. Crowell Dana Cuff, Ph.D. Jessica L. Darraby, Esq. Clark Davis, AIA Michael Dell'Isola, PE James T. Dunn, Assoc. AIA George Elvin, Ph.D. Kristine K. Fallon, FAIA 12 Scott R. Fradin, Esq., AIA Phillip H. Gerou, FAIA Lowell V. Getz David Greusel, AIA Dennis J. Hall, FAIA D. Kirk Hamilton, FAIA Gregory Hancks, Esq., AIA Suzanne Harness, Esq., AIA Douglas C. Hartman, FAIA Robert G Hershberger, FAIA Michael M. Hricak, FAIA Joseph H. Jones Jr., Esq., AIA Mark Jussaume, PE David F. Kinzer III Steven Kirk, FAIA David Koren, Assoc. AIA Peggy Lawless Thom Lowther John-Paul Lujan, Esq. Nadav Malin Nancy Malone, AIA Paul T. Mendelsohn Elena Marcheso Moreno Frank Musica, Esq., Assoc. AIA Robert Mutchler, FAIA Bradford Perkins, FAIA Peter Piven, FAIA Barry Posner, Ph.D. Wendy Pound G. William Quatman, Esq., FAIA Jack Reigle Tony Rinella, Assoc. AIA William C. Ronco Patricia P. Rosenzweig Andrea S. Rutledge Fredric W. Schultz 13 Henry Siegel, FAIA Grant Armann Simpson, FAIA Debra L. Smith, AIA Frank A. Stasiowski, FAIA Steven G. M. Stein, Esq. Larry Strain, FAIA Timothy R. Twomey, Esq., AIA AIA Project Staff Richard L. Hayes, AIA, Ph.D. Joseph A. Demkin, AIA Pamela James Blumgart Jamila Shrestha Yeung Wiley Project Staff John Czarnecki, Assoc. AIA Michael Olivo Jacqueline Beach 14 About The Architecture Student’s Handbook of Professional Practice This book goes to press at a time when society faces both challenging economic issues and an increasing awareness of the impact of global climate change. In this context, a host of forces are coming together to demand more of the architecture profession, allied design professionals, and the construction industry. We have learned, in unequivocal terms, that everyone everywhere is affected by the built environment and its relationship to, and effect on, the natural environment. These times call for a wider definition of what is meant by “practice” and “design,” both in the profession and in schools of architecture. An end to the estrangement between the core design curriculum and the examination and study of practice is also long overdue. Until now, the focus in architecture schools has been on the end product of the design process. To address mounting demands, architecture practice and education must begin operating with new tools, beliefs, and behaviors. The evolving role of the architect is addressed in this The Architecture Student’s Handbook of Professional Practice, Fourteenth Edition. Title and Organization of the Book In a noted departure, this book is not simply an abridged version of The Architect’s Handbook of Professional Practice, Fourteenth Edition. Recognizing its use as required reading in professional practice courses and sometimes as a companion in studio courses—along with the fact that the information needs of architecture students are not the same as those of professionals—this book contains knowledge specific to the needs of students and emerging professionals that has been organized to be approachable for them. To reflect this increased focus on the needs of students, the publisher John Wiley & Sons and the American Institute of Architects (AIA), as author, chose to name this book The Architecture Student’s Handbook of Professional Practice. Like The Architect’s Handbook of Professional Practice, 14th edition, published in 2008, The Architecture Student’s Handbook is presented in four key parts. However, the names of the parts— The Profession, Practice, The Project, and Contracts and Agreements—and the organization of the material within them are different. The progression of material makes the book suitable for use as a professional practice course outline, beginning with consideration of the concepts of professionalism through the construction and closeout of projects, as well as consideration of the legal agreements used for project delivery. Content Structure Content from The Architect’s Handbook has been either included in The Architecture Student’s Handbook in its entirety or edited or abridged as appropriate for the student reader. Unlike the previous student editions, this volume contains new material prepared specifically for The Architecture 15 Student’s Handbook that does not appear in The Architect’s Handbook. This text was written for those beginning to learn about the architecture profession or navigating the beginning of their careers. Conceived as a true handbook, this volume is a resource to be used in the examination of all aspects of architecture practice, including research, programming, professional relationships, the design process, and the intricacies of delivering a project. In addition, the book contains unique content on changes under way in the design and construction industry that are having a profound impact on the practice of architecture. This material invites readers to explore new possibilities in architecture practice and to redefine both what architects do and how they accomplish their goals. Particular emphasis is given to integrated practice and integrated project delivery and the emerging tools that enable architects to approach practice—in its widest sense—in new, more effective, and more expansive ways. In parallel with the focus of the AIA, new content is included on research and “evidenced-based” design. The variety of subject matter makes The Architecture Student’s Handbook a useful resource for design studios, seminars, and research efforts, in addition to its use as a professional practice textbook. A New Approach to Practice A theme running through this edition is the protection of the design integrity of projects, a greater concern as architects increasingly rely on electronic tools. Behaviors and practices necessary to accomplish this goal, which both protects client interests and allows for professional satisfaction and reward, are discussed. In today’s design and construction marketplace, architects are called on to consider accepting new risks and responsibilities. Students studying architecture, as well as recent graduates, can use the same creative impulse in use in the studio to design a method of practice that ultimately makes it possible to deliver the projects conceived. In accepting the 2005 AIA/ACSA Topaz Medallion, Edward Allen, FAIA, spoke to the issue of art versus science in architecture education. He suggested that these two categories have long been inadequate for describing what architecture truly is and offered the following alternate perspective: “Architecture is neither art nor science; it belongs to a realm of intellectual endeavor called design. Its goal is to produce new products to solve human problems.” It is through practice that design becomes useful. Practice provides a framework that enables the architect to progress confidently from concept to completion. The Architecture Student’s Handbook introduces the concept of professional practice to students so they will enter the profession with a wellrounded education that has readied them for all aspects of architecture practice. —Michael Hricak, FAIA The editor of The Architecture Student’s Handbook of Professional Practice, Fourteenth Edition, Michael Hricak owns his own firm, Michael Hricak Architects, and has taught professional practice courses at the University of Southern California. 16 Part 1 The Profession 17 Chapter 1 Professional Life 1.1 Architecture as a Profession Dana Cuff, Ph.D.* Architecture is in the family of vocations called professions, all of which share certain qualities and collectively occupy a special position in society. Architects' status as professionals provides them with an underlying structure for their everyday activities. To be a professional means many things today. One can be a professional athlete, student, or electrician. Each of these occupations uses the term in ways distinct from what we mean by the professional who is a doctor, lawyer, or architect. Typically, we distinguish professionals who do certain work for a living from amateurs who work without compensation. The term amateur connotes a dabbler, or someone having less training and expertise than a professional. We also differentiate between professions and other occupations. Expertise, training, and skill help define those vocations that “profess” to have a specialized territory of knowledge for practice. While many occupations require expertise, training, and skill, professions are based specifically on fields of higher learning. Such learning takes place primarily in institutions of higher education rather than in vocational schools or on the job. Universities introduce prospective professionals to the body of theory or knowledge in their field. Later, this introduction is augmented by some form of internship in which practical skills and techniques are mastered. A high level of education is expected of professionals because their judgments benefit—or, if incompetently exercised, endanger—the public good. Thus people who are attracted to the professions usually have altruistic concerns for their society. The status of professions, their internal characteristics, and their relationship to society are constantly, if not always perceptibly, changing. The professions have grown dramatically in recent years, in keeping with the rise of the postindustrial, service economy. Growth in professional employment has accompanied expansion of the service sector of the economy, estimated today to be 70 percent of the labor force. In a service economy, information and knowledge industries become dominant, creating the context in which professions can rise among occupations. 18 Characteristics of a Profession Professions are dynamic entities that reflect our society our economy, and, generally our times. There is no widely accepted definition or list of features that covers all professions. Nevertheless, they have some characteristics in common, which have appeared throughout history. Lengthy and Arduous Education Perhaps the most frequently cited characteristic of a profession is a lengthy and sometimes arduous education. A professional must learn a body of technical knowledge and also develop an ability to exercise judgment in the use of that knowledge. Thus, all established professions incorporate long periods of high-level education. Professional education is also a form of socialization. Like a rite of passage for initiates, architecture, medical, and law schools are places where future practitioners are introduced to the knowledge, values, and skills of their profession. Students undergo tests of their commitment and ability. In architecture schools, a good example is the charrette (often involving all-nighters), during which students concentrate all their efforts to finish a project. These experiences instill tacit beliefs about the significance of architecture, the work effort required to do a good job, and the commitment needed to become an architect. Through selective admissions, carefully designed curricula, and rigorous graduation standards, schools guide the formation of their professional progeny. Professional schools play a key role in developing the shared worldview that characterizes a professional community. Expertise and Judgment Professions traffic in ideas and services rather than in goods or products. Rather than marketing a better widget, professionals sell their expertise. They have knowledge outside the ken of the layperson. Professions are based upon a balance of technical knowledge, reasoned judgment in applying such knowledge, and inexplicable, even mysterious talents that some call artistry. Thus, while doctors need a high degree of scientifically based knowledge, they also need diagnostic ability and a good bedside manner. Expertise begins with theoretical knowledge taught in universities, but being a competent professional also means knowing how to apply this knowledge. Among practitioners, both expertise and experience contribute to quality performance. While initial skills are taught in school, a large share of professional training comes from the practicum or internship; it then continues in lifelong learning through the gathering of experience and the application of new concepts and technologies. Registration Because professional judgments affect the public good, professionals generally are required to be licensed in order to practice. This serves as a means of protecting the public health, safety, and welfare. Professions require sophisticated relationships with people and information. To become licensed, professionals are usually required to meet education and experience standards and to pass a compulsory comprehensive examination. 19 Relative Autonomy Because professionals exercise considerable judgment and discretion, professional work is intended to be more autonomous and self-determined than work controlled by owner-managers as in the production of goods. Other Traits In addition to these primary characteristics, a number of other traits are typical of professions: Because they are well trained to perform complex services, professionals generally command relatively high incomes and high prestige in their communities. As a group, professionals attach a large part of their identity to their careers, rarely changing vocations. Within each profession, members usually hold a set of common values; they often speak what amounts to a dialect that is not easily understood by outsiders. Professionals understand the importance and value of lifetime learning. Professions are relatively well organized, and a significant proportion of their members belong to a national professional organization such as the American Medical Association, the American Bar Association, or the American Institute of Architects. These characteristics are in constant evolution. For example, the prestige of a given profession may suffer under consumer dissatisfaction or be enhanced by significant developments in the field that have positive social repercussions. The professional degree that was once optional becomes a necessity. Professional organizations are periodically strengthened by programs that capture practitioners' attention. Such evolution depends in part upon the participation of professionals themselves—in their schools, professional associations, and communities. Architecture Among the Professions Many of the trends influencing architectural practice have parallels in other professions. For example, the tensions created by complexity and specialization, consumer influences, and divergence of goals among practices can also be seen in the professions of law and medicine. These common influences notwithstanding, each profession introduces its own variations and idiosyncrasies. Looking at architecture among the professions, we observe the following features. Relationships with the Arts The qualities that most clearly set architecture apart from other established professions are its close ties 20 to the arts and its similarities to artistic endeavors. Creativity is crucial to all professions, but for the architect it is of the highest priority Moreover, architects produce objects that are fixed in space, highly public, and generally long-lasting. Importance of Design Although all professions are based on a balance of technical and indeterminate knowledge, some stress one over the other. Architecture emphasizes an artistic, relatively inexplicable domain of expertise— design—as the core of the practitioner's identity. Design requires rational knowledge of how buildings are put together, how they will function, historical models for building types, materials, mechanical systems, structures, and so on. But being a good architect also presumes that the professional possesses something extra—aesthetic sensibility, talent, or creative ability, whatever we choose to call it. Place in the Social Structure According to one study that compared a number of professions on a variety of dimensions, architecture ranked high in terms of prestige but in the middle range in average years of education, average income, and proportion of members belonging to professional organizations. This suggests that architecture's respected place in the social structure has been granted by society rather than defined through numbers, dollars, or professional control. The profession's position in the social structure has been changing. Historically, the church, the state, and powerful individuals were the primary patrons for architectural services. Now, industrial and commercial enterprises have become major clients as well. During the 1960s, when community design emerged as a subdiscipline, architects sought and secured a role in housing and neighborhood revitalization; this activity has evolved into a growing presence in community and urban design. Architectural practice is developing in new ways that allow architects to intermingle with a broader population. One recent study argues that architecture is more closely connected to a large, relatively affluent middle class than to a small group of the very rich. In a similar vein, the composition of the profession is changing, particularly as more women and ethnic minorities become architects. Place in the Economic Structure The well-being of the architectural profession depends upon ties to a healthy building industry. The level of construction activity both nationally and internationally significantly determines the amount and type of services architects will render. As the United States urbanized and industrialized, the demand for buildings was great and the architectural profession grew rapidly. In more recent times, however, construction has declined proportionately in the national economy. With the evolution from a goods-producing economy to a service economy, there are fewer major new building projects. At the same time, the demand for architectural services has increased—especially in the predesign and postconstruction phases. This suggests a repositioning of the profession, along with other professions, as part of the service economy. New roles and markets for services have been created. In addition, new roles and specializations mean that more professionals are doing what was once one 21 individual's job. Internal Social Structure Within any profession, there are social divisions that complement and compete with one another. Those who study professions call these divisions the rank and file, the administrators, and the intelligentsia. In the architectural profession, the rank and file might be considered to include drafters and junior design and production people; the administrators to include principals, senior designers, and project managers; and the intelligentsia to include academicians, critics, practitioner-theorists, and those architects who push the parameters of architecture outward and whose work often establishes precedents for others to follow. The values and objectives of each group are likely to conflict with those of other groups at times. The first two groups have very different convictions, agendas, and knowledge of the way practice operates. These differences become important in a profession where, even though a majority of architecture firms are small, the provision of architectural services has been heavily influenced by larger firms in which many of the architects are wage-earning employees who work not for clients but for their architectemployers. Data from the 2006 AIA Firm Survey confirm this: While only 4 percent of the firms owned by AIA members had fifty or more employees in them, these firms accounted for 52 percent of the operating revenues earned by all AIA member-owned firms. Initially, an increase in intraprofessional stratification brought a greater need to formalize professional control. Firms created organization charts, personnel policies, and manuals governing project procedures. Many professionals devoted themselves to managing the organization. As firms grew, they dealt with these phenomena in different ways. Compare, for example, the large law firm, which is a collection of relative coequals (the main distinction being seniority among partners), and the hospital, which has a stricter hierarchy of medical administrators, senior physicians, residents, and interns. In recent years, however, there seems to be a general trend away from stratification in architecture firms— even in large firms. The advent of the second generation of digital technology and the maturing of the architectural profession in its use, along with an integrated approach to project delivery, has encouraged firms to be more horizontally organized and much less hierarchical. Professions and Society Professionals possess knowledge and ability not accessible to the public. As a result, the public establishes a special relationship with professional groups, essentially granting each a monopoly in its area of practice. Society thus grants members of professional groups certain rights and privileges: A certain level of prestige and respect A certain amount of autonomy and authority A relatively high level of compensation A standard of reasonable care with which to judge the appropriateness of professional actions 22 In return for these rights and privileges, society expects a profession to assume certain obligations: Establishing and maintaining standards for admission and practice Protecting public health, safety, and welfare Considering the public good when working for an individual client Respecting public welfare over personal gain Every profession participates in a coordinated body of tasks necessary to fulfill its obligations to the public and to manage the profession. These tasks include establishing a body of professional knowledge, regulating entry to the profession, and maintaining standards for practice. Each profession develops mechanisms for accrediting educational programs, licensing professionals to practice, encouraging continuing education, and regulating professional ethics and conduct. By and large, these mechanisms are designed, staffed, and implemented by professionals. Architects have the major voice in where and how new architects are educated. They sit on registration boards, write and grade the licensing examination, and recommend laws and administrative guidelines for registration. Architects conduct disciplinary hearings and, through the AIA, establish and enforce codes of ethical behavior. Like all professionals, architects have substantial voices in establishing their own destiny. 1.2 Ethics and Professional Conduct Phillip H. Gerou, FAIA* Architects are confronted daily with moral choices, competing loyalties, and ethical dilemmas. Although such situations can be ambiguous or paradoxical, basic tenets held in common by the profession can help architects determine how to respond to them. The need to articulate and advocate ethical standards has never been more critical. Concern about professional ethics, while not a recent development, has certainly become more conspicuous in recent years. This visibility has led to extensive inquiries into the sources, development, interpretation, and enforcement of ethical codes. Principles guiding professional conduct are based on the core values held by that profession. These core values originate in legal definitions, social mores, moral codes, and common business practices. Legal systems are based on historical precedent and commonly accepted social interactions between individuals or legal entities. The rights of individuals are protected by mutual acceptance of this legal structure. Contractual and other legal responsibilities and their consequences are generally well defined in law and in written agreements. But when these responsibilities and their consequences are specific to a profession, they may prove difficult to legally enforce. There are many social conventions, moral beliefs, and ethical dilemmas that are not legislated or enforced by any regulatory agency. These may include widely accepted values but are not part of our 23 legal system because they lack consensus or represent conflicting opinions. These values are often defined by religious doctrine, corporate policies, or societal rules. While morality describes behavior that is generally accepted as either correct or incorrect, ethical situations often present dilemmas in which equally relevant positions compete. Ethics is traditionally defined as the rules or standards for moral behavior. Often the terms morality and ethics are used interchangeably, and to many there is no distinction between the two. The definition of ethics has also evolved to express a set of values held by a unique and finite group of individuals, such as a corporation, legislature, industry, or profession. Ethical codes are based on common values and moral laws such as religious doctrine, social conventions, secular beliefs, and traditional philosophies; they may even incorporate the values of courtesy, civility mutual respect, or equality. Ethical standards for doctors or priests are different in their details from those of architects or engineers, although the core beliefs and the moral guidelines on which they are founded may be nearly identical. The distinction in ethical standards depends on the specific practices of a particular group. Ethics also define fairness and equity and quite often relate to issues in which two parties may hold opposing but equally valid points of view or an individual may be torn between two compelling positions. For example, an individual may find that speaking the truth could breach a confidence, someone's dedication to a friendship might result in injury to others if an obligation to protect the public is ignored, or a client's goals could be at odds with protection of the environment. In certain situations, ethical standards may take precedence over other important standards. For example, life safety issues are usually perceived as a primary concern in comparison to, for example, obligations to employers. Although a solution that positively addresses each competing issue is preferred, occasionally a choice is necessary. Ethical codes address such situations, but it is often left to an informed and impartial observer to make the final judgment. Ethical Standards for Architects In the United States, there are two widely used standards of conduct for architects. In 1977 the National Council of Architectural Registration Boards (NCARB) issued a set of model rules of conduct for use by its member boards. NCARB rules are guided by certain core values as they pertain to the protection of the life, safety and welfare of the public, issues to which architects are legally bound by individual state licensure laws. NCARB's rules of conduct have been adopted, with modifications, by various NCARB member boards as part of the licensing regulations that apply to individual architects. The American Institute of Architects (AIA) has established a Code of Ethics and Professional Conduct. This code addresses life safety and public welfare issues, and also includes rules of conduct that deal with professional interactions between architects and their colleagues and their clients. Members of the AIA are also held accountable by the code for such broad issues as seeking aesthetic excellence and respecting the environment. The first AIA ethical code was established in 1909. By today's standards, some of the original principles seem out-of-date. Under the original code, design-build was a forbidden practice and paid advertising by architects was not allowed. The code also prohibited architects from competing on the basis of fees or entering design competitions that were not in keeping with Institute principles. These restrictions were derived more from the common business practices of the day than universal core 24 values or widely accepted moral principles. By the late 1970s, the AIA code of ethics had been significantly amended. Design-build became an accepted approach to project delivery, and advertising was no longer the anathema it had been. By 1972 the U.S. Justice Department had determined that the 1890 Sherman Antitrust Act demanded that architects be allowed to compete on the basis of fees and that not doing so constituted an unreasonable restraint of trade. In a 1978 case involving the National Society of Professional Engineers, the Supreme Court ruled that unfettered competition was essential to the health of a free-market economy, and the only lawful way competition could be constrained was through state or federal legislation. In its opinion, the court dismissed arguments stressing the possible negative effects of fee competition on the health, safety, and welfare of the public. In 1977, an architect sued the Institute for civil damages when his AIA membership was suspended for violating the AIA code of ethics by supplanting another architect on a project. Although the violation was not disputed, in 1978 a federal district court ruled that enforcement of this particular rule in the code violated federal antitrust laws and the accused architect was awarded substantial monetary damages. In response to these rulings, in 1980 the AIA suspended its code of ethics. The following year a statement of ethical principles was established as a guideline for the voluntary conduct of members. Recognizing a need for mandatory professional guidelines, the AIA Board of Directors subsequently appointed a task force to propose a substitute Code of Ethics and Professional Conduct. In 1986 the membership adopted the new code at the AIA National Convention. Since that time, minor revisions have been made to keep pace with current technologies, economic realities, and changing social demands. Professional Aspirations vs. Ethical Conduct Some ethical situations are not regulated by the AIA Code of Ethics and Professional Conduct. For example, the profession of architecture as a whole may aspire to contribute to the preservation of historical and cultural resources by helping to develop appropriate building codes or formulating aesthetic guidelines. Nonetheless, some architects are more suited to such tasks than others; for instance, participation in this effort may not be a reasonable requirement for an AIA member whose expertise lies in financial management or graphic design. Similarly, it is not a requirement that all AIA members provide pro bono services, as some may choose to support causes or organizations by other means. A code of ethics cannot embrace every aspiration of a profession. Rather, it must exhibit restraint in defining actions to which all members may reasonably submit. AIA Code of Ethics and Professional Conduct The current AIA Code of Ethics and Professional Conduct defines in detail the obligations of AIA members. The code is organized into five canons that describe broad principles of conduct: general obligations, obligations to the public, obligations to the client, obligations to the profession, and obligations to colleagues. Each canon is defined by a number of ethical standards. These standards provide more defined goals, which members should aspire to in their professional performance and behavior. Individual ethical standards incorporate specific rules of conduct that are mandatory and enforceable. Violation of a rule by an AIA member may be grounds for disciplinary action by the Institute. Commentary, which is 25 offered to clarify or elaborate the intent of the rule, is provided for some of the rules of conduct. The code applies to the professional activities of all AIA members regardless of their membership category and is enforced by the AIA National Ethics Council. Only AIA members are obligated to comply with these standards. AIA National Ethics Council The National Ethics Council (NEC) is made up of seven AIA members selected and appointed according to specific credentials. Each of the seven members represents a diverse constituency. They come from various regions of the country and different types of practice and professional backgrounds, and they are representative of the general membership based on diverse demographic criteria. Prospective NEC members are recommended to the AIA Board of Directors, which makes the final decision and appointment. Appointments are for a three-year term, although members of the NEC may be, and usually are, reappointed for a second three-year term. An NEC member may not serve more than two consecutive full terms. The full ethics council meets three times per year to hear and consider complaints. The particulars of each case, along with a recommendation for resolving it, are presented to the NEC by one of its members who serves as a hearing officer. This individual is then excused while the remaining NEC members consider the report and recommendation and ultimately decide whether to accept, reject, or modify the hearing officer's recommendation or to return the case for rehearing. The principal responsibility of the NEC as defined by the AIA Bylaws is enforcement of the AIA Code of Ethics and Professional Conduct. However, the NEC also provides guidelines to the public and within the Institute on a variety of professional topics. In addition, the NEC presents programs at the AIA National Convention, to AIA components, and to schools of architecture throughout the country. AIA National Ethics Council Procedures Local AIA components manage ethical situations in a variety of ways. Some components provide advice and mediation for ethical violations through experienced members or established committees, while others simply refer local inquiries to the national organization. The general counsel's office at the national component is available to answer technical questions concerning the AIA Code of Ethics and Professional Conduct and can provide other information to members and nonmembers. Ethics complaints against AIA members should be addressed to: Chair, National Ethics Council The American Institute of Architects 1735 New York Avenue NW Washington, DC 20006 The AIA National Ethics Council has established strict rules of procedure for considering ethics cases. If it is believed that a member has violated the code of ethics, anyone—a member or nonmember of the AIA—may initiate a formal complaint. The NEC then initiates its review and hearing process. If the architect is found to have violated the ethics code, the penalties available to the NEC are as 26 follows: Admonition (private). A letter of the ruling is sent to the parties involved and kept in the respondent's membership file. Censure (public). A letter is sent and notification of the case and ruling is published to the AIA membership. Suspension of membership. The respondent's membership is suspended for a period of time, usually one or two years, and the ruling is published. Termination of membership. The respondent's membership is terminated and the ruling is published. The respondent may appeal the NEC's decision to the AIA Executive Committee, whose subsequent ruling is final except in cases in which termination of membership is the penalty. Those cases are automatically appealed to the AIA Board of Directors. Common Ethics Violations Although the AIA Code of Ethics and Professional Conduct regulates a wide range of professional activities, several issues generate the majority of complaints. These include the following: Attribution of credit (i.e., stating or giving proper credit for project involvement) Accurate representation of qualifications Attainment and provision of examples of work Basic honesty The predominant reason these four issues continually resurface is that each has an identifiable injured party—an angry colleague or an upset client—who is intent on seeing justice served. Also, even if the alleged infraction does not have legal or contractual consequences, it may still indicate an ethical breach. More serious issues, such as misappropriation of a client's or partner's funds, tend to be presented to the NEC less frequently. If a member knowingly violates the law (Rule 2.101) or displays discrimination (Rule 1.401), for instance, other forums with more severe remedies are available to the offended party. To offer some guidance on issues commonly presented to the NEC, the following detailed illustrations are offered. Attribution of Credit Architecture is a profession in which design capability and originality is prized. Intellectual property is the most common proof of worth in terms of talent and experience. However, the collaborative nature of contemporary practice sometimes obscures the individual contributions of each team participant. The 27 more complex the project and the more prolonged the design and construction process, the more individuals may lay valid claim to credit for some part of the work. The most frequent violation of the code of ethics is improperly taking or not giving appropriate credit and recognition. The NEC recognizes that these infractions are frequently due to an incomplete understanding of the ethical standards and rules of conduct that direct members in this area. The following ethical standards apply to this issue: Ethical Standard 4.2, Dignity and Integrity: Members should strive, through their actions, to promote the dignity and integrity of the profession, and to ensure that their representatives and employees conform their conduct to this Code. Ethical Standard 5.3, Professional Recognition: Members should build their professional reputation on the merits of their own service and performance and should recognize and give credit to others for the professional work they have performed. The rules associated with these standards mandate the required professional conduct: Rule 4.201: Members shall not make misleading, deceptive, or false statements or claims about their professional qualifications, experience, or performance and shall accurately state the scope and nature of their responsibilities in connection with work for which they are claiming credit. Rule 5.301: Members shall recognize and respect the professional contributions of their employees, employers, professional colleagues, and business associates. Based on these standards and rules, the NEC has adopted guidelines to help AIA members determine how to handle this concern, although individual cases may present circumstances not explicitly covered. These guidelines are recommended for application to any oral, written, or graphic representation of an architect's work, whether it was developed for use in a public or private presentation. Following are the AIA “Guidelines for the Attribution of Credit” (also published on the AIA Web site) that should be considered when making representations of an architect's work: An architectural project, built or unbuilt, involves any of the services provided by or under the direction of an architect. In analyzing attribution-of-credit issues, the National Ethics Council typically views the Architectof-Record as the legal entity that has contracted for and completed the work in question. [The entity] can be a corporation, partnership, or individual architect. If the Architect-of-Record takes credit for a project, there is no further need to define the role or state “Architect-of-Record.” Unless specific attribution is noted, it is assumed the Architect-of-Record is making a representation of complete responsibility for a project, including the design, production of construction documents, and construction observation. A Member taking credit for a project or a specific role on a project other than as the Architectof-Record must clearly define that role. In addition to the Member's specific role, the Architectof-Record must be acknowledged. 28 It is not necessary to present a complete or exhaustive list of all the team participants. The acknowledgment of major team participants is recommended. Designation of the Member's role and/or the Architect-of-Record must be obvious, plainly visible, and legible at the anticipated viewing distance. The reference text should be no less obvious than the text used to describe the project. The description must be specific enough to make clear the services the Member rendered on this project. In the instance of a mailer/postcard that shows only an image of a project on the front, it is necessary to give the appropriate credit on the other side. The Member shall not overstate, actually or implicitly, his/her involvement in a project. If attribution of credit is not previously defined in a written agreement, and to avoid potential conflict, it is recommended that Members open a dialogue between all concerned parties prior to making any representations. Accurate Representation of Qualifications It is human nature and good business practice to present professional qualifications in the best light. However, overstatement, even if well-intentioned, can lead to unrealistic expectations on the part of the client or other project participants and thus to subsequent owner dissatisfaction. The architect-of-record must ultimately be responsible for complying with laws and codes as well as with other commitments, such as the project budget, a client's goals, a building's function, or environmental standards. Rule 1.101: In practicing architecture, Members shall demonstrate a consistent pattern of 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. Rule 3.102: Members shall undertake to perform professional services only when they, together with those whom they may engage as consultants, are qualified by education, training, or experience in the specific technical areas involved. As an architecture firm evolves, its expertise may become somewhat different from that stated in promotional materials or in a previous statement of qualifications. Members are obliged to always ensure that the expertise and resources presented match those that are currently available. Professionals are often compelled to make commitments regarding time, cost, or results based more on the urgency of the moment than on rational evaluation. Too often, architects make changes that affect the scope or budget of a project without presenting viable options or possible ramifications of the proposed changes. Architects may also feel pressure to articulate results by describing the final product of the work in terms that naturally speak well of the process and the architect's capabilities to attain those results. Great care and restraint should be taken in clarifying expectations relating to budget, building function, quality of materials, and other anticipated results of the design process. Project and individual responsibilities should be clearly defined contractually and verbally. Revisiting the following statements of obligation periodically throughout the life of a project is beneficial: 29 Rule 3.103: Members shall not materially alter the scope or objectives of a project without the client's consent. Rule 3.301: Members shall not intentionally or recklessly mislead existing or prospective clients about the results that can be achieved through the use of the Member's services, nor shall the Members state that they can achieve results by means that violate applicable law or this Code. Helping the client reach realistic expectations is important. The medical profession characterizes this as informed consent, where a patient must be informed of a situation to the level of understanding that allows an informed decision. Clients in every profession deserve the same consideration. The AIA has published a Best Practices article titled “Personal Use of Documents: A Sample Firm Policy” to help firms establish policies for the ethical use of documents during and after employment. (AIA Best Practices are available on the Internet.) Attainment and Provision of Samples of Work In light of current technologies and the variety of roles that architects perform, defining an architect's work is increasingly difficult. For example, should an architect who predominantly created or adapted computer software or developed unique technical details be given copies of that work upon leaving a firm? How can the rights of the firm and of the employee be protected? Ethical Standard 5.3 pertaining to professional recognition provides a framework for guidance (see above). The specific rules that apply to this question are these: Rule 5.302: Members leaving a firm shall not, without the permission of their employer or partner, take designs, drawings, data, reports, notes, or other materials relating to the firm's work, whether or not performed by the Member. Rule 5.303: A Member shall not unreasonably withhold permission from a departing employee or partner to take copies of designs, drawings, data, reports, notes, or other materials relating to work performed by the employee or partner that are not confidential. In addition, the code provides the following commentary: “A Member may impose reasonable conditions, such as the payment of copying costs, on the right of departing persons to take copies of their work.” The best advice is that the question of whether and how copies of work will be granted to an employee should be discussed before an employee decides to leave a firm or at least during the departure process. This discussion may help mitigate an awkward, emotional, or volatile termination process. A departing employee should expect to receive reasonable examples of work; the employer is not obligated to make the entire volume of work produced by the employee available. The intent is to allow the employee a reasonable opportunity to present qualifications to future employers or potential clients. It is equally important for the firm to retain proprietary or confidential materials and the work products it rightfully owns, such as renderings, photography, or proprietary software. Competing Values It seems simple enough to be honest, but even well-meaning professionals from time to time are presented with competing obligations, such as family responsibilities or religious convictions. For example, employees may decide to work outside the office to build a client base, take advantage of opportunities to demonstrate design 30 talent, or simply make money. In doing so, they may unwittingly expose the firm to liability and may compromise their own ability to perform adequately for the compensation they are receiving. Or, an employee may use the firm's software for personal use, believing that no harm is done by making a copy of it. Architects have certainly lied, stolen, defrauded, or taken advantage of a situation. Sometimes the individual is wellintentioned, sometimes not, but almost always he or she feels justified in his or her actions. Architecture is a profession replete with competing values. Within every project are decisions to be made about quality of materials versus budget constraints, owner-prescribed requirements versus building codes or architectural review committees, and confidentiality versus truthfulness. Resolving these conflicts does not require decisions about right and wrong, but rather decisions to resolve situations in which competing principles are equally correct but may be mutually exclusive. Ethics at all Levels Responsibility for ethics extends to all members of a firm, not just the principals or those in management positions. M embers of the firm at all levels are in positions that require a clear understanding of ethical behavior. Entry-level professionals and interns, as part of their daily responsibilities, make choices and perform tasks that need to be guided by a code of ethics. With the trend toward flattened, less hierarchical professional organizations, these firm members are attending meetings with clients, conducting daily tasks, and issuing project communications. The skills necessary to perform in these situations are seldom discussed, much less taught, within the architectural curriculum. As a result, the young architect is left to learn them on the job. The understanding of ethical behavior that should guide all firm members is thus often introduced in a work situation. Questions of ethics can arise from examining seemingly routine or common behaviors: Discussing details of a proposal or comparing fee structures with colleagues in another firm Repeating information gathered within the context of a project or client meeting Casually sharing digital files (text, drawings, renderings, objects, and so on) with a colleague in another firm to bring each other up-to-date as to “what are you working on” Using the firm's Internet connection for personal instant messaging or other online activities not related to work Installing personal software on an office computer to assist in the production of a project, marketing material, or particular task at hand Working on personal projects in the workplace after hours using office resources These examples touch on actions that are often misunderstood or not even considered as issues by those entering the profession and often by those in practice. Confidentiality Everyone has a certain expectation of confidentiality. In a work situation, these expectations are formalized and there are often implications if a confidence is breached. Clients have the right to expect that their project, project information (e.g., schedule, budget, legal hurdles, and public reviews and approvals), and communications will be kept confidential. Sending project information over the Internet to a colleague—whether or not the project is in a sensitive stage of the approval process—is a clear violation of this expectation. The firm has a certain level of expectation of discretion on the part of its employees. While exposing secrets 31 and violating confidences appears to be a part of daily life in the media, office gossip and the sharing of situations within the workplace is seldom useful or appropriate. An architecture firm is not just any job, and firm members are not simply employees. A profession demands more of all those involved, both seasoned practitioners and aspiring professionals. Employees likewise have certain expectations of their employers. They have a right to assume that personal information, whether health, financial, or behavioral in nature, will be held in trust by the firm. Ethical practice is not merely a two-way street, but a network of complex relationships and behaviors. Intellectual Property Although there may be shades of gray in situations involving ethical behavior, many legal issues are black and white. Software appropriately acquired while an individual is in school is provided by most software developers with the understanding and explicit agreement that it be used for academic purposes only. M any of these digital products are offered free or at substantial discounts to the student. Even the private, personal use of these products after graduation is questionable. Without question, bringing these products into a work setting, even in an attempt to support the efforts of the firm, exposes the firm to considerable legal liability, undue risk, and the possibility of fines and penalties. Such unauthorized use of software within a firm also exposes the employee to actions by the employer since, once this use is discovered, the firm is obligated to respond appropriately. As professionals, architects have made considerable progress in protecting their intellectual property. The Architectural Works Copyright Protection Act of 1990 allows for protection of both technical drawings and building designs. Other work products (e.g., specifications, reports, etc.) may be covered under other provisions of copyright law. If, as creative professionals, architects seek legal protection for what they produce, it is appropriate that they respect the efforts of others and equally value their intellectual property. This is not only the ethical response but also the legal one. Personal Commitment While the term “multitasking” is used to describe the ability to conduct several operations simultaneously, the work of an architect, or someone who aspires to become one, requires focus, concentration, and commitment to the task at hand. Design issues, buildings, the project delivery process, and the entire construction industry have become increasingly complex. It is essential for architects to use available technology to improve the process and better serve both their firms and their clients. At the same time, the ever-improving digital tools used by architects may make the actual act of design increasingly demanding. Building information modeling (BIM ) software gives the members of the project team tremendous power in the creation of the information set necessary to construct a building. Very unlike years past, there is no “backroom” filled with drafters performing routine and often mindless tasks. The cut-and-paste 2-D world of the last decade is rapidly giving way to operations that require a much more knowledgeable and thoughtful person at the controls, entering and monitoring the quality of the information being contributed to the building information model. For these and countless other reasons, everyone involved in the project delivery process must acknowledge and take responsibility for the quality of the work, since so many hands are involved in its creation. Personal Projects/Moonlighting Taking on outside projects, whether for financial reward or professional satisfaction, is often attractive. Pro bono work, which at the outset appears to be a harmless allocation of a person's free time, also falls into this category. Seldom do individuals involved in such outside projects realize the implications of their actions. In some cases, a person's energy and attention to the work of the firm is compromised. In others, there are conflicts with commitments made and deadlines and agreements that must be met within the firm. No matter the size and scope of a personal project, it often requires time during the workday to manage 32 issues and attend to problems. This activity compromises both the time available for the firm's work and the quality of service provided to the moonlight job and client. In addition to distracting an employee from full commitment to the success of the firm, moonlighting can also expose the firm to legal liabilities. Several court cases have held the parent firm responsible for the actions of an employee, even though the firm had not authorized or even known about those actions. If the firm's work does not provide the personal, professional, and/or financial rewards an architect seeks, the best action is to improve his or her role and responsibilities within the firm, look for new employment, or start a firm. Michael Hricak, FAIA The Future Defining professional ethics for the architecture profession will remain the duty of the American Institute of Architects and its National Ethics Council. As they have in the past, the AIA Board of Directors and NEC will periodically reevaluate the Code of Ethics and Professional Conduct based on the profession's core values while responding to societal pressures, changing business practices, advancing technologies, and lessons learned from the results of future litigation. For More Information The AIA Web site at www.aia.org/about_ethics provides current information and resources. The process for filing a complaint is described. Also posted are the NEC's previous decisions and advisory opinions, the rules of procedure, the AIA Code of Ethics and Professional Conduct, guidelines for attribution of credit, and answers to frequently asked questions. Specific questions may be directed to the Office of the General Counsel at (202) 626-7311. Members of the AIA National Ethics Council may be available to offer programs, which include case studies, at AIA national and local events. 33 34 35 36 37 1.3 Service Leadership in Architecture Practice Michael M. Hricak, FAIA* “Vocation” is a concept making a comeback these days. While many individuals have the same job title, few actually have the same calling. Adecade of speaking with young people pursuing a career in architecture has demonstrated that most architecture students are involved in design as though there was no other choice: They simply could not imagine doing anything else. This fact suggests that, for many, architecture is not only a professional career path, but a vocation. It is not that prospective architecture students make their decision in an emotional or irrational manner. On the contrary, it is more a situation in which these individuals' skills, talents, interests, and concerns align with the options that life as an architect offers. This observation does not imply that a professional career is necessarily synonymous with a vocation. Rather, it appears that a strong inclination to pursue a certain career in order to serve or address perceived needs can elevate a career choice to another level. The vocation for you is the one in which your deep gladness and the world's deep need meet. Frederick Buechner A common misconception is that a vocation implies something done for little reward or for purely altruistic purposes. In reality, a vocation is less this than the intersection of what makes a person happy and what the world needs to be done. The roles that architects are called upon to play are many and varied. The popular press uses the word architect to mean someone who takes a complex task and breaks it down into its components, all the while keeping the big picture in mind, and who can bring together certain people and have them perform those tasks necessary to accomplish a goal. In newspapers it is not unusual to see phrases like the “architect of the peace plan” or the “architect of the company's turnaround,” to cite two examples of the word's common use in the context of political and business-related situations. With the proliferation of material (books, magazines, network and cable programming, etc.) on design in general and sustainability in particular, and a general renewed appreciation for architecture and its importance in the quality of our lives, it appears the stage is set for architects to have an ever-increasing influence on the built environment and, by extension, the natural one. Although it is tempting to look to technology and related techniques as a means of fostering and directing meaningful change, it is helpful to look beyond the obvious, most touted new products and examine what needs to change for architects to truly benefit from the public's awareness and acceptance and advances in professional knowledge and emerging tools. As well, it is necessary to acknowledge that not all change is progress. It is clear that new tools and evolving knowledge increase the possibilities and approaches to what gets designed and how it gets built. However, a prerequisite for leveraging the opportunities that present conditions offer is development of a new set of beliefs and behaviors, which also requires a willingness to abandon current 38 patterns and processes. The motivation to strive for this level of change is the essential core belief that by changing what we design and how we build, we can change the world itself. Credibility is at the Heart of Leadership Leadership is a reciprocal process between those who choose to lead and those who choose to follow. Any discussion of leadership must attend to the dynamics of this relationship. Strategies, tactics, skills, and practices are empty unless the fundamental human aspirations that connect leaders and their constituents are understood (constituents is used here, as it connotes a greater sense of engagement and commitment in the relationship than followers). What leaders say they do is one thing; what constituents say they want and how well leaders meet these expectations is another. To balance our understanding of leadership, let's take a look at the expectations people have for their leaders. In other words, what do people look for and admire in someone they would willingly follow? Research about what constituents expect of leaders has yielded fairly consistent results over time and across the globe, transcending a variety of individual, interpersonal, and organizational differences. (For more information on this research, see James M . Kouzes and Barry Z. Posner, The Leadership Challenge, 4th edition.) In general, an individual must pass several essential tests before others are willing to grant that person the title leader. Although numerous potential characteristics, personal values, traits, and attributes could be considered important, what is most striking is that only four continuously receive more than 50 percent of the responses. For people to follow someone willingly, the majority of constituents must believe the leader is honest, forwardlooking, competent, and inspiring. Honesty. Honesty is the single most important ingredient in the leader-constituent relationship. Before people will follow someone, they want to be assured that person is worthy of their trust. Is the leader truthful, ethical, and principled? Focus groups and in-depth interviews have indicated that constituents measure a characteristic as subjective as honesty by observing the leader's behavior. They are looking for consistency between word and deed. Constituents appreciate leaders who take a stand on important principles; they resolutely refuse to follow those who lack confidence in their own beliefs. Constituents simply do not trust people who cannot or will not communicate their values, ethics, and standards. Vision. The ability to look ahead is one of the most sought-after leadership traits. Leaders are expected to have a sense of direction and a concern for the future of the group or organization. No matter what this ability is called, the message is clear: Leaders must know where they are going if they expect others to follow. This can be as down-to-earth as selecting a desirable goal for the group. Vision is the magnetic north that provides others with the capacity to chart a course toward the future. Constituents ask that a leader have a well-defined orientation toward the future. They want to know what the organization will look like, feel like, and be like when it arrives at its goal in six months or six years. Competence. Constituents must believe the person they follow is competent to guide them where they are headed. Leaders must be viewed as capable and effective. Competent leadership is reflected in the leader's track record and ability to get things done and guide the entire organization, whether the group is large or small. It does not refer specifically to requiring the leader to have abilities in the core technology of an operation. In fact, the type of competence demanded appears to vary more with the leader's position in the organization and the condition of the organization than with the type of organization it is. While an understanding of the basics and fundamentals of the industry, market, or professional service environment is important, people accept that leaders cannot be expected to be the most technically competent in their fields. Organizations are too complex and multifunctional for that to be the case; this is particularly true as people reach more senior levels. The ability to inspire. People expect their leaders to be enthusiastic, energetic, and positive about the future. It is not enough for a leader to have a dream about the future. A leader must be able to communicate that vision in ways that encourage people to sign on for the duration. The enthusiasm, energy, and positive attitude of a good leader may not change the context of work, but they certainly can make work more meaningful. A leader who is upbeat, positive, and optimistic about the future can offer people hope. In times of great uncertainty, leading with positive emotions is absolutely essential to moving people upward and forward. When people are worried, discouraged, frightened, and uncertain about the future, they need someone who communicates—in words, 39 demeanor, and actions—that she or he believes the group will overcome its difficulties. Enthusiasm and excitement are contagious, and such positive emotions resonate throughout an organization. Honesty, vision, competence, and the ability to inspire are leadership characteristics that remain constant over time, and they make up what communications experts refer to as “source credibility.” In assessing the believability of sources of information—whether architects, newscasters, salespeople, physicians, politicians, or civic leaders—people rate more highly those they perceive to be trustworthy, dynamic, and accomplished. In the end, people want to follow leaders who are credible. Credibility is the foundation of leadership. People must be able to believe in the people they follow. They must believe the leader's words can be trusted, they will do what they say, they are personally excited and enthusiastic about the direction in which the group is headed, they have the knowledge and skill to lead, and they have a sense of direction and intentionality that propels others forward. Appreciating how constituents view leaders is critical to the understanding and practice of leadership, which underscores the fact that leadership is a relationship. This relationship builds upon the character and actions of leaders in meeting and responding to the needs, expectations, and aspirations of their constituents. The most effective leaders cherish this relationship, realizing the work of the organization will ultimately not be done by the leader but by their constituents. Finally, if people do not believe in the messenger, they will not believe the message. Barry Posner For centuries, architects have gathered, organized, and distributed information to dozens, if not thousands, of people in order for this army of skilled labor, tradesmen, craftsmen, and specialists to perform and complete the tasks necessary to accomplish the architect's design, and thereby the client's goals. Put simply, architects have long been in the business of providing information. The immediate product of the design process is information, which is necessary for the eventual product—the building—to be built. Assuming an improvement in the architect's knowledge of construction logistics and the building process, information of increasing effectiveness and value can be prepared. This reversal of the estrangement of the architect from the construction process allows the architect to take part in conversations that involve not only the “what” of the design stages but the “how” of the construction process. The guiding question in this approach becomes, “Does each and every person involved in the process, from supervisor to hands-on constructor, have what he or she needs to accomplish the task at hand?” Or, asked another way, “Does everyone have the information necessary to succeed?” To engage in professional practice and project delivery in this way requires the architect to shift from a position of misunderstood genius or frustrated artist, or even efficient and effective manager, to one of constant and confident supporter—through the medium of information—of the efforts of everyone involved in a project. Through the use of the evolving and increasingly sophisticated tools available to the design and construction industry, the information provided by the architect has the potential of becoming more understandable, useful, timely, accurate, and responsive. It is useful to remember that the architect is 100 percent leveraged, in that the architect does little that directly results in the completion of a building project. The architect's medium or communication tool is information, be it 2D images, 3D material, a building information model, or a hand-sketched detail drawn on-site. The architect can only succeed if, through stewardship of the project information, the architect enables all those involved in a project to be successful. Frank Gehry has described computer technology, and the digital tools that dramatically improve efficiency and accuracy 40 as a second chance for architects to reclaim the leadership role they were in danger of forfeiting by becoming too effete and unrealistic. James Steele in Architecture: Celebrating the Past, Designing the Future (AIA, 2008) Leading from the Inside Out Authentic leadership does not come from the outside in. It comes from the inside out. Practicing inside-out leadership means becoming the author of your own story and the maker of your own history. All effective leadership starts from within. What constituents most want from a leader is to genuinely know who that leader is. Imagine this scene. Someone walks into the room right now and announces to you and your colleagues, “Hi, I'm your new leader.” What is the first thing you want to know from this person? What are the questions that immediately pop into your mind? Studies have shown that people want to ask the following questions: Who are you? What do you stand for and believe in? Where do you want to take us? Why you? What qualifies you for this job? What makes you think you can do this? Do you really know what you're getting yourself into? What changes are you planning to make? Questions like these get to the heart of what leadership is about. People want to know what inspires a leader, what drives you, what informs your decisions, what gives you strength, what makes you who you are. They want to know the person behind the mask. They want to know what gives you the confidence to think the group can succeed. The quest for leadership, therefore, is first an inner quest to discover who you are. It is through this process of self-examination that an individual can find the awareness and faith in his or her own powers needed to lead. This self-confidence becomes stronger only as you work to identify and develop your skills. M astery of the art of leadership comes with mastery of the self. Developing yourself as a leader begins with knowing your own convictions. Clarifying your values and aspirations is a highly personal matter, and no one else can do it for you. To exhibit authentic leadership— leadership in which your words and deeds are consonant—you must be in tune internally. You must know who you are, what's important to you, and what is not so important. A person's passion is often another factor in an individual's decision to lead. Finding your passion requires a journey through your inner self—a journey that often involves opening doors that are shut, walking in dark places that are frightening, and touching the flame that burns. Clarity of personal values and dedication to your passion matters greatly to feeling motivated, creative, and committed to the workplace. People who are clear about their personal values feel empowered and prepared to take action—ready to be a leader. The importance of these factors in leadership development was reflected by a young architect who explained how he had learned “that clarifying one's values and expressing oneself clearly and confidently is an essential first step that leaders must undertake. There are no shortcuts, workarounds, or other easy alternatives to this primal step in the leadership journey.” One immediate payoff from developing a clear sense of values and communicating these to others, he told us, is that “it serves to enlist willing constituents and builds a vital support base for the leader.” We have all heard the expression “Leaders stand up for their beliefs.” To have a solid platform on which to 41 stand, an individual's beliefs must be clear to him or her as well as to others. When these values are matched by deeds, you have earned the credibility needed for others to put their trust in you. It is hard to imagine how someone can stand up for his or her beliefs if that individual is not clear about them. How can you speak out if you don't know what's important to you? How can you have the courage of your convictions if you have no convictions? Without core values and with only shifting positions, would-be leaders are judged as inconsistent and derided for being “political” in their behavior. Developing leadership ability is not about cramming to learn a lot of new information or trying out the latest technique. It is about leading out what is already in your soul. It is about liberating the leader within. Clarity of values is essential, and the clearer you are about your values, the easier it will be to stay on the path you have chosen. In exploring your inner self and finding your voice, you craft an inner compass by which to navigate daily life that will take you on the first steps to making a difference. Indeed, who is the very first person you have to lead? Who is the first person who must be willing to follow you? The answer is simple: You! Until you believe in something yourself, it is hard to imagine you could ever convince anyone else to do something. So, back to that leader who walks into the room and says, “Hi. I'm your new leader.” If that leader is you, what would be your answer to the questions others would ask about why they should follow you? What would you say when asked, “Who are you?” Barry Posner In the context of this approach to project delivery, “service leadership” is defined as follows: The architect leads the effort by serving all those whose work is necessary to meet the goals of the project. This quiet, but ultimately effective leadership is accomplished by leading from within, from a position of support and service. Based on the idea that having a vocation means finding an alignment between an individual's interests and concerns with the task at hand, the key to redefining the role of the architect is to recognize that by serving—and only by serving—can the architect become an effective and essential leader. 1.4 Participating in Professional Organizations Andrea S. Rutledge, SDA, CAE* Participating in professional organizations can help architects enrich their careers and contribute to the advancement of the profession. It seems as though there is an association for everything. Nearly every profession, vocation, avocation, or trade has a society or association organized to meet the specific needs of its members, and the United States has the most fully developed association sector in the world. Even Garrison Keillor spoofed our national proclivity for forming associations, inventing the American Duct Tape Council as a fictitious sponsor of his radio show, A Prairie Home Companion. The most basic function of associations is to distinguish their members from others in similar professions or types of commerce or to bring together individuals with common vocational interests (e.g., the American Industrial Hygiene Association) or avocational interests (e.g., the Road Runners Club of America). Such organizations are most often formed to provide information to the public; to set standards for a profession, system, or service; to represent their members' interests before legislatures 42 or regulatory bodies; or to provide services or products that enable their members to succeed. Emergence of Associations Groups of people associated by the business they engage in have been around for a long time. The most recognizable precursors of today's professional associations are the guilds of Western Europe. The guild system, with its formalized apprenticeships and protective regulations, has its origins in Roman culture. Guilds established standards for production, set prices, monitored sales, oversaw wages and hours, and maintained training and apprentice programs. Membership was not voluntary, and the competition with similar guilds from other cities could be fierce. In many cities, guilds came to wield substantial political power and were able to influence civic decisions as well as some of those made by the church. For example, in 1418, the Wool Guild in Florence was involved in design and construction of the famous cathedral dome. And in London, the annual election of the Lord Mayor of the City of London was heavily influenced by the guilds. The guilds lost power and influence as the modern market economy and democratic principles began to spread. Instead of guilds designed to control trade for their members in a specific commodity or trade within a specific city or town, organizations of merchants and other artisans formed to encourage and support common commercial interests. For example, the first chamber of commerce was formed in New York State in 1768, and the New York Stock Exchange was established in 1792. During the nineteenth-century Industrial Revolution, new trade associations and professional societies began forming in the United States, particularly among business owners. By 1890 many of these were well established and were lobbying Congress, holding regular meetings, and maintaining offices. The American Institute of Architects falls into this category. Founded in 1857, the AIA celebrated its thirtythird anniversary in 1890 and had just elected its third president. Other familiar organizations were founded later: the American Bar Association (1878), the National Society of Professional Engineers (1905), the Associated General Contractors of America (1918), and the American Council of Engineering Companies (1934). In the twentieth century, associations and professional societies became more organized, hiring staff trained to support activities of the group, codifying rules and procedures for boards, establishing criteria for membership, and developing an expanding range of services for their members. These groups have coalesced into several distinctive types. The following definitions come from The Association Law Handbook: Professional societies are “composed of individuals or members who have acquired knowledge and experience that qualifies them as specialists in performing particular services.” These groups can be horizontal, “servicing one functional level of an industry or profession; alternatively they can be vertical, serving all functional levels.” Professional societies related to design and construction include the International Facility Management Association, the Building Owners and Managers Association, the American Society of Landscape Architects, the Society for Design Administration (SDA), and the American Institute of Architects, among others. Trade associations are “composed of individuals or firms concerned with a single product or service or those concerned with a number of related products or services.” A number of trade associations represent participants in the design and construction industry, including the Associated General 43 Contractors of America (AGC), the National Association of Home Builders, and the National Manufacturers Association. Charitable institutions are composed “of members with interests in whatever kind of science, educational area, or charity is represented by the association.” Included in this category are the American Architectural Foundation, the Corcoran Museum of Art, and the Smithsonian Institution. Roles Professional Societies Play People often decide to join professional associations because of an invitation from another professional in their field. Members renew their membership over time because they value specific services the association provides. The services commonly provided by professional societies are described in this section. Bringing People Together to Effect Change In his 2001 book Principles of Association Management, Henry L. Erstthal, CAE, suggests “the uniqueness of associations rests in their members' strong feelings of ownership and involvement in decision making. Members believe they can make themselves heard and effect change within and through their associations.” This is a central reason many cite for joining a professional society or trade association. In a 2006 survey of AIA members' needs, 64 percent of respondents indicated they joined the Institute “to show my commitment to the profession.” These individuals clearly believe that collectively under the aegis of a professional society, they have greater control over the elements that shape and influence their work. In addition to contributing to their professions, many join associations to develop professional networks and contacts. Many experienced professionals remark on the value of spending time in the company of other professionals talking about the things that matter, developing lifelong networks and relationships, and learning from one another in informal settings. Providing Resources to Members Another reason people join professional societies is to gain access to knowledge and services that will help them address particular problems. These resources take many forms depending on the association. The AIA, for instance, has for many years published contract documents for use in the design and construction industry, as well as a monthly economic report (Work-on-the-Boards), which analyzes the economic trends that affect design and construction. The Society for Design Administration has developed a software program for tracking the continuing education requirements of a firm's licensed professionals. Most professional associations today provide members-only Web sites with much information valuable to the everyday life of their members. It is against the law for associations to deny nonmembers access to products and services they provide to their members if, as cited in the Association Law Handbook, those products or services may be considered to “confer important competitive or economic benefit.” However, it is considered lawful to charge nonmembers a higher fee for products and services as long as the difference between the member fee and the nonmember fee is not so high it “compels membership.” In other words, the member/ nonmember price difference for the 2006 AIA Firm Survey cannot be the same as the current 44 dues rate. Promoting the Value of Professional Members Most professional associations aggressively promote their members as better prepared, more knowledgeable, and more likely to serve the public than nonmembers. For example, many associations, through public relations and marketing campaigns, promote their members as providers of the highest degree of professional service to the client. Connecting Groups of Allied Professionals In his 1997 book Professional Practices in Association Management, John B. Cox, CAE, says, “The fundamental proposition undergirding all coalitions is simple: People who share a common purpose and perspective can accomplish more when they collaborate than when they pursue narrower interests on their own.” And while associations are themselves coalitions, they often work institutionally with other, related organizations to achieve common goals. Sometimes associations form coalitions for specific purposes; for example, in 2006 the American Society of Association Executives (ASAE) led a broad-based coalition of associations to lobby for passage of federal legislation that would enable associations to form groups for the purpose of providing health insurance for their members' small businesses (e.g., sole practitioners). Other coalitions are formed for more general purposes, as the AIA/AGC Joint Committee, which has met twice each year for more than fifty years to discuss “issues of mutual interest and concern.” Offering Continuing Education Programs Licensing of professionals, especially those whose business may affect the health, safety, and welfare of the public, is a state responsibility. Consequently, each state has established requirements for receiving and maintaining a professional license. In many cases, maintaining a license includes a requirement for continuing education. This is especially true in architecture and the law. Professional societies are often the primary provider of continuing education for their members, and because professional societies are precluded by law from excluding nonmembers from the programs they offer, the societies become the primary provider of continuing education for the entire profession. In some cases, professional societies work together to provide cross-disciplinary training for their members. For example, each year ASAE offers a symposium on association law. The program is open to anyone interested in the issues; however, association executives and attorneys attending the program can earn six of the education units that may be required for certification (in the case of association executives) or maintaining bar memberships (in the case of attorneys). Conducting Advocacy and Lobbying Associations lobby for issues of value to their members—including legislation or regulations that affect their ability to conduct business in a state or other jurisdiction. Lobbying has become a significant effort of many associations. In addition to employing professional lobbyists on staff or retaining a lobbyist to 45 represent the association, many professional societies engage their members as “grassroots advocates.” In grassroots programs, individual members are brought to Washington, D.C., or the state capital, where they are briefed on specific issues or a particular piece of legislation and encouraged to visit their elected representatives to discuss them. Many associations have also established political action committees (PACs). Members can make voluntary contributions to the PAC, which, in turn, makes contributions to candidates for state or federal office who support positions favored by members. Associations are regulated by the same laws that affect other lobbyists. This means they must file reports with state and federal authorities and can be limited in the amount of money they spend on lobbying activities. Similarly, association PACs are subject to the same reporting requirements as other PACs. Raising Funds for Special Needs Trade associations and professional societies, generally speaking, receive tax-exempt status under section 501(c)(6) of the U.S. tax code. While this status exempts associations from certain taxes, it does not allow gifts of money or services given by an individual to be designated as tax-deductible. This limits the ability of associations to raise funds for special needs such as scholarships or research. In response, some professional societies and trade associations have formed foundations or charitable organizations (e.g., the American Architectural Foundation, or AAF, and the AGC Educational and Research Foundation) under section 501(c)(3) of the U.S. tax code, which gives these organizations tax-exempt status. Such foundations have specific educational, cultural, or scientific purposes that are directly related to the profession. For example, the AAF supports several scholarship programs for students enrolled in architecture programs (e.g., the Minority and Disadvantaged Scholarship Program). Under special circumstances, related foundations may also establish special funds for disaster relief or other philanthropic activity. Members of the association, and nonmembers as well, are able to make taxdeductible gifts to these foundations in support of specific initiatives. Providing Insurance and Other Benefits Most associations provide benefits for their members. In the case of a professional society, many of these are directed toward improvement of the individual member's ability to succeed in his or her profession. For example, the AIA offers architects access to professional liability and health insurance programs. SDA offers a certification program for its members, and the American Council of Engineering Companies offers an organizational peer review program to architecture and engineering firms. In the case of charitable organizations, the benefit often takes the form of reduced prices for subscriptions or tickets to events. Getting Involved Architects may choose to belong to several organizations related to their careers, from a broadly focused organization such as the AIA to groups with a narrower focus such as the Construction Specifications Institute, International Facility Management Association, American College of Healthcare Architects, U.S. Green Building Council, or Design-Build Institute of America. The decision about which organizations to join is personal; each architect must determine which groups will provide the 46 information most likely to advance his or her professional life. One strategy is to begin by joining just one organization and later add memberships in others as your experience broadens and your career matures. • For a list of professional and related trade organizations in the design and construction industry, see Appendix B, Allied Professional Organizations, in the back of the Handbook. The first step to involvement is to join the organization. Nearly all professional organizations have membership criteria, forms, and other materials available on their Web sites. Some groups permit individuals to join directly from the Web site; others require additional information and original signatures on the application form. Members of professional societies of all sorts generally get more from their membership when they become involved in the activities of the organization, whether it is at the national, state, or local level. For More Information Information about opportunities to participate in the AIA at national, regional, and local levels can be found on the AIA Web site at www.aia.org. AIA Public Policies and Position Statements and the AIA Member Benefits Guide, updated annually, are available in PDF at www.aia.org. The American Institute of Architects The AIA was formed, according to its bylaws, to “organize and unite in fellowship the members of the architectural profession of the United States of America; to promote the aesthetic, scientific, and practical efficiency of the profession; to advance the science and art of planning and building by advancing the standards of architectural education, training, and practice; to coordinat...
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