NCARB: Model Rules of Conduct Flashcards
NCARB’s Model Rules of Conduct
Center on five areas: competence, conflict of interest, full disclosure, compliance with laws, and signing and sealing documents.
While architects are obligated to defend vigorously the position of their clients, architects may be compelled to insist on positions that are not in their clients’ interest in order to protect the health, safety, and welfare of the public.
True or False
True
The public views the architect as the primary registered design professional involved in the planning and design of a building project and relies on the architect to help safeguard the public interest.
True or False
True
True or False:
The public expects that professions will be guided by a commonly accepted standard of conduct and that architects will assume a primary role in ensuring ethical conduct by their colleagues.
True
RULE 1: COMPETENCE
RULE 1 COMPETENCE
1.1 In practicing architecture, an architect’s primary duty is to protect the public’s health, safety, and welfare. In discharging this duty, an architect **shall **act with reasonable care and competence, and shall apply the knowledge and skill ordinarily applied by architects in good standing, practicing in the same locality.*
1.2 In designing a project, an architect shall take into account the applicable federal, state, and local building laws and regulations. While an architect may rely on the advice of other professionals (e.g., attorneys, engineers, and other qualified persons) as to the intent and meaning of such laws and regulations, once having obtained such advice, an architect shall not knowingly design a project in violation of such laws and regulations.
1.3 An architect shall perform professional services only when the architect, together with those whom the architect may engage, has the necessary knowledge and skill in the specific technical areas involved.
1.4 An architect shall not be permitted to practice architecture if, in the Board’s judgment, the architect’s professional competence is substantially impaired. The assessment of impairment should be performed by an
appropriately qualified professional.
RULE 2: CONFLICT OF INTEREST
RULE 2 CONFLICT OF INTEREST
2.1 An architect shall not accept compensation in connection with services from more than one party on a project unless the circumstances are fully disclosed and waived in writing by all parties.
2.2 An architect shall not solicit or accept compensation from
material or equipment suppliers for specifying or endorsing their products in connection with a project. As used herein, “compensation” shall not mean customary and reasonable business hospitality, entertainment, or product education.
2.3 An architect shall not perform professional services in the face of a conflict of interest that is not fully disclosed and waived in writing by all parties. An architect has a conflict of interest when:
(a) the architect has or may acquire a financial or
other interest in the project, someone participating in it, or any component of it; or
(b) the architect’s judgment may be adversely affected by a relationship with another party.
2.4 An architect, when acting by agreement of the parties as the independent interpreter of building contract documents or as the judge of contract performance, shall render decisions impartially.
2.5 An architect serving as an AXP Supervisor for a candidate for licensure **shall not **have, nor enter into, any relationship with the candidate that would interfere with the objectivity of the AXP Supervisor’s certification of the candidate’s experience.
2.6 An architect serving in a public capacity, whether paid or voluntary, shall not accept payments or gifts that are intended to influence the architect’s professional judgment
RULE 3: FULL DISCLOSURE
RULE 3
3.1 An architect shall not make statements that are misleading, deceptive, or false.
3.2 An architect making public statements on architectural matters shall disclose if the architect is being compensated for making such statements or has an economic interest in the issue.
3.3 An architect shall not misrepresent the architect’s qualifications, capabilities, and experience or that of the architect’s firm.
3.4 An architect shall not misrepresent or overstate the scope of the architect’s responsibility in connection with work for which the architect or the architect’s firm is claiming credit.
3.5 If, in the course of an architect’s work on a project, the architect becomes aware of a decision made by the architect’s employer or client, against the architect’s advice, which violates applicable federal, state, or local building laws and regulations and which will, in the architect’s judgment, materially and adversely affect the health and safety of the public, the architect shall:
(a) refuse to consent to the decision, and
(b) report the decision to the official charged with enforcement of building laws and regulations, and
(c) in circumstances where the architect reasonably believes that other such decisions will be taken notwithstanding the architect’s objection, terminate
the provision of services with reference to the project unless the architect is able to cause the matter to be resolved by other means.
3.6 An architect **shall not **make a false statement or fail to
disclose accurately and completely a material fact lawfully requested by the Board in connection with the architect’s application for licensure or renewal.
3.7 An architect shall not knowingly sign any verification document related to licensure that contains false or misleading information and shall not assist in the application for licensure of a person known by the
architect to be unqualified.
3.8 An architect possessing knowledge of an licensure candidate’s qualifications for licensure** shall **cooperate with the candidate, the Board, and/or NCARB by responding appropriately and in a timely manner regarding those qualifications.
3.9 An architect possessing knowledge of a violation of the jurisdiction’s laws or rules governing the practice of architecture by another shall report such knowledge to the Board. It is the professional duty of the architect to do so.
RULE 4: COMPLIANCE WITH LAWS
RULE 4
4.1 An architect shall not violate the law of the United States or any U.S. jurisdiction that in any material way relates to the conduct of the architect’s practice.
4.2 An architect shall not engage in conduct involving fraud or deliberate disregard of the rights of others.
4.3 An architect shall not counsel or assist a client in conduct that the architect knows, or reasonably should know, is fraudulent or illegal.
4.4 An architect shall comply with the licensing laws and
regulations governing the architect’s professional practice in any U.S. jurisdiction. An architect may be subject to disciplinary action if the architect is disciplined in any other U.S. jurisdiction.
4.5 An architect shall neither offer nor make any payment or gift with the intent of influencing an official’s judgment in connection with a prospective or existing project in which the architect is interested.
4.6 An employer engaged in the practice of architecture found by a court or administrative tribunal to have violated the law of the United States or any U.S. jurisdiction protecting the rights of persons working for the employer, such as those pertaining to harassment, discrimination, and unfair compensation, shall be subject to discipline.
RULE 5: SIGNING AND SEALING DOCUMENTS
RULE 5
5.1 An architect shall sign and seal only those technical submissions that were prepared under the architect’s responsible control except as noted in rule 5.2 and 5.3.
5.2 An architect of record may sign and seal technical submissions not required by law to be prepared by an architect including information supplied by manufacturers, suppliers, installers, contractors, or from the architect of
record’s consultants, when that information is intended to be incorporated into the architect of record’s technical submissions and the architect of record has reviewed such information and can reasonably trust its accuracy.
5.3 An architect of record may sign and seal prototypical building documents prepared by an architect licensed in any U.S. jurisdiction, but only if the architect of record determines that such documents are in compliance
with the requirements of the project’s jurisdiction and incorporates them into the architect of record’s own technical submissions
RULE 6: FURTHER OBLIGATIONS TO THE PROFESSION AND
THE PUBLIC
RULE 6
6.1 An architect serving as an AXP Supervisor for a candidate
for licensure shall reasonably assist the candidate in proper
and timely documentation in accordance with that program.
An architect with the city accepts tickets to a nationally anticipated boxing match from a new developer of ocean front high-rise condos in Miami. Which of the following Rules of Conduct has the architect violated?
A.) An architect shall neither offer nor make any payment or gift with the intent of influencing an official’s judgment in connection with a prospective or existing project in which the architect is interested.
B.) An architect shall not engage in conduct involving fraud or deliberate disregard of the rights of others.
C.) An architect serving in a public capacity, whether paid or voluntary, shall not accept payments or gifts that are intended to influence the architect’s professional judgment.
D.) An architect shall not accept compensation in connection with services from more than one party on a project unless the circumstances are fully disclosed and waived in writing by all parties.
C.) An architect serving in a public capacity, whether paid or voluntary, shall not accept payments or gifts that are intended to influence the architect’s professional judgment.
An Overhead Crane distributor would really like to encourage the architect to review his equipment for a potential warehouse project. At Christmas he sends the architect a very expensive and unique bottle of scotch. If the architect accepts this gift, which rule of conduct has the architect violated?
A.) An architect shall not solicit or accept compensation from material or equipment suppliers for specifying or endorsing their products in connection with a project. As used herein, “compensation” shall not mean customary and reasonable business hospitality, entertainment, or product education.
B.) An architect shall neither offer nor make any payment or gift with the intent of influencing an official’s judgment in connection with a prospective or existing project in which the architect is interested.
C.) An architect serving in a public capacity, whether paid or voluntary, shall not accept payments or gifts that are intended to influence the architect’s professional judgment.
D.) An architect shall not counsel or assist a client in conduct that the architect knows, or reasonably should know, is fraudulent or illegal.
A.) An architect shall not solicit or accept compensation from material or equipment suppliers for specifying or endorsing their products in connection with a project. As used herein, “compensation” shall not mean customary and reasonable business hospitality, entertainment, or product education.
An Architect’s brother-in-law’s landscaping business is not doing well. Architect’s wife is really concerned about her brother and his family financial situation. She has asked her husband to pass on a landscaping contract to help. The architect secretly invested money into the landscaping business at start-up.
What is the best way to for the architect to handle this situation?
A.) The architect should do what his wife is asking just this time.
B.) The architect should disclose his relationship with the landscaper, explain the situation, and get consenting waiver in writing by all parties involved.
C.) An architect shall not accept compensation in connection with services from more than one party on a project unless the circumstances are fully disclosed and waived in writing by all parties.
D.) An architect shall sign and seal only those technical submissions that were prepared under the architect’s responsible control except as noted in rule 5.2 and 5.3.
B.) The architect should disclose his relationship with the landscaper, explain the situation, and get consenting waiver in writing by all parties involved.
A young architect is looking to move up the ladder, and to sound impressive she exaggerated her resume with distinguishing works that she may not have been completely involved in. Which of the following rules of conduct should she be disciplined for breaking? Select all that apply.
A.) An architect shall not make statements that are misleading,
deceptive, or false.
B.) An architect shall not misrepresent the architect’s qualifications, capabilities, and experience or that of the architect’s firm.
C.) An architect shall not misrepresent or overstate the scope of the architect’s responsibility in connection with work for which the architect or the architect’s firm is claiming credit.
D.) An architect shall not violate the law of the United States or any U.S. jurisdiction that in any material way relates to the conduct of the architect’s practice.
A.) An architect shall not make statements that are misleading,
deceptive, or false.
B.) An architect shall not misrepresent the architect’s qualifications, capabilities, and experience or that of the architect’s firm.
C.) An architect shall not misrepresent or overstate the scope of the architect’s responsibility in connection with work for which the architect or the architect’s firm is claiming credit.
The primary duty of an architect is to protect the public’s
a.) interest, transportation, and homes
b.) health, safety, and welfare
c.) health, jobs, and indoor air quality
d.) welfare, bank accounts, and transportation
b.) health, safety, and welfare
