Rules of Procedure

These Rules of Procedure (Rules) are established by the National Ethics Council (NEC) under the authority of Chapter 8 of the Bylaws of The American Institute of Architects (AIA). They are meant to provide for the fair and expeditious disposition of ethics cases filed with the NEC. They shall be interpreted to ensure that those charged with a violation of the Code of Ethics and Professional Conduct (Code) are afforded the rights due to them and that the interests of justice and AIA are kept in consonance. 

The availability of these procedures for formal determinations of ethics complaints should not discourage members or any aggrieved person from attempting to resolve disputes through mediation or other informal methods. Voluntary settlement of disputes is almost always quicker than pursuing a formal complaint and often obtains a result more satisfactory to the parties. Communication and reasoned discussion to resolve disputes are always encouraged.

The  Complaint Form, Response Form, and NEC's Responsibility Claimed or Credit Due Form, are to be used by Complainants and Respondents.

The AIA’s Office of Legal and Business Strategy (the “Office”) provides staff support for the NEC. The Office is also available to explain procedures to members and other persons involved in an ethics case by emailing ethics@aia.org. The Office is unable to answer whether an action is or is not ethical, nor are they able to provide legal advice.

Section 1.1. 
These Rules may be amended by a majority vote of all the members of the NEC. Amendments shall apply to cases pending except where retroactivity would prejudice the interests of either party.

Section 1.2.
These Rules may be waived only by a majority vote of all the members of the NEC.

Section 1.3. 
The NEC does not independently investigate or prosecute Complaints against AIA members. It is the sole responsibility of the Complainant and Respondent to submit evidence, call upon and produce witnesses, and present their respective cases. The NEC’s deliberations and decisions are based solely on what the Complainant and Respondent present and submit as part of the case record.

Section 1.4. 
A Complaint filed involving an AIA current Board Member or AIA current staff member will follow the same procedures; however, AIA staff may be recused to avoid any conflict of interest. The Complaint will be administered by outside counsel. The confidentiality requirements placed on all parties will be strictly adhered to.

Section 2.1. 
To initiate a Complaint, the complaining party (Complainant) must prepare and submit a Complaint in the format of Complaint Form. A Complaint may be filed by an AIA member, component, or anyone directly aggrieved by the conduct of an active AIA member. A Complaint must be accompanied by a Release and Waiver in the form included in Complaint Form.

Section 2.2. 
A Complaint must:
    -    Allege violation of one (1) or more Rules of Conduct stated in the Code of Ethics and Professional Conduct;
    -    State claims that would sustain a finding of violation of a Rule of Conduct, if found to be true; 
    -    Submit all of the relevant documentation to support the Complainant’s allegations;
    -    Not allege violations of a trivial nature; and
    -    Must be filed within one (1) year of the alleged violation.

Section 2.3. 
If there is pending litigation or administrative proceedings involving either the Complainant and Respondent or the underlying facts of the Complaint, the NEC will defer consideration of the Complaint. While litigation or administrative proceedings are ongoing, the Complainant must provide the NEC with an annual update on their status, commencing from the date the Complaint was received. If the NEC does not receive such an update within one (1) year of the filing date or any subsequent annual deadline, the matter shall be dismissed with prejudice.

Section 2.4. 
Complaints are reviewed by a Preliminary Review Panel (Review Panel) comprised of three (3) members of the NEC, one (1) of whom is the NEC Chair. Acting under the authority of the NEC Chair, the Review Panel has the authority to accept or dismiss a Complaint based solely on the documentation provided by the Complainant, including chronological narrative, relevant documents, email communications, contracts, invoices, etc.

Section 2.5. 
The Review Panel may dismiss a Complaint that fails to meet any of the requirements of the Rules stated in this Section, or 
    -    Does not state claims that would sustain a finding of violation of a Rule of Conduct;
    -    Upon determination that any violation that may have occurred was de minimis; 
    -    Upon determination that any violation appears to be more appropriately handled by a court (e.g., a defamation or malpractice lawsuit or fee dispute) or a governmental agency (e.g., a licensing disciplinary proceeding or employment-related agency);
    -    If the Complainant fails repeatedly to respond to any requests made by the Review Panel or AIA staff; 
    -    The Complainant breaches the confidentiality provisions of these Rules; or
    -    If the Complainant acts in a manner calculated to disrupt or obstruct the proceedings.
The Complainant may appeal the dismissal based solely on the presentation of facts that were not previously available. 

Section 2.6. 
If multiple Complaints are received against the same Respondent, the NEC reserves the right to consolidate the Complainants into a single hearing. Each Complainant will have the burden of proof and present their evidence. The NEC will deliberate on each Complaint’s merits.

Section 2.7.
In the interests of fairness and justice, Complainants shall not publicly disclose or engage in discussion of the Complaint, the parties involved, and the issues under consideration. Breach of this requirement may result in dismissal of the Complaint. The Complainant may contact persons with knowledge of the matter, who are potential witnesses, or who might otherwise have information relevant to allegations in the Complaint. Any alternative dispute resolution shall be conducted solely between the parties without the involvement of the NEC or the AIA. The parties shall notify the NEC in the event of the resolution and the Complainant shall withdraw the Complaint via written notice.

Section 3.1. 
Every Complaint not dismissed by the Review Panel is communicated to the Respondent. Every Respondent is encouraged, upon receipt of the Complaint, to prepare a Response in the Response Form. 

The Response must be filed electronically within thirty (30) days from the date the Respondent receives the Complaint. If the Respondent fails to file a Response, the case will still be considered by the NEC. The matter may be resolved as if the Complainant’s allegations were proven true, and the case may result in discipline being imposed on the Respondent.

If the Respondent acts in a manner calculated to disrupt or obstruct any portion of the NEC proceedings, including but not limited to, a called hearing, the NEC, in its sole discretion, may impose additional sanctions on the Respondent.

Section 3.2. 
If a member resigns or is terminated from membership while an ethics Complaint is pending against such a member, the Complaint will be placed in deferred status. If the individual reapplies or reinstates their membership, the Complaint will return to active status.

Section 3.3. 
In the interests of fairness and justice, Respondent shall avoid public disclosure and discussion of the Complaint, the parties involved, and the issues under consideration. Breach of this requirement may result in summary imposition of discipline. The Respondent may contact persons with knowledge of the matter, who are potential witnesses, or who might otherwise have information relevant to allegations in a Complaint. Any alternative dispute resolutions shall be conducted solely between the parties without the involvement of the NEC or the AIA. The parties shall notify the NEC in the event of the resolution and the Complainant shall withdraw the Complaint via written notice.

Section 4.1.
In the event the Review Panel determines sufficient basis to proceed with a Complaint, the NEC Chair, or their designee, shall designate three (3) members of the NEC as Hearing Panel to hear the matter. Any member so designated will inform the Chair if there is any reason why he or she should not serve on the Hearing Panel, in which event the Chair shall designate a replacement member, if appropriate. In the event that a member of Hearing Panel cannot be designated from among the members of the NEC, the Chair, with the consent of the AIA President, may select other members of the AIA for special service. Former members of the NEC are chosen for this task, if feasible.

Challenges to NEC Member Participation as a Member of Hearing Panel: Either party may challenge, in writing, the participation of an NEC member in the consideration of a case. The only grounds for such a challenge are alleged bias, prejudice, or conflict of interest. The Chair’s rulings on such challenges are final, except as they may be raised on appeal to the Board of Directors where such an appeal is permitted. 

Section 4.2. 
All submissions by either party concerning the case must be copied to the other party. The parties shall not communicate with members of the NEC directly unless otherwise notified.

Section 4.3. 
The Hearing Panel shall issue instructions and make decisions for the fair and orderly presentation of evidence and conduct of a hearing. The Hearing Panel may dismiss a Complaint without hearing as follows:
    -    Because the Complainant has breached confidentiality; 
    -    If the Complainant fails repeatedly to respond to any requests made by the Hearing Panel; or
    -    If the Complainant acts in a manner calculated to disrupt or obstruct the proceedings. 

Section 4.4. 
The Hearing Panel may call a pre-hearing conference in order to refine the issues, or for any other purpose useful to a fair and expeditious disposition of the matter. The Hearing Panel, in consultation with the Complainant and the Respondent, sets a hearing time and date and, in its sole discretion, determines whether the hearing will take place virtually or in person.

Section 4.5. 
At a date set by the Hearing Panel no less than fifteen (15) days before the hearing, the Complainant and Respondent shall provide to the Hearing Panel and all other parties:
    -    Any amendments to the Complaint or Response, which the Hearing Panel may allow, so long as the other party is not prejudiced;
    -    A list of all witnesses the Complainant or Respondent may call at the hearing, together with a summary stating the substance of each witness’s testimony. Any witness omitted from this list or for whom no summary is provided will not be allowed to testify at the hearing;
    -    The name and contact information for legal counsel, if any;
    -    A copy of all documents or other tangible evidence to be introduced at the hearing. Exhibits attached to the Complaint or the Response need not be resubmitted. Any tangible evidence omitted cannot be introduced at the hearing unless good cause is shown for the omission and the other party is not substantially disadvantaged;
    -    Any agreements as to facts or issues entered into by the parties. The parties must make a good faith effort to agree on those facts and issues not in dispute between them; and
    -    A realistic estimate of the length of time it will take to present testimony and evidence.

Section 4.6. 
The parties and all attendees at a hearing will conduct themselves respectfully and civilly and adhere to the Hearing Panel’s directions and rulings. The Hearing format is listed in Appendix A. 

The Hearing Panel may dismiss a Complaint or recommend discipline against a Respondent for the violation charged without further proceedings if either party or such party’s legal counsel acts in a disruptive or obstructive manner.

Section 4.7. 
The parties may be accompanied by legal counsel of their choosing. The Hearing Panel will allow any person so designated to participate in the proceedings, and such lawyer’s representations are taken as representations of the party.

Section 4.8. 
The hearing is closed to all except the parties, their lawyer, and such persons as the Hearing Panel may allow in the interest of fairness to the parties or in the interest of AIA. Witnesses shall only be present during their own testimony and will be excused from the remainder of the hearing. During virtual hearings, witnesses shall not be in the physical conference room with the Complainant or Respondent during the course of the hearing outside of their testimony. It is the responsibility of the parties to ensure the availability of their own witnesses.

Section 4.9. 
The rules of evidence as they apply in judicial proceedings do not apply to NEC hearings. Generally, the Hearing Panel will accept all evidence that bears on the truth or falsity of a charge and give such evidence the weight it deserves. Evidence that is repetitive or irrelevant may be excluded. Each party shall be afforded the opportunity to question witnesses presented by the opposing party.

Section 4.10. 
The Complainant has the burden of proving the facts upon which a violation may be found. In the event the Complainant does not establish a violation through clear and convincing evidence, the Complaint will be dismissed.

Section 4.11. 
After the hearing, the Hearing Panel prepares a Report and Recommendation to the NEC, which summarizes the Hearing Panel’s recommendation as to the disposition of the case. The Report and Recommendation is made available to all parties, informing them of the process of consideration by the NEC.

Section 5.1. 
The entire Hearing Panel shall participate in the deliberation; however, a quorum for consideration of a case shall be no less than two (2) members. Any member of the NEC who served on a Hearing Panel in a case is recused from the remaining NEC members’ consideration of that case. Any member of the NEC who has a reason to withdraw from consideration of a case may inform the Chair and not participate further. A quorum of the remaining NEC for consideration of the Hearing Panel’s Report and Recommendation shall be no less than three (3) members.

Section 5.2. 
The Complainant and Respondent may each present written comments to the NEC before it considers and finalizes the Report and Recommendation. Written comments on the Report and Recommendation are due on a schedule set by the Chair.

Written comments must be brief and to the point, covering only:
    -    Subjects pertinent to the NEC’s role, as defined in this Section; or
    -    Rulings of the Hearing Panel that substantially prejudiced the disposition of the matter as to either party.
The parties are not permitted to submit new documentation or evidence. Any such inclusion will be removed prior to review by the NEC.

Section 5.3. 
The NEC considers only the Complaint, Response, Pre-hearing Submission Materials, and the Hearing Panel’s Report and Recommendation to determine if the facts as found have support in the evidence, and if, on the facts as supported by the evidence, a violation of the Code of Ethics and Professional Conduct has been established. The NEC may accept the Report and Recommendation of the Hearing Panel or return the case for rehearing. The NEC shall only return a case in the event of a misapplication of the Code or substantive due process deficiencies. Upon conclusion of its deliberation, the NEC will issue a written Final Decision.

The Decision is made available promptly to the parties. Any Decision imposing termination of membership is referred to the Board of Directors, which must approve it before it is final.

Section 5.4. 
If the Review Panel, the Hearing Panel, or the NEC dismisses a Complaint, a Respondent may request that the NEC provide individual notice to all persons that the Respondent, within reason, designates.

Section 5.5. 
If an appeal is permitted under these Rules, the NEC’s decision is not final until the time to file an appeal has passed or the decision is upheld on appeal.

Section 5.6. 
At no point shall the Complainant, Respondent, or the parties’ legal counsel (except as otherwise expressly provided in these Rules of Procedure) have any contact with any member of the NEC concerning the case.

Section 5.7. 
When the NEC determines a violation of the Code has occurred, it shall impose any of the following sanctions:
    -    Censure;
    -    Suspension of a member’s membership with the AIA for a period of time; or
    -    Termination of membership. 

In addition to the imposition of the sanctions above, may include:
    -    The violation be reported to the Jury of Fellows if the violator is nominated for Fellowship;
    -    The violation be reported to the pertinent jury or other decision-makers if the violator is under consideration for any other Institute honor or award;
    -    The violation be reported to the voting delegates or other deciding persons if the violator becomes a candidate for the Institute office, the Board of Directors, the Strategic Council, or any other position of responsibility;
    -    The violator be barred from appointment to committees, task forces, or other positions of responsibility within or on behalf of the AIA;
    -    The violator be barred from appearing as a speaker at any Institute event; and
    -    The violator shall not be the author or subject of a book, or any other material published by the AIA, either in print, online, or in any other medium.

Section 5.8. 
In cases where a member is found to have violated the Code by final action of the NEC or the Board of Directors, notice of such ruling shall be published by the Institute in a manner and place accessible to Institute members, constituents, and components, and notice provided to the individual’s state and local component.

Section 6.1. 
A Complainant may appeal the following actions to the NEC:
    -    Dismissal of a Complaint by the Review Panel; or
    -    Dismissal of a Complaint by a Hearing Panel without a hearing.
There is no other right or opportunity for Complainant to appeal from any decision or ruling of the Chair, Review Panel, Hearing Panel, or the NEC.

A Complainant may appeal by filing a Notice of Appeal within fifteen (15) days of receiving notification of the action appealed from. The Notice of Appeal may be sent electronically to ethics@aia.org. The Notice of Appeal may not exceed five (5) pages in length and should address the reasons for the action appealed from. 

Where a Respondent is entitled to receive a copy of the Notice of Appeal, the NEC shall notify and send Respondent the Notice of Appeal. Respondent will have fifteen (15) days to comment on a Notice of Appeal, which may be sent electronically to ethics@aia.org. Comments may not exceed five (5) pages in length. 

The NEC will not consider facts or evidence not available to the Chair, the Review Panel, and the Hearing Panel at the time the decision was made from which the appeal is taken.

Section 6.2. 
A Respondent found in violation of the Code by the NEC may appeal the NEC’s decision to the AIA’s Board of Directors. Such appeals are governed by Chapter 9 of the AIA’s Rules of the Board. Respondent will be provided a copy of the pertinent portions of the Rules of the Board and advised of Respondent’s right to appeal if found to be in violation of the Code of Ethics and Professional Conduct. The Complainant will be notified if there is an appeal filed.

All other actions by the Chair, Review Panel, or a Hearing Panel affecting the Respondent are subject to review by the NEC only in connection with the NEC’s consideration of a Report and Recommendation. There is no other right or opportunity to appeal from any decision or ruling of the Chair, the Hearing Panel, the NEC, or the AIA Board of Directors.

INTRODUCTION: HEARING PANEL/COUNSEL
    -    Welcome
    -    Describe order of proceedings
    -    Hearing exhibits: Counsel will mark previously submitted documents
    -    Submission of other documents as hearing exhibits
OPENING STATEMENTS
    -    Complainant’s opening statement (5 minutes)
    -    Respondent’s opening statement (5 minutes)
COMPLAINANT’S CASE
    -    Witnesses (including Complainant)
    -    Examination by Complainant
    -    Cross-examination by Respondent
    -    Examination by Hearing Panel and Counsel
    -    Re-examination and re-cross-examination, if appropriate
RESPONDENT’S CASE
    -    Witnesses (including Respondent)
    -    Examination by Respondent
    -    Cross-examination by Complainant
    -    Examination by Hearing Panel and Counsel
    -    Re-examination and re-cross-examination, if appropriate
CLOSING STATEMENTS
    -    Complainant’s closing statement (5 minutes)
    -    Respondent’s closing statement (5 minutes)
CONCLUDING REMARKS BY HEARING PANEL AND COUNSEL
    -    Process for Report and Recommendation and Decision by NEC
    -    Obtaining copy of hearing transcript and hearing exhibits
    -    Reminder of confidentiality
    -    Contact AIA staff with questions about the process