By: Christopher D. Ling, AIA, NCARB
Tel: 833-427-2487
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We all know attorneys are governed by the Rules of Professional Conduct in their proceedings. These rules ensure that all parties engaging with a legal professional can rely on a baseline of ethical behavior and competence. For example, the Texas Disciplinary Rules of Professional Conduct require diligence in representation. The Texas rule that underscores an attorney's obligation to be ethical and competent in their practice is Texas Disciplinary Rule of Professional Conduct 1.01, Competent and Diligent Representation and 1.01(b) states:
"In representing a client, a lawyer shall not: (1) neglect a legal matter entrusted to the lawyer; or (2) frequently fail to carry out completely the obligations that the lawyer owes to a client or clients."
This rule clearly requires attorneys to be attentive, thorough, and to fully discharge their responsibilities to a client. Likewise, other states have similar rules guiding attorney conduct.
Architects follow similar ethical rules, which, coupled with their inherent general understanding of the construction process, make them excellent candidates to serve as arbitrators in American Arbitration Association (AAA) proceedings, especially those involving construction disputes.
Experienced architects are by nature problem solvers with a deep, practical knowledge of building systems, design intent, and construction which may not be true of attorneys serving as arbitrators. This expertise means architects will likely take less time to understand the underlying construction dilemma at issue. This efficiency can translate to less financial outlay for the parties, as less time is spent on educating the arbitrator via expert testimony and detailed attorney explanations. More time can therefore be focused on a proper resolution of the client's issue.
The American Institute of Architects (AIA) provides a Code of Ethics and Professional Conduct that mandates the highest standards of professionalism and integrity for its members. This code includes canons and rules that align with the expectation of ethical behavior needed in a quasi-judicial role like an arbitrator.
A key rule under the AIA Code that demonstrates the required integrity is from Canon III, Obligations to the Profession. Rule 3.202, under the Canon of Obligations to the Client, dictates:
“When acting by agreement of the parties as the independent interpreter of building contract documents and the judge of contract performance, Members shall render decisions impartially.”
As an arbitrator, this ethical standard translates into a requirement to be an impartial, candid, and equitable decision-maker, comparable to the high standards expected of an attorney or judge.
Just as attorneys are regulated by state bar rules, architects are licensed and governed by state administrative codes that set mandatory standards for professional conduct. For example, the rules governing architects in Wisconsin include ethical requirements concerning professional practice. The Wis. Admin. Code A-E 8.05(1)(a) (Conflicts of interest) states:
"[An architect] ... [s]hall avoid conflicts of interest. If an unavoidable conflict of interest arises, the credential holder shall immediately inform the client or employer of all the circumstances which may interfere with or impair the credential holder's obligation to provide professional services. Under these circumstances a credential holder may not proceed to provide professional services without the full approval and consent of the client or employer."
An architect's ethical mandate to seek full approval and consent from all parties before proceeding with a potential conflict assures that their specialized knowledge can be leveraged in arbitration without sacrificing the necessary actual and appearance of neutrality.
By adhering to rigorous ethical codes and bringing invaluable, specialized knowledge to the table, architects are not only suitable but often superior candidates for construction arbitration, promising a more efficient and technically sound resolution for complex construction disputes.
The conduct of the professional architect is further guided by the National Council of Architectural Registration Boards (NCARB), an organization that serves as another layer of accountability beyond state laws. NCARB is a non-profit federation composed of the architectural licensing boards of the 55 U.S. states and territories.
While individual jurisdictions such as the states issue licenses, NCARB develops national standards for education, examination, and experience, and centrally manages disciplinary records, which facilitates the crucial portability (reciprocity) of an architect’s license between states. Furthermore, NCARB publishes Model Rules of Conduct that licensing boards can adopt, reinforcing the architect's fundamental duty to the public.
For an architect acting as an arbitrator, the guiding principle of honesty and integrity is paramount, as codified in the Model Rules of Conduct, which states:
"An architect shall not engage in conduct involving fraud, deceit, or misrepresentation in the conduct of his or her professional practice."
This rule ensures that the architect, in their capacity as an arbiter, maintains the highest ethical standard, guaranteeing that all proceedings and decisions are based on truth and objectivity, thereby upholding the public's trust in the profession's commitment to fair and impartial judgment.
Attorneys are often seen to be ideal candidates for proceedings such as formal arbitration because their conduct is guided by professional rules of conduct dealing with ethics. What many may not realize is that the same is also true of architects and coupled with the architect’s understanding of design and construction may make them especially suitable to hear and resolve one's arbitration claim.
To read more by Christopher D. Ling, AIA, purchase a copy of his book The Architect's Standard of Care on Amazon.com.
Christopher D. Ling, IA, NCARB, PP, LEED AP, is a Forensic Architect with extensive experience in construction litigation, risk management, and architectural design. He specializes in analyzing and resolving complex construction disputes, having written reports for over 1,000 cases involving $1 billion in claims. He has testified in mediations, arbitrations, and federal court cases. He has an ability to distill and communicate intricate design and construction issues clearly has been instrumental in mediation, arbitration, and court proceedings. He has a hands-on approach to conducting physical inspections, preparing expert reports, and analyzing construction claims, which further solidifies my qualifications.
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4/30/2025· Architecture
Embracing Best Practices in Local Construction
By: Christopher D. Ling, AIA, NCARB
This piece delves into the essence of best practices, elucidating how local contractors' skills, experiences, and comfort zones significantly influence the success of a project. It underscores the importance of architects being attuned to the local trade practices to ensure project success for the owner.
