AIA Nebraska Annual Leadership Retreat Friday, November 21, 2014, 8:30 am – 2:30 pm

Strategic Air and Space Museum 28210 West Park Highway, Ashland, Nebraska

SCHEDULE

8:30 – 9:00 AM Continental Breakfast 9:00 AM Welcome | Todd Hesson, AIA, President Elect

1) Introduction of Facilitator, Craig Park, FSMPS, Assoc. AIA a) Self-Introductions and Icebreaker

b) Preview of Agenda

9:30 AM Board Leadership-Info you need to know 1) Todd Hesson – AIA Nebraska Code of Ethics, Role of Board of Directors

& Committee Chairs

2) Sara Kay & Emily Wilcox – Membership Stats, AIA Refresher, & Policies

3) Ross Miller & Emily Wilcox – Repositioning, Public Awareness Plan,

Digital Strategy 10:00 AM Introduction to the SOAR Strategic Planning Framework 10:30 AM Break 10:45 AM Strategic Planning Discussion | Craig Park 12:00 PM Working Lunch – Sponsored by AIA Nebraska 2015 Plans | Chapter Presidents & Committee Chairs

1) Evaluate Current Plan 2) Develop 2015 Plan

a) Identify 3 strategic, measurable, and attainable goals

b) Develop tactics, time limit, and accountability

2:00 PM Debrief | Review 2014 Successes & 2015 Plans | Chapter Presidents 2:30 PM Conclusion/Adjourn | Todd Hesson

Retreat Facilitator

Craig Park, FSMPS, Assoc. AIA T H E S E X T A N T G R O U P , I N C . p: 402.932.6121 x341 m: 402.609.6131 CPark@TheSextantGroup.com With over 35 years in the building industry, Craig Park is an award-winning and nationally-recognized thought leader on technology applications in the built environment, as well as strategic marketing and business development for professional service firms. Craig is a Principal with national independent technology consultants, The Sextant Group, and leads their Midwest

practice in Omaha. Prior to joining The Sextant Group, Craig served as Chief Marketing Officer for two national architectural/engineering firms and as Vice President of Strategic Development for both a Fortune 500 audio systems manufacturer and a Silicon Valley technology company. Craig has served on the Boards of Directors of the Society for Marketing Professional Services (SMPS), InfoComm International, and the Architectural Foundation of Los Angeles. He will be serving on the AIA Omaha Board of Directors as the Associate Director beginning in 2015. Craig is an SMPS Fellow, Distinguished Life Member, and recipient of the national 2007 Weld Coxe Marketing Achievement Award and the San Francisco/Bay Area Chapter’s 2004 William B. Hankinson Memorial Award for Lifetime Achievement. Craig has been an associate member of the AIA since 1988. A prolific author and speaker, Craig has been published in more than 200 articles and presented over 80 programs to AIA, ACEC, IIDA, IACC, and SMPS, among many others, on issues of strategic marketing, management, and technology. Craig is the author of The Architecture of Value: Building Your Professional Practice (Aquilan Press, 2011) and The Architecture of Image: Branding Your Professional Practice (Aquilan Press, 2013). He was also a contributing author to the 2nd and 3rd editions of SMPS’ Marketing Handbook for Design and Construction Professionals (BNi, 2009) and AEC Business Development – The Decade Ahead (SMPS Foundation, 2013). Craig is a graduate of California Polytechnic State University, San Luis Obispo, where he received a B.S. in Architecture. He completed post-graduate certification programs in Microprocessor Technology at New York University and in Leadership at the Advanced Management Institute in San Francisco.

AIA Nebraska Code of Ethics - Board of Directors and Committee Chairs

Rationale: Principles and practices of the AIA Nebraska Board of Directors and Committee

Chairs to provide guidance and direction for effective governance.

Code: Members of the Board of Directors are committed to observing and promoting the highest

standards of ethical conduct in the performance of their responsibilities on the board of AIA

Nebraska. Board members pledge to accept this code as a minimum guideline for ethical

conduct and shall:

Accountability

1. Faithfully abide by the articles of incorporation, bylaws and policies of the organization.

2. Exercise reasonable care, good faith and due diligence in governing and managing

affairs. (Principles of Duty of Care, Loyalty and Obedience.)

3. Fully disclose, at the earliest opportunity, information that may result in a perceived or

actual conflict of interest.

4. Fully disclose, at the earliest opportunity, information of fact that would have significance

in board decision-making.

5. Remain accountable for prudent fiscal management to association members, the board,

and nonprofit sector, and where applicable, to government and funding bodies.

Personal Gain – Self-Dealing

1. Maintain a professional level of courtesy, respect, and objectivity in all matters and

activities.

2. Strive to uphold those practices and assist other members of the board in upholding the

highest standards of conduct.

3. Exercise the powers invested for the good of all members of the organization rather than

for personal benefit.

Equal Opportunity – Diversity - Inclusivity

1. Ensure the right of all members to access benefits and services without discrimination on

the basis of the organization’s volunteer or staff make-up in respect to gender, sexual

orientation, national origin, race, religion, age, political affiliation, or disability, in

accordance with all applicable legal and regulatory requirements.

Confidential Information

1. Respect the confidentiality of sensitive information known to board service and used for

the purposes of governance and management.

Collaboration and Cooperation

1. Respect the diversity of opinions as expressed or acted upon by the organization board,

committees and membership, and formally register dissent as appropriate.

2. Promote collaboration, cooperation, and partnership among association members.

Professional Excellence - Integrity

Approved (Date)_______________________Signature:________________________

Board Roles and Goals – Bob Harris, CAE 6

Roles and Responsibilities

Board members accept the responsibilities for guiding and governing the organization. Their role is significantly different from that of administrative staff. In recent years, there is more scrutiny on boards of directors to make sure they are fulfilling duties.

Membership

The AIA delivers value to its members through advocacy, information, and community. 80% of architects in Nebraska are members- 439 Architect Members 548 licensed Architects. As a member of the Board of Directors it is important to:

• Establish a relationship with a perspective member in a phone or personal conversation. Invite them to attend an AIA sponsored event as your guest.

• Be able to explain the organization’s structure, goals, and mission.

• Understand AIA Continuing Education requirements: 18 LU/annual (12 out of the 18 must

be HSW) Nebraska requirements: 24 LU/biennial (16 must be HSW)

• Stay current on issues and trends impacting the organization and the profession.

• Articulate at least (3) benefits of being a member.

• Protect against measures to undermine the profession. Assist with any issue relating to licensure of the profession at the local, state and federal levels.

• Sponsor continuing education experiences to help architects maintain their licensure.

• Help members connect with each other through countless networking opportunities.

• Provide knowledge through publications and web-based resources.

• A resource for the emerging professional to become licensed.

• Understand Membership dues for a new member:

Prorated dues are located on AIA Nebraska’s website: aiane.org.

AIA Membership Associate AIA Membership National State Local Total National State Local Total Lincoln $256 $223 $55 $534 Lincoln $110 $66 $44 $220 Omaha $256 $223 $72 $551 Omaha $110 $66 $57 $233 Western $256 $223 $45 $524 Western $110 $66 $45 $221

Professional Affiliate Membership $230.00 for each Individual Professional Affiliate Membership $500.00 for each Firm Professional Affiliate Membership

Membership Statistics As of November 11, 2014 AIA Nebraska has 567 AIA members and 90 Affiliate members

AIA FAIA Assoc. AIA

Total Members

AIA Nebraska 428 11 128 567 AIA Omaha 280 5 77 362 AIA Lincoln 121 6 41 168 AIA Western 27 0 10 37

There have been 19 new members in 2014.

AIA 5 New Graduates 3 Associate AIA 11

2014 Renewals 2013 Renewals Total Members (Without Emeritus) Total Members (Without Emeritus)

Local

Chapter Billed Renewed % Renewed Local

Chapter Billed Renewed % Renewed NELN 158 150 95% NELN 160 147 92% NEOM 329 315 96% NEOM 327 305 93% NEWS 34 29 85% NEWS 29 28 97% Total 521 494 94.8% Total 516 480 93.0%

AIA Nebraska Territories

AIA National Regions

Central States Region: Iowa, Kansas, Missouri, Nebraska, Oklahoma

Central States Region Mission:

To formulate and promote plans for Regional activities, fellowship and understanding to strengthen the bonds of membership within the Council; To serve as advisors to the Region’s Directors of the Institute to strengthen the Council’s position with the Board of Directors and the Institute; And to uphold and further the issues and objectives of The American Institute of Architects.

Central States Directors:

Wendy Ornelas, FAIA - wornelas@ksu.edu

Christopher Ball, AIA - cball@jbapc.com

The Central States Region of the American Institute of Architects requires each of its components to pay an annual assessment to for the year. The current assessment is $5.00 for AIA members and $2.00 for Associate AIA Members.

Communication

AIA Nebraska uses website, e-mail, and social media outlets to communicate with our members and those of the design community. Facebook: The AIA Nebraska Facebook Page currently has 370 Likes. Twitter: The AIA Nebraska Twitter Page currently has 1689 followers and is following 12 organizations. LinkedIn: AIA Nebraska’s LinkedIn group has 187 members. To join any of these groups, visit our website www.aiane.org AIA Nebraska’s Email statistics: AIA Nebraska Update is e-mailed out to over 657 AIA Members and AIA Affiliates each week

Advertising Opportunities E-Newsletter Advertising For $25.00/week your company name and a link to your website will be on the AIA Nebraska Update e-newsletter. This newsletter is e-mailed to over 650 AIA Nebraska Architects, Affiliates and related industry groups. For $250.00/ week your company can be a sponsor of our weekly Nebraska Update e-newsletter. We can place two ads into the newsletter, which means your company and services will be notably displayed. Contact Emily at AIA Nebraska to check dates of availability and size requirements for advertisements. Website Advertising For $100.00/year your company name and a link to your website will be listed on the AIA Nebraska Website as a friend of AIA Nebraska. The AIA Nebraska website receives on average 274 visits per day. AIA Nebraska members only! For $500/month your company can be a website sponsor on the AIA Nebraska homepage. With 274 visits per day, you can't go wrong with this investment! Labels Affiliate Members and Non-Members can purchase Labels from the AIA Nebraska office, but the labels have to be used for education purposes. A copy of the actual mailing must be submitted to AIA Nebraska before any labels will be sent.

ALL AIA NE MEMBER LIST $100.00 Member Price $250.00 Non-Member Price

CHAPTER LISTS $55.00 Member Price $75.00 Non-Member Price

ALL OTHER LISTS ARE CHARGED AT .50/EA LABEL Contact Emily at AIA Nebraska to check dates of availability and size requirements for advertisements. If you have any questions or have any ideas for advertising you can e-mail Emily Wilcox at emily@aiane.org.

Quick Refresher Mission: To serve as the voice of the architecture profession and the resource for our members in service to society. This Society is a nonprofit membership corporation duly incorporated in the State of Nebraska on the 17th day of February, 1956, under and by virtue of the provisions of the Nebraska Nonprofit Corporation Act, and is a successor to the Nebraska Chapter, The American Institute of Architects, an unincorporated association duly chartered by the Institute on the 15th day of April, 1919. Antitrust Compliance It is the practice of the American Institute of Architects and its members to comply strictly with all laws, including federal and state antitrust laws that apply to AIA operations and activities.

The AIA has a long history of requiring that its members adhere to the highest ethical standards. The Code of Ethics and Professional Conduct requires members of the American Institute of Architects be dedicated to the highest standards of professionalism, integrity, and competence. This Code states guidelines for the conduct of members in fulfilling those obligations. The Code is arranged in three tiers of statements: Canons, Ethical Standards, and Rules of Conduct.

AIA Nebraska is a 501 (c) (6). IRS Definition: Defines a business league as an association of persons having a common business interest, whose purpose is to promote the common business interest and not to engage in a regular business of a kind ordinarily carried on for profit. Its activities are directed to the improvement of business conditions of one or more lines of business rather than the performance of particular services for individual persons. Tax Information: As a 501(c) organization AIA is exempted from federal taxes. Where does your chapter fit?

• Less than $25,000 are not required to file a Form 990 or a 990-EZ, Short Form with the IRS.

• More than $25,000 but less than $100,000, and total assets of less than $250,000 at end of year, the local needs to file a 990-EZ, Short Form with the IRS.

• More than $100,000 per year the local is required to file a Form 990. Membership Dues for a 501(c)(6) are tax deductible as business expenses, however any percentage of these used for political activities (like lobbying) is not tax deductible. The organization must report what percentage of these "dues" is not deductible.

501(c)(6) organizations may engage in limited political activities that inform, educate, and promote their given interest. They may not engage in direct expenditures advocating a vote for a political candidate or cause. Donations to 501(c)(6) organizations are not required to be disclosed.

AIA Nebraska PAC – Under the Nebraska Political Accountability and Disclosure Act, a committee is an entity whose function is to receive contributions and/or make expenditures for the purpose of influencing or attempting to influence the action of the voters for or against the nomination or election of one or more candidates or the qualification, passage, or defeat of one or more ballot questions. Donations are not tax deductible.

The Architectural Foundation of Nebraska is a 501 (c) (3). IRS Definition: Federal tax eexemptions apply to corporations, and any community chest, fund, or foundation, organized and operated exclusively for religious, charitable, scientific, testing for public safety, literary, or educational purposes, or to foster national or international amateur sports competition, or for the prevention of cruelty to children or animals. Another provision, 26 U.S.C. § 170, provides a deduction, for federal income tax purposes, for some donors who make charitable contributions to most types of 501(c)(3) organizations, among others.

Following Institute Policy

A component's bylaws determine its formal organization. Most components model their organizational structure after the Institute's. This section offers guidelines that a component may adapt for its own use. Articles of Incorporation AIA policy strongly recommends that all AIA components (except sections that do not have mandatory membership) be incorporated. Newly chartered components have three years to comply with the standards. The articles of incorporation of a component establish its name and legal existence as an independent corporate body. By approving the articles, the state grants corporate status to the organization under the applicable nonprofit corporation law. The articles of incorporation contain the basic information required by the state's corporation law, including the name of the organization, its purposes, legal address, and the names of the initial incorporators. If a component is not an incorporated entity, its legal status is similar to a partnership where all members are partners. Institute Charter A component's charter, issued by the Institute, identifies the organization as a component of the AIA, dates its formation, and establishes its name and territory. If a component is incorporated, the information in its charter will duplicate some information in its articles of incorporation. If changes occur that relate to the charter, such as in the name of the component, the articles of incorporation should be amended accordingly. If a component is not incorporated, the Institute charter will establish the component's existence. Bylaws Bylaws, which are rules of internal organization and governance, are required by the Institute as well as by state corporation law. They constitute a component's most important governing document. While the articles of incorporation delineate an agreement between a component and the state, and the Institute charter outlines an agreement between a component and the AIA, the bylaws represent an agreement between the component and its members as to how it will operate.

Bylaws typically include the following elements, as explained in the model bylaw guidelines for AIA components:

• Organization, composition, and general powers (including the name, objects, and territory of the component)

• Membership (including Institute-assigned members, Associates, and the Allied and Affiliate membership categories established by the component)

• The component's representation in the Institute, state, and regional components • Meetings and elections • The board of directors and/or executive committee • Officers and their duties • Dues, fees, and assessments • Property and finances • Committees and commissions • Affiliations

A component's bylaws, generally the responsibility of the secretary, should be reviewed every three years. The assistance of legal counsel in drafting or revising bylaws may be required, in order to be certain that they conform to any requirements of state law. In addition, component bylaws must conform with the AIA Bylaws and Rules of the Board. When a component is initially chartered, and when amendments are made to the component bylaws or to the Institute Bylaws that may require changes in the component bylaws, the component must submit its bylaws to the Institute for review. They should be sent to the AIA component affairs department, where they will be reviewed for conformity to the AIA Bylaws. The bylaws or amendments become effective upon approval by the Institute Secretary. The AIA publishes "Model Bylaw Guidelines for AIA Components," which can make the bylaws preparation and revision process relatively simple. Copies of these model Bylaws are available from the General Counsel's office. The major areas that a component must decide for itself are:

• The component's meeting format • The composition of the component board or executive committee and its powers • The number and duties of officers • The dues structure • The committee structure

Dues Although the AIA Bylaws prohibit a component from charging an admission or application fee for assigned members, the AIA does not specify what a component's dues structure should be; this is left to the component to determine. Many components provide in their bylaws that dues must be determined by the membership; others grant authority for the board to set dues. Wide variations exist in the dues amounts different components charge and how they are applied. In some components, dues include meals at meetings, while others issue separate assessments. Nonpayment of dues or other obligations owed to a component can result in termination of AIA membership. A component should recognize, however, that termination can be effected only by the national organization. The Central Database permits the component and National to maintain consistent membership records and resolve any discrepancies promptly.

The issue of section dues also should be noted. The AIA Rules of the Board allow sections to levy dues with the permission of the parent chapter. While section membership is usually voluntary, and members are not assigned to sections by the AIA, section membership can be mandatory in a section of a statewide chapter if the section board petitions for it and the parent chapter approves. The AIA will terminate membership for nonpayment of section dues only if section membership has been made mandatory. Use of AIA Symbol The Institute symbol may be used in the same manner as the seal and may also be used by Architect members and their firms on their letterheads, business cards, signs, brochures, and other business materials related to their practice, provided that the majority of financial ownership in a professional architectural firm is held by registered architects, and all the registered architect principals are AIA members. No other use of the symbol may be made without specific approval by the Executive Committee. Use of AIA Name and Initials The following guidelines must be followed by individuals, components, and firms when using the Institute's name or initials. Individuals Persons falling within the categories listed below may print or otherwise use the name or initials as stated in the Bylaws and Model Bylaws. No other forms or abbreviations are permitted. Architect Members

• Member of The American Institute of Architects • Member of (assigned chapter or organization), The American Institute of Architects • AIA

Associates

• Associate Member of The American Institute of Architects • Associate AIA • Assoc. AIA

Members Who Are Fellows

• Fellow, The American Institute of Architects • FAIA

Honorary Fellows

• Honorary Fellow, The American Institute of Architects • Hon. FAIA

Honorary Members

• Honorary Member, The American Institute of Architects • Hon. AIA • Honorary (Affiliate), or (Associate) of the _______________ Chapter, The American

Institute of Architects Member Emeritus

• (AIA) or (FAIA), Member Emeritus

Affiliate Members and Student Affiliates

• Affiliate Members may describe themselves as, “ Member of the AIA ___________ Chapter of the American Institute of Architects”

Components

• Components must use the phrase "The American Institute of Architects" in their name. • Components must clarify in their actions, affiliations, publicity, or program that the action,

affiliation, etc., is that of the component and not of the Institute. Components are responsible for ensuring that those who repeat or print the information cite the component organization and not just The American Institute of Architects.

Firms When the majority of financial ownership in a professional architectural firm is held by registered architects, and all the registered architect principals are AIA members, that firm may use the phrase, “Members of The American Institute of Architects” in its public listings. Sponsorship, Endorsements, and Approval The Institute's position on sponsorship, endorsements, and approval of projects, publications, and similar efforts by other organizations or individuals is summarized below. Action by the component's board or executive committee may be required for sponsorship, endorsement, or approval. Components are responsible for ensuring that any list of sponsors identifies the component and not simply the "AIA" without reference to the local or state organization.

Sponsorship and Co-sponsorship

• Refers to involvement in a financial, administrative, or advisory capacity • Requires involvement in the initial planning or development stages of an activity • Permits the use of the Institute's symbol when requested or appropriate • Is usually restricted to universities, governmental agencies, non-profit organizations, and

similar groups • Shall not be accorded to programs or materials produced by an individual or an organization

for the sole purpose of making a profit Endorsement

• Refers to involvement in an activity without financial participation • Requires that the activity must be completed, or the plan and draft form must be submitted

for review for technical proficiency and compliance with established policy • Permits the use of the Institute's symbol when requested and appropriate

Approval

• Refers to involvement in an activity either in the planning or completed stages • Is used to commend projects, programs, materials, or educational activities to the general

public or to the profession in order to induce acceptance • Can be granted only when plans, proposals, or publications are submitted for review • Does not permit the use of the Institute's symbol

AIA Public Policies A discussion and directory of AIA public policies is contained in the Government Affairs section of the AIA National website. Formation of Chapters and Sections The formation of new chapters and sections is governed by Institute Bylaws and policies of the Board and approved by the Secretary. Members wishing to form a new chapter should:

• Submit the required petition to the Institute (with the signatures of at least 10 members in good standing, no more than three of whom may be associate members, the president of the parent chapter, and the regional director)

• Submit bylaws • Submit a projected budget for the first year's operations • Establish a calendar year based on the national AIA's • Submit annual evaluation reports and meet minimum mandatory standards after the third

year of operations • Adhere to the Performance Criteria of the AIA as set forth by AIA National.

Additional requirements apply in the case of proposed component whose territory is outside the United States. Contact the Component affairs department for more information. Code of Ethics and Professional Conduct The current Code of Ethics and Professional Conduct of the Institute became effective January 1, 1987, and have been amended since then. A copy of the current Code is posted on www.aia.org. Whenever the Code is amended, the new language is distributed in AIArchitect All members in all classes of membership are required by the AIA Bylaws to conform their conduct to the standards set forth in the Code. Components should assist members and prospective members in knowing their obligation to comply with the Code. The Code is organized in three tiers. In the first tier are the five Canons, which are broad statements of principle on members' general obligations and their obligations to clients, the profession, colleagues, and the public. Under each canon are one or more ethical standards (E.S.). These are more specific goals to which members should aspire. Finally, the Rules of Conduct (R.) are mandatory and violations may be the basis for discipline. The Code is interpreted and enforced by the National Ethics Council (NEC). No individual member, officer, director, or component has authority to interpret the Code or impose discipline for violations. To request hard copies of the Code of Ethics, the Rules of Procedure, and the NEC's Decisions and Advisory Opinions, please contact the Office of the General Counsel, 202- 626-7311. For general questions regarding the process for filing a complaint, you may e-mail us at ethics@aia.org. Selection of Delegates to the National Convention Each component's Bylaws should define the manner in which that component selects its delegates to the annual business meeting of the Institute, held during the national convention. Forty days prior to the business meeting, the Secretary will send to each component a notice of the number of

delegates to which that component is entitled. Also included in this mailing are copies of all Bylaws amendments or resolutions to be voted upon by the delegates, and biographies of the candidates for national office. Submitting a Resolution to the Annual Business Meeting Resolutions to be voted upon by delegates to the Annual Business Meeting may be sponsored by one or more of the following:

• a Regional Director • the Associate Director • a state or regional organization • a local component, provided it is also co-sponsored by the Regional Director or state or

regional organization of which the component is a member the Board of • Directors • any AIA officer • the American Institute of Architecture Students • a minimum of 50 members of the Institute

Individual chapters without co-sponsorship who wish to support a resolution that has an eligible sponsor as listed above may be listed as endorsers. The AIA Rules of Procedure define the process for submitting a resolution to delegates from the floor at the business meeting, and for making any changes to a printed business item. This information is reprinted at Appendix III in this section.

Introduction The American Institute of Architects and its members are committed to full compliance with all laws and regulations, and to maintaining the highest ethical standards in the way we conduct our operations and activities. Our commitment includes strict compliance with federal and state antitrust laws, which are designed to protect this country’s free competitive economy. Responsibility for Antitrust Compliance Compliance with the antitrust laws is a serious business. Antitrust violations may result in heavy fines for corporations, and in fines and even imprisonment for individuals. While the General Counsel provides guidance on antitrust matters, you bear the ultimate responsibility for assuring that your actions and the actions of any of those under your direction comply with the antitrust laws. Antitrust Guidelines In all operations and activities of the Institute, you must avoid any discussions or conduct that might violate the antitrust laws or even raise an appearance of impropriety. The following guidelines will help you do that: • Do not have discussions with other

members or competitors about any of the following subjects (unless you’ve first consulted legal counsel):

o your prices for products or services, or prices charged by your competitors

o costs, discounts, terms of sale, profit margins or anything else that might affect those prices

o allocating markets, customers, territories or products with your competitors

o limiting production o whether or not to deal with any

other business o any competitively sensitive

information concerning your own business or a competitor’s.

• Do not stay at a meeting, or any other gathering, if those kinds of discussions are taking place.

• Do not discuss any other sensitive antitrust subjects (such as price discrimination, reciprocal dealing, or exclusive dealing agreements) without first consulting counsel.

• Do not create any documents, e-mail or other records that might be misinterpreted to suggest that the Institute condones or is involved in anticompetitive behavior.

• Do consult counsel about any documents or activities that touch on sensitive antitrust subjects such as pricing, market allocations, refusals to deal with any business, and the like.

• Do consult with counsel on any non-routine correspondence that requests one of the Institute’s members to participate in projects or programs, submit data for such activities, or otherwise join other members in the Institute’s actions.

• Do use an agenda and take accurate minutes at every meeting. Have counsel review the agenda and minutes before they are put into final form and circulated.

We’re Here to Help Whenever you have any question about whether particular Institute activities might raise antitrust or other problems, don’t hesitate to contact us.

The American Institute of Architects General Counsel’s Office

September 2002

THE AMERICAN INSTITUTE OF ARCHITECTS ANTITRUST COMPLIANCE GUIDELINES

AIA Nebraska Whistleblower Policy

General: AIA Nebraska Code of Ethics and Conduct requires directors, officers and employees to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. As employees and representatives of AIA Nebraska, we must practice honesty and integrity in fulfilling our responsibilities and comply with all applicable laws and regulations. Reporting Responsibility: It is the responsibility of all directors, officers and employees to comply with the Code and to report violations or suspected violations in accordance with this Whistleblower Policy. No Retaliation: No director, officer or employee who in good faith reports a violation of the Code shall suffer harassment, retaliation or adverse employment consequence. An employee who retaliates against someone who has reported a violation in good faith is subject to discipline up to and including termination of employment. This Whistleblower Policy is intended to encourage and enable employees and others to raise serious concerns within AIA Nebraska prior to seeking resolution outside of AIA Nebraska. Reporting Violations: The Code addresses AIA Nebraska’s open door policy and suggests that directors, officers and employees share their questions, concerns, suggestions or complaints with someone who can address them properly. In most cases, an employee’s direct report/manager is in the best position to address an area of concern. Directors and managers are required to report suspected violations of the Code of Conduct to the AIA Nebraska Compliance Officer, who has specific and exclusive responsibility to investigate all reported violations. For suspected fraud, or when you are not satisfied or uncomfortable with following AIA Nebraska’s open door policy, individuals should contact AIA Nebraska’s Executive Director or the Compliance Officer. Compliance Officer: AIA Nebraska’s Compliance Officer is responsible for investigating and resolving all reported complaints and allegations concerning violations of the Code and, at their discretion, shall advise the finance committee. The Compliance Officer has direct access to the finance committee of the board of directors and is required to report to the finance committee at least annually on compliance activity. AIA Nebraska’s Compliance Officer is the immediate Past-President of AIA Nebraska. Should the Past-President be involved in the issue in question, the Secretary shall act as the back-up compliance officer. Accounting and Auditing Matters: The finance committee of the board of directors shall address all reported concerns of complaints regarding corporate accounting practices, internal controls or auditing. The Compliance Officer shall immediately notify the finance committee of any such complaint and work with the committee until the matter is resolved.

Acting in Good Faith: Anyone filing a complaint concerning a violation or suspected violations of the Code must be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation of the Code. Any allegations that prove not to be substantiated and which prove to have been made maliciously or knowingly to be false will be viewed as a serious disciplinary offense. Confidentiality: Violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation. Handling of Reported Violations: The Compliance Officer will notify the sender and acknowledge receipt of the reported violation or suspected violation within five business days. All reports will be promptly investigated and appropriate corrective action will be taken if warranted by the investigation.

INTERNAL POLICY FOR TRAVEL REIMBURSEMENT FOR PRES/PRES ELECTS

LOCAL CHAPTERS & STATE COMPONENT

GRASSROOTS AIA Nebraska pays for the following expenditures:

• Registration, Hotel for up to (4) nights, Coach Airfare, Mileage to Airport, Parking & up to $50/day per diem for meals (receipts must accompany.)

• In order to receive reimbursement for the above expenditures, attendance at the following

mandatory meetings/events is required:

• The Central States Business Meeting • Legislative Day at the Capitol • Institute Open House

NATIONAL CONVENTION AIA Nebraska pays for the following expenditures:

• Registration, Hotel for up to (4) nights, Coach Airfare, Mileage to Airport, Parking & up to $50/day per diem for meals (receipts must accompany.)

In order to receive reimbursement for the above expenditures, attendance at the following mandatory meetings/events is required:

• The Central States Business Meeting • AIA National Candidate Speeches • AIA National Caucuses • Candidate voting or proxy vote • AIA National Business Meeting

All requests for reimbursement with receipts must be submitted within 45 days of event. Mileage is reimbursed at the government mileage rate. Rental cars are not allowed unless the cost of the rental is equal to or less than alternative transportation.

Communications Policy Statement This policy statement provides guidance concerning who is authorized to make public statements on behalf of or as a representative of the American Institute of Architects Nebraska Chapter and the manner in which such public statements should be handled. It also provides guidance as to the distribution of documents or other information from AIA Nebraska by its members.

To best represent the views of AIA Nebraska, a process has been established through which positions of the Association are developed in a representative, deliberative and thoughtful manner. In respect of this process and to be fair to those members who participate in it, communication of the matters decided should be done in a way which is consistent with and faithful to the agreed upon results. Therefore, any communication of policies or positions of AIA Nebraska to the public or any governmental body, by persons speaking on behalf of or as a representative of the Association, is expected to be the official AIA Nebraska policy or position.

Representatives of or those communicating on behalf of AIA Nebraska should not make public statements that differ from positions or policies, which have been established by AIA Nebraska unless those statements are clearly disassociated from AIA Nebraska. Such differing personal statements should be made in a way that the audience to whom they are targeted easily recognizes that they are the personal views of the member and not the official position of AIA Nebraska.

This policy statement is not intended to limit or preclude individual members from expressing their individual views nor to preclude normal and routine correspondence or other communication between the Board of Directors, Executive Committee, committees and task forces, local components, staff and members of AIA Nebraska.

Guidance as to the communication and distribution of policies and positions of the Association:

I. Board of Directors and Executive Committee

a. Members of the Board of Directors and Executive Committee should understand that, by virtue of their role in the organization, they will generally be perceived by the public to be representing the AIA making public statements concerning AIA matters and should govern themselves accordingly.

b. The Board of Directors, as a body, may direct the distribution of documents and information or make statements on behalf of the AIA at any time.

c. The Executive Committee, or its designee, may make or authorize a statement on behalf of the AIA when critical timing or other conditions make it impractical to await action by the Board of Directors. Such statements should only be made when it is felt that it will be in the best interests of the profession and that there is a very high probability that it will be ratified by subsequent action of the Board.

d. The Executive Committee may release documents or other information in the possession of the AIA as it, or its designee, determines will further the goals and objectives.

e. The president of AIA Nebraska, and the executive director of AIA Nebraska are the official spokespeople of the American Institute of Architects, Nebraska Chapter.

II. American Institute of Architects, Nebraska Chapter Committees and Task Forces

a. Chairpersons of AIA Nebraska committees and task forces may speak on behalf of the Association only with respect to policies or matters which have been authorized by the Board of Directors or Executive Committee.

b. AIA Nebraska committees and task forces may issue statements to the public, governmental bodies or other professional organizations as authorized by the Board of Directors or Executive Committee.

c. Written statements which express the policies, opinions or official positions of AIA Nebraska or a committee of the AIA should be issued on official letterhead.

III. Local Components

a. Local Components and their committees should coordinate with AIA staff before any statements are made to the public, governmental bodies or other professional organizations concerning matters affecting the profession in Nebraska as a whole. Communication of matters relating to the dissemination of general information to the public in connection with the established chapter programs and in general routine matters does not require such coordination so long as the communication is consistent with the policies and procedures of the Association.

IV. Members and Staff

a. From time to time, members with specific expertise may be called upon by staff to respond to media inquiries regarding design, styles, concepts, projects, etc. These members should explicitly advise that any opinions expressed are personal and are not the expression AIA Nebraska’s policy or position.

AIA Nebraska Record Retention Policy

AIA Nebraska recognizes that due to the Sarbanes-Oxley Act it is essential for nonprofit organizations to have a written, mandatory document retention and periodic destruction policy in an attempt to prevent accidental or innocent destruction. All employees of AIA Nebraska and AIA Nebraska local chapter Board of Directors will be provided a copy of the policy and will be required to comply with the length of time records should be retained. The following table provides the policies minimum requirements that must be adhered to: (this list maybe modified to include additional documents as necessary). Although the document destruction policy pertains to documents in their hard copy format, it is highly encouraged that, when possible, electronic copies of all records and documents are maintained. Board of Directors Minutes ....................................................................................... Permanent Other Minutes (such as committees) .............................................................................. 4 years Bylaws/Articles of Incorporation (including previous versions) ................................. Permanent Continuing Education Records CE submission/reporting forms ................................................................................. 6 years Event/Program Files Registration Forms ..................................................................................................... 1 year Event/Planning records ............................................................................................. 4 years Registration List ........................................................................................................ 4 years Sponsorship List ....................................................................................................... 4 years Promotional Literature ............................................................................................... 4 years Award History (recipient list) ..................................................................................... Permanent Applications .............................................................................................................. 1 year Insurance Policies (expired) ........................................................................................... 6 years Insurance records..................................................................................................... Permanent Routine Correspondence ............................................................................................... 4 years Contractual Correspondence (expired) .......................................................................... 4 years Employee personnel records (after termination) ............................................................ 4 years Financial Records................................................... As required by IRS (Not less than 4 years) IRS Determination Letter .................................................................................... Permanent Bank Reconciliations ................................................................................................. 4 years Tax Returns ........................................................................................................ Permanent AP/AR Records (deposit records, AP) ...................................................................... 7 years Annual Financial Statements .............................................................................. Permanent Printed Literature (up to 5 samples) ............................................................................... 4 years

By When Responsible PersonStrategies

Strategic Planning FrameworkGoal/Objective:

Status

AIA Nebraska 2014 Goals

• Continue to increase public awareness. o Contact all Nebraska components for AFN- Commitment to Architecture Distinguished

Award recommendations. (Partnering with Architectural Foundation of Nebraska- Larry Jacobsen, AIA)

o Design a PR Campaign increasing awareness of design profession. (Possible partnership with UNL- Bob Ripley, AIA)

o Create an Architects in Action program; generating ways to be involved within the industry and communities.

Bob Ripley, AIA & Sara Kay, Hon. AIA

• Firm Roundtables during Annual Conference o Discuss Emerging Professionals involvement; focusing on mentoring. o Communicate governmental issues and importance of AIA Nebraska’s PAC o Consider QBS and Delivery Systems Lowell Berg, AIA & a committee will be established

• Continue Repositioning involvement and progress Roger Doehling, AIA

• Increase and continue UNL‐ College of Architecture involvement, support, influence and

participation. o Identify a P.A.C representative

AIA Lincoln Goals – 2014

Attendees: Richard Burton, Cleve Reeves, Matt Glawatz, Michael Sinclair, Nate Krug, Fred Zarate, Kate

Hier, Andy (WildMan) Widman and Ron Larson

Smart Objectives:

- Strategic

- Measurable

- Actionable

- Relevant

- Time Bound

2014 Goals:

- Community: How do we engage it?

o Redefine what it is to provide meaningful Programs for Members and Non-

Members

Tour Opportunities

Project/Construction Tours

Local Architecture tours for the public

2014 Architectural Home Tours

EP Gathering Opportunities/Socials

Promote casual gatherings that become routine events

What programs should we be providing?

Do we continue to use vendors or do we create our own programs?

“Munch and Learn”?

Round-Table discussions?

Can we get sponsors for these programs?

Do we still provide free lunches or do Members pay individually?

What really motivates participation?

o Free Lunch?

o CEUs?

Opportunity to work with “First Friday”?

o Opportunity to open up to the Public.

Membership Only Programs – Membership Benefit

Coordinate a College of Architecture program to the membership

about the current changes affecting the College/Program?

- Membership: How do we activate it?

o Task Forces

o Committee Involvement

o Board Involvement

Application process for open board positions? – Communications

Committee

o Board Reports at Membership Meeting/Lunches?

o Emerging Professional Membership Goals:

Activate EP Membership in Community

Merge EP Programs and Freedom by Design?

Engage EP involvement on a Regional Level

Send an EP with Arch School Teams to Regional Design

Events/Comps

NCARB Grant up to $75,000 for merging education and the

profession within programs

Competitions/Involvement for EP and Community

Sketch Competition was successful, other opportunities?

o Drink and Draw

o Separate events for students and EPs?

o Outreach to other design professions?

Free-Form Fridays? – First Fridays

- Practice:

o Revolving Mentoring Program

Rotates between firms?

AIAS Mentorship Program

Current Mentorship Program has some scheduling problems

How do we improve upon the current situation?

One person for one month from a firm?

o Smaller professional commitment

o Broader benefit to student?

Two-tier system?

o EP’s and Professionals mentor Graduate Students

o Graduate Students then mentor Undergrad Students

Student engagement with Profession beginning in 2nd year instead

of 3rd now at College of Arch.

o Supporting ARE study Sessions

Video Recording of Study Sessions

Study materials – non copy write – made available to members

Purchase copies of materials to lend to membership. Legal issues?

Creating additional Membership benefit/incentive

- Communication:

o Building the Website – 2013 Goal Accomplished

More Events on Website – Calendar – All Art/Design related events

New Imagery - “Keep it Fresh”

Continue to Promote through email/communication/etc.

Can we establish lunch meeting signup - RSVP

Send out “Calendar Events”

Subscribe option?

o Effectively Communicating Events and Programs to Membership

o Public Relations

Focus on being Proactive not Reactive on Issues concerning Membership

Increase communication with membership involved throughout community

to stay ahead of the curve when potential issues arise.

Remain neutral to “design” but focus on “process”

o Engage local government to discuss local projects and issues.

- Goals Overview:

o Engage Membership

o Retool Programs Offered

o Becoming a Resource for Emerging Professionals

o Continue to Promote Communication: Re-establish Connections

o Build Upon “Public Awareness” Goals

o Home Tours

Next Steps – produce a plan:

- Draft a list of strengths, opportunities, aspiration and results that frame your components

strategic plan.

- Create a minimum of three smart objectives that support your goals for your members, non

members, students, your firms and your communities.

- Assign responsibility to a board and or committee members to implement the strategic plan.

- Implement the plan. See it through.

2014 AIA Omaha Goals

Establish value to AIA OMAHA Members: - Education (EATS 1-8), Speaker, Tours - Building Tours (3) - Support establishment of Nebraska BEC.

High School Design Competition:

- Assist RDG with current schools - Reach out to former MOBA schools - Establish scholarships

Public Outreach:

- Public Identity - daOMA, RestoreOmaha - Jobsite Signs: “Project Designed by an AIA Omaha Firm” - Website to Showcase AIA Firm Projects - Develop Disaster Relief Task Force - Support Kaneko Architecture Camp

Omaha Strategic Planning Mtg:

- September 2014

Engage City Hall: - Membership meeting w/ Mayor - Membership meeting w/ Planning Department

Repositioning:

- Continue to participate in National AIA repositioning efforts.

AIA Western Nebraska 2014 Goals

• Continue Spring Conference. o Increase east chapters’ participation.

• Create social media opportunities.

o LinkedIn, Facebook, Twitter

• Engage with the Architectural Foundation of Nebraska. o Educate members about what the foundation does.

• Look for opportunities to collaborate with AIA Lincoln & AIA Omaha.

• Promote community involvement with design firms and students within each community.