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Professional Practice for Architecture - Seal and Signature

Disclaimer: Law, rules and regulations, not Guidelines, specify the requirements for practice and violating them constitutes professional misconduct. Not adhering to this Guideline may be interpreted as professional misconduct only if the conduct also violates pertinent law, rules and regulations.

A. Seal and Signature

  1. Meaning of the Seal and Signature

    The seal and signature of an architect on a document indicates that a licensee is responsible for the work and has been interpreted as an attestation that, to the best of the licensee’s belief and information, the work represented in the document:

    • is accurate, and
    • conforms with governing laws, regulations, and codes applicable at the time of submission, and
    • conforms with reasonable standards of practice and with a view towards the protection of the health, safety and welfare of the public.

  2. Application of the Seal and Signature

    Section 7307 of the Education Law requires every architect to have a seal and identifies when it must be applied. It does not specify the type of seal to be used, with an embossing seal, rubber stamp or electronic version all being acceptable to the State Education Department (the Department) and the State Board for Architecture (State Board).

    Section 7307 also identifies when an architect is required to sign and seal documents. In general, all working drawings and specifications, reports, or other architectural documents required to be signed and sealed, prepared by the architect and relating to the application of the art, science, and aesthetics of design and construction of buildings and groups of buildings including their components and appurtenances and the spaces around them, or under the supervision of such architect, shall be stamped with such seal and signed on the original with the personal signature of the architect when filed with public officials. In addition, Commissioner’s Regulations Section 69.5 requires that whenever a document is signed and sealed, a stamp is required with appropriate wording warning that it is a violation of this law for any person to alter any document that bears the seal of an architect, unless the person is acting under the direction of a licensed architect. For information on changing documents signed and sealed by an architect, refer to Practice Guideline A.4.

    For all documents that are required to be sealed, the required image that satisfies the provisions of Education Law Section 7307 and the Commissioner’s Regulations Section 69.5 must be visible and must clearly and legibly show the architect’s name and license number. The documents are to be signed by the architect whose name appears on the seal in such a manner that neither the name nor the number appearing on the seal is obscured in any way.

    The requirements of the seal to be used in the State of New York is described in the Commissioner’s Regulations Section 69.5. For those that are licensed on or after January 1, 1987, seals used by licensed architects shall be circular in shape, approximately 1 3/4 inches in diameter, bearing the legend at the top of the outer band "Registered Architect" and at the bottom "State of New York". In the inner circle, the licensee’s name is placed above the Great Seal of New York and the license number, with no other letters or numbers, is placed below the Great Seal.

  3. Electronic Seal and Signature (E-Signature)

    New York allows the use of an electronic signature with the same validity and effect as the use of a signature affixed by hand. An electronic signature is an electronically generated identifier that is unique to the person using it. The Electronic Signature and Records Act (ESRA) defines what constitutes an electronic signature in New York and describes its specific uses and limitations.

    There is currently nothing in State Education Law that would prohibit the use of electronic seals or signatures by architects. An architect’s electronic seal and signature may only be applied to documents by the architect or with their direct authorization or supervision. The acceptance of electronic signatures by both public and private entities is voluntary. A state or local municipality is not required to accept electronic signatures and may have specific requirements regarding signing and sealing of working drawings and specifications. The State Board for Architecture suggests that all licensees check with the particular municipality or Agency who has the responsibility for review and approval of such documents.

    ESRA does not define a specific protocol to perform electronic signatures. It does describe the security level and performance requirements associated with the exchange and validation process. Therefore, before an electronic signature is transmitted, an agreement between both parties is required to permit a valid exchange of electronic information in a compatible manner.

    The New York State Office of Technology Services has been designated by ESRA as the electronic facilitator responsible for promulgating rules and regulations for programs authorized by ESRA. Additional information related to ESRA may be found at https://its.ny.gov/electronic-signatures-and-records-act-esra

  4. Alterations to Working Drawings and Specifications

    As described in Practice Guideline A.2, all working drawings and specifications to which the seal of an architect has been applied must also be stamped with appropriate wording warning that it is a violation of the law for any person to alter a document in any way, unless acting under the direction of a licensed architect. If a document bearing the seal of an architect is altered, the altering licensed architect shall affix to the document their seal and the notation "altered by" followed by their signature and the date of such alteration, and a specific description of the alteration.

  5. Sealing and Signing of Work Prepared by Others

    There may be situations that arise where an architect, after reviewing the work, is asked to sign and seal architectural work prepared by others. Such situations where sealing and signing of work by others might be considered appropriate would include, but not be limited to:

    • Documents prepared by an owner where the proposed project is to be built for the owner, not for a third party, and
    • Documents prepared by or procured from an incapacitated or deceased practitioner.
     

    Unprofessional conduct in all professions regulated by the Board of Regents is addressed in the Rules of the Board of Regents Section 29.1. Unprofessional conduct within the design professions of architecture, landscape architecture, engineering, land surveying and geology is addressed in Section 29.3. Paragraph 29.3(a)(3) specifically addresses the sealing and signing of work prepared by others and states that it is unprofessional conduct for a design professional to certify "by affixing the licensee's signature and seal to documents for which the professional services have not been performed by, or thoroughly reviewed by, the licensee; or failing to prepare and retain a written evaluation of the professional services represented by such documents in accordance with the" requirements specified in Paragraph 29.3(a)(3).

    However, Paragraph 29.3(a)(3) also states that “nothing in this paragraph shall be construed as authorizing the practice of a design profession in this State by persons other than those authorized to practice pursuant to the provisions of Article 145, 147 or 148 of the Education Law”.

    Essentially, sealing and signing of work by others should not be misconstrued as allowing non-licensees to practice the profession of architecture.

    In those instances where an unauthorized individual or firm may have rendered or offered to render architectural services in this state to a client, and a New York architect subsequently becomes aware of the fact, such architect should report the incident to the Department so that an investigation may be conducted. Pursuant to Paragraph 29.3(a)(1), practitioners should be aware that being associated in a professional capacity with a project or practice known by the licensee to be fraudulent or dishonest in character may be grounds for professional misconduct in New York.

    Paragraph 29.3(a)(3) requires that when a licensee reviews work prepared by others, a thorough written evaluation of the work must be prepared and retained by the licensee for a period of not less than six years. This report shall include and address:

    • A thorough written evaluation of working drawings and specifications; reports; design calculations and references to applicable codes and standards against which the work was checked.
    • The name of the project; owner of the project and/or the client; the preparer and source of the documents; date of evaluation; documents reviewed and listing of dates of issue.
    • Conformance with applicable codes and laws including, but not limited to: building, state, town, city, federal, and zoning codes and laws; appropriate professional standards within the profession.
     

    In signing and sealing work prepared by others, the licensee may correct, alter, or add to the existing documents or prepare additional documents to address inappropriate or missing items. When the documents meet the appropriate standards, they may then be sealed and signed by the licensee. A licensee who seals and signs the documents is seen as accepting all responsibility for the work as though the licensee had personally prepared all documents.

    Paragraph 29.3(a)(4) states that it is also unprofessional conduct if a licensee fails "to maintain for at least six years all preliminary and final plans, documents, computations, records and professional evaluations prepared by the licensee, or the licensee's employees, relating to the work to which the licensee has affixed his seal and signature".

    When the scope of review is limited to individual aspects of the work, the licensee should indicate this by noting such on the sealed and signed working drawings or specifications. Refer to Practice Guideline A.4 for additional guidance.

    Nothing prevents the public officials to whom the documents are being submitted from requesting a copy of the written evaluation of the architect.

  6. When an Architect Might “Pull” or Remove the Seal

    Situations may arise when an architect, having signed and sealed working drawings and specifications for a project and having submitted them to the local authority having jurisdiction, may wish to "pull" or remove the seal in an attempt to either disassociate himself/herself from the project or to delay the progress of the project.

    As is stated in Practice Guideline A.1, the seal and signature on documents may be viewed as an attestation to the accuracy and appropriateness of the work represented therein making the architect responsible for the work shown.

    Attempting to withdraw a signature or seal from already completed and submitted working drawings and specifications is a serious matter. In many ways the seal of a design professional on documents can be compared to giving expert testimony in a court of law under oath. One might change testimony if one had made a mistake earlier, but should not for payment disputes, to delay the progress of the project, or for some other disagreement developed with the parties involved.

    If circumstances justify an architect having to “pull” or remove the seal, the licensee should contact the local authority to which the documents had been submitted and request that they be returned. Again, this might be warranted if the licensee determines that there was the possibility of an error in the documents or that they did not reflect appropriate or correct architectural work. Another possible justification for the request might be if the client has put the project "on hold" for an indefinite period, and the site conditions or laws, regulations, or building code have changed, resulting in obsolete or inaccurate documents.

Citations of Pertinent Law, Rules or Regulations:

  • Education Law, Section 6509 – “Definitions of professional misconduct”
  • Education Law, Section 6512 – “Unauthorized practice a crime”
  • Education Law, Section 7301 – “Definition of practice of architecture”
  • Education Law, Section 7302 – “Practice of architecture and use of title ‘architect’”
  • Education Law, Section 7307 – “Special provisions”
  • Regents Rules, Section 29.1 – “General provisions.”
  • Regents Rules, Section 29.3 – “General provisions for design professions.”
  • Commissioner’s Regulation, Section 69.5– “Seals.”