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This is the first in a four-part series on this blog addressing sealing and signing of instruments of service by design professionals, comprised of: (a) Part 1 – Definition and Purpose of Seals; (b) Part 2 – Electronic Seals and Signatures; (c) Part 3 – Statutory Requirements Concerning Sealing and Signing of Documents; and (d) Part 4 – Practical Considerations Concerning Sealing and Signing.
Perhaps the most obvious means for an architect, engineer, or other licensed design professional to indicate that they were in responsible charge of preparing a certain document is the application of their seal and signature. Application of seals and signatures to documents that comprise the design professional’s “instruments of service” is typically mandated by laws and regulations governing the design professions in the United States and Canada. Indeed, issues concerning the use of seals and signatures are common matters in malpractice cases brought before licensing boards. This series of articles addresses common sealing and signing requirements in the United States.
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Terms such as, “’[architect] [engineer] of record” and “’[architect] [engineer] -in-responsible-control” are typically construed as having the same meaning as, “’[architect] [engineer] -in-responsible-charge”. In many organizations, the terms are used interchangeably for a given design discipline. For convenience and uniformity, the term “responsible charge” is used in this article. Also, in this article, laws, rules, and regulations are referenced as either “laws and regulations” or “statutory requirements”. Furthermore, the term “instruments of service” means the collection of documents, drawings, specifications, calculations, and other tangible materials produced by design professionals during the various stages of a project. (Source: Understanding Instruments of Service (aiacontracts.com))
Purpose of Seals and Signatures
Seals applied to a design professional’s instruments of service are necessary to indicate the licensed individual who served in responsible charge of the associated document. (See: “Responsible Charge: An Essential Concept for Design Professionals”, previously published on this writer’s blog.) The licensee’s signature is typically added on, partially on, or immediately adjacent to the seal as a means of further communicating that the licensee, and no one else, applied the seal and signature. Indicating the licensee who served in responsible charge is essential for several reasons including:
- Assuring the design professional’s client, authorities having jurisdiction, and the general public that the person in responsible charge was appropriately licensed and registered, in accordance with laws and regulations.
- Indicating accountability for the associated professional services.
- Reducing the potential for individuals, not properly licensed and registered, to perform design professional services without serving under the responsible charge of a duly licensed individual.
Sealing and Signing the Work of Others
On occasion, especially in cases when the original licensee serving in responsible charge is no longer available, another licensee may be asked to seal and sign instruments of service for which they were not properly in responsible charge. Such individuals are commonly referred to as “successor engineer”, successor architect”, or other, generally similar terms. Such a person needs to assume responsible charge for either the entire project or a designated portion of it. When a licensed design professional assumes responsible charge as a “successor engineer”, “successor architect”, or successor in another design profession, additional requirements may apply before that person may serve in responsible charge of an ongoing project. For advice on this topic, see the article by David L. Pond, PE, in The North Carolina Bulletin, April 2012/Spring Issue. Laws or regulations governing the subject design profession in the jurisdiction where a given project is located may have specific requirements governing the proper designation of a successor design professional. For example, in New York State, Section 29.3.a.3.i of Part 29 ("Unprofessional Conduct") of the Rules of the Board of Regents, which pertains to architects, engineers, and other design professionals licensed by the state, addresses the matter as follows:
“a licensee who signs and seals documents not prepared by the licensee or by an employee under the licensee's direct supervision shall prepare, and retain for a period of not less than six years, a thorough written evaluation of the professional services represented by the documents, including but not limited to drawings, specifications, reports, design calculations and references to applicable codes and standards. Such written evaluation shall clearly identify the project and the documents to which it relates, the source of the documents and the name of the person or organization for which the written evaluation was conducted, the date of the evaluation, and the seal and signature of the licensee shall also be affixed thereto; …”
Types of Seals Required
Throughout this article, the term “seal” is generally used. However, a metal seal is a device that provides a raised, embossed imprint on paper. In contrast, a stamp is a facsimile of the seal, often made of Indian rubber, attached to a wooden backing with a post-type handle. Stamps are inked and applied to paper or other reproducible materials such as vellum, mylar, and others. In modern practice, stamps are likely more common for design professionals than are raised (metal) seals, although laws or regulations in some states may expressly require one or the other. For example, Section 37.58 of Title 49, Chapter 37 of the Pennsylvania Code, addressing the State Registration Board For Professional Engineers, Land Surveyors, and Geologists, requires:
“(a) A registrant shall obtain, at the registrant’s own expense, a seal in the identical design authorized by the Board…
“(d) A registrant may use a metal seal, rubber stamp, computer image which is a facsimile of the seal or digital seal if the registrant first obtains a seal in accordance with this section.”
However, Section 9.141. (a) of Title 49, Chapter 9 of the Pennsylvania Code, addressing the State Architects Licensure Board, allows registered architects the discretion of obtaining and using either a metal seal or rubber stamp.
In New York State, Section 7209 (relative to professional engineering, geology, and land surveying) and Section 7307 (relative to architecture) of the State Education Law require only a “stamp” applied to the design professional’s instruments of service.
Statutory Requirements for Obtaining Seals
To practice one of the design professions and serve in responsible charge, an individual must be licensed, registered, have appropriate professional liability insurance, and acquire the appropriate seal or stamp, as applicable.
The National Council of Architectural Registration Boards (NCARB) publishes model statutory language governing the practice of architecture in the United States. NCARB Model Laws and Regulations state in part:
“Section 401. Seal
“1) Every Architect shall have a seal of an image authorized by the Board. The seal may be electronic. It is the responsibility of the Architect to provide adequate security over the use of the Architect’s seal.
Section R401.0 of NCARB’s Model Regulations states in part:
“R401.0 Design and Use of Architect's Seal
“1) Pursuant to Section 401 of the Act and subject to R501(C), each Architect must procure a seal, which shall contain the Architect’s first and last name, the Architect’s License number, and the words “LICENSED ARCHITECT— [NAME OF JURISDICTION].” This seal must comply in all respects, including size and format, with the seal shown below: [INSERT SPECIMEN SEAL IMPRINT.]
Similarly, the National Council of Examiners for Engineering and Surveying (NCEES) publishes suggested language for state and territorial laws and regulations governing the practice of professional engineering and land surveying in the United States. NCEES’s Model Law (revised September 2021) Section 110.20 includes the following definition: “K. Seal—The term “Seal,” as used in this Act, shall mean a symbol, image, or list of information.” Section 140.10 of NCEES’s Model Law further states, in part:
“D. Upon licensure, each licensee may obtain a seal. A licensee’s seal shall contain the following:
“1. Jurisdiction of licensure
“2. Licensee’s name
“3. License number
“4. The words “professional engineer” [and discipline]…”
Required Content and Layout of Seals
Whether of metal or a rubber stamp, design professional’s seals are typically required to be 1.75 inches in diameter (although certain types of seals in some jurisdictions may be smaller) and, as indicated in the NCARB and NCEES model language, above, indicate the type of license, the licensee’s full name as it appears on their license and registration, and their license or registration number (as applicable). Each state’s licensing board may mandate a certain design or graphic to be included within the seal. For example, design professional seals in New York State feature the New York Excelsior logo, while professional engineers’ seals in Pennsylvania feature a keystone, which is the symbol of Pennsylvania, and registered architects’ seals in Pennsylvania feature a column topped by a lamp, with other iconography. Presented below are selected examples from other jurisdictions:
Obtaining Seals
Upon securing licensure, each individual is responsible for obtaining their own metal seal, rubber stamp, or other means of applying their seal to instruments of service. Some years ago, seals could be acquired only through a limited number of retailers, often requiring several weeks to obtain. In the modern era, however, acquiring an architect’s, professional engineer’s, professional geologist’s, or other type of design professional’s seal is much easier and faster through online vendors. In August 2024, a brief online search revealed at least five different sellers of metal seals and rubber stamps for design professionals. Often, suppliers with an online presence can prepare and issue the metal seal or rubber stamp within a day or two, with the order delivered typically within a matter of days. Prices are usually reasonable, given that most design professionals need to purchase a metal seal or rubber stamp only once for each state where they are licensed. In August 2024, prices were: typical rubber stamp: $17 to $38; self-inking stamp: $25 to $43; desk top metal embosser: $40 to $53; and pocket metal embosser: $34 to $43. Other variations may be available, such as “long-reach” metal embossers, depending on the vendor. Variations in physical quality and robustness may potentially explain the range of costs among the various suppliers. Some suppliers also offer “digital stamps”, which are really only a digital image file of the seal, available in various formats, including “.jpg”, “.png”, “.pdf”, “.tif”, “.dwg”, and possibly others; such images typically cost approximately $10 to $15 each, although almost anyone with a rubber stamp and ink pad can easily create their own digital image of their seal.
Security
Upon obtaining their physical or digital seal, licensed design professionals should properly secure them, prohibiting access by non-authorized personnel. While it may be tempting for some busy licensees to keep their seal(s) in an unlocked desk drawer, perhaps so that a trusted subordinate can access them when so ordered, even when the licensee is unavailable, such temptation should be resisted. Because using a designed professional seal is an essential representation of licensure and an assertion that the individual properly served in responsible charge of the sealed document, seals should be properly secured and not accessible by anyone other than the licensee. Failure to properly secure seals creates potential for misuse, with serious risk to both the licensee and the unauthorized person improperly accessing the seal. For additional information on this topic, see: “Licensing Boards: Entities That Govern the Design Professions, Part 4 – Enforcement, previously published on this writer’s blog.
Conclusions
Design professionals’ seals and signatures are the principal means by which an architect, engineer, geologist, or other licensed design professional asserts their status as having served in responsible charge of the preparation of the associated document. Laws and regulations governing the design professions in every jurisdiction of the United States require the design professional serving in responsible charge to obtain a seal of the appropriate design and affix such seal, together with the licensee’s signature (and possibly other information, such as the date of sealing and signing), to the associated document. Seals are available in various forms, including embossed metal seals, inked stamps, and electronic seals. Licensees should properly secure and safeguard their seals.
Forthcoming articles in this series will include Part 2 – Electronic Seals and Signatures; Part 3 – Statutory Requirements Concerning Sealing and Signing of Documents; and Part 4 – Practical Considerations Concerning Sealing and Signing.
Original text Copyright 2024 by Kevin O’Beirne
The content of this blog post is by the author alone and should not be attributed to any other individual or entity.
The author of this blog post is not an attorney and nothing in this blog post constitutes legal advice. Readers in need of legal advice should consult with a qualified, experienced attorney.
Kevin O’Beirne, PE, FCSI, CCS, CCCA is a professional engineer licensed in NY and PA with over 35 years of experience designing and constructing water and wastewater infrastructure for public and private clients. He is the engineering specifications manager for a global engineering and architecture design firm. He has been a member of various CSI national committees and is the certification chair of CSI’s Buffalo-Western New York Chapter. He is an ACEC voting delegate in the Engineers Joint Contract Documents Committee (EJCDC) and lives and works in the Buffalo NY area. Kevin O’Beirne’s LinkedIn page.