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This is the third 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.
It is not always clear to everyone employed in the design professions exactly what types of instruments of service and other documents should be sealed and signed, and when. Laws and regulations governing the design professions for a given jurisdiction address such matters and should always be complied with. Statutory requirements concerning this matter can and do vary from state to state. Thus, it is incumbent on each individual licensee to understand and comply with the applicable laws and regulations. This article addresses common requirements in the United States concerning when, and for which documents, sealing, and signing are necessary.
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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))
Model Laws and Regulations
The National Council of Architectural Registration Boards (NCARB) publishes model statutory language governing the practice of architecture in the United States. Section 401 of NCARB Model Laws and Regulations states in part:
“2) All Technical Submissions prepared under the Responsible Control of the Architect required by public authorities having jurisdiction for Building permits or regulatory approvals shall be sealed and signed by the Architect. By sealing a Technical Submission, the Architect represents that the Architect was in Responsible Control over the content of such Technical Submissions during its preparation and has applied the required professional standard of care.
“3) The public authorities having jurisdiction and charged with the administration and enforcement of adopted codes shall accept or approve Technical Submissions involving the Practice of Architecture only if the Technical Submissions have been sealed as required by this Act. A Building permit issued for a Technical Submission that does not conform with the requirements of this Act shall be invalid.”
Section R401.0 of NCARB’s Model Regulations states in part:
“R401.0 Design and Use of Architect's Seal…
“2) As required by Section 401 of the Act, the seal must appear on all Technical Submissions prepared under the Responsible Control of the Architect, including, but not limited to, each drawing sheet and the specifications cover. Such seal and signature may be electronic.”
Section R401 of NCARB’s Model Regulations further indicates the types of documents that must be sealed and signed and restricts the licensee from sealing and signing instruments of service not prepared under their responsible charge.
Section 401 of NCARB’s Model Laws and Regulations requires the architect to seal and sign “All Technical Submissions… required by public authorities having jurisdiction for Building permits or regulatory approvals”. Section R401 includes similar language and further clarifies that documents to be sealed and signed include, “each drawing sheet and the specifications cover”. NCARB’s Model Laws and Regulations do not, however, require that drawings and specifications issued for bidding/procurement and construction be sealed and signed. Of course, authorities having jurisdiction, such as the applicable building code official, will require that the drawings and specifications used for construction be consistent with those submitted as part of the associated permit application, and such officials may even insist that drawings and specifications used in construction also be sealed and signed. In this writer’s experience, drawings and specifications issued for bidding/procurement and construction are typically sealed and signed. Laws and regulations governing the practice of the design professions in many jurisdictions vary somewhat from NCARB’s Model Laws and Regulations and may expressly require sealing and signing for bidding/procurement or construction, in addition to when such documents are submitted to obtain required permits.
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. Section 240.20 of NCEES’s Model Rules (revised August 2022) states, in part:
“240.20 Seal on Documents
“A. The seal and signature of the licensee and the date of signing shall be placed on all final engineering specifications, reports, drawings, plans, design information, and calculations or surveys, reports, plats, drawings, plans, and calculations whenever presented to a client or any public agency to certify that the work thereon was done by the licensee or under the responsible charge of the licensee. Working drawings or preliminary documents are not required to have a seal and signature if the working drawing or preliminary document contains a statement in large bold letters to the effect “PRELIMINARY, NOT FOR CONSTRUCTION, RECORDING PURPOSES, OR IMPLEMENTATION.”
“B. The seal and signature shall be placed on all original copy, tracings, or other reproducible documents so that the seal and signature will be reproduced when copies are made.
“C. When the document contains more than one sheet, the first or title page shall be sealed and signed by the licensee who was in responsible charge. Two or more licensees may affix their signatures and seals provided that a note under the seal designates the specific subject matter for which each is responsible. In addition, each sheet shall be sealed and signed by the licensee or licensees responsible for that sheet. When a firm performs the work, each sheet shall be sealed and signed by the licensee or licensees who were in responsible charge of that sheet…”
Section 240.20.A of NCEES’s Model Rules requires that professional engineers seal and sign their instruments of service, “whenever presented to a client or any public agency”, except that “working documents” (likely referring to preliminary submittals not yet ready for permitting and construction) need not be sealed and signed so long as they are properly indicated as “not for construction” or similar, appropriate language. Thus, NCEES’s Model Rules appear to require a somewhat greater extent of sealing and signing compared with NCARB’s Model Laws and Regulations, which require sealing and signing only when “All Technical Submissions… required by public authorities having jurisdiction for Building permits or regulatory approvals” are furnished.
Section 240.20 of NCEES’s Model Rules also includes, in its Subparagraphs D through G, requirements restricting professional engineers and land surveyors from sealing and signing instruments of service not prepared under their responsible charge.
General Considerations
Statutory requirements concerning what documents must be sealed and signed, and when sealing and signing is required, may vary by jurisdiction. In this writer’s experience, design professionals most often seal and sign instruments of service submitted to authorities having jurisdiction, those used for bidding/procurement, and those used for construction. Typically, all are often the same set of documents, however, some potential exists that there may be some variation between sets of documents prepared for each of these different purposes.
Even when applicable laws and regulations do not expressly require that drawings and specifications used for construction be sealed and signed, it may be difficult to envision a local building inspector, or other representative of an authority having jurisdiction, visiting the construction site for an inspection, requesting to see the drawings and specifications, and not reacting somewhat adversely upon finding the drawings and specifications lacking the design professional’s seal and signature. Therefore, even when not expressly required by laws and regulations, it is typically appropriate to seal and sign drawings and specifications used for bidding/procurement and construction.
Some examples illustrate the differences between jurisdictions in the United States:
Example 1 – New York
Paragraph 1 of Section 7209 of the New York State Education Law, relative to professional engineering, land surveying, and professional geology, requires, “All plans, specifications, plats and reports relating to the construction or alteration of buildings or structures, or geologic drawings and reports prepared by such professional engineer… or by a full-time or part-time subordinate under his or her supervision, shall be stamped with such seal and shall also be signed, on the original with the personal signature of such professional engineer…when filed with public officials.”
Interestingly, the statute quoted in part, above, does not require sealing and signing of engineering calculations.
Similarly, Paragraph 1 of Section 7307 of the New York State Education Law, relative to architecture, requires, “All working drawings and specifications, prepared by such architect or by a full-time or part-time subordinate employed under his supervision, shall be stamped with such seal and shall also be signed on the original with the personal signature of such architect when filed with public officials.” Although the meaning of, “when filed with public officials” may not be as clear as desired, it most likely refers to submittals for applications for permits and approvals required for construction, although it may also indicate that sealing and signing is required for drawings, specifications, and reports constituting the practice of architecture, engineering, or geology when delivered to a public client.
Example 2 – Pennsylvania
Section 37.1 of Title 49, Chapter 37 of the Pennsylvania Code, addressing the State Registration Board for Professional Engineers, Land Surveyors and Geologists, defines documents that require sealing and signing as follows:
“Documents—Specifications, land surveys, reports, plats, drawings, plans, design information, and calculations.”
Furthermore, Section 37.59 of the same statute states in part:
“(2) When a registrant issues final or complete documents to a client for the client’s records, or when a registrant submits final or complete documents to public or governmental agencies for final review, the seal and signature of the registrant who prepared or who directed and controlled the preparation of the documents, along with the date of issuance, shall be prominently displayed on the first page of all documents. The seal on the first page of a final or complete document shall be impressed, stamped or digital. Facsimile or digital seals shall appear on all subsequent pages of plans or plats.
“(3) When multiple registrants prepare or direct and control the preparation of documents, each registrant’s seal and signature shall appear on the first page of the documents, or on the first page of the identifiable portion or section of the documents, which were prepared or directed and controlled by that registrant, if the respective registrants’ direction and control can be reasonably segregated.”
Section 9.140 of Title 49, Chapter 9 of the Pennsylvania Code, pertaining to the State Architects Licensure Board, defines the types of documents requiring sealing and signing as follows:
“Architectural documents—Drawings, specifications, and other design documents.”
Section 9.141 of the same statute includes language virtually identical to Section 37.59, pertaining to engineering, land surveying, and geology, with the notable exception that Section 37.59 requires a seal and signature on each drawing or plat, whereas Section 9.141, relative to architecture, requires: “Facsimile or digital seals shall appear on all subsequent pages of architectural documents.” It is unclear whether this literally requires an architect’s seal, without a signature, to appear on each page of specifications, reports, or other technical submittals.
Example 3 – California
In California, Section 6735 of the Professional Engineers Act (Business and Professions Code §§ 6700 – 6799), Effective January 1, 2023, Chapter 7 - Professional Engineers, presents relatively clear language concerning the documents that must be sealed and signed, and when sealing and signing is required. It states in part:
“(a) All civil (including structural and geotechnical) engineering plans, calculations, specifications, and reports (hereinafter referred to as "documents") shall be prepared by, or under the responsible charge of, a licensed civil engineer and shall include his or her name and license number. Interim documents shall include a notation as to the intended purpose of the document, such as "preliminary," "not for construction," "for plan check only," or "for review only." All civil engineering plans and specifications that are permitted or that are to be released for construction shall bear the signature and seal or stamp of the licensee and the date of signing and sealing or stamping. All final civil engineering calculations and reports shall bear the signature and seal or stamp of the licensee, and the date of signing and sealing or stamping. If civil engineering plans are required to be signed and sealed or stamped and have multiple sheets, the signature, seal or stamp, and date of signing and sealing or stamping, shall appear on each sheet of the plans. If civil engineering specifications, calculations, and reports are required to be signed and sealed or stamped and have multiple pages, the signature, seal or stamp, and date of signing and sealing or stamping shall appear at a minimum on the title sheet, cover sheet, or signature sheet.”
Similar requirements apply to other engineering disciplines in California. In summary, in California, all the engineer’s instruments of service must bear the name and license number of the individual serving in responsible charge, regardless of whether such documents are considered “final” or for permitting and construction. Interim documents, such as drafts, preliminary documents, work-in-progress documents, or building department review documents, need not be sealed or signed, but must expressly indicate they are preliminary or not for construction. Professional engineers are required to seal, sign, and date drawings and specifications required for permitting and construction, and final calculations and reports, regardless of whether such calculations and reports are submitted to any external entity. A local governmental entity may adopt ordinances or regulations requiring that all engineering documents submitted for review be signed and sealed. However, interim documents, even if signed and sealed, must still contain the interim notation as required by state law.
In California, the Architects Practice Act, January 1, 2024, is less clear than its engineering counterpart, excerpted above. The Architecture Practice Act requires the sealing and signing of various types of instruments of service but does not expressly indicate when sealing and signing is necessary. Perhaps sealing and signing of all such instruments of service, regardless of whether they are interim (preliminary) or final, may be intended. Interestingly, the Act also requires that contracts for architectural services be signed only by the person serving in responsible charge. Specifically, Section 1536.1 states in part:
“(a) All persons preparing or being in responsible control of plans, specifications, and instruments of service for others shall sign those plans, specifications, and instruments of service and all contracts therefor, and if licensed under this chapter shall affix a stamp, which complies with subdivision (b), to those plans, specifications, and instruments of service, as evidence of the person’s responsibility for those documents.”
Section 136.(c) of the California Architect’s Practice Act stipulates requirements for architecture seals and stamps and, among other things, requires explicit indication, either as part of the stamp or written adjacent to it, notation of the license expiration date.
In the absence of reasonably available guidance concerning statutory requirements for California architects, it is possible that many architects working on California projects seal and sign drawings and specifications primarily for submittal to authorities having jurisdiction, and for construction. While it appears to apply only to instruments of service prepared for buildings owned by the State of California and public school projects with state funding, the document, “Design Professional’s Signature and Seal (Stamp) On Construction Documents”, by the Division of the State Architect of California, presents requirements for sealing and signing that are somewhat more clear than the statutory language of the California Architect’s Practice Act.
Evaluation
As demonstrated by the examples above, statutory requirements can have significant variations from one jurisdiction to the next. Practitioners, especially licensees serving in responsible charge, should be familiar with, and comply with, laws and regulations governing the practice of their profession in all jurisdictions where they are licensed. A convenient, although not necessarily comprehensive, resource is the 50‐State Survey of Licensed Design Professional’s Stamping and Sealing Obligations, by the American Bar Association Forum on Construction Law, Division 3 – Design.
As indicated in the examples above, seals applied to instruments of service typically must be accompanied by the licensee's signature. Signatures can usually be applied either directly adjacent to the seal or across part of the seal, so long as the signature does not obscure or render illegible, the licensee’s name, license number, state of licensure, and type of license. Many jurisdictions’ laws and regulations also require indicating the date of sealing and signing adjacent to the seal and signature. Statutory requirements for certain design professions in some states further require indicating when the license or registration (as applicable) expires.
Conclusions
Exactly which documents must be sealed and signed by the design professional in responsible charge can vary by jurisdiction, as can the time at which sealing and signing is required. In most jurisdictions, sealing and signing of instruments of service such as construction drawings, specifications, calculations, and reports of a technical nature constituting the statutory definition of the practice of engineering, architecture, geology, or other licensed design profession, must be sealed and signed at the time such items are submitted for permitting and approvals by authorities having jurisdiction. However, laws and regulations in some jurisdictions may include requirements for sealing and signing of documents for other purposes, especially construction. Licensees should be aware of and comply with statutory requirements in effect in the areas where their projects are located.
The forthcoming final installment in this series will be: 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.