Chapter 4703-3 Certification

4703-3-01 Seal requirements.

(A) Each architect shall be authorized to use a seal as hereinafter directed in paragraphs (B) and (C) of this rule on all documents prepared by the architect or under the architect's direct supervision for use in this state for the purpose of properly imprinting the drawings, specifications, and other contract documents as required by section 4703.12 of the Revised Code. The seal shall be circular in shape and two inches in diameter. Concentric with the outside of the seal there shall be a circle one and three eighths inches in diameter. In the annular space between the circle and the outside of the seal shall be the words "state of Ohio" at the top and "registered architect" at the bottom. The name of the architect and the architects registration number shall be placed horizontally within the inner circle. The seal shall be either an individual embossing seal, rubber stamp seal, electronically generated seal or other reproducible facsimile.

(B) The application of the architect's seal, above the architect's printed name, license number, and expiration date of the architect's license, and an ink or electronic signature, to the title or first sheet of bound sets of drawings, to the title page of bound specifications and to other drawings and contract documents required for official filing with building permit agencies shall constitute the imprinting required by section 4703.12 of the Revised Code.

The term signature as used herein shall mean a handwritten identification containing the name of the person who applied it; or for electronic or digital documents shall mean an electronic authentication process attached to or logically associated with the document. The digital signature must be unique to, and under the sole control of the person using it; it must also be capable of verification and linked to a document in such a manner that the digital signature is invalidated if any data on the document is altered.

(C) The architect shall imprint documents only if the architect was the author of such drawings, specifications and other contract documents or was in responsible charge of their preparation.

(D) An electronic seal and signature are permitted to be used in lieu of an original seal and signature when the following criteria, and all other requirements of this paragraph are met:

(1) It is a unique identification of the professional;

(2) It is verifiable;

(3) It is under the professional's direct and sole control;

(4) It is linked to the document in such a manner that changes are readily determined and visually displayed if any data contained in the document file was changed subsequent to the electronic seal and signature having been affixed to the document, and

(5) Changes to the document after affixing the electronic seal and signature shall cause the electronic seal and signature to be removed or altered in such a way as to invalidate the electronic seal and signature;

(6) In addition, once the electronic seal and signature is applied to the document, the document shall be available in a view only format if the document is to be electronically transmitted;

(7) The graphic image of the electronic seal and signature shall be readily available and produced in a manner acceptable to the board. It shall contain the same wording as and shall have substantially the same graphic appearance and size as required by paragraph (A) of this rule when the image of the electronically transmitted document is viewed at the same size as the document in the its original form.

Effective: 07/01/2012
R.C. 119.032 review dates: 10/31/2014
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.12
Prior Effective Dates: 7/29/2005, 11/18/05

4703-3-02 Architectural firms.

(A) All architectural firms legally formed for the purpose of providing architectural services are required to obtain a certificate of authorization from the board. Each firm authorized by the board to provide such services shall meet the following requirements:

(1) More than fifty per cent of the partners, members or shareholders and more than fifty per cent of the directors, in the case of a corporation or professional association, or the trustee(s) of an employee stock ownership plan, shall be professional engineers, surveyors, architects, or landscape architects or a combination thereof and who are currently licensed in any state. A corporation is exempt from the requirements of this paragraph if the corporation was granted a charter prior to August 7, 1943, to engage in providing architectural services or was otherwise lawfully providing architectural services prior to November 15, 1982.

(2) More than fifty per cent of the interests or shares of the firm, partnership, association, employee stock ownership plan trust shares, or corporation shall be held by professional engineers, surveyors, architects or landscape architects or a combination thereof and who are currently licensed in any state. A corporation is exempt from the requirements of this paragraph if the corporation was granted a charter prior to August 7, 1943, to engage in providing architectural services or was other lawfully providing architectural services prior to November 15, 1982.

(3) Each architectural firm shall designate one or more architects as being in responsible charge of the architectural activities and decisions of the firm. Each architect in responsible charge shall be currently registered in the state of Ohio.

(4) Each architect designated as being in responsible charge of the firm's architectural activities and decisions shall file a notarized affidavit of responsibility with the board.

(5) A professional association formed under the provisions of Chapter 1785. of the Revised Code shall meet the requirements set forth therein in addition to the requirements of these rules.

(B) Application for a certificate of authorization shall be made to the board on forms provided for that purpose and shall include the following information and documents:

(1) Name and address of each partner, manager, officer, member, director, trustee or shareholder indicating the professional status of each, including their registration numbers, state of registration and expiration date.

(2) Name and address of each architect designated as being in responsible charge of the firm's professional architectural activities and decisions. Each architect in responsible charge shall be currently registered in the state of Ohio.

(3) Affidavit of responsibility for each architect designated as being in responsible charge of the firm's professional architectural activities and decisions.

(4) In the case of a corporation or professional association, the number of shares of stock issued and the number of shares owned by each shareholder. In the case of a partnership, the per cent of ownership held by each partner, manager or member.

(5) Copy of the firm's articles of incorporation, partnership agreement, employee stock ownership plan trust agreement, certificate of partnership or statement of limited partnership association and any amendments.

(6) Application fee required in rule 4703-1-05 of the Administrative Code.

(C) Annual renewal. Every firm holding a certificate of authorization shall, during the month of June preceding the year beginning on the first day of July the holder desires to continue to provide architectural services, make application for renewal of the certificate of authorization. Renewal shall be for a period of one year. Application shall be made on forms provided by the board and shall include the following:

(1) Name and address of each partner, manager, officer, member, trustee, director or shareholder indicating the professional status of each and the per cent of ownership or the number of shares held by each.

(2) Name and address of each architect designated as being in responsible charge of the firm's professional architectural activities and decisions. Each architect in responsible charge shall be currently registered in the state of Ohio.

(3) Renewal fee required in rule 4703-1-05 of the Administrative Code.

Any changes in the names and addresses of the partners, managers, officers, members, trustees, directors, or shareholders, the designated architects, or the distribution of ownership of the firm occurring between required filing intervals shall be reported to the board within thirty days following such change.

A certificate of authorization not renewed by the last day of June for the period for which it was issued is not valid after that date.

(D) New certificate of authorization. A firm, partnership, association, employee stock ownership plan trust or corporation which has been issued a certificate of authorization by this board shall be required to file an application for a new certificate of authorization in the following situations:

(1) Upon the change of the name of the firm.

(2) Upon the failure of the firm holding a certificate of authorization to renew the certificate in accordance with paragraph (F)(3) of this rule.

(E) A certificate of authorization issued by this board shall be displayed at the firm's principal place of business where it can be readily viewed by the public.

Effective: 09/11/2010
R.C. 119.032 review dates: 06/14/2010 and 09/11/2015
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.02 , 4703.06 , 4703.10 , 4703.12 , 4703.13 , 4703.14 , 4703.18
Prior Effective Dates: 3/15/74, 11/4/77, 6/25/83, 6/25/90, 4/15/92, 11/1/94, 9/5/08, 11/9/09, 6/19/10

4703-3-03 Firm names.

(A) When personal names of architects are used in the name of the sole proprietorship or firm, only names of living registrants or former registered members of the sole proprietorship or firm, now retired or deceased, may be used. The status of a retired or deceased member must be clearly shown on the firm letterheads by the use of the words "retired" or "deceased" or the date of the years of the member's birth and death. Any reference in the name to other persons of a firm, partnership, association, or corporation shall be permitted only when such other persons are registered architects, landscape architects, professional engineers or surveyors and their identity is made known specifically on letterheads of the firm.

(B) A sole proprietorship, firm, partnership, association or corporation otherwise qualified to practice in Ohio is permitted to practice under a name which does not include the names of registered principals. Names which tend to deceive or confuse the public or are unreasonably similar to the name of another sole proprietorship or firm will not be permitted.

(C) Any non-resident firm legally engaged in architectural practice in the jurisdiction of its origin is granted the right to retain its identity upon obtaining a certificate of authorization to provide architectural services in Ohio.

Five Year Review (FYR) Dates: 11/20/2014 and 10/31/2019
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.10 , 4703.12 , 4703.13 , 4703.14 , 4703.18
Prior Effective Dates: 3/15/1974, 11/4/1977, 6/25/1983, 6/25/1990, 4/15/1992, 11/1/1994, 07/29/2005

4703-3-04 Branch offices.

An architect or architectural firm maintaining more than one place of business for the practice of architecture shall have a resident registered architect in responsible charge of the architectural activities of each office in this state. "Resident," as used in this rule, shall mean one who spends a majority of his normal working time in said office. A "majority of working time" means at least thirty hours per week. The firm shall inform the board of the name of the resident architect in charge of the professional architectural activities of each separate place of business in this state.

Five Year Review (FYR) Dates: 11/20/2014 and 10/31/2019
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.02 , 4703.06 , 4703.10 , 4703.12 , 4703.13 , 4703.14 , 4703.18
Prior Effective Dates: 3/15/74, 11/4/77, 6/25/83, 6/25/90, 4/15/92, 11/1/94, 5/15/98, 11/09/2009

4703-3-05 Interstate practice.

(A) A non-resident architect may practice in the state of Ohio when said architect holds a current and valid Ohio registration.

(B) A non-resident architect seeking an architectural commission in this state, who qualifies under paragraph (A) of this rule and holds a current council record issued by the "National Council of Architectural Registration Boards" and is otherwise eligible for registration in the state of Ohio shall be admitted to the state for the purpose of offering to render architectural services and only that without having first been issued a certificate of qualification to practice architecture by this board.

Five Year Review (FYR) Dates: 11/20/2014 and 10/31/2019
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.07
Prior Effective Dates: 3/15/1974, 11/4/1977, 12/1/1982, 6/25/1990, 11/1/94, 6/5/2000, 12/26/2006

4703-3-06 Injunctions.

(A) The board is authorized, pursuant to section 4703.181 of the Revised Code, to apply for relief by injunction or restraining order to enjoin or restrain a person, firm, corporation, partnership, or any other group or combination of persons from the commission of any act which is prohibited by sections 4703.01 to 4703.19 of the Revised Code or by rules governing the standards of service, conduct, and practice to be followed in the practice of the profession of architecture in the state, as adopted by the board under Chapter 4703. of the Revised Code.

(B) Upon receipt of a complaint or upon its own initiative, the board may conduct an investigation of allegations of the commission of any act which is prohibited by sections 4703.01 to 4703.19 of the Revised Code or by rules adopted by the board under Chapter 4703. of the Revised Code.

(C) Upon making a determination that cause exists to apply for relief by injunction or restraining order as provided for by paragraph (A) of this rule and that no good cause exists for delay, the board may make such application for relief, subject to the provisions of paragraph (D) of this rule.

Effective: 11/09/2009
R.C. 119.032 review dates: 08/13/2009 and 10/31/2014
Promulgated Under: 119.03
Statutory Authority: 4703.06
Rule Amplifies: 4703.18 , 4703.181
Prior Effective Dates: 6/7/93, 11/1/94, 9/5/08

4703-3-07 Code of conduct.

Preamble.

In order to safeguard the health, safety and welfare of the public and the state of Ohio, to maintain integrity and high standards of skills and practice in the profession of architecture, the following rules of professional conduct, promulgated in accordance with Chapter 4703. of the Revised Code, shall be binding upon every person holding a certificate of qualification as a registered architect.

The registered architect, who holds a certificate of qualification from the architects board, is charged with having knowledge of the existence of the reasonable rules and regulations hereinafter provided for his or her professional conduct as a registered architect, and also shall be deemed to be familiar with their several provisions and to understand them.

Such knowledge shall encompass the understanding that the practice of architecture, is a privilege, as opposed to a right, and the registrant shall be forthright and candid in statements or written responses to the board or its representatives on matters pertaining to professional conduct.

(A) Competence

(1) In practicing architecture, a registered architect shall act with reasonable care and competence and shall apply the knowledge and skill which is ordinarily applied by registered architects of good standing, practicing in the same locality.

(2) In designing a project a registered architect shall take into account all applicable state and municipal building laws and regulations. While a registered architect may rely on the advice of other professions (e.g., attorneys, engineers and other qualified persons) as to the intent and meaning of such regulations, once having obtained such advice, a registered architect shall not knowingly design a project in violation of such laws and regulations.

(3) A registered architect shall undertake to perform professional services only when he or she, together with those whom the registered architect may engage as consultants, are qualified by education, training and experience in the specific technical areas involved.

(4) No individual shall be permitted to practice architecture if, in the board's judgment, such individuals' professional competence is substantially impaired by physical or mental disabilities.

(B) Conflict of interest

(1) A registered architect shall not accept compensation for his or her services from more than one party on a project unless the circumstances are fully disclosed to and agreed to (such disclosure and agreement to be in writing) by all interested parties.

(2) If a registered architect has any business association or direct or indirect financial interest which is substantial enough to influence his or her judgment in connection with the performance of professional services, the registered architect shall fully disclose in writing to his or her client or employer the nature of the business association or financial interest. If the client or employer objects to such association or financial interest, the registered architect will either terminate such association or interest or offer to give up the commission or employment.

(3) A registered architect shall not solicit or accept compensation from material or equipment suppliers in return for specifying or endorsing their products.

(4) When acting as the interpreter of building contract documents and the judge of contract performance, a registered architect shall render decisions impartially, favoring neither party to the contract.

(C) Full disclosure

(1) A registered architect, making public statements on architectural questions, shall disclose when he or she is being compensated for making such statements.

(2) A registered architect shall accurately represent to a prospective or existing client or employer his or her qualifications and the scope of his or her responsibility in connection with work for which he or she is claiming credit.

(3) If, in the course of his or her work on a project, a registered architect becomes aware of a decision taken by his or her employer or client, against the registered architect's advice, which violates applicable state or municipal building laws and regulations and which will, in the registered architect's judgment, materially affect adversely the safety to the public of the finished project, the registered architect shall:

(a) Report the decision to the local building inspector or other public official charged with the enforcement of the applicable state or municipal building laws and regulations;

(b) Refuse to consent to the decision and;

(c) In circumstances where the registered architect reasonably believes that other such decisions will be taken notwithstanding his objection, terminate his or her services with reference to the project.

In the case of a termination in accordance with paragraph (C)(3)(c) of this rule, the registered architect shall have no liability to his or her client on account of such termination.

(4) A registered architect shall not deliberately make a materially false statement or fail deliberately to disclose accurately and completely a material fact requested in connection with his or her application for registration or renewal thereof or otherwise lawfully requested by the board.

(5) A registered architect shall not assist the application for registration of a person known by the registered architect to be unqualified in respect to education, training, experience, or character.

(6) A registered architect possessing knowledge of a violation of these rules by another registered architect shall report such knowledge to the board.

(7) If a registered architect is found guilty of a felony in any jurisdiction or has been disciplined by another jurisdiction, during the current renewal period, the registered architect shall notify the board in writing within sixty days.

Disciplinary action includes, but is not limited to, reprimands, fines, probation, suspension, supervised practice, revocation, surrender, cease and desist or consent orders, settlement agreements or stipulations.

(8) If a registered architect is registered with the "Ohio Civil Child Sexual Abuse Registry" pursuant to Chapter 3797. of the Revised Code, the registered architect shall notify the board in writing within sixty days.

(D) Compliance with laws.

(1) A registered architect shall not, in the conduct of his or her architectural practice, knowingly violate any state or federal criminal law.

(2) A registered architect shall neither offer nor make any payment or gift to a government official (whether elected or appointed) with the intent of influencing the official's judgment in connection with a prospective or existing project in which the architect is interested.

(3) A registered architect shall comply with the registration laws and regulations governing his or her professional practice in any lawful jurisdiction. An architect may be subject to disciplinary action if, based on grounds substantially similar to those which led to disciplinary action in this jurisdiction, the architect was disciplined in any other lawful jurisdiction.

(4) A registered architect shall not have been found by a court or an administrative tribunal to have violated any applicable federal or state law protecting the rights of persons working for the employer with respect to fair labor standards or with respect to maintaining a workplace free of discrimination.

(5) Each registered architect shall cooperate with the board in its investigation of complaints or possible violations of Chapter 4703. of the Revised Code. This cooperation shall include responding to written communications from the board, providing information or documents requested within thirty days of the date on which the communication was mailed, and appearing before the board or its designee upon request.

(6) An architect or architecture firm shall comply with all terms, stipulations and orders of any official judgment or decree rendered against them by a court of justice as it relates to the performance of professional architecture services and the generally accepted business practices in the practice of architecture.

(E) Professional conduct.

(1) An architect shall not sign or seal drawings, specifications, reports, or other professional work for which he or she does not have direct professional knowledge and direct supervisory control; provided, however, that in the case of the portions of such professional work prepared by the architect's consultants, registered under this or another professional registration law of this jurisdiction, the architect may sign or seal that portion of the professional work if the architect has reviewed such portion, has coordinated its preparation, and intends to be responsible for its adequacy.

(2) A registered architect shall neither offer nor make any gifts, other than gifts of nominal value (including, for example, reasonable entertainment and hospitality), with the intent of influencing the judgment of an existing or prospective client in connection with a project which the architect is interested.

(3) A architect shall not engage in conduct involving fraud.

(4) An architect shall not make misleading, deceptive or false statements or claims.

(5) Each architect shall keep a true and correct record of all business transactions including but not limited to contracts, invoices for architectural services, employment records, and tax records relevant to enforcement of Chapter 4703. of the Revised Code. Such records shall be made available at all reasonable hours for inspection and copying or upon written request by the board.

(6) The "Intern Development Program" supervisor shall not fail to respond to a request to verify experience hours reported to the "National Council of Architectural Registration Board's Intern Development Program" when requested by a subordinate, associate, or intern who is, or has been, supervised by the "Intern Development Program" supervisor.

Effective: 09/01/2010
R.C. 119.032 review dates: 06/11/2010 and 09/01/2015
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.07 , 4703.15 , 4703.151
Prior Effective Dates: 3/15/74, 11/4/77, 12/1/82, 6/25/90, 11/1/94, 12/26/06, 1/26/08, 9/5/08, 11/9/09

4703-3-08 Professional responsibility.

A registered architect or architectural firm shall, when providing professional design services to a public authority, have and maintain professional liability insurance or other assurance of financial responsibility as may be required by the public authority.

Five Year Review (FYR) Dates: 11/20/2014 and 10/31/2019
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 153.70
Prior Effective Dates: 12/15/1996, 12/26/2006

4703-3-09 Written contract.

(A) A registered architect or architectural firm is required to use a written contract when providing professional services. Such contract between the registered architect and the client shall be executed prior to the registered architect commencing work on any project. The written contract shall include, but not be limited to, all of the following items:

(1) A description and location of the site.

(2) A description of the services to be provided by the registered architect to the client.

(3) A description of the basis of compensation applicable to the contract and the method of payment agreed upon by both parties.

(4) The name and address of the registered architect or architectural firm and the client's name and address.

(5) A description of the procedure to be used by the registered architect and client or design-builder to accommodate additional services.

(6) A statement identifying the ownership of documents prepared by the registered architect and/or reuse of documents.

(7) A description of the procedure to be used by either party to terminate the contract.

(B) This rule shall not apply to any of the following:

(1) Professional services rendered by a registered architect for which no compensation will be paid to the registered architect.

(2)

Professional services rendered by a registered architect as a consultant to a professional engineer registered to practice engineering under Chapter 4733. of the Revised Code or to a landscape architect registered under Chapter 4703. of the Revised Code, when a written contract exists between the registered professional engineer or landscape architect and a client who is not the registered architect.

(3) When the services are of the same general kind which the registered architect has previously rendered to and received payment from the same client.

Five Year Review (FYR) Dates: 11/20/2014 and 10/31/2019
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.02
Prior Effective Dates: 9/1/1998, 6/5/2000, 12/26/2006, 11/15/2011

4703-3-10 Authorship and control.

(A) In order to determine whether a registered architect is the author, actual architect, or person in responsible charge of designs, drawings, plans, reports, specifications, contract documents, or other professional work or documents, the board may review evidence concerning, but not limited to the following factors:

(1) Whether both the diagrammatic organization and the specific layout of the work produced by a registered architect are the same or substantially the same as in a design by another registered architect;

(2) Whether both the selection and application of structural and construction systems of the work produced by a registered architect are the same or substantially the same as in a design by another registered architect;

(3) Whether the appearance of the work, in its main view or views, produced by a registered architect are the same or substantially the same as to give a registered architect expert witness the idea created by the design;

(4) Whether the differences between the work produced by a registered architect and that produced by another registered architect are, in the opinion of a registered architect expert witness, trivial in nature and extent;

(5) Whether the appearance and content of the work prepared by a registered architect are so similar to the work prepared by another registered architect as to cause a registered architect expert witness to conclude that the former registered architect copied the work of the latter;

(6) Whether a registered architect had access to work prepared by another registered architect or to the embodiment of the other registered architect's work;

(7) Whether the ideas expressed in documents or work of a registered architect, and the method of expressing it or them, were the same or substantially the same as in documents or work prepared by another registered architect as to cause a registered architect expert witness to conclude that the former registered architect copied the documents or work of the latter;

(8) Whether there is substantial similarity, though not literal or exact reproduction, between the documents or work prepared by a registered architect and that prepared by another registered architect as to cause a registered architect expert witness to conclude that the former registered architect expressed no originality.

Five Year Review (FYR) Dates: 11/20/2014 and 10/31/2019
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.02
Prior Effective Dates: 5/15/98, 12/26/06, 11/09/2009

4703-3-12 Design Build.

(A) An architect may provide design services in a design-build contractual relationship provided the architect:

(1) Is an architect licensed to practice in the State of Ohio or represents an architectural firm authorized to provide architectural services in the State of Ohio, and

(2) Assures a written disclosure has been given to the client by the entity identifying the architect or architectural firm engaged by and contractually responsible to, the entity offering design-build project services, and

(3) Assures the entity agrees that the architect will have direct supervision of the architectural work and that the architect's services will not be terminated on the project, without the immediate replacement by another architect.

(B) A design-build entity shall not offer to provide or provide architectural services, unless the design-build entity is, or independently contracts with, an architect practicing as a sole proprietorship, an architectural firm holding a certificate of authorization to provide architectural services as set forth in Chapter 4703.18 of the Revised Code or employs one or more architects authorized to provide architectural services.

Offering to provide architectural services shall include, but not necessarily be limited to, any offer of architectural services by any sign, card, advertisement, or other device that might indicate to the public that the entity is entitled to provide architectural services.

An entity that is not, or does not independently contract with, an architect practicing as a sole proprietorship, an architectural firm holding a certificate of authorization to provide architectural services, or does not employ one or more architects may advertise the design-build project delivery process provided the advertisement does not identify to the public that the entity, by itself, is either entitled or qualified to offer or provide architectural services.

Five Year Review (FYR) Dates: 11/20/2014 and 10/31/2019
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.182
Prior Effective Dates: 09/11/2005

4703-3-13 Communication: prohibition of improper contacts.

(A) Prior to the filing of an application, and after final board action on an application, verbal and written communication with individual board members or any member of the boards' staff shall be freely permitted; provided, however, that in no event is any member of the board or its staff authorized to give any indication of what specific action the board may take upon the merits of any application which may be filed with it. General advice, however, may be given as to the manner of completing or submitting applications, the procedures to be followed in processing applications, and the nature of the standards applied by the board in evaluating applications. While an application for registration or enforcement is pending before the board, no one shall initiate any written or oral communication with individual board members concerning the matter; but inquiries may be made orally or in writing to the board staff or in writing to the board.

Five Year Review (FYR) Dates: 11/20/2014 and 10/31/2019
Promulgated Under: 119.03
Statutory Authority: 4703.02
Rule Amplifies: 4703.02 , 4703.15
Prior Effective Dates: 12/26/2006