4.5.1 Each office
maintained for the preparation of drawings, specifications, reports or other
professional work shall have an architect in that office having direct
knowledge and supervisory control of such work. Any office which is advertised
or promoted as an architectural office must have an architect employed in that
office who is in responsible control of work produced in that location.
Commentary - This rule addresses the subject of main,
branch or satellite offices of an architectural firm and protects the public in
that such offices are continually supervised by an architect registered in the
jurisdiction where the office is located.
4.5.2
A.
"Responsible control" shall be control over all phases of the practice of
architecture as is ordinarily exercised by architects applying the required
professional standard of care, including, but not limited to control over and
detailed knowledge of the content of technical submissions throughout
preparation by the architect and others over whom the architect exercises
supervisory direction and authority.
B. An architect shall not sign or seal
drawings, specifications, reports or other professional work which was not
prepared by or under the responsible control of the architect; except that (i)
the architect may sign or seal those portions of the professional work that
were prepared by or under the responsible control of persons who are registered
under the architectural registration laws of this jurisdiction if the architect
has reviewed in whole or in part such portions and has either coordinated their
preparation or integrated them into the architect's work, and (ii) the
architect may sign or seal portions of the professional work that are not
required by the architectural registration law to be prepared by or under the
responsible control of an architect if the architect has reviewed and adopted
in whole or in part such portions and has integrated them into the architect's
work.
C. Plans, specifications,
drawings, reports or other documents will be deemed to have been prepared under
the responsible control of an architect only when:
1. the client requesting preparation of such
plans, specifications, drawings, reports or other documents makes the request
directly to the architect, or to a person under the supervisory direction and
authority of the architect, so long as the architect has the right to control
and direct the material details of how the work is to be performed;
and
2. the architect supervises,
directs and is involved in the preparation of the plans, specifications,
drawings, reports or other documents and has input into and full knowledge of
their preparation prior to their completion; and
3. the architect reviews the final plans,
specifications, drawings, reports or other documents; and
4. the architect has the authority to, and
does, make any necessary and appropriate changes to the final plans,
specifications, drawings, reports or other documents; and
5. contributions of information or predrawn
detail items or detail units that are incidental to and intended to be
integrated into an architect's technical submissions are from trusted sources
(including, but not limited to, manufacturers, installers, consultants, owners,
or contractors), are subject to appropriate review, and are then coordinated
and integrated into the design by the architect.
D. Review, or review and correction, of
technical submissions after they have been prepared by individuals not under
the supervisory direction and authority of the architect does not constitute
the exercise of responsible control because the reviewer has neither control
over nor detailed professional knowledge of the content of such submissions
throughout their preparation.
E.
Use by an architect of third-party off-site drafting services is permissible
only if there is responsible control as indicated by the following, in addition
to the requirements of paragraph (C) above:
1.
A written agreement exists between the architect and the drafting service
showing that the architect assumes full professional responsibility for the
work in relation to the client, spelling out in detail the services to be
provided by the drafting service including necessary disciplines and types of
services. This agreement may be a standing agreement pertaining to more than
one project; and
2. The technical
submissions prepared by the drafting service are taken from complete
information provided by the architect whose seal will appear on the documents;
and
3. The drafting service's
preparation shall not consist of any original design work whatsoever produced
by that drafting service, including decisions for use of previously drawn or
stored work. The architect shall retain documented evidence for at least five
(5) years to prove the source of such original design work is that of the
architect and make such records available to the Board upon request. Such
records include written project agreements, time records, site visit logs,
records of meetings and communications among project participants,
documentation of research or investigations conducted on behalf of the project,
design calculations, design sketches at various stages of development
indicating the progress of the project, and notations memorializing reviews,
corrections or revisions of documents prepared for the project.
4.5.3 An architect shall
neither make nor offer to make any gifts, other than gifts of nominal value
(included, for example, reasonable entertainment and hospitality), with the
intent of influencing the judgment of an existing or prospective client in
connection with a project in which the architect is interested.
Commentary - Rule 4.5.3 is the correlative of Rule
4.3.3, but the latter describes criminal conduct under most state laws for it
involves both "private bribes" (which are ordinarily not criminal in nature)
and the unseemly conduct of using bribery to obtain work. Note that the rule
realistically excludes reasonable entertainment and hospitality and other gifts
of nominal value.
4.5.4 An architect shall not engage in
conduct involving fraud or wanton disregard for the rights of others.
Commentary - Violation of this rule may involve
criminal conduct not covered by Rule 4.3.1, or other reprehensible conduct
which the Board believes should warrant discipline. The PCC believes that a
state board must, in any disciplinary matter, be able to point to a specific
rule which has been violated. The PCC believes that serious misconduct, even
though not related to professional practice, may well be grounds for
discipline. To that end, The PCC recommends this rule. Many persons who have
reviewed and commented on the draft rules were troubled by the sententious
character of Rule 4.5.4. The PCC has, however, found that lawyers commenting on
the rules had little trouble with the standard set in Rule 4.5.4: it applies to
conduct which would be characterized as wicked, as opposed to minor breaches of
the law.
4.5.5 The
following documents will be stamped with the architect's seal:
A. the architect shall stamp with the
architect's seal the following documents when prepared under the architect's
responsible control and supervision:
1. all
original sheets of any bound or unbound set of working drawings or plans,
except those sheets prepared by licensed consultants; and
2. the original cover or index page(s)
identifying all specification pages covered.
B. documents not intended for construction
should be marked "Preliminary Not for Construction", or in some other fashion
to communicate the purpose of the documents if not for construction.
4.5.6 All contract documents and
technical submissions, including but not limited to contracts, drawings,
addenda, change orders, and pay applications, shall be signed by an architect
licensed in the State of Mississippi.
4.5.7 The signature (manual, electronic, or
digital as defined below) of the registrant and date of signature shall be
affixed to all documents listed in Rule 4.5.5 above:
A. a manual signature is the handwritten name
of the registrant applied to a document that identifies the person, serves as a
means of authentication of the contents of the document, provides
responsibility for the creation of the document and provides for accountability
for the contents of the document.
B. for electronic or digital documents
transmitted to others in their native file format (e.g., AutoCAD, Revit, Word,
or Excel), a digital signature with an electronic authentication process
attached to or logically associated with the document. The digital signature
must be as follows:
1. unique to the person
using it; and
2. capable of
verification; and
3. under the sole
control of the person using it; and
4. linked to a document in such a manner that
the digital signature is invalidated if any data in the document is
changed.
C. for
electronic or digital documents transmitted to others in a "pdf" or similar
format that has modified the native file so that it is not easily altered, an
electronic (scanned) signature is acceptable if it is an accurate depiction of
the licensee's actual signature. It is the responsibility of the architect
sealing the document to provide adequate security when documents with
electronic seals and/or signatures are distributed.
4.5.8 Any portions of working drawings or
plans prepared by registered consultants shall bear the seal and the signature
of the consultant responsible thereof.
4.5.9 No architect shall affix the
architect's seal and signature to documents having titles or identities
excluding the registrant's name unless:
A.
such documents were indeed developed by the registrant or under the
registrant's immediate personal supervision and responsible control;
and
B. the registrant has exercised
full authority to determine their development.
4.5.10 Subject to the requirements of this
rule, rubber stamp, embossed, transparent self-adhesive seals, or computer
generated types may be used. Such stamps or seals shall not include the
registrant's signature.
4.5.11 An
architect, acting individually or through a firm, association or corporation
should not request, propose, or accept an agreement, contract, or commission
for professional services on a "contingency basis" under which the architect's
professional judgment may be compromised or when a contingency provision is
used as a device for promoting or securing an agreement, contract, or
commission, either for additional commissions or projects or for performing
further services on the project involved unless the architect can commit
resources sufficient to meet the standard of care and performance required
under any other commission. For purposes of adjudging the provisions of this
section "contingency basis" will also be interpreted to include the preparation
of preliminary reports and/or applications for funds or for reviewing for
approval where the fee involved is to be paid only after such submission or
approval, or in an amount substantially below the cost of performing the
services.
Commentary - This provision reflects directly on the
increasing practice of soliciting submittals from architects with compensation
to the architect contingent upon the occurrence of a particular event, i.e.:
the passage of a bond issue or funding of the project. The architect is
requested to provide services with the possibility of receiving no, or a
substantially reduced, fee. If this occurs, selection of the architect is based
upon conditions other than qualifications. Additionally, this type of
arrangement can place the architect in the position of paying less attention to
the project in question while devoting more resources to projects on which
payment is guaranteed. This can result in the performance of substandard or
inadequate work which may endanger the life, health or safety of the
public.
4.5.12 In a
Design/Build arrangement:
A. it shall be
deemed unprofessional conduct for an architect, through employment by building
contractors, or by another not holding a license to practice architecture
issued by the Board, to enable the employer to offer or perform architectural
services, except as provided in Rule 3.2.6.
B. in design/build arrangements, the
architect shall not be an employee of a person not licensed to practice
architecture or engineering in Mississippi. The architect shall not be an
employee of a licensed contractor or a person not licensed to practice
architecture or engineering in Mississippi and must have a separate contract
for architectural services either with the contractor or with the
owner.
C. it shall be deemed
unprofessional conduct for an architect to furnish limited services in such a
manner as to enable owners, draftsmen, or others to evade the public health and
safety requirements of the Mississippi Code.
D. When building plans are begun or
contracted for by persons not properly licensed and qualified, it shall be
deemed unprofessional conduct for an architect to take over, review, revise, or
sign or seal such drawings or revisions thereof for such persons, or do any act
to enable either such persons or the project owners, directly or indirectly, to
evade the requirements of the Mississippi Code and/or the Rules and Regulations
of the Board.
Commentary - Refer to the commentary of Rule
3.2.6.
4.5.13 In serving as an expert witness, an
architect shall not make a statement the architect knows to be false or with
reckless disregard as to its truth or falsity concerning the qualifications or
integrity of another architect, engineer or landscape architect including, but
not limited to, the standard of care performed with respect to a particular
project, or knowingly misrepresent the law and rules of the Board.
Commentary: Architects are often asked to render
expert opinions in civil litigation to assist the trier of fact in
understanding the evidence or to determine a fact issue. The qualification of
any architect as an expert is governed by the Mississippi Rules of Evidence.
Regardless, the architect is expected to testify truthfully and impartially and
not be bound to testify in one way solely because the architect is being paid
to do so. This also mandates the architect not testify contrary to the law and
rules of the Board.
