4.1 Authority and scope of the Scheme

4.1.1 The authority for the Scheme is derived from Section 7(2) of the Act. The Scheme places the responsibility for certification on its members.

4.1.2 The scope of the Scheme for Certification of Design (Building Structures) is the certification of work described in applications for building warrant or amendment to warrant as complying with the Building (Scotland) Regulations 2004 (as amended) with respect to Standards 1.1 and 1.2 of Schedule 5, which relate to the structural performance of buildings. Certification applies to Regulations 8, 9 and 12 only. Regulations 10 and 11 are specifically excluded from the scope of the Scheme.

4.1.3 It is necessary for Approved Certifiers to be clear about the scope of work covered by any design certificate that they sign in relation to a particular project. In this context, reference should be made to the definition of ‘building’ contained within the Act and reproduced in Scottish Building Standards Technical Handbooks.

4.1.4 The Scheme does not include any designations for specialisms.

4.1.5 The Scheme is provided by Structural Engineers Registration Ltd (SER), which was first appointed by the Scottish Building Standards Agency (now BSD) on 4 November 2004.

4.2 Membership of the Scheme

4.2.1 Membership of the Scheme is subject to the criteria defined later in this document and approved by the Scottish Ministers.

4.2.2 SER forwards details of membership of the Scheme to the BSD Certification Register on each weekday.

4.2.3 Membership of the Scheme (both individual membership and membership of firms) is for a term of five years and is subject to the payment of a membership fee upon applying to join the Scheme and an annual subscription.

4.2.4 Membership is renewed automatically at the end of each five-year term providing certificates have been generated during that term. If no certificates have been generated during the fiveyear term, the membership will expire. In this case, members may reapply to join the scheme.

4.2.5 If an Approved Certifier or Approved Body has not generated a certificate for a period of three years, their membership will be temporarily suspended pending a review of their understanding of the scheme requirements and certification process.

4.2.6 Members are subject to audit at any time as described in the Procedures for Auditing the Activities of Approved Bodies and Approved Certifiers.

4.2.7 An individual member is entitled to exercise the function of an Approved Certifier of Design (Building Structures), referred to in this guide as an Approved Certifier. That function is to examine the work described in an application for building warrant and where appropriate to certify that it complies with the Building (Scotland) Regulations 2004 (as amended) with respect to Standards 1.1 and 1.2 of Schedule 5. Approved Certifiers should also certify any application for any amendment to warrant which includes structural content. An Approved Certifier must not certify any work that does not comply with the Building Regulations and must not certify any work that has not been checked for compliance with the building regulations. An Approved Certifier issues a certificate, generated from SER’s on-line system, to the applicant for building warrant or amendment to warrant who submits the application to the Verifier noting the number of the certificate in an annex to the application.

4.2.8 An Approved Certifier is given a personal registration number by SER but can only act as an Approved Certifier for a firm that is listed on the Certification Register as an Approved Body.

4.2.9 A firm, public body, or other organisation that is a member of the Scheme may act as an Approved Body to supply certification services within the scope of the Scheme.

4.2.10 An Approved Body must employ at least one Approved Certifier of Design (Building Structures), support the work of Approved Certifiers in specified ways, hold appropriate levels of professional indemnity insurance, and designate a Certification Coordinator who may or may not be an Approved Certifier.

4.2.11 The Certification Coordinator of the Approved Body that is contracted to provide certification services for the warrant application, and who must be registered with SER, must countersign certificates issued by the Approved Certifier.

 4.2.12 Firms with more than one office are required to make a separate application as an Approved Body for each branch office that wishes to offer certification services. Only offices or branch offices that employ at least one Approved Certifier are eligible for membership.

4.2.13 Sole Practitioners must be registered with SER as an Approved Body in addition to as an Approved Certifier.

4.3 Scheme management

4.3.1 SER is a Limited Company, registered at Companies House. It is wholly owned by the Institution of Structural Engineers. The memorandum and articles of association may be seen at www.ser-ltd.com.

4.3.2 SER and the Scheme have the full support of the IStructE and the ICE.

4.3.3 The Board of Directors of SER comprises:

1. 3 members nominated by IStructE
2. 1 member nominated by ICE
3. 1 independent member
4. Up to 2 additional members as deemed necessary by the Board

4.3.4 The Board of Directors of SER is responsible for:

1. continuing review of the operation of the Scheme
2. implementation of the Code of Conduct
3. appointment of the Scottish Registration Board
4. appointment of Audit Pool
5. determining fees for membership on joining, annual renewal of membership, certificate fees, and remuneration to members of the Scottish Registration Board and to auditors
6. approval of reports on Scheme finances
7. reporting on the Scheme to the BSD
8. confirming the outcomes of application assessments, audits of certification performance and reviews of membership of the scheme

The Board is assisted by the Company Secretary of SER.

4.3.5 The operation of the Scheme is managed and administered by the Head of Certification and the Registration Schemes Administration Team.

4.3.6 The assessment, auditing, and approval of membership are directed by the Scottish Registration Board which is appointed by the Board of SER. The Scottish Registration Board comprises:

1. Chairman
2. Up to 12 Members or Fellows of ICE and/or IStructE with appropriate experience, normally appointed for three year terms.

The quorum of the Scottish Registration Board is five members.

4.3.7 The Scottish Registration Board carries responsibilities and duties delegated to it by the Board of Directors of SER as follows:

1. to assess applications from individuals and firms for Scheme membership, request additional information and/or call the candidate for interview as appropriate and to recommend to the SER Board whether or not the application should be accepted
2. to exercise appropriate quality control of the issue of certificates by review of reports of audits of the certification practice of members
3. to review the Scheme and its operation and recommend any changes that it considers necessary

4.3.8 Audits of certification practice of Scheme members are conducted by members of the Scottish Registration Board, with the assistance of members of the Audit Pool.

4.3.9 Members of the Audit Pool are appointed by the Board of SER to assist with the undertaking of audits, normally for three-year terms.

4.3.10 Members of the SRB and Audit Pool are Members or Fellows of ICE and/or IStructE, or who hold a professional qualification of equal standing as determined by SER, with appropriate experience in the design of building structures and of certification under the SER Scheme.

Candidates for the SRB will, in most cases, have had previous experience as members of the Audit Pool; however, in circumstances where suitable candidates from the Audit Pool are not forthcoming, other applicants will be considered providing they can clearly demonstrate a detailed understanding and experience of the Scheme.

4.3.11 Members of the Registration Board and the Audit Pool are remunerated for their work.

4.4 Conditions of membership as an Approved Certifier of Design (Building Structures)

4.4.1 Membership of the Scheme is restricted to chartered engineers who are Members or Fellows of IStructE or ICE (i.e. MIStructE, FIStructE, CEng, MICE, or CEng, FICE) or to those who hold a professional qualification of equal standing from an equivalent overseas institution as determined by SER. Generally, they must also have a minimum of five years’ recent relevant experience of the design of building structures.

4.4.2 Approved Certifiers must agree to fulfil all the requirements of the scheme as described in the Scheme Guide and agree to abide by the Code of Conduct.

4.4.3 Approved Certifiers must be satisfied that their knowledge and experience enables them to discharge the responsibility of certifying a particular design, bearing in mind the type of structure, materials used, complexity or unusual nature of the project. Approved Certifiers must not certify projects where the work, or a significant proportion of the work, falls outwith the limits of knowledge and experience declared in the application for membership of the Scheme, unless it can be demonstrated that the necessary knowledge and experience has been acquired since making the application. New applicants will be required to demonstrate an adequate level of experience and expertise in specified aspects of structural design of buildings.

4.4.4 Approved Certifiers must have a good understanding of the Scottish building standards system and the SER Scheme’s requirements as described in this Scheme Guide and other guidance issued by SER.

4.4.5 Approved Certifiers must maintain their knowledge and skills at a level necessary to discharge their duties. They must undertake an adequate level of CPD and must submit a return annually detailing the amount and type of CPD undertaken and the learning outcomes achieved. New applicants will be required to provide details of CPD undertaken over the previous three years. Further information is available in the guidance note on CPD requirements.

4.4.6 Approved Certifiers must undertake certification in a methodical manner. They must have procedures in place that will enable them to identify the scope of their certification, plan the certification process and satisfy themselves of the compliance or non-compliance of design work described in an application for building warrant or amendment to warrant.

4.4.7 The certificate applies to the whole of the work described in the application for building warrant. Approved Certifiers must, therefore, make themselves aware of the extent of the work covered by the application.

Approved Certifiers must note the definition of ‘building’ within the Building (Scotland) Act 2003.

Approved Certifiers must also note that Standards 1.1 and 1.2 refer to the ‘building’ and not to the structure of the building. It is for this reason that scoping, i.e. determining the elements of the project that need to be considered as part of the certification process, is so important.

4.4.8 The building standards system is pre-emptive, designed to check that the proposed building work meets the standards. Approved Certifiers must, therefore, see that the design for the work described in the application, or for the work up to and including the stage being considered, has been completed and that it has had the appropriate level of checking.

The signing of a certificate in respect of design work which has not been completed is contrary to the intentions of both the Regulations and the Scheme and may lead to disciplinary action or prosecution.

4.4.9 It is a fundamental requirement of the Scheme that the design is checked before certification and it if the responsibility of the Approved Certifier to see that appropriate levels of checking of designs have been adopted.

While the design must be certified by an Approved Certifier, the design and the check may be undertaken by any competent person who may or may not be a Chartered Civil or Structural Engineer.

4.4.10 Approved Certifiers must notify the designers if they identify any aspects of the structural design which do not comply with the structural requirements of the building regulations and must re-examine the design after changes have been made, but before certification.

4.4.11 It is a legislative requirement that records are maintained by the Approved Certifier. See clause 37(2) of the Building (Scotland) (Procedure) Regulations 2004.

Approved Certifiers must keep records of how compliance with the building regulations was established. These should include evidence of scoping, certification plan, design review checklists, etc.

Clause 37(2) of the Building (Scotland) (Procedure) Regulations 2004 also requires that Approved Certifiers keep records of the particulars of any complaints received and the manner in which such complaints are dealt with.

4.4.12 It is the intention of the Act, and an important feature of the Scheme, that an individual Approved Certifier will certify the structural design of all the elements of the building, so that there is a holistic overview of that design. It is expected therefore that the same Approved Certifier will sign all the design certificates for staged warrant submissions or for amendments to warrant.

In exceptional circumstances it may be necessary for a new Approved Certifier to certify further stages of the design or amendments to the design. For the procedure to be adopted see Guidance Note 13.

In any circumstances where it is necessary for the Approved Certifier or Approved Body to change during the course of the warrant application process, the applicant for warrant should write to the Verifier pointing out the change, detailing how it has been dealt with and confirming that in presenting new certificates on the project both the Approved Certifier and Approved Body are now taking responsibility for compliance with the structural requirements of the regulations for the project. A new Approved Body should secure an appropriate appointment from the client covering the provision of certification services for the entire project.

4.4.13 Schedule 2 to the Act prohibits a Verifier from certifying any matter for which they act as Verifier. Any Approved Certifier who is employed by a Verifier, or an Approved Body that is also a Verifier, is not entitled to issue any certificates that relate to an application it is verifying.

4.4.14 Approved Certifiers must agree to be audited by SER when requested, at which time they must produce records of their certification practice.

4.4.15 Approved Certifiers must declare any conflicts of interest likely to arise from them undertaking the role of an Approved Certifier on any particular project.

4.4.16 Approved Certifiers will be issued with a certificate of membership of the Scheme. Certificates remain the property of SER and must be returned to SER should the individual cease to be a member of the Scheme for whatever reason.

4.4.17 An Approved Certifier may describe themselves as an Approved Certifier of Design (Building Structures). Membership does not entitle the use of designatory letters such as ‘AC’, ‘ACD’ or ‘BSD’ or the logos of SER, IStructE, ICE, BSD, or the Scottish Government.

4.4.18 Approved Certifiers must ensure that their email address and other contact details are always up to date on the SER website. SER website login details must not be shared.

4.4.19 Approved Certifiers are responsible for any activity which takes place on their SER account.

4.5 Conditions of membership as an Approved Body for Certification of Design (Building Structures)

4.5.1 Approved Bodies are required to employ at all times at least one Approved Certifier of Design (Building Structures) (i.e. they must either be employed under PAYE or be a Director/Partner/ Principal of the firm).

To fulfil this requirement, applications for membership as an Approved Body must either identify an engineer employed by the firm who has already achieved Approved Certifier status or be accompanied by an application for membership of an individual who is permanently employed by the Approved Body.

Approved Bodies must inform SER immediately of any changes to the Approved Certifiers that they use or if they do not employ at least one Approved Certifier as defined above.

4.5.2 Approved Bodies are required to have in place: 

1. procedures to ensure the quality of the certification activities of their Approved Certifiers and to see that that designs that are presented to their Approved Certifiers for certification are presented timeously, are complete, except where work is to be undertaken in a later stage, are of an appropriate quality and have been checked in accordance with the scheme requirements
2. access for Approved Certifiers to relevant legislation, handbooks, codes, standards and guides
3. policies which promote the continuing professional development of Approved Certifiers, in support of certification activities (including both technical and procedural training) to the level required by SER
4. procedures in place to manage post-certification design changes

4.5.3 Approved Bodies must have in place and maintain adequate professional indemnity cover for any project certified by an Approved Certifier of Design (Building Structures) and must provide evidence of that insurance cover when requested by SER.

Approved Bodies must make provision to ensure that any Approved Certifier who they employ or have employed is adequately protected from financial loss as a consequence of undertaking certification work on their behalf.

Approved Bodies must undertake a review of the risks associated with any Approved Certifier appointment and ensure that appointments have been based on appropriate contractual terms and conditions. Consideration should be given to limiting liabilities of an Approved Certifier through separate appointments to those as designer.

For further information refer to separate guidance on Responsibilities and Liabilities.

4.5.4 Approved Bodies are required to designate a Certification Coordinator to be responsible for ensuring that the conditions under which the Approved Body was approved are fulfilled and maintained and to countersign certificates completed by an Approved Certifier who is employed by the Approved Body. The Certification Coordinator of an Approved Body must not countersign certificates for any period during which the Approved Body does not employ an Approved Certifier.

Approved Bodies must inform SER of any changes with regards to their Certification Coordinator(s).

The Certification Coordinator is responsible for ensuring that the conditions of membership are fulfilled and maintained, and for bringing any shortcomings to the attention of the Approved Body.

4.5.5 Approved Bodies must agree to fulfil all the requirements of the scheme as described in the Scheme Guide and agree to abide by the Code of Conduct.

4.5.6 Approved Bodies must agree to be audited by SER when requested, at which time they must produce evidence of how they are meeting the conditions of membership.

4.5.7 Approved Bodies are required to demonstrate that they have procedures in place to ensure that complaints made against the Approved Body and any of its Approved Certifiers in relation to certification of design under the Building (Scotland) Act 2003 are handled fairly, consistently and wherever possible resolved to the complainant's satisfaction. The procedures must allow for the submission of a complaint to SER in respect of any matter that directly concerns certification of design under the Building (Scotland) Act 2003 and that cannot be resolved with the Approved Body.

4.5.8 An Approved Body may describe itself as an Approved Body for Certification of Design (Building Structures).

Membership does not entitle the use of designatory letters such as ‘AB’, ‘ABCD’ or ‘BSD’ or the logos of SER, IStructE, ICE, BSD, or the Scottish Government.

4.5.9 Approved Bodies will be issued with a certificate of membership of the Scheme. Certificates remain the property of SER and must be returned to SER should the Approved Body cease to be a member of the Scheme for whatever reason.

4.5.10 Approved Bodies must maintain adequate records of projects certified to allow their Approved Certifiers to comply with their obligations under the Building (Scotland) (Procedure) Regulations 2004.

These records should include copies of any reports, calculations, drawings, details, specifications, document issue sheets, relevant correspondence, etc.

Approved Bodies must allow their Approved Certifiers to keep records of their certification practice so they can comply with their obligations under the Building (Scotland) (Procedure) Regulations 2004.

4.5.11 Approved Bodies must provide an environment that supports its Approved Certifiers and must allocate adequate time and resources to the certification process in order to provide the support described above. Approved Bodies should advise their clients of the amount of time and cost associated with the certification process prior to the Client accepting appointment of their Approved Certifier.

4.5.12 Approved Bodies must ensure that there are no circumstances whereby they will not accept responsibility for a certificate issued by an Approved Certifier who they employ or have employed and that was countersigned by their Certification Coordinator or whereby that the certificate is not covered by their PII.

4.5.13 In circumstances where an Approved Body is unable to fulfil its obligations to its client, e.g. by undertaking the certification of further stages and/or amendments to the design, or by reviewing third party designs and issuing a Form Q, the Approved Body must assist the client to identify an alternative Approved Body and Approved Certifier.

In cases where a mistake, omission, or inaccuracy is discovered in work which has been certified and the Approved Body fails to assist its client as required above, SER will provide assistance in this respect.

4.5.14 Approved Bodies must make a report to SER as soon as they become aware of an alleged failure of any part of a building to meet either of Standards 1.1 or 1.2 where the design of that building was certified by one of its Approved Certifiers. For further information refer to separate guidance on Reporting of Failure of Certified Structures.

4.5.15 The Approved Body must immediately inform SER Admin of any change to the ownership, status or name of the Firm to which the registration applies.

4.5.16 The Certification Coordinator must ensure that their email address and the Approved Body’s contact details are always up to date on the SER website. SER website login details must not be shared.

4.5.17 Certification Coordinators are responsible for any activity which takes place on their SER account.

4.6 Code of Conduct

4.6.1 The Scheme is dependent on trust and strict adherence to this Code of Conduct.

4.6.2 The Scheme requires that Approved Bodies and Approved Certifiers who are members of the scheme, the persons employed or engaged by SER, and members of any board or panel intended to further the purposes of the Scheme and SER:

1. act with integrity and fairness
2. have regard to the public interest and to the interests of all those affected by their activities
3. do not maliciously or recklessly injure or attempt to injure the reputation of another person
4. must avoid conflicts of interest
5. uphold the reputation of the Scheme

4.6.3 The Scheme requires that individual members that perform the function of Approved Certifiers of Design (Building Structures):

1. exercise appropriate skill, care, diligence and judgment in undertaking the certification of Design (Building Structures) with respect to the Building (Scotland) Regulations 2004 (as amended)
2. adhere to the professional Rules of Conduct of the IStructE, the ICE or the equivalent professional body with which they are registered
3. do not represent themselves as having expertise or experience that they do not possess
4. maintain and broaden their expertise
5. undertake only those tasks for which they have appropriate expertise and experience
6. do not certify work designed by others without carrying out necessary checks to satisfy themselves of the adequacy of the design and compatibility within the whole structure
7. acknowledge that for some projects they may lack appropriate experience to enable them to act as the Approved Certifier
8. disclose to SER if they have been convicted of an offence by a court or have been subject to an adverse finding of any kind by any tribunal, court or other authority

4.7 Complaints and Appeals

SER has procedures, approved by BSD, for complaints against Scheme members and appeals against decisions concerning membership. Details of these may be found at www.ser-ltd.com