Initial Examination - FR Intake and Closing Notes

Process Steps

Examine the contents of the envelope

1.1 Check deeds against the inventory, if completed, and mark deeds as submitted/not submitted and add any additional deeds.

1.2 Check applications/deeds are relevant to intake team, otherwise send any unassociated applications/deeds to correct intake team (unless submitted as part of a single cheque) or refer to team leader as necessary.

1.2.1 If the application type on the form is 'Deed over an unregistered plot', but the deed accompanying the application form is a non-transfer of title deed, pass to a referral officer to identify if the application should be passed to the dealings create team.

1.3 Examine application for any correspondence and take appropriate action, and refer if necessary.

1.4 Identify any deeds submitted for joint recording/dual registration or for preservation. 

1.4.1 Complete all initial examination checks then follow appropriate joint recording/dual registration in sasines process or joint recording in Books of C& S process and refer all documentation to intake referral officer.

Examine the application form

1.5 Ensure that the application form(s) submitted:

• are not marked "DRAFT" - if the application form is in "DRAFT" once the remaining relevant steps of initial examination are completed, the application must be rejected.
• match the information contained in the corresponding deeds.

1.6 Ensure that the form is correctly completed for the type of application submitted.

1.7 For the old type of Registration Form Check the answer in the 'Certificate in relation to links in title' section of the application form to the question 'If no, and the deed is a disposition, is the disposition to be treated as valid by virtue of section 43(1) (prescriptive claimants)?'

For the new  Registration Form Check the answer to  'Does the application relate to a prescriptive claimant?'

1.7.1 If the answer on the form is 'No', proceed to complete intake process as normal.

1.7.2 If the answer is 'Yes' then the application is a specialist application. On completion of the intake process, the flysheet and documentation should be placed in a red case bag with a route card directing the application to a senior adviser and should be passed to the Odd Jobs officer to arrange the closing note procedure and the application to be scanned out of turn. 

1.7.3 If an answer has not been provided on the application form, but the answer to the question 'Is the granter of the deed the last recorded/registered proprietor?' is 'No' and the application is in respect of a disposition, refer to a senior officer.

        1.7.4  For the new  Registration Form check the question 'Are there any servitude rights created in deeds which benefit the plot of ground that are not referred to or narrated in the deed to           which this application relates (for example in a split-off/break-off deed)?'  If the answer is 'Yes' please ensure the box underneath contains information,  If it does not please pass to referral                 officer for possible rejection.

        1,7.5 For the new  Registration Form check the question 'Are there any servitude rights referred to or narrated in the deed to which this application relates that no longer benefit the plot of ground?'

         If the answer is 'Yes' please ensure the box underneath contains information,  If it does not please pass to referral officer for possible rejection.

         1.7.6. For the new  Registration Form check the question 'Are there any encumbrances that are not referred to or narrated in the deed to which the application relates (for example in a split-off-                    break-off deed)?  If the answer is 'Yes' please ensure the box underneath contains information,  If it does not please pass to referral officer for possible rejection.

1.8 Identify if the application is related to seabed or is an Automatic Plot Registration (APR) application or a Voluntary Registration.

1.8.1 If the application is related to seabed, refer to the Seabed Registration guidance. Since the Register of Sasines does not include seabed, the closing note procedures need not be followed. 

1.8.2 If the application is an Automatic Plot Registration application, refer to the Leases page for APR guidance.

1.8.3 If the application is a Voluntary Registration, refer to the 'Intake Examination Process' steps in the Voluntary Registration guidance page.

1.9 Identify if the application is affected by the Long Leases (Scotland) Act 2012. Check: 

• if the application form or any correspondence contains a request to convert a tenant's right in a lease to ownership
• if the application contains any terminology that makes reference to the Long Leases (Scotland) Act 2012
• if the application is to register a notice or agreement in terms of the Long Leases (Scotland) Act 2012 (this may also be indicated by examining the deed). 

1.9.1 If the application is affected by the Long Leases (Scotland) Act 2012:

• • Change the category to 6 

Examine the payment arrangements

1.10 Ensure that where no cheque accompanies the application, the FAS number specified on the application form belongs to a customer on the direct debit scheme.

1.11 Ensure that, where a cheque accompanies the application, that:

• it is made out to Registers of Scotland/RoS/the Keeper/Land Register of Scotland/Scottish Land Registry
• it is signed
• it is dated (but not post dated or dated more than 6 months ago)
• it is sufficient to cover the appropriate registration fee (including where it is in respect of more than one registrable deed)
• the amount in numbers matches the amount in words.

1.12 If a cheque is for a greater amount than the fee, a refund of the overpayment should be completed during the eFin process.

1.13 Check the contents of the envelope for a copy of any post-intake rejection/withdrawal letter or pre-intake rejection letter containing details of any UID number(s) originally associated with the application. If no letter is found, check also the backing of any new deeds being registered to check for UID numbers.

1.13.1 If the payment method is cheque and the application is not accompanied by a cheque or a rejection/withdrawal letter providing details of the UID number(s), the application must be rejected.

1.13.2 If the payment method is direct debit and the application is not accompanied by a rejection/withdrawal letter, the application can be accepted and processed following the normal eFin process to create the UID number(s).

1.13.3 If the application is accompanied by a copy of the post-intake rejection/withdrawal letter containing details of the original UID number(s), the UID numbers can be represented on eFin.

1.13.3.1 An email should only be sent to DummyRequests@ros.gov.uk if an error message appears in eFin because the funds are not available.

1.13.4 If the application is accompanied by a copy of the pre-intake rejection letter containing details of the associated UID number(s), send an email to DummyRequests@ros.gov.uk with details of the associated UID number(s) to determine that the fee has not been refunded. Do not proceed until Finance respond.

• • If the payment method is cheque and the original fee has been refunded or is insufficient, the payment requirements have not been met and the application should be rejected.
  • If the payment method is direct debit and the original fee has been refunded or is insufficient, the full fee should be collected again (upto a maximum of £200 - refer to team leader if more than £200) and the application processed following the normal eFin process to create the UID number(s).
    
  • If the application was rejected post intake and the original fee has been retained by Finance, the application can be accepted and the original UID number(s) can be represented.
  • If the application was rejected post intake and the represented application has changed and the original fee submitted (cheque or direct debit) is greater than the fee due, the Dummy Cheque - UID Number Exists process should be followed.
  • If the application was rejected pre intake and the original fee has been retained by Finance, the application can be accepted and the Dummy Cheque - UID Number Does Not Exist process should be followed.

Examine live deeds

1.14 Check the DIR induces first registration.

1.15 Examine each deed presented for registration to ensure that it is ex facie valid and execution is self-evidencing:

• Parties to deed must be designed
• Deed must include operative words in present tense
• Where appropriate deed must conform closely to statutory style or have minimum content
• Subjects must be adequately described
• Disposition or other deed with granter and grantee must not be by A to A in same capacity
• Deed must be signed/executed appropriately
• Any annexations or schedules should be incorporated into the registrable deed.

1.16 Check the county narrated in the deed and on the form match.

1.17 Check there is no title number quoted and refer if a title number is quoted.

1.18 Check deed(s) for new real burdens/servitudes being created, and refer if necessary.

1.19 Check to see if the subjects lie within a research area, using the research area tool.

1.19.1 If the subjects are in a research area, write the research area number on the application form and proceed to complete intake process as normal.

1.19.2 If the subjects are not in a research area, complete all remaining Intake checks and refer the application. The reason for the referral should be "Not in R/A, please check burdens/servitudes". Referral officers will check to see whether the deeds referred to for burdens/servitudes in the application form and the DIR agree and whether all required deeds have been submitted. If not, the application will be rejected.

1.19.3 If no match for the subjects is found in the RA tool, complete all remaining Intake checks and refer the application. The reason for the referral should be "Unable to confirm if in R/A".

1.20 If DIR is granted by a Local Authority or Housing Association, complete all remaining intake checks and refer the application.

Referral officers will check whether s.53 of the Title Conditions Act applies.

1.21 Identify if the deed to be registered is a tax notifiable transaction.

1.21.1 If the deed to be registered is not a notifiable transaction, proceed to complete intake process as normal.

1.21.2 If the deed to be registered is a notifiable transaction and the effective date of the transaction is prior to 1 April 2015, ensure that an SDLT certificate has been submitted.

1.21.3 If the deed to be registered is a notifiable transaction and the effective date of the transaction is on or after 1 April 2015, ensure that LBTT requirements for s.43 compliance have been met. 

1.21.4 Refer to a senior officer if:

• • The deed to be registered is a notifiable transaction and the effective date of the transaction is on or after 1 April 2015 and an SDLT certificate has been submitted;
  • The effective date of the transaction cannot be identified;
  • It is unclear if the deed to be registered is a notifiable transaction.

1.22 If the applicant is a non-natural person (e.g. a company), check the following are included either in the registrable deed or in the information in the application form:

• the legal system under which the proprietor is incorporated or otherwise established;
• if the non-natural person is a company under the Companies Acts or a limited liability partnership, the company number allocated in terms of the Companies Act.