2.3 Application form or deed inducing registration not submitted

Any application must be rejected out of hand, and returned to the agent, if one or more of the following applies:

• the application form itself is not submitted;

• the deed inducing registration is not submitted;

• the deed inducing registration is not subscribed by the granter(s).

Since Intake Section are not required to check whether the deed inducing registration is executed, lack of subscription may come to light only after the application has entered the application record.

2.4 Unsigned and/or undated applications forms

If an application is received by Intake Section with application forms unsigned and/or undated Intake will reject the application, which will be returned to the submitting agent.

2.5 Examination of the application form

It is the duty of the legal registration officer to check the application form in the course of examining title. Although a certain amount of checking of the application form will already have been carried out, prior to the legal settle stage, the ultimate responsibility for its correctness rests with the registration officer. The correct completion of the application form affects not only the validity of the registration, but also the power of the Keeper or the court to rectify the register and the Keeper’s liability for indemnity. The registration officer must ensure not only that the form has been signed, but also that it has been signed by the person entitled to make the application, or their solicitor, otherwise the certification referred to in Amendment of the application form below will be valueless. The identity of the person entitled to apply for registration should be apparent from the deeds and documents submitted in support of the application.

The accuracy of the information given in part A of the Form should be checked from the documents and evidence submitted and from the copies of any Form 10 or Form 11 Report submitted, and, if necessary, from the search sheet. The answers to the questions in part B of the Form have considerable significance for both examination of title and completion of the title sheet. Not all of the questions will be relevant in every case. The statements made by the applicant in an application form can be of considerable significance in deciding whether or not the applicant has been fraudulent or careless for the purpose of rectification and indemnity. It may be necessary for a member of staff to declare under oath in court that key areas of an application form are never altered or amended within the Agency. Failure to make such a declaration could have serious consequences as regards rectification of the Register and payment of indemnity. In order to make such a declaration possible, Agency staff must never make any amendment to an application form apart from these authorised in the next paragraph.

2.6 Amendment of the application form

It is not permissible for the Keeper's staff to make amendments or additions to application forms in any circumstances.

The Keeper's rejection policy applies. That is if an application for registration contains inappropriate, incomplete or unsigned application forms it will be rejected.

If an application form has been accepted by the Keeper and contains insufficient, inaccurate or inconsistent information it should be returned to the submitting agent by the Registration Officer for amendment.

A member of staff must not telephone the submitting agent and make the amendment for them.

2.7 Agent’s certification on the application form

When the applicant certifies that the information given in an application form is correct he is, of necessity, stating that it is correct as at the date of certification. The agent cannot state that the situation will not change. The answers to some of the questions could well change in a relatively short time, e.g., a company could go into liquidation or receivership. It is therefore imperative that the application for registration is made as soon as possible after certification. Any undue delay could render the information on the form suspect, and it would be a risk to the Keeper’s indemnity to rely on it. If that period is more than 10 working days, the registration officer must arrange for the applicant to re-certify the particulars of the application form. A letter from the applicant to the appropriate effect will be sufficient for this purpose.

2.8 Discharge submitted without an application form

Prior to 12 January 2009 a discharge (including a discharge and deed of restriction, a deed of restriction, a discharge of an ex facie absolute disposition or a reconveyance relating only to the subjects of the application) did not have to be submitted with an application form.  Any application to register such a deed since that date must now be accompanied by the appropriate application form.

2.9 Other defects

It is not the function of Intake Section to spot technical defects in applications submitted for registration. Applications containing such defects will, therefore, enter the application record. Thereafter it will be for the registration officer to raise requisitions or initiate cancellation in the standard way. For details on Requisition Policy see Business Change: Requisition & Rejection Policy & Procedure and on Cancellation procedures see Business Change: Cancellations.

2.10 Inventory of writs - Form 4

Each application for registration must be accompanied by an inventory of writs (Form 4) in duplicate. The Form 4 also serves as an acknowledgement and Intake section will return one receipted copy to the applicant. The Form 4 should list all the deeds and other documents relative to the application. This applies also where the purchaser is aware that the Keeper has already examined the writs referred to for burdens and will not require their resubmission.

Those writs actually included with the application should be clearly indicated on the Form 4 with the letter ‘S’ (an abbreviation for the word ‘submitted’). Those which are not enclosed, but which the agent will submit later, should be marked as ‘to follow’ on the Form 4. Such deeds must be submitted within 60 days of receipt of the application. For guidance on outstanding discharges please see Business Change: Requisition & Rejection Policy & Procedure

While, for example, a disposition and a standard security will require two separate application forms, one Form 4 (in duplicate) will suffice, even where separate solicitors are acting. If the second solicitor requires an acknowledgement from the Keeper, an additional copy of the Form 4 should be enclosed.

2.11 Computer generated versions of the application forms

Land Register application forms are now available on computer disk to allow agents to reproduce the forms electronically. The forms are printed from disk onto single sheets of A4 paper. In order to comply with section 8 of the Requirements of Writing (Scotland) Act 1995, the system encodes a unique electronic identifier on each sheet of the application form where it comprises more than one sheet. Such a unique identifier is essential as it ensures the separate sheets of an application form can be linked together in such a unique way as to ensure there can be no doubt the information contained in the form, and the answers to the questions, relate to the same application. In the absence of such a unique electronic identifier the application form will not be acceptable to the Keeper.

In some limited circumstances, it may be possible to accept a computer generated application form, which contains defects in the unique identifier. To illustrate:

• The application can be accepted if the identifier appears on every page, even if it is hand-written in whole or in part, and if there is no other problem with the form.

• If there is no unique identifier, but the pages are linked in some other way, for example by a seal impressed through all four pages, or by the agent for the applicant signing or initialling every page, the application is generally accepted unless there is some other problem with it.

If there is nothing on the form to suggest a link between the pages then the application will be rejected.

2.12 Documents and evidence required for an application for registration

It is the duty of the applicant to supply any documents and evidence required by the Keeper in connection with the application for registration. The precise nature of the evidence which a registration officer will require to examine, will depend on the type of application and the exact nature of the transaction.

2.13 Documentation to be submitted with an application for first registration

An application for first registration should be accompanied by the following documents:

• Appropriate application forms. An application Form 1 should be submitted in respect of the deed inducing registration. A separate application Form 2 is required for every other deed presented for registration (apart from the exception specified in Discharge submitted without an application form). An inventory (Form 4) should be submitted in duplicate, listing all relevant documents, whether submitted or not.

• The relevant fee, which must be pre-paid. If it is not, Intake section will reject the application and return it to the submitting agent.

• The deed(s) being presented for registration.

• A sufficient progress of title, including any relevant unrecorded supporting documents such as links in title. Note that Companies House provides a search facility against companies that identifies if there has been a change of name. A copy of such a search is not sufficient for the Keeper's purposes. The Keeper is entitled to request the best available evidence to support an application and accordingly the original certificate must be requisitioned. On the same basis, any birth, death and marriage (or civil partnership) certificates being submitted as evidence with an application or for registration (such as where an incapax adult subject to a guardianship or intervention order has died) should be extract certificates and not certified photocopies or photocopies. For further information see Copy Birth, Death and Marriage/Civil Partnership Certificates.

• All deeds outwith the prescriptive progress, which create, vary or discharge rights, burdens or conditions affecting the subjects.

• All outstanding securities and all assignations, restrictions and discharges of outstanding securities.

• The documents submitted in support of an application must contain sufficient information to enable the Keeper to identify the subjects on the ordnance map. A deed containing a full description of the property should be submitted, as should any deed containing a deed plan. Alternatively, the agent should submit sufficient additional information that will enable the Keeper to make such identification.

• Any Form P16 report which has been issued by the Keeper.

• All the necessary consents, renunciations or affidavits in terms of section 6 of the Matrimonial Homes (Family Protection) (Scotland) Act 1981, as amended.

• Any feu duty redemption receipt.

• Any documents or other evidence relating to an overriding interest which the applicant wishes the Keeper to note in the title sheet in terms of section 6(4) of the 1979 Act.

• Any other relevant documentation, such as letters from the superior, Pre-Registration correspondence etc.

2.14 Documents omitted from the application

Agents should list on the Inventory (Form 4), but do not need to submit, common deeds that the Keeper may have examined previously in connection with a research area or with another registration. In these circumstances, where the plans registration officer has advised that the subjects fall within a research area or follow the style of a prior registration, the legal officer should not requisition the deeds but should follow the instructions given on the research area or prior registration. The legal officer may, however, discover the existence of a deed, which was not listed on the Form 4, from the examination of the search sheet. In the situation where such a document is, or may be, essential but which has not been submitted, the officer must obtain sight of the deed. The Keeper is entitled to requisition such documents from the applicant, but before doing so a check should be made in the deeds index to see if the Keeper has previously examined the deed.

2.15 Common deeds

A record is kept on LRS of all deeds added to the burdens section of a title sheet or research area. All deeds or new versions of deeds are automatically added to the deeds index (CDI) whether they are common deeds or not. The deeds search allows the user to view details of the title where the burden was included, and the text, if any. If the deed affects an area covered by a research area, the details of this will be displayed in the element note field. If it is clear from the deeds search result that the deed has been edited for use as a common deed, the officer should not requisition a copy of the deed. The existing version of the deed can be added to the burdens section of the latest title sheet.

The CDI entry may however indicate that the deed has been severed for use in a particular title, or a previous examination of the deed may not have covered a specific point raised by the current application. In such circumstances the officer has no alternative but to requisition the deed. Details on the CDI and the use of common burdens can be found in Burdens .

2.16 Applications to register large estates - sufficiency of evidence

Applications to register the residue of an estate, large blocks of superiority interests, or the landlord’s interest in a number of leases should be checked thoroughly before being accepted for first registration. The documents submitted by the applicant should be checked by a plans registration officer to ensure that there is sufficient evidence to enable the subjects to be accurately identified in relation to the Ordnance Survey Map. Under Section 4(1) of the 1979 Act the Keeper is empowered to reject an application which is not accompanied by such documents and evidence as he requires, and this power should be used in such cases. The following paragraphs indicate what is regarded as sufficient evidence.

2.16.1 Property description

The most important point is the description of the subjects. Descriptions such as:

‘the lands of X described in a disposition (or delineated on a plan annexed to a disposition) recorded XXX under exception of parts sold’

are insufficient. The agent must either incorporate a deed plan in the deed inducing registration revealing precisely what is conveyed therein, or he must submit a certified plan of what he is seeking to register (see above for Applications to register large estates - sufficiency of evidence ). Without such a plan, even a description which refers back to an earlier deed and which lists all the exceptions with recording dates is insufficient. Even if the agent is prepared to submit a copy of every excepted deed and these copies contain sufficient information to identify the exceptions, from the Keeper's viewpoint it is still desirable (in the interests of identifying the subjects quickly and easily) that the agent should also supply a plan of the subjects of the application. However, if the agent does not provide a plan, but clear identification of the extent of the subjects is readily achievable from the copy deeds that are provided, there may be no need to insist that a plan is made available. Some discretion can therefore be exercised in this regard, although in most of these cases a plan is required.

2.16.2 Schedule of feus or leases

In the situation where the subjects in respect of which registration are sought comprise a mixed fee or a block of superiorities or landlord’s interest, either a schedule of feus and/or leases must be annexed to the deed inducing registration, or a separate certified schedule must be submitted. Any such schedule should list all the feus and/or leases with their recording or registration date and feuduty or rent payable and also minutes of waiver affecting the individual feus. Further, it should comply with the Requirements of Writing (Scotland) Act 1995. Where a feuduty has been redeemed, the schedule should reveal this fact. With regard to any schedule of feus the agent must be prepared to certify that the feuduties payable in terms of the original feu deeds are still exigible. If the agent is unable to certify this, the feuduty will not be inserted in the title sheet.

2.16.3 Identification of each feu or lease

Sufficient information to identify the location and extent of each individual feu or lease should be submitted. If the agent is unable to supply this information, it is possible to issue a title sheet in which indemnity is excluded in respect of the location and extent of individual feus or leases. As with any exclusion of indemnity the agent should be advised of the Keeper’s intention before completion of registration.

2.17 Documentation to be submitted with an application for dealing with a whole registered interest

An application for registration of a dealing with a registered interest should be accompanied by the following documents:

• Application forms. A separate application Form 2 will be required for each deed or document presented for registration, along with an Inventory (Form 4) in duplicate. The inventory must list all relevant documents, whether submitted or not.
• The relevant fee. The fee payable in respect of an application for registration of a dealing with a registered interest must be pre-paid. If it is not, Intake Section will reject the application.
• The deed(s) being presented for registration.

• A sufficient progress of title, including any relevant supporting links in title. If there is no qualification in the existing proprietorship section of the land certificate, then the only progress of title required is that linking to the current registered proprietor on the Title Sheet. Note that Companies House provides a search facility against companies that identifies if there has been a change of name. A copy of such a search is not sufficient for the Keeper's purposes. The Keeper is entitled to request the best available evidence to support an application and accordingly the original certificate must be requisitioned.  On the same basis, any birth, death and marriage (or civil partnership) certificates being submitted as evidence with an application or for registration (such as where an incapax adult subject to a guardianship or intervention order has died) should be extract certificates and not certified photocopies or photocopies. For further information see Copy Birth Death and Marriage/Civil Partnership Certificates. 

• All the necessary consents, renunciations or affidavits in terms of section 6 of the Matrimonial Homes (Family Protection) (Scotland) Act 1981, as amended if application is before 22 January 2007. If after that date, has the appropriate certification been provided for the questions on the application form.

• Any other relevant documentation and evidence containing new information about any matter already entered in the title sheet or which will lead to a new entry in the title sheet. Examples include ground burden redemption receipts, superior’s letters and any Pre-Registration correspondence.

2.17.1 Discharges Engrossed on Debound Charge Certificates

The charge certificate contains a warning that no unauthorised alterations should be made to it. The charge certificate is an official document evidencing the rights and guarantees that pertain to the within-named creditor and is a document on which third parties can legitimately place reliance. As such the charge certificate should only be altered by the Keeper. The Keeper is aware that occasionally an agent will dismember a charge certificate in order to update an annexed discharge. When the resultant application for registration of the discharge is submitted the Keeper will not make any adverse comment regarding the unauthorised alteration to the charge certificate.

Such practice by agents is not however to be encouraged. If an agent asks the Keeper for advice on the matter he should be advised that as no unauthorised alterations are to be made to a charge certificate a separate discharge should be prepared.

Where staff become aware that a charge certificate has been altered, other than in the circumstances outlined above, they should report the matter to a senior member of staff. See Omissions in pro forma Standard Securities.

2.18 Documentation to be submitted with an application for a transfer of part of a registered interest

An application for registration of a transfer of part (TP) of a registered interest should be accompanied by:

• Application forms. A Form 3 is required for the deed which induces the transfer. A Form 2 should accompany any other deed being registered (e.g. standard security, deed of servitude, etc). An inventory (Form 4) in duplicate should also be submitted. The inventory must list all relevant documents, whether submitted or not.
• The fee payable in respect of an application for a transfer of part of a registered interest must be pre-paid. If it is not, Intake section will reject the application.
• The deed(s) being presented for registration. The deed inducing a transfer of part will normally include a plan of the subjects being conveyed.
• A sufficient progress of title, including any relevant supporting links in title. If there is no qualification in the existing proprietorship section of the land certificate, then the only progress of title required is that linking to the current registered proprietor on the Title Sheet. Note that Companies House provides a search facility against companies that identifies if there has been a change of name. A copy of such a search is not sufficient for the Keeper's purposes. The Keeper is entitled to request the best available evidence to support an application and accordingly the original certificate must be requisitioned.  On the same basis, any birth, death and marriage (or civil partnership) certificates being submitted as evidence with an application or for registration (such as where an incapax adult subject to a guardianship or intervention order has died) should be extract certificates and not certified photocopies or photocopies. For further information see Copy Birth, Death and Marriage/Civil Partnership Certificates.
• All the necessary consents, renunciations or affidavits in terms of section 6 of the Matrimonial Homes (Family Protection) (Scotland) Act 1981, as amended if application is before 22 January 2007. If after that date, has the appropriate certification been provided for the questions on the application form?
• Any other relevant documentation and evidence containing new information relating to any matter already entered in the title sheet or which will lead to a new entry in the title sheet. Examples include ground burden redemption receipts, superiors’ letters, and any Pre-Registration correspondence.

Note 1: If documents affecting only the parent title (e.g. discharge, deed of conditions, etc.) are lodged with the TP application, they are regarded as dealings with whole of the parent title. Separate Forms 2 and 4 against the parent title must be obtained and separate application numbers taken out on the application record.

Note 2: Where a document is submitted which affects both the subjects in the TP application and subjects belonging to third parties (e.g. deed of servitude, minute of waiver) care should be taken to ensure that any appropriate applications are made against affected title sheets and/or recording in the Sasine Register is arranged.

2.19 Return of deeds and documents to agents

All deeds and documents submitted in support of an application for registration will be returned, on completion of registration, to the agent who originally presented them on behalf of the applicant. If the deeds and documents are to be returned to a party other than the original presenting agent, registration officers must ensure that they obtain written authorisation to that effect, signed by the original presenting agent.

2.20 Application record

The application record is a computerised record of applications for registration. It contains details of the application being registered, including the application number, title number and date of registration. It also contains information on the property address of the subjects being registered, the parties and deed type, the consideration and date of entry.

The application record includes the applicants’ names, and granters’ names. The application record relating to a transfer of part contains the parent title number. The details regarding the property address of a dealing are automatically brought forward from the registered title.

In addition to being a record of work in progress, the application record comprises a record of applications against a particular title number. By searching the application record by title number a Form 12 or Form 13 report can be issued down to the day prior to the date of receipt of the report.

2.21 Application workdesk

The application workdesk on the Land Register System (LRS) is compiled by Intake section and the VIC team. It contains details of any related or attached applications and of the agent’s FAS number and the prepayment unique identifier number (UID). If the dealing is to be attached to another application currently in the Agency, the Vet, Identification and Categorisation team (VIC team) ‘tick’ the ‘to be attached box’. This takes the application out of the unattached dealings turnaround times.

2.22 Application number

This is a number which uniquely identifies each application. It consists of alpha/numeric characters, the first five of which indicate the year and the county. The remaining characters form the annual running number.

2.23 Title number

Each application workdesk contains one title number with the exception of TP applications, which also contain the parent title number. Applications which affect more than one title number have a separate application number allocated and a casebag made up for each title affected. A cross-reference to all the title numbers is made in the Notes and Instructions (N&I) field of the application workdesk.

2.24 Notes and instructions

This field allows staff to include additional information relating to the application, which could be beneficial to an individual searching the application record. Care should be taken, however, only to include notes relating specifically to the application in the N&I field of the Application Workdesk. The Application Workdesk will be cleared from LRS at some point after the application has been completed. This means that any information in the Application Workdesk N&I is lost. Any note that is to be retained against the title should be inserted in the N&I field of the Title Workdesk or, if appropriate, flagged as a next application note (see the following paragraph).

2.25 Next application notes

A next application note on LRS is used to provide information about the title. Such a note is used in the situation where an application has been given effect to, but for which a land certificate has not been issued. As a result of the Land Registration (Scotland) Rules 2006, this situation arises when the application is not a transfer of title. A subsequent search against the title number will show the existence of the next application note.

A next application note can also be added either as a warning or as an instruction to take some course of action when the land certificate is next submitted. For example, a note to refer to plans for plans updates, or information which should be revealed in a Form 12 or 13 report. Next application notes should be compiled for:

• copy in certificates;

• reference to plans update;

• court case pending; and

• possible rectification

• when two land certificates are issued

When completing a next application note, staff must

• tick the ‘Persistent’ box . The Registration Officer dealing with any subsequent transactions will decide if the Note should be removed at that stage and

• consider whether the information should be made available to customers searching on direct access or ordering reports (in which case the ‘Public’ box should be checked) or whether the information should be seen only by the Keeper’s staff.

2.26 Deed type

Details of the deeds to be given effect to in an application will be included in the Application Workdesk. Links in title which support an application are not included, unless such deeds are the only items being given effect to and so actually constitute the deed inducing the application.

2.27 Confirmation of the application

An application when first created is at status ‘Provisional’. Once the information has been compiled, the VIC team confirms the application. It is important that the application is confirmed, as the application details will only be available on Registers Direct once it is at status ‘confirmed’ (K).

2.28 Amendment of the application workdesk

It is the responsibility of the legal registration officer to ensure that the particulars of the application have been correctly entered and make any necessary amendments. Any errors discovered should be amended as soon as possible as an inaccurate entry in the application record could affect ranking in relation to other applications and could lead to the omission of an entry from a report. Retrospective amendment of the application record in material respects is not permissible, except in the limited circumstances described in Incorrect form submitted with an application for registration - amendment of the application record. It is fundamental that the Keeper should not be seen to backdate registrations in any of the Registers. So many important effects flow from priority of registration that the Keeper cannot be seen to alter that priority.

It is not permissible to change applicants' names, where, for example, a deed inducing registration is re-engrossed to the effect that a different or additional grantee is introduced. The interest of the new grantee(s) cannot be treated as having been registered on the original application date. It is not permissible to backdate applications and reinstate deleted applications. It is, however, permissible - provided the agent consents - to change a date of registration of a pending application to a later date. In some cases there will be compelling reasons for doing so.

A Registration Officer wishing to amend a date of registration to a later date should ensure that they obtain a letter of consent from the agent and obtain authorisation from their team leader. The officer should indicate that the date of registration has changed, by inserting a note in the following style in the N&I field of the application workdesk:

‘original date of registration – 7 April 2000’.

In order to help safeguard the integrity of the application record, only designated users with special permissions can amend the date of registration on LRS.

The rule against materially altering the application record retrospectively means that once an application has been cancelled and returned to the presenting agent, it cannot under any circumstances be reinstated in the application record on its original date. Even it the application was cancelled in error, the rule must be strictly observed. In the event of loss being suffered as a result of this, the Keeper would have to consider a claim for indemnity. Once cancelled, an application can only re-enter the application record on the date of its resubmission with a fresh application form.

2.29 Rules of indexing and searching

Intake staff enter names and addresses on the application record, in accordance with rules which standardise the input of application record details. Full details are given in Indexing and Searching.

2.30 Requisition Policy

It is not uncommon for deeds and documents to be omitted from applications for registration. This is acceptable on certain occasions, e.g. when the agent believes that the Keeper has already examined a common burdens deed. Settlers should, however, requisition from the submitting agent such deeds and documents which require to be examined in order to complete the registration process. Please see Business Change: Requisition & Rejection Policy & Procedure (below).

2.31 Copy Deeds from the National Archives of Scotland (NAS, formerly SRO)

Registration officers are reminded that for normal settling purposes the first port of call for requisitioning any deed required to complete an application for registration is the submitting agent and not the National Archives of Scotland (NAS, formerly known as the Scottish Record Office or SRO).

Like other customers of NAS, the Agency pays the prescribed fee for every copy requested. Therefore, agency staff should only be using NAS for copy deeds in the following circumstances:

• where the deed has been mislaid within the Agency;

• where the case is older than two years and a requisition has not as yet been made to the submitting agent;

• where the member of staff is investigating a potential claim on the Keeper’s indemnity;

• where the member of staff is investigating a competition in title;

• where the member of staff is resolving a problem with a registered title which could lead to a potential claim on the Keeper’s indemnity.

Requests for copies of duplicate plans will be processed by specifying the request on the L32 at the time of ordering the deed. This topic is dealt with in detail in the Plans Manual.

Note: The Agency holds copies of archived Sasine deeds for most counties from 1989 onwards. The imaged copies accessible using the RAC (Registers Archive Conversion) search tool and should be obtained using that system where possible.

2.31.1 Copy Birth, Death and Marriage/Civil Partnership Certificates

There are some applications for registration which require to be supported by evidence of the status of one of the parties to a transaction or event affecting a title, for example, to evidence the death of one of the parties to a survivorship destination or the death of an incapacitated adult who was subject to a guardianship or intervention order the effect of which had been registered or recorded.

Under Section 4(1) of the 1979 Act the Keeper is empowered to reject an application, which is not accompanied by such documents and evidence as he/she requires. This allows some discretion as to the standard of evidence submitted. Formerly, registration officers accepted photocopies of certificates of birth, death and marriage (or sometimes civil partnership). Authenticated copies of the entries made in the respective Registers are known as extracts and can only be issued under the authority of the Registrar of Births, Deaths and Marriages. These certificates are subject to Crown copyright and copyright guidance issued by the Registrar essentially prohibits the photocopying of certificates except for record keeping purposes. One of the reasons for this prohibition is that there is potential to use photocopies for the perpetration of fraud, whereas extracts contain certain inherent security features. For these reasons, it is now the Keeper's policy to require the submission of extract certificates and not photocopies, even a photocopy which has been certified as a true copy of the extract by a solicitor. 

In the case of an application to note the termination of the effect of a guardianship or intervention order under the 2000 Act, it is already a statutory requirement that an extract certificate of the adult's death be submitted in support of the application. It should also be noted that since 1 January 2007, an abbreviated extract of death can be issued which does not contain the cause of death, their usual address or details of the deceased's parents. These will be acceptable to the Keeper for evidential purposes.

If satisfactory evidence of the status of the relevant person is not produced to the Keeper with an application, it may be necessary to consider rejecting the application or registering under an exclusion of indemnity. Subject to the exception referred to for evidence of the death of an incapacitated adult referred to, this may depend upon the circumstances of the application, such as whether other clearly satisfactory evidence of death has been produced, for example, confirmation to the deceased's estate.

2.32 Categorisation of Casework

Full details of the allocation of casework in the Land Register is narrated at length in Categorisation of Casework .

2.33 Security of Deeds and Applications

Deeds and applications lost or mislaid in the Agency cause many problems. A lost document may delay the processing of an application, or may involve the agent in the expense of having a deed re-engrossed. In an extreme case, an applicant may be unable to perfect their real right, or the Agency may become involved in a court action to prove the tenor of a lost document. In terms of section 12(1)(c) of the Land Registration (Scotland) Act 1979, the Keeper is liable for financial loss incurred by the loss or destruction of any deed while in his custody.

To help prevent these problems, the following procedures should be adopted by all staff who handle Land Register applications:

• Only one casebag should be open on a workdesk at any one time.

• The application workdesk should be checked to ensure that all related applications are there.

• Only canvas straps or string should be used – in no circumstances should elastic bands or the velcro strips be used.

• The first and last task for anyone opening a casebag is to check the contents of that casebag against the Form 4.

• All documents added to a casebag should also be added to the Form 4.
• For the avoidance of doubt, it is stressed that all evidence of contact between the Agency and applicants or their agents (e.g. letters or records of telephone calls) should be added to the Form 4, although the letter ‘S’ should not be marked against any item which does not require to be returned to the applicant’s agent. If the Agency has received correspondence etc. from a third party in relation to the case, that should be listed on the Form 4 as ‘MISC’, and should likewise not be marked ‘S’ as it will not be returned to the applicant’s agent.

• No casebag or deed should ever be placed in, on top of, beside or near a wastepaper bin.

• Any material removed from a casebag should be noted on the Form 4 and an N & I added to the title workdesk of the LRS. Any deed for registration being returned to an Agent for amendment should be copied beforehand and the copy retained in the casebag.

Occasionally, a check of the contents of a casebag against the Form 4 may reveal deed(s) or correspondence belonging to a different application. The registration officer requires to identify where the application is located and ensure that such deed(s) and/or correspondence are associated with the correct application as soon as possible.

Should the registration officer discover on checking the casebag against the Form 4 that a deed is missing, the casebag should be returned to the registration officer who previously handled the case, requesting that the missing deed be supplied or accounted for. If the missing deed is not to hand, it is the responsibility of the previous registration officer to identify all other casebags dealt with at the time the case was handled to see if the missing deed was inadvertently added to one of the other cases. Should the deed still be missing, the previous registration officer should inform his or her team leader to allow further investigations to be made.

If the missing item cannot be traced and is a copy of a recorded deed, a replacement copy should be obtained from the National Archives of Scotland and added to the casebag by the previous registration officer. A note should be placed on the title workdesk and the Form 4 noted accordingly. If the missing item is an original deed with a plan essential for the preparation of the title plan, or a deed submitted for registration, or if it comprises additional evidence submitted with the application (e.g. matrimonial homes evidence), the case should be referred to a senior team leader to decide on any remedial action. If there is any possibility of an indemnity claim or court action resulting from the loss of a document, the advice of Legal Services must be obtained as soon as it becomes clear that the document is lost.

Sometimes agents submit a large number of deeds and application forms in one package and those deeds and application forms can become separated at Intake stage. If that happens, any spare deeds or documents should be passed to the appropriate team leader in Intake to arrange for such deeds and documents to be associated with the correct casebag.

Anyone borrowing a case from another location should ensure that they take control of the application(s) on the LRS, leave a log-card detailing its current location if it is being borrowed short-term, or complete the details in any ‘borrowed’ book that is kept in a section.

It is stressed that if these procedures are strictly adhered to by all members of staff handling Land Register applications, then the time and effort spent in locating missing deeds etc. will be greatly reduced.

2.34 Rejection and Cancellation of applications

Rejection is defined as non-acceptance of an application for registration by the Keeper. Rejection may occur at any stage of the registration process between receipt of the application in Create section and the point where the application is confirmed at legal settle stage.

Cancellation, on the other hand, refers to the internal procedure carried out by the Keeper to remove the rejected application from the application record. (See the SPIs for FR Cancellations and DW Cancellations and the Business Change Requisition and Rejection Policy and Procedures)[Please note FR and DW cancellation proceedures along with Business Change Requisition and Rejection Policy and Procedures are currently being reviewed. The proceeding links are not active.]

2.35 Statement of policy

The criteria for acceptance of an application for registration are set out in section 4(1) and 4(2) of the Land Registration (Scotland) Act 1979 and in rule 9 of the Land Registration (Scotland) Rules 2006.

The Keeper's policy for rejection of Land Register applications from 10th January 2011 is set out in Registers Update 33. Key points from Registers Update 33 are summarised below.

Applications for registration should consist of the appropriate application forms, the deed, or deeds, to which the application relates and such other documents or evidence as may be required to support the application. In addition, the appropriate registration dues must be tendered, or made available via the Direct Debit facility, at the point of registration. In those cases where an application does not meet these fundamental requirements, the application will be rejected by the Keeper at the point of receipt.

From 10 January 2011, a fee of £30 will be charged on the rejection of an application for registration in the Land Register where that application:

• Is not accompanied by the appropriate, duly completed, application form(s) and inventory form 4;
• Does not provide the appropriate fee payment and/or supporting fee information;
• Is not accompanied by the relevant Stamp Duty Land Tax certificate (if required);
• Does not enclose the deed (or deeds) that is to be registered;
• Is for the registration of a deed containing a plan that is not docketed in conformity with section 8 of the Requirements of Writing (Scotland) Act 1995;
• Is for the registration of a Disposition by the granter(s) to themselves in the same capacity (A to A, A and B to A and B etc) other than to discharge or waive a survivorship destination;
• Is to register a deed from which the requisite Title Number has been omitted (this will not apply to a Discharge of a Standard Security that was recorded in the General Register of Sasines);
• Is made by a party other than a solicitor or licensed conveyancer and is not accompanied by the requisite RoS ID Form;
• Is to register a constitutive deed in terms of the Title Conditions (Scotland) Act 2003 and only some, but not all, of the requisite forms and/or registration fees are provided;
• Is made in respect of a Deed of Variation of a Standard Security that was recorded in the General Register of Sasines but no application is made to register the Standard Security in question;
• Affects more than one registered interest but is not accompanied by the requisite application forms and/or registration dues in respect of all of the affected titles;
• Is an application for voluntary registration that has not been agreed in advance with the Keeper (in these circumstances, the Keeper may exercise discretion as to whether such applications are to be rejected);
• Is made in respect of a creditor who no longer has a legal right in the security assets (for example following a transfer of engagements);

The foregoing list sets out the common reasons for the rejection of an application at the point of receipt. However, this should not be regarded as an exhaustive list as it may be added to on a permanent or temporary basis, if required, by statutory or common law developments or for other reasons.

Under subsections 4(2)(b) and (c) of the 1979 Act, the Keeper is obliged to reject applications relating to souvenir plots and applications which are frivolous or vexatious. However, it is not normally possible for Create staff to determine from the face of the application whether it falls within the terms of one of the above subsections. A thorough examination of the application is required before the decision can be taken that the application relates to a souvenir plot or is frivolous or vexatious.

Applications for registration which, after examination, are deemed to relate to souvenir plots, or to be frivolous or vexatious, will be cancelled (See 2.37 below).

2.36 Rejection procedures

Applications that fall within the categories defined in the previous Section, will be returned to the submitting agent. All documents, forms and cheques will be returned with an explanatory letter.

Applications that are cancelled (See 2.37 below) at a later stage during the registration process will be dealt with in terms of the cancelled (See 2.37 below) procedures.

Updated January 2011

2.37 Cancellation of Applications

For Cancellation procedures see the SPIs for FR Cancellations and DW Cancellations

Where the cancellation has arisen from an incorrect title number quoted by the agent, the new application will not under any circumstances be backdated to the date on which the erroneous application was accepted. Instead, the date of registration will be the date on which the new application is entered on the LRS. This rule must be strictly followed in all such cases.

Where an error has been caused by Registers of Scotland staff, the same rule will normally apply; the date of registration of the new application will be the date on which the new application is entered on the LRS. Any instance where registration staff consider that there may be a case for retaining the original date of registration should be referred to an officer of senior caseworker level or above, who will balance the risks of a claim resulting from the Agency's error against the risks of a claim by a party who has relied on a search of the application record (e.g. on Registers Direct) prior to the correction being made. It is stressed, however, that the normal presumption is against backdating applications, even where an error has been made by registration staff. 

Sections 2.38-2.40 inclusive are not in the Legal Manual

2.41 Procedures - partial cancellation of an application

2.41.1 Settler responsibility

Where partial cancellation of an application is required (e.g. where registration of a standard security is rejected while registration of the accompanying disposition is to proceed), the settler should pass the application to his or her team leader with an explanation of the reasons why cancellation is sought. The settler should include a completed form L21B. The team leader will confirm whether the cancellation is authorised. Subject to authorisation, the settler should then pass the application to the cancellation officer.

2.41.2 Cancellation officer responsibilities

The procedure for the cancellation officer following receipt of a valid request for partial cancellation is as follows:-

1. 1. A cancellation number should be assigned;
   2. Form L21A should be completed and sent to Reports Section (stressing that it relates only to a partial cancellation);
   3. Letter L52 should be completed in duplicate;
   4. The relevant entry should be deleted from the application workdesk;
   5. The cancellation details should be added to title workdesk Notes & Instructions;
   6. The deed(s) to which the cancellation relates should be copied, the copy deed(s) being placed with the L21B in the casebag;
   7. The deed(s) to which the cancellation relates should be returned to the submitting agent with the L52;
   8. The second copy of the L52, together with a copy of the L21B, should be sent to the prepayment supervisor in finance section.

The cancellation officer should then return the case to its originator.

2.42 Requisition Practice

Statement of Policy

The Keeper’s policy on requisitions is governed by section 4(3)(b) of the Land Registration (Scotland) Act 1979 and by rules 12,13 and 18 of the Land Registration (Scotland) Rules 2006.
Rule 13, in particular, states that where an applicant has been requested by the Keeper to take action to make an application acceptable for registration, the Keeper must allow a ‘reasonable period of time as may be fixed by the Keeper and intimated to the applicant, being not less than 60 days…’.

In practice a reminder, including a faxed copy, has always been sent at the end of the 60 day period, however due to the increasing costs of the administration of this service it has been decided that no such reminder should be issued; this change is effective in relation to applications received on or after 1 Sep. 2010.  Instead of sending a fax of the reminder the submitting agent will instead be sent an e-mail at the time the initial requisition is raised, provided an e-mail address is given on the application form (as requested).  The e-mail should be in the following terms:

Your Ref:
Title No.
Subjects:

Please note for information: this email is to notify you that in terms of section 4 of the Land Registration (Scotland) Act 1979 this office has issued a letter to you for the purpose of requisitioning additional evidence in respect of the above application. For the avoidance of doubt, this letter is not attached and will be sent separately to this advisory e-mail. You are asked to note that a response to this letter should be submitted within 60 days of the date shown on the letter.

Please do not reply to this email

The fact an e-mail has been sent should be noted on the copy of the letter being held with the application.  If no e-mail address is provided the fact that an e-mail has not been sent should be noted on the copy letter.

The Keeper’s policy, therefore, is as follows:-

2.42.1 Application received prior to 1 Sep. 2010

1. 1. An initial period of 60 days is allowed for the agent to comply with the requisition.
   2. If the agent does not respond to the initial requisition, then a further period of 15 days will be allowed, with an L12 reminder letter being both faxed and sent by Royal Mail/DX/Legal Post to the agent.
   3. Failure to respond to the L12 reminder will result in the application being registered with an exclusion of indemnity, if possible, or being rejected and cancelled, if not.

The existence of subsequent applications may require that the potential cancellation be considered taking account of the matters detailed under exceptional circumstances below.

2.42.2 Application received on or after 1 Sep. 2010

• • An initial period of 60 days is allowed for the agent to comply with the requisition.  An e-mail should be sent to the agent advising them that a requisition is being raised.
  • Failure to respond to the requisition will result in the application being registered with an exclusion of indemnity, if possible, or being rejected and cancelled, if not.

Note that no notification will be sent to agents who have submitted a later application that would also fall to be cancelled along with the lead application.  The possibility of this happening has been raised as part of Registers Update 28 being issued to coincide with the change of policy; however the existence of subsequent applications may require that potential cancellation be considered taking account of the matters detailed under exceptional circumstances below. Registers Update 28 states that:

"In those cases where a requisition is not met within the specified timescale with the result that the application in question, and any applications subsequent to that application, fall to be cancelled, we will not, as a general rule, routinely contact the solicitor who submitted a subsequent application to advise them of the decision to cancel that application. However, we may exercise discretion and do so in some cases; for example, where the transactions in question relate to a large development and a significant number of applications are dependent on the lead or principal application that is to be cancelled".

It should be noted that contacting any subsequent agent is discretionary depending on the implications of cancelling the initial application (e.g. 2/3 applications, whether DW or TP applications, would not usually trigger the need to contact their agents, whereas a dozen TPs subsequent to the application being cancelled is more likely to justify further contact.  For the avoidance of doubt, if agents for subsequent applications are contacted regarding potential cancellation there should be no further extension to the time specified for a response.

2.43 Exceptional Circumstances

If the agent responds within the 60 day period but cannot comply with the requisition within that time, then he must provide a compelling case for an extension to be granted. One further period of 15 days may be allowed, if the circumstances permit (for example, if the requisition relates to particularly complex title difficulties and/or there are multiple cases involved), but not where copies of recorded deeds are required and the ROS copy deeds service could have been used – see Copy Deeds from the National Archives of Scotland (NAS, formerly SRO) (above). 

In exceptional circumstances, discretion may be applied and a reasonable period for compliance may be agreed, but both parties must be clear about the expiry date of the agreed period. Additionally, if such discretion is being applied, the advice and agreement of the team leader must be sought and obtained first.  If failure to respond will result in an exclusion of indemnity there is a less compelling argument to grant an extension.

If the agent fails to respond within the agreed timescale, then the application will be registered with an exclusion of indemnity if possible, or be rejected and cancelled if not.

An example of when it may be appropriate to delay cancellation for a further period is where the lead application is a developer's title and there are a significant number of Transfer of Part applications that would also be cancelled.  The agent who is addressing the requisition should be reminded in this instance that the subsequent applications will also fall to be cancelled; the agents for these subsequent applications should not be written to individually.  Alternatively a title may be so complex, and an exceptional amount of time already invested by RoS staff, that the cancellation and subsequent requirement to re-do work is disproportionate to the administrative work of retaining the application.  In these instances it would be more appropriate to uniquely manage the requisition process to suit the circumstance of the case, including potentially telephone discussions to highlight the impact of non-compliance on subsequent applications.

When considering such extensions it should be borne in mind that these are exceptions and merely the existence of a subsequent application would not lead to an automatic extension.  The prospect of these subsequent applications received after 1 Sep. 2010 being cancelled without any recourse to the submitting agent has been included in Registers Update 28.  The Keeper considers that the letter accompanying the cancellation is sufficient notification of this action in terms of rule 18(1) of the said rules, however as previously stated there may be circumstances when contacting an agent for a subsequent application is considered appropriate.  Any extension granted as a consequence of writing to an agent for a subsequent application should not be further extended.

2.44 What to requisition and what not to requisition

The following is a list of items which do not normally require to be requisitioned.

2.44.1. Matrimonial Homes Evidence

MH evidence should not be requisitioned under any circumstances.

(a) Where MH evidence is required and sufficient evidence has been submitted, then Note 1 should be added.

(b) Where MH evidence is required but has not been submitted, or is insufficient, then the appropriately qualified note should be added. No further enquiry will be made by the Keeper.

2.44.2. Discharges/ Deeds of Restriction

Where there is an undischarged standard security over the property and no discharge or deed of restriction is listed on the Form 4, it should not be requisitioned.

The application should be registered as submitted, showing the outstanding standard security in the charges section.

2.44.3. Discharges/Deeds of Restriction marked ‘to follow’

Again, these deeds should not be requisitioned, nor should the applications automatically be placed in standover.
At legal settle stage, the settler should check whether a further application containing the discharge or deed of restriction has been submitted.

• If such an application has been received and is in order, the two applications should be settled together and the title sheet updated so as not to disclose the standard security; provided this is possible taking account of any intervening applications.

• If no further application has been received it should be registered as originally submitted, with the outstanding security being shown in the charges section.

2.44.4 Certificates of Registration of Charge

Certificates of registration of charge should not be requisitioned.

In compliance with the statement on the L19, a period of 60 days, from the date of the L19, will be allowed for the agent to submit the document. No further time will be given.

If the document is not received within the 60 days, then registration will be completed and indemnity will be excluded from the charges section.

All other evidence, information, documents and amendments required in order to complete registration of the application should be requisitioned in accordance with the procedures set out in Requisition Procedures (below).

A list of the more common requisitions and how to deal with them is included in Requisition Procedures Practical Guidelines (below).

2.45 Requisition Procedures

The following procedures should be strictly adhered to when requisitioning information from or returning documents to agents.

2.45.1.1 Application prior to 1 Sep. 2010 - Standard Procedures

• • Send the L11B, or other appropriate letter, making the requisition or returning the original of the deed which requires amendment to the submitting agent by post (DX, Legal Post or Royal Mail).

• • Add a note to the application workdesk notes and instructions detailing the action taken, place a copy of any returned deed in the casebag and send the casebag to standover for 60 days.

• • (i) If the agent complies within the 60 days, the application for registration can be completed without further delay.

• • (ii) If the agent does not respond within the 60 days, an L12 reminder must be faxed to the agent, with the principal copy of the faxed L12 letter following by post (DX, Legal Post or Royal Mail).  If the application is to be cancelled if no further response then notification of this should be made to the agent for any pending application that would also be cancelled as a consequence.

• • (iii) If the agent does not respond to the L12 reminder, then the application is registered with an exclusion of indemnity, if possible, or rejected and cancelled forthwith, following current cancellation procedures, if not.

• • Consideration should be given as to whether a subsequent application can proceed even though a prior dealing has been cancelled, albeit subject to an exclusion of indemnity; the submitting agent for the subsequent application should be advised of this but the case should not be delayed.

2.45.1.2 Application on or after 1 Sep. 2010 - Standard Procedures

• • Send the L11B, or other appropriate letter, making the requisition or returning the original of the deed which requires amendment to the submitting agent by post (DX, Legal Post or Royal Mail).
  • Send an e-mail advising the agent that a requisition is being raised (provided an e-mail address is provided).
  • Add a note to the application workdesk notes and instructions detailing the action taken, place a copy of any returned deed in the casebag and send the casebag to standover for 60 days.

• • (i) If the agent complies within the 60 days, the application for registration can be completed without further delay.

• • (ii) If the agent does not respond, then the application is registered with an exclusion of indemnity, if possible, or rejected and cancelled forthwith, following current cancellation procedures, if not. No reminder should be sent, nor is there a requirement for the Keeper to notify the agent for any subsequent application of this action, except in exceptional circumstances.

Consideration should be given as to whether a subsequent application can proceed even though a prior dealing has been cancelled, albeit subject to an exclusion of indemnity; the submitting agent for the subsequent application should be advised of this but the case should not be delayed.

2.45.2 Exceptional Procedures

• • If the agent responds within the 60 days but cannot comply with the requisition within that period, one further period of 15 days will be allowed. Any extension to that period must be agreed with the team leader and the agent.

• • If there are a significant number of subsequent applications that would also fall to be cancelled it may be considered appropriate to extend the time limit for a response.

• • If a significant amount of work has already been put into an application prior to the point where cancellation becomes a possibility and this work would have to be re-done then consideration should be given to an extension of the time limit.

• • In any circumstance when the time limit is extended it should be for a definite period of time and the consequence of non-compliance, including potential cancellation of further applications, should be clearly set out.

If the agent does not respond to the requisition within the agreed timescale, then the application is registered with an exclusion of indemnity, if possible, or rejected and cancelled forthwith, following current cancellation procedures, if not.

2.45.3 Practical Guidelines

Undernoted is a table containing some of the more common requisitions made by the Keeper and what action is required by the settler. The list is not exhaustive and any other requisitions must comply with these procedures, further the secondary actions listed below should only be undertaken for those applications received before 1 Sep. 2010.

Note: Following standard practice, exclusions of indemnity must be authorised by a senior team leader or senior caseworker.

2.45.4 Variations of recorded standard securities

Applications for registration of deeds of variation of recorded standard securities which are not accompanied by an application for registration of the recorded standard security itself should be rejected by intake staff. All such applications will be returned to the agent so that the correct application forms and registration fee for registering the standard security and the deed of variation may be submitted.  Should such an application be received by a settler and the standard security has not previously been registered then a requisition should be raised advising that the security must be registered or the application relating to the deed of variation will be cancelled.