Scottish Government

14.1 Public bodies are under a statutory duty to promote race equality and monitor their policies for any adverse impact on the promotion of race equality. Local authorities should ensure that they take full account of their duties under the Race Relations Act 1976, as amended by the Race Relations (Amendment) Act 2000, in implementing and administering the improvement and repair grants system. This will include monitoring the grant system for any adverse impact on race equality and reviewing the system as appropriate, as well as ensuring equal access to information and services relating to grants.

14.2 The local authority could monitor whether the number of applications from various racial groups are representative of the community, and whether the rates of applications approved are representative. Depending on the authority's procedures for processing applications, it may also be relevant to examine the proportion of initial enquiries which result in formal applications. In monitoring applicants' ethnic background, local authorities are recommended to use the categories set out in the Commission for Racial Equality's guidance, "Ethnic monitoring: a guide for public authorities in Scotland".

14.3 The profile of applications received and approved may depend significantly on the authority's priorities for grant. For example, if priority is given to applicants involved in mixed-tenure improvements initiated by the authority or an RSL, the areas chosen for improvement may affect the proportions of different racial groups among successful applicants for grant. If priority is given to older people, the different age profiles of different racial groups will have an effect. Local authorities will need to ensure that their overall policies on investment in private sector housing, as well as the particular implementation of the improvement and repair grants system, allow them to meet their responsibilities under the Race Relations Act.

14.4 In order that information on the availability of grants and the application process is accessible to all communities, local authorities should consider making information available in other languages, where appropriate, and in appropriate locations, for example where community groups meet. Relevant information will include notices, leaflets, application forms, information for applicants and standard letters. People for whom English is not their first language should also have equal access to services to help them complete their application, and to Care and Repair or similar services to help disabled people and those over 60 to arrange the works to their home.

14.5 Local authorities also have duties under the Disability Discrimination Act not to discriminate against disabled people in the provision of services. Under the DDA, discrimination occurs where a disabled person is treated less favourably than someone else, the treatment is for a reason relating to the person's disability, or the treatment cannot be justified. Discrimination also occurs where there is a failure to make a reasonable adjustment (in the way the service is provided) for a disabled person, and that failure cannot be justified.

14.6 It should be borne in mind that disabled people do not only access grants for adaptations; they may equally require grant for other purposes such as common repairs, or be involved in mixed-tenure improvement schemes. Although services such as Care and Repair may be of assistance, disabled people should be enabled as far as possible to deal with their application independently if they so wish.

14.7 Information, application forms and letters may be required in a variety of formats to be accessible to disabled people. Braille, large print and audio tape are the most commonly used, as well as information on computer disc which can be enlarged on screen or converted to speech. Application forms may be made available to be completed on computer, then printed out and signed. Authorities should also ensure that, from October 2004, reasonable adjustments are made to their premises to ensure access for disabled enquirers and applicants. Grants officers and other staff, such as surveyors, should have appropriate training in dealing with clients with particular needs.

15.1 A booklet for potential applicants on the full scope of the improvement and repairs grants system is available from the Scottish Executive, and on the Scottish Executive website. Supplies can be provided to local authorities to issue to enquirers.

15.2 The Scottish Executive booklet makes clear that many local authorities limit the circumstances or types of work for which grants are available. It is expected that each authority will provide more detailed information for its own residents on local policies and priorities, to help them decide whether to apply for a grant.

15.3 Another factor influencing their decision will be the amount of grant an individual is likely to receive. The Scottish Executive booklet explains the main features of the assessment of applicant's contribution, and provides an outline "ready reckoner". A more detailed estimate can be obtained using the online calculator on the Scottish Executive website. Local authority grants officers should also be ready to explain the system and provide outline estimates to enquirers, but are not expected to provide a full assessment until a formal application is submitted.

15.4 Those dealing with initial enquiries from potential applicants should seek to obtain sufficient information to identify what type of grant is required, so that the appropriate form and information can be issued.

15.5 An application for Improvement or Repairs Grant must be in the prescribed form and contain full particulars of:

a) the proposed works, including plans and specifications
b) the land on which the works are to be carried out (so that the local authority can confirm that the owners of every piece of land have given consent)
c) the estimated costs
d) the information required for the assessment of applicant's contribution.

15.6 The Housing Grants (Application Forms)(Scotland) Regulations 2003 set out the four prescribed forms, each of which is to be printed in a different colour. These are:

a) Improvement grant not relating to works for a disabled occupant (Blue)
b) Improvement grant relating to works for a disabled occupant (Purple)
c) Repairs grant (Green)
d) Grant for a means of escape from fire for a house in multiple occupation (Brown)

15.7 There are slight differences in the questions in each form, reflecting the different requirements particularly in relation to the age of the house and eligibility of tenants to apply for grant. There are six sections, covering:

A the address of the property, the applicant, the owner(s) of the property and the applicant's agent, if any;
B details about the property and the proposed works and costs;
C the applicant's relationship to the property, to confirm which assessment method applies;
D information required for the occupiers' assessment;
E information required for the non-occupiers' assessment;
F declarations and signatures.

15.8 An extra section, D(Additional), collects information required for the occupiers' assessment from joint owners / joint tenants / joint liferenters. This section is provided as a separate document, to be issued by the local authority as required. One copy of D(Additional), for the appropriate type of grant, must be completed for each joint owner / joint tenant / joint liferenter, and attached to the main form at the end of part D. Every person whose details are given in part D and D(Additional) must sign the main form at part F.

15.9 The form for works for a disabled occupant has sections A to D only, plus the declaration for signature. No information on joint owners / joint tenants / joint liferenters is required in this type of application, and the application cannot be made by a non-occupier.

15.10 These are prescribed forms and must be reproduced exactly as in the regulations. Local authorities may not add logos or contact details, nor change the questions in any way. The forms may be provided in other languages or other formats, provided it is a faithful translation/transcription of the text of the prescribed form. Supplies of forms may be purchased from the Scottish Executive's printer, or the design can be provided electronically for local authorities to have printed elsewhere. For details, please contact

Jean Waddie
Housing Division 2
Scottish Executive
Victoria Quay
EDINBURGH
EH6 6QQ
or email Jean.Waddie@scotland.gov.uk

15.11 The local authority will need to provide additional information to applicants, including contact details, guidance on completing the application form, verification documents to be provided, and monitoring forms. The authority must also obtain the written consent of the owner of the property, and may wish to ask applicants and other relevant persons to sign a data protection release. Exemplars of all these accompanying notes can be obtained from the address above.

15.12 The forms request only brief details of the works and costs, leaving the detail to be provided in the form of plans, specifications and estimates. The local authority will need to advise applicants what is required, in terms of sketches, scale drawings or architect's plans, and the number and detail of estimates to be submitted. Where information necessary to process the application will be evident from the detailed description of works, it is not separately requested in the application form. Grants officers will therefore need to scrutinise the detail of works to determine whether a minimum percentage grant applies or whether the works meet criteria for enhancement of grant under the non-occupiers' assessment.

15.13 Local authorities may choose to use a two-part enquiry/application process. Under such a system, initial information on the proposed works would be gathered first, so the applicant can be advised whether they would be eligible for grant, and whether a minimum percentage grant applied. Information for the assessment of applicant's contribution would be collected at a later stage when funds are available to award the grant. If such a system is used, it should be noted that a valid application has not been made until all the information listed in paragraph 15.5 is provided.

15.14 The local authority will wish to satisfy itself that the information provided in the application form is complete and accurate. In particular, the authority will require verification of ownership of the property, and of income and benefits received (for owner-occupiers etc). The authority may require an applicant to provide such information as they consider necessary, within a reasonable period that they may specify.

15.15 The type and amount of evidence requested should be reasonable in proportion to the approved expense and to the applicant's circumstances. Where the applicant has a number of sources of income, perhaps including self-employment, more detailed evidence will be required than for an applicant with just one full-time job and little in the way of savings or investments. It is the applicant's responsibility to provide information, and to obtain it from their employer or other provider of income if necessary. If the local authority has not previously applied any means testing to housing improvement and repair grants, it may be helpful to consult other departments, such as Finance or Social Work, to draw on their experience in devising verification procedures.

15.16 If the applicant fails to provide sufficient information to satisfy the local authority that the details in the application form are accurate, the authority has three options:

a) it may disregard the application, ie, refuse to process it further;

b) it may seek prosecution of the applicant, if the authority believes they have deliberately sought to obtain grant fraudulently; or

c) if the failure relates only to financial information, and a minimum percentage grant applies, the authority may offer the applicant the minimum percentage grant.

15.18 It is an offence to:

a) knowingly or recklessly make a false statement in a grant application, or in response to a request for additional information for verification purposes;
b) fail to notify the local authority of any material change of circumstances relating to a grant application; or
c) fail to provide information requested by the local authority for verification purposes.

The penalty for any such offence is a fine up to level 3 on the standard scale (currently 1,100).

15.20 The local authority may wish to seek the applicant's permission to use other information available to the authority to check the information in the application. For example, information on residence and property ownership may be held in electoral and council tax records. Other records might indicate a possible source of income that has not been declared, such as from an activity licensed by the local authority.

15.21 The local authority must ensure at all times that its processing of personal data complies with data protection and human rights legislation. If other sources of information are to be used to verify information given in grant applications, the authority must check that this use is covered by its data registration, and update its registration where necessary.

16.2 Where the local authority approves an application for grant, they must write to the applicant, and the owner if different from the applicant, with the following information:

a) the approved expense. If the approved expense is less than the amount estimated in the application, the letter must explain why;
b) the applicant's contribution;
c) the amount of the grant, and whether it is a minimum percentage grant;
d) the time within which the works are required to be carried out. The local authority may choose to set a condition that the improvement works are carried out within a specified period, of not less than 12 months.

16.3 Where the local authority refuses the application, they must write to tell the applicant the grounds for refusal.

16.4 These letters should be provided in languages other than English, or alternative formats, where appropriate.

16.5 There is no statutory provision for review of a decision to refuse an application for grant.

16.6 The applicant can request a review of the calculation of the applicant's contribution. The review must be requested within 21 days of the date of the notification letter, unless the local authority is content to allow a longer period. The review must be carried out by a person senior to the person who made the original assessment, and who had no involvement in the original assessment. The authority must write to inform the applicant of the decision reached on review. No further review can then be requested.

16.7 There is no specific provision for a review of the valuations made as part of the non-occupiers' assessment. Valuations may be regarded as a professional opinion, equivalent to an opinion on whether works are necessary and eligible for grant. However, a second valuation may be offered if the local authority wishes to do so.

16.8 If the applicant disputes the decision to refuse a grant, or the review of the applicant's contribution, they may, of course, make a complaint through the local authority's standard procedures. If this does not settle the matter, they may ultimately have a case to approach the Ombudsman or the courts. Information on these procedures should be provided to any applicant who disputes a decision.

16.10 Payment of grant is also on condition that the works are executed to the satisfaction of the local authority. The grants office may wish to check that a completion certificate has been issued, if required, before authorising payment. In the case of adaptations, the occupational therapist may also wish to check that the work has been done to the required specification. However, it should be made clear to the applicant at all stages that they are responsible for paying, or authorising payment to, the contractor, and they should ensure the work is to their own satisfaction, and in line with their specifications, before doing so.

16.11 Various building contractors' organisations, such as SNIPEF, operate licensing schemes for their members. The schemes vary in their requirements and monitoring. Greater consistency may result from current developments in connection with the establishment of the Construction Licensing Executive within the private sector. There will also in due course be Approved Certifiers of Construction in terms of the Building (Scotland) Act 2003. Local authorities may wish to consider recommending to applicants that they use contractors approved under such arrangements, but they should note that no conditions, apart from those set out in 17.1, can be required as a prerequisite of approving grant. Applicants therefore cannot be required to use approved contractors, except where this is a statutory requirement (as for gas installation).

16.13 The balance of the grant, if paid in instalments, should be paid within one month of completion of the works, as for grant paid in one payment. If the works are not completed within 12 months of the payment of the first instalment, then the authority may demand repayment of all instalments paid to that date, with interest.

a) the house shall be used as a private dwelling. This does not exclude use of part of the house as a shop or office, or for other business, trade or professional purposes.
b) if the house is occupied by the owner or a member of his family, it must be their only or main residence. This excludes payment of grant on second homes.
c) the house must, as far as practicable, be kept in good repair.

17.2 These conditions are binding on the owner(s) of the property and are deemed to be part of any lease or tenancy of the house while they apply. They are required to be registered in the Land Register or recorded in the Register of Sasines, using the form prescribed in the Housing Grants (Form of Notice of Payment)(Scotland) Regulations 2003, referenced at Annex C3. The charge for recording this notice is to be paid by the applicant. The local authority usually deducts the charge from the amount of grant paid. (If the applicant is a tenant at will, the local authority must keep a written record).

17.3 The date from which the conditions apply is the date on which the final payment of grant is made.

17.4 The local authority may at any time require the owner of the house to certify that the conditions are being observed. If the conditions are breached, the grant must be repaid, with interest, unless the local authority waives the requirement. The consent of Scottish Ministers is required to waive repayment. Once the grant has been repaid, the conditions no longer apply and a notice to that effect is recorded in the Land Register or Register of Sasines, once again at the expense of the applicant for grant, using the form prescribed in the Housing Grants (Form of Cessation or Partial Cessation of Conditions Notice)(Scotland) Regulations 2003 referenced at Annex C4. The owner may voluntarily repay the grant in order to lift the conditions.

18.1 If the local authority is satisfied that there are good reasons for setting an approved expense above 20,000, they may apply to Scottish Ministers for approval to do so. Approval will normally be given, provided that the costs can be justified and the works are eligible.

18.2 An application for approval to exceed the maximum approved expense should include the following information:

a) name of local authority
b) address of the property
c) type of grant (Improvement non-disabled / Improvement disabled / Repair / Fire escape)
d) brief description of works
e) reason for requirement to exceed maximum expense, including whether this is due to historical or architectural interest
f) approved expense required (including fees and VAT).

18.3 If the request relates to a grant already approved by the local authority, where the expense needs to be increased to take account of unforeseen works, the request should show the amount already approved and the reason for increase. If the initial amount was above the statutory maximum, the reference from the original approval by Scottish Ministers should be quoted.

18.4 Where a further grant is applied for, in respect of the same property, within 10 years, the maximum approved expense is reduced by the amount of the previous grant or grants (see paragraph 9.5b). That reduced limit can be exceeded, with Scottish Ministers approval. In such cases, the application for approval should quote the reduced maximum, and the reason for awarding a further grant at a higher level must be justified.

Applications should be sent to:

Miss E Douglas
Housing Division 2
Scottish Executive
Victoria Quay
EDINBURGH
EH6 6QQ.

19.1 The new grants system described in this guidance comes into operation from 1 October 2003. Any applications not approved or refused before that date must be processed according to the new system, except those described in 19.4.

19.2 All applications approved before 1 October 2003 will normally continue to be handled and paid according to the rules in place at the date of approval. However, where work has not started, the applicant may ask for that grant to be withdrawn, and may reapply under the new system. Local authorities will wish to consider whether such reapplications should be given priority, or treated in the same way as an entirely new application submitted on the same date. It should be noted that the minimum period of 12 months for completion of the works will restart from the date of approval of a reapplication, since it is, in legal terms, no different from a completely new application.

19.3 There may be some applications which have been submitted before 1 October 2003, but have not been approved or refused by that date. In these cases, the local authority will need to ask the applicant for the additional information required to process the application according to the new system, including the assessment of applicant's contribution. It is not necessary to start the application completely afresh, nor to repeat any processing already carried out. Any information already held by the local authority in relation to the application can be transferred directly to the new system.

19.4 The only applications which may be processed under the old system after 1 October 2003 are those where enforcement action has been taken before that date, ie

a) an Improvement Order has been issued; or
b) a Repair Notice has been served; or
c) a notice has been served informing the owner of the property of a resolution establishing a Housing Action Area under which improvements are required; or
d) a notice has been served requiring provision of a means of escape from fire in a house of multiple occupation.

19.5 Any application made in relation to works required by such a notice or order, within 2 years of the date of the notice or order, may be processed according to the old grants system, if preferred. However, it is for the applicant to choose which system applies in such cases. The local authority should therefore ensure that sufficient information is available to applicants in this situation to allow them to balance the amount of grant available under each system against the requirement to provide additional information for the assessment. Although applications for grant may be accepted on this basis up to 2 years from the date of the notice or order, this does not affect the time limit set for complying with the notice or order.

19.6 Where the old system is selected, all the provisions apply as they were before 1 October 2003, including the maximum approved expense and limited eligible works.