Agenda Document Pack - Grampian Valuation Joint Board - 28/08/2026
Moray Council · 28 August 2026
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Grampian Valuation Joint Board Friday, 28 August 2026 NOTICE IS HEREBY GIVEN that at a Meeting of the Grampian Valuation Joint Board is to be held at Council Chambers, Council Office, High Street, Elgin, IV30 1BX on Friday, 28 August 2026 at 09:30. BUSINESS 1. Sederunt 2. Declaration of Financial and Other Interests 3. Minute of the meeting held 26 June 2026 5 - 10 4. Written Questions ** 5. Internal Audit Annual Report 2025-26 Report by Service Manager Internal Audit and Risk 11 - 14 6. Revenue Budget Monitoring Statement 1 April to 31 July 2026 Report by Treasurer to the Board 15 - 20 7. Records Management Report by Assessor and ERO 21 - 52 8. Staff Vacancies, Recruitment and Upskilling Existing Staff Report by Assessor and ERO 53 - 56 9. Question Time Page 1
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GUIDANCE NOTES * Declaration of Group Decisions and Members Interests - At the beginning of the meeting, immediately following the Sederunt, the Convener will, in terms of Standing Order 25, seek declarations from individuals on any financial or other interests. ** Written Questions - Any member can put one question to the Convener about relevant and competent business not already on the Agenda for a meeting of the Board. No member can put more than one question at any meeting. The member must give notice in writing of their question to the Clerk 4 working days prior to the meeting. A copy of any written answer provided by the Convener will be tabled at the start of the relevant meeting. The member who has put the question may, after the answer has been given, ask one supplementary question directly related to the subject matter but no discussion will be allowed. *** Question Time - At each ordinary meeting of the Board, 10 minutes will be allowed for question time when any member can put one question to the Convener regarding any matter within the remit of the Board. The Member who has put the question may, after the answer has been given, ask one supplementary question directly related to the subject matter, but no discussion will be allowed. In the event of further information/investigation being required in order to answer the question, the Clerk who will arrange for a written answer to be provided within 7 working days. Page 3
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Grampian Valuation Joint Board SEDERUNT Councillor Donald Gatt (Chair) Councillor Stephen Smith (Depute Chair) Councillor Richard Brooks (Member) Councillor Mark Findlater (Member) Councillor Moray Grant (Member) Councillor Dell Henrickson (Member) Councillor Neil MacGregor (Member) Councillor Marc Macrae (Member) Councillor Ciaran McRae (Member) Councillor Sam Payne (Member) Councillor Mel Sullivan (Member) Councillor Iain Taylor (Member) Councillor Lynn Thomson (Member) Councillor Sonya Warren (Member) Clerk Name: Lindsey Robinson Clerk Telephone: 07966 120593 Clerk Email: committee.services@moray.gov.uk Page 4
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MINUTE OF MEETING OF THE GRAMPIAN VALUATION JOINT BOARD Friday, 26 June 2026 Council Chambers, Council Office, High Street, Elgin, IV30 1BX PRESENT Councillor Mark Findlater, Councillor Donald Gatt, Councillor Dell Henrickson, Councillor Neil MacGregor, Councillor Stephen Smith, Councillor Lynn Thomson, Councillor Sonya Warren SUBSTITUTES Councillor Paul Johnston (for Councillor Moray Grant), Councillor Trevor Mason (for Councillor Iain Taylor) APOLOGIES Councillor Richard Brooks, Councillor Moray Grant, Councillor Marc Macrae, Councillor Ciaran McRae, Councillor Sam Payne, Councillor Mel Sullivan, Councillor Iain Taylor IN ATTENDANCE Mark Adam, Assessor and Electoral Registration Officer (ERO); Jim Barron, Depute Assessor and ERO (Aberdeenshire); Moira Morrison, Principal Admin Officer; Jamie Fraser, Treasurer to the Board; Angela Pieri, External Auditor, Grant Thornton; and Lindsey Robinson, Committee Services Officer. 1. Chair Councillor Donald Gatt, as Convener of the Board, chaired the meeting. 2. Declaration of Financial and Other Interests In terms of Standing Order 25 and the Councillor's Code of Conduct, there were no declarations from Members who were present at the meeting where any item of business in which they have any financial, or other interest, is to be dealt with. Councillor Smith made a transparency statement in relation to item 5 "Annual Audit Plan for the Year Ending 31 March 2026, as he is a member of the North East Scotland Item 3. Page 5
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Pension Fund Board. Councillors Henrickson and MacGregor also made transparency statements in relation to the same item, as they are members of the Aberdeen Pension Committee. 3. Minute of the meeting held 30 January 2026 The minute of the meeting held 30 January 2026 was submitted and approved. 4. Written Questions The Board noted that no written questions had been submitted. 5. Welcome and Tribute The Board joined the Convener in welcoming Councillor Findlater, Mrs Morrison, and Mr Fraser to their first meeting of the Board. The Board further joined the Convener in paying tribute to Councillors Whyte and Buchanan for their contributions to the Board. Best wishes were also extended to Lorraine Paisey, Treasurer to the Board, and Gavin Oag, Depute Assessor and ERO (Aberdeen and Moray), for long and happy retirements. 6. Annual Audit Plan for the Year Ending 31 March 2026 The meeting had before it a report by the Treasurer to the Board informing the Board of the Eternal Auditor's Annual Report. Following consideration, the Board unanimously agreed to: i. note the Audit Risk Assessment; and ii. note the contents of the External Auditor's Annual Plan for 2025/26. 7. Unaudited Annual Accounts for 2025-26 The meeting had before it a report by the Treasurer to the Board asking the Board to note the unaudited Annual Accounts of the Grampian Valuation Joint Board (GVJB) for the year ending 31 March 2026. Councillor Smith sought clarification as to whether the GVJB had been included in the cybersecurity exercise undertaken by Aberdeenshire Council. In response, the Assessor and ERO advised that the Board’s IT systems were hosted by Aberdeenshire Council and were therefore covered by its cyber security arrangements. Following further consideration, the Board unanimously agreed to note the unaudited Annual Accounts for the year ending 31 March 2026. 8. Revenue Budget Monitoring Statement 1 April to 31 May 2026 The meeting had before it a report by the Treasurer to the Board asking the Board to note the Revenue Budget Monitoring Statement for the period 1 April to 31 May 2026. Page 6
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Following consideration, the Board unanimously agreed to note the Revenue Budget Monitoring Statement to 31 May 2026. 9. Governance The meeting had before it a report by the Assessor and ERO asking the Board to appoint a Treasurer. Following consideration, the Board unanimously agreed to appoint Mr Jamie Fraser as Treasurer to the Board. 10. Risk Management The meeting had before it a report by the Assessor and ERO advising the Board on risk management. Councillor Henrickson suggested that that any new risks that are identified should be identified separately, either at the start or at the end of the risk register, to allow them to be highlighted. In response, the Assessor and ERO advised that this would be considered for future reports. Councillor Mason sought clarification on the impact of the Council Tax revaluation exercise. The Assessor and ERO advised that the service had received Scottish Government funding to undertake the revaluation and that additional staff would be employed to support this work. He added that regular meetings were held with other Assessor's offices to share best practice. Following further consideration, the Board unanimously agreed to note the risk register and the plans for future reviews. 11. Complaints Handling Performance The meeting had before it a report by the Depute Assessor and ERO (Aberdeenshire) informing the Board on the complaints handling performance. Councillor Smith commended all of the staff for their performance and noted the low number of complaints received. Following further consideration, the Board unanimously agreed to note the complaints handling performance. 12. Valuation Roll and Council Tax Valuation List The meeting had before it a report by the Depute Assessor and ERO (Aberdeenshire) providing the Board with an operational update on the valuation services provided by the Assessor including performance levels achieved during 2025/26. Page 7
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During consideration, Councillor Findlater sought clarification on the percentage of appeals resolved in the applicants’ favour. In response, the Depute Assessor and ERO (Aberdeenshire) advised that the requested information would be circulated to Board members following the meeting. Following further consideration, the Board agreed note the contents of the report. 13. Electoral Registration The meeting had before it a report by the Principal Admin Officer updating the Board on current developments in electoral registration. Councillor Henrickson sought clarification on the timescales for the issuing of postal votes to ensure members of the public had sufficient time to return them. In response, the Principal Admin Officer advised that the issue of postal votes fell within the remit of the Returning Officer (RO), rather than the ERO. She further advised that she would review the election timetable following the meeting to confirm the relevant timescales and provide the Board with an update. The Convener advised Councillor Henrikson to raise the matter with the RO for his area. Councillor Findlater sought clarification on whether 252 replacement postal votes was considered a high number. The Principal Admin Officer explained that replacement postal votes were issued by the RO, rather than the ERO, and therefore the ERO would not have access to those figures. Following further consideration, the Board unanimously agreed to note the contents of the report. 14. Staff Vacancies, Recruitment & Upskilling Existing Staff The meeting had before it a report by the Assessor and ERO updating the Board on the current level of staff vacancies, recruitment, and the upskilling of staff. Councillor MacGregor thanked the Assessor and ERO team for their hard work and welcomed the internal promotions as being positive for the team. Following further consideration, the Board unanimously agreed to note the content of the report. 15. Appointment of Depute Electoral Registration Officer The meeting had before it a report by the Assessor and ERO asking the Board to consider the appointment of an additional Depute Electoral Registration Officer with full powers. Following consideration, the Board unanimously agreed to appoint Mrs Moira Morrison as Depute Electoral Registration Officer with full powers. Page 8
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16. Question Time The meeting noted that no additional questions were asked. Page 9
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REPORT TO: GRAMPIAN VALUATION JOINT BOARD ON 28 AUGUST 2026 SUBJECT: INTERNAL AUDIT ANNUAL REPORT 2025/26 BY: SERVICE MANAGER INTERNAL AUDIT AND RISK REASON FOR REPORT 1.1 This report advises the Board of the internal audit work completed on the Assessor’s Service for the financial year ended 31 March 2026 and provides an opinion on the adequacy of the control systems reviewed. 2. RECOMMENDATION 2.1 It is recommended that the Board considers this report for 2025/26 and notes the satisfactory audit opinion derived from the audit work completed. 3. BACKGROUND 3.1 The Global Internal Audit Standards (GIAS) require the Chief Audit Executive (CAE), the Moray Council Service Manager Internal Audit and Risk, to provide an annual internal audit opinion and report on the adequacy and effectiveness of the systems of governance, risk management, and internal control within the Assessor’s Service. This opinion supports the preparation of the Annual Governance Statement and contributes to the overall assurance framework and governance arrangements. The Internal Audit Plan for 2026/27 was agreed with senior management and reported to the Board on 30 January 2026, enabling members to consider and comment on the proposed annual audit coverage. The planned audit work has now been completed and has informed the internal audit opinion. 3.2 As the Board will be aware, the main financial systems of the Assessor’s Service replicate those of the Moray Council; hence, audit assurances provided in terms of the controls within the Council systems can be relied Item 5. Page 11
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upon as being applicable to financial systems relating to the Service. However, there remains a need to test transactions specific to the Assessor’s Service annually to provide the Treasurer with an opinion on the adequacy and effectiveness of internal control systems and procedures. This work includes confirming the administrative processes for reporting revisions to the council tax and non-domestic rating lists by the Assessor to the constituent Authorities. 3.3 All planned audit coverage detailed in the report to the Board on 30 January 2026 has been undertaken. Audit testing included a review of budget- setting and monitoring arrangements; payroll costs, which represent a significant proportion of total expenditure; non‑payroll expenditure, including areas such as office accommodation and ICT costs; and an assessment of income received. No issues were identified from this testing requiring comment. 3.4 The Board’s Code of Corporate Governance requires the identification and prioritisation of risks to the Organisation’s aims and objectives. These risks are detailed within a register and are subject to ongoing review with reports submitted to the Board annually or more frequently if there is a significant change to the risk profile. I am pleased to report that the Risk Register is subject to ongoing review by the Assessor and the Management Team. The latest version was formally reviewed on 1 June 2026 and reported to the Board on 26 June 2026. 3.5 The Internal Audit Section of Moray Council provides the internal audit service for the Assessor’s Service. The Local Authority Accounts (Scotland) Regulations 2014 require that “a local authority must operate a professional and objective internal audit service in accordance with recognised standards and practices in relation to internal auditing”. The recognised standards adopted by all Scottish councils are the Global Internal Audit Standards (GIAS), which came into effect on 1 April 2025, replacing the Public Sector Internal Audit Standards. All Scottish local authorities are required to undergo an External Quality Assessment (EQA) every five years. As part of the Council’s membership of the Scottish Local Authorities Chief Internal Auditors’ Group, it has been agreed that this requirement can be met through a reciprocal arrangement, whereby each internal audit service reviews another council and, in turn, is subject to review. An EQA of the Council’s Internal Audit Section was completed by the Chief Internal Auditor of Perth and Kinross Council, and the findings were reported to Moray Council’s Audit and Scrutiny Committee on 11 September 2024. The overall conclusion of the external assessment was that the Council’s Internal Audit Section fully conforms to the Public Sector Internal Audit Standards. 3.6 In addition to an External Quality Assessment (EQA), an annual internal assessment is now required to review compliance with the Global Internal Page 12
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Audit Standards (GIAS). A review was undertaken during 2025/26, resulting in updates to the internal audit reporting format, project scoping documentation, and internal operating procedures. The Internal Audit Charter has also been updated and was presented to Moray Council’s Audit and Scrutiny Committee for approval on 19 November 2025 (Item 11). Included within Moray Council’s Internal Audit Plan for 2026/27 is a formal assessment, which will involve reviewing the Internal Audit Section’s procedures and processes against the GIAS to identify areas for improvement and to inform the development of a Quality Assurance and Improvement Plan. 3.7 The audit opinion informs the Annual Governance Statement, which is certified by the Board’s Convener and the Assessor and is published within the Board’s annual accounts. 3.8 The audit was carried out in accordance with the Global Internal Audit Standards. 4. CONSULTATIONS 4.1 The Assessor & ERO has been consulted during the audit review process. 5. CONCLUSION 5.1 The Service Manager Internal Audit and Risk is of the opinion, based on audit work completed, that reasonable assurance can be placed on the adequacy of and effectiveness of the system of internal financial control established within the Assessor’s Service. Author of Report: Dafydd Lewis, Service Manager Internal Audit and Risk Background Papers: Internal Audit files Ref: DL/GVJB/ Page 13
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REPORT TO: GRAMPIAN VALUATION JOINT BOARD ON 28 AUGUST 2026 SUBJECT: REVENUE BUDGET MONITORING STATEMENT FOR THE PERIOD 1 APRIL TO 31 JULY 2026 BY: TREASURER TO THE BOARD 1. REASON FOR REPORT 1.1 To consider the Revenue Budget Monitoring Statement for the period 1 April to 31 July 2026. 2 RECOMMENDATION 2.1 It is recommended that the Board considers and notes the Revenue Monitoring Statement to 31 July 2026. 3. CURRENT POSITION 3.1 At its meeting on 30 January 2026, the Board agreed the Revenue Budget and requisitions to the constituent authorities for 2026/27 (paragraph 8 of the Minute refers) be set at £5,653,000. 3.2 APPENDIX 1 shows the monitoring position to 31 July 2026 against the budget. It gives details of the 2026/27 Revenue Budget, actual expenditure to date and the variance of expenditure against budget to date. 3.3 Total net expenditure at 31 July 2026 is £1,569,000 which is an underspend against budget to date of £345,000. 3.4 There are currently 14 vacant posts, and recruitment is actively being carried out. Year to Date Variances 3.5 Employee costs are currently underspent by £203,000 compared to the budget. This variance is primarily due to unfilled vacancies within the staffing establishment, as previously noted in paragraph 3.4. Item 6. Page 15
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3.6 There is an underspend in property costs of £26,000, this is largely attributable to the timing of the service charge budget. 3.7 An underspend of £6,000 to date has been recorded for Transport Costs. 3.8 Budgets within Supplies and Services are underspent in total by £99,000. The biggest contributor to this is Postages which shows an underspend of £125,000, while IT Maintenance and Support is overspent by £27,000, due mainly to licence fees spanning 2025/26 and 2026/27 being charged within expenditure to date. 3.9 Support charges are processed at 31 March as part of the year end closedown. 3.10 There are no other significant variances to report at this early stage in the year 4. CONCLUSION 4.1 The total net expenditure as at 31 July 2026 is £1,569,000 giving an underspend against budget to date of £345,000. 4.2 The Assessor and his Senior Management Team closely monitor and control budgets in order to keep within agreed levels and generate savings wherever possible throughout the year. 4.3 A detailed revenue monitoring and estimated outturn statement will be reported at the Board meeting in October 2026. Author of Report: Aaron Cory, Trainee Accountant Background papers: Held within Accountancy Section, Moray Council Date: 11 August 2026 Page 16
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APPENDIX 1 GRAMPIAN VALUATION JOINT BOARD REVENUE MONITORING STATEMENT FOR PERIOD 1 APRIL TO 31 JULY 2026 Line 2026-27 2026-27 Actual Variance No. Total Budget Budget to Date 31-Aug-26 31-Aug-26 £'000 £'000 £'000 £'000 Employee Costs 1 Salaries 3,401 1,134 969 165 2 National Insurance 450 150 128 22 3 Superannuation 341 114 99 15 4 Additional Pensions 24 8 6 2 5 Other Employee Costs 4 1 3 (2) 6 Training 20 5 4 1 Total Employee Costs 4,240 1,412 1,209 203 Property Costs 7 Accommodation Charges 346 204 183 21 8 Repairs and Maintenance 10 3 - 3 9 Energy Costs 14 4 2 2 10 Cleaning 5 2 2 - Total Property Costs 375 213 187 26 Transport Costs 11 Staff Travel and Subsistence 60 20 14 6 Total Transport Costs 60 20 14 6 Page 17
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Supplies & Services 12 Equipment, Furniture & Materials 6 2 5 (3) 13 PPE 1 - - - 14 Reference Books 15 5 11 (6) 15 Printing & Stationery 10 3 3 - 16 Postages & ER Printing 501 167 42 125 17 Telephones 2 1 1 - 18 Advertising 1 - - - 19 IT Maintenance & Support 319 80 107 (27) 20 Valuation Appeals 15 - 2 (2) 21 Members' Allowances 10 - (1) 1 22 Fees, Charges & Subs 8 - - - 23 Specialist Services 40 13 1 12 24 Conference Fees & Subsistence 3 - 1 (1) 25 Other Supplies & Services 7 2 2 - Total Supplies & Services 938 273 174 99 Support Services 25 Lead Authority Charge 77 - - - Total Support Services 77 - - - Gross Expenditure 5,690 1,918 1,584 334 Income 26 Sales and Other Income (17) (4) (15) 11 27 Interest on Revenue balances (20) - - - 28 Government Grant Income - - - - Total Income (37) (4) (15) 11 Page 18
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29 Net Expenditure 5,653 1,914 1,569 345 30 Requisitions (5,653) - (1,885) 1,885 31 (Surplus)/Deficit for Year - 1,914 (316) 2,230 Page 19
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REPORT TO: Grampian Valuation Joint Board on 28 August 2026 SUBJECT: Records Management BY: The Assessor & ERO 1. Reason for Report 1.1 To seek the Board's approval for a revised Records Management Plan. 2. Recommendation 2.1 It is recommended that the Board (i) Approve the revised Records Management Plan attached as Appendix 1; (ii) Authorise the Assessor and Electoral Registration Officer to implement the plan with immediate effect; and (iii) Delegate authority to the Assessor and Electoral Registration Officer to update and amend the plan on an ongoing basis as necessary. 3. Background 3.1 Effective records management is essential to the delivery of the organisation's statutory functions and supports good governance, accountability, transparency and business continuity. The organisation creates and maintains a significant volume of records in both electronic and physical formats, and it is important that these records are managed consistently throughout their lifecycle. 3.2 The existing Records Management Plan has been reviewed to ensure it remains fit for purpose and aligns with current legislative requirements, including data protection legislation, freedom of information obligations and records management best practice. Item 7. Page 21
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3.3 The Keeper of Records has requested that the revised plan be submitted to the Keeper’s Assessment Team for review by 30 September 2026. 4. Revisions 4.1 The revised plan reflects current legislative requirements, best practice in records management, and changes to organisational processes and technology since the plan was last reviewed. 4.2 The plan has been updated to: • Reflect current organisational structures, responsibilities and working practices. • Strengthen governance arrangements relating to the creation, storage, retention, disposal and security of records. • Clarify responsibilities for records management and information governance. • Recognise the increasing use of electronic records and digital systems. • Ensure consistency with related policies and procedures, including information security and data protection arrangements. • Support compliance with statutory and regulatory requirements. 5. Governance 5.1 Approval and implementation of the revised plan will demonstrate the organisation's commitment to good governance and accountability. 6. Resources 6.1 The implementation of the revised plan will be accommodated within existing staffing and budget resources. Any associated training and awareness activities will be delivered through existing organisational arrangements. 7. Risk 7.1 Failure to maintain an up-to-date Records Management Plan could increase the risk of non-compliance with legislative requirements and recognised records management standards. Approval of the revised plan will help mitigate these risks by providing a clear and current framework for records management activities. 8. Conclusion 8.1 The revised Records Management Plan provides an updated framework for the effective management, retention, protection and disposal of records across the organisation. Its adoption will support compliance, strengthen governance arrangements and promote the efficient use of information resources. Approval of the revised plan will allow the organisation to meet the timescale agreed with the Keeper of Records. Page 22
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Author of Report: Mark Adam, Assessor & ERO Page 23
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RMP-v2.0D Page 1 of 27 Appendix 1 Grampian Assessor & Electoral Registration Officer Records Management Plan On behalf of Grampian Valuation Joint Board Setting out proper arrangements for the management of records under the Public Records (Scotland) Act 2011 Version 2.0 <Insert Date> Page 25
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RMP-v2.0D Page 2 of 27 Status and Version Control Version Details Author Date Approved by Date 1.0 Final version - approved for submission to Keeper IHM 29/01/2016 RHS 29/01/2016 1.1 Amendments following interim report from Keeper MJA 25/07/2016 Management Team 15/08/2016 2.0 Revised version for submission to Keeper JAB 19/08/2026 <Insert Approver> <Insert Date> Title Records Management Plan Author Mark Adam (Assessor & ERO) Approved by Donald Gatt (Convener) on behalf of Grampian Valuation Joint Board Date of approval <Insert Date> Review frequency As required, at least annually Page 26
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RMP-v2.0D Page 3 of 27 Contents Page 1. Introduction 4 2. Records Management Plan 5 3. Elements of the Plan 6 - 24 4. List of Supporting Evidence 25 - 26 5. Abbreviations used in this document 27 Page 27
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RMP-v2.0D Page 4 of 27 1. Introduction The Grampian Assessor & Electoral Registration Officer (GAERO) is an independent public official responsible for valuing non-domestic properties for rating, allocating dwellings to council tax bands and maintaining the Electoral Register. The GAERO is appointed and funded by the Grampian Valuation Joint Board (GVJB/Board). The Board is a public authority that exists to provide the local taxation assessment service to the three councils within the Grampian area (Aberdeen City, Aberdeenshire and Moray). By agreement with these councils, the Board is also responsible for the appointment and funding of the Electoral Registration Officer. The GAERO has a small workforce distributed between offices in Aberdeen, Banff & Elgin. The Public Records (Scotland) Act 2011 (“the Act”) came fully into force in January 2013. The Act requires GVJB and other public authorities to prepare and implement a Records Management Plan (RMP). The RMP sets out proper arrangements for the management of records. The plan is to be agreed with the Keeper of the Records of Scotland (“the Keeper”). A copy of the Act can be viewed online at https://www.legislation.gov.uk/asp/2011/12/contents More information about the Public Records (Scotland) Act 2011 can be found by visiting the National Records of Scotland website at https://www.nrscotland.gov.uk/records-and-archives/public-records-scotland-act/ In line with the Act, all records created in the carrying out of the Assessor and ERO functions (whether directly or by third parties) are public records. Part 1, section 3.1 of the Act states that: “public records”, in relation to an authority, means - (a) records created by or on behalf of the authority in carrying out its functions, (b) records created by or on behalf of a contractor in carrying out the authority’s functions (c) records created by any other person that have come into the possession of the authority or a contractor in carrying out the authority’s functions.” Establishing effective records management arrangements helps to deliver a number of business benefits. For example: • efficient and systematic control of the creation, storage, retrieval, maintenance, use and disposal of records • faster, more accurate and reliable access to records • compliance with legislative and regulatory requirements • minimises risks related to information security and reputational damage by protecting sensitive data and ensuring proper disposal of records Page 28
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RMP-v2.0D Page 5 of 27 2. Records Management Plan This RMP relates to records throughout their lifecycle, from creation and acquisition to archive and destruction. It encompasses all records across all service areas. The RMP sets out the overarching framework based on the 14 elements of the Keeper’s published Model RMP. The 14 Elements are: 1. Senior Management responsibility 2. Records Manager responsibility 3. Records Management policy statement 4. Business classification 5. Retention schedules 6. Destruction arrangements 7. Archiving and transfer arrangements 8. Information security 9. Data Protection 10. Business continuity and vital records 11. Audit trail 12. Competency framework for records management staff 13. Assessment and review 14. Shared information GAERO has provided the Keeper with evidence of policies, procedures, guidance and operational activity on all elements of the RMP. The RMP is effective from <Insert Date>. It will be reviewed and updated whenever necessary and formally reviewed on an annual basis. Page 29
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RMP-v2.0D Page 6 of 27 3. Elements of the Plan Element 1: Senior Management Responsibility Identify a person at senior level who has overall strategic responsibility for records management Senior Management responsibility for records management covered by the RMP lies with: Grampian Assessor & Electoral Registration Officer Mark J Adam Grampian Assessor & Electoral Registration Officer Woodhill House Westburn Road Aberdeen AB16 5GE Evidence 4.1 Joint Statement by Convenor of Grampian Valuation Joint Board and Grampian Assessor & Electoral Registration Officer 4.2 Document retention policy Future developments There are no planned developments for Element 1. This element will require review if there are changes in personnel. Page 30
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RMP-v2.0D Page 7 of 27 Element 2: Operational Records Management Responsibility Identify an individual within the organisation, answerable to senior management, to have operational responsibility for records management within the organisation. The individual answerable to senior management and who has operational responsibility for records management is: Depute Assessor & ERO for Aberdeenshire James A Barron Depute Assessor & ERO Woodhill House Westburn Road Aberdeen AB16 5GE Evidence 4.1 4.2 4.3 Joint Statement by Convenor of Grampian Valuation Joint Board and Grampian Assessor & Electoral Registration Officer Document Retention Policy Job description of Depute Assessor and ERO Future developments There are no planned developments for Element 2. This element will require review if there are changes in personnel. Page 31
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RMP-v2.0D Page 8 of 27 Element 3: Records Management Policy Statement A records management policy statement underpins effective management of an authority’s records and information. It demonstrates to employees and stakeholders that managing records is important to the authority and serves as a mandate for the activities of the records manager. Section 2 of our Document Retention Policy sets out our records management arrangements. The review of this policy to ensure it remains aligned to this RMP has still to be completed. Our commitment to establishing and maintaining effective records management is set out in Sections 1 (Introduction) and 2 (Records Management) of the Policy. At Section 1 the policy states – “The Freedom of Information (Scotland) Act 2002 (“the Act”) was passed by the Scottish Parliament on 24 April 2002 and received Royal Assent on 28 May 2002. The Act came into force on 1 January 2005 when the right of access to information held by local authorities became effective and it has implications for both document retention periods and records management arrangements. The principal objective of this Policy is to ensure that the Grampian Assessor & Electoral Registration Officer (ERO) adopts best practice for document retention and records management arrangements sufficient to comply with the Act and its accompanying Code of Practice on Records Management. It is the aim of Grampian Valuation Joint Board to achieve efficiency benefits through best practice applied to records management. This is intended to lead to improvements in the use of personnel and financial resources. At section 2 the policy sets out the requirements for records management - • “records are registered in a logical manner as soon as possible after they are created or received • retained records, regardless of their age, are maintained in such a way that they are easy to locate and can be retrieved efficiently • adequate storage for all documents needs to be available, to ensure that records are safe from unauthorised access • records not selected for permanent preservation in an archive and which have reached the end of their administrative life as detailed in the Appendix to this Policy will be destroyed in as secure a manner as necessary • the disposal of records is undertaken in accordance with clearly established procedures” The policy recognises the ongoing obligation to have proper records management arrangements in place to ensure compliance with legislation related to this area of governance, such as the Freedom of Information (Scotland) Act 2002, the Public Records (Scotland) Act 2011 and Data Protection Act 2018. Page 32
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RMP-v2.0D Page 9 of 27 Our records provide an auditable account of the organisation’s activities and evidence of the business, actions, decisions and policies. Information is pivotal to the role of the Assessor and ERO. As such records represent an absolutely essential asset, which enable the organisation to function. The management of records protects the interests and rights of staff, members of the public and other stakeholders who provide and/or receive information to/from this organisation. We use three main types of records management systems: • Manual Filing Systems (where it is necessary to keep paper and other physical records) • IT applications and databases that process records for specific functions (i.e. Valuation for the purposes of Non-Domestic Rating, Council Tax and associated systems and Electoral Registration) • Storage of electronic documents All records management systems are subject to the records management policy, procedures, guidelines and elements of the RMP. Evidence 4.2 Document retention policy 4.4 Document retention policy appendix 4.5 Information Technology Security Policy and Guidelines 4.6 Data Access and Building Security Policy 4.7 Screenshot of Records Management Policies & Guidelines on Intranet 4.8 Copy of induction process minimum standards checklist Future developments At present the GAERO has information, files and records stored on shared drives, a SharePoint environment and extensive paper records. We are currently working towards moving all the records held on shared drives to the SharePoint environment. We also aim to start working towards the digitisation of our physical records, but this will be a long-term project. Whilst we already have a SharePoint environment and this contains some records, it is recognised that a wholesale review is required of how this has been set up, particularly in light of our plans to make this our primary method of record storage. This will form the basis of a records and information management ethos within the organisation. Page 33
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RMP-v2.0D Page 10 of 27 Element 4: Business Classification A business classification scheme describes what business activities the authority undertakes – whether alone or in partnership. We maintain a schedule of records and their disposal arrangements as the appendix to the Document Retention Policy. This is maintained in accordance with the Freedom of Information (Scotland) Act 2002. This details the functions, activities and transactions and forms the basis of our Business Classification Scheme. The classification scheme is a functional model which groups related business activities and transactions which are part of the overall functions of the Assessor & ERO and the Board. The business classification scheme is structured in three tiers and is a strategic model - Level 1 – Functions Level 2 – Activities Level 3 – Transactions Corporate Governance Individual items or record descriptions such as sales transactions data, completed questionnaires, letters. Source information Council Tax Office management Property records Valuation Roll Produced information Audit Electoral Registration Proposals & Appeals Correspondence Due to the nature of GAERO’s statutory duties, all of the functions and activities will contain personal data. The functions, activities and transactions are detailed in greater detail in the Records Retention and Disposal Arrangements. The Board’s Human Resources, Payroll & Finance activities are carried out by Moray Council. All GVJB records held by Moray Council are dealt with in line with GVJB/Moray Council approved policies and procedures. The retention schedule and business classification scheme are subject to periodic review to ensure they are still relevant and accurate in relation to the functions of GAERO. Evidence 4.4 Document retention policy appendix 4.9 Business classification scheme 4.10 Confirmation from Moray Council that GVJB records held by them are dealt with in line with their Records Management Plan Future developments The business classification scheme and records retention and disposal arrangements are under constant review as we refine our records management procedures. Records management falls within the remit of the Management Team which focusses on the Board, governance, finance, personnel and risk management. Operational technical and Page 34
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RMP-v2.0D Page 11 of 27 administrative matters are handled outside this group by the relevant technical and administrative groups. Governance, that includes the various statutory and regulatory regimes such as data protection, FOI, records management and complaints, is a key element of the Management Team’s responsibilities and given its cross-service application, it is considered imperative that it remains firmly within the remit of the most senior management group. This approach will be periodically reviewed to ensure it remains appropriate. In tandem with the migration of electronic documents from internally hosted shared drive system currently in use to a SharePoint system hosted by Aberdeenshire Council, we will consider embedding business classification information, possibly by way of Microsoft Purview, or a similar system, into the metadata of the files that we migrate. It is acknowledged that this process will take some time to complete. Page 35
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RMP-v2.0D Page 12 of 27 Element 5: Retention Schedules A retention schedule is a list of records for which pre-determined disposal dates have been established. Section 3 of the Document Retention Policy sets out the retention and disposal arrangements and the Document Retention Policy appendix provides a schedule of retention periods, disposal actions and the responsible officer, on a record-by-record basis. This appendix is therefore an essential element of the Records Management process and seeks to ensure that records are retained only for the period that they are necessary for operational requirements. It also provides a framework for consistency in terms of retention and disposal regardless of the format, source or purpose of the records. The appendix was developed in accordance with the Freedom of Information (Scotland) Act 2002 and was already in place prior to the development of a formal records management plan. Whilst the role of the Assessor and Electoral Registration Officer at a functional level has not changed for many decades, the activities and transactions of this organisation have undergone significant alteration and extension, particularly due to changes in Electoral Registration related legislation and changes in relation to the valuation for non-domestic rating brought about through the Barclay Review and the introduction of the Non-Domestic Rates (Scotland) Act 2020. In addition, the Board has reached agreement with one of the local Councils, Aberdeenshire Council, for the provision of IT services. As part of this agreement, data has been migrated from most of the Board’s physical servers to SharePoint sites within a sub-tenancy of Aberdeenshire Council’s M365 tenancy. Further work is planned to migrate the remaining data following the completion of an Oracle database upgrade. Although the Board’s staff control the SharePoint sites, collaborative discussions are underway with Aberdeenshire IT and Records Management staff to consider how best to manage and control the digital records, including the use of enhanced M365 licenses and possibly Microsoft Purview solutions, or similar packages. We are also considering how best to utilise our physical office space and, accordingly, our physical records. We are reviewing the approach to the storage of physical records and the digitalisation of these, learning from the experiences of partner Councils. For these reasons, the records retention schedule remains under active review. Evidence 4.4 Document retention policy appendix 4.9 Business classification scheme 4.11 Aberdeenshire Council Minute of Understanding Future developments Possible use of Microsoft Purview solutions, or similar packages. Scanning of paper records into SharePoint. It is acknowledged that application of retention schedule is not consistent across the organisation, particularly on shared drives. Page 36
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RMP-v2.0D Page 13 of 27 GAERO is currently migrating from a shared drive system on physical servers to hosted Microsoft SharePoint sites. Due to a delay in the upgrade of our Oracle based in-house valuation system which currently relies on the existing physical servers, the migration process has not yet been completed. Once the upgrade has been completed, all relevant files from the physical servers will be migrated and the physical servers will be decommissioned and their hard drives securely wiped and destroyed. Once all the relevant files are imported to SharePoint, all files will be reviewed against our retention schedule to ensure that those which were due for destruction or archiving have been deleted, or archived, as appropriate. We will also consider embedding retention information and business classification within the metadata. As part of this overall review process, we will aim to implement a revised file naming convention. We intend to explore digitising the majority of our paper records. We will use retention labels specifying document type, retention start dates etc. to assist in managing the retention of these documents. This use of SharePoint, interfaced with Microsoft Purview, or similar systems, will allow the GAERO to rigorously apply retention policies and ensure compliance. Page 37
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RMP-v2.0D Page 14 of 27 Element 6: Destruction Arrangements It is not always cost-effective or practical for an authority to securely destroy records in-house. Many authorities engage a contractor to destroy records and ensure the process is supervised and documented. The document retention policy sets out the requirements for destruction of records and the GAERO Confidential Waste & Destruction Procedures document provides guidance on the procedures that should be followed. Practical disposal is scheduled on the basis of the recommended retention periods listed in the Appendix to the document retention policy. The disposal schedule stipulates that records either have to be retained permanently, destroyed or reviewed after a specified time period. The disposal schedules must be followed rigorously and must be updated to reflect alterations to legislation, work practices etc. Without a formal arrangement in place to manage the retention of documents in a logical and systematic fashion, the Assessor & ERO and the Board would be in danger of: • the premature destruction of records before their use is complete, or before legal requirements permit their disposal • failing to select the correct records for long term preservation; or • retaining records for excessive periods, taking up valuable storage space, and making it more difficult to locate records which are still in use, or exposing the Assessor & ERO to risk of litigation (e.g. under the Data Protection Act 2018, personal data must only be kept for as long as is necessary to fulfil the purpose for which it was collected). Before any record is destroyed, it must be established if it is the subject of a request under the Freedom of Information Act. Under Section 1(5) of the Act, if a record due for destruction is known to be the subject of a request, destruction will be delayed until disclosure has taken place or, if the authority has decided not to disclose the information, until the review and appeal provisions of the Act have been exhausted. Once it has been established that a record(s) should be destroyed, in order to comply with the recommendation of the Freedom of Information Code of Practice for Records Management - see https://www.gov.scot/publications/code-of-practice-on-records- management/ - to maintain and preserve “a record of the destruction of records, showing their reference, description, reason for destruction, and date of destruction”, headed listings of the various items contained in Appendix A will be recorded with a signature and date certifying the reason for destruction – which in most cases is likely to be “in accordance with the Document Retention Policy”. Due to the nature of the records held by the Assessor and ERO and the Board, it is unnecessary and impractical to record the reference number and description of each individual record. GAERO employs a waste disposal company, registered as a waste carrier under the Data Protection Act 2018, to manage the destruction of paper records. The company provides certificates of destruction, and these arrangements ensure compliance with the Assessor & ERO’s obligations under relevant legislation, in particular the Data Protection Act 2018.The Page 38
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RMP-v2.0D Page 15 of 27 data controller (the Assessor & ERO) under the data protection legislation remains responsible for personal data contained in a record until its destruction and is also responsible for indexing the proof of destruction notifications from the waste disposal company. Digital media is also destroyed and disposed of by the same accredited company. Evidence: 4.4 Document retention policy appendix 4.7 Screenshot of Records Management Policies & Guidelines on Intranet 4.12 Government Security Classification Policy 2023 4.13 Destruction Certificate 4.14 Confidential Waste & Destruction Procedures document Future developments The migration of files into a SharePoint environment will provide the opportunity to create metadata associated with the file related to retention and destruction timeframes, possibly by way of Microsoft Purview, or a similar system. In addition to this providing a streamlined and efficient destruction process, by automatically applying policies to retain, or delete, documents in accordance with regulatory requirements, it should also allow us to implement more robust Data Loss Prevention procedures. Any IT storage hardware that becomes redundant as a result of this exercise will be securely cleansed of data and then destroyed. Page 39
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RMP-v2.0D Page 16 of 27 Element 7: Archiving and Transfer Arrangements This is the mechanism by which an authority transfers records of enduring value to an appropriate archive repository, specifying the timing of transfers and other terms and conditions. Printed electoral registers are supplied to the library services for Aberdeen City Council, Aberdeenshire Council and Moray Council following the annual revision of the registers. Traditionally that has been during December but there are circumstances when this is delayed until February. Electoral registers, valuation rolls and valuation lists for the Aberdeen City, Aberdeenshire and Moray Council areas that are no longer current are made available to the archivist for Aberdeen and Aberdeenshire. The material is delivered by hand and in the case of registers of electors remains subject to the prevailing guidance issued by the Electoral Commission https://www.electoralcommission.org.uk/data- protection-guidance-electoral-registration-officers-and-returning-officers Data versions of the documents above are retained in line with our Document retention policy. Board minutes are held by the Clerk to the Board and managed in line with Moray Council’s Records Management policy. An agreement is in place with Aberdeen City Council for the provision of a Public Records Archive service, covering all record types. Evidence 4.4 Document retention policy appendix 4.15 Sample letter to library service with response. 4.16 Link to electronic version of Board reports and minutes https://moray.cmis.uk.com/moray/CouncilandGovernance/Committees/tabid/62/ctl/ ViewCMIS_CommitteeDetails/mid/381/id/24/Default.aspx 4.17 Copy agreement with Aberdeen City Council for the provision of a Public Records Archive service. Future Developments There are no planned developments for Element 7. Page 40
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RMP-v2.0D Page 17 of 27 Element 8: Information Security Information security is the process by which an authority protects its records and ensures they remain available. It also maintains privacy where appropriate and provides for the integrity of records. Paper records are stored close to staff who require to access them, using dedicated storage equipment such as filing cabinets, filing rooms, and tambour cabinets, or in secure dedicated storage equipment in the basement area of Woodhill House, or within lockfast Filing Rooms in the divisional offices. We have developed a series of information security policies and guidelines covering all aspects of information security, from physical security and clear desk practices to IT security, data access, and the use of internet and email. All policies and guidelines are available to staff via the Intranet. All staff are required to pass Level 1 disclosure checks provided by Disclosure Scotland prior to appointment and also undergo mandatory cyber security and data protection training data. All staff that were in employment prior to the introduction of these measures in 2013/14 were nevertheless vetted by Disclosure Scotland and are required to undergo the mandatory cyber security and data protection training. All staff require to complete refresher training in these areas every two years. New employees are required to ensure that they are aware of the various policies and must sign both an IT security policy letter and an internet use undertaking. This is recorded as part of any new employee’s induction process. All staff already in employment prior to the introduction of these letters in 2009 were also required to give the same written undertakings. Prior to 2020, the GAERO permitted a limited number of staff to work remotely, but, since the pandemic, homeworking is now available to all staff. As a result, the existing Remote Working Mobile Access and the Clear Desk & Screen Policies have taken on a new level of significance. GAERO has access to Aberdeenshire Council’s on-line in-house training environment. Details of information security training undertaken within ALDO is recorded in individual staff member’s training records as a matter of course. Other information security training, undertaken by GAERO staff outwith ALDO, will be logged by the member of staff within ALDO, along with details of the course undertaken. This information will be visible to the Training Officer as part of the staff member’s training record. Securing information assets, and in particular records, will help to meet all relevant information security compliance requirements, fulfil legislative responsibilities, safeguard the reputation of both the Assessor & ERO and the Board, ensure business continuity, optimise the management of risk and minimise the impact of security incidents. Evidence 4.5 Information Technology Security Policy & Guidelines 4.6 Data access and building security policy 4.8 Copy of induction process minimum standards checklist 4.18 Disclosure Scotland receipt 4.19 IT security policies letter with employer and employee signatures 4.20 Internet use policy and signed employee agreement Page 41
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RMP-v2.0D Page 18 of 27 4.21 Clear desk and screen policy 4.22 GDPR & DPA 2018 - A guide for staff 2026 4.23 Acceptable use policy for IT systems 4.24 Email guidelines 4.25 Screenshots from GDPR, Freedom of Information Awareness & Cyber Security Training modules 4.26 Screenshot of Aldo Training Record - Including GDPR and Cyber Security 4.27 Remote Working Mobile Access Policy Future Developments The Management Team and Moray Council HR are reviewing all GVJB/GAERO policies on a rolling basis. The Document Retention Policy has been reviewed as part of the formation of this revised RMP. However, as other policies are reviewed, any elements requiring modification of the RMP will be reflected as appropriate. We aim to move all our electronic files into a hosted SharePoint environment in the near future. We are considering the use of Microsoft Purview, or similar systems, to add metadata to these files which would ideally include sensitivity labels. The use of such labels would allow us to encrypt files, if thought necessary and to restrict access to certain files as required, without the need to set access levels at a folder level. Work will be required on how this would be best implemented and it is our intention to work with Aberdeenshire Council, who host our SharePoint sites, on aspects of utilising Microsoft Purview, or similar systems, to our best advantage. The longer-term project to digitise many of our physical records will reduce our requirements for storage of physical records, thus helping to streamline the methods involved in our information security procedures. Page 42
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RMP-v2.0D Page 19 of 27 Element 9: Data Protection An authority that handles personal information about individuals has a number of legal obligations to protect that information under the Data Protection Act 2018. GAERO has appointed a Data Protection Officer (DPO). This is part of a reciprocal “peer” arrangement with Dunbartonshire and Argyll & Bute Valuation Joint Board (DABVJB). The DPO is the Depute Assessor & ERO for DABVJB. The Assessor & ERO and the Board rely on the information that is collected and held to fulfil their aims, objectives, and obligations with reference to “performing its public functions”. Information relating directly to individuals (personal data) is an essential asset which must be properly managed in order to deliver efficient and effective services, ensure legal compliance, and to protect our reputation and image as a responsible organisation. The Data Protection Act 2018 places obligations on organisations that use personal information and gives individuals certain rights. The Act states that those who record and use personal information must be open about how the information is used. The Grampian Assessor and ERO and Valuation Joint Board fully endorse and adhere to the Principles of Data Protection as detailed in the Act and has an approved Data Protection Policy in place to ensure that all personal data processing, carried out on its behalf (either in-house, by contractors, by system suppliers or partner organisations) complies with data protection principles and key legislative requirements. As a Data Controller, Grampian Assessor & ERO and the Board are registered as such with the Information Commissioner’s Office (ICO). The Board’s Registration can be viewed on the ICO website, www.ico.org.uk. The Registration number is: Z6994677 Evidence 4.22 GDPR & DPA 2018 - A guide for staff 2026 4.28 Data Protection Registration 4.29 Grampian Valuation Joint Board Privacy Notice 4.30 Grampian ERO Privacy Notice 4.31 Grampian Assessor Privacy Notice Future Developments There are no planned developments for Element 9. Page 43
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RMP-v2.0D Page 20 of 27 Element 10: Business Continuity and Vital Records A business continuity and vital records plan serves as the main resource for the preparation for, response to, and recovery from, an emergency that might affect any number of crucial functions in an authority. The Assessor and ERO’s functions rely heavily on data gathering, storage, analysis and distribution and IT play a key role in each of these elements. Full back ups of software and data are therefore carried out in accordance with the standards originally set down for the organisation to secure Public Services Network (PSN) accreditation. Digital security is a key mitigation element that seeks to protect the organisation’s data and software from malicious actions. To secure PSN accreditation rigorous IT health checks (ITHCs) were carried out annually by external PSN Authority approved specialists, and ITHCs are still carried out on Aberdeenshire Council’s IT systems. Whilst the protection of digital assets is a key element, business continuity can only be assured with full strategic planning that includes risk analysis and management, along with mitigation measures provided by the Contingencies Plan that addresses the potential incapacity, or loss, of any assets that include infrastructure services, buildings and personnel. Any copies of the Board’s vital records which are not held electronically and therefore subject to established backup and archiving procedures are held by Moray Council and managed in accordance with their approved Records Management Plan. The organisation’s Contingencies Plan is currently under review as a result of the migration to Aberdeenshire Council’s IT infrastructure. The Management Team will complete the Contingencies Plan review following the IT migration and keep such matters under regular review. Evidence 4.5 Information Technology Security Policy & Guidelines 4.10 Confirmation from Moray Council that GVJB records held by them are dealt with in line with their Records Management Plan 4.32 Risk Register and corresponding Board report 4.33 Contingencies Plan (currently under review) Future Developments This element will be reviewed once the Contingencies Plan review has been finalised. Page 44
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RMP-v2.0D Page 21 of 27 Element 11: Audit Trail An audit trail is a sequence of steps documenting the movement and/or editing of a record resulting from activities by individuals, systems or other entities. The three service strands (electoral registration, council tax banding and valuation of non- domestic properties for rating purposes) use bespoke and integrated IT systems, on various platforms. This software ensures that changes to registration, banding or valuation records have user logging as a mandatory pre-programmed element. No change can be made without the user identity being logged. The user logging also extends to the ancillary parts of the system such as the rental analysis, appeal progress, absent vote logging and property record updating. The website content management software (WordPress) logs all user updates to website content. Manual files use a file card sign-out system so that should a file not be in the filing system, the file card will indicate the responsible member of staff. Similarly, the file card also provides a record of personnel who have accessed a manual file. Access to electronic records at a folder and file level and the rights to perform actions to them (such as modifying or deleting) is controlled using access control lists to assign permissions at group and user level. Auditing and file versioning had already been implemented on our Windows based file servers. Evidence 4.34 Oracle systems screenshot. 4.35 Screenshot of website content update log 4.36 File card 4.37 File Naming Guidelines 4.38 Screenshot of SharePoint file versioning 4.39 Screenshot of SharePoint folder permissions Future developments Although we have operated a structured file naming convention for outgoing correspondence for some time, a consistent file naming convention for other electronic records has been difficult to implement. With the ongoing migration of records and files to the SharePoint environment and the planned digitisation of the bulk of our physical records it is imperative that a file naming convention should be implemented alongside these developments. This will sit beside and complement the underlying metadata that will be held with these files. A Working Group comprising members of staff from each office/discipline will be established to update the file naming guidelines for all electronic documents. Page 45
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RMP-v2.0D Page 22 of 27 Element 12: Competency Framework for Records Management Staff A competency framework lists the core competencies and the key knowledge and skills required by a records manager. It can be used as a basis for developing job specifications, identifying training needs and assessing performance. The Records Management Plan includes the objective of improving staff understanding and knowledge of records management with information and making appropriate training available. As part of GAERO’s staff induction process, new members of staff must complete a Data Protection & Freedom of Information Awareness course on the ALDO training environment as part of their induction process. Also, as part of this process, new employees are made aware of their responsibilities under the RMP and associated policies and guidelines. All staff must complete mandatory online training in Information Security Awareness and Data Protection, which must be renewed every two years. A record of this training is maintained and automatic reminders are sent to individual staff members in advance of the renewal deadline. Any member of staff who is still to complete training by the deadline is contacted again and this continues until the training has been completed. The person with operational responsibility for records management within the organisation completed an Introduction to Records Management course in December 2023, provided by an external trainer specialising in this area of training. They are also a member of the Scottish Assessors’ Association Governance Committee. This standing committee provides Assessors with the opportunity to develop recommendations and share best practice. He is also a member of the Information and Records Management Society and responsible for submitting the periodic Freedom of Information returns. Annual objectives in relation to records management include an ongoing critical review during the course of the year by the Management Team and the formal annual review. Evidence 4.2 Document retention policy 4.8 Copy of Induction Process Minimum Standards Checklist 4.25 Screenshots from GDPR, Freedom of Information Awareness & Cyber Security Training modules 4.26 Screenshot of Aldo Training Record - Including GDPR and Cyber Security 4.40 Information records and management society evidence of membership & renewal of membership 4.41 Copy of Training Certificate for Introduction to Records Management Future developments GAERO intends to implement compulsory regular refresher training in records management for all staff via Aberdeenshire Council’s in house on-line training environment – ALDO. This training will refresh their understanding of what records management is and assist them to appreciate the importance of proper file naming and metadata in advance of the full onboarding of the SharePoint environment. A full record of the staff who undertake this training will be maintained. Page 46
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RMP-v2.0D Page 23 of 27 Element 13: Assessment and Review Regular assessment and review of records management systems will give an authority a clear statement of the extent that its records management practices conform to the Records Management Plan as submitted and agreed by the Keeper. The Records Management Plan is subject to the organisation’s governance review process that lies within the remit of the Management Team. The Management Team is required to critically review the organisation’s policies on a year-round basis and all policies are also subject to formal review schedule. Internal audit services provided on behalf of the Board by Moray Council report formally on governance arrangements. External auditors likewise formally review and report on the governance framework of the organisation. Governance over the RMP is set out in the table below. Group Governance/Scrutiny Role Management Team Developing and implementing policies and procedures relating to the plan and monitoring/reporting progress. Reviewing and implementing policies, procedures and standards. Monitoring projects relating to this plan. Scrutinising and reviewing the plan and supporting the strategies, policies and progress. Depute Assessor & ERO Formal annual review. Assessor & ERO and Board Approval of the plan and associated strategies and policies. Internal and External Audit Audit implementation The Records Management Plan and associated policies will be reviewed using the ARMS Toolkit (Archives Records Management Service Quality Improvement Tool) which was commissioned by the Scottish Council on Archives; http://www.scottisharchives.org.uk/arms ARMS is endorsed by National Records of Scotland, Quality Scotland and the Scottish Information Commissioner’s Office as a practical and comprehensive self-evaluation and self-improvement tool for record keeping organisations. Evidence 4.42 Governance report to Board 4.43 Internal Audit report to the Board 4.45 Copy of RMP – Annual Review Record Page 47
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RMP-v2.0D Page 24 of 27 Element 14: Shared Information Under certain conditions, information given in confidence may be shared. Most commonly this relates to personal information, but it can also happen with confidential corporate records. In limited circumstances, the Assessor & ERO or the Board holds information that is shared with third parties. Such sharing only takes place where the lawfulness of the arrangement has been established. The organisation may also receive confidential information from partner organisations. In all cases, appropriate agreements are put in place to ensure the confidentiality and secure handling of the information. These arrangements are governed by formal Data Sharing Agreements, which are retained within our records. In addition, our Privacy Notices set out how and when information is shared. Evidence 4.5 Information Technology Security Policy & Guidelines 4.46 Minute of Agreement between Combining Assessors 4.47 Sample Minute of Agreement between EROs 4.48 Template sample Minute of Agreement between Grampian ERO and third parties 4.49 Sample of Minute of Agreement between Assessor and third party Future developments The SAA Governance Committee are currently in the process of collating a comprehensive list of DSAs between Assessors and third parties. This list will enable best practice to be shared between Assessors. Page 48
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RMP-v2.0D Page 25 of 27 4. List of Supporting Evidence Specific to the 14 Elements of the Plan Elements 4.1 Joint Statement by Convenor of Grampian Valuation Joint Board and Grampian Assessor & Electoral Registration Officer 1, 2 4.2 Document Retention Policy 1, 2, 3, 12 4.3 Job Description of Depute Assessor & ERO 2 4.4 Document Retention Policy Appendix 3, 4, 5, 6, 7 4.5 Information Technology Security Policy & Guidelines 3, 8, 10, 14 4.6 Data Access and Building Security Policy 3, 8 4.7 Screenshot of Records Management Policies & Guidelines on Intranet 3, 6 4.8 Copy of induction process minimum standards checklist 3, 8, 12 4.9 Business Classification Scheme 4, 5 4.10 Confirmation from Moray Council that GVJB records held by them are dealt with in line with their records management plan 4, 10 4.11 Aberdeenshire Council Minute of Understanding 5 4.12 Government Security Classification Policy 2023 6 4.13 Destruction Certificate 6 4.14 Confidential Waste & Destruction Procedures document 6 4.15 Sample letter to Library Service with response 7 4.16 Link to Moray Council Website for Board Reports & Minutes 7 4.17 Copy of email from Aberdeen City Council for the provision of a Public Records Archive service 7 4.18 Disclosure Scotland Receipt 8 4.19 Information Technology Security Policies letter with employer and employee signatures 8 4.20 Internet Use Policy and signed employee agreement 8 4.21 Clear Desk and Screen Policy 8 4.22 GDPR & DPA 2018 - A guide for staff 2026 8, 9 4.23 Acceptable Use Policy for IT Systems 8 4.24 Email Guidelines 8 4.25 Screenshots from GDPR, Freedom of Information Awareness & Cyber Security Training Modules 8, 12 4.26 Screenshot of Aldo Training Record - Including GDPR and Cyber Security 8, 12 Page 49
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RMP-v2.0D Page 26 of 27 List of Supporting Evidence Specific to the 14 Elements of the Plan (Cont.) Elements 4.27 Remote Working Access Policy 8 4.28 Data Protection Registration 9 4.29 Grampian Valuation Joint Board Privacy Notice 9 4.30 Grampian ERO Privacy Notice 9 4.31 Grampian Assessor Privacy Notice 9 4.32 Risk Register and corresponding Board Report 10 4.33 Contingencies Plan (currently under review) 10 4.34 Oracle Systems screenshot 11 4.35 Screenshot of website content update log 11 4.36 File Card 11 4.37 File Naming Guidelines 11 4.38 Screenshot of SharePoint file versioning 11 4.39 Screenshot of SharePoint folder permissions 11 4.40 Information Records & Management Society evidence of membership & renewal of membership 12 4.41 Copy of Training Certificate for Introduction to Records Management 12 4.42 Governance Report to the Board 13 4.43 Internal Audit Report to the Board 13 4.44 Copy of email from Moray Council Internal Audit agreeing to formally review Records Management procedures 13 4.45 Copy of RMP Annual Review Record 13 4.46 Minute of Agreement between Combining Assessors 14 4.47 Sample Minute of Agreement between EROs 14 4.48 Template sample Minute of Agreement between Grampian ERO and third parties 14 4.49 Sample Minute of Agreement between Assessor and Third Party 14 Page 50
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RMP-v2.0D Page 27 of 27 5. Abbreviations used in this document MJA Mark Adam, Assessor & ERO DG Donald Gatt, Convenor, Grampian Valuation Joint Board JAB James Barron, Depute Assessor & ERO GVJB Grampian Valuation Joint Board ERO Electoral Registration Officer BCP Business Contingencies Plan ICO Information Commissioner’s Office RMP Records Management Plan GAERO Grampian Assessor & Electoral Registration Officer DRP Document Retention Policy FNC File Naming Convention Page 51
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REPORT TO: Grampian Valuation Joint Board on 28 August 2026 SUBJECT: Staff Vacancies, Recruitment & Upskilling Existing Staff BY: The Assessor & ERO 1. Reason for Report 1.1 To update the Board on the current level of staff vacancies, recruitment and the upskilling of existing staff. 2. Recommendation 2.1 It is recommended that the Board consider and note the contents of this report. 3. Background 3.1 This has been a standing report for Board meetings since January 2023. 4. Current Vacancies 4.1 There are currently fourteen vacant posts: Section Establishment (FTE) Vacancies (FTE) Previously Currently Clerical 29 2 1 IT 3 1 1 Management 3 0 1 Secretarial 3 0 1 Technical 13 2 2 Valuation 30 7 8 Total 81 12 14 4.2 There have been no changes since the previous Board meeting. Item 8. Page 53
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5. Recruitment 5.1 No recruitment has taken place since the previous Board meeting. 6. Action Being Taken 6.1 Interviews for technical assistant and valuer vacancies are taking place during the week commencing 24 August. 6.2 I am pleased to report that one colleague will begin their Graduate Apprenticeship studies at Edinburgh Napier University on 31 August, supporting their professional development and strengthening skills within the organisation. 6.3 We continue to collaborate with other Assessors to develop a comprehensive training framework for Trainee Valuers, while our internal programme of structured training and development sessions is helping to build skills, knowledge and confidence within our team of trainee valuers. 6.4 To support professional development, colleagues progressing towards their Assessment of Professional Competence (APC) with the Royal Institution of Chartered Surveyors now benefit from access to a dedicated learning platform, shared with candidates at a similar stage across other Assessors’ offices. 6.5 The university student who undertook a placement with us as part of their MSc Real Estate course has continued to be employed on a temporary basis and has been offered a permanent post on graduation. 6.6 As part of our ongoing commitment to attracting and developing future valuers, we will be attending the University of Aberdeen Business and Finance Fair on 29 September. This event provides a valuable platform to promote the organisation and engage with potential future recruits. 6.7 The IT vacancy remains under review pending the completion of the work to move IT resources to Aberdeenshire IT infrastructure. This work is scheduled for completion in early September. 6.8 We continue to actively advertise our valuation and technical vacancies through our website, and with the support of Moray HR colleagues, plan to review our external advertising options to strengthen our recruitment approach and broaden engagement with prospective applicants. 6.9 The next scheduled meeting with Moray HR colleagues takes place on 2 September. 7. Conclusion 7.1 Vacancy levels remain unchanged, reflecting seasonal factors such as annual leave. Recruitment remains a key priority, and we will continue to engage with potential candidates to attract the skills and expertise needed across the Page 54
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organisation. Through sustained recruitment efforts, we are hopeful of increasing workforce capacity and further strengthening the organisation. Author of Report: Mark Adam, Assessor & ERO Page 55
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