File note form template

£ 15

Our File Note Form Template records first offences or minor incidents, promoting fair and consistent documentation.

If an employee has displayed poor performance or attitude, or committed minor misconduct for the first time, use this model file note form template to record it.

Reading time icon
Time to read / prep / use
5 mins
Document specs icon
Document specs
145 words, 1 page
Date last reviewed icon
Date last reviewed
1 June 2024
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file note form template

What is this form for?

File notes are written records of an employee's disciplinary actions or performance issues maintained in their personnel file. They track incidents, counseling, and corrective measures, enabling employers to address poor behaviour or misconduct. File notes must be factual, objective, and compliant with relevant laws.

Best practice timescale for this to be issued
When should this form be used?
As soon as possible after the event
Issued by who, to whom
Who should issue this form, and to whom?
The Employer (you) to the Employee
Applicable legal jurisdictions
In which jurisdictions can this form be used?
Great Britain & NI (United Kingdom), Worldwide
  • Employment Rights Act 1996: Provides guidelines on recording and maintaining accurate employment records, including disciplinary incidents.

  • Equality Act 2010: Ensures that disciplinary actions are applied consistently and without discrimination based on protected characteristics.

  • Data Protection Act 2018: Sets requirements for handling and protecting employee data, including disciplinary records.

  • ACAS Code of Practice on Disciplinary and Grievance Procedures: Offers best practices for handling disciplinary issues, which may include record-keeping.

What communication / process sequence is this part of?

Previous step
Letters
Concern about performance letter template

Use this model letter to notify an employee that you have a concern over their performance, that may warrant disciplinary action should it happen again.

This step
File note form template
Next step
Letters
Verbal (informal) warning letter template

Our Verbal Warning Letter Template facilitates prompt informal resolution of performance issues, ensuring clear communication and promoting improvement.

What steps should I take to ensure the effective, compliant execution of this form?

Step Description Responsibility Timing (Days from Decision)
1 Define Criteria: Establish clear criteria for using the File Note Form to record a first offence or minor incident, ensuring it does not discriminate based on protected characteristics. HR / Management Team N/A
2 Meet with Employee: Arrange a meeting with the employee to discuss the event and inform them about the File Note Form. HR / Supervisors Day 1
3 Incident Documentation: Complete the File Note Form to record the details of the event, including date, time, and description. Employees / Supervisors Day 1
4 Review and Verification: Review the File Note Form for accuracy and verify event details if needed. HR / Management Team Day 2
5 File and Monitor: Securely file the Form for future reference and monitor any necessary follow-up actions. HR / Management Team Ongoing

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File note

Private and Confidential

Employee:  
Job title:  
Department:  

Summary

Subject:

e.g. timekeeping

 

Background:

what actions/misconduct/poor performance etc. led to this file note being recorded?

 
Summary of discussion:  

Agreed outcome:

Depending upon the issue, this section could include:

  • summary of improvements
  • required standards
  • targets/objectives (SMART)
  • timescales for improvement,
  • responsibilities for implementing actions,
  • details of any agreed reasonable adjustments
  • date of any subsequent review meeting/discussions etc.
 

 

File note issued by:  
Date issued:  

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Version: [1.0]

Issue date: [date]

Why buy our File note form template?

Our content:

Is easy to edit and execute, with comprehensive implementation guidance.
Is designed by accredited, experienced HR practitioners.
Maintains your compliance with ACAS guidelines, legislation, and industry best practices.
Includes 12 months access to your purchase, with email alerts if updated or expanded.

Stop doing this:

Wasting money buying documents that don't meet best practice or legislation.
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