Your browser does not support JavaScript

File note form template

2 min read
£ 15
Or, upgrade to our Disciplinary toolkit

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.

We also have budget-friendly bundles featuring this template:

What is a File note form?

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.

What are the best practice implementation milestones / timescales?

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
File note form template
file note form template

What legal and best practice aspects should employers be aware of?

  • 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.

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:  

Version: [1.0]

Issue date: [date]

Direction

The File note form template is issued by an employer
Employer
Issue path
The File note form template is issued to an employee
Employee

Timing

As soon as possible after the event.

Sequence

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 warning letter template

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

Related articles

Who are some Companies who utilise our File note form template?
  
Why buy our File note form template?
  • You save time and effort with a professionally written, editable HR document that is tailored to meet best practice.
  • You ensure compliance with applicable ACAS Codes of Conduct and other legal requirements.
  • You get a process flowchart to help you adhere to best practice.
  • You are notified by email whenever this template or its supporting resources are updated.
  • You enjoy 12 months of unlimited access with no hidden fees or extra costs.
  • You unlock a 25% discount on all future purchases or renewals of our libraries, toolkits, and templates.

What do our customers say about us?

I have been using the service now for around 6 months and it has been really useful in developing and updating polices and processes.

- Jamie Allan, Armstrong Craven ★★★★★

Armstrong Craven logo

Read full review on Google

Excellent library of resources and templates which have made my job in my small business so much easier to manage HR for my employees...

- Emma Hunt ★★★★★

Read full review on Google

Great value and the site contains an extensive library of essential HR documents. I access the site probably once a week...

- Laura Alliss-Etty ★★★★★

Read full review on Google

A great source of information and advice. I can highly recommend hrdocbox.

- Georgina Loom, The Hygiene Bank

The Hygiene Bank logo

HRDocBox is a great resource. It is incredibly good value, providing a large selection of HR guidance materials as well as...

- Emma Beauchamp ★★★★★

Read full review on Google

Supporting Menopausal Employees and Avoiding Legal Risk
Thu, 22 Feb 24

Supporting Menopausal Employees and Avoiding Legal Risk

Guidance for Employers

The recent announcement from the Equality and Human Rights Commission (EHRC) clarifying the legal obligations surrounding menopause in the workplace has sparked important conversations...