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The Importance of File Notes
We suggest that you document everything in file notes relating to an employee’s employment from that brief informal conversation that Joe in Accounts had with you about his dislike of Tina from Payroll’s ‘tone’ when she speaks to him, to complaints received from your customers regarding a product or customer service you have provided to them.
File notes should be used to keep a record of meetings, discussions or telephone conversations concerning significant business matters. File notes are important as they record the Who, What, When, Where and How of a situation. They should be drafted whilst the information is still fresh in the person drafting the file notes mind.
The file note should also comprise of the 4 C’s Principle and be Concise, Clear, Current and Comprehensive. They should be factual and professional in character and not contain anything that would be considered subjective, such as exaggerations and personal opinions – do not allow room for any misinterpretation.
Documentation such as file notes are normally the beginning of a paper trail and provides a clear and documented history of events. The individual who drafts the file note must ensure that they are mindful of whom may have access to the file note and what it may be used for (i.e. investigations, disciplinary hearings, appraisals) and write them accordingly. File notes should contain enough detail for a third party to be able to pick up the file note and be able to comprehend what occurred.
LAW suggests that companies have a generic file note template that can be used for any situation to ensure consistency in how the information is collected and presented. File notes should contain a sign off area by the creator stating the date, name and parties involved in the file note. It is also advisable for other parties involved to sign off on the file statement that it is a true and accurate record of what occurred.
Whether file notes are handwritten, typed, or take the form of an email, they have a vital role to play in an employer’s management to demonstrate that the employer has been reasonable. There have been numerous successful employee tribunal claims based on the failure by the employer to provide file notes/documentation as they had the burden of proof upon them. An
employer places their company at risk of claims when it is perceived that making file notes is a mundane and unnecessary task.
For this reason, employers must ensure that their approach to file notes is a consistent and necessary proactive to be undertaken by their employees.
