2a. File Note for Improvement

 A 'File Notes for Improvement' is a form that can be issued to an employee to communicate any areas where improvement is required.
It is a way of communicating areas where improvement is needed, without having to enter into formal disciplinary procedures. Other similar documents would be a 'Letter of Concern' where you confirm your concern in a letter but informally and outside of the formal disciplinary or capability procedure. 

You should discuss any File Notes for Improvement or Letters of Concern with the employee - not just hand it to them or leave it for them - as it is important that the employee is fully aware of why it is being issued. 
A File Note for Improvement (or Letters of Concern) ensures that a record is kept of concerns and that the employee is clear about what is required. This can help overall communication and improve standards of conduct and performance without the need to have to enter into the formal disciplinary procedures. 
It is important to remember that a File Note for Improvement (or Letter of Concern) does NOT form part of the disciplinary procedure. But they can be referred to when considering whether to proceed to a formal disciplinary meeting, e.g. if an employee has been issued with two file notes for poor time keeping and the employee continues to be late, the Manager will be able to more easily decide when it will be appropriate to commence formal disciplinary action. 

Generally, if an employee is clearly told the area where improvement is needed and/or what is required, they will address this. The File Note for Improvement (or Letter of Concern) provides a mechanism to achieve this and can help avoid having to take formal disciplinary action.
Please see the template File Note for Improvement policy document more details.