188ÌåÓý

Ìý

Keeping an accurate record of theÌýconversations you have with a business is fundamental to a well-worked case. It does not need to be verbatim, but you should try to record as much as you can.Ìý

If you are using handwritten notes, follow the guidance atÌýECSH33026.

If you are using a tablet or laptop to take notes, follow the guidance at ECSH33027. Ìý

When should notes be made?Ìý

Notes should be made in real time or as soon as possible after the event. The longer the time between an event and a notebook entry, the lesser the credibility of the notes.Ìý

The notetakerÌý

Either the lead or second officer may act as the note taker but only one set of notes should be made, even if there are two officers present.

There may be times when both can make notes, for example if one person is a trainee but there are procedures to follow � see guidance in FIS Handbook.

The notetaker should control the pace of the meeting, to ensure there is an accurate record produced. They should confirm spellings, any acronyms used and ask for clarification where needed.Ìý

What to recordÌý

It is important to note down everything seen, heard, or said. This may include:Ìý

• the location of the meeting or number called if it’s a desk-based interventionÌý

• the date, start, finish and time of any other significant events, for example someone joining the meetingÌý

• who is present at the meeting and their reason for attending, for example the director or business’s compliance adviserÌý

• the name of the sector and purpose of the meetingÌý

• agreement to notes being taken and any special circumstances, for example customers needing extra support or any powers being usedÌý

• what questions were asked, and responses received, ensuring you use initials to identify who said whatÌý

• full details of any documents and records seenÌý

• any breaks you offer to the business, even if the business decides not to have a break at that time, otherwise the business could claim that they were forced to answer under duress and your evidence may not be validÌý

• facts and observations (for example, the number of customers you observe) â€� but not opinions the appearance of records and/or systems usedÌý

• the number of desks and/or computersÌý

• any transactions overheard, or if customers are being turned awayÌý

• agreed next steps along with reasonable timescalesÌý

Other potentially pertinent recordsÌý

It can be misleading during litigation if the business presents a document which it contests it provided to you during the intervention, if you don't record exactly what you were given. Ask for copies of documents you will need to rely on rather than try and write down all the details. In court, it is very difficult to say it was the exact document you saw unless you have a copy.Ìý

(This content has been withheld because of exemptions in the Freedom of Information Act 2000)

Admissible evidenceÌý

Usually only your notebook entry is admissible in criminal proceedings.Ìý

A copy of your notes of meeting will be available in the court bundle but you can’t take a copy in with you or annotate it with trigger notes.Ìý

Recording informationÌý

For guidance on how and what information you can and can’t record, see ECSH33030. Ìý

Amending information after finalising your notesÌý

For guidance on amending information after finalising the notes, follow the guidance at CH204510 - How to do a compliance check: notes of meeting: introductionÌý

Aide memoiresÌý

If you use an aide memoire with standard questions to assist you during a compliance check, you must record responses to questions in your notebook or digital notes and make it clear which question was asked. Responses must not be recorded on a pre-printed aide memoire.Ìý

A copy of the aide memoire must be retained as part of the audit trail and an electronic copy stored in Caseflow.Ìý

MisuseÌý

Deliberate misuse of notebooks may lead to prosecution for attempting to pervert the course of justice and/or disciplinary action.ÌýÌý

Any officer who becomes aware of notebooks being misused must bring the matter to the attention of their manager.Ìý