Fact finding and attendance note drafting - Actions, deadlin...

Learning Outcomes

This article sets out effective fact finding and attendance note drafting for managing actions, deadlines, and risk warnings, including:

• Distinguishing material facts from opinion and evidential gaps, and preserving key quotations where necessary
• Building short chronologies and person/document lists to organise information and spot issues
• Structuring attendance notes to capture objectives, background, advice in plain English, and documents seen
• Recording clear action points with named responsibility, calendar deadlines, dependencies, and monitoring steps
• Communicating specific risk warnings (e.g., limitation, procedural and costs risks) tied to protective actions
• Diarising and calculating statutory and procedural time limits accurately, with reminders and contingencies
• Documenting client decisions, including decisions against advice, and noting any retainer limitations
• Maintaining objectivity, confidentiality, and ethical compliance (e.g., disclosure duties; not misleading the court)
• Adapting to remote or court-side meetings by noting privacy limits and arranging follow-up
• Preparing file notes that are contemporaneous, auditable, and suitable for subsequent drafting and advocacy

SQE2 Syllabus

For SQE2, you are required to understand fact finding and recording in a legal context, draft effective attendance notes, and communicate time-critical actions and risk warnings, with a focus on the following syllabus points:

• understanding the process and skills for eliciting and recording material facts in client interviews or meetings
• drafting concise and accurate attendance notes that specify next steps, actions, and deadlines
• recognising when and how to highlight legal or procedural risks to clients within your notes or advice
• ensuring all parties have a clear, written record of responsibilities, timings, and consequences
• applying plain English style, avoiding ambiguity and unnecessary jargon
• maintaining objectivity, confidentiality, and accurate records, including when regulatory or ethical duties arise (e.g., money laundering suspicion, duty not to mislead the court)
• structuring action plans and contingency steps for time-critical processes

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

1. What details must be included in an attendance note following a client meeting relating to a litigation matter?
2. What is a 'risk warning' and when should it be provided in a client attendance note?
3. True or false: All actions and next steps recorded in an attendance note must include responsible parties and specific deadlines.
4. Identify a common error in drafting attendance notes that could negatively impact a client's rights.

Introduction

Effective fact finding and attendance note drafting are essential practical skills tested in SQE2. You are expected to identify relevant information, record it accurately, specify agreed actions and their deadlines, and make clients aware of risks arising from their situation or from any failure to act. A well-drafted attendance note is an objective, contemporaneous record of your meeting or telephone conversation, setting out what was discussed, what must happen next, and any necessary warnings.

Key Term: attendance note
A contemporaneous written record produced by a solicitor or trainee, summarising what took place during a meeting or call, including facts, advice, action points, and deadlines.

Key Term: fact finding
The process of eliciting, clarifying, and establishing relevant factual information from a client or third party, to progress a matter or provide accurate legal advice.

Key Term: action point
A clearly identified step that must be carried out as a result of a discussion, specifying the actor and any timescale.

Key Term: deadline
A specific date or time by which a stated action or obligation must be completed to avoid adverse consequences.

Key Term: risk warning
A statement in written or oral form highlighting a potential negative consequence if a client omits or delays a required action.

The Purpose of Fact Finding

Fact finding is central to every meeting with a client. It enables you to establish material facts, clarify uncertainties, and detect gaps or inconsistencies. For SQE2, you should distinguish between what the client believes and what is supported by documents or other evidence. Adopt a non-judgemental and objective stance throughout: listen carefully, avoid jumping to conclusions, and probe with appropriate questions to test clarity and completeness.

In practice, combine legal and factual analysis. As you elicit facts, keep in mind the legal issues they may engage (elements to prove, burdens and standards of proof, procedural requirements). This does not mean delivering legal lectures during the interview; it means asking questions that will produce the facts you will later need to map against the relevant legal framework.

Use a structured approach to questioning. Begin broadly with open questions to allow the client to tell their story, then funnel into closed or specific questions to fix dates, amounts, names, locations, and sequences. Active listening is essential: pick up cues, note areas of uncertainty or conflict, and summarise back key points to confirm accuracy. Where facts are unclear or ambiguous, test them gently and methodically; where two versions conflict, identify the conflict and seek an explanation.

Chronologies and lists help keep control. As you gather facts, build a short timeline of key dates and events, and a list of all relevant people and their roles. In some cases, sketch plans or diagrams can assist recall and clarity (e.g., road junctions, property layout). Where documents are involved, highlight passages and confirm the client’s understanding of their content; avoid letting documents distract or dominate the discussion.

Exam Warning

It is not sufficient to rely on a client’s expressed opinion. Always record the actual facts given and probe for missing or ambiguous details. Use the client’s words in quotation marks where you need to preserve a precise statement.

Attendance Note Structure and Contents

Attendance notes serve as a record for both the lawyer and the client. Poor attendance notes can lead to misunderstandings about advice, unrecorded deadlines, and even claims of negligence.

A complete attendance note should set out:

• time, date, and participants
• the purpose of the conversation or meeting
• background facts as understood or clarified
• legal advice given in plain English
• actions to be taken, by whom, and by when
• risk warnings regarding inaction or other possible adverse outcomes
• any documents or evidence received or to be obtained

Add depth to each of these core items:

• Participants and setting: identify all attendees, their roles, and any interpreter or third-party present. If the meeting took place in a non-private setting (e.g., at court or in public), record what steps were taken to protect confidentiality, or note limitations.
• Scope and purpose: state the client’s objectives at the outset and any limits on the retainer or advice (e.g., preliminary view only pending disclosure or expert evidence).
• Facts and documents: summarise material facts in neutral language. Refer to key documents by title and date; note what was read and any passages discussed with the client. Where documents will follow, list them and set a deadline for receipt.
• Advice: explain legal concepts in plain English. Avoid legal jargon; if you must use a technical term, define it briefly. Record options, likely processes (including any pre-action steps), and provisional merits if they were discussed.
• Actions and deadlines: allocate a responsible person for each task (client/solicitor/third party), set a calendar date (and time if critical), and identify dependencies (what must happen first).
• Risk warnings: spell out concrete consequences in accessible terms (e.g., “If proceedings are not issued by [date], the claim may become time-barred.”). Record the client’s response and any decision.
• Follow-up and monitoring: note how progress will be monitored (e.g., “fee-earner to chase medical report if not received by [date]”) and how/when you will report back.

In practice you will often also draft a separate client-facing letter or email confirming advice, actions, deadlines, and risk warnings in plain English. Your internal attendance note is usually more detailed and may include internal risk and file management points.

Worked Example 1.1

You meet a client who wishes to bring a breach of contract claim. The client says they have a “good case” but does not know if there is any written contract. On review, you discover there is no documentation sent to your office.

Question: How should you record this in your attendance note, and what are the next steps?

Answer:
You should record that the client states there was an oral agreement, but that no documentation has been provided. Action point: client to supply all correspondence or evidence by a specific date. Risk warning: failure to provide evidence may weaken or prevent a claim.
Record neutrally, e.g., “Client says parties agreed price of £X and delivery by [month]. No written contract seen. Client to email any emails, texts, invoices, or purchase orders by 12:00 on 24 June 2025.” Add: “Explained evidential risks of oral contracts and importance of contemporaneous documents. Warned that if limitation is approaching, protective steps (e.g., letter of claim; issuing proceedings) may be needed.”

Setting Actions and Deadlines

Recording agreed action points and precise deadlines is essential in legal practice. Vague promises to “come back soon” or “look into it” are insufficient.

Use clear headings for each action, specify the responsible person, and always include calendar dates (e.g., “13 July 2024”). Where an action depends on something else occurring, state that dependency (“Issue claim by 19 July 2025, subject to receipt of client’s signed witness statement by 12 July 2025”). Build in monitoring (“If no response by 10 July 2025, we will chase by phone and email”).

A simple way to structure actions is to capture five elements in one sentence: Action; Responsible; Target date/time; Dependencies; Monitoring. For example: “Obtain GP records (Action) – Firm (Responsible) – request by 16:00, 28 May 2025 (Target) – needs signed authority from client (Dependency) – diarise chase for 14 days after request (Monitoring).”

Diarise all deadlines in your firm’s system and in your personal calendar. For high-risk or statutory deadlines (e.g., limitation, procedural time limits), set advance reminders. Where deadlines are imposed by court rules or a pre-action protocol, identify the rule/protocol in the note and ensure you calculate time correctly.

Worked Example 1.2

Following a meeting, the client is to sign a witness statement. No date is set.

What is the issue, and how should it be resolved in the note?

Answer:
The absence of a set deadline is a procedural risk. The note should specify: “Client to sign and return witness statement by 17:00, 13 July 2024, to enable service before court deadline.”
Add the dependencies and monitoring: “We will circulate the final draft by 17:00, 10 July 2024. If not received by the client by that time, client to call immediately. We will chase by noon on 12 July 2024 if no response.” If the court deadline is missed absent good reason, record the risk: “Explained risk of application for relief from sanctions being refused.”

Risk Warnings

Clear risk warnings help protect both the client and the lawyer. Warnings may relate to limitation periods (claim may be time-barred), failure to provide documents (case may fail), procedural consequences (striking out, default judgment, costs sanctions), or other specific legal or practical consequences (e.g., unenforceability of restrictive covenants; loss of employment claim due to tribunal time limits).

Attendance notes should record any such risk warnings given, in plain language, and confirm that the client was advised of their significance. Link warnings to actions and dates: the reader must be able to see the risk, the protective step, and the timeframe.

When relevant, also warn about:

• costs risks and potential adverse costs orders (including the effect of offers to settle, such as Part 36 offers in civil litigation)
• the uncertainty of outcomes (probability, not certainty), supported by the strengths and weaknesses identified
• evidential risks (e.g., unreliable witness memory over time; non-compliance with disclosure duties)
• regulatory/ethical constraints (you cannot advance a case on a false basis; you cannot mislead the court; potential money laundering reporting obligations in the regulated sector)
• the impact of delay on implementation and client objectives

Worked Example 1.3

A client in a personal injury matter is told the claim is close to the limitation period expiring. The note simply says “Limitation discussed.”

Why is this insufficient, and what should have been recorded?

Answer:
“Limitation discussed” is not specific enough. The note should state: “Advised client that limitation period expires 18 July 2024; if claim is not issued by this date, right to claim may be lost. Client understands and instructed to provide final instructions for issue by 12 July 2024.”
Add the protective plan and monitoring: “We will prepare draft claim form and particulars by 10 July 2024. If instructions not received by 12 July 2024, explained we may be unable to issue in time. Client consented to issuing protectively if needed.”

Worked Example 1.4

You receive a defendant’s Part 36 offer that appears reasonable on quantum, but the client is hesitant.

How should you record advice and risks?

Answer:
Record the key terms and the costs consequences in plain English: “Explained that if we do not accept the Part 36 offer of £25,000 within the relevant period and fail to obtain a judgment more advantageous than the offer, the court may order we pay the defendant’s costs from the end of the relevant period and interest on those costs.”
Record the client’s decision and rationale, and set a clear deadline: “Client to decide by 16:00, 21 June 2025. We will seek counsel’s view by 18 June 2025. Warned about the adverse costs risk of rejecting a reasonable offer.”

Worked Example 1.5

During an employment interview, the client reveals they were dismissed months ago and wants to bring an unfair dismissal claim.

What specific risk warning belongs in your note?

Answer:
“Explained that a claim for unfair dismissal must normally be presented within three months less one day of the effective date of termination, subject to extension for ACAS Early Conciliation. Client to provide termination letter and ACAS EC details by 12:00, 3 May 2025. Warned that if the deadline has passed, the tribunal may not accept the claim.”

Practical Tips

Revision Tip

Always use simple, unambiguous language in attendance notes, especially for actions and warnings. Rely on objective facts, not opinions or assumptions.

Exam Warning​

Omitting risk warnings or failing to specify deadlines in your notes can be evidence of negligence or may prejudice the client’s case. In SQE2, generic or vague notes will not score well.

Make your note easy to read and audit:

• Record permission to take a note and any pauses to check details. Clients notice when you write; a brief explanation helps manage expectations and pace.
• Use active voice and specific wording (“We will serve by 16:00 on 12 July 2025”), not vague or passive phrasing (“Service will be effected shortly”).
• Avoid jargon and archaic terms. Replace “forthwith” with a date and time, and “inter alia” with a short list.
• Keep sentences tight. Prefer one idea per sentence. Long, complex sentences increase the risk of ambiguity.
• Capture direct quotations sparingly where exact wording matters (e.g., alleged discriminatory remarks; clear instructions against advice).
• Cross-check names, dates, addresses, and references. Spelling errors and mis-stated dates spoil reliability.
• Build a short chronology for the file. It helps to align facts with legal issues and to spot gaps.
• Separate internal risk management notes where appropriate (e.g., a confidential line about potential money laundering suspicion), and follow firm protocols.

Where you review documents or real evidence with the client, note which items were discussed and the conclusions drawn. Test the client’s understanding of any document that affects their rights. If using diagrams or photographs to clarify events, note what was sketched and any agreed positions of people or vehicles.

Documenting Risks of Inaction

When a client disagrees with your advice or refuses to follow it, record this in your attendance note, including the risks. This ensures clarity for all and protects your position. The file should show:

• the advice given and the reasons for it
• the risks explained (legal, procedural, costs)
• the client’s decision, including any alternative plan agreed
• any limitation on your retainer caused by the decision (e.g., you cannot meet a court deadline without instructions)
• your next steps, including whether you will continue to act or must consider coming off the record

If a client asks you to take a step that would breach your professional duties (e.g., mislead the court), state clearly that you cannot do so, record the conversation, and explain the consequence (you may need to cease acting if the instruction persists).

Where there are potential reporting duties in the regulated sector (e.g., suspicion of money laundering), follow your firm’s reporting procedures and do not “tip off” the client. Record any internal escalation separately from client-facing notes, in line with your firm’s policies and the law.

Worked Example 1.6

The client refuses to provide a key document you have advised is essential to comply with disclosure obligations.

How do you record this, and what risk warnings should you include?

Answer:
“Explained duty to disclose documents that adversely affect our case or support the other side’s case, and the risk of sanctions for non-compliance. Client declines to provide [document] at this stage. Warned that the court can impose sanctions (including strike-out and costs) and that knowingly withholding could be contempt. Client to reconsider and confirm position by 12:00, 7 July 2025.”
Add: “If client maintains refusal, we will review whether we can continue to act.”

Additional Guidance on Eliciting and Recording Facts

• Create a person list: for matters with multiple parties or witnesses, list each individual, role, and contact details. This supports later drafting (e.g., witness statements).
• Identify gaps and ambiguities: flag what is missing (e.g., date of termination; chain of emails; expert report) and create actions to fill gaps with deadlines.
• Test reliability: if the client’s account differs from a document or another statement, note the difference and ask targeted, non-leading questions to resolve the conflict.
• Be sensitive to specific client needs: note any adjustments required (e.g., interpreter, breaks, support person). Record how you ensured the client understood the advice.

Language and Style in Notes

Accuracy and clarity are essential. Prefer:

• specific over vague (“serve by 16:00 on 12 July 2025” rather than “in the near future”)
• plain English over legalese (“not good enough to meet the legal test” rather than “insufficient to discharge the evidential burden”)
• active over passive (“We will draft and send the letter of claim” rather than “A letter of claim will be sent”)

Where the status of a conversation is important (e.g., without prejudice settlement discussion), mark that status clearly in your note and ensure you understand the implications.

Monitoring and Contingencies

Implementation often fails where monitoring is weak. In your attendance note:

• state how each action will be monitored
• set a diary reminder for chasing third parties (experts, opponents, agencies)
• include contingencies for foreseeable problems (“If medical records not received within 21 days, we will request an update and consider a subject access request”)

Where tasks are delegated, record who is accountable for progress review. Build in review points on longer projects.

Remote and Court-Side Interviews

If you meet at court or in a busy environment, record the steps you took to maintain confidentiality and secure a quiet space. If privacy was limited, note any implications for the depth of discussion and agree a follow-up call or meeting to complete instructions. For remote meetings, record the platform used, any connection issues that could have affected understanding, and confirmation of the client’s identity where appropriate.

Common Errors to Avoid (and How to Fix Them)

• Vague actions: fix with precise dates, times, and responsibilities.
• Missing risk warnings: add clear statements of consequence and tie them to deadlines.
• Overly legalistic advice: translate into plain English, then relate to the client’s situation.
• Omitting the client’s objective: record what the client wants and any change during the meeting.
• No monitoring: state how you will follow up and when, and diarise it.

Worked Example 1.7

You took urgent instructions at court in a public corridor, covering only immediate next steps.

What should your attendance note and follow-up record?

Answer:
“Met client at [court] at 09:10 in public corridor. Privacy limited; explained we would cover urgent steps only and arrange a confidential follow-up. Took instructions on [application/defence], advised on immediate risks and steps, and agreed follow-up video call for 10:30 tomorrow. Warned about the immediate deadline of [time/date] and consequences of missing it.”
Add actions: “We will file [document] by 16:00 today. Client to email [document] by 12:30 today. Follow-up call to cover full background and documents.”

Summary

• Fact finding is the process of eliciting and recording all material facts from the client to support accurate legal analysis.
• Attendance notes provide a complete and objective record of the meeting, including facts, advice, agreed actions, deadlines, and risk warnings.
• All action points must state a clear actor and deadline by calendar date, plus monitoring arrangements and any dependencies.
• Deadlines and risk warnings must be expressed in plain language, with consequences for ignoring them clearly set out.
• Notes should capture client decisions, including decisions against advice, and any limitations on the retainer or on confidentiality.
• Use active listening and funnelled questioning to clarify gaps, ambiguities, and conflicts, and maintain a running chronology.
• Document handling should be critical and focused; record what was reviewed, what is needed, and by when.
• Build contingencies and review points into your action plan; diarise and chase to ensure implementation.
• Maintain objectivity and professional duties, including not misleading the court and following regulatory reporting procedures where applicable.

Key Point Checklist

This article has covered the following key knowledge points:

• The role and requirements of fact finding in legal matters.
• How to structure and draft a comprehensive attendance note.
• The need for recording precise actions, specific deadlines, and monitoring.
• When and how to provide written risk warnings to clients.
• Capturing client decisions and documenting disagreement with advice.
• Using plain English, active voice, and specific wording to avoid ambiguity.
• Practical and professional consequences of incomplete or vague notes.
• Building chronologies, person lists, and contingencies to support analysis and implementation.

Key Terms and Concepts

• attendance note
• fact finding
• action point
• deadline
• risk warning