Workplace Investigations note taking and minutes: accuracy, confidentiality and DSARs

Accurate, neutral notes are essential to fair Workplace Investigations. Use typed notes as the default, agree ground rules, reference exhibits and confirm accuracy promptly. Keep data minimised and secure, disclose relied upon material in good time, and plan for data subject access requests with proportionate redaction and clear records of decisions.

Introduction

Notes and minutes are the backbone of your investigation report and any subsequent hearing. Poor records and/or slow disclosure weaken credibility and increase risk of appeals or tribunal claims. This guide shows UK employers how to take accurate notes, protect confidentiality and handle data subject access requests (DSARs) without derailing the timetable or your position.

Key takeaways

·        Default to typed notes, audio recording can be used if agreed and controlled.

·        Set ground rules at the start, explain confidentiality, review process and data handling.

·        Reference exhibits and time markers so readers can follow the evidence trail.

·        Send notes for confirmation quickly after the meeting and capture corrections transparently.

·        Plan for DSARs from day one, coordinate redaction and keep an audit trail.

What counts as notes or minutes, and why accuracy matters

Notes or minutes are a contemporaneous record of what was said and shown in meetings and interviews. They do not have to be a verbatim transcript, but that can help. They should capture the core account, key questions and answers, and references to documents or data. Clear notes helps show fairness and robustness.

Legal and guidance framework that shapes your record keeping

·        Acas Code of Practice on disciplinary and grievance procedures where planning interviews, taking statements and confirming accuracy are important.

·        Employment Rights Act 1996 where the overall reasonableness includes the quality of your investigation and disclosure.

·        Equality Act 2010, make reasonable adjustments so disabled participants can contribute fairly.

·        UK GDPR and Data Protection Act 2018, lawful basis, minimisation, transparency, security and retention.

·        Employment Relations Act 1999, companion rights at disciplinary or grievance hearings, not usually at investigatory meetings.

Deciding how to record, options and pitfalls

·        Typed notes reviewed promptly are usually sufficient and lower risk for privacy and security.

·        Audio or video recording are a good solution too especially for complex or sensitive cases.  If used, explain why, who will access, how/where it will be stored and for how long. Do not record covertly.

·        Do not rely on one person’s memory. Use a simple template with headings for ground rules, free narrative, probes and exhibits. Perhaps prepare a script with relevant questions to ask.

Interview note taking, step by step

1) Prepare

·        Draft a script or non leading / open questions aligned to your Terms of Reference.

·        Prepare exhibits with labels and decide what to share in advance.

·        Plan reasonable adjustments, for example shorter sessions, breaks or a support person.

2) Open with ground rules

·        Explain purpose, confidentiality, data handling and how notes will be confirmed.

·        Say that accuracy matters more than speed. Witnesses can say if they do not know or cannot remember.

3) Capture the free narrative

·        Let the witness tell their story in their own words, or provide their answers before probing specifics.

·        Use neutral phrasing and minimal encouragers, try and avoid leading questions unless specific details are required.

4) Reference exhibits and specifics

·        Mark when a document or clip is shown and note the exhibit ID and timestamp.

·        Record key quotes that are central to the issue.

5) Close and confirm

·        Ask if there is anything to add or correct. Explain next steps and timescales.

·        Send notes / recording within a few days for review. Capture corrections with change tracking or a short addendum.

·        If a witness declines to sign, record that notes were shared and any comments received.

Accuracy techniques that make a difference

·        One interviewer, one dedicated note taker where resources allow.

·        Timestamp key moments and cross reference to exhibits and logs.

·        Summarise back important points, for example, “My note is that…” then check agreement.

·        Avoid credibility shortcuts based on demeanour, focus on consistency and corroboration.

Confidentiality and privacy, practical controls

·        Limit access to a need to know group and consider using named bundles, for example clean and redacted versions.

·        Avoid uncontrolled downloads to personal devices. Use secure transfer and storage.

·        Plan redaction early. Remove or anonymise third party data where identification is not reasonable and document why.

Respond to DSARs, without losing momentum

·        Expect DSARs during or after live cases. Respond without undue delay and within one month.

·        Search proportionately. You do not have to create new information to answer a DSAR.

·        Apply exemptions narrowly, for example legal professional privilege or management planning where relevant, and record your rationale.

·        Redact third party data where disclosure would be unreasonable. Balance fairness with privacy and keep a redaction log.

·        Coordinate DSAR disclosure with hearing disclosure to avoid inconsistencies.

Covert recordings by employees, how to respond

·        Do not assume a covert recording is inadmissible. Tribunals may allow relevant parts, especially of open meetings where there is disagreement over what was said.

·        Private deliberations between managers are often excluded, case dependent. Keep your own deliberations separate and unrecorded.

·        If offered a recording, assess relevance, lawfulness and reliability. Keep a clear note of what was considered and why.

Sharing notes fairly with the employee

·        Fair process means disclosing relied upon material with reasonable time to respond before any hearing.

·        Use summaries or redaction to protect third parties where identification is not reasonable, and record your decisions.

Common pitfalls and how to avoid them

·        Letting notes drift for weeks before confirmation, send them quickly so memories are still fresh. 

·        Using emotive or leading language in notes, stay neutral and factual.

·        Not storing evidence or notes securely to ensure only those who need to see them have access.

·        Failing to respond properly to a DSAR.

Examples, anonymised

Example 1, Harassment interview notes – best practice. The interviewer uses a template with ground rules and a free narrative section. Exhibits are referenced with IDs and timestamps. Notes are shared within two days, corrections are logged and a clean bundle and a redacted bundle are prepared for disclosure. 

Example 2, Theft allegation – best practice. The note taker marks when CCTV clips are viewed and references timecodes. The employee’s corrections are recorded in an addendum. Disclosure to the employee is made five working days before the hearing.

FAQs

Should we audio record interviews? 

Up to you. Typed notes reviewed promptly are normally sufficient. If you record, explain why, set strict access and retention and share a summary for corrections.

Who gets to see the minutes? 

Access should be restricted. The employee will see relied upon material for fairness. Witnesses usually see only their own notes for confirmation.

How quickly should we send notes for confirmation? 

Aim for within 24 hours. Faster confirmation improves accuracy and reduces disputes later.

Can witnesses remain anonymous? 

They can but it may not help. Try and limit to where there are genuine risks. Use corroboration and disclose as much as fairness allows while protecting identities.

Do we have to share private deliberations? 

Possibly. Keep deliberations separate from interviews and do not record them in writing. They may need to be disclosed to a Tribunal if relevant to the outcome or as part of a DSAR.

When to get advice and next steps

High risk, sensitive or data heavy cases benefit from specialist input. We can run or review investigations, provide note taking templates and help manage DSARs and redaction so your process stays fair and on time.

This page provides general information only, based on UK employment law as at the date of publication. It is not legal advice and must not be relied on as such. Outcomes depend on your circumstances. Reading this page or contacting us does not create a solicitor client relationship. Please do not include confidential information in your first message.

Our expert employment law solicitors all have many years’ experience advising individuals who are in your position. We will be able to guide you through the process and to help you secure the best possible outcome.

We offer a range of services, so please contact our friendly customer services team to discuss further via dh@kilgannonlaw.co.uk or 07969921491

This article is for information purposes only and is correct at the time of publication. It does not constitute legal advice 11.11.25