Compliance: internal investigations at the interface with labor and criminal law

In mid January we held an interesting talk on the topic of compliance: internal investi­gations at the inter­face with labor and criminal law.

More and more frequently, (anonymous) reports about possible compliance breaches result in internal investi­gations. Impending changes in the law, in particular the implemen­tation of the so-called EU Whistle­blower directive, lead us to expect an increase in such reports.

Employers are generally obli­gated to follow up on indi­cations and to fully investi­gate the facts of the case. The main instru­ment for this is the questioning of employees by the employer.

So far, there is no indepen­dent and con­clusive law on the conduct of an internal investi­gation. However, companies and their legal advisors must keep the ten­sion between labor law and criminal law in mind by means of suitable struc­tures and processes: As an employee, am I obli­gated to answer my employer's questions in an inter­view? Do I even have to incri­minate myself by doing so? And: How can I, as an employer, strike a balance between my duty to provide infor­mation and the pro­tection of my employees?

In our talk, we outlined the details of this tension and the legal frame­work of employee inter­views. Our presen­tation provided impulses for the practical and interest-oriented implemen­tation of employee interviews.