Internal investigations and compliance: Criminal Liability Risks for Internal Investigators

The text discusses the concept of 'internal investigations' in legal contexts, emphasizing the lack of a specific legal definition in the USA, Germany, and Austria. It explains that internal investigations, often triggered by suspicions of legal violations by company employees, aim to systematically process and resolve such cases. The distinction between compliance (prevention) and internal investigations (response to suspected violations) is highlighted. The article explores the role of external investigators, often lawyers or auditors, in conducting internal investigations, emphasizing the need for coordination between auditing and legal aspects. It discusses the historical development of internal investigations in the German-speaking countries and their increasing importance in recent years. The second part of the text delves into the importance of company behavior in response to suspected violations. If the offense benefits the company, the focus is on exoneration, with potential benefits such as penalty suspension through active repentance or self-disclosure. The article also discusses legal conditions for penalty annulment, emphasizing timely actions in internal investigations. The text addresses the role of the public prosecutor's office and legal considerations in refraining from prosecuting a company based on its behavior during internal investigations. It stresses that a positive impression, compliance measures, and transparent cooperation can influence the decision to refrain from prosecution. The final section outlines criminal liability risks for internal investigators, citing potential offenses such as coercion, violation of correspondence secrecy, unlawful use of a computer system, violation of telecommunications secrecy, and abuse of audio recording or listening devices. The discussion includes legal considerations and justifications for certain actions, emphasizing the importance of balancing interests and goods, especially in legal proceedings