Here are some Current labour law judgments on compliance:
1. Arbeitsgericht Erfurt – Revocation of discrediting statements
Reference number: 4 Ca 1285/23
Date: 13 March 2024
Facts:
An employee of a company (Daimler Truck AG) sent an e-mail to several people in the company, in which he accused a colleague of failing to comply with compliance rules. The accused co-worker saw himself in violation of his personal right and demanded the revocation of these accusations.
Decision:
The court gave the plaintiff the right. It decided that the general allegations contained in the e-mail were not sufficiently substantiated and infringe the personal rights of the person concerned. The sender of the e-mail was obliged to revoke the allegations against the recipients of the message.
2. Bundesarbeitsgericht – Endless termination after compliance investigation
Reference number: 2 AZR 483/21
Date: 5 May 2022
Facts:
A sales manager was suspected of having a secret document from the Federal Ministry of Defence in his possession. After an internal compliance investigation, the employer decided to terminate him without notice. The sales manager, however, brought an action for protection against dismissal.
Decision:
The Federal Labour Court lifted the previous judgments and referred the case back to the retrial. It made it clear that an employer has to prove carefully that the compliance investigation was carried out properly and that the termination was effected without notice within the statutory two-week period in accordance with § 626 para. 2 BGB.
3. Bundesgerichtshof – Fine for companies with insufficient compliance system
Reference number: 1 pc 265/16
Date: 9 May 2017
Facts:
One company was fined after internal infringements led to tax evasion. The question arose whether the absence of a functioning compliance system could affect the amount of the fine.
Decision:
The Bundesgerichtshof ruled that companies that do not have effective compliance management must expect higher fines in case of violations. At the same time, a functioning compliance system in the reverse case could have a reduction in fines.
4. Bundesgerichtshof – Aid to fraud caused by failure
Reference number: 5 Pcs 394/08
Date: 22 April 2009
Facts:
A director of the internal audit of a public undertaking found that fraudulent accounts were filed, but refrained from any measures to prevent them. The question was whether he had made himself punishable by failing to do so.
Decision:
The BGH decided that there was no aid for fraud if a person had a so-called guarantee position because of his or her position in the company and did not intervene despite obvious irregularities. The judgment emphasizes the responsibility of compliance managers to report violations and take appropriate measures.
These decisions show that how important a functioning compliance system for companies and which legal consequences of infringements or failure to take measures.