Financial Crime World

Employee Monitoring and Interviews: A Delicate Balance

The Importance of Due Process in Internal Investigations

As companies navigate the complexities of internal investigations, a crucial aspect often overlooked is the level of intrusion into employees’ personal correspondence. With the rise of digital communication, employers have gained unprecedented access to employee data. However, this raises significant concerns about privacy, surveillance, and due process.

Monitoring Employee Correspondence: A Balancing Act

It has been suggested that companies may be monitoring employee correspondence without proper justification or safeguards in place. This includes:

  • The duration of monitoring
  • Files accessed
  • Who has access to the results

Counsel conducting internal investigations must assess whether the company has met these requirements before accessing company emails, texts, or other data.

The Need for Transparency and Employee Protection

The use of direct access to content can be particularly intrusive, raising questions about legitimate business reasons for monitoring. Furthermore, it is unclear if less invasive methods could have been employed instead. The purpose of monitoring and how the resulting information was used must also be scrutinized to ensure compliance with original objectives.

Employee protection mechanisms are essential in preventing employers from accessing private communications without prior notice. Unfortunately, personal devices are often exempted from internal investigations due to lack of consent from owners.

Conducting Interviews: A New Era


In Spain, best practices dictate that local teams should be involved in employee interviews, and languages should be adapted accordingly. However, internal investigations are a relatively new phenomenon, leaving many questions unanswered.

The Application of Criminal Proceedings Rights to Internal Investigations

One significant concern is the applicability of criminal proceedings rights (such as privilege against compelled self-incrimination) to internal investigations. While these rights may theoretically conflict with employees’ ordinary duties under Spanish law, it is believed that they will eventually be incorporated into internal investigations by Spanish courts.

Labor Law in Spain: Employee Protections


Labor law in Spain provides employees with a high level of protection, making it challenging for companies to compel them to answer questions or cooperate with investigations. As such, witnesses are often given detailed warnings about their rights, including:

  • The right not to participate
  • The right to appoint an attorney
  • The right to refuse to answer questions
  • The right to leave the interview at their discretion

It is crucial that counsel explain the aim and scope of the investigation, as well as the company’s intention to maintain attorney-client privilege. This may lead to a natural tension between gathering facts for cooperation with authorities and risking employee refusal to be interviewed. Skilled counsel must navigate this delicate balance within the context of a corporate culture.

Conclusion

As internal investigations continue to evolve, it is essential that companies prioritize transparency, employee protection, and due process to maintain trust and avoid legal complications. By striking a balance between monitoring employee correspondence and protecting their rights, companies can ensure a fair and effective investigation process.