Compliance-cases and especially their consequences increasingly affect the employees of a company directly and thus also the very own interests of a works- council and/or trade union. E.g., some compliance-cases from the past in Germany, like VW, Deutsche Bank, Commerzbank or Bilfinger have shown that such cases are also used not only to think about staff reductions on a larger scale.
In addition, in many „smaller compliance-cases“ employees are directly affected with consequences under personnel law. This means that works councils or trade unions also have to deal with this directly, whereby it must be assumed that works councils and also trade unions generally have little specialist knowledge about compliance and often also know little about „Compliance in their companies“.

In additon new laws like the new Whistleblower Protection Act in Germany – following the establishment of reporting offices – increasingly challenging their role as important representatives of the interests of employees in companies. Company investigations to clear up any allegations can pose a variety of new challenges for works-and staff councils, as they are often directed against employees and can therefore also have an impact on the representation of interests by works- and staff councils.

Objective:

The seminar focuses on the role of works and staff councils as „critical watchdogs.“

You will not only learn about the basics of compliance, the identification of compliance risks, the implementation of compliance measures and the role of works and staff councils in monitoring compliance programs.

You will also learn what is actually hidden or should be hidden behind the commonly used technical terms and what questions you can or should ask to find out how compliance works or could work in your company.

The seminar will also focus on the role of works and staff councils with regard to the Whistleblower Protection Act, the rights and obligations of whistleblowers, the implementation of reporting offices in companies, and the requirements for companies when conducting internal investigations.

Contents (can be adapted individually in consultation with the participants):

  • Compliance basics
  • Compliance-requirements
  • Compliance Management Systems
  • Compliance-culture
  • Internal Compliance-responsibilities
  • Whistleblower Hotlines
  • Allegations
  • Compliance-investigations
  • Invitations
  • Business dinners
  • Give-aways and other gifts

The following questions are among others dealt with:

  • What does „Compliance“ actually mean?
  • What should I know about Compliance as a works council/supervisory board member?
  • How do I determine whether Compliance exists and works in the company?
  • What questions shall I ask?
    • To whom?
    • And how?
  • What should actually be in place in a company?
  • What control options are there?
  • How are Whistleblower Hotlines working?
  • How do investigations proceed?
    • o Are all reports/suspicions investigated?
    • o Is „too much“ investigated?
    • o Are legal requirements for „private investigators“ adhered to?
      • Group company agreements
      • Data protection
  • Are sanctions „fair“?
  • Is the local works council sufficiently involved?
  • What does Compliance mean?
  • What should a manager know about Compliance?
  • What is possible for me and my company?
  • What is necessary for me and my company?

You will learn to apply your knowledge in practice in a targeted manner and ultimately generate added value for your daily work.

Target group:

Works- or staff-councils and/or responsible persons from trade unions

and every other person who is interested.

Methodology:

Webinar online or class room training.

Interactive lecture, discussion, group work, practical exercises, case studies, reflection.

German or English.

Duration:

3 sessions Webinar online (Microsoft Teams), with 1,5 up to 2 hours and 2 sessions “Round Table”, discussions, questions and answers (voluntary, for whom who has questions)

or

class room training 4 hours.

Date by agreement.

Costs:

Webinar: EUR 130 per participant.

Class room: EUR 2.100 plus travel costs.

Minimum 2 persons, max. 8 persons.

Certificate:

Of course, each participant receives a certificate of participation with a detailed description of the training content. Training materials will be provided as well.

Speaker:

Herbert Nuszpl

Kriminalrat a.D.

Diplom Verwaltungswirt (FH) pol.

Short CV

Company position:          Freelancer; TIICC Compliance

Trainings / Investigations / Interviews / Coaching / Consulting

Career overview:

Police Officer and Detective in Germany

PricewaterhouseCoopers WPG AG, Forensic Services KPMG AG, Forensic

Alvarez&Marsal GmbH, Dispute Analysis & Forensic Services

Drägerwerk AG&Co. KGaA; Compliance and Internal Audit

Core competencies / focus areas:

More than 40 years of experience in preventing and combating crime. Compliance investigations. Specialized in forensic interviews. Consulting and coaching in compliance matters. Training on compliance topics, investigation training and interview techniques.

Extended profile:

Many years of experience in compliance matters and the prevention of criminal behavior, in particular in the case of corruption, fraud, economic crime, FCPA, antitrust and data protection violations. Development and implementation of continuous, coordinated and business-integrated concepts and security standards for compliance and security areas of large global companies.

Introduction of compliance structures, including the development and implementation of compliance management systems, codes of conduct, compliance guidelines, compliance audits, compliance trainings as well as whistleblower systems.

Management and implementation of a large number of compliance investigations for public and private companies, e.g., DAX 30 companies. Worldwide international experience in Europe, South-East Europe, Middle East, Africa, Russia, Asia, North, South and Central America.

Many years of experience in dealing with and cooperating with public authorities, including federal and state ministries, BaFin, federal and state criminal police offices, the German Office for the Protection of the Constitution and other authorities. Former member of the German Federal Police Commissions for Crime Prevention, Economic Crime, Corruption and Environmental Crime. Expert in court in a variety of criminal and civil proceedings. Participation in German legislative initiatives to combat corruption and the development of prevention concepts against white-collar crime.  Responsible for the areas of economic and environmental crime, corruption, auditing service of a federal state of Germany.

Development and conducting training courses and lectures on compliance topics, investigation training as well as training in forensic interview techniques for employees of internal audit, sales, finance, compliance and forensic departments.

Just call and let’s talk: +49 176 436 454 80 / +46 72 378 60 29
or write to: tiicc(at)gmx.net to arrange a phone appointment, training appointment or for more information.