Uzbekistan

In the Republic of Uzbekistan, the following laws and regulations apply:

• The Anti-Corruption Law (Law No. O‘RQ-419 O’zbekiston Respublikasining "Korrupsiyaga qarshi kurashish to’g’risida"gi Qonuni).
• The Law on Counteracting Legalization of the Proceeds of Crime, Terrorism Financing and Financing Proliferation of Weapons of Mass Destruction (Law No. 660-II O’zbekiston Respublikasining "Jinoiy faoliyatdan olingan daromadlarni legallashtirishga, terrorizmni moliyalashtirishga va ommaviy qirg’in qurolini tarqatishni moliyalashtirishga qarshi kurashish to’g’risida"gi Qonuni).
• Articles 61¹, 193¹ and 193² of the Code of the Republic of Uzbekistan on Administrative Liability (O’zbekiston Respublikasining Ma’muriy javobgarlik to’g’risidagi kodeksi) establishing administrative liability for some types of corruption.
• Article 179³ of the Code of the Republic of Uzbekistan on Administrative Liability establishing administrative liability for a violation of the law on counteracting legalization of the proceeds of crime, terrorism financing and financing proliferation of weapons of mass destruction.
• Articles 192⁹, 192¹⁰ and Articles 210 to 214 of the Criminal Code of the Republic of Uzbekistan (O’zbekiston Respublikasining Jinoyat kodeksi) criminalizing different types of corruption.
• Articles 171, 243 of the Uzbek Criminal Code criminalizing money laundering.

1. Employee representative bodies, such as a works council or union.
   There is no legal obligation to inform employee representative bodies of internal investigations, except for cases of industrial accidents or instances where the health of employees has been injured. For these cases, Uzbek labor laws provide a specific order, in accordance with which, employee representative bodies shall be informed of and participate in internal investigations.
   
   Notwithstanding this, the internal compliance policies of a company may regulate general notification and participation procedures for employee representative bodies in relation to internal investigations.
2. Data protection officer or data privacy authority.
   Not required by law.
3. Other local authorities.
   Not required by law.
   
   What are the consequences of non-compliance?
   Where the internal compliance policies of a company stipulate that the employee representative bodies have the right to be informed and/or participate in internal investigations, and where an employer or an authorized person, impedes on that right, they may face administrative liability and fines.

Under Uzbek laws, employees are not under a duty to support internal investigations. However, where the company's internal policies place an obligation on employees to support internal investigations, the employee may face disciplinary sanctions if they fail to comply.

Under Uzbek laws internal investigations do not trigger any labor law deadlines or statutes of limitations, nor do they waive the right to sanction employees.

As a general rule under the Uzbek Labor Code, disciplinary measures for violation of labor discipline must be imposed and applied by the employer in relation to employees within one month from the date the misconduct was detected.

Disciplinary measures cannot be imposed more than six months from the date the misconduct was committed. However, where the misconduct was detected during an inspection by the relevant state authorities, disciplinary measure must be imposed within two years.

.

1. Conducting interviews?
   In accordance with the provisions of the Law on Personal Data (No. O‘RQ-547 O‘zbekiston Respublikasining "Shaxsga doir ma’lumotlar to‘g‘risida"gi Qonuni), where an interviewer obtains personal data (recorded on electronic, paper and/or in any other tangible carriers), the following conditions must be taken into account: (i) personal data cannot be collected and processed without the prior informed consent of the owner; (ii) personal data can only be used for the purposes for which it was obtained; (iii) the owner of the personal data may request to have this data classified as confidential; and (iv) the owner may request updates and clarifications on the use of their personal data.
   
   A person who violates personal data laws can be subject to administrative or criminal liability.
2. Reviewing emails?
   The Constitution of the Republic of Uzbekistan (O‘zbekiston Respublikasining Konstitutsiyasi) notes that everyone is entitled to protection against interference with his privacy, including privacy of correspondence. Therefore, reviewing personal emails without prior consent of the owner is considered a violation and can lead to administrative or criminal liability.
   
   There is a lack of regulation specifically focusing on the utilization and review of employees' corporate emails by an employer. Therefore, a company’s internal policies may contain appropriate provisions regarding the employer’s right to access employees' corporate emails. Subsequently, these policies may also prohibit the personal use of corporate emails.
3. Collecting (electronic) documents and/or other information?
   The same rules mentioned in section (a) apply to documents and/or other information which contains personal data.
   
   Otherwise, the requirements of the Law on Protection of State Secrets (No. 848-XII O’zbekiston Respublikasining "Davlat sirlarini saqlash to’g’risida"gi Qonuni) should be taken into account when collecting any information, which constitutes state secrets. Notably, the disclosure or conveyance of state secrets shall lead to criminal liability.
4. Analyzing accounting and/or other mere business databases?
   In accordance with the Law on Financial Accounting (No. 279-I O‘zbekiston Respublikasining "Buxgalteriya hisobi to‘g‘risida"gi Qonuni), accounting information is deemed to be confidential. Thus, anyone who has access to such information must keep its confidentiality.
   
   Any breach of confidentiality shall lead to administrative or criminal liability.

Uzbek laws do not provide any specific procedures which need to be considered in cases where a whistle-blower report sets off an investigation.

Nevertheless, individuals, and legal entities have the right to report corruption offenses to appropriate state authorities. Under Anti-Corruption Law No. O‘RQ-419, such persons are protected by the state.

1. Receive written instructions?
   Not required by law.
2. Be informed that they must not make statements that would mean any kind of self-incrimination?
   Not required by law unless the interview is conducted in the process of criminal investigation.
3. Be informed that the lawyer attending the interview is the lawyer for the company and not the lawyer for the interviewee (so-called Upjohn warning)?
   Not required by law.
4. Be informed that they have the right to have their lawyer attend?
   Not required by law unless the interview is conducted in the process of criminal investigation.
5. Be informed that they have the right to have a representative from the works council (or other employee representative body) attend?
   Not required by law. However, a company’s internal documents (policies, collective agreements) may grant employees the right to have a representative from the works council or other employee representative body present.
6. Be informed that data may be transferred across borders (in particular to the United States of America)?
   Where data obtained is considered to be personal, its owner shall be informed that it may be transferred across borders.
   
   In general, as per the Law on Personal Data No. O‘RQ-547, personal data (recorded on electronic, paper and/or other tangible carriers) cannot be collected and processed (including transferred across borders) without the owner’s prior informed consent and can only be used for the purposes for which it was collected.
7. Sign a data privacy waiver?
   Uzbek laws do not require an interviewee to sign a data privacy waiver before being interviewed.
   
   Nevertheless, as previously mentioned, an interviewer is prohibited from collecting and processing the interviewee’s personal data without their prior informed consent.
8. Be informed that the information gathered might be passed on to third parties, including local or foreign authorities
   Where information gathered is considered to be personal data, it cannot be passed on to third parties unless the owner of the personal data is informed, and his/her consent is obtained.
9. Be informed that written notes will be taken?
   Unless the notes contain the employee’s personal data, employers are not obligated to inform employees that written notes will be taken during an interview.

There is no particular regulation in Uzbekistan on document hold or document retention notices.

In accordance with the Law on Advocacy (No. 349-I O‘zbekiston Respublikasining "Advokatura to‘g‘risida"gi Qonuni) and the Law on Guarantees of Advocacy and Social Protection of Attorneys (No. 721-I O‘zbekiston Respublikasining "Advokatlik faoliyatining kafolatlari va advokatlarning ijtimoiy himoyasi to‘g‘risida"gi Qonuni), all information and material received by an attorney from its client are the subject to advocacy secret (attorney-client privilege), thus, attorney-client privilege may apply to the findings of an internal investigation.

In order to claim attorney-client privilege an external attorney should be engaged under a contractual agreement for the provision of legal assistance. Under the agreement, the attorney should be instructed to conduct the investigation and be provided with all the evidence, findings, and documents produced during the investigation.

As per Uzbek laws attorney-client privilege does not apply to in-house counsel.

1. To insurance companies (D&O insurance, etc.) to avoid losing insurance coverage.
   Not required by law but early notifications might be required under insurance contracts and policies.
2. To business partners (e.g., banks and creditors).
   Not required by law but it might be required by way of contract.
3. To shareholders.
   Not required by law but it might be required under a company's constitutional documents.
4. To authorities.
   Not required by law.

In Uzbekistan, there are no legal requirements or guidelines regarding the performance of internal investigations.

The Uzbek Criminal Code provides for a criminal liability of individuals for: (i) a failure to report a conclusively known serious or especially serious crime being prepared or having been committed; and (ii) a failure to report a conclusively known impending or committed terrorist crime.

Moreover, certain organizations (such as banks, exchange members, professional securities market participants, insurance companies, law firms etc.) engaged in monetary operations or operations with other property, are obliged to report suspicious transactions to the Department for Combating Tax, Currency Crimes and Legalization of Criminal Proceeds under the General Prosecutor's Office of Uzbekistan. This includes cases where: (i) there are suspicions that a transaction is aimed at legitimizing the proceeds of crime or terrorism financing, or (ii) one of the parties to the transaction is involved or suspected to be participating in terrorist activity.

In turn, employees of state authorities are obliged to notify their supervisor or law enforcement agencies of all cases where a person orders or incites them to commit corrupt offenses. Employees should also notify their supervisor or law enforcement if another state authority employee commits such offenses.

Prosecuting authorities shall start to act (i.e., carry out preliminary inquiry or formal criminal investigation), only when they become aware of a crime committed or being prepared. Reasons to act shall consist of: (i) complaints filed by individuals; (ii) communications submitted by enterprises, organizations, institutions, public associations, and officials; (iii) communications in mass media; (iv) discovery of information and marks, showing indicia of an offense, immediately by an inquiry agency, inquiry officer, investigator, prosecutor, or court, or (v) a voluntary surrender.

In such cases, information and circumstances revealed during an internal investigation might be investigated by prosecuting authorities.

In accordance with the Criminal Procedure Code of the Republic of Uzbekistan (O‘zbekiston Respublikasining Jinoyat-protsessual kodeksi), search and seizure can be conducted by resolution of the inquiry officer or investigator and with the sanction of a prosecutor. The ruling of the court may also authorize the inquiry body or the investigator to conduct a search or seizure.

In urgent cases, a search may be performed without a prosecutor’s sanction, however, the prosecutor must be informed of the search within 24 hours. The investigator or inquiry officer must substantiate the urgency of the case to the prosecutor.

A resolution or ruling on conducting a search or seizure shall indicate who should be subject to a search and seizure, where it should take place and what items and documents must be detected and seized.

An attesting witness and, if required, a specialist or translator should participate in the search and seizure. The search and seizure within the premises of enterprises, institutions, organizations, and military units shall be conducted in the presence of representatives thereof.

Where there has been a violation of the search and seizure procedures, and evidence is found or collected in the course of the search and seizure, this evidence is of no legal value.

The Uzbek Criminal Code provides a non-exhaustive list of mitigating circumstances, which shall be taken into account by courts when administering a penalty. Such circumstances include voluntary surrender, active repentance, assistance in crime detection, and voluntary expiation of a harm.

Thus, voluntary self-disclosure and/or cooperation with state authorities may help avoid or mitigate liability, if such circumstances are considered by the court as mitigating for particular cases.

Non-prosecution agreements and deferred prosecution agreements are not available under Uzbek laws.

Uzbek laws do not provide for liability of companies, directors, or employees for misconduct of other individuals of the company.

The only exception is that, under the Uzbek Civil Code (O’zbekiston Respublikasining Fuqarolik kodeksi), the employer shall redress the injury inflicted by its employee during the performance of official labor duties.

There is no particular regulation on this issue under the Uzbek law.

Being a participant of the Istanbul Anti-Corruption Action Plan ("Action Plan"), the Republic of Uzbekistan has undertaken a number of key reforms in the area of anti-corruption policies. For instance, in order to be compliant with the Action Plan recommendations, and fully comply with the United Nations Convention against corruption, a statutory definition of certain types of investigative measures was introduced.

Uzbekistan is moving towards compliance with new recommendations, including: (i) establishing laws on the anonymous reporting (whistle-blowing) of possible corruption crimes that are verifiable; (ii) raising the effectiveness of the use of financial monitoring information for initiating criminal cases on corruption, ensuring a wider use of financial monitoring data in criminal prosecution of such crimes; (iii) providing investigative authorities engaged in financial investigations, direct access to the databases of tax and customs authorities, property registries – subject to the protection of personal data, and (iv) expanding the provisions of the Uzbek Criminal Procedure Code on international cooperation in criminal matters, including regulating the procedure for conducting interrogations under the request of foreign law enforcement authorities, including interrogations by means of a video or telephone conference; (v) expanding the provisions of the Uzbek Criminal Procedure Code on the procedure for tracing, arresting and confiscating assets, on the procedure for creating and operating joint investigative teams and providing grounds for refusal to provide mutual legal assistance.