External AGG Complaints Office as a Service Provider: Obligations, Process and Appointment

Section 13 of the General Equal Treatment Act (AGG) obliges every employer to establish a point of contact where employees can raise complaints in the event of discrimination. This obligation applies regardless of company size — even businesses with five employees are covered. Employers who fail to designate a complaints office face claims for damages and significantly weaken their position in discrimination proceedings.

The external solution is the more pragmatic choice for many SMEs: a certified service provider assumes the complaints office function, availability and documentation without tying up internal personnel. This article explains what Section 13 AGG specifically requires, how an external service provider fulfils those requirements and the criteria companies should use when selecting a provider.

Section 13 of the General Equal Treatment Act (AGG) provides: employees have the right to lodge a complaint with the competent bodies of the establishment if, in connection with their employment, they feel they have been treated less favourably by the employer, superiors, other employees or third parties on one of the grounds listed in Section 1 AGG.

The protected categories under Section 1 AGG are: race, ethnic origin, gender, religion or belief, disability, age and sexual identity. Employers must communicate and make the complaints office known internally — mere existence without notification is insufficient.

What the law does not prescribe: the qualifications, format or decision-making authority of the office. However, it must be ensured that complaints are documented, processed in a timely manner and that the complainant receives feedback. An external Equality Officer brings the necessary independence and professional expertise to handle complaints impartially.

The absence of a complaints office has concrete legal consequences. Section 16 AGG protects employees who lodge a complaint from being treated less favourably. The absence of a complaints office may itself be treated as a breach of the AGG.

More significant is the liability dimension: Section 15 AGG provides for compensation and damages in the event of a breach of the prohibition of discrimination. Senior management is liable under Section 12 AGG for measures taken to protect against discrimination. An employer who has not established a complaints office cannot invoke preventive protective measures in the event of a dispute.

Employment courts take into account the existence of a functioning complaints office when assessing employer obligations. Companies without a complaints office are in a significantly weaker position in AGG proceedings. Establishing a complaints office is not a bureaucratic formality but an active measure to limit liability.

The internal solution designates an employee or manager as the complaints office. This requires that person to have knowledge of the AGG, to act impartially and to have no conflicts of interest — which is structurally difficult in SMEs where the management tier is small.

The external solution transfers the complaints office function to a service provider. Advantages:

• Independence from internal interests: External bodies have no organisational loyalties that could compromise impartial handling.
• Professional expertise: Specialist service providers are familiar with AGG requirements, documentation obligations and current case law.
• Availability: External bodies typically offer multiple contact channels and defined response times.
• Documentation: Professional documentation of all complaint processes with a view to potential legal proceedings.

For SMEs with between 20 and 200 employees, the external solution is generally the more robust choice. It avoids internal conflicts in handling complaints and creates a structurally neutral point of contact.

The market for external equality and complaints office services is heterogeneous. The following criteria assist in making an informed selection:

• Formal appointment: Is the complaints office function appointed in writing with a letter of appointment? This is indispensable for evidencing purposes in the event of a dispute.
• AGG expertise: Demonstrable knowledge of the AGG, Sections 12, 13, 15, 16 and the relevant case law of the employment courts.
• Documentation standard: How are complaint processes documented? Are records confidential, access-restricted and exportable for use in litigation?
• Response time: What feedback do complainants receive, and within what deadline?
• Deputisation arrangement: Who takes over during the holiday or absence of the designated contact person?
• Integration into compliance structure: Can the complaints office be coordinated with other compliance functions (e.g. the internal reporting office under the Whistleblower Protection Act (HinSchG))?

Many companies conflate two related but legally distinct institutions: the AGG complaints office under Section 13 AGG and the internal reporting office under Section 12 HinSchG (Whistleblower Protection Act). Both are mandatory establishments but with different scopes.

The AGG complaints office handles complaints from employees about discrimination under the AGG protected categories. The HinSchG reporting office receives reports of violations of European Union law or national law — a considerably broader spectrum.

Organisationally, both functions can be consolidated with the same external service provider but must be operated as separate channels in order to satisfy the confidentiality requirements of both statutes. The internal reporting office under the HinSchG is a separate officer area within CIVAC. The separation is documented and each reporting line is independent.

The documentation of AGG complaints is subject to two competing requirements: traceability for potential legal proceedings on the one hand, and confidentiality and data protection under the GDPR on the other.

Data protection requirements:

• Complaint data constitutes personal data — Art. 5 GDPR (data minimisation, purpose limitation, storage limitation) applies.
• Retention periods must be established: in the absence of threatened litigation, a period of three years (general limitation period under Section 195 BGB) is recommended.
• Access restriction: only the complaints office and — where legally relevant — senior management may have access to complaint documents.

An external service provider that manages the complaints office function through the CIVAC workspace structurally meets these requirements: EU data residency, AES-256 encryption, role-based access control and tamper-proof audit logging.

The AGG complaints office should not be viewed in isolation. It is part of a broader anti-discrimination framework that also encompasses the training obligations under Section 12 AGG, works agreements and the employment law sanctions system.

Section 12 AGG obliges the employer to take preventive measures: training for employees and managers on AGG requirements. An employer who establishes a complaints office without fulfilling the prevention component has not fully implemented Section 12 AGG.

The CIVAC workspace includes training modules covering AGG fundamentals and protection against discrimination. The Equality Officer documents training completions with a test and certificate. The combination of training, complaints office and documentation creates a complete, audit-ready AGG compliance system.

The contract with an external complaints office service provider should address the following points:

• Precise description of the function assumed: complaints office under Section 13 AGG, response time, documentation standard.
• Written letter of appointment as an annex to the contract: date of appointment, name of the designated person, signature by senior management.
• Confidentiality obligations and data protection provisions under Art. 28 GDPR (data processing agreement).
• Reporting obligations to senior management: at minimum an annual report on the number and nature of complaints.
• Deputisation arrangement: who takes over in the event of absence? With what response time?
• Termination notice periods and handover arrangements: how are ongoing complaint proceedings transferred upon contract termination?

CIVAC provides contract templates for the appointment of the Equality Officer including the complaints office function. The letter of appointment is standardised and admissible as evidence in court.

Section 13 AGG has no minimum size threshold. Every employer is obliged. The question is not whether to establish a complaints office but how — internally with limited capacity and a potential conflict of interest, or externally with a clear appointment and structured documentation.

CIVAC assumes the AGG complaints office function as Officer-as-a-Service. Letter of appointment, signed, filed, verifiable — within two business days. Licence the workspace for your internal officers — or have our officers appointed. Both models operate on the same platform.

Turn reading into action: info@civac.de.