Definition of terms and classification of operational standards
Operational standards are legal regulations that govern the relationship between employer and employee within a workplace. They establish binding standards and duties for internal workplace order as well as for the employment relationship, without directly regulating the establishment, modification, or termination of the employment relationship itself. Operational standards are particularly significant in German labor law, as they significantly shape workplace interactions and regulate important organizational and operational processes.
Legal sources and classification within the system of norms
Legal foundations
Operational standards are primarily found in the Works Constitution Act (BetrVG) and in collective bargaining agreements. They often appear in conjunction with so-called obligations norms but differ in that they do not directly establish individual rights and obligations between employer and employee. Rather, they apply in an abstract and general manner to a company or a group of companies. The most important legal sources include:
- Company agreements pursuant to §§ 77 ff. BetrVG
- Collective bargaining agreements under the Collective Agreements Act (TVG), as far as they regulate workplace matters
- Co-determination laws (e.g. MitbestG, DrittelbG), which embed operational standards at both the individual and collective level
Distinction from obligation norms
In contrast to operational standards, obligation norms directly establish claims for performance between the parties to an employment relationship. Operational standards, on the other hand, are suppletive and can be specified by company practice, collective agreement, or company agreement. The distinction is crucial for determining whether an individual employee can directly derive rights or duties from the respective regulation.
Scope of application and effect
Personal scope of application
Operational standards apply to all employees of an establishment or a specific group of employees. They apply objectively to the defined area of validity, without the need for a separate contractual reference. Operational standards apply in particular to the entire workforce, regardless of individual consent, provided that they were introduced by company agreement, by law, or by collective agreement.
Material scope of application
Typical regulatory areas of operational standards include:
- Working time regulations and shift schedules
- Break and rest periods
- Workplace rules and conduct in the company
- Measures concerning occupational health and safety as well as accident prevention
- Procedures in the event of operational changes (e.g. introduction of new technologies, organizational changes)
Effect and enforcement
Operational standards take effect as collective regulations, meaning they objectively apply to all persons covered by their scope. Within their area of validity, they are binding and can only be modified in compliance with collective or legal requirements or, where permitted under opening clauses, by individual agreement.
Enforceability and sanctions
Compliance with operational standards is monitored by the works council, supervisory authorities, or even the workforce. Violations of operational standards can lead to employment law consequences, such as warnings, transfers, or, in case of recurrence, termination. In addition, sanctions under the Works Constitution Act or special legal regulations may apply.
Particularities in the relationship to individual and collective labor law
Relationship to individual labor law
Operational standards do not confer direct claims for individual employees, but regulate operational processes in general. They take precedence over individual agreements, provided this is stipulated by law or collective agreement (normative scope of application). If an operational standard is in place, a conflicting individual agreement is often overridden (the “favorability principle” remains unaffected).
Relationship to collective labor law
Operational standards are the central instrument of collective labor law at company level. They are based on collective decision-making between employer and works council or between collective bargaining parties, and do not concern individual employee conduct, but rather set the framework conditions for their work. They are thus an expression of collective bargaining and co-determination rights at the workplace level.
Typical contents and examples of operational standards
The classic contents of operational standards include, among others:
- Determination of daily working time start and end times
- Regulation of how breaks are to be conducted
- Establishment of company behavioral rules (e.g. dress code, use of company facilities)
- Prohibition of certain actions and establishment of sanctions for breaches of duty
- Rules regarding company information obligations and procedures
Example: A company agreement regulates paid bridging days and the participation and publication obligations at company assemblies, without referring to the individual employment contract.
Duration of effect and termination
Operational standards generally apply until they are replaced or amended by a new company agreement, a different collective agreement, or due to changed statutory requirements. In some cases, there is a post-effect (‘continued effect’), meaning they continue to apply until a new regulation is concluded, unless otherwise provided by law.
Significance in practice and outlook
Operational standards provide a reliable legal framework for workplace cooperation. They promote transparency for all parties involved and create uniform standards that make operational processes efficient and low in conflict. Due to ongoing business and societal developments (e.g. digitalization, flexible working time models), operational standards are gaining further relevance and are considered a cornerstone of workplace regulatory law.
Summary:
Operational standards are objectively effective, legally binding requirements that govern internal processes and cooperation within a company. They are primarily found in company agreements and collective agreements, are mandatory for the workplace, and closely linked to collective labor law. Their enforcement is primarily entrusted to the works council, creating a binding framework for both employers and employees.
Frequently Asked Questions
Who is legally responsible for compliance with operational standards within a company?
As a rule, the owner or management of a company is legally responsible for ensuring that the relevant operational standards are observed. This includes all statutory regulations, ordinances, guidelines, as well as DIN or ISO standards applied within the company. In addition to primary organizational responsibility, certain executives or appointees, such as safety officers or data protection officers, can be specifically assigned and held liable by internal directives or statutory provisions. Violations of operational standards can lead to civil liability (e.g. compensation for damages), criminal liability (e.g. negligence or intent in administrative offenses), or administrative consequences (e.g. fines or withdrawal of permits). In particular, the Occupational Health and Safety Act (ArbSchG), the Operational Safety Ordinance (BetrSichV), and industry-specific regulations expressly oblige companies to take appropriate measures to comply with standards and regularly monitor them.
What legal consequences may result from non-compliance with operational standards?
Non-compliance with operational standards can result in a variety of legal consequences. Under civil law, there is a risk of claims for damages if third parties (e.g. customers or employees) are harmed by failure to observe the standards. In labor law, it can lead to labor disputes, for example if employees assert claims due to insufficient occupational safety. Criminal law makes particular reference to standards related to environmental, labor, and health protection; here, depending on culpability, fines or even imprisonment can be imposed. From an administrative point of view, fines, mandatory orders from supervisory authorities, and in the worst case withdrawal of permits or closure of business may arise. Companies and responsible individuals (e.g. managing directors or appointees) are liable both internally and externally for compliance with operational standards.
What is the relationship between operational standards, individual employment contracts, and collective agreements?
Operational standards generally take precedence over individual employment contracts and supplement or override them if they constitute higher-ranking law. Employment contracts and collective agreements may not contain provisions that conflict with mandatory legal operational standards. For example, contractual safety standards cannot fall below those required by law or accident prevention regulations. Although collective agreements may supplement within their statutory scope of drafting, this applies only so long as they do not violate mandatory protection provisions under labor or operational law. Operational standards arising from statutory or official regulations must always be given priority, even if employment contract terms have not been adjusted accordingly.
What role do official inspections play in the context of operational standards?
Official inspections, carried out for example by the trade supervisory office, professional associations, or other specialized inspection bodies, are tasked with continually monitoring compliance with operational standards. They have the legal authority to inspect business premises without notice, examine documents, require information, and, if necessary, order safety measures. Companies are obliged to facilitate such inspections and provide the required documents and information. If deficiencies or breaches of operational standards are found, immediate measures can be ordered, fines imposed, or, in extreme cases, the continuation of certain operations prohibited. The results of such inspections may also be used in further administrative or criminal proceedings.
Can operational standards also be relevant in civil proceedings?
Yes, operational standards can play an important role in civil proceedings. They often serve to concretize the duty of care standard when assessing whether a breach of duty occurred in the context of a damages claim or liability. For instance, if a technical standard is not met and damages occur (personal injury, property damage, or financial loss), the disregard of this standard can serve as an indication of fault or breach of duty in a civil case. Courts consult the applicable operational standards to interpret whether the defendant’s conduct was consistent with industry practice or customary care obligations.
How are international operational standards implemented in German law?
International operational standards, such as those enacted by the ISO (International Organization for Standardization), are not directly legally binding in Germany. Their legal relevance arises only when they are explicitly incorporated into national laws, regulations, company agreements, or technical guidelines as binding. In some cases, international standards are implemented as binding under European law and then apply directly or indirectly in German law through EU directives or regulations. Companies are therefore obligated to review the relevant implementation acts and document compliance. Failure to comply with international standards is legally relevant only when these become binding for the company by government regulations or contractual obligations.
How can compliance with operational standards be documented in a legally secure manner?
Legally secure documentation of compliance with operational standards is essential for companies in order to provide evidence of proper implementation in the event of inspections, legal disputes, or administrative proceedings. A systematic record of all company-relevant standards, laws, and regulations is recommended. This should be followed by the continuous creation, storage, and regular updating of internal work instructions, risk assessments, training records, maintenance reports, inspection protocols, and audit documentation. A central document management system is also recommended, providing secure archiving and quick retrieval during audits. Especially within certification procedures (e.g. ISO 9001, ISO 14001), comprehensive documentation is part of the auditing process. The duty to retain records often results from special legal provisions (e.g. Occupational Health and Safety Act, Product Liability Act) and may range over several years.
