Ombudsperson in the Company: How Implementation Works
One Ombudsperson takes on central tasks in companies in the areas of compliance, whistleblower protection, and internal governance. It functions as an independent point of contact for reports of legal violations and other irregularities and can be part of the internal reporting office or be commissioned as an external third party to operate it.
For companies, appointing an ombudsman not only means fulfilling statutory requirements but also ensures structured, legally compliant, and trustworthy handling of reports. In this article, we explain the tasks of an ombudsman and when it is worthwhile to hire or appoint one.
What is an ombudsman?
unparteiische Person, die sich mit Beschwerden von Bürgern gegen Behörden oder Unternehmen befasst. Confidentiality designated entity that individuals can approach within a company's professional or business environment to Indications of infringements or to bring attention to other grievances. Within companies, the ombudsman's role primarily involves tasks related to compliance and whistleblower protection.
In the context of the Whistleblower Protection Act The ombudsman can be part of the internal reporting office or be commissioned as an external third party to receive and evaluate reports. Their role is clearly separated from operational or disciplinary functions within the company. The aim is to provide whistleblowers with a protected and trusted communication channel to offer and support companies in the structured processing of tips.
What are the tasks of an ombudsman?
inside Company The ombudsperson assumes a clearly defined and legally sensitive role. They act independently, are bound by confidentiality, and receive tips about potential breaches of law and regulations. In doing so, the focus is not on Investigatory activity not at the forefront, but rather the trustworthy management of the reporting process.
To the central tasks In particular, an ombudsperson shall have:
- the receipt of information via different reporting channels
- the initial legal and organisational assessment of incoming reports
- confidential communication with whistleblowers
- the coordination of further processing within the company or with external bodies.
The ombudsman is a point of contact for anyone who, in a business relationship are with the company. These are primarily employees, but can also include suppliers or customers from the B2B environment.
Advising persons can contact an ombudsman in particular with the following concerns, insofar as the facts constitute a breach of legal provisions within the meaning of Section 2 of the Whistleblower Protection Act (e.g. criminal offences or specific contraventions liable to a fine):
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- Economic crime and corruption (e.g. fraud, embezzlement, bribery)
- Mobbing or harassment, insofar as criminal offences or relevant employment or occupational safety regulations are violated thereby
- Discrimination, in so far as this infringes in particular the provisions of anti-discrimination or labour law
- Violations of regulations on working conditions, occupational health and safety
- Breaches of binding internal company policies where these serve to implement statutory requirements
Procedure for handling notifications
The process for handling notifications is set out in the Whistleblower Protection Act clearly structured and sets high demands on organisation, confidentiality, and documentation. An ombudsperson supports companies in implementing this process in a legally compliant and traceable manner. At the same time, they ensure a professional and trusting Communication with informants throughout all phases.
- Provision of suitable reporting channels
the ombudsman ensures that tips about suitable reporting channels to be received. This includes written, verbal, and, upon request, personal notifications in accordance with the Whistleblower Protection Act. Reports can be made, for example, by telephone, in person, or via a digital whistleblower system issued. The reporting office must within 7 days issue a receipt.
The confidentiality of the identities of whistleblowers and affected persons must be strictly maintained. Ombudsmen are regularly subject to professional or contractual obligations Confidentiality, which additionally contributes to building trust.
- Initial assessment of incoming information
Upon receipt of a complaint, the ombudsman undertakes a professional and legal Initial assessment during. This checks whether the reported facts fall within the scope of the Whistleblower Protection Act and which Risks result in the company.
This phase also involves checking the Completeness of the information as well as consulting the whistleblower in confidence, where necessary. Objective, non-judgemental and trusting communication is of paramount importance in this regard.
- Further case management and coordination
Depending on the terms of the mandate, the ombudsman may further case handling support or take over entirely. This includes, in particular, coordination with internal specialist departments such as Compliance, Data Protection, HR or senior management.
In addition, the ombudsman may Recommendations for action to articulate, propose risk mitigation measures and identify structural weaknesses in the existing compliance system. The follow-up actions must then be carried out within 3 months be reported back.
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What are the benefits of having an ombudsman?
Appointing an ombudsman offers companies both legal and organisational benefits. Having an independent point of contact helps to Inhibition threshold lowered for whistleblowers, which Quality and Timeliness improved on the basis of feedback received.
For Company In particular, this means:
- Early identification of legal and compliance risks
- Structured and transparent handling of notifications
- Strengthening internal governance and corporate culture
- Reducing liability and reputational risks
At the same time, the use of an ombudsman documents towards Regulatory authorities and Business partners, that Whistleblower protection is implemented not only in theory but also in practice.
Which organisations benefit from having an ombudsman?
The use of an ombudsman is particularly recommended for companies that have legal obligations to establish Internal reporting offices subject to. This primarily concerns companies with at least 50 employees, regardless of industry or organisational structure.
Furthermore, an ombudsman can also be useful for companies that specific compliance or reputational risks are exposed. These include, for example, companies in highly regulated industries, internationally active organisations or companies with complex group structures.
Also for Smaller businesses Can the appointment of an ombudsman be a strategically sensible measure, for example, to strengthen Internal control mechanisms or in preparation for future regulatory requirements. In particular, when internal independence or expertise cannot be guaranteed, an external ombudsman offers a Workable solution.
Is the processing of reports by an ombudsperson compliant with the HinSchG?
The Whistleblower Protection Act obliges companies above a certain size to establish Internal reporting offices. These must allow for written and oral information and also provide for personal exchange if desired.
The responsibility for operating the internal reporting office can, according to § 14(1) HinSchG be transferred in whole or in part to an external third party. The commissioning of a Ombudsperson therefore expressly Permitted.
Regardless of the Design However, the company remains responsible for compliance with legal requirements. These include, in particular:
- the maintenance of confidentiality
- compliance with statutory deadlines
- proper documentation
- data protection-compliant processing and timely deletion of tips
The appointed ombudsperson must have the required Technical knowledge possess and free from Conflicts of interest act.
Best placed: digital reporting system and ombudsperson
The combination of a digital reporting system and an ombudsman has proven particularly effective in practice. Digital systems enable low-threshold, always-available submission of tips and support structured documentation.
The ombudsperson complements these technical processes by Personal consultation, and technical classification trustworthy communication. This creates a holistic Whistleblower system, which meets both legal requirements and the practical needs of companies.
The advantages of the combination are:
- Improved accessibility and user-friendliness: A digital reporting system allows employees to submit reports at any time and from anywhere. This increases the likelihood that problems will be reported.
- Anonymity and Confidentiality: A digital system can guarantee anonymity, which is particularly important for the identity of Whistleblower to protect. The ombudsman can additionally ensure the confidentiality of information and offer personal advice.
- Flexibility in reporting: Employees have the choice to use the digital system or contact the ombudsperson directly, depending on what they consider more appropriate in their situation.
- Efficient processing of notifications: Digital systems can make the processing and tracking of reports more efficient. The ombudsman can then address individual concerns more effectively and offer personalised advice. Furthermore, comprehensive documentation is guaranteed.
- Improved case management The combination of a digital reporting system and personal advice from an ombudsman enables more comprehensive case management, including the documentation, prioritisation, and follow-up of cases.
- Increased credibility and trustThe presence of an ombudsperson, who acts as a neutral and independent body, can strengthen employees' trust in the reporting system.
- Facilitating Escalation and Conflict Resolution: In complex or sensitive cases, the ombudsman can play an important role in escalating and resolving conflicts.
Ombudsperson: A Component of an Effective Compliance Organisation
An ombudsperson is particularly effective when they are integrated into a superior Compliance management system It acts as an interface between whistle-blowers, internal specialist departments, and company management.
By means of clear processes, defined responsibilities, and transparent documentation, the ombudsman contributes to, Compliance structures to strengthen sustainably and continuously develop.
Typical errors in implementing an ombudsman
In practice, recurring errors occur in Introduction of an ombudsman. These include in particular:
- lack of independence,
- insufficient expertise,
- unclear processes,
- Inadequate data protection integration.
Companies benefit from this Risks to recognise early and avoid through professional organisational design.
To avoid these typical errors, it can be beneficial for companies to focus on External support resort to. External ombudsmen regularly possess the necessary expertise, operate independently of internal structures, and bring proven processes for a Legally compliant notification processing This helps to reduce organisational risks and specifically relieve internal resources.
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FAQ – Company Ombudsperson
What is the difference between an ombudsperson and an internal reporting office?
The ombudsperson can be part of the internal reporting office or be appointed as an external third party. The responsibility for compliance with legal requirements remains with the company.
Does an ombudsman have to be external?
No. The Whistleblower Protection Act allows for both internal and external solutions. The key factors are independence, expertise and the absence of conflicts of interest – management functions with disciplinary responsibility or immediate line supervisors are therefore generally unsuitable as ombudspersons.
What qualifications does an ombudsman need?
Particular importance is attached to legal knowledge in whistleblower protection, experience in communicating with whistleblowers, and an understanding of compliance and data protection requirements.
For how long do notes need to be documented?
The documentation of a report must generally be deleted three years after the conclusion of the procedure in accordance with Section 11, Paragraph 5 of the HinSchG. Longer retention is only permissible insofar as this is necessary and proportionate for the fulfilment of requirements under the HinSchG or other legal provisions (e.g. due to specific commercial or tax law retention obligations).
What role does data protection play for the ombudsman?
The processing of reports is fully subject to the provisions of the GDPR. The legal basis is usually Article 6(1)(c) GDPR in conjunction with the obligations arising from the HinSchG; for voluntary systems, Article 6(1)(f) GDPR can also be used. Companies must, in particular, observe purpose limitation, data minimisation, appropriate technical and organisational measures for data security, and the statutory retention periods.
