Purpose
§ 613a BGB is the provision on which transactions fail after they have been completed. The reason is almost always the same: a defective notification letter that does not set in motion the one-month period under § 613a(6) BGB and thereby leaves the employees with an objection right not limited in time. This skill examines the elements, prepares the notification letter along the catalogue developed by case law, and assesses objection risks.
Inputs
- Transaction form: asset deal / outsourcing / insourcing / function succession / transformation under the UmwG / share deal
- Operating resources transferred: tangible (machinery, real property, inventory) and intangible (customer base, know-how, trademarks)
- Business character: operating-resource-oriented or low in operating resources / personnel-oriented?
- Is the core workforce taken over in terms of number and expertise?
- Applicable collective agreements and works agreements at the transferor and transferee; collective agreement coverage of the transferee
- Works council structures; planned operational change (§§ 111 et seq. BetrVG)?
- Planned transfer date and list of addressees
Sub-agent architecture
- Researcher (
../../agents/researcher.md) provides § 613a BGB with URL, Directive 2001/23/EC and the ECJ/BAG lines of case law on the elements and on the content of the notification. - Drafter (
../../agents/drafter.md) prepares the notification letter and the timeline. - Reviewer (
../../agents/reviewer.md) checks the catalogue point by point, addressees, form and triggering of the period.
Procedure
1. Elements (§ 613a(1) sentence 1 BGB)
Required is the transfer of a business or part of a business to another owner by legal transaction. Under EU law (Directive 2001/23/EC), the term is to be interpreted as the transfer of an economic entity while preserving its identity — an organized grouping of persons and assets for the pursuit of an economic activity with its own purpose.
Preservation of identity is assessed on the basis of an overall assessment of all circumstances (ECJ, judgment of 18.03.1986 – Case 24/85, Spijkers, and subsequent decisions; dejure.org). The criteria:
- type of the undertaking or business concerned,
- transfer of tangible operating resources,
- value of the intangible assets at the time of the transfer,
- taking over of the core workforce,
- transfer of the clientele,
- degree of similarity of the activities before and after the transfer,
- duration of any interruption of the activity.
Decisive is the weighting according to the type of business:
- For asset-intensive operations (production, logistics with a vehicle fleet), what matters decisively is the transfer of the tangible operating assets; the transfer of the workforce is secondary.
- For asset-light, staff-intensive activities (cleaning, guarding, call centers, care), it is sufficient to take on a portion of the workforce that is substantial in number and expertise; without it, there is no transfer — mere functional succession (succession to a contract without taking on staff and assets) is not enough.
There is no transfer of undertaking in the case of a share deal: the contracting employer remains the same legal entity; only its shareholders change. Section 613a of the German Civil Code (BGB) does not apply — which in practice is the most important structuring lever for avoiding objection risks.
2. Legal consequences for the employment relationships
- Entry into all rights and obligations of the employment relationships existing at the time of the transfer (Section 613a(1) sentence 1 BGB) — including vacation entitlements, working time accounts, length of service, and commitments under company pension schemes.
- Transformation (Section 613a(1) sentence 2 BGB): rights and obligations governed by collective law become part of the employment relationship and may not be changed to the employee's detriment for one year .
- Exceptions (Section 613a(1) sentences 3, 4 BGB): the change freeze does not apply if a different collective agreement or a different works agreement applies at the acquirer (replacement), or if the application of a different collective agreement is agreed in the absence of dual collective bargaining coverage.
- If congruent collective normsapply at the acquirer, they take precedence over the transformed content — the review of the acquirer's collective bargaining coverage therefore belongs at the beginning of any transaction advice.
3. Liability (Section 613a(2) BGB)
The previous employer is liable as a joint and several debtor alongside the acquirer for obligations that arose before the transfer and become due within one year thereafter. If they become due only after the transfer, it is liable only pro rata for the portion of the assessment period that elapsed before the transfer. Section 613a(3) BGB excludes reorganization cases involving the extinction of the legal entity.
Practical consequence for the share purchase agreement: indemnity provisions between seller and acquirer have effect only in the internal relationship; the employee can hold both liable.
4. Prohibition of dismissal (Section 613a(4) BGB)
Dismissal because of the transfer is invalid — whether by the seller or by the acquirer. Dismissals for other reasons remain permissible (sentence 2).
The distinction determines the validity of entire restructurings:
- Ineffective: Termination whose main underlying motive is the transfer — for example, in order to hand over the business "lean" or because the acquirer wishes to take it over only with a reduced workforce.
- Permissible: Termination based on an independent restructuring or acquirer concept, which at the time of termination had already taken on concrete forms and would have been implemented independently of the transfer.
- The acquirer concept proof is strict: mere declarations of intent are not sufficient; required is a binding plan with a timeline and measures (settled case law of the BAG on § 613a(4) BGB
[unverifiziert – prüfen]).
The objection of a violation of § 613a(4) BGB is subject to the 3-week period of § 4 KSchG — after the period expires, § 7 KSchG also applies here.
5. Information (§ 613a(5) BGB)
Transferor or acquirer must inform the affected employees before the transfer in text form about:
- the date or planned date of the transfer,
- the reason for the transfer,
- the legal, economic and social consequences of the transfer for the employees,
- the measures envisaged with regard to the employees.
The case law has concretized these four items into a catalog ; the letter must put the employee in a position to make an informed decision about the objection. The minimum contents are considered to be (leading case BAG, judgment of 13.07.2006 – 8 AZR 305/05, BAGE 119, 91 = NZA 2006, 1268; dejure.org — according to which neither a failure to provide information nor incorrect information starts the objection period of § 613a(6) BGB):
| Item | Content |
|---|---|
| Identity of the acquirer | Company name, legal form, registered office, register number — not just an abbreviation |
| Subject of the transfer | Which unit is transferred, which employment relationships are affected |
| Legal basis | Asset deal, transformation, end of lease — with the date of the contract |
| Entry into the employment relationships | Reference to § 613a(1) sentence 1 BGB, continuation of company seniority and contractual content |
| Consequences under collective law | Which collective bargaining agreements and works agreements apply in the future; transformation and change freeze; superseding provisions at the acquirer |
| Company pension scheme | Continuation of the commitment, implementation method, pension provider, liability |
| Allocation of liability | Presentation of § 613a(2) BGB — joint and several liability and pro rata temporal liability, in plain language |
| Planned measures | Restructurings, relocations, reconciliation of interests, social plan — even if they are only planned |
| Protection against dismissal | § 613a (4) BGB and the continuation of general protection against dismissal |
| Right of objection | Deadline, form, addressee and the consequences of an objection |
Most critical point — the consequences of the objection: The letter must point out that the objecting employee remains with the transferor and, in the absence of employment opportunities there, must regularly expect a dismissal for operational reasons. A letter that presents the objection as a risk-free option is defective.
Legal consequence of an error: The one-month period of § 613a (6) BGB is not set in motion. The right of objection then continues to exist — limited solely by forfeiture, which requires both a time element and a circumstance element. Objections years after the transfer are possible on this basis and in practice are the main damage caused by defective notifications.
6. Right of objection (§ 613a (6) BGB)
- Deadline: one month after receipt of the notification pursuant to paragraph 5.
- Form: in writing (§ 126 BGB) — text form is here notsufficient, although the notification itself may be given in text form. This asymmetry is inherent in the statute and is regularly overlooked.
- Addressee: previous employer or new owner, at the employee's choice.
- Effect: The employment relationship does not transfer, but continues with the transferor — retroactively to the time of the transfer.
7. Drafting aid — notification letter (excerpt)
<Veräußerer> und <Erwerber>
Unterrichtung über einen Betriebsübergang nach § 613a Abs. 5 BGB
Sehr geehrte(r) Frau/Herr <Name>,
wir unterrichten Sie hiermit gemeinsam darüber, dass der
Betriebsteil <Bezeichnung> mit Wirkung zum <Datum> auf die
<Firma, Rechtsform, Sitz, Handelsregister und Registernummer>
übergeht.
1. Zeitpunkt und Gegenstand des Übergangs
<Stichtag; welche Einheit; Ihre Zugehörigkeit zu dieser Einheit>
2. Grund des Übergangs
<Unternehmenskaufvertrag vom <Datum> / Pachtende /
Ausgliederung nach UmwG; wirtschaftlicher Hintergrund>
3. Rechtliche Folgen
Der Erwerber tritt nach § 613a Abs. 1 S. 1 BGB in alle Rechte
und Pflichten aus Ihrem Arbeitsverhältnis ein. Ihr
Arbeitsvertrag, Ihre Betriebszugehörigkeit seit <Datum>, Ihre
Vergütung und Ihr Urlaubsanspruch bleiben unverändert.
<Kollektivrecht: welche Tarifverträge und Betriebsvereinbarungen
künftig gelten; Transformation nach § 613a Abs. 1 S. 2 BGB und
einjährige Veränderungssperre; ablösende Regelungen>
<Betriebliche Altersversorgung: Zusage, Durchführungsweg,
Versorgungsträger>
Für Verpflichtungen, die vor dem Übergang entstanden sind und
innerhalb eines Jahres danach fällig werden, haftet der
bisherige Arbeitgeber nach § 613a Abs. 2 BGB neben dem
Erwerber als Gesamtschuldner.
Eine Kündigung wegen des Übergangs ist nach § 613a Abs. 4 BGB
unwirksam. Ihr allgemeiner Kündigungsschutz bleibt unberührt.
4. Wirtschaftliche und soziale Folgen
<Arbeitsort, Arbeitszeit, Vorgesetztenstruktur, Sozial-
leistungen, betriebliche Übungen>
5. In Aussicht genommene Maßnahmen
<Restrukturierungen, Verlagerungen, Interessenausgleich /
Sozialplan — oder ausdrücklich: "Maßnahmen sind derzeit
nicht geplant.">
6. Ihr Widerspruchsrecht
Sie können dem Übergang Ihres Arbeitsverhältnisses innerhalb
eines Monats nach Zugang dieses Schreibens schriftlich
widersprechen (§ 613a Abs. 6 BGB). Der Widerspruch kann
gegenüber dem bisherigen Arbeitgeber oder dem neuen Inhaber
erklärt werden. Er bedarf der Schriftform; eine E-Mail
genügt nicht.
Folgen eines Widerspruchs: Ihr Arbeitsverhältnis geht nicht
über, sondern besteht mit <Veräußerer> fort. Da der
Betriebsteil dort nach dem Übergang nicht fortgeführt wird
und ein anderer Arbeitsplatz voraussichtlich nicht zur
Verfügung steht, ist mit einer betriebsbedingten Kündigung
zu rechnen.
<Ort, Datum> <Unterschrift Veräußerer> <Unterschrift Erwerber>
Sources
Statutes
- § 613a BGB, § 126 BGB, § 242 BGB (forfeiture), § 623 BGB
- § 4 KSchG, § 7 KSchG, § 1 KSchG
- § 111 BetrVG, § 112 BetrVG, § 102 BetrVG
- Council Directive 2001/23/EC of 12 March 2001 (safeguarding of employees' rights on transfer of undertakings)
Commentaries
- Preis, in: ErfK, 24th ed. 2024, § 613a BGB marginal no. 1 et seq.
- Müller-Glöge, in: MüKoBGB, 9th ed. 2023, § 613a marginal no. 1 et seq.
- Willemsen, in: HWK, 11th ed. 2024, § 613a BGB marginal no. 200 et seq. (notification)
- Steffan, in: APS, 6th ed. 2021, § 613a BGB marginal no. 150 et seq. (prohibition of dismissal)
Case law
- ECJ, judgment of 18.03.1986 – Case 24/85, Spijkers (preservation of the identity of the economic entity; overall assessment of all circumstances, no isolated consideration of individual criteria), dejure.org
- ECJ case law on activities with few operating resources (taking over a significant part of the workforce in terms of number and expertise)
[unverifiziert – prüfen] - BAG, judgment of 13.07.2006 – 8 AZR 305/05, BAGE 119, 91 = NZA 2006, 1268 (substantive requirements for the notification under § 613a(5) BGB; the objection period does not begin without proper notification), dejure.org
- settled case law of the BAG on forfeiture of the right to object in the case of defective notification (time and circumstances element)
[unverifiziert – prüfen] - settled case law of the BAG on § 613a(4) BGB and on the transferee concept
[unverifiziert – prüfen]
Case numbers must be verified before use in juris, Beck-Online, curia.europa.eu or the BAG decision database .
Output format
BETRIEBSÜBERGANG § 613a BGB — <Mandat-ID> — <Datum>
VERTRAULICH — MANDATSGEHEIMNIS — § 43a Abs. 2 BRAO
Gesamtbefund: [🟢 Übergang liegt vor, Verfahren sauber /
🟡 Nachbesserung Unterrichtung / 🔴 Widerspruchsrisiko offen]
I. Transaktionsform [Asset Deal / Share Deal /
Outsourcing / UmwG]
II. Tatbestand § 613a Abs. 1 S. 1
Betriebstyp: [betriebsmittelgeprägt /
personalgeprägt]
Gesamtwürdigung: <Kriterien 1–7 mit Gewichtung>
Ergebnis: [Übergang / bloße Funktionsnachfolge]
III. Betroffene Arbeitsverhältnisse <N> Liste als Anlage
IV. Kollektivrecht
Beim Veräußerer: <TV / BV>
Beim Erwerber: <TV / BV>
Transformation § 613a I 2: [greift / abgelöst nach S. 3]
V. Haftung § 613a Abs. 2 <Verpflichtungen, Fälligkeiten>
VI. Kündigungen im Umfeld [keine / <N> — Erwerberkonzept:
🟢 belegt / 🔴 nicht belegt]
VII. Unterrichtung § 613a Abs. 5
Form Textform: [🟢 / 🔴]
Katalogpunkte vollständig: [🟢 / 🔴 fehlt: <…>]
Folgen des Widerspruchs dargestellt:[🟢 / 🔴]
Zugang: <Datum, Nachweis>
VIII. Widerspruchsfrist § 613a Abs. 6 Ende: <Datum>
Fristauslösung wirksam: [🟢 / 🔴 → unbefristetes
Widerspruchsrecht]
IX. Widersprüche eingegangen <N> Folgemaßnahmen: <…>
X. Beteiligung des Betriebsrats §§ 111, 112 BetrVG [N/A / läuft]
Offene Tatsachenfragen: <…>
Empfehlung: <…>
Risks / typical errors
- Notification letter incomplete — the one-month period does not begin; the right to object remains until forfeiture. The most expensive error of the entire provision.
- Consequences of the objection glossed over — anyone who presents the objection as an option without consequences makes the letter defective.
- Transferee designated only by abbreviation — required are company name, legal form, registered office and register data.
- Allocation of liability under § 613a(2) BGB not explained — this is part of the legal consequences under paragraph 5 no. 3.
- Objection accepted in text form — § 613a(6) BGB requires written form; conversely, text form suffices for the notification. The asymmetry is intentional.
- Dismissal because of the transfer labelled as "operational reasons" — without a substantiated transferee concept, § 613a(4) BGB applies.
- Functional succession confused with transfer of undertaking — the mere takeover of a contract without personnel and operating resources does not trigger § 613a BGB.
- Share deal treated as transfer of undertaking — the contractual employer remains identical; § 613a BGB is not applicable.
- Collective agreement binding of the transferee not examined — congruent collective norms at the transferee replace the transformed contents and change the notification obligation.
- Notification sent only after the cut-off date — § 613a(5) BGB requires notification before the transfer.