AufenthG

§ 40 AufenthG: Grounds for Refusal

Original text

gesetze-im-internet.de

This text was rewritten into plain language (B1 level) automatically and may contain errors. Only the official German statute is authoritative — when in doubt, read the original text below or consult a lawyer.

What is § 40 about?

For certain jobs, you need an approval under § 39. This approval is regulated in a different section.

§ 40 explains: In which cases does the authority refuse this approval? In some cases it must refuse it. In other cases it can refuse it.

When the authority MUST refuse approval

In two cases, the authority must refuse the approval. This is mandatory. The authority has no choice here.

Your employment came about through unlawful job placement or unlawful recruitment.
You want to work as a temporary agency worker. This is regulated in § 1 paragraph 1 of the Temporary Employment Act (Arbeitnehmerüberlassungsgesetz).

If either of these two points applies, the authority refuses the approval.

When the authority can refuse approval — reasons related to you or your employer

In three further cases, the authority can refuse the approval. Here the authority decides on a case-by-case basis. In these cases, there is no automatic right to approval.

You have culpably violated certain provisions. These are: § 404 paragraph 1 or paragraph 2 number 2 to 4, 6 to 13, 28 and 29 of Book Three of the Social Code. Or §§ 10, 10a or 11 of the Act to Combat Illicit Work (Schwarzarbeitsbekämpfungsgesetz). Or §§ 15, 15a or § 16 paragraph 1 number 2 of the Temporary Employment Act (Arbeitnehmerüberlassungsgesetz).
There are important reasons relating to you personally.
The employment shall take place with an employer for whom the following applies: the employer itself — or the person authorised to represent it under its articles of association or by law — has, within the past five years, been given a final and binding fine for a violation of § 404 paragraph 1 or paragraph 2 number 3 of Book Three of the Social Code. Or this person has been given a final and binding fine or prison sentence for a violation of §§ 10, 10a or 11 of the Act to Combat Illicit Work, or of §§ 15, 15a or § 16 paragraph 1 number 2 of the Temporary Employment Act.

Note: If this concerns an intra-corporate transfer under § 19 or § 19b, point 3 applies correspondingly to the receiving establishment.

When the authority can also refuse approval — reasons related to the employer

There are seven further reasons. Here too the authority can refuse — but it does not have to.

The employer or the receiving establishment has not met its obligations. This concerns obligations under social security law, tax law or employment law.
Insolvency proceedings have been opened against the assets of the employer or the establishment. These proceedings are aimed at dissolving the employer or the establishment and winding up the business.
The employer or the establishment has already been dissolved as part of insolvency proceedings. The business has already been wound up.
Insolvency proceedings were refused for lack of assets. This means: there were not enough assets to carry out the proceedings. The business was closed down.
The employer or the establishment does not carry out any business activity.
Your presence is intended to influence employment-related or workplace disputes or negotiations. Or your presence actually has this effect, even without this being intended.
The employer or the establishment was established mainly for the purpose of making it easier for foreign nationals to enter and stay in Germany for the purpose of employment. The same applies if your employment relationship was established mainly for this purpose.

Summary

Must-reasons: For the two reasons in the first section, the authority always refuses the approval.

Can-reasons: For all other reasons, the authority decides on a case-by-case basis. It can refuse the approval. But it does not have to.

Original text on gesetze-im-internet.de

(1) Die Zustimmung nach § 39 ist zu versagen, wenn

1.das Arbeitsverhältnis auf Grund einer unerlaubten Arbeitsvermittlung oder Anwerbung zustande gekommen ist oder
2.der Ausländer als Leiharbeitnehmer (§ 1 Abs. 1 des Arbeitnehmerüberlassungsgesetzes) tätig werden will.

(2) Die Zustimmung kann versagt werden, wenn

1.der Ausländer gegen § 404 Absatz 1 oder Absatz 2 Nummer 2 bis 4, 6 bis 13, 28 und 29 des Dritten Buches Sozialgesetzbuch, gegen die §§ 10, 10a oder § 11 des Schwarzarbeitsbekämpfungsgesetzes oder gegen die §§ 15, 15a oder § 16 Absatz 1 Nummer 2 des Arbeitnehmerüberlassungsgesetzes schuldhaft verstoßen hat,
2.wichtige Gründe in der Person des Ausländers vorliegen oder
3.die Beschäftigung bei einem Arbeitgeber erfolgen soll, der oder dessen nach Satzung oder Gesetz Vertretungsberechtigter innerhalb der letzten fünf Jahre wegen eines Verstoßes gegen § 404 Absatz 1 oder Absatz 2 Nummer 3 des Dritten Buches Sozialgesetzbuch rechtskräftig mit einer Geldbuße belegt oder wegen eines Verstoßes gegen die §§ 10, 10a oder 11 des Schwarzarbeitsbekämpfungsgesetzes oder gegen die §§ 15, 15a oder 16 Absatz 1 Nummer 2 des Arbeitnehmerüberlassungsgesetzes rechtskräftig zu einer Geld- oder Freiheitsstrafe verurteilt worden ist; dies gilt bei einem unternehmensinternen Transfer gemäß § 19 oder § 19b entsprechend für die aufnehmende Niederlassung.

(3) Die Zustimmung kann darüber hinaus versagt werden, wenn

1.der Arbeitgeber oder die aufnehmende Niederlassung seinen oder ihren sozialversicherungsrechtlichen, steuerrechtlichen oder arbeitsrechtlichen Pflichten nicht nachgekommen ist,
2.über das Vermögen des Arbeitgebers oder über das Vermögen der aufnehmenden Niederlassung ein Insolvenzverfahren eröffnet wurde, das auf Auflösung des Arbeitgebers oder der Niederlassung und Abwicklung des Geschäftsbetriebs gerichtet ist,
3.der Arbeitgeber oder die aufnehmende Niederlassung im Rahmen der Durchführung eines Insolvenzverfahrens aufgelöst wurde und der Geschäftsbetrieb abgewickelt wurde,
4.die Eröffnung eines Insolvenzverfahrens über das Vermögen des Arbeitgebers oder über das Vermögen der aufnehmenden Niederlassung mangels Masse abgelehnt wurde und der Geschäftsbetrieb eingestellt wurde,
5.der Arbeitgeber oder die aufnehmende Niederlassung keine Geschäftstätigkeit ausübt,
6.durch die Präsenz des Ausländers eine Einflussnahme auf arbeitsrechtliche oder betriebliche Auseinandersetzungen oder Verhandlungen bezweckt oder bewirkt wird oder
7.der Arbeitgeber oder die aufnehmende Niederlassung hauptsächlich zu dem Zweck gegründet wurde, die Einreise und den Aufenthalt von Ausländern zum Zweck der Beschäftigung zu erleichtern; das Gleiche gilt, wenn das Arbeitsverhältnis hauptsächlich zu diesem Zweck begründet wurde.

Original text on gesetze-im-internet.de

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AufenthG

When the authority MUST refuse approval

In two cases, the authority must refuse the approval. This is mandatory. The authority has no choice here.

Your employment came about through unlawful job placement or unlawful recruitment.

You want to work as a temporary agency worker. This is regulated in § 1 paragraph 1 of the Temporary Employment Act (Arbeitnehmerüberlassungsgesetz).

If either of these two points applies, the authority refuses the approval.

When the authority can refuse approval — reasons related to you or your employer

In three further cases, the authority can refuse the approval. Here the authority decides on a case-by-case basis. In these cases, there is no automatic right to approval.

You have culpably violated certain provisions. These are: § 404 paragraph 1 or paragraph 2 number 2 to 4, 6 to 13, 28 and 29 of Book Three of the Social Code. Or §§ 10, 10a or 11 of the Act to Combat Illicit Work (Schwarzarbeitsbekämpfungsgesetz). Or §§ 15, 15a or § 16 paragraph 1 number 2 of the Temporary Employment Act (Arbeitnehmerüberlassungsgesetz).

There are important reasons relating to you personally.

The employment shall take place with an employer for whom the following applies: the employer itself — or the person authorised to represent it under its articles of association or by law — has, within the past five years, been given a final and binding fine for a violation of § 404 paragraph 1 or paragraph 2 number 3 of Book Three of the Social Code. Or this person has been given a final and binding fine or prison sentence for a violation of §§ 10, 10a or 11 of the Act to Combat Illicit Work, or of §§ 15, 15a or § 16 paragraph 1 number 2 of the Temporary Employment Act.

Note: If this concerns an intra-corporate transfer under § 19 or § 19b, point 3 applies correspondingly to the receiving establishment.

When the authority can also refuse approval — reasons related to the employer

There are seven further reasons. Here too the authority can refuse — but it does not have to.

The employer or the receiving establishment has not met its obligations. This concerns obligations under social security law, tax law or employment law.

Insolvency proceedings have been opened against the assets of the employer or the establishment. These proceedings are aimed at dissolving the employer or the establishment and winding up the business.

The employer or the establishment has already been dissolved as part of insolvency proceedings. The business has already been wound up.

Insolvency proceedings were refused for lack of assets. This means: there were not enough assets to carry out the proceedings. The business was closed down.

The employer or the establishment does not carry out any business activity.

Your presence is intended to influence employment-related or workplace disputes or negotiations. Or your presence actually has this effect, even without this being intended.

The employer or the establishment was established mainly for the purpose of making it easier for foreign nationals to enter and stay in Germany for the purpose of employment. The same applies if your employment relationship was established mainly for this purpose.