The Criminal Responsibility of the Export Control Manager

出口管制管理者的刑事责任

• 批准号: 447709727
• 负责人: Dr. Stefan Wolfgang Lehner
• 金额: --
• 依托单位: StR III: Lehrstuhl für Strafrecht und Strafprozessrecht, insbes. Wirtschaftsstrafrecht und internationales Strafrecht
• 依托单位国家: 德国
• 项目类别: Publication Grants
• 财政年份: 2020
• 资助国家: 德国
• 起止时间: 2019-12-31 至 无数据
• 项目状态: 未结题
• 来源: https://gepris.dfg.de/gepris/projekt/447709727?language=en
• 关键词: Criminal; Responsibility; Export; Control; Manager

In 2019, executive board members of the companies "Heckler &Koch" and "Sig Sauer" had to face criminal charges for illegal arms exports to Central and South America. Under the Impression of such "export scandals", the Bundesregierung and BAFA, as German export authorities, issue administrative regulations in which they define the due diligence obligations of the so-called Ausfuhrverantwortlicher (export manager). In Order to obtain permits from the export authorities, a member of the executive board must ensure that his company is reliable under export law. Courts are now assuming that the due diligence requirement under criminal law has been increased by these administrative regulations — which were originally only significant for the export authorities.The thesis examines whether and to what extent the export authorities haue created a special criminal responsibility through the Ausfuhrverantwortlicher. Since the Ausfuhrverantwortlicher was not directly made the subject of liability standards in foreign trade law, fundamental questions of criminal liability arise. In this respect, the thesis deals with the perpetratorial responsibility for functional-social action, his guarantor Position and obligations, the special responsibility for compliance in the company and in particular the influence of administrative regulations as special norms an export crimes and the duties of the Ausfuhrverantwortlicher.At the same time, the thesis describes a tendency of modern legislation based an foreign trade iaw to anchor special responsibilities in companies for risks as a task of the management — especially through so-called soff law. Therefore, the thesis elaborates criteria that the criminal judge can use in the context of his judicial conviction in Order to determine the relevance of a soff law norm for thespecific case to be assessed.

2019年，“Heckler&Koch”和“Sig Sauer”公司的执行董事会成员因非法向中美洲和南美洲出口武器而面临刑事指控。在这种“出口丑闻”的印象下，作为德国出口主管机构的德国联邦统计局和BAFA发布了行政法规，规定了所谓的Ausfuhrverantwortlicher(出口管理人)的尽职调查义务。为了获得出口当局的许可，执行委员会的一名成员必须确保其公司在出口法下是可靠的。法院现在假设，这些行政法规增加了刑法下的尽职调查要求--这些行政法规最初只对出口当局有意义。本文审查了出口当局是否以及在多大程度上通过Ausfuhrverantwortlicher建立了特别刑事责任。由于在对外贸易法中没有直接将侵权责任人定为责任标准的主体，因此产生了刑事责任的基本问题。在这方面，本文讨论了功能性社会行为的永久责任、担保人的地位和义务、公司中的特殊合规责任，特别是作为特殊规范和出口犯罪的行政法规的影响以及澳大利亚的责任。同时，论文描述了现代立法的趋势，即以对外贸易法为基础，将公司对风险的特殊责任固定为管理任务--特别是通过所谓的SOF法。因此，本文阐述了刑事法官在其司法定罪的背景下可以使用的标准，以确定软法律规范与待评估的特定案件的相关性。