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Criminal Penalties in EU Member States environmental law

Final Report, 15-09-03.

Table of contents and

Executive summary

Reference Study Contract: ENV.B.4-3040/2002/343499/MRA/A

By

In collaboration with

Dr. Gerhard GRNER, Rechtsanwalt VGNENOPOULOS & Partners Law Firm

CMS Derks Attorneys at Law HANNES SNELLMAN Attorneys at Law Lillihk Jacobsson AB, Advokatfirman

PINA Advogados Associados JAUSAS, NADAL & VIDAL DE LLOBATERA, Advocats

Dr. Andreas SCHEIL, Universitt Innsbruck Dr. Peter PAGH, Copenhagen University

MONARD & DHULST, Avocats

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The Law Firm HUGLO LEPAGE & Partners Counsel would like to express its gratitude to those who collaborated to produce this study. The analysis of national legislation for Member States was performed by the following people: AUSTRIA Dr. Andreas SCHEIL

Universitt Innsbruck BELGIUM Flemish Region: Xavier dHULST, MONARD & DHULST

Brussels and Walloon Regions: Franois BRAULT HUGLO LEPAGE & Partners

DENMARK Dr. Peter PAGH Copenhagen University

FINLAND Michael NYLUND HANNES SNELLMAN

FRANCE Bertrand BURG and Matthieu WEMARE HUGLO LEPAGE & Partners

GERMANY Dr. Gerhard GRNER Rechtsanwalt

GREECE Vivianne KOUTSOMALLIS VGNENOPOULOS & Partners

ITALY Stefania TRIPODI JAUSAS, NADAL & VIDAL DE LLOBATERA

IRELAND Matthieu WEMARE HUGLO LEPAGE & Partners

LUXEMBOURG Matthieu WEMARE HUGLO LEPAGE & Partners

NETHERLANDS Marjan STAAL CMS Derks

PORTUGAL David PINA PINA Advogados Associados

SPAIN Stefania TRIPODI JAUSAS, NADAL & VIDAL DE LLOBATERA

SWEDEN Madeleine Lillihk Jacobsson Lillihk Jacobsson AB

UK Simon MILWARD HUGLO LEPAGE & Partners

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Executive Summary ............................................................................................................... 11

SECTION I: Background Information on National Legal Systems ............ 14 Austria ..................................................................................................................................... 14

Introduction .................................................................................................................................................... 14 a. The persons liable................................................................................................................................ 14 b. The different types of offence............................................................................................................... 15 c. The possible sanctions ......................................................................................................................... 15 d. The competent courts........................................................................................................................... 20 e. Aspects particular to the environment ................................................................................................. 21

What is the average amount of time for criminal environmental proceedings? ............................................. 21 Who supports the costs of the procedure? ...................................................................................................... 22 Who initiates the procedure? .......................................................................................................................... 22 Who is the competent judge? ......................................................................................................................... 22 What is the outcome of the criminal procedure? ............................................................................................ 24 Abbreviations particular to the above study ................................................................................................... 27

Belgique ................................................................................................................................... 29 Introduction Gnrale..................................................................................................................................... 29

Personnes responsables........................................................................................................................... 29 Diffrentes catgories dinfraction et peines applicables........................................................................ 29 Juridictions rpressives ........................................................................................................................... 30

Quelle est la dure moyenne de la procdure pnale ? ................................................................................... 30 Qui supporte les frais de la procdure ? ......................................................................................................... 32 Qui engage la procdure ? .............................................................................................................................. 32 Quel est le juge comptent ?........................................................................................................................... 35 Quel est le rsultat de la procdure ?.............................................................................................................. 35 Jurisprudence.................................................................................................................................................. 36

Denmark.................................................................................................................................. 41 Summary of Danish Criminal Law................................................................................................................. 41 Introduction to Danish Environmental Criminal Law.................................................................................... 42 What is the average amount of time for criminal environmental proceedings? ............................................. 45 Who supports the costs of the procedure? ...................................................................................................... 46 Who initiates the procedure? .......................................................................................................................... 46 Who is the competent judge? ......................................................................................................................... 47 What is the outcome of the criminal procedure? ............................................................................................ 47

Finland..................................................................................................................................... 48 Introduction .................................................................................................................................................... 48

Persons liable .......................................................................................................................................... 48 The different types of offences ................................................................................................................. 48 The applicable sanctions ......................................................................................................................... 48 The competent courts............................................................................................................................... 49 Aspects of criminal law, which are particular to the environment .......................................................... 49

What is the average amount of time for criminal environmental proceedings? ............................................. 49 Who supports the costs of the procedure? ...................................................................................................... 50 Who initiates the procedure? .......................................................................................................................... 50 Who is the competent judge? ......................................................................................................................... 50 What is the outcome of the criminal procedure? ............................................................................................ 51

France...................................................................................................................................... 52 Introduction .................................................................................................................................................... 52 Quelle est la dure moyenne de la procdure pnale ? ................................................................................... 54 Qui supporte les frais de la procdure ? ......................................................................................................... 54 Qui engage la procdure ? .............................................................................................................................. 54 Quel est le juge comptent ?........................................................................................................................... 55 Quel est le rsultat de la procdure ?.............................................................................................................. 55 La personne pnalement responsable ............................................................................................................. 55

La responsabilit des personnes morales ................................................................................................ 55 La responsabilit des personnes physiques ............................................................................................. 58

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Llment intentionnel ................................................................................................................................... 60 Germany.................................................................................................................................. 62

Introduction .................................................................................................................................................... 62 What is the average amount of time for the criminal environmental proceeding? ......................................... 65 Who is the competent judge? ......................................................................................................................... 65 Who initiates the procedure? .......................................................................................................................... 65 Who supports the costs of the procedure? ...................................................................................................... 65 What is the outcome of the criminal procedure? ............................................................................................ 65

Grce........................................................................................................................................ 67 Introduction .................................................................................................................................................... 67 Quelle est la dure moyenne de la procdure pnale? .................................................................................... 68 Qui supporte les frais de la procdure? .......................................................................................................... 68 Qui engage la procdure? ............................................................................................................................... 69 Quel est le juge comptent ?........................................................................................................................... 69 Quel est le rsultat de la procdure ?.............................................................................................................. 69

Italy.......................................................................................................................................... 71 Introduction .................................................................................................................................................... 71

Persons liable .......................................................................................................................................... 71 Types of offence ....................................................................................................................................... 71 Possible sanctions ................................................................................................................................... 72 Competent courts..................................................................................................................................... 72 Aspects of criminal law particular to the environment............................................................................ 73

What is the average amount of time for criminal environmental proceedings? ............................................. 74 Who supports the costs of the procedure? ...................................................................................................... 75 Who initiates the procedure? .......................................................................................................................... 75 Who is the competent judge? ......................................................................................................................... 75 What is the outcome of the criminal procedure? ............................................................................................ 76

Ireland ..................................................................................................................................... 77 Introduction. ................................................................................................................................................... 77 What is the average amount of time for criminal environmental proceedings? ............................................. 80 Who supports the costs of the procedure? ...................................................................................................... 81 Who initiates the procedure? .......................................................................................................................... 82 Who is the competent judge? ......................................................................................................................... 82 What is the outcome of the procedure? .......................................................................................................... 82 Prosecutions taken by the EPA to date........................................................................................................... 84

Luxembourg............................................................................................................................ 97 Introduction .................................................................................................................................................... 97 Quelle est la dure moyenne de la procdure pnale? .................................................................................. 105 Qui supporte les frais de la procdure ? ....................................................................................................... 105 Qui engage la procdure ? ............................................................................................................................ 107 Quel est le juge comptent ?......................................................................................................................... 108 Quel est le rsultat de la procdure ?............................................................................................................ 108

The Netherlands ................................................................................................................... 110 Introduction .................................................................................................................................................. 110

Criminal Penalties for Environmental Crimes under the Dutch Criminal Code................................... 110 Criminal Penalties for Environmental Crimes under the Economic Offences Act ................................ 111

What is the average amount of time for criminal environmental proceedings? ........................................... 112 Who supports the costs of the procedure? .................................................................................................... 113 Who initiates the procedure? ........................................................................................................................ 113 Who is the competent judge? ....................................................................................................................... 113 What is the outcome of the criminal procedure? .......................................................................................... 113

Portugal ................................................................................................................................. 114 Introduction .................................................................................................................................................. 114 Quelle est la dure moyenne de la procdure pnale ? ................................................................................. 116 Qui supporte les frais de la procdure ? ....................................................................................................... 116 Qui engage la procdure ? ............................................................................................................................ 117 Quel est le juge comptent ?......................................................................................................................... 117 Quelle est le rsultat de la procdure ? ......................................................................................................... 117

Spain ...................................................................................................................................... 119

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Introduction .................................................................................................................................................. 119 Natural and legal persons ..................................................................................................................... 119 Types of offences.................................................................................................................................... 119

What is the average amount of time for criminal environmental proceedings? ........................................... 120 Who supports the costs of the procedure? .................................................................................................... 121 Who initiates the procedure? ........................................................................................................................ 121 Who is the competent judge? ....................................................................................................................... 121 What is the outcome of the criminal procedure? .......................................................................................... 122

Sweden................................................................................................................................... 123 Introduction .................................................................................................................................................. 123 Natural persons............................................................................................................................................. 124 Legal persons ............................................................................................................................................... 124 What is the average amount of time for criminal environmental proceedings? ........................................... 126 Who supports the costs of the procedure? .................................................................................................... 127 Who initiates the procedure? ........................................................................................................................ 127 Who is the competent judge? ....................................................................................................................... 127 What is the outcome of the criminal procedure? .......................................................................................... 128 Summary implementation of the Directives.............................................................................................. 129

UK.......................................................................................................................................... 130 Background to environmental criminal legislation....................................................................................... 130 Corporate liability ........................................................................................................................................ 131 Who is the competent judge? ....................................................................................................................... 131 What is the average amount of time for criminal environmental proceedings? ........................................... 132 Who supports the costs of the procedure? .................................................................................................... 133 Who initiates the procedure? ........................................................................................................................ 134 What is the outcome of the criminal procedure? .......................................................................................... 135 Case Studies Countries Prosecutions and Fines ........................................................................................ 139 Case Studies Court Decisions.................................................................................................................... 143

SECTION II: Tables of Criminal Sanctions and Explanations.................. 154 Explanation of tables............................................................................................................ 154 Austria ................................................................................................................................... 155

Directive 76/769/EEC .................................................................................................................................. 155 Directive 78/176/EEC .................................................................................................................................. 161 Directive 80/68/EEC .................................................................................................................................... 164 Directive 84/491/EEC .................................................................................................................................. 170 Directive 86/278/EEC .................................................................................................................................. 173 Directive 86/280/EEC .................................................................................................................................. 180 Directive 90/219/EEC .................................................................................................................................. 184 Directive 91/271/EEC .................................................................................................................................. 187 Regulation (EEC) No 259/93 ....................................................................................................................... 194 Directive 94/63/EC....................................................................................................................................... 196 Directive 1996/59/EC................................................................................................................................... 198 Regulation (EC) No 338/97.......................................................................................................................... 201 Directive 1999/31/EC................................................................................................................................... 203 Directive 2000/53/EC................................................................................................................................... 211 Directive 2000/59/EC................................................................................................................................... 214

Belgique : Rgion Wallonne et de Bruxelles-Capitale ...................................................... 215 Directive 76/769/CEE Rgion Wallonne et de Bruxelles-Capitale .............................................................. 215 Directive 78/176/CEE Rgion Wallonne ..................................................................................................... 218 Directive 78/176/CEE Rgion Bruxelles-Capitale ....................................................................................... 222 Directive 80/68/CEE Rgion Wallonne ....................................................................................................... 224 Directive 80/68/CEE Rgion de Bruxelles-Capitale .................................................................................... 226 Directive 84/491/CEE Rgion Wallonne ..................................................................................................... 228 Directive 84/491/CEE Rgion de Bruxelles-Capitale .................................................................................. 231 Directive 86/278/CEE Rgion Wallonne ..................................................................................................... 234 Directive 86/278/CEE Rgion de Bruxelles-Capitale .................................................................................. 238 Directive 86/280/CEE Rgion Wallonne ..................................................................................................... 241 Directive 86/280/CEE Rgion de Bruxelles-Capitale .................................................................................. 244

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Directive 90/219/CEE Rgion Wallonne ..................................................................................................... 247 Directive 90/219/CEE Rgion de Bruxelles-Capitale .................................................................................. 249 Directive 91/271/CEE Rgion Wallonne ..................................................................................................... 251 Directive 91/271/CEE Rgion de Bruxelles-Capitale .................................................................................. 254 Rglement (CEE) 259/93 Rgion Wallonne ................................................................................................ 256 Rglement (CEE) 259/93 Rgion de Bruxelles-Capitale ............................................................................. 260 Directive 94/63/CE Rgion Wallonne.......................................................................................................... 264 Directive 94/63/CE Rgion de Bruxelles-Capitale....................................................................................... 267 Directive 96/59/CE Rgion Wallonne.......................................................................................................... 270 Directive 96/59/CE Rgion de Bruxelles-Capitale....................................................................................... 275 Rglement (CE) 338/97 Rgion Wallonne et de Bruxelles-Capitale............................................................ 279 Directive 1999/31/CE Rgion Wallonne...................................................................................................... 281 Directive 1999/31/CE Rgion de Bruxelles-Capitale................................................................................... 283 Directive 2000/53/CE Rgion Wallonne...................................................................................................... 288 Directive 2000/53/CE Rgion de Bruxelles-Capitale................................................................................... 292 Directive 2000/59/CE Rgion Wallonne...................................................................................................... 295 Directive 2000/59/CE Rgion de Bruxelles-Capitale................................................................................... 298

Belgique : Rgion Flamande................................................................................................ 300 Introduction .................................................................................................................................................. 300 Directive 76/769/CEE Rgion Flandres ....................................................................................................... 302 Directive 78/176/CEE Rgion Flandres ....................................................................................................... 304 Directive 80/68/CEE Rgion Flandres ......................................................................................................... 306 Directive 84/491/CEE Rgion Flandres ....................................................................................................... 308 Directive 86/278/CEE Rgion Flandres ....................................................................................................... 310 Directive 86/280/CEE Rgion Flandres ....................................................................................................... 313 Directive 90/219/CEE Rgion Flandres ....................................................................................................... 315 Directive 91/271/CEE Rgion Flandres ....................................................................................................... 317 Rglement (CEE) 259/93 Rgion Flandres .................................................................................................. 319 Directive 94/63/CE Rgion Flandres............................................................................................................ 321 Directive 96/59/CE Rgion Flandres............................................................................................................ 324 Rglement (CE) 338/97 Rgion Flandres..................................................................................................... 327 Directive 1999/31/CE Rgion Flandres........................................................................................................ 329 Directive 2000/53/CE Rgion Flandres........................................................................................................ 332 Directive 2000/59/CE Rgion Flandres........................................................................................................ 335

Denmark................................................................................................................................ 337 Directive 76/769/EEC .................................................................................................................................. 337 Directive 78/176/EEC .................................................................................................................................. 339 Directive 80/68/EEC .................................................................................................................................... 341 Directive 84/491/EEC .................................................................................................................................. 343 Directive 86/278/EEC .................................................................................................................................. 345 Directive 86/280/EEC .................................................................................................................................. 348 Directive 90/219/EEC .................................................................................................................................. 350 Directive 91/271/EEC .................................................................................................................................. 352 Regulation (EEC) 259/93 ............................................................................................................................. 354 Directive 94/63/EC....................................................................................................................................... 356 Directive 96/59/EC....................................................................................................................................... 358 Regulation (EC) 338/97................................................................................................................................ 361 Directive 1999/31/EC................................................................................................................................... 366 Directive 2000/53/EC................................................................................................................................... 370 Directive 2000/59/EC................................................................................................................................... 372

Finland................................................................................................................................... 375 Directive 76/769/EEC .................................................................................................................................. 375 Directive 78/176/EEC .................................................................................................................................. 379 Directive 80/68/EEC .................................................................................................................................... 383 Directive 84/491/EEC .................................................................................................................................. 387 Directive 86/278/EEC .................................................................................................................................. 391 Directive 86/280/EEC .................................................................................................................................. 395 Directive 90/219/EEC .................................................................................................................................. 399 Directive 91/271/EEC .................................................................................................................................. 404 Regulation (EEC) 259/93 ............................................................................................................................. 407

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Directive 94/63/EC....................................................................................................................................... 411 Directive 96/59/EC....................................................................................................................................... 415 Regulation (EC) 338/97................................................................................................................................ 419 Directive 1999/31/EC................................................................................................................................... 423 Directive 2000/53/EC................................................................................................................................... 428 Directive 2000/59/EC................................................................................................................................... 429

France.................................................................................................................................... 433 Directive 76/769/CEE .................................................................................................................................. 433 Directive 78/176/CEE .................................................................................................................................. 436 Directive 80/68/CEE .................................................................................................................................... 442 Directive 84/491/CEE .................................................................................................................................. 446 Directive 86/278/CEE .................................................................................................................................. 451 Directive 86/280/CEE .................................................................................................................................. 461 Directive 90/219/CEE .................................................................................................................................. 466 Directive 91/271/CEE .................................................................................................................................. 469 Rglement (CEE) 259/93 ............................................................................................................................. 472 Directive 94/63/CE....................................................................................................................................... 474 Directive 96/59/CE....................................................................................................................................... 479 Rglement (CE) 338/97................................................................................................................................ 487 Directive 1999/31/CE................................................................................................................................... 490 Directive 2000/53/CE................................................................................................................................... 492 Directive 2000/59/CE................................................................................................................................... 493

Germany................................................................................................................................ 495 Directive 76/769/EEC .................................................................................................................................. 495 Directive 78/176/EEC .................................................................................................................................. 496 Directive 80/68/EEC .................................................................................................................................... 498 Directive 84/491/EEC .................................................................................................................................. 501 Directive 86/278/EEC .................................................................................................................................. 504 Directive 86/280/EEC .................................................................................................................................. 506 Directive 90/219/EEC .................................................................................................................................. 508 Directive 91/271/EEC .................................................................................................................................. 510 Regulation (EEC) 259/93 ............................................................................................................................. 511 Directive 94/63/EC....................................................................................................................................... 513 Directive 96/59/EC....................................................................................................................................... 514 Regulation (EC) 338/97................................................................................................................................ 517 Directive 1999/31/EC................................................................................................................................... 519 Directive 2000/53/EC................................................................................................................................... 521 Directive 2000/59/EC................................................................................................................................... 523 Abbreviations used....................................................................................................................................... 524

Grce...................................................................................................................................... 525 Directive 76/769/CEE .................................................................................................................................. 525 Directive 78/176/CEE .................................................................................................................................. 526 Directive 80/68/CEE .................................................................................................................................... 527 Directive 84/491/CEE .................................................................................................................................. 529 Directive 86/278/CEE .................................................................................................................................. 531 Directive 86/280/CEE .................................................................................................................................. 534 Directive 90/219/CEE .................................................................................................................................. 537 Directive 91/271/CEE .................................................................................................................................. 540 Rglement (CEE) 259/93 ............................................................................................................................. 542 Directive 94/63/CE....................................................................................................................................... 543 Directive 96/59/CE....................................................................................................................................... 545 Rglement (CE) 338/97................................................................................................................................ 548 Directive 1999/31/CE................................................................................................................................... 550 Directive 2000/53/CE................................................................................................................................... 554 Directive 2000/59/CE................................................................................................................................... 555

Ireland ................................................................................................................................... 557 Directive 76/769/EEC .................................................................................................................................. 557 Directive 78/176/EEC .................................................................................................................................. 559 Directive 80/68/EEC .................................................................................................................................... 560 Directive 84/491/EEC .................................................................................................................................. 563

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Directive 86/278/EEC .................................................................................................................................. 565 Directive 86/280/EEC .................................................................................................................................. 569 Directive 90/219/EEC .................................................................................................................................. 572 Directive 91/271/EEC .................................................................................................................................. 574 Regulation (EEC) 259/93 ............................................................................................................................. 578 Directive 94/63/EC....................................................................................................................................... 580 Directive 96/59/EC....................................................................................................................................... 582 Regulation (EC) 338/97................................................................................................................................ 587 Directive 1999/31/EC................................................................................................................................... 592 Directive 2000/53/EC................................................................................................................................... 595 Directive 2000/59/EC................................................................................................................................... 597

Italy........................................................................................................................................ 600 Directive 76/769/ EEC ................................................................................................................................. 600 Directive 78/176/EEC .................................................................................................................................. 602 Directive 80/68/ EEC ................................................................................................................................... 605 Directive 84/491/EEC .................................................................................................................................. 607 Directive 86/278/EEC .................................................................................................................................. 609 Directive 86/280/EEC .................................................................................................................................. 612 Directive 90/219/EEC .................................................................................................................................. 614 Directive 91/271/EEC .................................................................................................................................. 619 Regulation (EEC) 259/93 ............................................................................................................................. 622 Directive 94/63/EC....................................................................................................................................... 624 Directive 96/59/EC....................................................................................................................................... 626 Regulation (EC) 338/97................................................................................................................................ 630 Directive 99/31/EC....................................................................................................................................... 633 Directive 2000/53/EC................................................................................................................................... 637 Directive 2000/59/EC................................................................................................................................... 638

Luxembourg.......................................................................................................................... 639 Directive 76/769/CEE .................................................................................................................................. 639 Directive 78/176/CEE .................................................................................................................................. 642 Directive 80/68/CEE .................................................................................................................................... 647 Directive 84/491/CEE .................................................................................................................................. 649 Directive 86/278/CEE .................................................................................................................................. 651 Directive 86/280/CEE .................................................................................................................................. 656 Directive 90/219/CEE .................................................................................................................................. 658 Directive 91/271/CEE .................................................................................................................................. 661 Rglement (CEE) 259/93 ............................................................................................................................. 663 Directive 94/63/CE....................................................................................................................................... 665 Directive 96/59/CE....................................................................................................................................... 667 Rglement (CE) 338/97................................................................................................................................ 670 Directive 1999/31/CE................................................................................................................................... 673 Directive 2000/53/CE................................................................................................................................... 675 Directive 2000/59/CE................................................................................................................................... 676

The Netherlands ................................................................................................................... 678 Directive 76/796/EEC .................................................................................................................................. 678 Directive 78/176/EEC .................................................................................................................................. 686 Directive 80/68/EEC .................................................................................................................................... 690 Directive 84/491/EEC .................................................................................................................................. 693 Directive 86/278/EEC .................................................................................................................................. 695 Directive 86/280/EEC .................................................................................................................................. 697 Directive 90/219/EEC .................................................................................................................................. 703 Directive 91/271/EEC .................................................................................................................................. 705 Regulation (EEC) 259/93 ............................................................................................................................. 708 Directive 94/63/EC....................................................................................................................................... 709 Directive 96/59/EC....................................................................................................................................... 712 Regulation (EC) 338/97................................................................................................................................ 714 Directive 1999/31/EC................................................................................................................................... 717 Directive 2000/53/EC................................................................................................................................... 721 Directive 2000/59/EC................................................................................................................................... 723

Portugal ................................................................................................................................. 724

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Directive 76/769/CEE .................................................................................................................................. 724 Directive 78/172/CEE .................................................................................................................................. 726 Directive 80/68/CEE .................................................................................................................................... 728 Directive 84/491/CEE .................................................................................................................................. 730 Directive 86/278/CEE .................................................................................................................................. 733 Directive 86/280/CEE .................................................................................................................................. 736 Directive 90/219/CEE .................................................................................................................................. 738 Directive 91/271/CEE .................................................................................................................................. 742 Rglement (CEE) 259/93 ............................................................................................................................. 744 Directive 94/63/CE....................................................................................................................................... 746 Directive 96/59/CE....................................................................................................................................... 748 Rglement (CE) 338/97................................................................................................................................ 751 Directive 1999/31/CE................................................................................................................................... 753 Directive 2000/53/CE................................................................................................................................... 756 Directive 2000/59/CE................................................................................................................................... 758

Spain ...................................................................................................................................... 759 Directive 76/769/EEC .................................................................................................................................. 759 Directive 78/176/EEC .................................................................................................................................. 762 Directive 80/68/EEC .................................................................................................................................... 765 Directive 84/491/EEC .................................................................................................................................. 769 Directive 86/278/EEC .................................................................................................................................. 772 Directive 86/280/EEC .................................................................................................................................. 775 Directive 90/219/EEC .................................................................................................................................. 778 Directive 91/271/EEC .................................................................................................................................. 781 Regulation (EEC) 259/93 ............................................................................................................................. 784 Directive 94/63/EC....................................................................................................................................... 787 Directive 96/59/EC....................................................................................................................................... 790 Regulation (EC) 338/97................................................................................................................................ 793 Directive 1999/31/EC................................................................................................................................... 796 Directive 2000/53/EC................................................................................................................................... 799 Directive 2000/59/EC................................................................................................................................... 802

Sweden................................................................................................................................... 805 Directive 76/769/EEC .................................................................................................................................. 805 Directive 78/176/EEC .................................................................................................................................. 808 Directive 80/68/EEC .................................................................................................................................... 810 Directive 84/491/EEC .................................................................................................................................. 813 Directive 86/278/EEC .................................................................................................................................. 816 Directive 86/280/EEC .................................................................................................................................. 820 Directive 90/219/EEC .................................................................................................................................. 823 Directive 91/271/EEC .................................................................................................................................. 826 Regulation (EEC) 259/93 ............................................................................................................................. 828 Directive 94/63/EC....................................................................................................................................... 831 Directive 96/59/EC....................................................................................................................................... 834 Regulation (EC) 338/97................................................................................................................................ 838 Directive 1999/31/EC................................................................................................................................... 844 Directive 2000/53/EC................................................................................................................................... 849 Directive 2000/59/EC................................................................................................................................... 852 Footnotes and summary................................................................................................................................ 855

UK.......................................................................................................................................... 856 Introduction .................................................................................................................................................. 856 Directive 76/769/EEC .................................................................................................................................. 867 Directive 78/176/EEC .................................................................................................................................. 870 Directive 80/68/EEC .................................................................................................................................... 877 Directive 84/491/EEC .................................................................................................................................. 884 Directive 86/278/EEC .................................................................................................................................. 896 Directive 86/280/EEC .................................................................................................................................. 903 Directive 90/219/EEC .................................................................................................................................. 911 Directive 91/271/EEC .................................................................................................................................. 927 Regulation (EEC) 259/93 ............................................................................................................................. 936 Directive 94/63/EC....................................................................................................................................... 944

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Directive 96/59/EC....................................................................................................................................... 954 Regulation (EC) 338/97................................................................................................................................ 966 Directive 1999/31/EC................................................................................................................................... 970 Directive 2000/53/EC................................................................................................................................... 984 Directive 2000/59/EC................................................................................................................................... 984

References ........................................................................................................ 985 Abbreviations................................................................................................... 988

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Executive Summary

It must first be emphasised that the following study presents theoretical information about the practically extremely complex issue of sanctioning environmental crimes. Each individual crime that is sanctioned will actually have many unique circumstances which have to be considered before the courts can determine the appropriate sanction. Criminal sanctions for the specific environmental crimes committed in relation to the Directives and Regulations of this study exist in almost all Member States, with the notable exception of Spain where the only sanctions for the specific crimes are administrative. However, in Spain criminal sanctions do still exist, they are just not detailed with specific reference to crimes committed in relation to these Directives and Regulations. Germany, Denmark and Austria also have comprehensive legislation detailing administrative sanctions for environmental offences, alongside criminal sanctions. All Member States environmental legislation refers to framework legislation on various themes (such as environmental protection, air, water and waste) which provide the legal basis for governments to legislate against specific environmental offences. This framework legislation also contain specific information on sanctions for general environmental crimes. In theory, environmental crimes in all countries are sanctioned with similar penalties to traditional crimes, including with fines, prison and community sentences. However, in practice, fines are by far the most commonly used sanction for environmental offences and it is extremely rare for prison sentences to be issued. Many Member States also offer further complementary sanctions such as confiscation of property used to carry out a crime or confiscation of monetary benefits gained from the crime, orders for remediation work to be carried out, or disqualification from being a company director or holding specific authorisations. These sanctions may be detailed in legislation relating to specific crimes or they may be detailed more generally in background legislation. The level of sanctions for specific crimes differs greatly between Member States as well as between Directives and Regulations and between specific crimes detailed in individual articles of Directives and Regulations. However, a general trend can be noted in all Member States towards more severe sentencing of environmental crimes, a trend which is being encouraged by the competent authorities. It can also be noted that the number of prosecutions for environmental crimes are increasing in all Member States. This can be explained partly by an increase in the amount of environmental legislation and partly by an increasing willingness and ability for competent authorities to bring prosecutions which reflects an increasing public concern over environmental damage.

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Criminal Penalties in EU Member States environmental law

Final Report, 15-09-03.

SECTION I: Background information

on national legal systems

Reference Study Contract: ENV.B.4-3040/2002/343499/MRA/A

By

In collaboration with

Dr. Gerhard GRNER, Rechtsanwalt VGNENOPOULOS & Partners Law Firm

CMS Derks Attorneys at Law HANNES SNELLMAN Attorneys at Law Lillihk Jacobsson AB, Advokatfirman

PINA Advogados Associados JAUSAS, NADAL & VIDAL DE LLOBATERA, Advocats

Dr. Andreas SCHEIL, Universitt Innsbruck Dr. Peter PAGH, Copenhagen University

MONARD & DHULST, Avocats

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The Law Firm HUGLO LEPAGE & Partners Counsel would like to express its gratitude to those who collaborated to produce this study. The analysis of national legislation for Member States was performed by the following people: AUSTRIA Dr. Andreas SCHEIL

Universitt Innsbruck BELGIUM Flemish Region: Xavier dHULST, MONARD & DHULST

Brussels and Walloon Regions: Franois BRAULT HUGLO LEPAGE & Partners

DENMARK Dr. Peter PAGH Copenhagen University

FINLAND Michael NYLUND HANNES SNELLMAN

FRANCE Bertrand BURG and Matthieu WEMARE HUGLO LEPAGE & Partners

GERMANY Dr. Gerhard GRNER Rechtsanwalt

GREECE Vivianne KOUTSOMALLIS VGNENOPOULOS & Partners

ITALY Stefania TRIPODI JAUSAS, NADAL & VIDAL DE LLOBATERA

IRELAND Matthieu WEMARE HUGLO LEPAGE & Partners

LUXEMBOURG Matthieu WEMARE HUGLO LEPAGE & Partners

NETHERLANDS Marjan STAAL CMS Derks

PORTUGAL David PINA PINA Advogados Associados

SPAIN Stefania TRIPODI JAUSAS, NADAL & VIDAL DE LLOBATERA

SWEDEN Madeleine Lillihk Jacobsson Lillihk Jacobsson AB

UK Simon MILWARD HUGLO LEPAGE & Partners

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SECTION I: Background Information on National Legal Systems

Austria Introduction The Austrian legal system divides competences for environmental protection between the Bundesstaat (federation) and the nine autonomous Lnder (states). The competence for legislation and execution in a certain field includes the competence to legislate and execute criminal and/or administrative penal law as well (Adhsionskompetenz). The federation and the nine autonomous states produced within their environmental administrative statutes a good deal of administrative penal law (Verwaltungsstrafrecht). The general rules of administrative penal law (and the rules of administrative penal procedure) are laid down in Verwaltungsstrafgesetz (VStG, Administrative Penal Code), which is applicable in federal and state administrative penal cases as well. The federation provides within its competence for legislation in matters of criminal law for criminal offences to protect the environment in Strafgesetzbuch (StGB, Criminal Code) and in other federal statutes, - the states do not provide for criminal law, although they could -. The rules of criminal procedure are laid down in Strafprozessordnung (StPO; Criminal Procedure Code). We have material federal and state administrative penal law (administrative statutes); and we have federal criminal law (Criminal Code and other federal statutes). The main differences between administrative penal law and criminal law are: Negligence is sufficient in administrative penal law, if intent is not demanded in particular; according to the Penal Code it is just the other way, intent is required, if negligence is not declared sufficient in particular.1 In addition, in administrative penal law the offender has to substantiate to the authority, that he did not act intentionally or negligently, if not the endangering or injuring of somebody or something, but the simple non-compliance with the administrative law is declared punishable. Otherwise, he is regarded guilty.2 In criminal law full proof is required, an acquittal has to take place in dubio pro reo if there is any doubt concerning the facts.

a. The persons liable Austria still sticks to the principle societas delinquere non potest, only natural persons are liable. Discussions about corporate liability are still going on, but only in criminal law. Administrative penal law

1 ) 7 Abs 1 StGB. 2 ) 5 Abs 1 VStG.

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The representatives of legal entities are liable. To secure penal liability they can; or they must engage another natural person to observe the administrative law (verantwortlicher Beauftragter, responsible representative), if demanded by law as by 71 Abs 1 and 2 ChemG 1996 or if demanded by the authority.3 The entity is other than in criminal law - liable for the pecuniary fine imposed on the (responsible) representative4. Some statutes provide for liability for culpa in eligendo or custodiendo besides.5 So under certain law the holder of a permission and the managing director is punishable beside the actor, if they tolerated the offence deliberately or if they neglected duties by choosing or supervising supervisory staff as in 137 Abs 5 WRG. Criminal law The representatives of legal entities are liable, if they commit the crime; and they are liable for culpa in eligendo or culpa in custodiendo of managers or other employees. Additional deprivation of profits from the offender or anyone else that can be a legal entity as well - is possible (Gewinnabschpfung)6.

b. The different types of offence Administrative penal law In administrative penal law the offences (Verwaltungsbertretungen, administrative offences) are not classified under different categories. Criminal law The Criminal Code classifies offences according to threat of punishment and to intention or negligence as Verbrechen (felonies; only intentional offences with imprisonment for life or longer than 3 years)7 and Vergehen (misdemeanors; the others)8. All crimes in our field are misdemeanors, none of them provides for imprisonment longer than 3 years.

c. The possible sanctions Administrative penal law The penalties in administrative penal law are mainly pecuniary fines. All of the federal or state statutes provide for them. Minimum fine for an administrative offence generally is 7 9, if not stated otherwise: 71 Abs 1 ChemG 1996 for example provides for a minimum fine of 360 and 79 Abs 1 and Abs 2 AWG 2002 provide for a minimum fine of 3.630 respectively 1.800 , if the offence is committed through a commercial or industrial activity. 3 ) 9 Abs 1 6 VStG. 4 ) 9 Abs 7 VStG. 5 ) 137 Abs 5 WRG, 80 Abs 2 AWG 2002. 6 ) 20 StGB. 7 ) 17 Abs 1 StGB. 8 ) 17 Abs 2 StGB. 9 ) 13 VStG; Organstrafverfgung, tickets may be less.

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The fines have fixed maxima in Euro. Higher maxima are provided for especially aggravation circumstances as by 11 Abs 1 Vorarlberger Klrschlammgesetz or for (first) re-offending: Usually the maximum is doubled then as by 71 Abs 2 ChemG 1996 - regular 7 up to 5.090 , (first) re-offending 7 up to 10.170 -. In administrative penal law we have pecuniary fines in the range from 7 up to 36.400 as in 79 Abs 1 AWG 2002 and up to 29.070 for (first) re-offending as in 71 Abs 1 ChemG 1996 (regular fine up to 14.530 ). Imprisonment (minimum 12 hours, maximum 6 weeks10) is not provided for in our field. As an alternative penalty for non-payment of a fine imprisonment is possible usually 2 weeks, in some cases extended (up to 6 weeks as in 137 Abs 3 WRG) or from minimum 4 days up to 6 weeks by 15 Abs 1 Burgenlndisches Bodenschutzgesetz, if not excluded expressly by a single administrative law.11 Contrary to criminal law, pecuniary sentences or prison sentences cannot be (partially) suspended, and contrary to criminal law, a fine (or imprisonment) is imposed for each single act or omission, so the sentences have to be accumulated (Kumulationsprinzip) 12: That could theoretically - lead to very high fines. Deprivation of profits from the offender or anyone else, who got the profit and knew about the offence, is possible, if provided for in particular as by 80 Abs 3 AWG 2002 in criminal law deprivation of profits is a general rule ( 20 StGB) -. Other than in criminal law, where forfeiture of objects, equipment and of products of crime (instrumenta et producta sceleris) is a general rule, forfeiture of an object (including packaging) must be provided for in particular as for example in 73 ChemG 1996 if the owner is not able to prove that there will be no further risk from this object in the future -. Only according to 10 ArthG compensation is possible and obligatory if forfeiture of an object is impossible. Temporary injunctions to avoid further risks are possible if provided for in particular as for example by 62 AWG 2002. Criminal law There are no special criminal penalties in environmental law, just the ordinary penalties. Imprisonment is provided for by all crimes against environment minimum imprisonment is one day13, maximum 3 years14 or 2 years15 or 1 year16 or 6 month17-. A prison sentence not exceeding 6 months must be transformed into a fine of not more than 360 daily rates, if the 10 ) 12 Abs 1 VStG. 11 ) 16 VStG; excluded by 101 Abs 2 lit g K-AWO. 12 ) 22 Abs 1 VStG. 13 ) 18 Abs 2 StGB. 14 ) 180 StGB. 15 ) 181b, 181d and 182 StGB. 16 ) 181 StGB. 17 ) 181a, 181c and 182 StGB.

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threat of imprisonment does not exceed five years all crimes against environment fit into that framework and if imprisonment is not necessary to prevent re-offending or to prevent others to commit such a crime18. Pecuniary fines in criminal law are calculated by a day-rate system (Tagessatzsystem). Minimum fine is 2 daily rates19 - the equivalent of one day of alternative penalty of imprisonment for non-payment20, which can last to a maximum of 180 days in every case here -, maximum fine is 360 daily rates, which is provided for by all crimes against environment. One single daily rate goes from 2 up to 327 21, so fines lie in the range of 4 up to 117.720 . The single daily rate is calculated that way: The offenders net income a month is divided by 30 and such an amount is taken away, that the offender is left the subsistence level of approximately 20 a day. In case of the second re-offence, the maximum fine as well as the maximum prison sentence can be exceeded by fifty per cent22, so in the worst case for an offender a fine up to 176.580 and a prison sentence up to four and a half years can be imposed in a criminal environmental case. The amount of penalty is determined by the guilt of the offender and by the extent of negative effects, he caused. All fines; and prison terms up to two years can be totally23 or partially24 suspended and the offender can be put on probation. In criminal law forfeiture of objects, equipment and of products of crime (instrumenta et producta sceleris) is a general rule ( 26 StGB), 8 ArtHG orders forfeiture of species and equipment used in particular. Only according to 10 ArtHG compensation is obligatory if forfeiture is impossible. Interdiction or restriction of commercial activity from minimum 1 to maximum 5 years in case of punishment and publication of sentence in mass media at cost of offender in case of second re-offending against LMG 1975 ( 66, 67 LMG 1975) is obligatory. The owner of an enterprise that can be a legal entity as well - is liable for the pecuniary fine, for the costs of publication of the sentence in mass media and for deprivation of profits imposed on the (responsible) representative or a blue-collar worker, if the crime against LMG 1975 is committed in the enterprise ( 69 LMG 1975). The crimes legal texts in footnotes - are: Intentional impairment of the environment ( 180 StGB)25 - imprisonment up to 3 years or a fine up to 360 daily rates - and Negligent impairment of the environment ( 181 StGB)26 - imprisonment up to 1 year or a fine up to 360 daily rates -;

18 ) 37 Abs 1 StGB. 19 ) 19 Abs 1 StGB. 20 ) 19 Abs 3 StGB. 21 ) 19 Abs 2 StGB. 22 ) 39 Abs 1 StGB. 23 ) 43 StGB. 24 ) 43a, 44 StGB. 25 ) 180. (1) Anyone who, in breach of a legal provision or an administrative decision, pollutes or otherwise impairs a stretch of water or pollutes the soil or the air in a manner likely to cause 1. a risk to the life or health ( 89) of a large number of people or 2. a risk to animal or plant population of a large area shall be punished with imprisonment not exceeding three years or with a fine not exceeding 360 daily rates.

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Intentionally endangering the environment by treatment of and clearing away waste ( 181b StGB)27 - imprisonment up to 2 years or a fine up to 360 daily rates -; Negligently endangering the environment by treatment of waste ( 181c)28 - imprisonment up to 6 months or pecuniary fine up to 360 daily rates -; Intentionally endangering of the environment by the operation of installations ( 181d StGB)29 - imprisonment up to 2 years or a fine up to 360 daily rates -; Other (intentionally)30 endangering of flora and fauna ( 182 StGB)31 - imprisonment up to 2 years or fine up to 360 daily rates - and Negligently endangering flora and fauna ( 183 StGB)32 - imprisonment up to 6 months or a fine up to 360 daily rates -. Intentional and negligent impairment of the environment ( 180, 181 StGB) require inter alia that the pollution or impairment causes an abstract risk caused by a typical dangerous act to life or health of a large number of human beings (10 or more persons) (potenzielles

(2) The same punishment shall be imposed on anyone who, in breach of a legal provision or an administrative decision, seriously and persistently pollutes or otherwise impairs water or soil on a large scale and thereby causes either 1. pollution or impairment, lasting for ever or over a long period of time, insofar as the removal of the pollution or impairment is impossible or economically unreasonable or 2. an expenditure necessary for the removal of the pollution or impairment, that exceeds 40 000 Euro. 26 ) 181. Anyone who, in breach of a legal provision or an administrative decision, negligently commits acts defined in 180 shall be punished with imprisonment not exceeding one year or with a fine not exceeding 360 daily rates. 27 ) 181b. (1) Anyone who, in breach of a legal provision or an administrative decision, treats, stores or deposits, discharges or otherwise disposes of waste and thereby causes the risk of pollution or impairment pursuant to 180 Abs. 1 or the risk of serious persistent pollution or other impairment of a stretch of water, soil or air on a large scale, shall be punished with imprisonment not exceeding two years or a fine not exceeding 360 daily rates. (2) The same punishment shall be imposed on anyone who, in breach of a legal provision or an administrative decision, imports, exports or brings waste through the area of the domestic country, where the prescribed treatment for that waste is necessary because of its nature, composition or quantity in order to avoid one of the risks in the meaning of Abs. 1. 28 ) 181c. Anyone who, in breach of a legal provision or an administrative decision, negligently commits acts defined in 181b Abs. 1, shall be punished with imprisonment not exceeding six months or a fine not exceeding 360 daily rates. 29 ) 181d. Anyone who, in breach of a legal provision or an administrative decision, operates an installation which releases harmful substances in a manner which is likely to cause the risk of pollution or impairment in the meaning of 180 Abs. 1 or the risk of serious and persistent pollution or other impairment of a stretch of water, soil or air on a large scale, shall be punished with imprisonment not exceeding two years or with a fine not exceeding 360 daily rates. 30 ) According 7 Abs 1 StGB this crime can be committed only intentionally. 31 ) 182. (1) Anyone who acts in a manner likely to cause 1. the risk of the spread of an epidemic among animals, or 2. the risk of the spread of a carrier of disease or a parasite dangerous to an animal or plant population, shall be punished with imprisonment not exceeding two years or with a fine not exceeding 360 daily rates. (2) The same punishment shall be imposed on anyone who, in breach of a legal provision or an administrative decision, otherwise as defined in 180 causes a risk to the animal or plant population of a large area. 32 ) 183. Anyone who negligently commits an act defined in 182, shall be punished with imprisonment not exceeding 6 months or a fine not exceeding 360 daily rates.

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Gefhrdungsdelikt). If the life or health of a single person is endangered concretely by pollution under, what is called special dangerous circumstances risk for life or health is very high -, then the act is punishable as Gefhrdung der krperlichen Sicherheit ( 89 StGB, endangering of physical security) imprisonment up to 3 months or fine up to 180 daily rates (konkretes Gefhrdungsdelikt). If a person is hurt or killed negligently than the act is punishable as Fahrlssige Krperverletzung ( 88 Abs 1 4 StGB, negligent physical injury) imprisonment up to 2 years or fine up to 360 daily rates or as Fahrlssige Ttung (unter besonders gefhrlichen Verhltnissen) ( 80, 81 StGB; manslaughter through negligence (under special dangerous circumstances) imprisonment up to 3 years -. Criminal Code

prison sentence

2nd re-offending prison sentence

fine 2 360 daily rates

2nd re-offending fine

im- prisonment for not paying a fine 1d = 2 daily rates

(partial/total) suspension of fine or prison sentence possible

Confis-cation of profitspossible

180 StGB

1d 3y 1d 4.5y 4 -117.720 4 -176.580 1d 6m Yes yes

181 StGB

1d 1y 1d 1.5y Same Same Same Yes yes

181b StGB

1d 2y 1d 3y Same Same Same Yes yes

181c StGB

1d 6m 1d 9m Same Same Same Yes yes

181d StGB

1d 2y 1d 3y Same Same Same Yes yes

182 StGB

1d 2y 1d 3y Same Same Same Yes yes

183 StGB

1d 6m 1d 9m Same Same Same Yes yes

89 StGB

1d 3m 1d 4,5m

Same Same Same Yes -

88 Abs 1 4 StGB

1d 2y 1d 3y Same Same Same Yes -

80, 81 StGB

1d 3y 1d 4,5y Same Same Same Yes -

Crimes against the LMG 1975 (federal law on the commerce of foods, additives, cosmetics and objects of utility) consist of four different misdemeanors. Intentional marketing and attempt to marketing of objects in use that are harmful to health, intentional marketing and attempt to marketing of harmful objects, if they cause danger for life and health of several people, negligent marketing of harmful objects and negligent marketing of harmful objects, if they cause danger for life of several (10 or more) people.

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According to 8 ArtHG (federal law on the control of trade in species of wild flora and fauna) the intentional transfer, buying, selling, exhibiting, stocking or other use of species contrary to Regulation (EC) No 338/97 is punishable as a misdemeanor. LMG 1975

Prison sentence

2nd re-offending prison sentence

Fine 2 360 daily rates

2nd re-offendingfine

imprisonment for not paying a fine 1d = 2daily rates

(partial/total) suspension of fine or prison sentence possible

Confiscation of profits possible

56 Abs 1 Z 2

1d 1y 1d 1.5y 4 -117.720

4 -176.580

1d 6m Yes yes

56 Abs 2

1d 3y 1d 4.5y Same Same Same Yes yes

57 Abs 1

1d 6m 1d 9m Same Same Same Yes yes

57 Abs 2

1d 2y 1d 3y Same Same Same Yes yes

ArtHG 8 1d 2y 1d 3y Same Same Same Yes yes

d. The competent courts Administrative penal law Punishable infringements of administrative law are not prosecuted by public prosecutors, but by Bezirksverwaltungsbehrden (district administrative authorities)33 (Inquistionsprinzip; principle of inquisition), the same authorities that execute the administrative law. That can be the Bezirkshauptmannschaft (offices of districts headed by the chief officer), the Brgermeister (mayor) in (bigger) cities or the Magistrat der Stadt Wien (magistrate of the City of Vienna). In some cases the Landeshauptmann (head of the state government), the Landesregierung (state government) or a Bundesminister (minister of the federal government) can be the competent authority. For investigation, all these authorities can use the help of the Polizei (police in cities) or the Gendarmerie (armed men in the countryside). Unlike courts these authorities are dependent, they have to obey directives given by the ministers of the state government (state administrative law) or the ministers of the federal government (federal administrative law), even in penal cases. Appeals against their decisions are possible to courtlike Unabhngige Verwaltungssenate34 (Independent Administrative Tribunals) and finally to the Verwaltungsgerichtshof (Administrative High C