1. 1
“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 GRÜNER, Rechtsanwalt
VGNENOPOULOS & Partners Law Firm
CMS Derks Attorneys at Law
HANNES SNELLMAN Attorneys at Law
Lillihöök Jacobsson AB, Advokatfirman
PINA Advogados Associados
JAUSAS, NADAL & VIDAL DE LLOBATERA, Advocats
Dr. Andreas SCHEIL, Universität Innsbruck
Dr. Peter PAGH, Copenhagen University
MONARD & D’HULST, Avocats
2. - 2 -
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
Universität Innsbruck
BELGIUM Flemish Region: Xavier d’HULST, MONARD & D’HULST
Brussels and Walloon Regions: François BRAULT
HUGLO LEPAGE & Partners
DENMARK Dr. Peter PAGH
Copenhagen University
FINLAND Michael NYLUND
HANNES SNELLMAN
FRANCE Bertrand BURG and Matthieu WEMAËRE
HUGLO LEPAGE & Partners
GERMANY Dr. Gerhard GRÜNER
Rechtsanwalt
GREECE Vivianne KOUTSOMALLIS
VGNENOPOULOS & Partners
ITALY Stefania TRIPODI
JAUSAS, NADAL & VIDAL DE LLOBATERA
IRELAND Matthieu WEMAËRE
HUGLO LEPAGE & Partners
LUXEMBOURG Matthieu WEMAËRE
HUGLO LEPAGE & Partners
NETHERLANDS Marjan STAAL
CMS Derks
PORTUGAL David PINA
PINA Advogados Associados
SPAIN Stefania TRIPODI
JAUSAS, NADAL & VIDAL DE LLOBATERA
SWEDEN Madeleine Lillihöök Jacobsson
Lillihöök Jacobsson AB
UK Simon MILWARD
HUGLO LEPAGE & Partners
3. - 3 -
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 Générale..................................................................................................................................... 29
Personnes responsables........................................................................................................................... 29
Différentes catégories d’infraction et peines applicables........................................................................ 29
Juridictions répressives........................................................................................................................... 30
Quelle est la durée moyenne de la procédure pénale ?................................................................................... 30
Qui supporte les frais de la procédure ? ......................................................................................................... 32
Qui engage la procédure ?.............................................................................................................................. 32
Quel est le juge compétent ?........................................................................................................................... 35
Quel est le résultat de la procédure ?.............................................................................................................. 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 durée moyenne de la procédure pénale ?................................................................................... 54
Qui supporte les frais de la procédure ? ......................................................................................................... 54
Qui engage la procédure ?.............................................................................................................................. 54
Quel est le juge compétent ?........................................................................................................................... 55
Quel est le résultat de la procédure ?.............................................................................................................. 55
La personne pénalement responsable ............................................................................................................. 55
La responsabilité des personnes morales................................................................................................ 55
La responsabilité des personnes physiques ............................................................................................. 58
4. - 4 -
L’élément 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
Grèce........................................................................................................................................ 67
Introduction.................................................................................................................................................... 67
Quelle est la durée moyenne de la procédure pénale?.................................................................................... 68
Qui supporte les frais de la procédure? .......................................................................................................... 68
Qui engage la procédure?............................................................................................................................... 69
Quel est le juge compétent ?........................................................................................................................... 69
Quel est le résultat de la procédure ?.............................................................................................................. 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 durée moyenne de la procédure pénale?.................................................................................. 105
Qui supporte les frais de la procédure ? ....................................................................................................... 105
Qui engage la procédure ?............................................................................................................................ 107
Quel est le juge compétent ?......................................................................................................................... 108
Quel est le résultat de la procédure ?............................................................................................................ 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 durée moyenne de la procédure pénale ?................................................................................. 116
Qui supporte les frais de la procédure ? ....................................................................................................... 116
Qui engage la procédure ?............................................................................................................................ 117
Quel est le juge compétent ?......................................................................................................................... 117
Quelle est le résultat de la procédure ?......................................................................................................... 117
Spain...................................................................................................................................... 119
5. - 5 -
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 : Région Wallonne et de Bruxelles-Capitale ...................................................... 215
Directive 76/769/CEE Région Wallonne et de Bruxelles-Capitale.............................................................. 215
Directive 78/176/CEE Région Wallonne ..................................................................................................... 218
Directive 78/176/CEE Région Bruxelles-Capitale....................................................................................... 222
Directive 80/68/CEE Région Wallonne ....................................................................................................... 224
Directive 80/68/CEE Région de Bruxelles-Capitale .................................................................................... 226
Directive 84/491/CEE Région Wallonne ..................................................................................................... 228
Directive 84/491/CEE Région de Bruxelles-Capitale .................................................................................. 231
Directive 86/278/CEE Région Wallonne ..................................................................................................... 234
Directive 86/278/CEE Région de Bruxelles-Capitale .................................................................................. 238
Directive 86/280/CEE Région Wallonne ..................................................................................................... 241
Directive 86/280/CEE Région de Bruxelles-Capitale .................................................................................. 244
6. - 6 -
Directive 90/219/CEE Région Wallonne ..................................................................................................... 247
Directive 90/219/CEE Région de Bruxelles-Capitale .................................................................................. 249
Directive 91/271/CEE Région Wallonne ..................................................................................................... 251
Directive 91/271/CEE Région de Bruxelles-Capitale .................................................................................. 254
Règlement (CEE) 259/93 Région Wallonne ................................................................................................ 256
Règlement (CEE) 259/93 Région de Bruxelles-Capitale ............................................................................. 260
Directive 94/63/CE Région Wallonne.......................................................................................................... 264
Directive 94/63/CE Région de Bruxelles-Capitale....................................................................................... 267
Directive 96/59/CE Région Wallonne.......................................................................................................... 270
Directive 96/59/CE Région de Bruxelles-Capitale....................................................................................... 275
Règlement (CE) 338/97 Région Wallonne et de Bruxelles-Capitale............................................................ 279
Directive 1999/31/CE Région Wallonne...................................................................................................... 281
Directive 1999/31/CE Région de Bruxelles-Capitale................................................................................... 283
Directive 2000/53/CE Région Wallonne...................................................................................................... 288
Directive 2000/53/CE Région de Bruxelles-Capitale................................................................................... 292
Directive 2000/59/CE Région Wallonne...................................................................................................... 295
Directive 2000/59/CE Région de Bruxelles-Capitale................................................................................... 298
Belgique : Région Flamande................................................................................................ 300
Introduction.................................................................................................................................................. 300
Directive 76/769/CEE Région Flandres ....................................................................................................... 302
Directive 78/176/CEE Région Flandres ....................................................................................................... 304
Directive 80/68/CEE Région Flandres......................................................................................................... 306
Directive 84/491/CEE Région Flandres ....................................................................................................... 308
Directive 86/278/CEE Région Flandres ....................................................................................................... 310
Directive 86/280/CEE Région Flandres ....................................................................................................... 313
Directive 90/219/CEE Région Flandres ....................................................................................................... 315
Directive 91/271/CEE Région Flandres ....................................................................................................... 317
Règlement (CEE) 259/93 Région Flandres .................................................................................................. 319
Directive 94/63/CE Région Flandres............................................................................................................ 321
Directive 96/59/CE Région Flandres............................................................................................................ 324
Règlement (CE) 338/97 Région Flandres..................................................................................................... 327
Directive 1999/31/CE Région Flandres........................................................................................................ 329
Directive 2000/53/CE Région Flandres........................................................................................................ 332
Directive 2000/59/CE Région 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
11. - 11 -
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.
12. - 12 -
“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 GRÜNER, Rechtsanwalt
VGNENOPOULOS & Partners Law Firm
CMS Derks Attorneys at Law
HANNES SNELLMAN Attorneys at Law
Lillihöök Jacobsson AB, Advokatfirman
PINA Advogados Associados
JAUSAS, NADAL & VIDAL DE LLOBATERA, Advocats
Dr. Andreas SCHEIL, Universität Innsbruck
Dr. Peter PAGH, Copenhagen University
MONARD & D’HULST, Avocats
13. - 13 -
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
Universität Innsbruck
BELGIUM Flemish Region: Xavier d’HULST, MONARD & D’HULST
Brussels and Walloon Regions: François BRAULT
HUGLO LEPAGE & Partners
DENMARK Dr. Peter PAGH
Copenhagen University
FINLAND Michael NYLUND
HANNES SNELLMAN
FRANCE Bertrand BURG and Matthieu WEMAËRE
HUGLO LEPAGE & Partners
GERMANY Dr. Gerhard GRÜNER
Rechtsanwalt
GREECE Vivianne KOUTSOMALLIS
VGNENOPOULOS & Partners
ITALY Stefania TRIPODI
JAUSAS, NADAL & VIDAL DE LLOBATERA
IRELAND Matthieu WEMAËRE
HUGLO LEPAGE & Partners
LUXEMBOURG Matthieu WEMAËRE
HUGLO LEPAGE & Partners
NETHERLANDS Marjan STAAL
CMS Derks
PORTUGAL David PINA
PINA Advogados Associados
SPAIN Stefania TRIPODI
JAUSAS, NADAL & VIDAL DE LLOBATERA
SWEDEN Madeleine Lillihöök Jacobsson
Lillihöök Jacobsson AB
UK Simon MILWARD
HUGLO LEPAGE & Partners
14. - 14 -
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 “Länder” (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 (“Adhäsionskompetenz”). 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.
15. - 15 -
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 (“Gewinnabschöpfung”)6
.
b. The different types of offence
Administrative penal law
In administrative penal law the offences (“Verwaltungsübertretungen”, 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; “Organstrafverfügung”, tickets may be less.
16. - 16 -
The fines have fixed maxima in Euro. Higher maxima are provided for “especially
aggravation circumstances” as by § 11 Abs 1 “Vorarlberger Klärschlammgesetz” 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 Burgenländisches 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.
17. - 17 -
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.
18. - 18 -
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.
19. - 19 -
Gefährdungsdelikt”). 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 “Gefährdung der körperlichen Sicherheit” (§ 89
StGB, endangering of physical security) – imprisonment up to 3 months or fine up to 180
daily rates – (“konkretes Gefährdungsdelikt”). If a person is hurt or killed negligently than the
act is punishable as “Fahrlässige Körperverletzung” (§ 88 Abs 1 – 4 StGB, negligent physical
injury) – imprisonment up to 2 years or fine up to 360 daily rates – or as “Fahrlässige Tötung
(unter besonders gefährlichen Verhältnissen)” (§§ 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
profits
possib
le
§ 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.
20. - 20 -
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-
offending
fine €
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 “Bezirksverwaltungsbehörden” (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 “Bürgermeister” (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 “Unabhängige Verwaltungssenate”34
(Independent Administrative
Tribunals) and finally to the “Verwaltungsgerichtshof” (Administrative High Court), a real
court with independent judges.
33
) § 26 Abs 1 VStG.
34
) § 51 VStG.
21. - 21 -
Criminal law
In criminal law, public prosecutors refer the cases to courts. In our field that may be the
“Bezirksgericht” (district court, offences with imprisonment up to 1 year)35
, where that same
single professional judge, that does the inquiry, decides after taking the evidence in trial; or
the “Landesgericht” (provincial court, offences with imprisonment from 1 to 5 years)36
,
where a professional single judge will decide. The inquiry should be done by the
“Untersuchungsrichter” (investigating judge), actually it is done by police or “Gendarmerie”,
sometimes according to law under the command of the public prosecutor. Courts of appeal are
the “Landesgericht” (a body of three professional judges), if the “Bezirksgericht” decided in
first instance, or the “Oberlandesgericht” (court of appeal for several states, a body of three
professional judges), if the “Landesgericht” decided in first instance.
e. Aspects particular to the environment
In criminal law an error about administrative law does not hinder punishment for intentional
acts or omissions, if the offender failed in his professional duty or in his employment or
through other circumstances to inform himself about a legal provision or an administrative
decision or if there are other reasons to blame him for the error and if he acted intentionally
concerning the other facts of the offence. § 183a StGB37
provides for an exemption from the
general rule, that an error concerning the facts excludes intent.
Answers to the five questions
What is the average amount of time for criminal environmental
proceedings?
Administrative penal law
Unfortunately we do not know anything about the average length of procedures in
administrative penal law, so we can not say that procedures can be conducted more quickly
than in criminal law, although it is very much likely so.
Criminal law
Thanks to Wegscheider38
we know that in the year 1990 753 cases were reported to the public
prosecutors. 33 per cent of the cases were so clear (in favour of the offender), that they could
be settled within 3 days, another 10 per cent within a week. In 16 per cent of the cases the
35
) § 9 Abs 1 Z 1 StPO.
36
) § 13 Abs 1 StPO.
37
) § 183a. (1) If the offender, committing the offences §§ 180, 181a, 181b, 181d and 182, has failed in his
professional duty or in his employment or through other circumstances to get informed about a legal provision
or an administrative decision, or if there are other reasons to blame him for an error with respect to the legal
provision or the administrative decision, shall be punished according to these provisions, if he otherwise acts
intentionally.
(2) Abs. 1 shall apply in the cases under §§ 181, 181c and 183, if the offender acts negligently.
38
) Wegscheider, Herbert, Die Praxis des Umweltstrafrechts nach der Reform 1989, ÖJZ 1994, 648.
22. - 22 -
proceedings lasted between 8 days and 1 month, in 11 per cent between 1 and 3 months, in 16
percent between 3 months and 1 year, in 7 per cent the proceedings lasted more than a year.
The most common case took 21 days to be settled.
If a case was referred to a court, the court needed more than one year in 42 per cent of the
cases to come to a final decision (most common case 382 days). In only 37 per cent of the
cases the proceedings that led to a conviction lasted longer than a year (most common case
280 days).
Who supports the costs of the procedure?
Administrative penal law
In administrative penal law the convicted offender has to support the costs of the procedure
(first instance 10 per cent of the fine, instance of appeal 20 per cent of the fine, minimum 1.5
€; in case of imprisonment 15 € a day) and for example the (legally limited) expert witnesses
fees as well39
. In case of acquittal the authority has to support the costs.
Criminal law
The convicted offender has to support the costs of the criminal procedure. That are the
“Pauschalkostenbeitrag” (a flat rate according to the economical capability of the offender
and to the costs of the proceedings, he caused)40
and the „besondere Kosten“ (special costs)41
,
to which belong in particular – other than in administrative penal procedure – the full
expenses of the expert witnesses.
Who initiates the procedure?
Administrative penal law
We have no reliable information about administrative penal law, but it is very much likely the
same as in criminal law.
Criminal law
Only few non-directly affected private persons report environmental offences. Procedures are
initiated mainly by reports from administrative authorities, citizens´ action groups and directly
affected private persons.
Who is the competent judge?
An infringement is punishable only either under criminal law or under administrative penal
law. It is a general rule, that criminal law goes first, but most of the administrative statutes
39
) § 64 Abs 3 iVm § 76 AVG.
40
) § 381 Abs 1 Z 1 StPO.
41
) § 381 Abs 1 Z 2 – 6 StPO.
23. - 23 -
exclude punishment expressly, if a criminal court has to punish the offender. All these statutes
exclude double-punishment, too. The more severe (federal or state) penal law excludes the
less severe (federal or state) penal law.
With the exception of § 182 Abs 1 StGB all criminal offences of the Criminal Code depend
absolutely on administrative law (“Verwaltungsakzessorietät”). This keeps acts or omissions
that take place in accordance with federal or state administrative law or with the license of an
authority beyond the reach of criminal law.
Administrative penal law
An administrative authority is only competent in a penal case if not a court is competent, so
the decision does not have any effect on a criminal sanction, because there will be no criminal
sanction then.
Similar to criminal law the administrative authority must refrain from punishment without
further proceedings, if the degree of culpability is minor and if the effects of the act or
omission are minor (“Absehen von der Strafe”)42
- in case of § 8 Artenhandelsgesetz this
refrain is excluded expressly -: Other than in criminal law the offender can be formally
warned, to prevent re-offending.
Criminal law
If the degree of culpability is minor and if there are no or minor effects of the act or if the
offender tried seriously to restitute or to remove the effects and if no prevention of re-
offending or offending of others required (“Mangelnde Strafwürdigkeit der Tat”) the act or
omission is not punishable.43
Other than in administrative penal law it is possible in criminal law to avoid penalties: Since
2001 a set of measures of diversion can hinder sentences, all environmental crimes fit into
that new framework laid down in §§ 90a StPO such as paying a sum, that shall not be
regarded a “fine”, or community service. It seems, that the only 2 convictions in 2001 for
negligent impairment of the environment, an outstanding low figure compared to the figures
all the years before, is the result of these measures of diversion, which is likely to become the
golden standard as reaction to this crime.
And the offender must not be punished if he voluntarily eliminates the risks, pollution or the
other impairments before an authority that prosecutes criminal offences (court, public
prosecutor’s office, police) has gained information about his offence – the authority must
know, who the person is – and as long as no damage has occurred (§ 183b StGB, “Tätige
Reue”, active regret44
). This active regret frees an offender from punishment even then, if
42
) § 21 Abs 1 VStG.
43
) § 42 StGB.
44
) § 183b. (1) Anyone who voluntarily eliminates the risks, pollution or other impairments he has brought
about, before the authority (§ 151 Abs. 3) has noticed his offence, shall not be punished under §§ 180, 181 and
181b through 183, if no damage to a person or to animal or plant population has occurred.
(2) § 167 Abs 4 shall apply analogously. ( § 167 Abs 4 StGB provides that the offender shall not be punished if
he was willing to eliminate the danger, but the danger was averted by another person).
24. - 24 -
another person has eliminated the risks etc and if the offender – having no knowledge about
that – tries to eliminate the risks. This is within the old Austrian tradition to prolong the
threats of penalties over the act or omission and to motivate the offender, who could not have
been motivated to avoid a crime, to do everything to hinder further damage (or to restitute) at
least.
What is the outcome of the criminal procedure?
Administrative penal law
There is no (reliable) information about administrative penal law. But it is very much likely
that almost all sanctions are unsuspended fines and that the most common fine in an
environmental case should be approximately 150 €.
Criminal law
Again thanks to Wegscheider we know that 92 per cent of the 753 cases reported to the public
prosecutors in the year 1990 were settled by the prosecutors in favour of the offenders, only 8
per cent were referred to the courts: half of them convictions (27 cases, 2 per cent of all), half
of them acquittals (28 cases, 2 per cent of all). The rate of acquittals (50 per cent) is relatively
high (less than 20 per cent in other cases).
And we have detailed information about cases registered by police45
, about persons convicted
by the courts and about sanctioning46
. I deal only with the two most common crimes against
environment, Intentional impairment of the environment (§ 180 StGB) and Negligent
impairment of the environment (§ 181 StGB) and – concerning sanctioning – only with the
years 1990, 1995 and 2000; and with the crimes against LMG 1975 and ArtHG.
aa. Intentional impairment of the environment (§ 180 StGB; imprisonment up to 3 years
or pecuniary fine up to 360 daily rates)
1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001
cases
registered
by police 132 217 165 112 92 96 127 81 64 43 34 31
convicted 12 8 14 19 9 7 8 6 5 2 3 4
Sanctions 1990: 10 out of the 12 convicted got fines (5 totally suspended, 4 unsuspended and
1 partially suspended), 2 got prison sentences (one in the range of 1 to 3 months and the other
in the range of 3 to 6 months, both totally suspended). The most common sanction this year
was a suspended fine in the range of 60 up to 180 daily rates (4) or – in Euro - in the range of
363 to 726 € (3).
45
) Data from „Bericht der Bundesregierung über die innere Sicherheit in Österreich“ 1990 to 2000 and
„Polizeiliche Kriminalstatistik“ 1990 to 2000, ed. by Bundesministerium für Inneres.
46
) Data from Gerichtliche Kriminalstatistik 1990 to 2000, ed. by Österreichisches Statistisches Zentralamt or
STATISTIK AUSTRIA.
