The Positive List Approach and the Legality Principle in Criminal Law in the European Union
| Autor | Maria Marquès i Banqué |
| Cargo | Universitat Rovira i Virgili |
| Páginas | 1-39 |
REVISTA CATALANA DE DRET AMBIENTAL Vol. XII Núm. 1 (2021): 1 - 39
- Estudi -
https://doi.org/10.17345/rcda3084
THE POSITIVE LIST APPROACH AND THE LEGALITY PRINCIPLE IN
CRIMINAL LAW IN THE EUROPEAN UNION
LA ESTRATEGIA DE LAS ‘LISTAS POSITIVAS’ Y EL PRINCIPIO DE
LEGALIDAD PENAL EN LA UNIÓN EUROPEA
MARIA MARQUES-BANQUE
Universitat Rovira i Virgili
maria.marques@urv.cat
Fecha de recepción: 30 de abril de 2021 / Fecha de aceptación: 18 de junio de 2021
ABSTRACT: In the context of a critical review of CITES as an instrument that
deals with the trafficking of species of wildlife fauna and flora, this paper intends
to analyse the legislative strategy of positive lists as an alternative to the negative
lists approach used by CITES, from the perspective of criminal law. From the
perspective of criminal law, it is important to analyse the problems this legislative
strategy may pose when regulating crimes, or enforcing them in courts. This work
focusses on a fundamental question: Could a reference to positive lists in the
description of offences raise issues about constitutionality in national courts due
to violation of the legality principal in criminal law? The conclusion is that, indeed,
the reference to positive lists in the description of an offence could raise issues
in the courts for violation of the legality principle in criminal law.
RESUMEN: En un contexto de revisión crítica de la CITES como instrumento
para hacer frente al tráfico ilegal de especies de flora y fauna silvestres, este
trabajo tiene como objeto analizar, desde la perspectiva del Derecho penal en la
Unión Europea, la estrategia legislativa de las “listas positivas” como alternativa
al sistema de “listas negativas” utilizado por la CITES. Desde la óptica del
Derecho penal, interesa analizar los problemas que esta estrategia legislativa
M. Marquès i Banquè RCDA Vol. XII Núm. 1 (2021): 1 - 39
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puede plantear, con carácter general y más allá de este ámbito específico, ya
sea en la regulación de los delitos, ya sea en la aplicación de éstos en los
tribunales. En este trabajo nos centraremos en una y primera cuestión
fundamental: la conformidad con el principio de legalidad penal de las remisiones
normativas (directas o indirectas) a listas positivas en la descripción de los
delitos. La conclusión es que, efectivamente, la referencia a listas positivas en la
descripción típica de un delito podría plantear dudas en los tribunales por
vulneración del principio de legalidad penal.
RESUM: En un context de revisió crítica de la CITES com a instrument per a fer
front al tràfic il·legal d'espècies de flora i fauna silvestres, aquest treball té com a
objecte analitzar, des de la perspectiva del Dret penal i de la Unió Europea,
l’estratègia legislativa de les “llistes positives” com a alternativa al sistema de
“llistes negatives” utilitzat per la CITES. Des de l'òptica del Dret penal, interessa
analitzar els problemes que aquesta estratègia legislativa pot plantejar, amb
caràcter general i més enllà d’aquest àmbit específic, ja sigui en la regulació dels
delictes, ja sigui en l'aplicació d'aquests en els tribunals. En aquest treball ens
centrarem en una i primera qüestió fonamental: la conformitat amb el principi de
legalitat penal de les remissions normatives (directes o indirectes) a llistes
positives en la descripció dels delictes. La conclusió és que, efectivament, la
referència a llistes positives en la descripció típica d'un delicte podria plantejar
dubtes en els tribunals per vulneració del principi de legalitat penal.
KEYWORDS: CITES – Illegal wildlife trade – Positive lists – Principle of legality
in Criminal Law
PALABRAS CLAVE: CITES – Tráfico ilegal de especies silvestres – Listas
positivas – Principio de legalidad penal
PARAULES CLAU: CITES – Tràfic il·legal d’espècies silvestres – Llistes
positives – Principi de legalitat penal
SUMMARY: I. INTRODUCTION. II. THE ROLE OF CITES IN CRIMINAL LEGISLATION TO
COMBAT THE ILLEGAL TRADE IN SPECIES OF WILD FAUNA AND FLORA. III. POSITIVE
LISTS AS A STRATEGY TO REGULATE TRADE IN EXOTIC PETS. 1. Brief outline of the
RCDA Vol. XII Núm. 1 (2021): 1 - 39 The Positive List Approach…
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benefits and advantages of positive lists. 2. Reference to the legal framework for positive lists in
the European Union. IV. POSITIVE LISTS AND CRIMINAL LAW. 1. Preliminary considerations:
the protection of species of wild fauna by criminal law under Directive 2008/99/EC. 2. Positive
lists and the legality principle in criminal law. a) The legality principle i n the context of European
criminal law. b) Compliance with the legality principle in criminal law by direct or indirect reference
to positive lists in the description of offences. V. CONCLUSIONS. VI. BIBLIOGRAPHY.
I. INTRODUCTION
The global impact of the COVID-19 health crisis has been a contributory factor in
increasing the perception of biodiversity loss as a real threat to the survival of the
planet. Although the exact source of the pandemic has not been confirmed, the
zoonotic source of the disease has revealed something that had already been
highlighted on specialist forums: the close link between human health, animal
health and the health of natural systems.
Approaches like One Health, EcoHealth, and Planetary Health are based on that
link1. All of them call for policies to be developed and integrated measures to be
adopted to confront the environmental crisis. While these three approaches are
similar in that they state the need to place human and animal health in a wider
ecosystem context, the concept of One Health is more widely recognised at
institutional level both internationally and within the European Union (EU). The
World Health Organisation (WHO), the World Organisation for Animal Health
(OIE) and the Food and Agriculture Organization (FAO) of the United Nations
have emphasised that the One Health approach does not just contribute towards
attaining the Sustainable Development Goals (SDGs - UN), but that “The SDGs
themselves reflect a One Health approach, ensuring that healthy people and
animals live on a healthy planet”2.
1 Richard Horton, et al., “From public to planetary health: a manifesto”, The Lancet, vol. 383, no.
9920, 2014, p. 847; Sarah Whitmee et al., “Safeguarding human health in the Anthropocene
epoch: report o f The Rockefeller Foundation-Lancet Commission on Planetary Health”, The
Lancet, vol. 386, no.10007, 2015, p. 1973-2028.; Nate Seltenrich, “Down to Earth: The emerging
field of Planetary Health”, in Environmental Health Perspectives, vol. 126, no.7, July 2018, p.
072001-1; Sarah Harrison, Lucy Kivuti-Bitok, Alexandra Macmillan, Patricia Priest, “EcoHealth
and One Health: A theory-focused review in response to calls for convergence”, in Environment
International, vol.132, no. 105058, 2019, p 1-15; David Waltner-Toews, “Zoonoses, One Health
and complexity: wicked problems and constructive conflict”, in Philosophical Transactions of The
Royal Society B, vol. 372, no. 20160171, 2017, p. 1-9.
2 WHO, FAO, OIE, Taking a Multisectoral, One Health Approach: A Tripartite Guide to Addressing
Zoonotic Diseases in Countries, 2019, p.6.
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