The Precautionary Principle and the Prevention of Marine Pollution

This paper argues that the environmental changes witnessed in the past decade call for a new approach to environmental management; an approach based not on the principle of the assimilative capacity of the environment but on the precautionary principle, and the emerging preventive environmental paradigm. Uncertainties in scientific knowledge and complexities in ecological systems have presented specific failures of the assimilative capacity methodology. It is argued that these failures are not circumstantial in nature, nor are they the result of misapplication of science by scientists. Rather, they represent inherent problems in the use of the assimilative capacity concept in environmental management. The emergence of the precautionary principle is discussed and a formulation of the principle is presented. In conjunction with the operational approach of clean production, we believe that this principle offers a sounder basis for the prevention of marine pollution in the next decade.     

The Scientific Basis of Marine Pollution Prevention Strategies

Abstract

Prevention of marine pollution, particularly in semi-enclosed seas, embayments and areas with limited exchange of water, requires a well conceived and harmonized legal system, specified standards, a monitoring programme, and effective control and enforcement capabilities. This comprehensive approach is often called a strategy. Three generations of strategies have been devised and applied historically in Europe and North America, each a step further in integrating environmental protection, technical advancement and economic capabilities. the overpowering socio-economic problems of transition from a centrally planned to a market economy, a task facing a dozen central and eastern European coastal states, compound the problem of application of an integrated approach.

No management strategy can achieve its set goals unless based on scientific evidence. the data base has to offer information on two basic questions, one specific and one of a general nature.

The specific question is: Has the area under consideration some features, an activity, or one or more living species, which must be protected at any cost? the answer to this question will invoke the precautionary principle into strategic considerations, and leads to the general question: What is the carrying (= assimilative or environmental) capacity for each activity and for the discharge of each contaminant into the impacted area? Answers to these questions lead to the choice of the strategy for environmental management.     

Combining Power Analysis and Population Viability Analysis to Compare Traditional and Precautionary Approaches to Conservation of Coastal Cetaceans

Abstract: Traditionally, marine resources have been managed such that controls on new developments are implemented only when harmful effects on other environmental or economic interests can be demonstrated. This approach poses particular problems for the conservation of coastal cetaceans because potential threats to their populations are diverse and likely to interact, individual threats may result from multiple sources, and the problems inherent in studying cetaceans result in considerable scientific uncertainty and low statistical power to detect any effects. Consequently, many countries are adopting integrated coastal management programs and precautionary management principles. In practice, however, issues continue to be dealt with within traditional frameworks that require demonstration of harm. Because cetaceans are long-lived, they demand long-term studies, and populations could decline to dangerously low levels before management action is taken. We illustrate these problems using a case study from the Moray Firth, Scotland. This inshore area will soon be designated and managed as a "special area of conservation" to protect bottlenose dolphins (   Tursiops truncatus ) under the European Community's Habitats Directive. The population is small and isolated, and it faces a wide range of potential threats, but there remains considerable uncertainty over the magnitude of each threat. We combined power analysis and population viability analysis to explore the relative consequences of adopting either traditional or precautionary approaches to management. In this case, our results reaffirm the need for precautionary management. More generally, we illustrate how this approach can be used to provide a more scientific basis for determining the level of precaution required to address particular management issues in this and other marine systems.     

A new approach to investigate the interactions between sediment transport and ecotoxicological processes during flood events

Purpose

The 'step-by step' principle was introduced into the European Union legislation on genetically modified organisms as a means to cope with uncertainty about environmental risks from the release of genetically modified organisms into the environment. The approval process is orientated along the stepwise reduction of containment which reflects a precautionary approach towards the risks of genetically modified organism release. Thus, the gradual reduction of containment should keep pace with the gradual generation of risk-related knowledge. This paper strives to clarify the meaning, legal status and practical importance of the principle. It also looks at whether non-European Union countries have adopted the principle as well, and how they practice it.

Methods

The article is based on research of the relevant legal texts, court cases and legal literature. In addition, a number of dossiers of applications for the European Union authorisation of release and placing on the market of genetically modified seed were analysed.

Results and conclusions

Although 'step-by-step' is not a precise legal rule it does have legal meaning as a principle guiding the risk assessment and management of genetically modified organism introduction into the environment. Assuming a process of gradual reduction of containment and scaling up of release ranging from closed systems via experimental release to cultivation the 'step-by-step principle' requires that the knowledge on environmental risks of genetically modified organisms should be generated on stages previous to the ones where the risk can result in damage. The analysis of the legislation of China, the United States of America and Brazil showed a differentiated approach towards the step-by-step principle.     

Accounting for Uncertainty in Making Species Protection Decisions

Abstract:  Uncertainty gives rise to two decision errors in implementing the U.S. Endangered Species Act: listing species that are not in danger of extinction and delisting species that are in danger of extinction. I evaluated four methods (minimum standard, precautionary principle, minimax regret criterion, adaptive management) for deciding whether to list or delist a species when there is uncertainty about how those decisions are likely to influence survival of the species. A safe minimum standard criterion preserves some minimum amount or safe standard (population) of a species unless maintaining that amount generates unacceptable social cost. The precautionary principle favors not delisting a species when there is insufficient evidence on the efficacy of state management plans for protecting them. A minimax regret criterion selects the delisting decision that minimizes the maximum loss likely to occur under alternative ecosystem states. When the cost of making a correct decision is less than the cost of making an incorrect decision, the minimax regret criteria indicates that delisting is the optimal decision. Active adaptive management employs statistically valid experiments to test hypotheses about the likely impacts of delisting decisions. Safe minimum standard and minimax regret criterion are not compatible with the U.S. Endangered Species Act. The precautionary principle comes closest to describing how federal agencies make delisting decisions. Active adaptive management is scientifically superior to the other methods but is costly and time consuming and may not be compatible with the U.S. National Environmental Policy Act.     

The Scientific Basis of Marine Pollution Prevention Strategies

Prevention of marine pollution, particularly in semi-enclosed seas, embayments and areas with limited exchange of water, requires a well conceived and harmonized legal system, specified standards, a monitoring programme, and effective control and enforcement capabilities. This comprehensive approach is often called a strategy. Three generations of strategies have been devised and applied historically in Europe and North America, each a step further in integrating environmental protection, technical advancement and economic capabilities. the overpowering socio-economic problems of transition from a centrally planned to a market economy, a task facing a dozen central and eastern European coastal states, compound the problem of application of an integrated approach.

No management strategy can achieve its set goals unless based on scientific evidence. the data base has to offer information on two basic questions, one specific and one of a general nature.

The specific question is: Has the area under consideration some features, an activity, or one or more living species, which must be protected at any cost? the answer to this question will invoke the precautionary principle into strategic considerations, and leads to the general question: What is the carrying (= assimilative or environmental) capacity for each activity and for the discharge of each contaminant into the impacted area? Answers to these questions lead to the choice of the strategy for environmental management.     

Kriterien für eine ökologisch nachhaltige Stoff-und Gentechnikpolitik

Based on the precautionary principles and the functional model of the environment, the meaning of the criterion of sustainability is explained and applied on organic chemicals and genetically modified organisms (GMOs). It is shown that the criterion permits the sustainability of an operationalization of the precautionary principle as interpreted strictly and the ecological component records the sustainability for the respective areas of environmental problems. Using examples from the field of chemistry, it has been demonstrated that problems have arisen through the substituted substances which are recognized as being ecologically harmful, since the sustainability was not applied as the central criterion for the environmental evaluation of organic materials. The conventions on ‘Persistent Organic Pollutants’ (POPs) which have been agreed upon provide a chance to revive the research on the sustainability of organic chemicals. Similar findings are seen for the GMOs, whose ecosystemic risks should not merely be defined based upon their human toxicological and already recognized ecological aspects.     

A critical review of the precautionary approach of the IUCN impact classification for non-native taxa

The International Union for the Conservation of Nature (IUCN) proposes the use of the Environmental Impact Classification for Alien Taxa to standardize the classification of introduced species (IS) based on their environmental impact. The IUCN invoked the precautionary principle (PP) via 2 rules: the impact assigned to a taxon must be the maximum recorded impact across different impact assessments, and when the main driver of environmental damage is unclear, it must be assumed to be caused by the IS. The validity of PP is conditioned on the degree of emergency that warrants urgent decisions and on the scientific evidence demonstrating the advantages of applying a preventive measure. The application of an impact classification system does not arise in the context of an emergency that requires management; it occurs before the decision-making phase. Thus, PP should not be used in early steps of the risk analysis process. The IUCN also did not provide enough scientific basis to justify the use of PP. Instead, the PP rules appear to be rooted primarily in the ethical value system underlying conservation science. Conservationists assign intrinsic value to native species by virtue of their roles and relationships within ecological and evolutionary systems and processes; thus, individuals introduced in new environments not only cease to have value because they are no longer part of that natural diversity and lack those links with the rest of the ecosystem, but they become a threat to what conservationists value most. The consequence of this belief is that all introduced taxa will have an impact at some level, suggesting that values justify the PP rules.     

An Evaluation of Management Objectives for Canada's Commercial Harp Seal Hunt, 1996-1998

Abstract: The largest existing hunt for marine mammals is Canada's commercial hunt for Northwest Atlantic harp seals ( Pagophilus groenlandicus ). From 1995 to 1998, the total allowable catch was set at a level that the Canadian Department of Fisheries and Oceans calculated would not cause the population to decline, consistent both with its stated management objectives of maintaining stable seal populations while allowing a sustainable harvest and with its stated policy of taking a precautionary approach to management. During those years, Canada's total allowable catch was progressively increased from 186,000 harp seals per year (1995) to 250,000 (1996) to 275,000 (1997 & 1998). We examined whether the government's management objectives were achieved using the conventional approach of comparing landed catches with the replacement yield estimated from a biological population model. We then conducted a second assessment, using a more modern and precautionary approach recently implemented for marine mammal management in the United States which incorporates uncertainty into management models to estimate sustainable "potential biological removal levels." From 1996 to 1998, landed catches from Canada and Greenland exceeded Canada's estimated replacement yield. Over the same period, estimated total human-caused mortality exceeded potential biological removal levels by 1.5 to 5.9 times. Given such levels of reported catches and estimated total human-caused mortality, Canada's management of its harp seal hunt did not achieve its objectives. It is likely, therefore, that the population is now declining and, if recent levels of killing continue, the population will stabilize only at levels below (and possibly far below) its maximum net productivity level. Viewed from this perspective, Canada's approach to harp seal management between 1996 and 1998 cannot be deemed precautionary or risk-averse.     

Capacity of Management Plans for Aquatic Invasive Species to Integrate Climate Change

Abstract:  The consequences of climate change will affect aquatic ecosystems, including aquatic invasive species (AIS) that are already affecting these ecosystems. Effects on AIS include range shifts and more frequent overwintering of species. These effects may create new challenges for AIS management. We examined available U.S. state AIS management plans to assess each program's capacity to adapt to climate-change effects. We scored the adaptive capacity of AIS management plans on the basis of whether they addressed potential impacts resulting from climate change; demonstrated a capacity to adapt to changing conditions; provided for monitoring strategies; provided for plan revisions; and described funding for implementation. Most plans did not mention climate change specifically, but some did acknowledge climatic boundaries of species and ecosystem sensitivities to changing conditions. Just under half the plans mentioned changing environmental conditions as a factor, most frequently as part of research activities. Activities associated with monitoring showed the highest capacity to include information on changing conditions, and future revisions to management plans are likely to be the easiest avenue through which to address climate-change effects on AIS management activities. Our results show that programs have the capacity to incorporate information about climate-change effects and that the adaptive-management framework may be an appropriate approach.     

Die Organisation der Früherkennung von Umweltproblemen im Rahmen der wissenschaftlichen Beratung der Umweltpolitik

This study is based on the theses that

1. early diagnosis is indispensable in the context of precautionary policy for the management of environmental problems, which have the character of a “creeping disaster”; and that
2. the public must play the active role that is adequate within a democratic society. In the context of the study, three existing advisory committees for environmental policy as well as two concepts which have not been put into effect are investigated.

In the first part presented here, the concept of the Picht commission from 1972, which has never been realized in this form is introduced. In part II, the concepts and the working method of the three existing advisory committees (SRU, WBGU, TAB) are presented. Part III deals with the critique of these committees and an alternative concept of early diagnosis which has not yet been put into effect. In part IV, the work of the oldest of the committees, the SRU, is examined with respect to the three most important environmental problems of the last 15 years.     

Industrial ecology flows of agriculture and food industry in Finland: utilizing by-products and wastes

Although half of the administrative units in China are said to have implemented their local Agenda 21, the promotion of sustainable communities is not pervasive. In this paper, we adopted a relatively untried mode of analysis and a socio-economic context to illustrate the potentials and failures of China's grassroots local government bodies in achieving sustainable waste management. Our study shows that, among the three main functions of sustainable waste management (ensuring environmental hygiene, provision of recycling logistics and changing the consumption pattern of the local community) for local governments, grassroots local government bodies in mainland China are only able to do the minimum, i.e. ensuring environmental hygiene and handling complaints. One of the reasons for the failure is that, despite the emphasis on capacity building in China's Agenda 21, the reality is that no action is taken to empower grassroots local government. Despite the high profile accorded by the Chinese central government to motivating local governments to formulate their own Agenda 21, local sustainability and waste management performance have little relevance to the appraisal systems of these government agents.     

Bewertung von Umweltwirkungen gentechnisch veränderter Organismen (GVO)

Genetically modified organisms (GMOs) can have effects on the environment in a variety of ways. The Genetic Engineering Act (Gen TG) stipulates that, before a GMO may be used, its characteristics have to be assessed and its behaviour in the environment has to be estimated and evaluated. The Federal Environmental Agency is the first and hitherto only authority involved in the implementation of the Genetic Engineering Act to have presented a risk assessment concept, in order to ensure that consent decisions taken in the enforcement of the Act are comprehensible and comparable. This concept is presented, as are proposals for the envisaged revision which results from changes in the legal framework, notably the adoption of the Biosafety Protocol, the Convention on Biological Diversity and the new EU Deliberate Release Directive 2001/18/EC. In addition, the contribution discusses the role of the precautionary principle and possible implications for decision-making by the authorities. The precautionary principle demands that environmental risks and damage should be avoided as far as possible, or prevented from arising at the outset. A particular challenge when refining assessment concepts is the integration of nature conservation principles. These have been given insufficient attention to date. The contribution presents the results of a workshop on this subject, which was jointly organised by the Federal Environmental Agency and the Federal Nature Conservation Agency. Those participating in the workshop identified aspects which go beyond the scope of the Genetic Engineering Act and are derivee from the specific objective of biotope and species protection. Furthermore, the contribution addresses the provisions of the new Deliberate Release Directive 2001/18/EC on environmental risk assessment (e.r.a.). The aim of e.r.a., on a case-by-case basis is, to identify and evaluate potential adverse effects of the GMO, either direct and indirect, immediate or delayed, on human health and the environment, which the deliberate release or the placement of GMOs on the market may have. There exists a link to the definition of goals for a sustainable agriculture which have to be considered when assessing the impact of GMOs.     

Resource extraction and recycling with environmental costs

Extraction and use of a natural resource is assumed to affect the environment adversely. A perfect substitute for the resource can be supplied through a recycling process. Recycling may also have harmful effects on the environment, but to a smaller extent than extraction. The optimal path of extraction and recycling is studied under various assumptions about the environmental effects of recycling and the assimilative capacity of the environment. In particular, it is shown how the cost of recycling will affect initial resource extraction as well as the environmental quality at the time of resource exhaustion and in the long-run stationary state.     

Die Organisation der Früherkennung von Umweltproblemen im Rahmen der wissenschaftlichen Beratung der Umweltpolitik

This study is based on the theses that

1. early diagnosis is indispensable in the context of precautionary policy for the management of environmental problems which have the character of a “creeping disaster” and that
2. the public must play the active role that is adequate within a democratic society. In the context of the study, three existing advisory committees for environmental policy as well as two concepts which have not been put into effect are investigated.

In the fourth part the work of the oldest of the committees, the SRU, is examined with respect to the three most important environmental problems of the last 15 years. In part I, the concept of the Picht commission from 1972, which has never been realized in this form, was introduced. In part II, the concepts and the working method of the three existing advisory committees (SRU, WBGU, TAB) were presented. Part III deals with the critique of these committees and an alternative concept of early diagnosis which has not yet been put into effect.     

A model for the analysis of seasonal aspects of water quality control

A multiseasonal mathematical programming model for the analysis of water quality control within a river basin is presented. Phenomena of interseasonal variation in flow intensity and the river's pollutant assimilative capacity are introduced into the model by defining several seasons and their characterizations by seasonal parameters. An application of the model to a typical case situation is reported. The results suggest that seasonal adjustments in the treatment levels of wastewater treatment plants involve a considerable saving potential in comparison with a situation in which treatment levels are rigidly determined for the entire year.     

Die organisation der Früherkennung von Umweltproblemen im Rahmen der wissenschaftlichen Beratung der Umweltpolitik

This study is based on the theses that

1. early diagnosis is indispensable in the context of precautionary policy for the management of environmental problems which have the character of a “creeping disaster”, and that
2. the public must play the active role that is adequate within a democratic society.

In the context of the study, three existing advisory committees for environmental policy as well as two concepts which have not been put into effect are investigated. The third part deals with the critique of these committees and an alternative concept of early diagnosis “General Ecological Monitoring” which has not yet been put into effect. In part I, the concept of the Picht commission from 1972, which has never been realized in this form has been introduced. In part II, the concepts and the working method of the three existing advisory committees (SRU, WBGU, TAB) have been presented. In part IV, the work of the oldest of the committees, the SRU, is examined with respect to the three most important environmental problems of the last 15 years.     

Place-based management at different spatial scales

Place-based management is any management action having implications for a specified area. Place-based management is seen as a key component to practical implementation of ecosystem approach to management, with marine spatial planning (MSP) being the currently most promoted approach. In the present paper we address the challenges of place-based management at local, regional and global (oceanic) spatial scales using case studies from the Northeast Atlantic with examples from Norway. Both ecological, governance and management complexity increases with increasing geographic scale, with associated increases in uncertainty and thus increasing need for managing under the precautionary approach. A process where (ecologically) valuable and vulnerable areas are defined early on is essential to successful place-based management under the ecosystem approach. Integrating across sectors and achieving necessary cooperation between involved institutions and stakeholders is also necessary.     

Development of environmental policy,objectives, and targets

This paper describes a process to develop and establish an environmental policy and its associated environmental targets, objectives, and management programmes. The environmental policy is defined in a statement which addresses the company expectations for programmes that are important to assure adequate environmental protection and define its future commitment towards preventing pollution and continuously improving the effectiveness of its environmental protection programmes. A set of environmental objectives, derived from the policy, define the overall goals which will ensure that the company's environmental performance will remain consistent with the commitment identified in its policy when its environmental management system (EMS) is implemented, Environmental targets reflect the requirements and standards that the company must strive to achieve each objective and minimize any harmful environmental impacts from its production and manufacturing processes or other activities. In addition to defining specific targets, environmental management programmes are also used to guide EMS implementation. These programmes, however, must provide the company with the necessary flexibility to select the most appropriate technologies to enhance its own processes and prudently allocate its available financial resources in areas that return the greatest overall environmental benefit.Though they are expected to allow some discretion in the allocation of resources targeted towards environmental protection, EMS programmes must also provide assurance that the corporation environmental policy, objectives, targets, and management programmes do not result in a facility failure to adhere to all of its certification requirements. The principle and factors described in this article should be considered to the extent that they are necessary and practical.     

Environmental Auditing in Management Systems and Public Policy

New international standards for environmental auditing are now being actively promoted by public authorities and adopted by private firms. One important feature of these standards is their emphasis on managerial systems and incentives that support a wiser use of environmental resources. This paper studies such a system, in which incentive compensation may be based in part on the results of an environmental audit. It is found that optimal wages after an environmental audit is performed should have a greater range than wages paid when no audit has occurred. It is also shown that the decision to conduct an environmental audit and the size of the expected wage in this case depend crucially on whether the agent's prudence (or precautionary motives) dominates his aversion to risk. It is finally found that the insertion of environmental audits within current management systems would certainly induce a manager to care more about the environment; although this may come at the expense of less concern for other activities, we find plausible circumstances in which properly designed environmental audits overcome such a tradeoff and increase the manager's attention tobothenvironmental and traditional tasks. Some implications of the analysis for environmental public policy are also discussed briefly.