Ethical and Value-based Aspects of the European Commission's Precautionary Principle

In February 2000, the EuropeanCommission adopted a Communication on theprecautionary principle. This states how theCommission intends to apply the principle andestablishes guidelines for its application. Thedocument is intended to inform discussions oninternational agreements. In particular, itprovides a defense of European Union (EU)precautionary policies in case of tradedisputes, for example, in case the EU isaccused of imposing unfair trade barriers onexports of genetically-modified (GM) productsfrom the United States under the rules of theWorld Trade Organisation. In the communication,the Commission emphasizes the scientificaspects of the precautionary principle, perhapspartly to counter claims from US officials thatthe EU's reluctance to accept GM imports is notbased on science but is politically-motivated.However, a principle is by definition a moralguide to behavior. In other words, it is anethic. The precautionary principle should beviewed as a complement to science, to beinvoked when a lack of scientific evidencemeans that outcomes are uncertain. Anyinterpretation of this principle needs to placeat least as much emphasis on its ethical andvalue-based aspects as on its scientificjustification. The Commission's interpretationrisks undermining the painstaking progress madeamong European Union member states inresponding to public concern about GM crops andfood by adopting increased precaution. Thispaper explores the balance between thescientific and ethical/value-based aspects ofthe precautionary principle as set out in theCommission's communication, to make the casethat it is the ethical and value-based aspectsrather than the scientific aspects of theguidelines that need strengthening.     

The Homiletics of Risk

Today there is considerable disagreement between the US and the EU with respect to food safety standards. Issues include GMOs, beef hormones, unpasteurized cheese, etc. In general, it is usually asserted that Europeans argue for the precautionary principle (with exceptions such as the Sanitary and Phytosanitary Agreement where ``substantial equivalence,' a form of familiarity, is used) while Americans defend risk analysis or what is sometimes described as the familiarityprinciple. This is not to suggest that EUmember countries agree on how the precautionaryprinciple should be applied; considerabledifferences exist among nations as will benoted below.In this paper I review both positionsarguing that they are best understood asvariants of the homiletics of risk rather thanas differing scientific positions. I concludethat while science must necessarily enter intothe formulation of food and agriculturalstandards, state policy, private economicinterests, and the interface between the two(e.g., when democratic states are successfullylobbied to support particular privateinterests), play important roles in determininghow particular risks will be treated. Moreover,I argue that the role of science mustnecessarily be limited if its credibility is tobe preserved.     

An examination of the efficacy of the precautionary principle as a robust environmental planning and management protocol

The precautionary principle is regularly cited in cases that involve development in eco-sensitive locations. We investigated whether the precautionary principle provides the basis for a coherent framework to prevent environmental harm, and does it work in practice? We suggest that, in principle, the precautionary principle makes good sense. In practice, however, it is imprecise in policy and law and fails to fulfil its promise because it is loosely defined and thus lacks substance and clarity. Consequently, it operates in a framework that is ambiguous, leaving it open to manipulation by discretionary powers. To counter such deficiencies, human-induced environmental harm should be formally observed as ‘criminogenic’ and environmental protection prioritised against which other competing priorities (e.g., ‘year on year’ economic growth) are measured. This would overcome the politico-legal obfuscation and contestations of climate change policy that currently impedes the precautionary principle's practical application.     

Governing local sustainability

This paper draws upon the DISCUS (Developing Institutional and Social Capacity for Sustainable Development) research project, co-funded by the European Commission. The project was undertaken during 2001 – 2004 and involved an in-depth study of 40 European towns and cities in order to understand the institutional and social factors and conditions that might contribute to policy ‘achievement' or ‘failure' in local sustainable development policy and practice. Based on the findings of this research it proposes a conceptual framework for local sustainable development, linking the concepts of institutional capital, social capital and governance to provide a model for understanding the governing of local sustainability. The research shows that in those cases that exhibit sustainable development policy achievements, there are also greater levels of civil society activity and knowledge regarding sustainability issues, and high levels of institutional capacity. Confident local government is crucial to the development of institutional capacity and to institutional learning. One aspect of this is local authorities being equipped to address the longer-term issues and to have a strategic vision for a sustainable future.     

Advancing Sustainable Bioenergy: Evolving Stakeholder Interests and the Relevance of Research

The sustainability of future bioenergy production rests on more than continual improvements in its environmental, economic, and social impacts. The emergence of new biomass feedstocks, an expanding array of conversion pathways, and expected increases in overall bioenergy production are connecting diverse technical, social, and policy communities. These stakeholder groups have different—and potentially conflicting—values and cultures, and therefore different goals and decision making processes. Our aim is to discuss the implications of this diversity for bioenergy researchers. The paper begins with a discussion of bioenergy stakeholder groups and their varied interests, and illustrates how this diversity complicates efforts to define and promote “sustainable” bioenergy production. We then discuss what this diversity means for research practice. Researchers, we note, should be aware of stakeholder values, information needs, and the factors affecting stakeholder decision making if the knowledge they generate is to reach its widest potential use. We point out how stakeholder participation in research can increase the relevance of its products, and argue that stakeholder values should inform research questions and the choice of analytical assumptions. Finally, we make the case that additional natural science and technical research alone will not advance sustainable bioenergy production, and that important research gaps relate to understanding stakeholder decision making and the need, from a broader social science perspective, to develop processes to identify and accommodate different value systems. While sustainability requires more than improved scientific and technical understanding, the need to understand stakeholder values and manage diversity presents important research opportunities.     

The Rise and Fall of a Second-Generation CBNRM Project in Zambia: Insights from a Project Perspective

Since the advent of community-based natural resource management (CBNRM) in the mid-1980s, scholars and practitioners have sought to explain the uneven performance of CBNRM programs. Most CBNRM assessments examine the underlying principles of community-based conservation, the local social and ecological contexts, and connections with larger political and historical patterns. In this article, I argue that analysis of the potential and pitfalls of CBNRM also requires an understanding of the institutional history and internal dynamics of projects that implement CBNRM reforms. Drawing upon theory and methods from development ethnography and public policy, I examine the rise and fall of CONASA, a second-generation CBNRM project in Zambia that operated from 2001 to 2004. CONASA was constituted from a merger of organizations and discourses to provide continuity with previous projects. Its ambitious suite of activities included support for household livelihoods, community-based resource management, policy analysis, advocacy, and conservation enterprises at local, national, and transboundary levels. While individual activities were largely successful, CONASA’s hybrid origins and logframe-centric management created fissures between its holistic design and operational logics, and hindered its ability to develop a broader narrative and maintain key alliances. This case study illustrates the importance of understanding the interplay between project design and operational context to fully appreciate the possibilities and limitations of project-mode conservation.     

Harm to Others: The Social Cost of Antibiotics in Agriculture

It has become increasingly clear that the use of antibiotics in conventionally raised livestock contributes to the emergence of antibiotic-resistant bacteria. In this paper, I argue that the harm principle of classical liberalism should guide agricultural policy in general, and the regulation of antibiotics in livestock in particular. After developing an interpretation of the harm principle, and framing the choice to produce and consume animals treated with antibiotics as a classic prisoner’s dilemma, I consider some policy responses to the problem, including a ban on the non-therapeutic use of antibiotics.     

Bugging the Strict Vegan

Entomophagy—eating insects—is getting a lot of attention these days. However, strict vegans are often uncomfortable with entomophagy based on some version of the precautionary principle: if you aren’t sure that a being isn’t sentient, then you should treat it as though it is. But not only do precautionary principle-based arguments against entomophagy fail, they seem to support the opposite conclusion: strict vegans ought to eat bugs.     

Applying the Precautionary Principle in Environmental Assessment: The Case of Reviews in British Columbia

This paper examines the application of the precautionary principle in environmental assessment, specifically using the Salmon Aquaculture Review and the Burns Bog Ecosystem Review in British Columbia as case studies. Lessons are drawn and advice is offered. A conceptual model is presented, framed according to the level of uncertainty regarding impacts and the likelihood of those impacts, as well as the irreversibility of impacts on the environmental system. A distinction is made between management strategies that should either avoid the activities in question or allow for adaptive management and, if implemented effectively, prevent or mitigate adverse effects. Applying the precautionary principle in environmental assessment requires, above all, clear communication and the development of a common understanding of the basis for decisions. The model presented in this paper is suggested as a tool from which a more specific methodological framework can be developed on a case by case basis.     

Analysing institutional change in environmental governance: exploring the concept of ‘institutional work’

Institutional work focuses on the role of actors in creating, maintaining, or disrupting institutional structures. The concept has its origin in organisational studies. In this paper, we rethink and redefine institutional work to make it fit for use in the multi-actor and multi-level context of environmental governance. We survey key approaches to institutional change in the literature, and argue that institutional work should have a central place within this theorising. Drawing on the insights from this literature, we argue that studying institutional work should involve a look at both the actions taken by actors, as well as the resulting effects. We identify a critical need for attention to the fundamentally political character of institutional work, the cumulative effects of action taken by multiple actors, and communicative and discursive dimensions. Overall, the concept of institutional work opens up new possibilities for unpacking the longstanding challenge of understanding institutional change in environmental governance.     

Deepening A Precautionary European Policy

In regulatory practice, the principle of precaution is hardly linked to the ideal of sustainable development. In this article, we argue that it should be. We argue that sustainable development is the sense of an ethics of co-responsibility, while precaution is the attitude needed to realize this sense. From this perspective, we comment on some regulatory practices within the European context regarding authorization requests for deliberate releases of genetically modified crops and show some problems that are popping up there, for example, the difficulties in interpreting the meaning of harm” (and of benefit”), the symptomatic gap between regulatory rule and political practice. Finally, we suggest that, in order to respond to such problems, precaution should find an appropriate translation in the fields of both research and innovation policy, of authorization policy and of economic policy.     

Institutional reform in the Andean irrigation sector: Enabling policies for strengthening local rights and water management

For centuries, local and indigenous water rights and rules in the Andean region have been largely neglected and discriminated against. The process of undermining local communities’ water access and control rights continues up to today and not only is it headed by powerful local, national and international water‐use actors encroaching local rights — it is also a direct consequence of vertical State law and intervention practices, and the latest privatization policies. Recognition of and security for the diverse and dynamic local rights and management frameworks is crucial for improving rural livelihoods and even national food security in Andean countries. At the request of the Government of Ecuador — in which at that time the indigenous movement had its political participation — a research mission was organized to formulate a proposal for institutional reform, aiming at the strengthening of the national irrigation sector. In this article, some basic mission results are outlined and analyzed within the scope of four concepts (institutional viability, political democracy, equity, and water rights security), and practical elements for institutional reform are suggested, not only for the Ecuadorian irrigation sector but also other settings. The complementary roles of central Government, local governments and water user organizations in water resources management are emphasized as is the need to strengthen enabling legal and policy frameworks. The importance of translating constitutional recognition of local and indigenous rights and common property systems into practical procedures and institutional structures is also stressed.     

Spoken but not Heard: The promise of the precautionary principle for natural resource development

Too often, mining developments provide short-term jobs and taxes, and long-term environmental and community degradation. The 'precautionary principle', as practised by the European Union and increasingly by other nations, may provide an opportunity for local communities and others who bear the brunt of mining to employ a cautionary approach to mine permitting. Using the case of the Zortman-Landusky gold mine in Montana, the article illustrates how the precautionary principle might have precluded the tremendous losses suffered by the Fort Belknap residents who live near the now abandoned mine. The Native Americans and other protestors against the mine were correct in their worries about mine drainage affecting their watercourses and the precautionary principle might have limited mine development. The case also illustrates that economic data on mining companies need to go well beyond simple reclamation bond capability in order to avoid bankruptcy resulting in the neighbours and the government having to pay for clean-up.     

Energy and environment in the European Union: An indicator-based analysis

The European Environment Agency (EEA) is the European Union body dedicated to providing sound, independent information on the environment. It is a major information source for those involved in developing, adopting, implementing and evaluating environmental policy in Europe, and also for the general public. In line with its mandate, the EEA has developed — focused around a set of policy relevant questions — a set of indicators to assess progress in Europe in integrating environmental considerations into the energy sector. Each question is answered through one or more indicators describing the development of the sector in Europe, implications for the environment and links to policy actions. The indicators cover not only the current situation, but also trends and prospects and, most importantly, point to the conditions for change that are needed for progress towards a more sustainable energy policy that benefits the environment. The results of the most recent assessment are presented in this article and show that in many areas of environmental integration there have been some successes, but overall progress to date has been insufficient. Substantial additional action will therefore be required in the future if the European Union is going to move towards a more environmentally sustainable energy system.     

Beyond the Prevention of Harm: Animal Disease Policy as a Moral Question

European animal disease policy seems to find its justification in a “harm to other” principle. Limiting the freedom of animal keepers—e.g., by culling their animals—is justified by the aim to prevent harm, i.e., the spreading of the disease. The picture, however, is more complicated. Both during the control of outbreaks and in the prevention of notifiable, animal diseases the government is confronted with conflicting claims of stakeholders who anticipate running a risk to be harmed by each other, and who ask for government intervention. In this paper, we first argue that in a policy that aims to prevent animal diseases, the focus shifts from limiting “harm” to weighing conflicting claims with respect to “risks of harm.” Therefore, we claim that the harm principle is no longer a sufficient justification for governmental intervention in animal disease prevention. A policy that has to deal with and distribute conflicting risks of harm needs additional value assumptions that guide this process of assessment and distribution. We show that currently, policies are based on assumptions that are mainly economic considerations. In order to show the limitations of these considerations, we use the interests and position of keepers of backyard animals as an example. Based on the problems they faced during and after the recent outbreaks, we defend the thesis that in order to develop a sustainable animal disease policy other than economic assumptions need to be taken into account.     

INSTITUTIONAL INTERACTION IN METROPOLITAN WATER RESOURCE PLANNING1

ABSTRACT Methods of institutional coordination derived from the applied behavioral sciences have been useful in determining the policy planning, and implementation responsibilities that must be shared between local governments, watershed districts, and a regional planning body in the Minneapolis-St. Paul Metropolitan Area. The confines of the traditional behavioral science models of organizations and institutional change processes, and the realities of administrative systems imbedded in political processes at both the local and state levels, have created conflicts between regional planners, watershed district staff and consultants, and municipal administrators. A conceptual framework based on work by Selznick on institutions was applied to two watershed districts, and the results evaluated for other research purposes as well as policy development for the 1973 Minnesota legislative session.     

Why is integrating policy assessment so hard? A comparative analysis of the institutional capacities and constraints

Widely advocated as a means to make policy making more integrated, policy assessment remains weakly integrated in practice. But explanations for this shortfall, such as lack of staff training and resources, ignore more fundamental institutional factors. This paper identifies institutional capacities supporting and constraining attempts to make policy assessment more integrated. A comparative empirical analysis of functionally equivalent assessment systems in four European jurisdictions finds that there are wide-ranging institutional constraints upon integration. These include international policy commitments, the perception that assessment should support rather than determine policy, organisational traditions, and the sectorisation of policy making. This paper concludes by exploring the potential for altering these institutions to make policy assessment more integrated.     

A Precautionary Approach to Genetically Modified Organisms: Challenges and Implications for Policy and Science

The commercial introduction of genetically modified organisms (GMOs) has revealed a broad range of views among scientists and other stakeholders on perspectives of genetic engineering (GE) and if and how GMOs should be regulated. Within this controversy, the precautionary principle has become a contentious issue with high support from skeptical groups but resisted by GMO advocates. How to handle lack of scientific understanding and scientific disagreement are core issues within these debates. This article examines some of the key issues affecting precaution as a legal standard and as an approach to the use of science in decision-making processes. It is pointed out that there is a need for reflection over the level of scientific evidence required for applying the precautionary principle as well as who should have the burden of proof when there are uncertainties. Further, an awareness of the broader scientific uncertainties found in GMO risk assessment implies that a precautionary approach must be elaborated: both for acknowledging uncertainties and for identification of scientific responses. Since precaution is an important issue within the sustainable development framework, it is suggested that sustainability can provide a normative standard that can help to reveal the influence and negotiate the importance of the various forms of uncertainty. Wise management of uncertainties and inclusion of normative aspects in risk assessment and management may help to ensure sustainable and socially robust GMO innovations at present and in the future.     

Food Safety, Quality, and Ethics – A Post-normal Perspective

I argue that the issues of foodquality, in the most general sense includingpurity, safety, and ethics, can no longer beresolved through ``normal' science andregulation. The reliance on reductionistscience as the basis for policy andimplementation has shown itself to beinadequate. I use several borderline examplesbetween drugs and foods, particularly coffeeand sucrose, to show that ``quality' is now acomplex attribute. For in those cases thesubstance is either a pure drug, or a bad foodwith drug-like properties; both are marketed asif they were foods. An example of theinadequacy of old ways of thinking is obesity,whose causes are as yet outside the purview ofmedicine, while its effects constitute anepidemic disease. The new drug/food syndromeneeds a new sort of science, what we call``post-normal.' This is inquiry at the contestedinterfaces of science and policy; typically itdeals with issues where facts are uncertain,values in dispute, stakes high, and decisionsurgent. With the perspective of post-normalscience, we can better understand some keyissues. We see that ``safety' is different from``risk,' being pragmatic, moral, and recursive.Also, we understand that an appropriatefoundation for regulation and ethics is not somuch ``objectivity' as ``awareness.' In an agewhen ``consumers' are becoming concerned``citizens,' the relevant science must becomepost-normal.     

Cautious but Committed: Moving Toward Adaptive Planning and Operation Strategies for Renewable Energy’s Wildlife Implications

Wildlife planning for renewable energy must cope with the uncertainties of potential wildlife impacts. Unfortunately, the environmental policies which instigate renewable energy and those which protect wildlife are not coherently aligned—creating a green versus green dilemma. Thus, climate mitigation efforts trigger renewable energy development, but then face substantial barriers from biodiversity protection instruments and practices. This article briefly reviews wind energy and wildlife interactions, highlighting the lively debated effects on bats. Today, planning and siting of renewable energy are guided by the precautionary principle in an attempt to carefully address wildlife challenges. However, this planning attitude creates limitations as it struggles to negotiate the aforementioned green versus green dilemma. More adaptive planning and management strategies and practices hold the potential to reconcile these discrepancies to some degree. This adaptive approach is discussed using facets of case studies from policy, planning, siting, and operational stages of wind energy in Germany and the United States, with one case showing adaptive planning in action for solar energy as well. This article attempts to highlight the benefits of more adaptive approaches as well as the possible shortcomings, such as reduced planning security for renewable energy developers. In conclusion, these studies show that adaptive planning and operation strategies can be designed to supplement and enhance the precautionary principle in wildlife planning for green energy.