The risk assessment–policy gap: An example from the UK contaminated land regime

Risk-based regulation assumes that risk assessment can evaluate risks against policy objectives. However, policy goals are often ambiguous and require risk assessors to interpret them for use in risk assessment. This risk assessment-policy gap stems partly from normative and imprecise policy language but is rooted more fundamentally in society's uncertain expectations for the environment. Until this uncertainty is resolved, the democratic and regulatory effectiveness of risk regulation will be undermined by ad hoc policy decisions abdicated to risk assessors.     

Addressing uncertainties in the ERICA Integrated Approach

Like any complex environmental problem, ecological risk assessment of the impacts of ionising radiation is confounded by uncertainty. At all stages, from problem formulation through to risk characterisation, the assessment is dependent on models, scenarios, assumptions and extrapolations. These include technical uncertainties related to the data used, conceptual uncertainties associated with models and scenarios, as well as social uncertainties such as economic impacts, the interpretation of legislation, and the acceptability of the assessment results to stakeholders. The ERICA Integrated Approach has been developed to allow an assessment of the risks of ionising radiation, and includes a number of methods that are intended to make the uncertainties and assumptions inherent in the assessment more transparent to users and stakeholders. Throughout its development, ERICA has recommended that assessors deal openly with the deeper dimensions of uncertainty and acknowledge that uncertainty is intrinsic to complex systems. Since the tool is based on a tiered approach, the approaches to dealing with uncertainty vary between the tiers, ranging from a simple, but highly conservative screening to a full probabilistic risk assessment including sensitivity analysis. This paper gives on overview of types of uncertainty that are manifest in ecological risk assessment and the ERICA Integrated Approach to dealing with some of these uncertainties.     

Scenario-model-parameter: a new method of cumulative risk uncertainty analysis

The recently developed concepts of aggregate risk and cumulative risk rectify two limitations associated with the classical risk assessment paradigm established in the early 1980s. Aggregate exposure denotes the amount of one pollutant available at the biological exchange boundaries from multiple routes of exposure. Cumulative risk assessment is defined as an assessment of risk from the accumulation of a common toxic effect from all routes of exposure to multiple chemicals sharing a common mechanism of toxicity. Thus, cumulative risk constitutes an improvement over the classical risk paradigm, which treats exposures from multiple routes as independent events associated with each specific route. Risk assessors formulate complex models and identify many realistic scenarios of exposure that enable them to estimate risks from exposures to multiple pollutants and multiple routes. The increase in complexity of the risk assessment process is likely to increase risk uncertainty. Despite evidence that scenario and model uncertainty contribute to the overall uncertainty of cumulative risk estimates, present uncertainty analysis of risk estimates accounts only for parameter uncertainty and excludes model and scenario uncertainties. This paper provides a synopsis of the risk assessment evolution and associated uncertainty analysis methods. This evolution leads to the concept of the scenario-model-parameter (SW) cumulative risk uncertainty analysis method. The SMP uncertainty analysis is a multiple step procedure that assesses uncertainty associated with the use of judiciously selected scenarios and models of exposure and risk. Ultimately, the SMP uncertainty analysis method compares risk uncertainty estimates determined using all three sources of uncertainty with conventional risk uncertainty estimates obtained using only the parameter source. An example of applying the SMP uncertainty analysis to cumulative risk estimates from exposures to two pesticides indicates that inclusion of scenario and model sources.     

Risks, risk taking, and societal decisions

Risk assessment is an important tool to help evaluate the appropriate course for social decisions. But this methodology does not appear to have played a significant role in such decisions. Moreover, public decisions often appear to be at wide variance with what course risk assessment would counsel. In this paper risk is defined, the nature of risk taking is examined, and risk assessment issues in terms of societal decisions are identified. Eight such issues are listed as technical challenges for risk assessors to take into consideration if their analyses are to be more successful in influencing public policy. Finally, the paper suggests two operative guidelines to improve the effectiveness of risk assessment influence on social decisions. One is to recognize that risk assessment is only one input, albeit an important one, to such decisions. The other is to strive for simplicity without loss of completeness or exactness.     

Approaches for describing and communicating overall uncertainty in toxicity characterizations: U.S. Environmental Protection Agency's Integrated Risk Information System (IRIS) as a case study

Single point estimates of human health hazard/toxicity values such as a reference dose (RfD) are generally used in chemical hazard and risk assessment programs for assessing potential risks associated with site- or use-specific exposures. The resulting point estimates are often used by risk managers for regulatory decision-making, including standard setting, determination of emission controls, and mitigation of exposures to chemical substances. Risk managers, as well as stakeholders (interested and affected parties), often have limited information regarding assumptions and uncertainty factors in numerical estimates of both hazards and risks. Further, the use of different approaches for addressing uncertainty, which vary in transparency, can lead to a lack of confidence in the scientific underpinning of regulatory decision-making. The overarching goal of this paper, which was developed from an invited participant workshop, is to offer five approaches for presenting toxicity values in a transparent manner in order to improve the understanding, consideration, and informed use of uncertainty by risk assessors, risk managers, and stakeholders. The five approaches for improving the presentation and communication of uncertainty are described using U.S. Environmental Protection Agency's (EPA's) Integrated Risk Information System (IRIS) as a case study. These approaches will ensure transparency in the documentation, development, and use of toxicity values at EPA, the Agency for Toxic Substances and Disease Registry (ATSDR), and other similar assessment programs in the public and private sector. Further empirical testing will help to inform the approaches that will work best for specific audiences and situations.     

Converging impact assessment discourses for sustainable development: the case of Flanders,Belgium

The scientific field of impact assessment encompasses various ‘traditions’, each reflecting a set of particular policy objectives. This paper analyses two types of impact assessment. Regulatory impact analysis focuses on better regulation and competitiveness, while sustainability assessment fosters a holistic approach centred on the values of sustainable development. Through an analysis of the political discourses at the level of the European Union and at the sub-national level of the Flemish Region of Belgium, elements of convergence between the better regulation and sustainable development discourse are identified. The paper analyses how integrated impact assessment can be an integrative tool that allows to merge both discourses and to implement them in day-to-day decision-making. The potential of the existing Flemish regulatory impact analysis framework to be the starting point of an integrated assessment scheme for sustainable development is advocated and motivated.     

Risk assessment studies in Rijnmond

In heavily industrialized regions, such as the Rijnmond area, with about one million inhabitants, it is desirable that an active safety policy is conducted by the local government. This policy will be worded in a note on industrial safety, to be issued in 1986. In order to establish the risks the people in Rijnmond are exposed to, a number of studies were started. The results of these studies will form the basis of the policy note. All potential hazards were inventoried and investigated for risk computation, both for stationary objects and the transport of hazardous materials. Attention is paid not only to the methodologies involved but also to the question of the cost-effectiveness of risk assessment.     

城乡建设用地增减挂钩政策观察与思考

中国城乡建设用地利用目前存在着城市建设用地指标紧缺、农村建设用地低效利用和城乡建设用地"双增"严重占用耕地等问题。城乡建设用地增减挂钩政策推动下的城乡建设用地置换有望成为破解该问题的综合路径。但是,政策在执行过程中出现了错位现象,产生了较为严重的社会问题,影响了中国城乡土地资源的可持续利用。在总结了政策的提出与实施历程之后,运用文献分析与规划经验相结合的方法,提出了政策执行错位的症结与根源:①"挂钩"政策缺少科学理论支撑导致实践存在盲目性;②土地财政阻碍城乡土地市场一体化损伤农民利益;③保障体系不完善使政府行为公平性、"挂钩"质量与农村权益保障难以落实;④综合评估滞后使"挂钩"实施面临重大风险。在此基础上,"挂钩"研究的重点在于:①构建支撑城乡建设用地置换的理论与评价体系;②构建支撑城乡建设用地置换的城乡统一土地市场体系;③构建支撑城乡建设用地置换的实施保障体系;④构建支撑城乡建设用地置换的项目实施风险评估体系。     

Areas of uncertainty in comparing risks of energy systems

In the past, the safety of technology has mainly been ensured by deterministic criteria that were based on engineering principles and on experience. Recently, however, it has become necessary to include risk assessment into safety policy. This need arises due to the order of magnitude of possible health and environmental impact from normal operation or accidents, as well as the complexity of modern systems that no longer allow for intuitive understanding of possible accident sequences. Assessment of risks of technical installations is subject to large uncertainties that are caused by lack of data and inadequate quantification and evaluation methods. This paper reviews the main areas of uncertainties with regard to their importance for decisionmaking. Uncertainties are an inherent part of any risk assessment result and can never be avoided. It is thus important to pay particular attention to them including limitations of methods, sensitivity to assumptions about parameters, and site-specific considerations. All this information must be described in great detail so that it can be integrated into the decisionmaking process. If applied in this context, risk assessment is a useful tool for identifying major contributors to risk and effective actions of risk management.     

基于外部性内化的农地城市流转调控政策工具研究进展评述

本研究采用文献回顾法、归纳法,从农地城市流转外部性的分析与测度及政策工具在农地城市流转调控中的运用两个方面,对国内外相关研究进行了归纳与总结。结果表明,现有研究从内容和方法上都有待进一步的丰富和深入:在农地城市流转外部性的理论分析和定量测算方面,其外部性的内涵、分类与边界等尚未得到严格的界定与划分,评估技术的选择和应用尚存亟待回答的问题;在基于外部性内化的农地政策流转调控政策工具的运用方面,尚需在分析思路、政策工具的系统化和细节设计方面有所深入;在实证研究方面,亟需结合我国国情结合具体事例探讨政策工具运用的预期效果及不同政策工具可能的交互作用;此外,应考虑不确定与信息不对称对调控政策工具运行效率的影响。因此,我国学者应借鉴国内外已有的研究成果和经验,从外部性内化的角度设计适于我国国情的政策工具,从而为农地城市流转调控提供可靠的理论依据,以达到合理规制农地转用秩序的目的。     

A review of regulatory decisions for environmental protection: part II - the case-study of contaminated land management in Portugal

This paper provides a case-study analysis of the challenges in the implementation of national soil policies, which was developed by the authors in Part I of the review of regulatory decisions for environmental protection [Rodrigues SM, Pereira ME, Ferreira da Silva E, Hursthouse A, Duarte AC. A review of regulatory decisions for environmental management: Part I-challenges in the implementation of national soil policies. Environ Int 2009. doi:10.1016/j.envint.2008.08.007]. The Portuguese case was selected as a case-study since specific regulatory decisions for contaminated land management are still in the early stages of development. Given the gap between the situation at the EU level and the state of Portuguese soil policy development, it is of merit to consider national contaminated land policy regimes already in place within the EU and to see if these provide a suitable basis to define the main challenges and research needs for the implementation of a Portuguese contaminated land management strategy. A framework combining the D-P-S-I-R (drivers-pressures-sources-impacts-responses) structure of policy evaluation with the Source-Pathway-Receptor approach to health risk assessment is proposed to derive an effective regulatory framework for managing contaminated land in Portugal, using available information and only to develop new data and research where knowledge gaps exist. Funding site clean-up and assigning liability were identified as relevant factors currently hampering site remediation. Most relevant research needs for the development of contaminated land management practices in Portugal are those associated to the definition of a risk assessment framework and setting guidelines for the evaluation of risks posed to both humans and ecosystems. Other relevant and innovative features are the integration of soil function analysis into site investigations and the definition of a framework that combines risk assessment with soil function analysis. The analysis of the Portuguese case also provides insight into the discussions needed for the effective development of regulatory decisions for contaminated land management in countries with no history of implementing specific soil policies.     

A review of regulatory decisions for environmental protection: part I - challenges in the implementation of national soil policies

Since many soil studies have already revealed the possible risks to human health and the environment arising from contaminated soils it is therefore crucial to preserve soil quality under current and future conditions. In the last three decades a number of countries already introduced national policies and practices for the management of contaminated sites, and in 2002, an EU Thematic Strategy for Soil Protection was proposed by the European Commission. In this paper we review and analyse several national contaminated land policy regimes already in place in order to assess common elements and to identify specific needs in the development of national soil policies. We propose a framework that combines the D-P-S-I-R structure of policy evaluation with the Source-Pathway-Receptor approach to health risk assessment to support the development of effective country specific regulatory decisions for managing contaminated land in countries where these are yet to be implemented. The framework proposed allows decision makers to effectively use available information and to identify existing data gaps. As a result it is apparent that while there are technical aspects of site characterisation, risk assessment and remediation processes that could be commonly implemented at an EU level there are certain trans-scientific aspects that require political choices and need to be customized by EU Member States.     

Uncertainties in human health risk assessment of environmental contaminants: A review and perspective

Addressing uncertainties in human health risk assessment is a critical issue when evaluating the effects of contaminants on public health. A range of uncertainties exist through the source-to-outcome continuum, including exposure assessment, hazard and risk characterisation. While various strategies have been applied to characterising uncertainty, classical approaches largely rely on how to maximise the available resources. Expert judgement, defaults and tools for characterising quantitative uncertainty attempt to fill the gap between data and regulation requirements. The experiences of researching 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) illustrated uncertainty sources and how to maximise available information to determine uncertainties, and thereby provide an ‘adequate’ protection to contaminant exposure. As regulatory requirements and recurring issues increase, the assessment of complex scenarios involving a large number of chemicals requires more sophisticated tools. Recent advances in exposure and toxicology science provide a large data set for environmental contaminants and public health. In particular, biomonitoring information, in vitro data streams and computational toxicology are the crucial factors in the NexGen risk assessment, as well as uncertainties minimisation. Although in this review we cannot yet predict how the exposure science and modern toxicology will develop in the long-term, current techniques from emerging science can be integrated to improve decision-making.     

Risk perception research: socio-cultural perspectives on the public experience of air pollution

This paper reviews recent work in the field of risk perception research, taking its examples primarily from work relating to air pollution issues. The paper opens with a brief discussion of the psychological literature on risk perception, in order to set out the key insights, criticisms and more recent developments associated with such approaches, before turning to the findings of recent socio-cultural analyses of perceptions of air pollution. This account, which considers how social and cultural factors influence the way in which people interpret and make sense of risk, draws linkages with psychological risk perception research, revealing that over the last decade there has been a pronounced degree of convergence between the conclusions being reached across these two (historically disparate) fields of research. The paper concludes by evaluating the relevance of risk perception research for the science and policy of risk assessment and management.     

Possible underestimations of risks for the environment due to unregulated emissions of biocides from households to wastewater

The aim of this study was to investigate the role of household products as possible sources of biocidal active substances in municipal wastewater and their regulation under the Biocidal Products Regulation (EU) 528/2012. In 131 households, we investigated the prevalence of products used to control pests, washing and cleaning agents and select personal care products with high release to wastewater. Inventories of these products were established with the help of barcode scanning. All uses of biocidal active substances were evaluated regarding their assessment under the Biocidal Products Regulation.2963 products were scanned in total, with 48% being washing and cleaning agents, 43% personal care products and 9% products used to control pests. Biocidal active substances were found in each household. These were observed primarily in washing and cleaning agents and personal care products (90%), while only a small percentage of the observations of biocidal active substances was in biocidal products. 64% of the observations of biocidal active substances were in applications that do not fall under the Biocidal Products Regulation and are thus not subject to its environmental risk assessment.This study shows clearly that risks for the environment are underestimated because unregulated emissions to wastewater occur. It demonstrates that there are gaps in the current chemical legislation that lead to a release of substances into wastewater that were not subject to environmental risk assessment under the Biocidal Products Regulation. This is one example of the limitations of scientific risk assessment of chemicals – its complexity is immense. From our point of view, the results underline the importance of a sustainable use of the substances as this is the only way to decrease yet unidentified risks.     

Policy,practice and decision making for zoonotic disease management: Water and Cryptosporidium

Decision making for zoonotic disease management should be based on many forms of appropriate data and sources of evidence. However, the criteria and timing for policy response and the resulting management decisions are often altered when a disease outbreak occurs and captures full media attention. In the case of waterborne disease, such as the robust protozoa, Cryptosporidium spp, exposure can cause significant human health risks and preventing exposure by maintaining high standards of biological and chemical water quality remains a priority for water companies in the UK. Little has been documented on how knowledge and information is translated between the many stakeholders involved in the management of Cryptosporidium, which is surprising given the different drivers that have shaped management decisions. Such information, coupled with the uncertainties that surround these data is essential for improving future management strategies that minimise disease outbreaks. Here, we examine the interplay between scientific information, the media, and emergent government and company policies to examine these issues using qualitative and quantitative data relating to Cryptosporidium management decisions by a water company in the North West of England. Our results show that political and media influences are powerful drivers of management decisions if fuelled by high profile outbreaks. Furthermore, the strength of the scientific evidence is often constrained by uncertainties in the data, and in the way knowledge is translated between policy levels during established risk management procedures. In particular, under or over-estimating risk during risk assessment procedures together with uncertainty regarding risk factors within the wider environment, was found to restrict the knowledge-base for decision-making in Cryptosporidium management. Our findings highlight some key current and future challenges facing the management of such diseases that are widely applicable to other risk management situations.     

A holistic approach to Concentration Assessment of hazards in the risk assessment of landfill leachate

Risk assessment is a new research area. The risk assessment research area deals with a wide range of issues other than landfills. Examples of these issues are Radiation, Food Industry, Ecology, Epidemiology, etc. The authors have found that there are generic elements in risk assessment and these elements are independent of the subject areas mentioned above. An important example of these generic elements is the Concentration Assessment of hazards and is equally important from the perspective of landfill risk assessment. Furthermore, in the literature review of landfill risk assessment approaches, no evidence has been discovered of a holistic risk assessment methodology for landfill gas, leachate, or degraded landfill waste. A range of knowledge deficiencies has been found in the literature reviewed to date. One of these deficiencies in knowledge is the lack of a holistic procedure for carrying out Concentration Assessment. From the perspective of landfill leachate, this paper discusses the extent to which the Concentration Assessment of hazards is absent in landfill risk assessment approaches described in the literature reviewed to date, and the elements that should be added to the procedure of the Concentration Assessment in order to enhance the process of risk assessment. The paper also briefly outlines a holistic procedure for the Concentration Assessment and a corresponding computer model for the risk assessment of landfill leachate.     

基于情景分析的区域洪涝灾害风险评价——以巢湖流域为例

洪涝灾害是制约区域粮食安全和社会可持续发展的主要因子之一。在风险识别的基础上,从致灾因子、孕灾环境、承灾体等方面选取评价指标,建立评价指标体系。运用层次分析法确定指标权重,通过情景分析技术从降水、土地利用、人口、GDP等方面构建复合情景;应用GIS空间分析技术构建洪涝灾害风险评价模型,对巢湖流域洪涝灾害风险进行评价。研究结果表明:2020年巢湖流域洪涝灾害危险性由东南部向西北部减小;合肥市区的洪涝灾害易损性最大,和县的易损性最小。巢湖流域东南部洪涝灾害风险最大,西南部的大别山区风险较小,随着重现期的增大,流域的洪涝灾害风险也逐渐增大。模拟灾害发生的情景,并分析不同情景下的洪涝灾害风险,更能体现洪涝灾害的不确定性和变化性,为流域防洪战略决策研究提供科学依据。     

The risks of risk-based regulation: insights from the environmental policy domain

Risk-based regulation has become increasingly popular in recent years. Proponents argue that it facilitates robust governance, contributing to efficient and effective use of regulatory resources and delivering interventions in proportion to risk. Critics contend that the challenges of operationalising risk-based governance mitigate its potential benefits. In this paper we start by considering what we mean by risk-based governance and discuss some of the factors shaping the adoption of such strategies. We then consider the development and operation of risk-based approaches in the environmental policy domain, focusing specifically on the regulation of contaminated land and radioactive waste. We argue that whilst risk-based approaches can offer important benefits, they face a range of epistemic, institutional and normative challenges that can play an important role in shaping the way that organisations manage both risks to society and their own institutional risks. This has profound implications for achieving regulatory objectives and, for this paper, the environmental outcomes that the regulations are designed to deliver.     

环境管制政策的局限性与变革--自愿性环境政策的兴起

我国虽然基本上避免了环境质量急剧恶化的局面。但是现行环境政策并没有从根本上遏制环境状况不断恶化的趋势，我国环境政策的效率亟待摄高。究其原因，我国环境政策以行政直控的管制政策为主。具有强烈的行政管理色彩，使得政府和企业的博弈长期锁定在非合作状态。要摆脱这种困境，必须引入第三方激励、监督机制。促使双方的博弈转变为合作博弈。20世纪90年代中期自愿性环境政策的渐渐兴起，是企业和公众在产品市场上互相影响的结果。而政府起到引导激励、信号传递作用。文章从博弈论的角度对此进行了分析，自愿性环境政策缓解了环境管制成本与效果冲突的困境，是未来环境政策的一个重要的方向。