The Precautionary Principle in Action

THE PRECAUTIONARY PRINCIPLE IN ACTION
A HANDBOOK
First Edition
Written for the Science and Environmental Health Network
By
Joel Tickner Lowell Center for Sustainable Production
Carolyn Raffensperger Science and Environmental Health Network
and Nancy Myers
CONTENTS
I.
II.
III.
IV.
V.
VI.
VII.
VIII.
IX.
X.
XI.
XII.
XIII.
INTRODUCTION.......................................................................................................... 1
HISTORY OF THE PRECAUTIONARY PRINCIPLE............................................................2
COMPONENTS OF PRECAUTION..................................................................................3
METHODS OF PRECAUTION........................................................................................4
EXAMPLES OF PRECAUTIONARY ACTION.....................................................................6
TRIGGERING PRECAUTION: A PROCESS FLOW............................................................7
DIOXIN: AN ARGUMENT FOR PRECAUTION................................................................10
UNDERSTANDING UNCERTAINTY...............................................................................11
RISK ASSESSMENT OR THE PRECAUTIONARY PRINCIPLE?.........................................13
ANSWERING THE CRITICS......................................................................................... 15
BIBLIOGRAPHY.......................................................................................................... 17
APPENDIX Wingspread statement, legislative and treaty language..........................18
CONTACT INFORMATION........................................................................................... 22
I. INTRODUCTION
"When an activity raises threats of harm to human health or the environment,
precautionary measures should be taken even if some cause-and-effect
relationships are not fully established scientifically." from the January 1998
Wingspread Statement on the Precautionary Principle
For years, the environmental and public health movements have been struggling to find
ways to protect health and the environment in the face of scientific uncertainty about cause
and effect. The public has typically carried the burden of proving that a particular activity or
substance is dangerous, while those undertaking potentially dangerous activities and the
products of those activities are considered innocent until proven guilty. Chemicals,
dangerous practices, and companies often seem to have more rights than citizens and the
environment.
The Precautionary Principle in Action Page 1
This burden of scientific proof has posed a monumental barrier in the campaign to protect
health and the environment. Actions to prevent harm are usually taken only after significant
proof of harm is established, at which point it may be too late. Hazards are generally
addressed by industry and government agencies one at a time, in terms of a single pesticide
or chemical, rather than as broader issues such as the need to promote organic agriculture
and nontoxic products or to phase out whole classes of dangerous chemicals. When citizen
groups base their calls for a stop to a particular activity on experience, observation, or
anything less than stringent scientific proof, they are accused of being emotional and
hysterical.
To overcome this barrier, advocates need a decision-making and action tool with ethical
power and scientific rigor. The precautionary principle, which has become a critical aspect of
environmental agreements and environmental activism throughout the world, offers the
public and decision-makers a forceful, common-sense approach to environmental and public
health problems. This Handbook describes how it can be used to make preventive decisions
in the face of uncertainty and to drive actions that will protect public health and the
environment.
This comprehensive presentation of ideas is new, yet precaution is a concept citizen activists
have promoted for years. We, the authors, invite you to try these ideas out and write the
next chapters on the precautionary principle with us.
We are at an exciting juncture in the history of the world. On the one hand, we are faced
with unprecedented threats to human health and the life-sustaining environment. On the
other hand, we have opportunities to fundamentally change the way things are done. We do
not have to accept "business as usual." Precaution is a guiding principle we can use to stop
environmental degradation.
II. HISTORY OF THE PRECAUTIONARY PRINCIPLE
One of the most important expressions of the precautionary principle internationally is the
Rio Declaration from the 1992 United Nations Conference on Environment and Development,
also known as Agenda 21. The declaration stated:
In order to protect the environment, the precautionary approach shall be
widely applied by States according to their capabilities. Where there are
threats of serious or irreversible damage, lack of full scientific certainty shall
not be used as a reason for postponing cost-effective measures to prevent
environmental degradation.
Because the United States signed and ratified the Rio Declaration, it is bound to use the
precautionary principle. It is important for organizers to know that it is not a matter of
whether the United States will abide by the precautionary principle, but how. Nevertheless,
application of the principle is far more advanced in Europe and on the international level
than it is in the United States.
The precautionary principle has its beginnings in the German principle of Vorsorge, or
foresight. At the core of early conceptions of this principle was the belief that society should
seek to avoid environmental damage by careful forward planning, blocking the flow of
potentially harmful activities. The Vorsorgeprinzip developed in the early 1970s into a
fundamental principle of German environmental law (balanced by principles of economic
viability) and has been invoked to justify the implementation of vigorous policies to tackle
acid rain, global warming, and North Sea pollution. It has also led to the development of a
strong environmental industry in that country.
The precautionary principle has since flourished in international statements of policy;

conventions dealing with high-stakes environmental concerns in which the science is
uncertain; and national strategies for sustainable development. The principle was introduced
in 1984 at the First International Conference on Protection of the North Sea. Following this
conference, the principle was integrated into numerous international conventions and
agreements, including the Bergen declaration on sustainable development, the Maastricht
Treaty on the European Union, the Barcelona Convention, and the Global Climate Change
Convention. (See Appendix) On a national level, Sweden and Denmark have made the
precautionary principle and other principles, such as substitution for hazardous materials,
guides to their environmental and public health policy.
In the United States, the precautionary principle is not expressly mentioned in laws or
policies. However, some laws have a precautionary nature, and the principle underlay much
of the early environmental legislation in this country:
The National Environmental Policy Act requires that any project receiving federal funding
and which may pose serious harm to the environment undergo an environmental impact
study, demonstrating that there are no safer alternatives.
The Clean Water Act established strict goals in order to "restore and maintain the chemical,
physical, and biological integrity of the Nation's waters."
The Occupational Safety and Health Act (OSHA) was designed to "assure so far as possible
every working man and woman in the Nation safe and healthful working conditions."
The OSHA draft Carcinogen Standard (which was never put into practice) required
precautionary actions whenever a chemical used in the workplace was suspected of causing
cancer in animals. Early court decisions gave the Environmental Protection Agency
considerable freedom to take action to prevent harm even before considerable evidence of
cause and effect was gathered.
More recently, The Pollution Prevention Act of 1990 set prevention as the highest priority in
environmental programs in the country. In addition, the President's Council on Sustainable
Development expressed support for the precautionary principle in the form of a core belief
that "even in the face of scientific uncertainty, society should take reasonable actions to
avert risks where the potential harm to human health or the environment is thought to be
serious or irreparable." In 1996, the American Public Health Association passed a resolution
(number 9606), "The Precautionary Principle and Chemical Exposure Standards for the
Workplace," which recognized the need for implementing the precautionary approach,
including the shifting of burdens of proof so that every chemical is considered potentially
dangerous until the extent of its toxicity is sufficiently known, and the establishment of
strict, preventive chemical exposure limits.
However, despite U.S. acceptance of the precautionary principle in international treaties and
other statements, little work has been done to implement the principle. In some cases,
especially those involving trade and proactive legislation in places like Europe, the U.S.
government is actively lobbying against precautionary actions by other governments. This
has happened most recently with regards to phthalates in childrens PVC toys, beef
hormones, electronic take-back and genetically engineered foods. This lobbying threatens
to undermine use of the precautionary principle in other countries, which will ultimately
affect the pressure that other countries can exert on the U.S. to invoke the principle.
Luckily, in the case of phthalates, Vice President Gore recently wrote a letter to U.S. trade
representatives stating that European countries should be allowed to take precautionary
actions to protect childrens health without U.S. interference.
The first major effort in the United States to bring the precautionary principle to the level of
day-to-day environmental and public health decision-making at the state or federal level was
a January 1998 conference of activists, scholars, scientists, and lawyers at Wingspread,
home of the Johnson Foundation in Racine, Wisconsin. Convened by the Science and
Environmental Health Network (SEHN), participants discussed methods to implement the
precautionary principle and barriers to that implementation.
The Wingspread definition of precaution (see Appendix) has three elements: threats of harm;
scientific uncertainty; and preventive, precautionary action. The litmus test for knowing
when to apply the precautionary principle is the combination of threat of harm and scientific
uncertainty. Some would say the threatened harm must be serious or irreversible, but others
point out that this does not allow for the cumulative effects of relatively small insults.
If there is certainty about cause and effect, as in the case of lead and children's health, then
acting is no longer precautionary, although it might be preventive. In essence, the
precautionary principle provides a rationale for taking action against a practice or substance
in the absence of scientific certainty rather than continuing the suspect practice while it is
under study, or without study.
Instead of asking what level of harm is acceptable, a precautionary approach asks: How
much contamination can be avoided? What are the alternatives to this product or activity,
and are they safer? Is this activity even necessary? The precautionary principle focuses on
options and solutions rather than risk. It forces the initiator of an activity to address
fundamental questions of how to behave in a more environmentally sensitive manner. The
precautionary principle also serves as a "speed bump" to new technology, ensuring that
decisions about new activities are made thoughtfully and in the light of potential
consequences.
III. COMPONENTS OF PRECAUTION
An underlying theme of the principle is that decision-making in the face of extreme
uncertainty and ignorance is a matter of policy and political considerations. Science can
inform that decision but it is foolish to think that "independent" or "sound" science can
resolve difficult issues over cause and effect. Thus, a decision for further study or not to do
anything in the face of uncertainty is a policy decision not a scientific one just as as taking
preventive action would be.
A precautionary approach to environmental and public health decision-making includes
these specific components:
Taking precautionary action before scientific certainty of cause and effect. Most of the
international treaties stating the precautionary principle incorporate it as a general duty on
states to act under uncertainty. This provides a mechanism of accountability for preventing
harm. General duties - obligations to act in a certain way even in the absence of specific
laws - are not uncommon in the United States. For example, the Occupational Safety and
Health Act demands that an employer "furnish each of his employees employment and a
place of employment which are free from recognized hazards that are causing or are likely to
cause death or serious physical injury."
Setting goals. The precautionary principle encourages planning based on well-defined goals
rather than on future scenarios and risk calculations that may be plagued by error and bias
(see risk assessment discussion below). For example, Sweden has set the goal of phasing
out persistent and bioaccumulative substances in products by the year 2007. The
government is now involving a variety of stakeholders in determining how to reach that goal.
Sometimes called "backcasting" in contrast to the more usual "forecasting" of an uncertain
future, this type of planning creates fewer miscalculations and spurs innovative solutions.
Seeking out and evaluating alternatives. Rather than asking what level of contamination is
safe or economically optimal, the precautionary approach asks how to reduce or eliminate
the hazard and considers all possible means of achieving that goal, including forgoing the
proposed activity. Needless to say, alternatives proposed to a potentially hazardous activity
must be scrutinized as stringently as the activity itself.
Shifting burdens of proof. Proponents of an activity should prove that their activity will not
cause undue harm to human health or ecosystems. Those who have the power, control, and
resources to act and prevent harm should bear that responsibility. This responsibility has
several components:
Financial responsibility. Regulations alone are not likely to spur precautionary
behavior on the part of governments or those who are proponents of a questionable
activity. However, market incentives, such as requiring a bond for the worst possible
consequences of an activity or liability for damages, will encourage companies to
think about how to prevent impacts. Such assurance bonds are already used in
construction projects as well as in Australia to minimize damage from development
projects.
The duty to monitor, understand, investigate, inform, and act. Under a precautionary
decision-making scheme, those undertaking potentially harmful activities would be
required to routinely monitor their impacts (with possible third party verification),
inform the public and authorities when a potential impact is found, and act upon that
knowledge. Ignorance and uncertainty are no longer excuses for postponing actions
to prevent harm (see uncertainty discussion below).
Developing more democratic and thorough decision-making criteria and methods. The
precautionary principle requires a new way of thinking about decisions and weighing
scientific and other evidence in the face of uncertainty. This type of precautionary decisionflow, addressing both new and existing activities, is described in a later section. Because
difficult questions of causality are in essence policy decisions, potentially impacted publics
must be involved in the decision process. Thus, structures to better involve the public in
decision-making are required under a precautionary approach.
IV. METHODS OF PRECAUTION
Preventive actions should be taken, when possible, at the design stage of a potentially
hazardous activity to ensure their greatest impact. The precautionary principle does not
fulfill its purpose unless preventive methods for carrying out precaution are implemented.
Otherwise, risks may be shifted or the problem may persist, though to a lesser degree.
However, one can think of a spectrum of precautionary actions from weak (intensive
studying of a problem) to strong (prohibiting or phasing out a specific activity). Numerous
tools for carrying out precautionary policies have been used throughout the world:
Bans and phase-outs. A ban or phase-out could be considered the strongest precautionary
action. At least 80 countries ban the production or use of a small number of highly toxic
substances. The Nordic countries have particularly advanced the use of bans as a public
health strategy. These countries see bans and phase-outs as the only way to eliminate the
risk of injury or disease from a very toxic chemical or hazardous activity. Several chemicals,
including cadmium and mercury, are now being phased out in Sweden. The International
Joint Commission (see later discussion) recommended a phase-out of industrial chlorine
chemistry in the Great Lakes region.
Clean production and pollution prevention. Clean production involves changes to production
systems or products that reduce pollution at the source (in the production process or product
development stage). Other clean-production activities address the dangers of products
themselves, introducing sustainable product design, bio-based technologies, and the
consideration of raw material and energy consumed in product creation, as well as
questioning the fundamental need for products.
Alternatives assessment. Alternatives assessment is an accepted methodology as well as an
underlying component of precaution. For example, the U.S. National Environmental Policy
Act calls on the federal government to investigate alternatives (in an Environmental Impact
Statement), including a no-action alternative, for all of its activities (or activities it funds)
determined to have potential environmental impacts. Citizens have the right to appeal
decisions if a full range of options is not considered. Several European countries have
initiated such programs for all potential industrial polluters. Nicholas Ashford at the
Massachusetts Institute of Technology has developed a structure for chemical accident
prevention called Technology Options Assessment. Under this scheme, companies would be
required to undertake comprehensive assessments of alternative primary prevention
technologies and justify their decision if safer alternatives were not chosen.
Health-based occupational exposure limits. Over a period of several years, a group of
occupational health experts in the United States has developed a list of occupational
exposure limits based on the lowest exposure level at which health effects have been seen.
These levels are proposed as new occupational exposure limits.
Reverse onus chemical listing. Proposals in Denmark and the U.S. have been put forward to
drive the development of information on chemicals and their effects. In Denmark, one
proposal would require a chemical to be considered the most toxic in its class if full
information on its toxicity was not available. A U.S. proposal would require that all chemicals
produced in high volume, for which basic toxicity information did not exist, would be added
to the toxics-release inventory for emissions and waste reporting.
Organic agriculture. The U.S. Department of Agriculture is considering using the
precautionary principle as a rule for deciding whether new technologies and substances may
be permitted in organic agriculture. Although these decisions are now based on risk
assessment upon evidence of "measurable degradation," organic agriculture lends itself to
the precautionary approach. It is risk averse, premised on the principle of avoiding
substances and practices that might cause harm rather than waiting for proof of harm.
Ecosystem management. Biodiversity issues are suited to the precautionary principle
because their complexity and geographic scope increase scientific uncertainty, and because
the results of errors can be devastating. Risk assessment and other tools have been unable
to predict and prevent such disasters as the devastation of marine ecosystems and the
collapse of fisheries. Ecosystem management, like epidemiology, calls for new approaches
to the philosophy of science and new standards for human intervention. Applying the
precautionary principle would suggest, for example, that interventions must be reversible
and flexible. Any mistakes must be correctible.
Premarket or pre-activity testing requirements. The Federal Food and Drug Act requires that
all new pharmaceuticals be tested for safety and efficacy before entering the market. This
model could be applied to industrial chemicals and other activities.
V. EXAMPLES OF PRECAUTIONARY ACTION

The International Joint Commission
Perhaps the most noteworthy application of the precautionary principle in the United States
has occurred in the Great Lakes Region. The Great Lakes have been threatened for years by
the emission of persistent organic compounds into their waters. In the late 1970s, the United
States and Canada signed the Great Lakes Water Quality Agreement (GLWQA) which
establishes the goal of virtually eliminating discharges of persistent compounds from the
Great Lakes. Under the GLWQA, the International Joint Commission (IJC), a 100-year-old binational body established to protect waters along the border, was designated to conduct
research and issue statements on the quality of the lakes and threats to that quality.
In its Sixth Biennial Report on Great Lakes Water Quality (1992) the IJC noted the damage
caused by persistent and bioaccumulative substances in the Great Lakes Basin and the
critical need to address those. They also recognized that attempts to manage such
chemicals, based on the notion of assimilative capacity in the environment, had failed
miserably. The Commission issued a call to phase out all persistent toxic substances in the
Great Lakes Ecosystem and stated:
Such a strategy should recognize that all persistent toxic substances are
dangerous to the environment, deleterious to the human condition, and can
no longer be tolerated in the ecosystem, whether or not unassailable scientific
proof of acute or chronic damage is universally accepted.
Gordon Durnil, who was appointed by President Bush to head the U.S. delegation to the
Commission, recalled at the January 1998 Wingspread conference how the commission
reached this conclusion: "When we commissioners asked scientists what they knew about
the effects of pollutants on people and wildlife, they would say they knew nothing for sure.
Finally we began asking them what they believed was happening, based on their vast
experience and observations. What those scientists of diverse backgrounds said then
convinced me that we knew enough about the effects of those discharges to try to eliminate
them altogether."
Toxics use reduction in Massachusetts
The Massachusetts Toxics Use Reduction Act is a salient example of the principle of
precautionary action. Passed in 1989, the Act requires that manufacturing firms using
specific quantities of some 900 industrial chemicals undergo a biannual planning process to
identify ways to reduce use of those chemicals. There are several aspects of Toxics Use
Reduction that make it a good example of precautionary action:
Goal-setting. The Commonwealth established a goal of reducing toxic by-product (waste) by
50 percent.
Alternatives. Rather than instructing industrial facilities to identify the "safe" level of use, the
Act considers any amount of use too much. Companies are required to understand why and
how they use specific chemicals and to conduct comprehensive financial, technical,
environmental, and occupational health and safety analysis of viable alternatives to ensure
that the alternatives are indeed better.
Monitoring and reporting. Companies are required to measure their progress yearly at
reducing their use of toxic chemicals. This information is available to the public.
Responsibility. While the burden is on the firm to identify alternatives and analyze their
chemical impacts, Massachusetts provides support and incentives to ensure that progress is
made in reducing toxic chemical use.
Firms are not required to undertake any particular option but in many cases the economic
and environmental, health, and safety benefits provide enough justification for action. Costs
associated with chemical purchases, tracking, and waste disposal are very high. From 1990
to 1995, companies in Massachusetts reduced their toxic chemical emissions by more than
two-thirds, their total chemical waste by 30 percent, and their total use by 20 percent.The
Act saved Massachusetts industry some $15 million, not including the public health and
environmental benefits gained through the program.
VI. TRIGGERING PRECAUTION: A PROCESS FLOW
This section describes a process for applying the precautionary principle to a specific
problem. It includes case studies of two types, one addressing a new or proposed activity,
the other addressing an existing problem. The approaches are nearly identical, but with
subtle differences. For new activities the emphasis will be on shifting the burden of proof to
proponents of a potentially harmful activity. Proponents should not only demonstrate that
the activity will not be harmful, but also that they have considered a wide range of
alternatives, including forgoing the questionable activity. Of course, such analyses should
also be independently verified. For existing activities the most useful tool is the heart of the
precautionary principle: action before proof of harm, again, with the burden on the
proponent.
This decision tree provides a consistent basis for advocates to define, examine, and identify
alternatives to threats to health and the environment. Following these common-sense,
rational steps in the decision-making process, some of which are described in business
textbooks, leaves activists less open to charges of emotionalism. Instead of taking a simple
opposition stance, advocates can lead a community toward rational and wise solutions.
The steps are simple: first characterize and understand the problem or potential threat;
understand what is known and not known; identify alternatives to the activity or product;
determine a course of action, and monitor. (If the impacts of a particular activity are known,
then the actions taken are no longer precautionary; they are either preventive or control
actions.)
Case study A, new product or activity: a proposal to spray aerially a new
insecticide in your community.
Case study B, existing problem: a leaking landfill.
Step One: Identify the possible threat and characterize the problem
The purpose of this step is to gain a better understanding of what might happen should the
activity continue and to ensure that you are asking the right questions about this activity.
Poor solutions are often a result of badly defined problems. Identify both the immediate
problem and any other global issues that might go along with this threat. Here are questions
to ask:
Why is this a problem? Presumably it has the potential to threaten public health or the
environment.
What is the potential spatial scale of the threat - local, statewide, regional, national, global?
What is the full range of potential impacts? To human health, ecosystems, or both? Will there
be impacts to specific species or loss of biodiversity? Are the impacts to waterways, air, or
soil? Do indirect impacts need to be considered (such as a product's lifecycle-production and
disposal)?
Will some populations (human or ecosystems) be disproportionately affected?
What is the magnitude of possible impacts (intensity)? Is the extent of harm negligible,
minimal, moderate, considerable, catastrophic?
What is the temporal scale of the threat? There are two issues to consider: 1) The time lapse
between a threat and possible harm (immediate, near future, future, future generations).
The further in the future harm might occur, the less likely that impacts can be predicted, the
harder it will be to identify and halt a problem, and the more likely that future generations
will be impacted. 2) Persistence of impacts (immediate, short term, mid term, long term,
inter-generational).
How reversible is the threat? If the threat were to occur would it be easy to fix or last for
generations? (easily/quickly reversed, difficult/expensive to reverse, irreversible, unknown)
A note about existing problems: Defining a problem at hand is less difficult than projecting
problems from a future project. But the first questions are similar: Is the problem local
pollution from a particular facility or broader lack of attention to pollution prevention or
both? Is it caused by a government failure or a company's negligence? Is it a serious threat
or just an eyesore?
A. In the aerial spraying case, the threat could be characterized as human and
ecosystem exposure to pesticide drift, as well as impacts on non-target
species. The spatial scale might be local, but if the pesticides are persistent or
there are heavy winds, the impacts could be regional or even global. The
magnitude and temporal scale would depend on the toxicity of the pesticide,
as would reversibility.
B. In the landfill case, the problem is caused by a faulty liner and inadequate
inspection by town officials. The problem is likely localized but if the leachate
runs into surface water, it might be carried long distances. The problem could
be short or long term, depending on what is leaking out of the landfill (e.g.,
heavy metals or solvents). The leaking may disproportionately impact certain
populations living around the landfill.
Step Two: Identify what is known and what is not known about the threat.
The goal of this step is to gain a better picture of the uncertainty involved in understanding
this threat. Scientists often focus on the what we know, but it is equally, and perhaps more,
important to be clear about what we don't know. There are degrees and types of uncertainty,
as the later discussion explains. Relevant questions:
Can the uncertainty be reduced by more study or data? If so, and if the threat is not great, a
project with substantial benefits might be continued.
Are we dealing with something that is unknowableor about which we are totally ignorant?
High uncertainty about possible harm is good reason not to go ahead with a project.
What is known about additive and synergistic effects from exposure to multiple stressors
and cumulative effects from combined exposures to various stressors?
Do industry and government claims that an activity is safe mean only that it has not yet
been proven dangerous?
You might want to make a chart listing what is known and what is not known about the
threat to gain a better comparative picture and understand gaps in understanding.
A. In the case of the pesticide, you probably do not know the inert ingredients,
which constitute the majority of the formulation. You probably do not know
most human health effects other than neurotoxicity and carcinogenicity. You
do not know about drift and volatilization. You do not know additive or
cumulative effects to ecosystems or health. You do not know all the exposure
routes (drinking water, showers, etc.) or how much exposure there will be. You
do not know effects on beneficial insects and pollinators. You do have label
information as well as information on wind direction and velocity on the day
proposed for spraying. Perhaps there is also some monitoring data on drift.
B. In the case of the landfill you do not know what materials are in the landfill,
as they come from multiple sources. You also do not know what reactions may
occur between materials in the landfill. You have some information on the
hydrology of the area but do not know whether drinking water will be affected
or over what time course.
Step Three: Reframe the problem to describe what needs to be done

The goal of this step is to better understand what purpose the proposed activity serves. For
example, a development provides housing, a solvent provides degreasing, a pesticide
provides pest management, a factory provides jobs and a product for a specific service. The
problem can then be reframed in terms of what needs to be achieved in order to more
readily identify alternatives.
A. In the case of the pesticide, reframing the problem leads to the more
important issue of managing pests rather than spraying pesticides.
B. An existing problem may or may not call for a reframing. In the landfill
case, is it time for the community to reconsider how it disposes of waste?
Step Four: Assess alternatives.
Proposed and existing activities are addressed somewhat differently in this step.
Proposed activities: Integral to the precautionary principle is a comprehensive, systematic
analysis of alternatives to threatening activities. This refocuses the questions to be
considered by a regulator or company from how much risk is acceptable to whether there is
a safer and cleaner way to undertake this activity. Assessing alternatives drives ingenuity
and innovation. It is more difficult to dismiss proposals that not only name problems but set
forth alternatives, or demand that they be considered. The "no action" alternative must be
considered: perhaps an activity should not proceed because it poses too much of a threat
and/or is not needed.
Existing activities: At this point you would develop and assess a range of alternative courses
of action to deal with the problem. The options can be to study further, to completely stop
the activity, prevent, control, mitigate, or remediate.
In either case, the assessment of alternatives is a multi-stage process.
First, you might brainstorm a wide range of alternatives, then screen out those options that
seem impossible.
The next stage is to assess the alternatives to determine whether they are politically,
technically, and economically feasible. Do not let conventional wisdom limit this assessment.
Keep in mind that something that is not economically or technically feasible today may be
feasible in the near future. And government agencies and firms rarely consider the
"external" costs of threatening activities harm to health, loss of species, etc. which are often
unquantifiable.These concerns must be incorporated in the assessment.
The last step of the alternatives assessment is to consider potential unintended
consequences of the proposed alternatives. A common criticism of the precautionary
principle is that its implementation will lead to more hazardous activities. This need not be
true: alternatives to a threatening activity must be equally well examined.
A. In the case of the pesticide, alternatives might include not spraying at all,
using integrated pest management techniques, spraying with a less toxic
pesticide, or ground spraying to avoid drift.
B. In the case of the landfill, several alternatives exist. Further study could be
conducted to better understand what is leaching and how it is affecting local
groundwater. Another action would be to close the landfill but then the
community would need to find alternative disposal methods, which may
include incineration, the emissions from which present a substantial problem.
Another option may be to cap sections of the landfill that are leaching.
Step Five: Determine the course of action.
Take all the information collected thus far and determine how much precaution should be
taken stopping the activity, demanding alternatives, or demanding modifications to reduce
potential impacts. A useful way to do this is by convening a group of people to weigh the
evidence, considering the information on the range and magnitude impacts, uncertainties,
and alternatives coming from various sources. The weight of evidence would lead to a
determination of the correct course of action.
A. In the example of pesticide spraying, it might be determined that spraying
is unnecessary because it is unclear what pests are being fought and the
extent to which they might harm crops. The course of action would be to
monitor pest damage and conduct localized interventions when needed.
B. For the landfill, the course of action could be further study to identify the
range of impacts, with independent review. This could be followed by a local
choice of options, closing the landfill or controlling leachate.
Step Six: Monitor and follow up
No matter what action is taken, it is critical to monitor that activity over time to identify
expected and unexpected results. Those undertaking the activity should bear the financial
responsibility for such monitoring, but when possible this should be conducted by an
independent source. The information gathered might warrant additional or different courses
of action.
In the pesticide example, if spraying proceeds, you might require health tests
and alert doctors to health consequences.
If parts of the landfill are capped, regular monitoring would ensure that
leaching does not occur, or that prompt action will be taken if it does.
VII. DIOXIN: AN ARGUMENT FOR PRECAUTION

Dioxin is one of the most intensively studied substances ever, but we remain ignorant about
the full range of its impacts. Growing evidence suggests that dioxin is harmful to humans
and other living things, but absolute proof of harm has not been established. The dioxin
assessment and reassessment process instigated by the U.S. Environmental Protection
Agency in the early 1990s, is a seemingly endless attempt to reduce the uncertainties about
the impacts of this chemical. But it will not stop exposure to dioxin. Instead, it is likely to
lead to more debate about controlling sources of dioxin and about how much of the
substance can be tolerated by humans and the ecosystem.
This case presents a classic example of why and how the precautionary principle should be
applied. First, the argument for precaution:
Evidence of harm. Dioxin is extremely toxic in laboratory experiments, both acutely and
chronically at very low doses. As a result of laboratory evidence and mechanistic evidence,
the most toxic dioxin, TCDD, has been identified as carcinogenic to humans by the
International Agency for Research on Cancer. Dioxin has been associated with various other
effects as well, such as chloracne, and may be associated with endometriosis and other
diseases. There is some evidence that adverse effects occur at very low levels, near current
"background" levels.
Persistence and irreversible harm. The time and spatial scale of dioxin contamination is vast.
Dioxin has been measured throughout the globe and its persistence, both in humans and the
environment, means that future generations will be exposed to dioxin produced today. Harm
caused by dioxin to humans and ecosystems is likely to be irreversible, or reversible only
over decades.
Difficulty of control and cleanup. Because small quantities may be harmful, controlling dioxin
emissions, especially from open sources such as burning, to the extent that would protect
public health is virtually impossible and extremely costly. Thorough cleanup is also virtually
impossible.
Scientific uncertainty. Because cancer, one result of dioxin exposure, can take years to
manifest itself, it is often impossible to link exposure and disease. The connectivity of
impacts, mixtures of dioxins with other persistent organic chemicals and other stressors, is
also relatively unknown. For example, how might work-related stress combine with dioxin
exposure to affect the immune system? There is some laboratory evidence of interactions
but interactions are extremely difficult to prove.
Prevention is possible. There is general consensus that dioxin is mainly created by human
activities. Many sources of dioxin can be reduced or eliminated in the short term through
precautionary action.
Current measures are insufficient. While some data suggest that levels of dioxin have fallen,
possibly because old incinerators have been shut down or retrofitted and pollution control
and technologies have changed, the problem is not solved. Levels of dioxin may increase in
the future, for example, as more PVC products are incinerated or burned in accidental fires.
A precautionary approach to dioxin would no doubt set a goal of zero exposure, which would
probably mean zero emissions. But there are degrees of precaution.
A moderate precautionary approach would first look at reducing or eliminating the largest
sources of dioxin, which we know to be municipal and medical waste incineration, as well as
pulp and paper production, iron and steel production, hazardous waste incineration, and
open burning. But this approach might mean that materials producing dioxin would be
transferred elsewhere, perhaps to landfills where they might catch fire and burn without
controls, or to Third World countries.
A stronger version of precaution, a materials approach, would attempt to address the main
sources of chlorine, the ultimate source of dioxin. The focus would be on chlorinated
pesticides and solvents, pulp and paper production, and polyvinyl chloride plastics. Phasing
out PVCs, by far the largest users of chlorine, would no doubt greatly reduce dioxin
emissions. But we would then have to ask what the alternatives are to PVCs, whether they
are safer, and whether they involve chlorine. We would also have to ask whether chlorine
now produced for PVCs would be channeled into other products.
Phasing out chlorine is the only way to virtually eliminate dioxin, especially in industrial
processes and products. Otherwise, we will always be chasing sources, debating how much
dioxin is safe, and attempting to measure the emissions from each source. More science is
critical to precautionary action, to monitor and measure sources and exposure, to uncover
possible new sources of exposure, to research alternatives to chlorine, and to make sure that
these alternatives do not pose serious problems of their own. But this process should not
forestall action to reduce and eliminate dioxin emissions and exposure. Precaution must be
taken at once.
VIII. UNDERSTANDING UNCERTAINTY
In the open, dynamic environments in which humans live and operate, knowledge often has
limits, and scientific certainty is difficult to attain. Uncertainty itself comes in many varieties,
nonscientific as well as scientific. Some kinds of uncertainty can be addressed and reduced;
others cannot. When we make judgments affecting the environment and public health,
understanding what we do not know, and why, is as important as pinning down facts.
Uncertainties can be placed in the following categories:
Parameter uncertainty refers to missing or ambiguous information in specific informational
components of an analysis. Parameter uncertainty can often be reduced by gathering more
information or using better techniques to gather and analyze it. However, if it is due to
variability, this may not be the case. In environmental releases, individuals not only receive
various exposures; they also vary in their susceptibility to harm. Attempts to measure and
control exposure to hazards may inadequately protect many in the population.
Model uncertainty refers to gaps in scientific theory or imprecision in the models used to
bridge information gaps, for example, in a dose-response model. Models are constructed to
explain current or past events or predict the future. They are only as good as the information
used to build them which is necessarily incomplete when models refer to open and
interdependent environmental systems. Models can be improved as they incorporate more,

and more precise, information.
Systemic or epistemic uncertainty refers to the unknown effects of cumulative, multiple,
and/or interactive exposures. Systemic uncertainty can be an important confounding factor
in large-scale or long-term analyses.
Smokescreen uncertainty refers to the strategies of those who create risks and have a stake
in concealing the effects of a specific substance or activity. They may refrain from studying a
hazard, conceal knowledge of effects, or design studies to create uncertainty. Critics of
regulation often use uncertainty to avoid it.
Politically induced uncertainty refers to deliberate ignorance on the part of agencies charged
with protecting health and the environment. The agency may decide not to study a hazard,
limit the scope of its analysis or alternatives to solve a problem, downplay uncertainty in its
decisions, or hide uncertainty in quantitative models.
Indeterminacy means that the uncertainties involved are of such magnitude and variety that
they may never be significantly reduced.
Ignorance has two faces: Positively, it is a humble admission that we don't know how much
we don't know. Negatively, it is the practice of making decisions without considering
uncertainties.
Example: Toxicity testing for industrial chemicals
Under the Toxic Substances Control Act, chemical manufacturers and importers are required
to submit data related to the potential health effects of chemicals before manufacturing
them. The Environmental Protection Agency can then require additional testing before that
chemical reaches the market. Companies must also submit evidence of substantial risk if
that becomes available once the substance is on the market.
As early as 1984, the National Academy of Sciences noted the overwhelming lack of data on
the health effects of industrial chemicals. The Academy found that 78 percent of the
chemicals in highest-volume commercial use did not have even "minimal" toxicity testing.
The situation has not improved some fourteen years later, as noted by the Environmental
Defense Fund [1997] and the Environmental Protection Agency [1998]. For the 3,000 highproduction-volume chemicals, those with over one million pounds in commerce, the studies
noted the following: 93 percent lack some basic chemical screening data; 43 percent have
no basic toxicity data; 51 percent of chemicals on the Toxic Release Inventory lack basic
toxicity information; and a large percentage of available information is based only on acute
toxicity.
Vice-President Al Gore has ordered industry to perform basic screening of these 3,000
chemicals, but this will not include data on human exposure, health effects, and risk. The
EPA will not be bound to act on the information it receives.
Numerous forms and sources of uncertainty and ignorance exist in industrial chemical
testing and the approval process:
Ignorance is manifest in the EPA practice of permitting chemicals to be used and released
into the environment without knowing their full range of health effects.
Parameter uncertainty exists in the lack of data on human exposure and various results of
toxicity, including how specific toxic chemicals affect developing fetuses and newborns.
The lack of data leads to model uncertainty.
Systemic uncertainty exists because science has only begun to study the interactions of
toxic chemicals in the environment and their cumulative effects.
Industry's failure to conduct or report on testing and attempts to focus discussions on other
factors (mechanisms of action of disease, diet and genetics, and "natural" carcinogens)
represents a form of smokescreen uncertainty. For example, when the EPA offered
temporary leniency to industry to submit notifications of substantial chemical risk, the
agency received some 11,000 notifications in a short period.
Politically induced uncertainty occurs when government agencies do not enforce or require
chemical testing, and when they determine to study one chemical rather than another.
Traditional research science attempts to gather nearly complete and perfectly supportive
information before claiming a cause-and-effect relationship. Statistically, scientists want to
be 95 percent sure that the results they have observed are not due to chance alone. This
paradigm of science unfortunately has been carried over to looking at hazards to human
health and the environment. Decision-makers' quest for 95 percent certainty is an attempt
to avoid what are called Type I errors, taking action or regulating when a hazard does not
exist in reality. By focusing on avoiding these types of errors, decision-makers increase the
possibility of not taking action when there actually is harm, that is, of making what is called
a Type II error.
Uncertainty can be a source of power to government agencies and industry. Uncertainty can
be used to say that we do not know enough yet, and that taking action would be irrational or
based on "junk science." These spokespersons seldom say, though, how much they know or
do not know. Industry representatives will use terms like "safe" or "approved" when a
product has not actually been tested, or when there is uncertainty.
Uncertainty can also be a weakness for a government agency faced with justifying to
industry why action should be taken in the absence of absolute proof of harm. It is much
easier for a government agency to cover up uncertainty with quantitative analyses that look
objective and scientific on their surface than to face the wrath of industry. This coverup is
also a way of deflecting public wrath. Knowledge is equated with scientific and technical
knowledge. The knowledge that has been gained through tradition or life experience is
discounted in favor of knowledge that can be quantified.
Currently, uncertainty is used as a reason not to take preventive action for human health
and the environment. But we can use uncertainty as a reason to act, realizing that we may
never know how a particular hazard affects humans or the environment. We need to
consider what we know and how we know it, and the limits to knowing. Environmental and
public health advocates have to ask difficult questions of industry and regulators to expose
the depths of our ignorance. Once this lack of knowledge has been exposed, the notion of
needlessly exposing humans and the environment to hazards without information on their
effects seems irrational, and precaution seems logical.
IX. RISK ASSESSMENT OR THE PRECAUTIONARY PRINCIPLE?
During the 1970s, the decision-making tools of risk assessment and cost-benefit analysis
were developed to bridge the gap between uncertain science and the political need for
decision-making to limit harm. However, in their development, a great deal of faith was
placed in the ability of science to model and predict harm in extremely complex ecological
and human systems. Risk assessment, which was originally developed for mechanical
problems such as bridge construction, in which the technical process and parameters are
well-defined and can be analyzed, took on the role of predictor of extremely uncertain and
highly variable events.
Risk assessment is viewed by government agencies and those in industry as the "sound
science" approach to decision-making, in which decisions are made on the basis of what can
be quantified, without considering what is unknown or cannot be measured. These are
lumped into the category of uncertainty, as discussed earlier. Although few scientists will
admit it, risk assessment and other "sound science" approaches to decision-making are
highly reliant on policy and scientific assumptions, which are frequently unscientific or
subjective.
There is a proper, if secondary, role for risk assessment in increasing our understanding of
the complexities of environmental harm. But as traditionally practiced, risk assessment has
often stood in the way of protecting human health and the environment. Here are some of
the major assumptions and flaws of conventional risk assessment:
Risk assessment assumes "assimilative capacity," that is, that humans and the environment
can render a certain amount of pollution harmless. Eliminating risk altogether is not a
plausible outcome of risk assessment. Risk assessment is used to manage and reduce risks,
not prevent them. This deters more fundamental efforts to institute clean production.
Risk assessment focuses on quantifying and analyzing problems rather than solving them. It
asks how much pollution is safe or acceptable; which problems are we willing to live with;
how should limited resources be directed? While these are valid questions, they bar more
positive approaches: how do we prevent harmful exposures; move toward safer and cleaner
alternatives; involve society in identifying, ranking, and implementing solutions?
Risk assessments are susceptible to model uncertainty. Current risk assessment is based on
at least 50 different assumptions about exposure, dose-response, and extrapolation from
animals to humans. All of these have subjective and arbitrary elements. As a result, the
quantitative results of risk assessments are highly variable.
The European Union recognized the limitations to risk assessment assumptions in its
European Benchmark exercise in hazard analysis. In the exercise, eleven European
governments established teams of scientists and engineers to work on a problem about
accidental releases of ammonia. The result of the exercise was eleven different risk
estimates ranging from 1 in 400 to 1 in 10 million. The organizers concluded that "at any
step of a risk analysis, many assumptions are introduced by the analyst and it must be
recognized that the numerical results are strongly dependent on these assumptions [Contini,
et al. 1991. Benchmark Exercise on Major Hazard Analysis. EUR 13386 EN Commission of the
European Communities, Luxembourg].
At the same time, current risk assessment leaves out many variables, especially multiple
exposures, sensitive populations, or results other than cancer. Risk assessment is geared
toward setting single chemical standards and is incapable of analyzing the mixtures of
chemicals found in many communities. It does not adequately take into account sensitive
populations, such as the elderly, children, or those already suffering from environmentally
induced disease. It rarely looks at effects other than cancer, although many environmental
health problems involve respiratory disease, birth defects, and nervous system disorders.
Risk assessment is designed to analyze linear response (more exposure leads to more harm)
and is stymied if this is not the case. For example, emerging evidence about the ability of
some synthetic substances to disrupt the hormone system in humans is showing that low
doses rather than high doses may lead to these effects.
Risk assessment allows dangerous activities to continue under the guise of "acceptable
risk." Risk assessment provides an air of quantitative, technical sophistication to inexact,
assumption-laden, and politically driven science. It allows the continuation of activities that
lead to greater pollution and degradation of health under the premise that it is either safe or
acceptable to those who are exposed. It staves off regulation and action in the face of
uncertainty and insufficient evidence.
Risk assessment is costly and time-consuming. A single risk assessment may take up to five
person-years to complete. It ties up limited resources in trying to quantify and rank risks
when the effects of exposures may already be obvious (see dioxin analysis above). Risk
assessments take resources away from prevention-focused solutions.
Risk assessment is fundamentally undemocratic. Those exposed to harm are rarely asked
whether exposure is acceptable to them, what biologist Sandra Steingraber labels a violation
of fundamental human rights, or toxic trespass. Risk assessment traditionally does not
include public perceptions, priorities, or needs, and while some efforts have been made to
involve the public in risk-assessment processes, widespread public participation in either
scientific analysis or decision-making is not a likely prospect in the coming years. No
mechanisms for this exist. The risk-assessment process is most often confined to agency
and industry scientists, consultants, and sometimes a high-tech environmental group. Public
involvement in risk assessments has generally only legitimized a pernicious process.
Risk assessment puts responsibility in the wrong place. It assumes that society as a whole
must deal with environmental harm, and assumes a scarcity of resources for this task. The
contention that "society" does not have enough resources for all environmental protection
activities diverts attention from those responsible for harm, those who created it, not those
who have suffered from it. If scarcity is a factor, it would be wise to shift government
resources from studying problems ad infinitum to identifying safer alternatives to potentially
dangerous activities.
Risk assessment poses a false dichotomy between economic development and
environmental protection. Regulatory agencies often attempt to tie the "scientific" process
of risk assessment to cost-benefit analysis, linking science and economic policy in
environmental decision-making. The agencies fail to consider, however, the question of who
assumes the costs and who reaps the benefits. Moreover, the economic benefits of pollution
prevention and toxics use reduction strategies have been clearly demonstrated. An
important consideration is that the cost of under-regulating will typically be greater than
over-regulating, when considering subsequent clean-up and health costs.
These criticisms aside, risk assessment can play a role in implementing the precautionary
principle. Instead of using risk assessment to establish "safe" levels of exposure, levels that
are fundamentally unknowable, it can be used to better understand the hazards of an
activity and to compare options for prevention. It can also be used, in conjunction with
democratic decision-making methods, to prioritize activities such as hazardous waste site
cleanups and restoration activities. But the underlying basis of policy and decision-making
must be precaution and prevention, rather than risk.
X. ANSWERING THE CRITICS
The precautionary principle is a new way of thinking about environmental and public health
protection and long-term sustainability. It challenges us to make fundamental changes in the
way we permit and restrict hazards. Some of these challenges will pose large threats to
government agencies and polluters and are likely to lead to powerful resistance. It is
important to anticipate critics of precaution and to know how to respond to their comments.
The precautionary principle is not based on sound science.
Sound science is a matter of definition. Conventional understanding of "sound science"
emphasizes risk assessment and cost-benefit analysis. These are value-laden approaches,
requiring numerous assumptions about how hazards occur, how people are exposed to
them, and society's willingness to tolerate hazard. In fact, because of great uncertainties
about cause and effect, all decisions about human health and the environment are valueladen and political.
The precautionary principle recognizes this, and proposes a shift in the basis for making
these decisions. Precaution is based on the principle that we should not expose humans and
the environment to hazards if it is unnecessary to do so.
Precaution is more thorough than risk assessment because it exposes uncertainty and
admits the limitations of science. This is a "sounder" kind of science. Precaution does not call
for less science, but more, to better understand how human activities affect our health and
environment. But the need for better understanding must not prevent immediate action to
protect ourselves and future generations.
This is emotional and irrational.
Because we are human, thinking about babies born with toxic substances in their bodies
tugs at our emotions. Caring about future generations is an emotional impulse. But these
emotions are not irrational; they are the basis for our survival. Precaution is a principle of
justice, that no one should have to live with fear of harm to their health and environment.
Decision-making about health is not value-neutral. It is political, emotional, and rational. Not
taking precautions seems irrational.
We will go bankrupt. This will cost too much.

There is more reason to believe that precaution will increase prosperity in the long run,
through improved health and cleaner industrial processes and products. The skyrocketing
costs of environmental damage, health care from pollution, and pollution control and
remediation are rarely included in estimates undertaken when precautionary action is
advocated. Despite initial outcries about precautionary demands, industry has been able to
learn and innovate to avoid hazards. In the area of pollution prevention, thousands of
companies have saved millions of dollars by exercising precaution early, before proof of
harm. These companies and governments that act similarly become leaders in their field
when firmer proof of harm comes along.
In taking precaution, however, we should also plan ahead to mitigate immediate adverse
economic impacts. Transition planning pulls together different sectors of society to ensure
that precautionary action has as few adverse side-effects as possible. Precaution is practiced
by setting societal goals, such as that children be born without toxic substances in their
bodies, and then determining how best to achieve that goal.
What do you want to do, ban all chemicals? This will halt development and send us back to
the Stone Age!
Precaution does not take the form of categorical denials and bans. It does redefine
development not only to include economic well-being but also ecological well-being, freedom
from disease and other hazards.
The idea of precaution is to progress more carefully than we have done before. It would
encourage the exploration of alternatives, better, safer, cheaper ways to do things, and the
development of cleaner products and technologies. Some technologies and developments
may be brought onto the marketplace more slowly. Others may be phased out.
Those proposing potentially harmful activities would have to demonstrate their safety and
necessity up front. On the other hand, there will be many incentives to create new
technologies that will make it unnecessary to produce and use harmful substances and
processes. With the right signals, we will be able to innovate to create development that
takes less of a toll on our health and environment.
Naturally occurring substances and disasters harm many more people than do industrial
activities.
We must deal with the hazards for which we are responsible and over which we have control.
Those creating risk and benefiting from their activities also have an obligation not to cause
harm. But an important reason for precaution is that we do not yet know, and may never
know, the full extent of the harm caused by human activity. Some violent natural events, for
example, may be a result of global warming, which in turn is linked to human activity.
We comply with regulations. We are already practicing precaution.
In some cases, to some extent, precaution is already being exercised. But we do not have
laws covering each possible industrial hazard or chemical. Also, most environmental
regulations, such as the Clean Air Act, the Clean Water Act, and the Superfund law, are
aimed at controlling the amount of pollution released into the environment and cleaning up
once contamination has occurred. They regulate toxic substances as they are emitted rather
than limiting their use and production in the first place.
Most current regulations are based on the assumption that humans and ecosystems can
absorb a certain amount of contamination without being harmed. There is extreme
uncertainty about "safe" or "acceptable" levels, and we are now learning that in many cases
we cannot identify those levels.
You can't prove anything is safe.
It is possible to demonstrate that there are safer alternatives to an activity.
You could say that every activity has some impact. Every chemical is toxic at some dose.
Almost all human/industrial activities will have some impact on ecosystems. The virtue of
the precautionary principle is to continuously try to reduce our impacts rather than trying to
identify a level of impact that is safe or acceptable.
XI. BIBLIOGRAPHY
Baender, Margo. 1991. Pesticides and Precaution: The Bamako Convention as a model for an
international convention on pesticide regulation. New York University Journal of International
Law and Politics 25:557-609.
Costanza, R and L. Cornwell. 1992. The 4P approach to dealing with scientific uncertainty.
Environment 34: 12-20,42.
Deville, A and R. Harding. 1997. Applying the Precautionary Principle. Annandale: The
Federation Press.
Dovers, S. and J. Hadmer. 1995. Ignorance, the precautionary principle, and sustainability.
Ambio 24: 92-96.
Freestone, D. and E. Hey, eds. The Precautionary Principle and International Law. Boston:
Klewer Law International.
Hey, E. 1992. The precautionary principle in environmental law and policy: Institutionalizing
precaution. Georgetown International Law Review, vol. 4, pp. 303-318.
MGonigle, R.M., et. al. 1994. Taking Uncertainty Seriously: From Permissive Regulation to
Preventive Design in Environmental Decision making. Osgoode Hall Law Journal 32:99-169.
ORiordan, T. and J. Cameron. 1996. Interpreting the Precautionary Principle. London:
Earthscan Publishers.
Raffensperger, C. and J. Tickner, eds. 1999. Protecting Public Health and the Environment:
Implementing the Precautionary Principle. Washington, DC: Island Press.
Van Dommelen, A, ed. 1996. Coping with Deliberate Release: the Limits of Risk Assessment.
Tilburg: International Centre for Human and Public Affairs.
Wynne, B. 1993. Uncertainty and environmental learning. In Jackson, T., ed., Clean
Production Strategies. Boca Raton: Lewis Publishers.
XII. APPENDIX
Wingspread Statement on the Precautionary Principle
January 1998
The release and use of toxic substances, the exploitation of resources, and physical
alterations of the environment have had substantial unintended consequences affecting
human health and the environment. Some of these concerns are high rates of learning
deficiencies, asthma, cancer, birth defects and species extinctions; along with global climate
change, stratospheric ozone depletion and worldwide contamination with toxic substances
and nuclear materials.
We believe existing environmental regulations and other decisions, particularly those based
on risk assessment, have failed to protect adequately human health and the environment,
the larger system of which humans are but a part.
We believe there is compelling evidence that damage to humans and the worldwide
environment is of such magnitude and seriousness that new principles for conducting
human activities are necessary.
While we realize that human activities may involve hazards, people must proceed more
carefully than has been the case in recent history. Corporations, government entities,
organizations, communities, scientists and other individuals must adopt a precautionary
approach to all human endeavors.
Therefore, it is necessary to implement the Precautionary Principle: When an activity raises
threats of harm to human health or the environment, precautionary measures should be
taken even if some cause and effect relationships are not fully established scientifically.
In this context the proponent of an activity, rather than the public, should bear the burden of
proof.
The process of applying the Precautionary Principle must be open, informed and democratic
and must include potentially affected parties. It must also involve an examination of the full
range of alternatives, including no action.
Wingspread Participants:
(Affiliations are noted for identification purposes only.)
Dr. Nicholas Ashford, Massachusetts Institute of Technology
Katherine Barrett, University of British Columbia
Anita Bernstein, Chicago-Kent College of Law
Dr. Robert Costanza, University of Maryland
Pat Costner, Greenpeace
Dr. Carl Cranor, University of California, Riverside
Dr. Peter deFur, Virginia Commonwealth University
Gordon Durnil, attorney
Dr. Kenneth Geiser, Toxics Use Reduction Institute, University of Mass., Lowell
Dr. Andrew Jordan, Centre for Social and Economic Research on the Global
Environment, University Of East Anglia, United Kingdom
Andrew King, United Steelworkers of America, Canadian Office, Toronto, Canada
Dr. Frederick Kirschenmann, farmer
Stephen Lester, Center for Health, Environment and Justice
Sue Maret, Union Institute
Dr. Michael M'Gonigle, University of Victoria, British Columbia, Canada

Dr. Peter Montague, Environmental Research Foundation
Dr. John Peterson Myers, W. Alton Jones Foundation
Dr. Mary O'Brien, environmental consultant
Dr. David Ozonoff, Boston University
Carolyn Raffensperger, Science and Environmental Health Network
Hon. Pamela Resor, Massachusetts House of Representatives
Florence Robinson, Louisiana Environmental Network
Dr. Ted Schettler, Physicians for Social Responsibility
Ted Smith, Silicon Valley Toxics Coalition
Dr. Klaus-Richard Sperling, Alfred-Wegener-Institut, Hamburg, Germany
Dr. Sandra Steingraber, author
Diane Takvorian, Environmental Health Coalition
Joel Tickner, University of Mass., Lowell
Dr. Konrad von Moltke, Dartmouth College
Dr. Bo Wahlstrom, KEMI (National Chemical Inspectorate), Sweden
Jackie Warledo, Indigenous Environmental Network
Language from the Massachusetts Precautionary Principle Act

Commonwealth of Massachusetts......House Bill No. 3140, 1997
An Act to establish the Principle of Precautionary Action as the guideline for developing
environmental policy and quality standards for the Commonwealth
Be it enacted by the Senate and House of Representatives in General Court assembles, and
by the authority of the same, as follows:
The precautionary principle shall be applied to all policy and regulatory decisions of the
administration in order to prevent threats of serious or irreversible damage to the
environment. The precautionary principle shall be applied when there are reasonable
grounds for concern that a procedure or development may contribute to the degradation of
the air, land and water of the Commonwealth. Lack of full scientific certainty shall not be
used as a reason for postponing cost-effective measures to prevent costly environmental
degradation. The precautionary principle, by virtue of which preventive measures are to be
taken when there are reasonable grounds for concern that substances or energy introduced,
directly or indirectly, into the environment may bring about hazards to human health, harm
living resources and ecosystems, damage amenities or interfere with other legitimate uses
even when there is no conclusive evidence of a causal relationship between the inputs and
the effects. All state entities and contracting parties shall take all necessary steps to ensure
the effective implementation of the precautionary principle to environmental protection and
to this end they shall:
a) encourage prevention of pollution at source, by the application of clean production
methods, including raw materials selection, product substitution and clean product
technologies and processes and waste minimalization throughout society;
b) evaluate the environmental and economic consequences of alternative methods,
including long term consequences;
c) encourage and use as fully as possible scientific and socioeconomic research in order to
achieve an improved understanding on which to base long-term policy options.
Uses of the Precautionary Principle in International Treaties and Agreements

Ozone Layer Protocol
Parties to this protocol . . . determined to protect the ozone layer by taking precautionary
measures to control equitably total global emissions of substances that deplete it, with the
ultimate objective of their elimination on the basis of developments in scientific knowledge,
taking into account technical and economic considerations. . . . Protocol on Substances that
Deplete the Ozone Layer, Sept. 16, 1987, 26 ILM 1541
Second North Sea Declaration
In order to protect the North Sea from possibly damaging effects of the most dangerous
substances...a precautionary approach is addressed which may require action to control
inputs of such substances even before a causal link has been established by absolutely clear
scientific evidence. Ministerial Declaration Calling for Reduction of Pollution, Nov. 25, 1987,
27 ILM 835.
United Nations Environment Programme
Recommends that all Governments adopt "the principle of precautionary action" as the basis
of their policy with regard to the prevention and elimination of marine pollution. Report of
the Governing Council on the Work of its Fifteenth Session, United Nations Environment
Programme, UN GAOR, 44th Sess. Supp No 25, 12th mtg at 153, UN DOC A44/25 (1989).
Nordic Council's Conference
And taking into account....the need for an effective precautionary approach, with that
important principle intended to safeguard the marine ecosystem by, among other things,
eliminating and preventing pollution emissions where there is reason to believe that damage
or harmful effects are likely to be caused, even where there is inadequate or inconclusive
scientific evidence to prove a causal link between emissions and effects. Nordic Council's
International Conference on Pollution of the Seas: Final Document Agreed to Oct. 18, 1989,
in Nordic Action Plan on Pollution of the Seas, 99 app. V (1990)
PARCOM Recommendation 89/1 - 22 June, 1989
The Contracting Parties to the Paris Convention for the Prevention of Marine Pollution from
Land-Based Sources:
Accept the principle of safeguarding the marine ecosystem of the Paris Convention area by
reducing at source polluting emissions of substances that are persistent, toxic, and liable to
bioaccumulate by the use of the best available technology and other appropriate measures.
This applies especially when there is reason to assume that certain damage or harmful
effects on the living resources of the sea are likely to be caused by such substances, even
where there is no scientific evidence to prove a causal link between emissions and effects
(the principle of precautionary action).
Third North Sea Conference
The participants...will continue to apply the precautionary principle, that is to take action to
avoid potentially damaging impacts of substances that are persistent, toxic, and liable to
bioaccumulate even where there is no scientific evidence to prove a causal link between
emissions and effects Final Declaration of the Third International Conference on Protection of
the North Sea, Mar. 7-8, 1990. 1 YB Int'l Envtl Law 658, 662-73 (1990).
Bergen Declaration on Sustainable Development
In order to achieve sustainable development, policies must be based on the precautionary
principle. Environmental measures must anticipate, prevent, and attack the causes of
environmental degradation. Where there are threats of serious or irreversible damage, lack
of full scientific certainty should not be used as a reason for postponing measures to prevent
environmental degradation. Bergen Ministerial Declaration on Sustainable Development in
the ECE Region. UN Doc. A/CONF.151/PC/10 (1990), 1 YB Intl Envtl Law 429, 4312 (1990)
Second World Climate Conference
In order to achieve sustainable development in all countries and to meet the needs of
present and future generations, precautionary measures to meet the climate challenge must
anticipate, prevent, attack or minimize the causes of, and mitigate the adverse
consequences of, environmental degradation that might result from climate change. Where
there are threats of serious of irreversible damage, lack of full scientific certainty should not
be used as a reasons for postponing cost-effective measures to prevent such environmental
degradation. The measure adopted should take into account different socioeconomic
contexts. Ministerial Declaration of the Second World Climate Conference (1990). 1 YB Intl
Envtl Law 473, 475 (1990)
Bamako Convention on Transboundary Hazardous Waste into Africa
Each Party shall strive to adopt and implement the preventive, precautionary approach to
pollution problems which entails, inter alia, preventing the release into the environment of
substances which may cause harm to humans or the environment without waiting for
scientific proof regarding such harm. The Parties shall cooperate with each other in taking
appropriate measures to implement the precautionary principle to pollution prevention
through the application of clean production methods, rather than the pursuit of a permissible
emissions approach based on assimilative capacity assumptions. Bamako Convention on
Hazardous Wastes within Africa, Jan. 30, 1991, art. 4, 30 ILM 773.
OECD Council Recommendation
The Recommendation is accompanied by Guidance which is an integral part of the
Recommendation. It lists some essential policy aspects including: the absence of complete
information should not preclude precautionary action to mitigate the risk of significant harm
to the environment. OECD Council Recommendation C(90)164 on Integrated Pollution
Prevention and Control - January 1991
Maastricht Treaty on the European Union
Community policy on the environment...shall be based on the precautionary principle and on
the principles that preventive actions should be taken, that environmental damage should as
a priority be rectified at source and that the polluter should pay. Treaty on the European
Union, Sept. 21, 1994, 31 ILM 247, 285-86.
Helsinki Convention on the Protection and Use of Transboundary Watercourses and
International Lakes
The precautionary principle, by virtue of which action to avoid the potential transboundary
impact of the release of hazardous substances shall not be postponed on the ground that
scientific research has not fully proved a causal link between those substances, on the one
hand, and the potential transboundary impact, on the other hand. Convention on the
Protection and Use of Transboundary Watercourses and International Lakes, Mar. 17, 1992,
31 ILM 1312.
The Rio Declaration on Environment and Development
In order to protect the environment, the precautionary approach shall be widely applied by
States according to their capabilities. Where there are threats of serious or irreversible
damage, lack of full scientific certainty shall not be used as a reason for postponing costeffective measures to prevent environmental degradation. Rio Declaration on Environment
and Development, June 14, 1992, 31 ILM 874.
Climate Change Conference
The parties should take precautionary measures to anticipate, prevent, or minimize the
causes of climate change and mitigate its adverse effects. Where there are threats of
serious or irreversible damage, lack of full scientific certainty should not be used as a reason
for postponing such measures, taking into account that policies and measures to deal with
climate change should be cost-effective so as to ensure global benefits at the lowest
possible cost. To achieve this, such policies and measures should take into account different
socioeconomic contexts, be comprehensive, cover all relevant sources, sinks and reservoirs
of greenhouse gases and adaptation, and comprise all economic sectors. Efforts to address
climate change may be carried out cooperatively by interested parties. Framework
Convention on Climate Change, May 9, 1992, 31 ILM 849.
UNCED Text on Ocean Protection
A precautionary and anticipatory rather than a reactive approach is necessary to prevent the
degradation of the marine environment. This requires inter alia, the adoption of
precautionary measures, environment impact assessments, clean production techniques,
recycling, waste audits and minimization,, construction and/or improvement of sewage
treatment facilities, quality management criteria for the proper handling of hazardous
substances, and a comprehensive approach to damaging impacts from air, land, and water.
Any management framework must include the improvement of coastal human settlements
and the integrated management and development of coastal areas. UNCED Text on
Protection of Oceans. UN GAOR, 4th Sess., UN Doct A/CONF.151/PC/100 Add. 21 (1991)
Energy Charter Treaty
In pursuit of sustainable development and taking into account its obligations under those
international agreements concerning the environment to which it is a party, each
Contracting Party shall strive to minimize in an economically efficient manner harmful
Environmental Impact occurring either within or outside its Area from all operations within
the Energy Cycle within its Area, taking proper account of safety. In doing so each
Contracting Party shall act in a Cost-Effective manner. In its policies and actions each
Contracting Party shall strive to take precautionary measures to prevent or minimize
Environmental Degradation. The Contracting Parties agree that the polluter in the Areas of
Contracting Parties, should, in principle, bear the cost of pollution, including transboundary
pollution, with due regard to the public interest and without distorting investment in the
Energy Cycle or International Trade. The Draft European Energy Charter Treaty Annex I, Sept
14, 1994, 27/94 CONF/104.
U.S. President's Council on Sustainable Development

There are certain beliefs that we as Council members share that underlie all of our
agreements. We believe: (number 12) even in the face of scientific uncertainty, society
should take reasonable actions to avert risks where the potential harm to human health or
the environment is thought to be serious or irreparable. President's Council on Sustainable
Development. Sustainable America: A New Consensus, 1996
XIV. CONTACT INFORMATION
Science and Environmental Health Network
Carolyn Raffensperger
E-mail address - [email protected]
Mailing address SEHN, Rt. 1 Box 73,
Windsor North Dakota, 58424
Phone/Fax - 701-763-6286
Lowell Center for Sustainable Production
Joel Tickner
E-mail address [email protected]
Mailing address
University of Massachusetts Lowell,
One University Ave.
Lowell, MA 01854
Phone 978-934-2981
Fax 978-452-5711

The Precautionary Principle in Action

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THE PRECAUTIONARY PRINCIPLE IN ACTION

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The precautionary principle has since flourished in international statements of policy;

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V. EXAMPLES OF PRECAUTIONARY ACTION

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Step Three: Reframe the problem to describe what needs to be done

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VII. DIOXIN: AN ARGUMENT FOR PRECAUTION

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interdependent environmental systems. Models can be improved as they incorporate more,

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We will go bankrupt. This will cost too much.

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Dr. Michael M'Gonigle, University of Victoria, British Columbia, Canada

Language from the Massachusetts Precautionary Principle Act

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Uses of the Precautionary Principle in International Treaties and Agreements

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U.S. President's Council on Sustainable Development

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