The Precautionary Principle: From Theory to Practice

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The Precautionary Principle: From Theory to Practice Per Sandin STOCKHOLM 2002

Transcript of The Precautionary Principle: From Theory to Practice

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The Precautionary Principle:

From Theory to Practice

Per Sandin

STOCKHOLM 2002

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This licentiate thesis consists of the following introduction and:

I. Sandin, P. (2002). On Precautionary Actions. Submitted manuscript.

II. Sandin, P. (1999). Dimensions of the Precautionary Principle. Human andEcological Risk Assessment, 5(5), 889−907.

III. Sandin, P.; Peterson, M.; Hansson, S.O.; Ruden, C. & Juthe, A. (in press).Five Charges Against the Precautionary Principle. Forthcoming in Journal of RiskResearch.

IV. Sandin, P. & Hansson, S.O. (2002). The Default Value Approach to the Pre-cautionary Principle. Human and Ecological Risk Assessment, 8(3), 463−471.

Per Sandin, Philosophy Unit, Department of Infrastructure, Royal Institute of Tech-nology, Teknikringen 78B, SE-100 44 Stockholm, Sweden

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Abstract

Sandin, P. 2002. The Precautionary Principle: From Theory to Prac-tice. Theses in Philosophy from the Royal Institute of Technology 2.Stockholm. ISBN 91-7283-325-4

This thesis aims at providing reasonable explications of the precau-tionary principle and the concept of precaution, to defend the precau-tionary principle against some common criticisms, and to give an in-dication of how the precautionary principle might be operationalised.

In Essay I, the concept of precaution is analysed in terms of pre-cautionary actions. Distinctions between precaution and two relatedconcepts, prevention and pessimism, are discussed. A definition in-volving three necessary and jointly sufficient conditions is proposed asa reasonable explication of a precautionary action.

Essay II attempts to provide an analytical apparatus which maybe used for finding an authoritative formulation of the precautionaryprinciple. Several formulations of the precautionary principle are ex-amined. It is argued that the precautionary principle can be recastinto a four-dimensional if-clause, and that this format can be used innegotiations concerning the precautionary principle.

In Essay III, the precautionary principle is defended against fivecommon charges, namely that it is ill-defined, absolutist, and a valuejudgement, increases risk-taking, and marginalises science.

In Essay IV, a simple formalised model is introduced, in which theprecautionary principle is interpreted in terms of default values ofchemicals regulation.

Key words: Precautionary principle, precaution, risk

ISSN 1650-8831ISBN 91-7283-325-4

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Acknowledgements

I am very grateful to my supervisor, Sven Ove Hansson, for his helpand constant encouragement. I have received many helpful commentsfrom my other colleagues at the Philosophy Unit. John Cantwell andMartin Peterson deserve particular thanks. I also received valuablecomments on an earlier version of Essay II from participants at theSwedish National Philosophy Conference in 2001. Of course, thoughI might wish they were not, all remaining errors and confusions aremine. Rebecka Jansson is acknowledged for editorial assistance and,which is more important, constant love and support.

This work has been financially supported by MISTRA, The Foun-dation for Strategic Environmental Research, through the researchprogramme NewS – A New Strategy for the Risk Management ofChemicals.

Stockholm, 22 August 2002

Per Sandin

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Contents

Abstract

Acknowledgements

Contents

1. Introduction1.1 Aim and plan of the thesis1.2 What is the precautionary principle?1.3 Historical background1.4 Preview of Essays I−IV

2. Some additional comments on Essay II

References

Essay I: On Precautionary Actions

Essay II: Dimensions of the Precautionary Principle

Essay III: Five Charges Against the Precautionary Principle

Essay IV: The Default Value Approach to the PrecautionaryPrinciple

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1. Introduction

1.1 Aim and plan of the thesis

The present thesis has three closely related purposes: First, to pro-vide reasonable explications of the precautionary principle and theconcept of precaution; second, to defend the precautionary principleagainst some common criticisms; third, to give an indication of howthe precautionary principle may be operationalised.

The thesis consists of this Introduction and four essays. In Section1.2, I describe what the precautionary principle is taken to be in thepresent work. Some historical background is given in Section 1.3. InSection 1.4, a preview of the essays is given. The Introduction endswith Section 2, in which some issues raised in Essay II are elaboratedupon.

1.2 What is the precautionary principle?

Perhaps asking ‘what is the precautionary principle?’ is to phrasethe question in the wrong way. As some would have it, ‘there is nosuch thing as “the” precautionary principle’ (Graham, 2000, p. 383).It is indeed true that the phrase ‘the precautionary principle’ has amultitude of uses, which I will try to clarify here.

Firstly, ‘the precautionary principle’ refers to one or other principleof national or international law. Various precautionary principles, ifI may use the plural, have been included in several international le-

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gal documents.1 Secondly, the phrase ‘the precautionary principle’ isused more broadly, referring to some principle that can be applied bydecision-makers and policy-makers in general. This essay will be con-cerned with the precautionary principle in the latter sense. The basicmessage of the precautionary principle in this sense is that on someoccasions, measures against a possible hazard should be taken even ifthe available evidence does not suffice to treat the existence of thathazard as a scientifically established fact. In this sense, the precau-tionary principle is not necessarily a moral principle, but a principlefor decision-making which can be justified either on moral or pruden-tial grounds (see, for instance, Haller, 2000).

1.3 Historical background

Several attempts have been made to trace the origins of the precau-tionary principle.2 For instance, Martin (1997, p. 276), writes:

The precautionary principle is an age-old concept. Unam-biguous reference to precaution as a management guideline isfound in the millennial oral tradition of Indigenous People ofEurasia, Africa, the Americas, Oceania, and Australia.

Martin also refers to some passages in early Buddhist writings (Ther-avadan Scriptures), that “could accommodate such a concept” (ibid.).Nigel Haigh mentions the British Alkali Act of 1874, which “requiredthat emissions of noxious gases from certain plants should be pre-vented, using the best practicable means, without any need to demon-strate that the gases were actually causing harm in any particularcase” (Haigh, 1994, p. 241). In a recent publication, Dr John Snow’srecommendation in 1854 to remove the handle of a cholera infestedwater pump in order to stop the epidemic is cited as an early use of

1See Essay II, Appendix I, for quotes and references. See also Raffensperger & Tickner (1999), Appendix B (p.356–361).

2For some interesting examples, see Harremoes et al. (2002).

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the precautionary principle. At the time, it was not proved beyondreasonable doubt that cholera was transmitted by polluted water (Har-remoes et al. 2002, p. 5).

A more recent example is discussed by Martin (1997, p. 264):

The idea may first have appeared in the academic literaturein the early 1950s under the guise of what was then called a‘safe minimum standard of conservation’.

Daniel Bodansky holds that “[i]n the United States, the precautionaryprinciple underlay the first wave of federal environmental statutes inthe 1970s” (Bodansky, 1994, p. 204).

One common claim in the secondary literature is that the precau-tionary principle first emerged in West German environmental lawin the 1970s, under the name of Vorsorgeprinzip (Freestone, 1991;Boehmer-Christiansen, 1994; Cameron & Abouchar, 1996). It hasbeen claimed that the “precautionary concept found its way into in-ternational law and policy as a result of German proposals made to theInternational North Sea Ministerial Conferences” (Freestone & Hey,1996, p. 4). According to Dommen (1993, p. 2), the precautionaryprinciple “was first officially mentioned in the Ministerial Declarationof the Second International Conference on the Protection of the NorthSea (1987) and fully stated in the Bergen Ministerial Declaration ofMay 1990”. It can be questioned to what extent these passages actu-ally represent the origins of the precautionary principle as it is under-stood today.

Kaiser (1997, p. 203) captures what seems to be a common ideaabout the precautionary principle today when he writes that “[p]robablythe most influential statement of the Precautionary Principle we findin principle 15 of the Rio Declaration of 1992”.

The text of principle 15 of the Rio Declaration is as follows:

In order to protect the environment, the precautionary ap-proach shall be widely applied by States according to their

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capabilities. Where there are threats of serious or irreversibledamage, lack of full scientific certainty shall not be used as areason for postponing cost-effective measures to prevent envi-ronmental degradation. (UNCED, 1993)

The English text of the Rio Declaration does not mention the word‘principle’ − according to one author, it has been “demoted to a ‘pre-cautionary approach’ ” (Dommen, 1993, p. 2).3

1.4 Preview of Essays I–IV

The essays have been published as separate articles, and are writtenas to be possible to read independently. I have reproduced them asthey stand, and some repetition is therefore unavoidable. There arealso some discrepancies between the essays, as my views have evolvedon several points, some of which are elaborated in subsequent essays.In particular, my views have developed since I wrote Essay II. Thesedevelopments are discussed in Section 2.

Though the last to be written, Essay I is analytically prior to theother essays, and I have therefore placed it first. The other three essaysare in chronological order. Essay III was written in co-operation withmy colleagues at the Philosophy Unit, Martin Peterson, Sven OveHansson, Christina Ruden and Andre Juthe. Essay IV was written inco-operation with Sven Ove Hansson.

In Essay I, the concept of precaution is analysed in terms of precau-tionary actions. The purpose of Essay I is explicatory, i.e. I attempt topresent a clarifying definition of precautionary actions that is as con-sistent with current usage as possible.4 I proceed through checkingproposed criteria against linguistic intuitions with the aid of hypo-thetical examples. Distinctions between precaution and two relatedconcepts, pessimism, and in particular prevention, are discussed. It is

3The official Swedish translation, however, gives ‘forsiktighetsprincipen’, i.e. ‘the precautionary principle’.4Cf. Carnap (1951), Chapter I.

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noted that despite seemingly near-synonymous, there are importantdistinctions between precaution and prevention, most notably thattalking of precaution implies talk of actions. Taking precautions issomething agents do, which is not necessarily the case with preven-tion.

A definition involving three necessary and jointly sufficient condi-tions is proposed:

An action a is precautionary with respect to something undesir-able u, if and only if

(1) a is performed with the intention of preventing u

(2) the agent does not believe it to be very probable that u willoccur if a is not performed

(3) the agent has externally good reasons for believing that umight occur, for believing that a will in fact at least contributeto the prevention of u, and for not believing it to be certain orhighly probable that u will occur if a is not performed

Essay II attempts to provide an analytical apparatus which may beused for finding an authoritative formulation of the precautionary prin-ciple. The approach is lexicographical. I attempt to find common ele-ments between various versions of the precautionary principle. Severalexisting and possible formulations of the precautionary principle areexamined, and four common elements (here called ‘dimensions’) of theprecautionary principle are identified: (1) the threat dimension, (2)the uncertainty dimension, (3) the action dimension, and (4) the com-mand dimension. It is argued that the precautionary principle can berecast into the following if-clause, containing these four dimensions:‘If there is (1) a threat, which is (2) uncertain, then (3) some kind ofaction (4) is mandatory.’

The phrases expressing these dimensions may vary in (a) precisionand (b) strength. It is claimed that it is the dimension containing the

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weakest phrase that determines the strength of the entire principle.The same holds for precision: it is the dimension containing the leastprecise phrase that determines the overall precision of the principle. Itis suggested that the four-dimensional if-clause be used as an analyticalapparatus in negotiations of the precautionary principle. Essay IIalso contains an appendix with several different formulations of theprecautionary principle.

The precautionary principle is not without critics,5 and in EssayIII, the strength and, in particular, the relevance of five common argu-ments against the precautionary principle are examined. It has beenclaimed that the precautionary principle is ill-defined, absolutist, avalue judgement, increases risk-taking, and marginalises science. Weargue, first, that the precautionary principle is, in principle, no morevague or ill-defined than other decision principles and like them it canbe made precise through elaboration and practice. Second, the pre-cautionary principle need not be absolutist in the way that has beenclaimed. A way to avoid this is to combine the precautionary princi-ple with a specification of the degree of scientific evidence required totrigger precaution, and/or with some version of the de minimis rule.Third, the precautionary principle is indeed value-based, but only tothe same extent as other decision rules. Fourth, the precautionaryprinciple does not lead to increased risk-taking, unless the framing istoo narrow, and then the same problem applies to other decision rulesas well. Fifth and last, the precautionary principle is not unscientificother than in the weak sense of not being exclusively based on science.In that sense all decision rules are unscientific.

Essay IV starts with the observation that in science, when informa-tion is lacking, the reasonable response is to suspend judgement. How-ever, when incomplete information is to be used for decision-makingpurposes, such as regulation, the option of suspending judgement isnot available. In such situations the precautionary principle may be

5See Morris (2000, reviewed by Sandin, 2002) for several examples.

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used. The precautionary principle needs to be operationalised. It isshown how this can be done in the regulation of chemicals by assign-ing cautious default values to variables that are needed in the riskanalysis but are nevertheless unknown. A simple formalised modelis introduced, in which the precautionary principle is interpreted interms of default values of variables used in the risk assessment ofchemical substances. Four different methods for choosing default val-ues (positive list, negative list, statistical expectation, and precaution)are discussed.

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2. Some additional comments onEssay II

Essay II was the first essay to be written. On several points I havedeveloped my views, and therefore there are some discrepancies be-tween Essay II and some later essays. Furthermore, a number of otherauthors have commented upon the essay.6 Below I will comment onsome of the most important developments.

One of the conclusions of Essay II was that common elements couldbe found in various formulations of the precautionary principle. De-spite the plenitude of definitions around, I believe that the core of theprecautionary principle is clearly identifiable, and can be used as astarting point for further discussions. Unfortunately, not all readersappreciated this (see Graham, 1999, cf. Graham, 2000).

One point on which I was not completely right in Essay II wasthe distinction between precaution and prevention. I treated the dif-ference as one merely dependent upon the degree of uncertainty (p.892f). This line of reasoning was uncritically repeated in Essays IIIand IV. However, there is more to it than that, and the claim that‘precaution might be regarded as a limiting case of prevention’ (p.893) seems simply wrong. There are at least three conspicuous differ-ences: First, prevention is neutral with regard to value. Good thingscan be prevented as well as bad ones, while precaution is about avoid-ing something undesirable. Second, prevention implies certainty. Just

6See, for instance, Graham, (2000); Tickner (2000); Marchant (2001); Haag & Kaupenjohann (2001); Lofstedt,Fischhoff & Fischhoff (2002).

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as it is strange to say ‘x caused y, but y did not happen’, it would bestrange to say ‘x prevented y, but y happened nevertheless’. This isnot the case with precaution. It is quite reasonable to say that in spiteof all precautions, the unwanted event occurred nevertheless. Third,talking of precaution implies talk of actions. (By an action I here sim-ply mean anything an agent does intentionally.) Taking precautionsis something agents do intentionally. This is not necessarily the casewith prevention. Even inanimate objects may prevent things fromhappening, but they cannot take precautions. I have elaborated onthe distinction between precaution and prevention in Essay I, Section2.

In Essay II, I also treated at least one important distinction rathercursorily. This is the distinction between argumentative and prescrip-tive versions of the precautionary principle. An argumentative ver-sion of the precautionary principle is the one found in Principle 15of the Rio Declaration (UNCED, 1993). It requires that ‘lack of fullscientific certainty shall not be used as a reason for postponing cost-effective measures to prevent environmental degradation’ (my italics).Thus, it is not a substantial principle for decisions, but a principle forwhat arguments are valid. Prescriptive versions of the precautionaryprinciple prescribe actions. One example is the so-called WingspreadStatement: ‘When an activity raises threats of harm to human healthor the environment, precautionary measures should be taken even ifsome cause-and-effect relationships are not fully established scientifi-cally’ (Raffensperger & Tickner, 1999, p. 353–354). It is prescriptiveversions that are dealt with in Essay II. The distinction between pre-scriptive and argumentative versions is discussed in some further detailin Essay III.

Another problem that was less than satisfactorily treated in EssayII was the degree of stringency of a formulation of the precautionaryprinciple. In Essay II I used the term ‘strength’. Here I will substitute‘stringency’. The reason is that the relationship between strength in

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the logical sense and the degree of stringency of a formulation of theprecautionary principle is not straightforward.

There are three ways in which one formulation P of the precaution-ary principle may be more stringent than another formulation Q. First,P may prescribe precautionary action in every case that Q does andat least one additional case.7 Second, P may prescribe more extensiveaction than Q does. Third, P might prescribe the action in a moredemanding way than Q does, for instance by saying that the actionis mandatory rather than merely desirable. Let us put this somewhatmore formally, and define the relation ‘at least as stringent as’ thatholds between two formulations of the precautionary principle:

A formulation P of the precautionary principle is, ceteris paribus,at least as stringent as a formulation Q of the precautionary prin-ciple, if

(1) the set W of situations in which precautionary action is pre-scribed by Q is a subset of the set X of situations in which pre-cautionary action is prescribed by P; or

(2) the action prescribed by P is at least as extensive as the actionprescribed by Q; or

(3) the prescription expressed in the command dimension of P isat least as demanding as the corresponding prescription expressedin Q.

We can now define the relation ‘more stringent than’ in terms of theabove ‘at least as stringent as’ in the following manner:

A formulation P of the precautionary principle is more stringentthan a formulation Q of the precautionary principle, if and only if Pis at least as stringent as Q, and Q is not at least as stringent as P.

It must be noted that the definitions above are not complete. Theincompleteness is reflected in the use of the phrase ‘ceteris paribus ’

7It is obvious that the degree of stringency is highly sensitive to the framing of the decision problem to whichthe principle is applied, i.e. what threats are considered. This is elaborated on in Essay III.

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in the definition of the relation ‘at least as stringent as’. It is notclear what happens if we, for instance, have two formulations P andQ, where P expresses a more demanding prescription than Q, but Qprescribes more extensive action than P.

In the following, I will use the term ‘stringency-increasing’ for theoperation of substituting a phrase which contributes to making a for-mulation of the precautionary principle more stringent. Conversely, Iwill use the term ‘stringency-decreasing’ for the operation of substitut-ing a phrase which contributes to making a formulation less stringent.Let us now consider what makes the substitution of a phrase in oneof the dimensions stringency-increasing or stringency-decreasing.

In the action dimension, a stringency-increasing operation was thesubstitution of a phrase implying more extensive action. Often, itis intuitively clear what is meant by ‘extensive’. I take it that themore extensive action is the one with the most far-reaching effects, ifthe effects are known with reasonable certainty. If the effects are notknown, or if they are alike for two actions, I consider the most costlyaction also to be the most extensive one.

In the uncertainty dimension, a stringency-increasing operation isthe substitution of a phrase demanding less certainty for a phrasedemanding more certainty.

In the command dimension, a stringency-increasing operation is thesubstitution of a more demanding phrase for a less demanding one.For instance, the substitution of ‘should be taken’ for ‘may be taken’would be stringency-increasing. Most formulations seem to containintermediately demanding phrases, though it is not always entirelyclear which phrase is the most demanding. In the literature, we findphrases like ‘should be taken’, ‘is required’ and ‘is justified’. They canbe more or less demanding. (A thorough discussion of this, or whatone author calls ‘bidding strength’, is found in Guendling, 1974.) Thefollowing passage from Olivier Godard illustrates how prescriptionsmay be more or less demanding in the context of the precautionary

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principle:

[I]t may be justifiable (weak version) or [it is] mandatory(strong version) to limit, regulate, or prevent potentially dan-gerous actions before scientific proof is established (cit. inMartin, 1997, p. 266).

Many formulations of the precautionary principle use various expres-sions containing the verb ‘should’. Following Guendling (1974, p.120), we may say that ‘should’ and ‘ought’ are equally demanding,while less demanding than ‘must’ but more demanding than ‘may’.The formulations using ‘should’ can thus be said to be intermediatelydemanding.

The formulations using ‘should’ go well with a legalistic or ethicalinterpretation of the precautionary principle, i.e. the command istaken as a legal or moral imperative. There are, however, at least twoother possible interpretations, on which I shall briefly comment. Thefirst interpretation is to take the precautionary principle to be a valueproposition, stating that precautionary action is good (or better thaninaction).8 A clear formulation is found in Myers (1993), who writes:

In essence, the precautionary principle asserts that there is apremium on a cautious and conservative approach to humaninterventions in environmental sectors that are (a) unusuallyshort on scientific understanding, and (b) unusually suscepti-ble to significant injury, especially irreversible injury (p. 74,italics mine).

On the other interpretation, the precautionary principle is neither aprescription of the ‘should’ type nor a value proposition, but a state-ment of what actions are justified. We find this in Cameron & Wade-Gery (1995). They write:

8For more on this, see Essay III.

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[(1)] The precautionary principle stipulates that where the en-vironmental risks being run by regulatory inaction are in someway (a) uncertain but (b) non-negligible, regulatory inactionis unjustified (p. 100).

This interpretation is not implausible. However, there seems to besome confusion as to what the double negation (inaction and unjustified)means. For as a ‘more stringent version of this basic formulation’, theygive:

[(2)] The precautionary principle stipulates that where theenvironmental risks being run by regulatory inaction are insome way (a) uncertain, but (b) non-negligible, regulatoryaction is justified (p. 135, footnote 24).

It is not obvious that (2) is more stringent than (1). For, if (2) is to bemore stringent in this context than (1), it is a reasonable interpretationthat (2) should entail (1). We let Jx stand for ‘x is justified’. Thenwe have

(1) ¬J¬x

(2) Jx

and the stringency criterion:

(3) Jx → ¬J¬x

However, (3) is equivalent to

(4) ¬(Jx∧J¬x)

which is clearly counterintuitive, as it would mean that it could notbe the case that both acting and not acting is justified. And we caneasily construe such a situation: for instance, if there are equally goodreasons for implementing and not implementing a policy (e.g. both

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alternatives lead to desirable consequences), then both implementingand not implementing the policy can be said to be justified.

As we noted above, the phrase ‘ceterus paribus ’ is of central impor-tance. We saw that if we carry out a stringency-increasing operationin one dimension, the degree of stringency of the formulation increases– provided that the other dimensions are not tampered with. Now letus study how the relation between the dimensions might affect thedegree of stringency of a formulation. In Essay II, I argued in thefollowing way:

Consider the following hypothetical formulation of the precaution-ary principle:

If there is (1) a possible threat to the environment, no matterhow insignificant, which is (2) not regarded as completely im-possible by all rational individuals, then (3) any action whichmay avoid or mitigate the threat (4) is mandatory.

This formulation is extreme, and probably no one would propose itseriously. (Compare the objection that the precautionary principleis absolutist, as discussed in Essay III.) Nevertheless, this extremeformulation is a useful starting point for illustrating what happensif we substitute other phrases in each dimension, one at a time, suchthat the substitution is stringency-decreasing (the substituted phrasesare in bold type):

If there is (1′) a threat to the existence of all life in theuniverse, which is (2) not regarded as completely impossibleby all rational individuals, then (3) any action which mayavoid or mitigate the threat (4) is mandatory.

If there is (1) a possible threat to the environment, no matterhow insignificant, which is (2′) extremely plausible accord-ing to all acknowledged scientific experts, then (3) anyaction which may avoid or mitigate the threat (4) is manda-tory.

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If there is (1) a possible threat to the environment, no mat-ter how insignificant, which is (2) not regarded as completelyimpossible by all rational individuals, then (3′) preventivemeasures that are profitable in their own right (4) aremandatory.

If there is (1) a possible threat to the environment, no matterhow insignificant, which is (2) not regarded as completely im-possible by all rational individuals, then (3) any action whichmay avoid or mitigate the threat (4′) may be acceptable.

Arguably, neither of the four modified formulations is very stringent.The first formulation demands unreasonably severe damage in order totrigger precaution, while the second formulation demands that the sci-entific uncertainty is unreasonably small before precaution is triggered.The third formulation prescribes action that would have been carriedout anyway, which amounts to prescribing nothing. The fourth formu-lation is not very stringent because the prescription is a non-committalone.

In Essay II, I claimed that these examples show that it is the dimen-sion containing the least stringent phrase that determines the strin-gency of the entire principle. This claim seems exaggerated, and Iwould today put it differently: If one of the dimensions contains aphrase the substitution of which is enough stringency-decreasing, thewhole formulation is rendered non-stringent. Put another way, thereseems to be a minimum level for each dimension. If one of the dimen-sions is below a certain level, then that cannot be compensated bystringency-increasing substitutions of phrases in the other dimensions(as is indicated by the examples above).

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BIBLIOGRAPHY

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