Sustainable Development Law & Policy

Volume 2
Article 7
Issue 2 Spring/Summer 2002

The Precautionary Principle in the International

Arena
Mary Stevens

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Stevens, Mary. "The Precautionary Principle in the International Arena."Sustainable Development Law and Policy, Spring/Summer
2002, 13-15.

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THE PRECAUTIONARY PRINCIPLE
IN THE INTERNATIONAL ARENA
By Mary Stevens
for proof of harmful effects before taking action.”3
“WHEN AN ACTIVITY RAISES THREATS OF HARM TO THE In 1987, at the second conference where the London
ENVIRONMENT OR HUMAN HEALTH, PRECAUTIONARY MEASURES Declaration was adopted, a “precautionary approach” was
SHOULD BE TAKEN EVEN IF SOME CAUSE AND EFFECT introduced.4 Even with regard to the protection of the ozone
RELATIONSHIPS ARE NOT FULLY ESTABLISHED SCIENTIFICALLY.” layer, the Preamble to the Montreal Protocol provided for
WINGSPREAD STATEMENT ON THE PRECAUTIONARY PRINCIPLE, precautionary measures to be taken in controlling CFCs.5 By
1998. 1990, the Precautionary Principle was being referenced in its
own right: the parties to the third conference at the Hague
The purpose of this paper is to introduce the stated that they “will continue to apply the precautionary
precautionary principle in terms of its history, use, and principle, that is to take action to avoid potentially damaging
application in several different international agreements. The impacts of substances that are persistent, toxic, and liable to
precautionary principle is preventative in nature and stems from bioaccumulate even when there is no scientific evidence to prove
the idea that just because an activity cannot be proven unsafe that a causal link exists between emissions and effects.”6 It
does not mean that it does not have any negative effects. It has could also be found in the 1990 Bergen Declaration on
been heralded and criticized by scientists alike, and it has been Sustainable Development, which connected the importance of
applied in so many different ways that its definition depends taking caution in innovation with the achievement of sustainable
on which international agreement one is reading. development.

DEVELOPMENT OF THE PRECAUTIONARY In order to achieve sustainable development,

PRINCIPLE policies must be based on the precautionary
principle. Environmental measures must
BEGINNINGS anticipate, prevent and attack the causes of
The “precautionary principle” has not been present in environmental degradation. Where there are
the field of international environmental law for very long, yet threats of serious or irreversible damage, lack
it has achieved a prominent position as a major topic of debate of full scientific certainty should not be used
over the past ten years. In essence, it advocates the use of as a reason for postponing measures to prevent
precaution in situations where some scientific uncertainty exists. environmental degradation.7
The point of the precautionary principle is to anticipate
and avoid environmental damage before it occurs. This The precautionary principle has been
preventive measure, which is novel in many ways, would referenced in dealing with the protection of the marine
ultimately serve to lower mitigation costs of resultant environment. Article 2 of the OSPAR Convention
environmental damage. The implementation of the states:
precautionary principle is problematic in an economic sense
because it places more responsibility on those who create The precautionary principle, by virtue of
potential risks than in the past. Its most important – and which preventive measures are to be taken
debatable - feature is that it shifts the burden of scientific proof when there are reasonable grounds for concern
from those who would like to prohibit or slow down a potentially that substances or energy introduced, directly
dangerous activity to those who conduct the activity.1 or indirectly, into the marine environment may
Most commentators agree that the precautionary bring about hazards to human health, harm
principle originally emerged from Germany in the mid-1970’s.2 living resources and marine ecosystems,
A decade later, during international conferences held to discuss damage amenities or interfere with other
the protection of the North Sea, Germany introduced its legitimate uses of the sea, even when there is
precautionary principle to the rest of the world. At first, the no conclusive evidence of a causal relationship
word “precaution” was not even used; the parties agreed instead between the inputs and the effects.8
that “damage to the environment can be irreversible or
remediable only at considerable expense and over long periods Also in 1990, the principle of precaution was included
and that, therefore, coastal states and the EEC must not wait in the White Paper on Britain’s Environmental strategy

SPRING / SUMMER 2002 13

(“White Paper”).9 In the paper, it was written that: not be used as a reason for postponing cost-
effective measures to prevent environmental
We must analyze the possible benefits and degradation.14
costs both of action and of inaction. Where
there are significant risks of damage to the During 1992, international parties convened for the
environment, the Government will be United Nations Framework Convention on Climate Change.
prepared to take precautionary action to limit This Convention dealt with the problem of pollution,
the use of potentially dangerous pollutants, specifically that of greenhouse gases which are causing
even where scientific knowledge is not temperatures to rise on a global level. The precautionary
conclusive, if the balance of the likely costs principle was referenced at this convention as well. The text
and benefits justifies it. This precautionary provides that
principle applies particularly where there are
good grounds for judging either that action The parties should take precautionary
taken promptly at comparatively low cost may measures to anticipate, prevent, or minimize
avoid more costly damage later, or that the causes of climate change and mitigate its
irreversible effects may follow if action is adverse effects. Where there are threats of
delayed.10 serious or irreversible damage, lack of full
scientific certainty should not be used as a
Europe expressed its belief in the precautionary reason for postponing such measure, taking
principle again in 1991 during a meeting between the parties to into account that policies and measure to deal
the 1972 London Dumping Convention. There the parties with climate change should be cost-effective
agreed that “appropriate measures are taken where there is so as to ensure global benefits at the lowest
reason to believe that substances or energy introduced into the possible cost.15
marine environment are likely to cause harm, even when there
is no conclusive evidence to prove a causal relation between The Biodiversity Convention was also agreed to in
inputs and their effects.” 11 Also in 1991, the Bamako 1992. Once again, the precautionary principle was mentioned.
Convention, which was convened to discuss problems of Interestingly, the use of the principle in the preamble of this
hazardous waste shipments to African countries by wealthier, agreement did not include the cost-benefit language found in
industrialized ones, employed a strict version of the Principle 15 of the Rio Declaration.
precautionary principle. Under this convention, the parties
agreed to prevent “the release into the environment of Where there is a threat of significant reduction
substances which may cause harm to humans or the or loss of biological diversity, lack of full
environment without waiting for scientific proof regarding such scientific certainty should not be used as a
harm.”12 reason for postponing measures to avoid or
minimize such a threat.
1992 AND BEYOND
1992 was a big year for international environmental The principle was also found in the Convention on
agreements and the precautionary principle is found throughout. the Protection and Use of Transboundary Watercourses and
In 1992, the landmark Rio Declaration was signed at the United International Lakes, stating that precaution will be taken
Nations Conference on Environment and Development regardless of whether “scientific research has not fully proved
(“UNCED”), which was the second significant worldwide a causal link . . . .”16 Finally, it was also included in the 1992
conference on the environment. Twenty years prior, the United Maastricht Treaty and has continued to be an important principle
Nations Conference on the Human Environment took place guiding the European Union:
in Stockholm, Sweden. This first conference was motivated
primarily by concern over transboundary pollution, particularly The Community policy on the environment .
in the form of acid rain. The precautionary principle was not . . shall be based on the precautionary principle
yet developed at the time of the Stockholm Convention. and on the principles that preventative action
However, the precautionary principle did emerge from should be taken, that environmental damage
the Rio Conference.13 Article 15 of the Rio Declaration should as a priority be rectified at source and
elaborated upon this constantly-evolving concept. Article 15 that the polluter should pay. Environmental
is extremely important because it was the first time that the protection requirements must be integrated
United States joined an international agreement that utilized into the definition and implementation of
the precautionary principle. Because of this, Article 15 was other Community policies.17
the result of painstaking negotiations and compromise.
IMPLICATIONS
In order to protect the environment, the
precautionary approach shall be widely applied Some legal commentators have argued that the
by States according to their capabilities. Where precautionary principle has approached the level of customary
there are threats of serious or irreversible international law.18 On the other hand, it is also pointed out
damage, lack of full scientific certainty shall that this status has not yet been achieved due to the fact that
14 SUSTAINABLE DEVELOPMENT LAW & POLICY
the precautionary principle is somewhat vague, has been theory that should be essential in its guidance of policy, however
interpreted in several different ways, and is not accepted by imperfect it may be.28
much of the world on a national level.19 One description of
the precautionary principle is that it is an evolving, culturally- 1
This shift of the burden of proof is not common in
environmental law. For example, in the United States,
framed concept “that takes its cue from changing conceptions environmental impact assessments, which are required under the
about the appropriate roles of science, economics, ethics, politics National Environmental Protection Act (“NEPA”) and are
and the law in pro-active environmental protection and extremely important mechanisms for determining the
environmental, social and economic viability of a major project,
management.”20 do not shift the burden of proof where there is scientific
In many ways, the precautionary principle represents uncertainty. Normally, the burden of proving that an activity will
legal concepts that are not new. James Cameron, a proponent be harmful falls on those who suggest the potential harm, instead
a requirement that the party proposing the project prove its
of the principle, points out several different existing legal harmlessness. See generally NEPA, Ronnie Harding & Elizabeth
principles that he believes are “indirect” precautionary measures. Fisher, Introducing the Precautionary Principle, in RONNIE HARDING &
Most significant is the tort concept of strict liability, which ELIZABETH FISHER, EDS., PERSPECTIVES ON THE PRECAUTIONARY
PRINCIPLE 2-22 (1999).
provides for absolute liability in activities, such as the burial of 2
See Wybe T. Douma, The Precautionary Principle, T.M.C. Asser
environmental waste, that are considered to be “abnormally Institute, available at http://www.asser.nl/EEL/virtue/
dangerous.” Cameron explains that the possibility of being precprin.htm. The German conception of the precautionary
principle, Vorsorgeprinzip, distinguished between human behavior
held strictly liable, where acting with reasonable care does not that causes danger and human behavior that causes risk.
matter, causes actors to be more careful and consider the costs Dangerous effects are to be prevented by the government by all
of potential liability before acting.21 possible means (Gefahrenvorsorge). If there is a risk of
dangerous effects, the government must investigate the
Cameron makes a second point. He believes possibilities of risk prevention and take preventative measures if
that insurance mechanisms are also evidence of precautionary the risk is great enough (Risikovorsorge). See id.; See also Harding
measures already in the system. “[I]nsurance schemes . . . create & Fisher, supra note 1. Some scholars also assert that the basic
concepts behind the precautionary principle were discussed at the
substantial financial incentives against generating environmental United Nations Convention on the Human Environment in
inputs that may subsequently have a degrading effect, but which Stockholm, 1972.
cannot currently be conclusively shown to do so.”22 3
See First International Conference on the Protection of the
North Sea, Bremen, 1984; See also DAVID HUNTER, JAMES SALZMAN
Thirdly, the precautionary principle has been analogized & DURWOOD ZAELKE, INTERNATIONAL ENVIRONMENTAL LAW &
to environmental impact assessments. This is an important POLICY 360-61 (1998); Douma, supra note 1. See generally James
connection as well. The National Environmental Protection Cameron & Juli Abouchar, The Precautionary Principle: A
Fundamental Principle of Law and Policy for the Protection of the Global
Act23 (“NEPA”) is an example. NEPA requires agencies of Environment, 14 B.C. INT’L & COMP. L. REV. 1 (1991).
the United States government to prepare an environmental 4
See Ministerial Declaration for the Second International
impact statement with respect to “major federal actions Conference on the Protection of the North Sea (Nov. 25,
1987); See also Douma, supra note 1. Furthermore, the
significantly affecting the quality of the human environment.”24 OSPAR Convention was organized for the protection of
NEPA has been a model for several countries that have the marine environment and included the precautionary
instituted similar laws and now can be found in various principle in Article 2.
international treaties and declarations. Principle 17 of the Rio The precautionary principle, by virtue of which
Declaration is instructive.25 Cameron points out that “in preventive measures are to be taken when there
themselves . . . environmental impact assessments amount to a are reasonable grounds for concern that
substances or energy introduced, directly or
form of mandated information provision, with precautionary indirectly, into the marine environment may bring
effects similar to those made possible by environmental about hazards to human health, harm living
empowerment; they are precautionary enabling devices.”26 resources and marine ecosystems, damage
amenities or interfere with other legitimate uses
One final point needs to be made about the principle. of the sea, even when there is no conclusive
It is most commonly criticized on the grounds that uncertainty evidence of a causal relationship between the
is something that is inherent to the scientific process and that it inputs and the effects.
is not scientifically possible to prove any fact with 100% 5
See Montreal Protocol on Substances that Deplete the Ozone Layer, 1987.
certainty. The fundamental basis of science is to disprove a The Preamble states “[n]oting the precautionary measures for
theory not prove it conclusively. Even when broad consensus controlling emission of certain chorlorflourocarbons that have
already been taken at national and regional levels.”
of the scientific community is found, there will always be a 6
Final Declaration of the Third International Conference on
few who disagree and some level of uncertainty will always Protection of the North Sea, Mar. 7-8, 1990. 1 YB Int’l Envtl Law
exist.27 658, 662-73 (1990).
7
See Bergen Conference on Sustainable Development.
Proponents of using precaution acknowledge 8
Convention for the Protection of the Marine Environment of
this undeniable reality but point out that some problems the North-east Atlantic, Art. 2, Sept. 22, 1992, 32 I.L.M. 1069
have several layers of different types of scientific issues and (1993).
9
See This Common Inheritance: Britain’s Environmental Strategy, Sept.
therefore, several layers of uncertainty. It is this complexity of 1990.
uncertainties that cause concern to many. The more 10
Id. at § 1.18.
uncertainties that exist increase the possibility that some 11
See London Dumping Convention Amendments (1991).
12
Bamako Convention on the Ban of the Import into Africa and
unforeseen or otherwise unrelated factor could change the the Control of Transboundary Movement and the Management
outcome or prediction of potential harm. In other words, the of Hazardous Wastes Within Africa, Jan. 30, 1991, OAU/CONF/
risk profile of the problem changes. Because of this added COOR/ENV/MIN/AFRI/CONV.1(1) Rev.1, reprinted in 30
I.L.M. 773
complexity, advocates say that the precautionary principle is a

SPRING / SUMMER 2002 15

81 (2000) [hereinafter ECOTEC, ADMINISTRATIVE CAPACITY] (contending be less groundwater pollution. Increased crop production is also
that the regional level is most important for implementation in many predicted to occur after compliance.
applicant countries). This source also provides information on the 96
See ECOTEC, BENEFITS OF COMPLIANCE, supra note 85, at 12.
administrative agencies that implement the acquis. For country reports 97
See GLOCKLER, supra note 3, at 352.
on the progress made by the applicant countries in implementation 98
See COMMISSION, ACCESSION STRATEGIES FOR ENVIRONMENT,
and an overview of the administrative agencies that have supra note 35, at 1.
responsibility for the approximation process visit http:// 99
See EUROPEAN COMMISSION, AGENDA 2000 AND ENLARGEMENT,
europa.eu.int/scadplus/leg/en/s15000.htm. This site contains links available at http://europa.eu.int/comm/environment/agenda2000/
to the applicant countries and how they are performing in enlargement.htm (last visited Nov. 9, 2001).
approximating the environmental acquis. 100
See E UROPEAN C OMMISSION, E NLARGEMENT : W HAT HAS BEEN
67
See id. at 8 (referring to the need of the administrative agencies to A CHIEVED SO FAR ?, available at http://europa.eu.int/comm/
have the resources and procedures necessary to carry out enlargement/negotiations/ ach_en.html (last visited Oct. 17, 2001).
implementation). These funds were made available at the Berlin Conference in 1998.
68
E.g., EUROPEAN COMMISSION, 10 ENLARGING THE ENVIRONMENT (June This conference resulted in the amount of funding available through
1998), available at http://www.europa.eu.int/comm/environment/ these programs being doubled to twenty-two billion euros.
news/enlarg/news10.htm. 101
See COMMISSION, ACCESSION STRATEGIES FOR ENVIRONMENT, supra
69
See EUROPEAN COMMISSION, 4 ENLARGING THE ENVIRONMENT (JUNE note 35, at 12 (concluding that the applicant countries could obtain
1997), available at http://www.europa.eu.int/comm/environment/ leverage of two to four times the value of EU grants under the aid
news/enlarg/news4.htm. programs).
70
See Alexandru R. Savulescu, Enlarging the European Union will Save 102
See EUROPEAN COMMISSION, AGENDA 2000: STRENGTHENING AND
Libes by Cutting Polution (commenting that the applicant countries are WIDENING THE EUROPEAN UNION 21 (1999).
requesting transition periods of up to fourteen years) (Apr. 30, 2001), 103
See EUROPEAN COMMISSION, ENLARGEMENT: WHAT IS PHARE?, available
available at http://ens.lycos.com/ens/apr2001/2001L-04-30-04.html. at http://europa.eu.int/comm/enlargement/pas/phare/intro.htm
71
See id. Among the areas where time requests are seen as (last visited Nov. 1, 2001).
unacceptable, are implementation of the framework directives and 104
See EUROPEAN COMMISSION, ENLARGEMENT: PHARE’S PRINCIPAL
providing access to information. FOCUS, available at http://europa.eu.int/comm/enlargement/pas/
72
See id. These include urban wastewater treatment and meeting phare/focus.htm (last visited Nov. 1, 2001).
requirements for large combustion plants. 105
See Eritja & Rayo, supra note 49, at 637.
73
See COMMISSION, APPROXIMATION GUIDE, supra note 14, at 106
See EUROPEAN COMMISSION, 15 ENLARGING THE ENVIRONMENT, supra
140. note 20.
74
See ECOTEC, ADMINISTRATIVE CAPACITY, supra note 66, at 3. 107
See EUROPEAN COMMISSION, 15 ENLARGING THE ENVIRONMENT,
75
See ECOTEC, ADMINISTRATIVE CAPACITY, supra note 66, at 7. supra note 20.
76
See ECOTEC, ADMINISTRATIVE CAPACITY, supra note 66, at 7 (asserting 108
See MICHAEL J. BAUN, A WIDER EUROPE: THE PROCESS AND POLITICS
that it is important that self-monitoring is done honestly). OF EUROPEAN UNION ENLARGEMENT 6 (2000).
77
See ECOTEC, ADMINISTRATIVE CAPACITY, supra note 66, at 7. 109
See JOHN MCCORMICK, UNDERSTANDING THE EUROPEAN UNION: A
78
See ECOTEC, ADMINISTRATIVE CAPACITY, supra note 66, at 122 CONCISE INTRODUCTION 130 (1999).
79
See Commission Recommendation 2001/331/EC (establishing the 110
See GRABBE & HUGHES, supra note 32, at 10.
minimum criteria for environmental inspections). 111
See BAUN, supra note 108, at 150.
80
See ECOTEC, A DMINISTRATIVE CAPACITY, supra note 66, at 135 112
One topic that warrants further consideration, but it outside of
(concluding that the types and nature of inspections in the applicant the scope of this paper, is whether other international and
countries are similar to those in operation in the member states). supranational organizations can force countries that desire to join
81
See ECOTEC, ADMINISTRATIVE CAPACITY, supra note 66, at 135. their organizations to improve their environmental quality as a
82
See ECOTEC, ADMINISTRATIVE CAPACITY, supra note 66, at 143. condition for membership. The EU has proven to be an effective
83
See COMMISSION, ACCESSION STRATEGIES FOR ENVIRONMENT, supra model for improving the environmental quality of countries that
note 35, at 11. join it.
84
See L EO D E N OCKER E T A L ., C OMPLIANCE C OSTING FOR
APPROXIMATION OF EU ENVIRONMENTAL LEGISLATION IN THE CEEC
12 (Apr. 1997).
85
See E COTEC ET AL ., T HE B ENEFITS OF C OMPLIANCE WITH THE
PRECAUTIONARY PRINCIPLE:
ENVIRONMENTAL ACQUIS FOR THE CANDIDATE COUNTRIES 3 (2001)
[hereinafter ECOTEC, BENEFITS OF COMPLIANCE]. This estimate for (CONTINUED FROM PAGE 15)
the cost of compliance with the environmental
acquis does not include Turkey, Malta and Cyprus. Including these
countries would significantly raise the expected costs. One United 13
The precautionary principle was applied in more than one
States Dollar is equal to approximately .90 euros. agreement at Rio. For example, Agenda 21, an international
86
See COMMISSION, ACCESSION STRATEGIES FOR ENVIRONMENT, blueprint for sustainable development, included the precautionary
supra note 35, at 9. principle when dealing with radioactive waste. See Agenda 21, Ch
87
See EUROPEAN COMMISSION, 6 ENLARGING THE ENVIRONMENT, supra 22, sub-s (5)(c) (agreeing that states should make “appropriate use
note 45 (estimating that forty percent of the investment is needed of the concept of the precautionary approach”).
in air pollution abatement, forty percent in water and wastewater 14
Rio Declaration, Principle 15.
management, and twenty percent in solid waste management). 15
United Nations Framework Convention on Climate Change,
88
See EUROPEAN COMMISSION, 5 ENLARGING THE ENVIRONMENT, supra May 9, 1992, art. 3, para. 3, U.N. Doc. A/CONF.151/26, reprinted
note 36. in 31 I.L.M. 849.
89
See NOCKER, supra note 84, at 50. This figure estimates compliance 16
See Convention on the Protection and Use of Transboundary
with the acquis for water supply, sewerage and wastewater treatment. Watercourses and International Lakes, Mar. 17, 1992, 31 I.L.M.
90
See NOCKER, supra note 84, at 74. It only costs current EU members 1312, 1316.
.2 percent of their GDP annually to satisfy this portion of the acquis. 17
See Maastricht Treaty, February 7, 1992, Title XVI, Article 130r,
91
See SCADPLUS, ENVIRONMENT: ACCESSION STRATEGIES FOR THE §2 of the Treaty of Rome as amended by Title II of the Treaty on
ENVIRONMENT (declaring that it is the responsibility of the applicant European Union.
countries to acquire outside investing in order to receive the funds 18
See James Cameron, The Precautionary Principle: Core Meaning,
necessary to comply with the acquis), Constitutional Framework and Procedures for Implementation, in RONNIE
available at http:// europa.eu.int/scadplus/leg/en/lvb/128057.htm HARDING & ELIZABETH FISHER, EDS., PERSPECTIVES ON THE
(last visited Oct. 18, 2001). PRECAUTIONARY PRINCIPLE 30 (1999)
92
See Savulescu, supra note 70. 19
See C. Tinker, State Responsibility and the Precautionary Principle, in
93
See ECOTEC, BENEFITS OF COMPLIANCE, supra note 85, at 10. DAVID FREESTONE & ELLEN HAY, EDS., THE PRECAUTIONARY
94
See generally ECOTEC, BENEFITS OF COMPLIANCE, supra note 85. PRINCIPLE AND INTERNATIONAL LAW, THE CHALLENGE OF
95
See generally ECOTEC, BENEFITS OF COMPLIANCE, supra note 85. Water IMPLEMENTATION 53 (1996).
quality is expected to improve. It is estimated that six million 20
See Timothy O’Riordan & James Cameron, The History and
households in Turkey will gain access to drinking water. There will Contemporary Significance of the Precautionary Principle, in TIMOTHY

SPRING / SUMMER 2002 21

O’RIORDAN & JAMES CAMERON, EDS., INTERPRETING THE
PRECAUTIONARY PRINCIPLE 12 (1994).
21
See Cameron, supra note 18, at 50 (stating that systems of strict
liability “stimulate proto-polluters to assess the likely effects of
their actions before they take place, and in circumstances where
those effects remain uncertain they create a strong incentive to
refrain from the potentially damaging act altogether”).
22
Id at 51.
23
See 42 U.S.C.A. §§4321-4370d.
24
See 42 U.S.C.A. §4332(c).
25
Principle 17 states: Environmental impact assessment, as a
national instrument, shall be undertaken for proposed activities
that are likely to have a significant adverse impact on the
environment and are subject to a decision of a competent national
authority.
26
Cameron, supra note 18, at 53.
27
Hunter et al, supra note 3, at 25-27 (discussing “Hume’s
problem”: the idea that “[n]o matter how many times a
phenomenon is observed, we cannot be sure that this represents a
universal pattern of “law” . . . .”)
28
See id.

22 SUSTAINABLE DEVELOPMENT LAW & POLICY