Efficient environmental legislation - On different philosophies of pollution control in Europe

Journal of Environmental Law

Volumn 13, Issue 1, 2001, Pages 75-86

  Lübbe Wolff, Gertrude ^a  

^a BIELEFELD UNIVERSITY   (Germany)

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EID: 5844417221     PISSN: 09528873     EISSN: None     Source Type: Journal    
DOI: None     Document Type: Article

References (42)

1. To label this a 'command and control' approach is somewhat misleading, since the use of 'command' and 'control' is by no means a specific characteristic of this approach. See G. Lübbe-Wolff, 'The Limits of Environmental Regulation' in B. Dente (ed), The Ecological State ((forthcoming) available as a Center for Interdisciplinary Research preprint, contact karin.matzke@uni-bielefeld.de).
2. W.E. Oates, The Economics of Environmental Regulation (Cheltenham: Edward Elgar, 1996) 30; H. Siebert, Economics of the Environment: Theory and Policy, 5th edn (Berlin: Springer-Verlag, 1998) 130; A. Endres, Umweltökonomie (Darmstadt: Wiss Buchges, 1994) 118.
3. W.E. Oates, The Economics of Environmental Regulation (Cheltenham: Edward Elgar, 1996) 30; H. Siebert, Economics of the Environment: Theory and Policy, 5th edn (Berlin: Springer-Verlag, 1998) 130; A. Endres, Umweltökonomie (Darmstadt: Wiss Buchges, 1994) 118.
4. W.E. Oates, The Economics of Environmental Regulation (Cheltenham: Edward Elgar, 1996) 30; H. Siebert, Economics of the Environment: Theory and Policy, 5th edn (Berlin: Springer-Verlag, 1998) 130; A. Endres, Umweltökonomie (Darmstadt: Wiss Buchges, 1994) 118.
5. See A. Héritier, S. Mingers, C. Knill and M. Becka, Die Veränderung von Staatlichkeit in Europa (Opladen: Leske und Budrich, 1994) 198.
6. Council Directive (24.9.1996) concerning integrated pollution prevention and control (96/61/EC), OJ L 257, 10.10.1996, p 26; on this Directive and its implications for the domestic legal system in Great Britain and Germany, respectively, see N. Emmott and N. Haigh, 'Integrated Pollution Prevention and Control: UK and EC Approaches and Possible Next Steps' in 8 JEL 2 (1996) 301; K.-P. Dolde, 'Die EG-Richtlinie über die integrierte Vermeidung und Verminderung der Umweltverschmutzung (IVU-Richtlinie) Auswirkungen auf das deutsche Umweltrecht' in Neue Zeitschrift für Verwaltungsrecht (1997) 313.
7. According to Article 9 IV of the IPPC Directive, the emission limit values to be included in permits issued under the directive 'shall be based on the best available techniques, without prescribing the use of any technique or specific technology, but taking into account the technical characteristics of the installation concerned, its geographical location and the local environmental conditions'; for an interpretation according to which this rather represents the British policy see M. Pallemaerts, 'The Proposed IPPC Directive: Re-Regulation or De-Regulation?' in European Environmental Law Review (1996) 174, 176 (supposing that this clause leaves Member States at full liberty to derogate from the BAT standard whenever they consider this justified by the local environmental conditions); for a more restrictive interpretation G. Lübbe-Wolff, 'IVU-Richtlinie und europäisches Vorsorgeprinzip' in Neue Zeitschrift für Verwaltungsrecht (1998) 777, 782.
8. According to Article 9 IV of the IPPC Directive, the emission limit values to be included in permits issued under the directive 'shall be based on the best available techniques, without prescribing the use of any technique or specific technology, but taking into account the technical characteristics of the installation concerned, its geographical location and the local environmental conditions'; for an interpretation according to which this rather represents the British policy see M. Pallemaerts, 'The Proposed IPPC Directive: Re-Regulation or De-Regulation?' in European Environmental Law Review (1996) 174, 176 (supposing that this clause leaves Member States at full liberty to derogate from the BAT standard whenever they consider this justified by the local environmental conditions); for a more restrictive interpretation G. Lübbe-Wolff, 'IVU-Richtlinie und europäisches Vorsorgeprinzip' in Neue Zeitschrift für Verwaltungsrecht (1998) 777, 782.
9. In the Anglo-American literature, these are sometimes termed 'specification standards': A. Ogus, 'Standard Setting for Environmental Protection: Principles and Processes' in M. Faure, J. Vervaele and A. Weale (eds), Environmental Standards in the European Union in an Interdisciplinary Framework (Apeldoorn: Maklu/Nomos/Blackstone, 1994) 25 at 26; 'design standards': D. Besanko, 'Performance versus Design Standards in the Regulation of Pollution' in Journal of Public Economics 34 (1987) 19; or 'technology-based standards': W.E. Oates, Economics of Environmental Regulation (Cheltenham: Edward Elgar, 1996) 30. To speak of 'technology-based standards' in order to denote technical prescriptions is misleading because standards can be based on reference technologies and yet refrain from making any technical prescription. This holds for emission limit values in German environmental law, see section 3.2.
10. In the Anglo-American literature, these are sometimes termed 'specification standards': A. Ogus, 'Standard Setting for Environmental Protection: Principles and Processes' in M. Faure, J. Vervaele and A. Weale (eds), Environmental Standards in the European Union in an Interdisciplinary Framework (Apeldoorn: Maklu/Nomos/Blackstone, 1994) 25 at 26; 'design standards': D. Besanko, 'Performance versus Design Standards in the Regulation of Pollution' in Journal of Public Economics 34 (1987) 19; or 'technology-based standards': W.E. Oates, Economics of Environmental Regulation (Cheltenham: Edward Elgar, 1996) 30. To speak of 'technology-based standards' in order to denote technical prescriptions is misleading because standards can be based on reference technologies and yet refrain from making any technical prescription. This holds for emission limit values in German environmental law, see section 3.2.
11. In the Anglo-American literature, these are sometimes termed 'specification standards': A. Ogus, 'Standard Setting for Environmental Protection: Principles and Processes' in M. Faure, J. Vervaele and A. Weale (eds), Environmental Standards in the European Union in an Interdisciplinary Framework (Apeldoorn: Maklu/Nomos/Blackstone, 1994) 25 at 26; 'design standards': D. Besanko, 'Performance versus Design Standards in the Regulation of Pollution' in Journal of Public Economics 34 (1987) 19; or 'technology-based standards': W.E. Oates, Economics of Environmental Regulation (Cheltenham: Edward Elgar, 1996) 30. To speak of 'technology-based standards' in order to denote technical prescriptions is misleading because standards can be based on reference technologies and yet refrain from making any technical prescription. This holds for emission limit values in German environmental law, see section 3.2.
12. Also called 'performance standards' (Ogus, ibid; Besanko, ibid; Oates, ibid).
13. Also called 'performance standards' (Ogus, ibid; Besanko, ibid; Oates, ibid).
14. Also called 'performance standards' (Ogus, ibid; Besanko, ibid; Oates, ibid).
15. Also called 'target standards', see Ogus, ibid, n 7.
16. Directive on limit values and quality objectives for cadmium discharges (83/513/EEC), OJ L 291, 24.10.1983, p 1.
17. Council Directive (22.4.1999) relating to limit values for sulphur dioxide, nitrogen dioxide and oxides of nitrogen, particulate matter and lead in ambient air (1999/30/EC), OJ L 163, 29.6.1999, p 41.
18. For higher efficiency of emission standards (performance standards) as compared with technical prescriptions (technology-based standards, design standards) see Oates, n 6 at 30; Ogus, n 6 at 28f; A. Endres, Umweltökonomie (Darmstadt: Wiss Buchges, 1994) 119; E. Gawel, 'Steigerung der Kosteneffizienz im Ordnungsrecht' in Die Verwaltung (1999) 179 (187 ff). For higher efficiency of quality standards (target standards) as compared with emission standards see R.A. Luken, Efficiency in Environmental Regulation, A Benefit-Cost-Analysis of Alternative Approaches (Boston: Kluwer, 1990) 53, 115, 175; A. Ogus, 'The Regulation of Pollution' in G. Richardson, A. Ogus and P. Burrows, Policing Pollution - A Study of Regulation and Enforcement (Oxford: Clarendon, 1982) 30 at 48; D. Cansier, Umweltökonomie, 2nd edn (Stuttgart: Lucius and Lucius, 1996) 61 .
19. For higher efficiency of emission standards (performance standards) as compared with technical prescriptions (technology-based standards, design standards) see Oates, n 6 at 30; Ogus, n 6 at 28f; A. Endres, Umweltökonomie (Darmstadt: Wiss Buchges, 1994) 119; E. Gawel, 'Steigerung der Kosteneffizienz im Ordnungsrecht' in Die Verwaltung (1999) 179 (187 ff). For higher efficiency of quality standards (target standards) as compared with emission standards see R.A. Luken, Efficiency in Environmental Regulation, A Benefit-Cost-Analysis of Alternative Approaches (Boston: Kluwer, 1990) 53, 115, 175; A. Ogus, 'The Regulation of Pollution' in G. Richardson, A. Ogus and P. Burrows, Policing Pollution - A Study of Regulation and Enforcement (Oxford: Clarendon, 1982) 30 at 48; D. Cansier, Umweltökonomie, 2nd edn (Stuttgart: Lucius and Lucius, 1996) 61 .
20. For higher efficiency of emission standards (performance standards) as compared with technical prescriptions (technology-based standards, design standards) see Oates, n 6 at 30; Ogus, n 6 at 28f; A. Endres, Umweltökonomie (Darmstadt: Wiss Buchges, 1994) 119; E. Gawel, 'Steigerung der Kosteneffizienz im Ordnungsrecht' in Die Verwaltung (1999) 179 (187 ff). For higher efficiency of quality standards (target standards) as compared with emission standards see R.A. Luken, Efficiency in Environmental Regulation, A Benefit-Cost-Analysis of Alternative Approaches (Boston: Kluwer, 1990) 53, 115, 175; A. Ogus, 'The Regulation of Pollution' in G. Richardson, A. Ogus and P. Burrows, Policing Pollution - A Study of Regulation and Enforcement (Oxford: Clarendon, 1982) 30 at 48; D. Cansier, Umweltökonomie, 2nd edn (Stuttgart: Lucius and Lucius, 1996) 61 .
21. For higher efficiency of emission standards (performance standards) as compared with technical prescriptions (technology-based standards, design standards) see Oates, n 6 at 30; Ogus, n 6 at 28f; A. Endres, Umweltökonomie (Darmstadt: Wiss Buchges, 1994) 119; E. Gawel, 'Steigerung der Kosteneffizienz im Ordnungsrecht' in Die Verwaltung (1999) 179 (187 ff). For higher efficiency of quality standards (target standards) as compared with emission standards see R.A. Luken, Efficiency in Environmental Regulation, A Benefit-Cost-Analysis of Alternative Approaches (Boston: Kluwer, 1990) 53, 115, 175; A. Ogus, 'The Regulation of Pollution' in G. Richardson, A. Ogus and P. Burrows, Policing Pollution - A Study of Regulation and Enforcement (Oxford: Clarendon, 1982) 30 at 48; D. Cansier, Umweltökonomie, 2nd edn (Stuttgart: Lucius and Lucius, 1996) 61 .
22. For higher efficiency of emission standards (performance standards) as compared with technical prescriptions (technology-based standards, design standards) see Oates, n 6 at 30; Ogus, n 6 at 28f; A. Endres, Umweltökonomie (Darmstadt: Wiss Buchges, 1994) 119; E. Gawel, 'Steigerung der Kosteneffizienz im Ordnungsrecht' in Die Verwaltung (1999) 179 (187 ff). For higher efficiency of quality standards (target standards) as compared with emission standards see R.A. Luken, Efficiency in Environmental Regulation, A Benefit-Cost-Analysis of Alternative Approaches (Boston: Kluwer, 1990) 53, 115, 175; A. Ogus, 'The Regulation of Pollution' in G. Richardson, A. Ogus and P. Burrows, Policing Pollution - A Study of Regulation and Enforcement (Oxford: Clarendon, 1982) 30 at 48; D. Cansier, Umweltökonomie, 2nd edn (Stuttgart: Lucius and Lucius, 1996) 61 .
23. For a more comprehensive review of areas where technical prescriptions have, or may have, efficiency advantages over emission standards, see G. Lübbe-Wolff, 'Ist das Umweltrecht zu technikorientert?' in E. Gawel and G. Lübbe-Wolff, Effizientes Umweltordnungsrecht - Kriterien und Grenzen (Baden-Baden: Nomos, 2000).
24. Many environmental economists do, in fact, assume that the command and control approach, or the BAT approach, consists of making technical prescriptions, for example, N. Hanley, J.F. Shogren and B. White, Environmental Economics in Theory and Practice (Basingstoke: Macmillan, 1997) 58, who implicitly identify the command and control type of regulation with 'technological restrictions such as mandated abatement methods'.
25. Best available techniques not entailing excessive costs.
26. Many environmental economists assume that under a command and control approach and in particular under a BAT standard, operators are driven to apply end-of-the-pipe technologies. See K.H. Hansmeyer and H.K. Schneider, Umweltpolitik - ihre Fortentwicklung unter marktsteuernden Aspekten, 2nd edn (Göttingen: Vandenhoeck and Ruprecht, 1992); E. Gawel, 'Umweltordnungsrecht - ökonomisch irrational? Die ökonomische Sicht' in E. Gawel and G. Lübbe-Wolff (eds), Rationale Umweltpolitik - Rationales Umweltrecht: Konzepte, Kriterien und Grenzen rationaler Steuerung im Umweltrecht (Baden-Baden: Nomos, 1999) 237, 259; D. Burtraw and B. Swift, 'A New Standard of Performance: An Analysis of the Clean Air Act's Acid Rain Program', Environmental Law Reporter, vol XXVI (1996) 10411. In fact, where the BAT standard is operationalised by emission limit values, operators remain free to use either abatement technology or production-integrated technologies such as production technologies that will dispense with the pollutant in question.
27. Many environmental economists assume that under a command and control approach and in particular under a BAT standard, operators are driven to apply end-of-the-pipe technologies. See K.H. Hansmeyer and H.K. Schneider, Umweltpolitik - ihre Fortentwicklung unter marktsteuernden Aspekten, 2nd edn (Göttingen: Vandenhoeck and Ruprecht, 1992); E. Gawel, 'Umweltordnungsrecht - ökonomisch irrational? Die ökonomische Sicht' in E. Gawel and G. Lübbe-Wolff (eds), Rationale Umweltpolitik - Rationales Umweltrecht: Konzepte, Kriterien und Grenzen rationaler Steuerung im Umweltrecht (Baden-Baden: Nomos, 1999) 237, 259; D. Burtraw and B. Swift, 'A New Standard of Performance: An Analysis of the Clean Air Act's Acid Rain Program', Environmental Law Reporter, vol XXVI (1996) 10411. In fact, where the BAT standard is operationalised by emission limit values, operators remain free to use either abatement technology or production-integrated technologies such as production technologies that will dispense with the pollutant in question.
28. Many environmental economists assume that under a command and control approach and in particular under a BAT standard, operators are driven to apply end-of-the-pipe technologies. See K.H. Hansmeyer and H.K. Schneider, Umweltpolitik - ihre Fortentwicklung unter marktsteuernden Aspekten, 2nd edn (Göttingen: Vandenhoeck and Ruprecht, 1992); E. Gawel, 'Umweltordnungsrecht - ökonomisch irrational? Die ökonomische Sicht' in E. Gawel and G. Lübbe-Wolff (eds), Rationale Umweltpolitik - Rationales Umweltrecht: Konzepte, Kriterien und Grenzen rationaler Steuerung im Umweltrecht (Baden-Baden: Nomos, 1999) 237, 259; D. Burtraw and B. Swift, 'A New Standard of Performance: An Analysis of the Clean Air Act's Acid Rain Program', Environmental Law Reporter, vol XXVI (1996) 10411. In fact, where the BAT standard is operationalised by emission limit values, operators remain free to use either abatement technology or production-integrated technologies such as production technologies that will dispense with the pollutant in question.
29. Council Directive (28.6.1984) on the combating of air pollution from industrial plants (84/360/EEC) OJ L 188, 16.7.1984, p 20.
30. Council Directive (24.11.1988) on the limitation of emissions of certain pollutants into the air from large combustion plants (88/609/EEC), OJ L 336, 7.12.1988, p 1.
31. Article 4 ff and annexes III ff.
32. Note that this is an immission-oriented technical prescription; it is instrumental not with respect to the emissions of the plant but with respect to air quality in its surrounding.
33. Council Directive (21.6.1989) on the reduction of air pollution from existing municipal waste-incineration plants (89/429/EEC), OJ L 203, 15.7.1989, p 50, and Council Directive (8.6.1989) on the prevention of air pollution from new municipal waste incineration plants (89/369/EEC), OJ 163, 14.6.1989, p 32; cf. now also Directive of the European Parliament and of the Council (4.12.2000) on the incineration of waste (2000/76/ EC), of L 332, 28.12.2000, p 91.
34. Council Directive (4.5.1976) on pollution caused by certain dangerous substances discharged into the aquatic environment of the community (76/464/EEC), OJ L 129, 18.5.1976, p 23; cf. now also Directive of the European Parliament and of the Council (23.10.2000) establishing a framework for community action in the field of water policy (2000/60/EC), OJ L 327, 22.12.2000, p 1, with a different approach.
35. Article 3 ff, 6 I.
36. See n 5.
37. This paragraph might even be read as prohibiting technical prescriptions. Such an interpretation, however, would not be in line with the explicit admission of technical prescriptions in Article 9 paragraph 3 of the Directive, nor, by the way, with the end of the directive itself. Technical prescriptions may be necessary in order to prevent solutions that would achieve emission reductions in one environmental medium at the cost of inadequate problem transfers to another. This is precisely what the directive is intended to avoid.
38. For an analysis of German environmental law in this respect see Lübbe-Wolff, n 13.
39. Concerning air pollution see §5 I(1) and (2) Bundesimmissionsschutzgesetz (Federal Code on Immissions), §5 I(2) requiring the use of best available techniques. The relevant administrative guideline (Technische Anleitung zur Reinhaltung der Luft (27.2.1986), Gemeinsames Ministerialblatt (1986) 95, with a correction on p 202) translates the legal requirements of §5 I(1) and (2) into immission and emission limit values. The relevant provisions of the Federal Water Act (Wasserhaushaltsgesetz) are §§6 and 7(a). The reference to the 'common weal' in §6 embodies a water quality requirement which has been translated into quality standards by guidelines, developed by a working group of the German Länder. The §7(a) requirement that best available techniques (Stand der Technik) be applied to reduce pollutants in sewage water is operationalised by a federal regulation fixing emission limit values. Besides, technical prescriptions, mainly concerning safety or the prevention of diffuse emissions, play a certain role in the guidelines and executive orders operationalising BAT. For further details see Lübbe-Wolff, n 13.
40. In both respects - concerning permits as well as subsequent administrative orders - the relevant norms are a little bit stricter in matters of air pollution than in matters of water pollution. This is due to the fact that with respect to water, situations may occur where a transgression of quality standards is unavoidable. The release of sewage water from existing communities has to be permitted even if only a small brook is available whose water quality will inevitably sink below existing quality standards as a consequence of that discharge. In such a case, the relevant community will be confronted with very strict treatment requirements, going far beyond the regular normative emission standards, although this may still not suffice to meet the quality standards.
41. OJ C 311, 17.11.1993, p 6; on this draft version see M.G. Faure and J.J.G. Lefevere, 'The Draft Directive on Integrated Pollution Prevention and Control: An Economic Perspective' in European Environmental Law Review (1996) 112.
42. See n 22.