QUEEN'S BENCH DIVISION
ADMINISTRATIVE COURT
Strand London WC2 |
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B e f o r e :
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THE QUEEN ON THE APPLICATION OF LONDON BOROUGH OF WANDSWORTH | Claimants | |
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SECRETARY OF STATE FOR TRANSPORT | Defendant |
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Mr John Howell QC, Mr Martin Chamberlain and Ms Sarah Love (instructed by Treasury Solicitor) appeared on behalf of the Defendant
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MR JUSTICE SULLIVAN:
Introduction
"• Detailed proposals relating to the classification of aircraft, the main focus of this first stage of the consultation; ..."
"The issues relating to the way aircraft are classified for night restrictions purposes need to be resolved in stage one so that the effects of different options for the length of the night quota period, the size of the noise quotas and movement limits and the ratios between them, can each be assessed properly in stage two."
Background
"The Government recognises that noise from aircraft operations at night is widely regarded as the least acceptable aspect of aircraft operations. We will bear down on night noise accordingly, but we must strike a fair balance between local disturbance, the limits of social acceptability and the economic benefits of night flights. This should be done on a case-by-case basis."
"... provides much needed clarity and has cleared the way for this thorough review of policy on night flights at Heathrow, Gatwick and Stansted."
Ground 3: "Bearing Down"
"'Bearing down' on night noise from aircraft arriving at or departing from Heathrow, Gatwick and Stansted is expressed by the new proposed environmental and night noise abatement objectives for the airport on which we invited comments as part of the consultation on night flying restrictions."
"We now move on, in the light of responses to Stage 1, to set out the proposed
environmental objectives and noise-abatement objectives for each airport." (Emphasis as in original)
"7. The Secretary of State's policy is described at various levels of generality. The contextual framework for the two stage consultation on night flying restrictions (July 2004-September 2005) was explained in paragraph 6.1 of the stage one consultation paper). The policy described in The Future of Air Transport White Paper - 'to bear down on night noise' - was expressed at a level of generality, as were the other broad aims for the night restrictions including 'to strike a fair balance between the protection of local communities from excessive aircraft noise levels at night and the provision of air services at night where they are of benefit of the national, regional or local economy' in paragraph 6.2 of the stage one paper and repeated in paragraph 4.1 of the stage two consultation paper.
8. The Secretary of State has sought to explain in more specific terms how he will implement those new general policies by proposing environmental and noise abatement objectives for each of the airports under consideration. The setting of environmental and noise abatement objectives was required as a matter of law for the first time by Directive 2002/30/EC. Environmental objectives for each airport were formulated in the stage two consultation paper and noise abatement objectives proposed. The environmental objectives are more specific than the general aims, but (as was made clear in paragraph 4.6 of the stage two consultation paper) they are fixed with a view to the longer term evolution of the three airports up to a time horizon of thirty years or so and must accordingly leave some room for flexibility. The noise abatement objectives, on the other hand, are set for the 6-year period of the current restrictions and are much more specifically defined (in terms of a particular 6.5 hour 48dBA Leq contour for the winter and summer seasons combined). The Secretary of State's decisions on the particular environmental and noise abatement objectives for each airport, taken after considering the consultation responses, are set out below."
"After consideration, the Secretary of State has decided to retain the current movements limits for
summer and winter at Heathrow as shown below. Taking account of quota reductions it will bear
down on aircraft noise at night in a way which strikes the appropriate balance with economic and
social considerations."
"84. In the stage 2 consultation paper we outlined possible criteria which may be used for a noise
insulation scheme to mitigate for night noise. The Secretary of State has decided that the
following will apply ...
• The boundary of the scheme will be based on a noise footprint of the noisiest aircraft regularly operating at each airport as follows:
At Heathrow, the arrival footprint of the 95th percentile of the noisiest variant of the Boeing
747-400 90dBA SEL footprint. ...
85. The Secretary of State has decided that the 90dBA SEL footprint is an appropriate footprint which represents a good indicator of the vicinity in which the probability of sleep disturbance from aircraft noise events becomes significant. The footprint boundaries were provided in the stage 2 consultation paper."
Hatton
"98. Article 8 may apply in environmental cases whether the pollution is directly caused by the State or whether State responsibility arises from the failure properly to regulate private industry. Whether the case is analysed in terms of a positive duty on the State to take reasonable and appropriate measures to secure the applicants' rights under paragraph 1 of Article 8 or in terms of an interference by a public authority to be justified in accordance with paragraph 2, the applicable principles are broadly similar. In both contexts regard must be had to the fair balance that has to be struck between the competing interests of the individual and of the community as a whole; and in both contexts the State enjoys a certain margin of appreciation in determining the steps to be taken to ensure compliance with the Convention. Furthermore, even in relation to the positive obligations flowing from the first paragraph of Article 8, in striking the required balance the aims mentioned in the second paragraph may be of a certain relevance (see the above-mentioned Powell and Rayner judgment, § 41 and the above-mentioned López Ostra judgment, § 51).
99. The Court considers that in a case such as the present, involving State decisions affecting environmental issues, there are two aspects to the inquiry which may be carried out by the Court. First, the Court may assess the substantive merits of the Government's decision, to ensure that it is compatible with Article 8. Secondly, it may scrutinise the decision-making process to ensure that due weight has been accorded to the interests of the individual."
"122. The Court must consider whether the Government can be said to have struck a fair balance between those interests and the conflicting interests of the persons affected by noise disturbances, including the applicants. Environmental protection should be taken into consideration by Governments in acting within their margin of appreciation and by the Court in its review of that margin, but it would not be appropriate for the Court to adopt a special approach in this respect by reference to a special status of environmental human rights. In this context the Court must revert to the question of the scope of the margin of appreciation available to the State when taking policy decisions of the kind at issue (see paragraph 103 above) [i.e. a wide margin of appreciation].
123. ... whilst the State is required to give due consideration to the particular interests the respect for which it is obliged to secure by virtue of Article 8, it must in principle be left a choice between different ways and means of meeting this obligation. The Court's supervisory function being of a subsidiary nature, it is limited to reviewing whether or not the particular solution adopted can be regarded as striking a fair balance.
124. ... [the court] finds no
indication that the authorities' decision to introduce a regime based on the quota count
system was as such incompatible with Article 8."
"128. On the procedural aspect of the case, the Court notes that a governmental decision-making process concerning complex issues of environmental and economic policy such as in the present case must necessarily involve appropriate investigations and studies in order to allow them to strike a fair balance between the various conflicting interests at stake. However, this does not mean that decisions can only be taken if comprehensive and measurable data are available in relation to each and every aspect of the matter to be decided."
"129. In these circumstances the Court does not find that, in substance, the authorities overstepped their margin of appreciation by failing to strike a fair balance between the right of the individuals affected by those regulations to respect for their private life and home, and the conflicting interests of others and of the community as a whole, nor does it find that there have been fundamental procedural flaws in the preparation of the 1993 regulations on limitations for night flights."
"It remains open to the Court to conclude that there has been a manifest error of appreciation by the national authorities in striking a fair balance between the competing interests of different private actors in this sphere. However, the complexity of the issues involved with regard to environmental protection renders the Court's role primarily a subsidiary one. The Court must first examine whether the decision-making process was fair and such as to afford due respect to the interests safeguarded to the individual by Article 8 (see Buckley v the United Kingdom ...), and only in exceptional circumstances may it go beyond this line and revise the material conclusions of the domestic authorities (see Taskin and Others v Turkey ...)."
Grounds 1 and 2: Context
"7.1 The present night restrictions regime recognises both a night period, 2300-0700 hours, and a night quota period, 2330-0600 hours. During the whole of the night period, the noisiest types of aircraft may not be scheduled to land or to take off and they are effectively banned from doing so (other than in the most exceptional circumstances) in the night quota period. In addition, during the night quota period aircraft movements are restricted by a movements limit and a noise quota, which are set for each season. The seasons change with the clocks.
7.2 For these purposes, aircraft are classified according to the Quota Count (QC) system which was specially designed for the night restrictions at Heathrow, Gatwick and Stansted and introduced in 1993. The QC classification system is based on aircraft noise certification data. Aircraft are classified separately for landing and taking off by reference to data which are determined according to internationally agreed conditions and standards with adjustments to take account of differences in noise measurement points. Propeller aircraft with maximum take-off weight (MTOW) not exceeding 5700 kg (i.e. those not subject to such criteria) and older propeller aircraft also not subject to these criteria are classified according to assumptions based on available noise data. The aircraft are classified on the basis of their noise data (adjusted as appropriate) into six QC bands and the very quietest aircraft are exempt. The bands are
Certificated Noise Level (EPNdB) Quota Count
More than 101.9 16
99-101.9 8
96-98.9 4
93-95.9 2
90-92.9 1
Less than 90 0.5
Jet aircraft with a maximum certificated weight not exceeding 11,600 kg and propeller aircraft are exempt from the movements limits and noise quotas restrictions if their noise data are classified at less than 87 EPNdB.
7.3 Under the QC system, each aircraft type, including different versions of the same model, is assigned to a QC band according to its noise performance as determined by the ICAO noise certification process. For example, a Boeing 737-800 is classified as QC/0.5 on arrival and as QC/0.5 or QC/1 on departure (depending on its maximum certificated take-off weight), whereas a much larger and older Boeing 747-200 will vary between QC/2 and QC/8 on arrival, and between QC/4 and QC/16 on departure, depending on engine fit and MTOW. The individual classification of each type of aircraft is set out in Part 2 of the Schedule to the Notice which is published each season (in a supplement to the UK Aeronautical Information Publication (UKAIP)) to give effect to the night restrictions.
Proposals
7.4 In general, this QC system has worked well over the past 10 years and we propose to retain it. Are you content?
7.5 ICAO Assembly resolution A33-7 and Article 4(4) of Directive 2002/30/EC, both require that restrictions which differentiate between types of aircraft should be based on the noise performance of the aircraft as determined in accordance with ICAO certification procedures (their 'ICAO noise certification data').
7.6 When the QC system was first proposed in 1993, the Government said it would use data collected in normal operational circumstances from the noise and track-keeping system at the three airports to verify the QC classification of aircraft types. The results of the large-scale 'EPNL' noise monitoring, published in ERCD Report 0205 Quota Count Validation Study; Noise Measurement and Analysis, show that most aircraft currently operating at night at Heathrow, Gatwick and Stansted have operational noise levels that accord with their present QC classification. They also show some types are noisier than their classification, and some quieter.
7.7 The key aircraft found to be noisier than its QC classification is the Boeing 747-400 powered by Rolls Royce (RR) engines which is the main type used by airlines in the NQP at Heathrow. This means that the aircraft has been making more noise than other aircraft with the same classification (QC/2 on arrival) and using up less of the available noise quota than it would have if ranked according to its operational noise. However, it does not necessarily mean that people living around Heathrow have experienced more noise than they would have if the aircraft had been reclassified earlier. That is because the noise quotas set in 1993 and 1999 took account of the original QC classification of aircraft – if the classifications had been different the size of the noise quotas set for those regimes might also have been different.
7.8 To the extent that the Quota Count Validation Study has highlighted differences between measured operational noise and the noise performance of aircraft as indicated by their 'ICAO noise certification data' (after taking account of differences bound to affect all aircraft in-service compared with controlled certification conditions), these differences have been brought to the attention of the international technical experts currently examining the ICAO noise certification requirements. The UK Government believes in and supports the international system of noise certification. We are pressing for the certification requirements to be updated, to reflect modern operating procedures and
conditions, and to be made more rigorous.
7.9 However, Article 4.4 of Directive 2002/30/EC and Regulation 5(3) of SI No. 1742 preclude the use of any system of noise classification other than that based on 'ICAO noise certification data'. It follows that, although the UK (and other Member States) may choose how to use the noise certification data when imposing operating restrictions, it has no discretion to substitute measurements of operational noise as an alternative to the noise certification data. That would have the effect of decoupling the classification of the aircraft concerned from their noise certification data. We are, therefore, not consulting on this issue.
7.10 If we retain the QC system it is still possible to modify or extend it provided the classification remains based on noise certification data. With this in mind, we have considered possible changes arising from earlier commitments and the results of some technical studies, as already noted in paragraph 2.4 above.
7.11 The changes that we are considering taking forward are:
(a) whether to remove the weight limit on jet aircraft able to qualify as exempt but, at the same time, to introduce a new QC/0.25 band;
(b) whether to retain the minus 9 EPNdB adjustment for arrivals which takes account of the difference between the noise impacts of arrivals and departures; and
(c) whether to prohibit QC/4 aircraft from being scheduled or from operating in the present night quota period.
7.12 These are the key issues for this first stage of the consultation. We need to resolve them by the end of this stage, in the light of responses, in order to be able to present meaningful proposals on other aspects of the night restrictions, along with assessments of the likely costs and benefits associated with them, in stage two. Please would all consultees, particularly airlines and users of their services, include financial and other information that you consider relevant with your responses.
[Paragraphs 7.13-7.17 deal with question (a) in paragraph 7.11.]
...
(b) whether to retain the minus 9 EPNdB adjustment for arrivals which takes account of the difference between the noise impacts of arrivals and departures;
7.18 As explained in paragraph 7.9 above, whilst Directive 2002/30/EC requires Member States to use 'ICAO noise certification data', and none other, in classifying aircraft for operating restrictions, it leaves it to Member States to decide how to use those data. Under our QC classification system aircraft are classified separately for departure and for arrival. The movements limits and noise quotas are not subdivided between departures and arrivals, allowing airlines to make best use of what is permitted; the relative environmental impact of their choices is reflected by the classification of their aircraft and the amount of noise quota used. The purpose of the adjustment is to take account the difference between the noise impacts of departures and arrivals, due to the different measurement points and the larger size of departure noise footprints and thus the number of people likely to be affected. It thus allows departures and arrivals to be counted against the noise quotas on broadly equivalent terms.
7.19 The adjustment has been criticised on various grounds, chiefly that:
• the improved climb performance of modern twin-engined jet aircraft is likely to have led to a shrinkage in the average size of departure footprints since the adjustment was calculated;
• equating the footprint areas ignores the fact that a substantial part of the departure footprint falls on airport land (unlike approach noise) and will therefore have little or no effect on the local population;
• and even when their footprint areas are equal in area, noise levels inside the arrival footprints can be greater and the disturbance caused will therefore also be greater.
7.20 In view of this the Environmental Research and Consultancy Department of the CAA were commissioned to reanalyse how certificated take-off and landing noise data compare with the noise impact on the local population, and to assess whether the minus 9 EPNdB adjustment was still appropriate. That assessment has been published as ERCD Report 0204. The main conclusions are summarised as follows:
1. The method by which aircraft QC classifications are determined from official certificated noise levels remains appropriate.
2. The areas within which noise levels under the approach path exceed those reached under the departure path are close to the airport and relatively small.
3. The use of operational sound exposure levels in the 1991 analysis (instead of the certificated effective perceived noise levels) distorted the difference between arrivals and departures.
4. The percentage of noise generated which falls on airport land is greater for take-offs than landings. Adjusting the levels of noise impact to account for this reduces the difference between the community impact of arrivals and departures.
5. The effects of 3 and 4 tend to cancel each other out.
6. Improvements in departure noise achieved by modern aircraft have not been matched by equal noise reductions on approach. This closes the gap by around 2 EPNdB.
7. As a consequence of factors 3 – 6 above, the actual difference between the impact of arrivals and departures is now calculated to be equivalent to 9 EPNdB. This is the differential currently used to calculate QC values, but less than the differential of 11dB measured in the 1991 study, prior to the introduction of the QC system.
7.21 We accept these findings and propose to retain the minus 9 EPNdB adjustment for arrivals. Are you content?
[paragraph 7.22 deals with question (c) in paragraph 7.11]
...
7.23 If in the light of responses to the above proposals, we decide to proceed with them, we intend at stage two,
(a) to propose to reduce the departure noise limit that applies between the hours of 2330-0600, from 87dBA to 84dBA;
(b) to propose new night-time noise insulation criteria that take account of the actual operational noise of the noisiest aircraft that would still be likely to be operating at night. At Heathrow, for example, this would probably be the B747-400 with Rolls Royce engines. A map of the area around Heathrow with 90 SEL landing footprints for this aircraft type superimposed at each end of each runway is at Annex G, together with an explanation of how they have been calculated, for information; and
(c) to consider whether QC/4 aircraft should still be allowed to operate in the time periods 2300-2330, 0600-0630 and 0630-0700, if any such times were to be brought within the night quota period, and, if so, on what basis. For example, would it be practical to phase them out over the six year period of the next regime, or would it be an issue for a subsequent review?
You may wish to bear these points in mind when commenting on the proposals at 7.4 to 7.22 above."
"Performance-based operating restrictions shall be based on the noise performance of the aircraft as determined by the certification procedure conducted in accordance with Volume 1 of Annex 16 to the Convention on International Civil Aviation, third edition (July 1993)."
"(3) When adopting operating restrictions at a relevant airport based on an aircraft's noise performance, the competent authority shall base those restrictions on the noise performance of the aircraft as determined by the certification procedure conducted in accordance with Annex 16."
Both the Directive and the Regulations prohibit measures which discriminate on the grounds of nationality or the identity of the air carrier or aircraft manufacturer.
"1. The Defendant is entitled to have regard to the operational noise of aircraft (and not merely to ICAO Certification Data) in formulating operating restrictions
Provided that:
In respect of performance-based operating restrictions at any given airport, aircraft with the same ICAO certificated noise levels are to be treated in the same way.
2. For the avoidance of doubt
(i) the above interpretation of article 4.4 of Directive 2002/30/EC does not depart from that advanced in the consultation paper and should not be taken as qualifying the content of the consultation paper
(ii) nothing said by or on behalf of the Secretary of State in this order or in these proceedings should be taken as any indication of the outcome of the consultation paper
(iii) the Secretary of State will consider any further representations from the Claimants in relation to Stage 1 of the above interpretation so long as they are received by the Department by the 24th December 2004 in addition to any representations they made in relation to Stage 2 of that process."
The consultation period for stage 1 had closed on 29th October 2004.
"22. Paragraph 5.4 of the April 2003 DT consultation represented Quota Count Validation Study as showing that 'most' aircraft currently operating at night at Heathrow, Gatwick and Stansted have operational noise levels that accord with their present QC classification; it is also indicated some types are noisier than their classification, and some less noisy.
23. This was literally true in the sense that the Quota Count Validation Study did show that most types of aircraft are correctly categorised. However the April 2003 consultation did not mention the highly significant fact that the Validation Study shows that Boeing 747-400 aircraft powered by Rolls Royce engines, generate far more noise than other aircraft afforded the same number of QC points. I quantify the differential below. Boeing 747-400s form a very significant proportion, indeed, the clear majority, of arrivals at Heathrow during the Night Quota Period. Since, therefore, the QC rating under-represents the noise of a very significant number of night flights at Heathrow, the Validation Study shows that the Quota Count overall gives a misleadingly low impression of the noise generated by night flights around Heathrow.
24. The Department was somewhat more explicit about the findings of the Quota Count Validation Study in the July 2004 consultation, which is the subject of the present challenge. This consultation acknowledges that the Department's own Study shows that in fact Boeing 747-400 aircraft powered by Rolls Royce engines are consistently bad noise performers. Paragraph 7.7 of the present Consultation Paper informs consultees that:
The key aircraft found to be noisier than its QC classification is the Bowing 747-400 powered by Rolls Royce (RR) engines which is the main type used by airlines in the N[ight] Q[uota] P[eriod] .......
It follows, therefore, that any scheme (whether QC-based or not) which treats aircraft noise as having been definitively stated in the ICAO certification figures will be founded on data that understate that noise.
Quantifying the noise underestimate
25. It may assist the Court to have some evidence as to the extent of the scale of the 'unmeasured noise' at Heathrow which results from the under-representation, in the QC count, of noise generated by RR Boeing 747-400 engines.
26. First, as the Department indicates at 7.7 of the Consultation Paper, the clear majority of night flights at Heathrow are RR Boeing 747-400s. The tables at CS-1 p.112 are taken from a HACAN publication 'Night Flights at Heathrow — questions and answers (for 8th July 2003 figures) and my own personal observations close to Heathrow airport on 24th June 2002. Both tables show the NQP movements for the periods in question. These dates have been selected because there is nothing unusual about them: they show a representative patten of early morning arrivals. On 24th June 2002 ten out of the fourteen arrivals between 04:40 and 05:56 were Boeing 747-400 aircraft powered by Rolls Royce engines. On 8 July 2003 nine out of the thirteen arrivals in the NQP were Boeing 747-400 aircraft fitted with Rolls Royce engines.
27. Secondly, the QC count significantly under-represents the noise generated by RR Boeing 747-400s: it is not a marginal problem. Figure 8 on p.32 of the Quota Count Validity Study ERCD 0205 shows how significantly the actual EPNL generated by RR B747-400s exceed the assumed noise upon which their QC ratings have been calculated. I draw attention to the dot in this figure, which indicates certificated level of noise generated by the RR B747-400, and the square symbol intersected by a 95% confidence level line, which shows the actual noise generated. This figure shows that, by reference to the actual noise which they generate, far from being classified as QC 2 all RR B747-400s should be classified as at least QC 4, with one variety being QC 4/8 (ie even noisier, on the margins of the higher band)."
"9. At paragraph 23 of his statement, Colin Stanbury purports to summarise the results of the ERCD study. although it is correct to say that the ERCD study shows some Boeing 747-400 aircraft with Rolls Royce engines generate more noise than their classification suggests, this is not true of all such aircraft. The results in the ERCD report indicate that, because of their average operational noise levels, some 747-400s would be better placed in the QC/4 category rather than QC/2. However, the report shows that 2 variants of the 747-400 meet their QC/2 rating. Those are the 747-400s operated by British Airways, which make up the majority of relevant landings that were monitored during the ERCD study.
10. The quotation at paragraph 24 of his statement from the Consultation Paper omits two important words from the end of the sentence. The full quotation from paragraph 7.7 of the Paper is: 'The key aircraft found to be noisier than its QC classification is the Boeing 747-400 powered by Rolls Royce engines which is the main type used by airlines in the NQP at Heathrow'. This is important because, whilst 737s make few night-time movements at Heathrow the same is not true of Stansted for example, where they comprised a significant proportion of the movements made during the NQP. This is significant because the data contained in the ERCD report indicates that Boeing 737 aircraft could be reclassified to a lower QC classification.
11. Colin Stanbury is wrong when at paragraph 27 of his statement, he cites the ERCD Report as justifying the conclusion that 'all RR B747-400s should be classified as at least QC/4'. The measurements for two of the five B744/RR variants shown in Figure 8 of the ERCD Report do not fall entirely inside the QC/4 band, and have therefore not (in the view of the authors of the ERCD Report) exceeded their QC classifications.
12. Importantly, the two quieter B744/RR variants, which are operated by British Airways and which (just) meet their QC/2 rating, account for the majority of the night-time B747 arrivals at Heathrow that were monitored during the ERCD study. The 3 noisier B744/RR variants shown in Figure 8 are operated by Cathay Pacific, Qantas and South African Airways respectively. As indicated in CS-1 p.112, Cathay Pacific and Qantas regularly operate only one aircraft each per night during the NQP. Thus, on average, and based on the results of ERCD Report, more than 75 percent of the night-time B744/RR operations at Heathrow do not exceed their current (QC/2) classifications. It follows from this that Colin Stanbury's recalculated 'noise dose' values (as set out in paragraph 28) are overestimates (because they are based on the erroneous assumption that the ERCD Report suggests that all the B747/RR aircraft should be reclassified as QC/4)."
"3. Mr White downplays the practical problem that has caused these proceedings. I understand that the precise extent of the problem is not a matter for this judicial review. However, it is a significant problem and I ask that the court takes it seriously.
4. Put briefly Mr White says that most B-747s with RR engines are in the QC2 category. The only basis for this assertion is, so far as I can see, one unsubstantiated footnote to Table 1 on p.22 of the Quota Count Validation Study (QCVS). It will be seen that QC values for these aircraft can depend upon their weight, with actual noise levels dependant on operating procedures. I cannot see any other justification in the QCVS or the July 2004 consultation which would leave consultees assured that the relevant B-747s are QC2. Indeed, the consultation itself says:
'The key aircraft found to be noisier than its QC classification is the Boeing 747-400 powered by Rolls Royce (RR) engines which is the main type used by airlines in the NQP at Heathrow' (emphasis added).
5. It is also surprising because other information in the QCVS is firmly to the effect that the aircraft in question are all noisier than their rating suggests. It will make it easier to understand the comments below to remind the court of three points."
Mr Stanbury makes three points, and then exhibits items from the study and draws certain conclusions from them.
"The central conclusion to be taken from this response is that it may not be rational for the Secretary of State to come forward with a Stage 2 that contemplates a QC system unless it in practice fairly adjusts for aircraft that have been misclassified."
"5.4 In the Stage 1 consultation paper, we made clear that, although not obliged to do so, we proposed to retain the QC system. Consultees were asked for their views. Some suggested that the QC system should be jettisoned in its entirety in favour of a system based entirely on numerical movements limits. However, over 80% of consultees who expressed a view on this point said that the QC system should be retained. In the light of that response, we have decided to retain the QC system as part of system of common arrangements across the three designated airports.
5.5 Some of the consultees suggested that the QC system should be altered so as to take account of measurements of operational noise in so far as these differed from ICAO certification data. But the consultees who suggested changes were far from unanimous as to what the changes should be. No suggested system was both consistent with the Government's legal obligations (as set out in paragraphs 3.11 and 3.12 above) and superior, in our view, to that currently in place.
5.6 Various aspects of the QC system had been examined as part of the Department's earlier review15 of the QC system, as noted in part 7 of the Stage 1 paper. For the reasons discussed, we are not taking forward the idea of an unbanded system. In the light of some comments received on Stage 1, we further considered whether to shift the boundaries of the QC bands (which was not considered in depth in the Review). Taken separately from the question of what the effective noise quotas should be, upon which we consult below, the main potential effects would be in relation to (a) the relative weightings on arrivals and departures; and (b) the number of aircraft (types) which would be subject to the QC/4, /8 and /16 scheduling and operating restrictions. Issue (a) is addressed below in the context of the minus 9EPNdB adjustment. Turning to (b), a reduction in the band ceilings would for example have brought aircraft types currently permitted to be scheduled at night into the banned category, irrespective of their respective empirical noise performance relative to their certificated values. We have concluded that such a change would not be fair, conducive to orderly fleet planning, or necessary in order to help achieve the environmental and noise-abatement objectives for the airports."
"5.18 Paragraphs 7.18 to 7.21 of the Stage 1 consultation document explained the system of adjusting the approach certification value by a deduction of 9 in order to make it broadly comparable with the departure noise value, which is an average of the flyover and sideline values. We went on to summarize the findings of the CAA's ERCD Report 0204, which in our view appeared to justify keeping the adjustment factor.
5.19 Some consultees favoured introducing separate movements limits and/or noise quotas for arrivals and departures, instead of using 9 EPNdB or any other adjustment factor to aggregate arrivals and departures in a combined QC control. Arguments put in favour of this proposition included that different people were affected, and that no simple adjustment factor could capture the difference in character between approach and departure noise. It is also true by definition that separate movements limits or noise quotas for arrivals and departures, adding to the same overall totals, would over time represent a more stringent control than a single combined (arrivals and departures) movements limit or noise quota.
5.20 Consultees did not advance any arguments which, in our view, contradicted ERCD's technical findings.
5.21 Having considered these arguments, the Secretary of State has concluded that proposals for a system of separate controls for arrivals and departures should not be taken forward, and that the 9 EPNdB adjustment is a reasonable and pragmatic method for combining them, while taking account of the particular patterns and characteristics of
arrivals and departures in setting the limits themselves for each airport.
5.22 We have therefore decided to retain the 9 EPNdB adjustment within a system of combined movements limits and noise quotas each covering arrivals and departures together."
"(i) 'Misclassified aircraft'
We note from paragraph 5.5 of the consultation paper that you are not proposing to adjust the classification of aircraft which are classified as being quieter than they actually are (based on the ICAO classification), and which, we understand, form a substantial proportion of the arrivals at Heathrow during the night quota period. If this is the case, then there is plainly an extremely serious problem, since the proposed controls on night flights will not accord with avowed government policy to encourage the use of quieter aircraft at night and bear down on night noise. In particular, it does not sit with the proposal to ban the scheduling of QC-4 aircraft during the night quota period, on the assumption that these cause too much disturbance. Please can you clarify the basis of your current thinking on this issue, to enable our clients properly to respond."
"The Stage 2 consultation makes two further assertions (at paragraphs 5.4 and 5.22) which might be regarded as concluded decisions upon which no consultation responses are sought. The first is that the Quota Count (QC) system will continue under any new scheme for controlling night noise. The second is that the 9 EPNdB reduction to classification levels will continue to apply to landing aircraft."
"We have set out, in past proceedings and correspondence, our reasons for considering that these two decisions are unlawful. If these are indeed concluded decisions, upon which no further representations will be considered, it may be appropriate for our clients to commence judicial review proceedings in the near future.
...
Therefore, we ask you, in relation to misclassified aircraft, the QC system and the 9 EPNdB issues, whether, or not, the Secretary of State will be prepared to consider representations in the course of the consultation as to measures that should be taken in consequence of what might be regarded as his 'decisions' on these points.
...
If he does consider these to be open questions, then it would seem more efficient from everyone's point of view if our clients were to reconsider their position in the light of the Secretary of State's final decision on the present consultation. If, however, he does not, then this letter is to put you on notice that our clients would be minded to challenge these decisions now."
"Adopting the numbering and headings in your letter, the Secretary of State's response is as follows:
(i) 'Misclassified aircraft': As you know, the extent to which the Secretary of State is able, consistently with the requirements of 2002/30/EC, to take account of operational noise measurements in formulating operating restrictions is agreed between your client and ours. Your client agreed (in terms set out at para. 3.12 of the stage 2 consultation document) that the agreed interpretation did not depart from that set out in the stage 1 consultation document. The question whether the QC system should be altered was the subject of consultation at stage 1. Responses to that consultation (including by your clients) were considered carefully. The conclusions reached in the light of the consultation responses are set out at paragraph 5.5 of the stage 2 consultation document. That paragraph makes it clear that the Secretary of State has decided not to alter the current QC system so as to reflect operational noise measurements where these differ from ICAO certification data. Paragraph 5.6 sets out, and succinctly explains, the Secretary of State's decision not to alter the band ceilings to take account of operational noise. The Secretary of State did not invite further representations because such representations had already been sought at stage 1.
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(ii) Retention of the QC system: Paragraph 5.4 of the stage 2 consultation document sets out the Secretary of State's decision to retain the QC system as part of a system of common arrangements across the three designated airports. Consultees were not invited to make further representations because, as was spelled out in that paragraph, they had already been asked to do so in the stage 1 consultation.
(iii) 9 EPNdB reduction for landing aircraft: Retention of the 9 EPNdB adjustment for landing aircraft was the subject of consultation at stage 1. Paragraphs 5.18 to 5.22 of the stage 2 consultation document set out and explain the decision, made in the light of the consultation responses, to retain the adjustment.
Concluded issues? The passages set out above make quite plain that the Secretary of State considers the decisions on the above issues to be concluded. I also refer you to paragraph 2.2 of the stage 1 consultation document in which it was explained that the issues relating to the way aircraft are classified for night restrictions purposes needed to be resolved before stage 2. The Secretary of State does not believe that any further clarification of his thinking beyond that already set out in the consultation documents is necessary or appropriate."
The letter continued to make it clear that "Unlike issues (i) to (iii) above", certain other matters were still open to consultation.
"i. To retain the quota count (QC) system as a method of controlling the effects of noise generated by night flying at Heathrow (paragraph 5.4 of the consultation paper);
ii. To maintain the artificial 9 EPNdB reduction in the classification of aircraft on arrival at Heathrow (paragraph 5.22 of the consultation paper);
iii. To continue to use the classifications of aircraft by ICAO unadjusted, notwithstanding the Secretary of State's acceptance that these are substantially inaccurate (paragraph 5.5 of the consultation paper).
These decisions were published on 10 June 2005 in the stage 2 consultation paper"
"28. Stage 1 of the consultation also recognised the fact that certain aircraft, which happen to make up a large proportion of the aircraft arriving at night at Heathrow, have historically been mis-classified with the effect that the scheme operates on the basis that they make less noise than they actually do. The effect of this is that up to twice as many such aircraft are allowed to land than would be the case, under the existing QC scheme, if the classification for the purposes of that scheme related to the noise actually generated by particular aircraft rather than the inaccurate ICAO classification. (The actual effect of the misclassification is a matter of dispute: the claimants believe it is in the region of an additional 74%; during Richmond No. 5, the Secretary of State claimed it is a much lesser figure; in any event, it is substantial and of grave concern)."
"46. A key element of the Secretary of State's QC scheme is the so-called 'minus 9 EPNdB adjustment' for arriving aircraft. The theory behind this adjustment is that because aircraft are flying lower on approach compared with take-off, the footprint of noise (i.e. the number of people affected) is less than on take-off. Therefore, the Secretary of State argues, the noise energy values (for the purposes of his scheme, QC points) should be reduced to make them comparable with departure noise where the area affected by a given level of noise is greater. The deduction of 9 EPNdB, however, has the dramatic effect of allowing eight times the number of aircraft to land than would be the case were there no adjustment.
47. A further problem is that the noise levels thus reduced bring them to levels which are acceptable to the Secretary of State, whereas noise levels unadjusted, at least in relation to aircraft of rating QC-2 and above breach noise limits which (in the case of departures) would be subject to infringement penalties.
48. It is not the claimants' case that if one was concerned with fine-tuning a noise energy scheme, so as to make the total noise energy received on the ground approximately comparable, that the Secretary of State's scheme is irrational. However, it is their case that dealing with a scheme which is supposed to protect individual residents on the ground, who are not concerned with whether noise energy is or is not spread out over a wider area, the deduction is wholly inappropriate."
"60. The claimants have considered whether it would be appropriate to refrain from challenging these errors now, pending further consideration of the Secretary of State's final decision on Stage 2 of the consultation, whenever that may (presumably some time in the autumn). However on analysis not only the 'decisions' impugned now, but also the current consultation points are so fundamental that they need to be resolved before the Secretary of State can sensibly consider the matter further. The claimants' position is therefore that they await the Secretary of State's views in his acknowledgement of service and confirm that they would support expedition of the matter should the Secretary of State seek it."
"The 9 EPNdB reduction
There are two aspects to this, noise exposure and absolute noise levels. We will turn to the issue of noise exposure later in this letter in context of discussion of the proposed new contour.
As discussed in the appendix, it is plain that the 9 EPNdB reduction is as such flawed. This is because it permits aircraft to fly which are in fact 9 EPNdB louder than their adjusted classification suggests. In other words, aircraft that supposedly do not awaken, i.e. of 80 dBALmax or 95 EPNdB, are in fact much louder (89 dBALmax or 104 EPNdB) and at levels that the government accepts does cause awakenings. Put another way, aircraft of QC 2 and above should really be counted as QC 16 for their effects.
This difficulty lies at or close to the root of all the problems associated with night flights at Heathrow. On one hand the Secretary of State accepts that flights over 80 dBALmax or QC2 and above do disturb, yet pretends they do not because he artificially reduces the classification by 9 EPNdB.
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Assuming however that, for good or bad reasons, the Secretary of State is entitled to have his 9 EPNdB reduction, he must recognise that the actual noise experienced by people on the ground is so much louder than his scheme pretends. The reduction itself is entirely unrelated to that which the Secretary of State is supposed to regulate, namely the effects of noise on people.
To deal with this, having been open with the actual noise the aircraft in question make, the Secretary of State should consider whether it is right (given their by now acknowledged capacity to disturb, being in excess of not just 80 dBALmax but being in excess of 89 dBALmax) either to ban them, or very severely to restrict them, whether by reclassification, quota, financial penalty, compensation to individuals affected, or otherwise. ...
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We urge the Secretary of State to consider the appropriate approach for compensating for the 9 EPNdB reduction in relation to absolute noise levels when making his final decision on the matter. ...
Mis-classified B-747s
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In the context of a scheme that it is supposed to bear down on noise, and indeed expressly contemplates banning the scheduling of QC 4 aircraft at Heathrow during the night quota period, we cannot understand why the Secretary of State contemplates allowing aircraft misclassified as QC 2 when they should be QC 4 to be scheduled to fly nevertheless. There is no reason why he should not contemplate banning such aircraft at night, just as he has with other unacceptably noisy aircraft.
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We appreciate that the Secretary of State has said that he has considered this issue, and has found no better way to do it than in relation to noise insulation and a new noise contour (to which we return below). However, this is simply not good enough and we expect the Secretary of State during his further consideration of the scheme and final decision to come up with a rational solution.
For example, it would not offend directive 2002/30/EC to ban aircraft with the particular offending engine type (RB-211). This would not be in breach of either article 4.3 or 4.4 of the directive.
Alternatively it would comply if the Secretary of State were to ban not only QC 4 aircraft but also QC 2 aircraft. After all, aircraft of this type are also well above the limit of 80 dBALmax that the Secretary of State himself accepts are disturbing (once the artificial 9 EPNdB deduction is added back on again).
Considering the effort we went to in the December 2004 proceedings to point this problem out to the Secretary of State we are surprised he has not come up with a solution that addressed the problem (rather than the geographical reach of the problem, the contour, to which we turn below). Nevertheless, we reluctantly consider that this is a matter which it is best for the Secretary of State to have the opportunity to consider the matter further, rather than impugn his consultation at this stage. As was always accepted in Richmond No. 5, even if the Secretary of State chose to treat aircraft with the same ICAO classification in the same way for some purposes, it would still be open to him to adopt compensatory measures or adjustments so as to ensure that the true noise position was reflected in the night flights regime. That opportunity remains."
Ground 1: "The Misclassified B-747-400s"
"12. Consultees were asked for their views. Of those who expressed a view, 80% said that the QC system should be retained. Some consultees expressed the view that the system was inherently flawed because the raw input data it used measures sound energy rather than noise effects. Some consultees also suggested that the ICAO noise certification data (upon which operating restrictions are required, as a matter of European law, to be based) substantially underestimated the actual noise generated by certain Boeing 747-400 aircraft with Rolls Royce engines.
13. The Secretary of State considered those points. As to the QC system itself, he decided to accept the view advanced by the majority of the respondents that the system had worked well and should be retained as a useful way of encouraging the use of quieter aircraft at night. As to the classification of Boeing 747-400s, he considered carefully whether the available data justified an adjustment to the QC system (within the limits allowed by European law). The research on operational noise recorded by the Environmental Research and Consultancy Department of the CAA in ERCD Report 0205 showed that most aircraft currently operating at night at Heathrow, Gatwick and Stansted have operational noise levels that accord with their present QC classification, though some types are noisier and some quieter. But, even looking just at Heathrow, it was far from clear that all Boeing 747-400s with Rolls Royce engines were noisier than their classification suggests, or even that a majority of them were.
14. The Secretary of State decided that the case for an adjustment of the QC system (within the limits allowed by law) to take account of operational noise had not been made out. In the stage two consultation document, he announced his decision to that effect, noting (at para. 5.5) that no suggested alternative system was 'both consistent with the Government's legal obligations... and superior to that currently in place'. That conclusion was among those challenged in judicial review proceedings in the autumn of 2005, but the challenge was withdrawn. The decision therefore stands."
"... it is important to any robust interpretation of such data to decide upon an interpretation methodology at the start of the process, and then ensure that the methodology is applied consistently."
"to address the question behind the monitoring of classifications exercise, namely whether or not any given aircraft or aircraft type produces noise levels significantly higher than the average for its category." (emphasis added)
Those words are taken from the consultation paper for the 1993 scheme.
Ground 2: The 9 EPNdB reduction issue
"16. Since the QC system was first introduced, it has included a minus 9 EPNdB adjustment for arrivals. The purpose was take account of the difference between the noise impacts of arrivals and departures thus allowing arrivals and departures to be counted against the noise quotas on broadly equivalent terms. When the decision was first taken to introduce the adjustment (in the early 1990s) it was challenged in judicial review proceedings. The challenge failed on this point and the adjustment was retained.
17. Since then, the case for retaining the adjustment has been re-assessed in ERCD Report 0204. On the basis of the findings in that report, the Secretary of State proposed in the stage one consultation paper that the adjustment should be retained. Of the consultees who responded on this point at stage 1, 43 agreed with the proposal to retain the adjustment and 28 disagreed. Of those who disagreed, some said that there should be separate noise quotas for arrivals and departures.
18. The Secretary of State decided that splitting the noise quotas for arrivals and departures would be administratively very difficult for airport and slot managers. He concluded, having considered the consultation responses and the findings of ERCD Report 0204, that the 9 EPNdB adjustment should be retained. He announced that conclusion in the stage two consultation document. That decision, like the decision to retain the QC system, was the subject of challenge in judicial review proceedings in the autumn of 2005. The challenge was withdrawn and the challengers conceded that the decision to maintain the 9 EPNdB adjustment was not per se unlawful. The decision therefore stands."
"Mr Gordon submits that these explanations do not in fact offer any rational basis for the 9 EPNdB deduction. He says, and this is the burden of the assault mounted in his evidence, that it leaves entirely out of account the fact that whereas the main noise impact of take-off is over the airfield, the noise effects of landing are felt at a distance from the airfield; nor does it take on board the fact that at Heathrow some 70% of landings are from the east, an area five times more densely populated than the usual take-off route. So his case is that this deduction has been arrived at by leaving wholly out of account the fact that there is a significant number of people who will be more affected by landings than take-offs. He points to the fact, as the evidence shows, that without this deduction the permitted noise levels for landings would be unacceptable on the Secretary of State's own policy ..."
"In my view this is another area where the complaints advanced raise no point of law. If their effect is that in the result the quota points system is, to say the least, rough and ready because there is no symmetry between the numbers of people affected by the noise of landings and take-offs respectively, or because some people are or may be more affected by landings than by take-offs, those are arguments as to the merits; if I gave effect to them as arguments of law, I would pro tanto be substituting my view as to what a sensible and effective measure under s 78(3) ought to contain for that of the Secretary of State. So I reject Mr Gordon's submission."
"That leaves one final argument, which is that the decisions were irrational because, it is said, the quotas were determined in part without appreciating that the basis of calculation was such as to include in the quota aircraft whose noise levels were such that their movement at night was prohibited by the respondent under his general powers of controlling noise levels of individual night movements. This same point was made before Laws J. The starting point is the individual noise limit, which is that between 2300 and 0700 aircraft are required to be flown so that they do not exceed 102 PNdB after take-off at the relevant monitor. Categorisation for the quota count uses an internationally accepted classification of aircraft by reference to the unit of measurement known as EPNdB. As I understand it, the difference between the two units of measurement is that the latter takes into account duration of noise, as well as perceived levels of noise. Every certificated aircraft is given a noise rating in EPNdB. Quota counts are based on deducting 9 EPNdB from this noise rating. The evidence before Laws J was that this deduction was made to take account of the way in which the EPNdB figures are calculated, and in order to obtain a more realistic noise profile.
After deducting 9 EPNdB, the EPNdB figure for QC2 aircraft is 93 to 95.9, and for QC4 aircraft 96 to 98.9. The applicants say that it is therefore self-evident that these are aircraft which should not be moving at night. Laws J accepted that the quota count system was a rough and ready, but permissible method of estimating the overall effects of the noise of particular aircraft because there was no symmetry between the numbers of people affected by the noise of landings and take-offs. He pointed out that the applicants had had every opportunity to put forward their arguments in this respect as a result of what was set out in the consultation papers. He took the view that the arguments went to the merits. These seem to me to be sufficient answers to the complaint made by the applicants before me. In addition, it should be noted that by comparing PNdB with EPNdB, the applicants are not comparing like with like. ..."
"Impact is the aggregate adverse effect of the noise on people and it is quantified by taking account of
noise exposures and the numbers of people affected" (paragraph 2.1).
Conclusion