The 3 sheets: Back Info-General, Back Info - Roles and Resps, and Back Info - Timeframe shall be filled in with the relevant information.

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2 Background information The 3 sheets: Back Info-General, Back Info - Roles and Resps, and Back Info - Timeframe shall be filled in with the relevant information. The cells coloured in: are those to be filled in. Additional information Additional information to the flowcharts is requested where the objects are bordered with a thick black line. Reference N of these objects have been introduced. The 7 sheets: Stage 1, Stage 2, Stage 3, Stage 4, Stage 6, Stage 7 and Stage 8 shall be filled in with the relevant information. The cells coloured in: are those to be filled in. Colour coding from the flowcharts legal option non mandatory/common practice legal option at the national level

3 Contact details for National Legal Framework Reporting country Organisation Name Office phone number Latvia State Railway Technical Inspectorate Contact name Mobile phone number Andris Dunskis Jelena Stepanova Interoperability Directive transposed Is there (/) Classification: (general, specific, Detailed reference of the rule(s) detailed) - General provision: art 43 of Railway Law - Cabinet Regulation 1210; adopted the 28 N/A December Placing in service: Cabinet Regulation 1211; adopted the 28 December 2010 Language(s) that the rule(s) are available in MSs National guideline (legal status of guideline is Cabinet rules) N/A - Annex 2 (type of vehicle) of Reg 1211/2010; - Annex 3 (single vehicle) of Reg 1211/2010; Additional required N/A - Clause 3.1, 3.3 and 3.5 of Reg 1211/2010 N/A Vehicle type detailed - Art 5 of Reg 1211/2010 (ref to part 6 of Annex 2) Time validity of a type N/A Definitions: - Art 5 of Reg 1211/2010 ( ref to basic parameter Upgrading detailed of Annex 1) Renewal detailed - Art 80 of Reg 1211/2010 (ref to Annex 4) Specific national arrangements for on track tests detailed - Art 24.3, 66.3, 67, 68 of Reg 1211/2010 Coordination with Procedure for simultaneous application other MSs Fees Is there (/) Amount (Euro) Conditions (fixed/hourly rate) Detailed reference of the rule Language(s) that the rule(s) are available in To obtain the National guideline For the acknowledgement of receipt of application For issuing For refusal of For the appeal procedure to NSA For the appeal procedure to Appeal Body For the NSA acting as assessment body (DeBo/CSM) For NSA issuing certificates (DeBo/CSM) *) EN version not legally binding

4 The following roles/actors might be involved in the procedure for the placing in service of vehicles: applicant, RU, IM, keeper, Bo, DeBo, NSA, MS, Assessment body (CSM) and others (laboratories, Requirement on the actor for the role Applicant IM Bo DeBo NSA MS Detailed reference of the rule(s) Art 5 of Reg 1211/2010 Art 27 of Reg Chapter 2 of 1211/2010 Reg 1211/2010 Art 9 of Reg 1211/2010 Art 33 of Ralway law Stage 1: Art 5 of Reg 1211/2010; Stage 8: Art 40 of Reg 1211/2010 Assessment Body (CSM) EC regulation 352/2009 Appeal body in place of NSA Art 38;39 of Reg 1211/2010 Language(s) that the rule(s) are available in: All EU languages Chapter 5 of Chapter 5 of Annex II EC List of acceptance criteria Reg Reg 1210/2010 Regulation 352/ /2011 Appeal Body Art 38;39 of Reg 1211/2010 List of actors entitled to act as: - Manufacturer of the rolling stock; - Entity carrying out the upgrade; - Contracting entity ordering the rolling stock construction or upgrading; - Authorised representative of above mentioned N/A N/A - Baltic testing center State Railway Technical Inspectorate Stage1: State Railway Technical Inspectorate Stage 8: Ministry of Transport Anyone who fulfills the requirements State Railway Administration Administrative Court *) EN version not legally binding

5 Is there a National timeframe Specify timeframe Detailed reference of the rule(s) Language(s) that the rule(s) are available in For new case after upgrading/renewal: for MS/NSA to make decision according to Art.20.1 of Directive 2008/57/EC 1 month Administrative Procedure Law art 64 (1); LV For all cases where there is a refusal of according to Art 21.7 of Directive 2008/57/EC: Request for review of the refusal by the applicant to the NSA Maintain of the refusal by the NSA Request for review of the refusal by the applicant to the appeal body Possible opinion of the Agency if required by the appeal body t applicable t applicable from 1 to 2 months - Reg 1211/2010 art 38,39; - Administrative Procedure Law art 64 (1); NSA decision to be taken as soon as possible and not later than, according to Art of 2008/57/EC: (a) after submission of the 2 months Reg 1211/2010 art 34.1 For additional case of (b) after provision of any additional information TSI conform vehicles requested by the national safety authority, where 1 month Reg 1211/2010 art 34.2 applicable (c) after provision of the results of any tests requested 1 month by the national safety authority, where applicable Reg 1211/2010 art 34.2 NSA decision to be taken as soon as possible and not later than, according to Art of 2008/57/EC : For additional case of non-tsi conform vehicle For all additional cases: TSI and non-tsi conform vehicles *) EN version not legally binding (a) after submission of the 1 month Reg 1211/2010 art 35 (b) after provision of any additional information requested by the national safety authority, where applicable from 2 to 4 months (c) after provision of the results of any tests requested from 2 to 4 by the national safety authority, where applicable months For tests/checks (including network compatibility) with the identified actors, in particular the IM, to take place not later than, according to Art and Art.25.4 of Directive 2008/57/EC when there is a deemed according to Art.21.8 of Directive 2008/57/EC Reg 1211/2010 art 35 Reg 1211/2010 art 35 3 months Reg 1211/2010 art 29 3 months Reg 1211/2010 art 40

6 Reference in flowcharts Reference to object in flowchart 1.I Submit the describing the project to the MS Requirement that needs additional information Requirements for the content of the describing the project The detailed reference of the rule(s) that specify the requirements Reg 1211/2010 art 5 (ref to basic parameter of Annex 2) Language(s) that the rule(s) are available in 1.II Examine: of the previous (s) records on maintenance, operation and technical modifications 1.III Submit the describing the project to the MS Requirements for the content of the of the previous (s) Requirements for the content of the records on maintenance, operation and modifications Requirements for the content of the describing the project Reg 1211/2010 art 52, 53 for TSI conform vehicle; Reg 1211/2010 art 62, 63 for non-tsi conform vehicles; Reg 1211/2010 art 52, 53 for TSI conform vehicle; Reg 1211/2010 art 62, 63 for non-tsi conform vehicles; Reg 1211/2010 art 41, 42, 43, 44 1.IV Is a new required for the project? The criteria for a new Reg 1211/2010 art 5 (ref to basic parameter of Annex 2) *) EN version not legally binding

7 Reference no in flowcharts Reference to object in flowchart Requirement that needs additional information The detailed reference of the rule(s) that specify the requirements Language(s) that the rule(s) are available in 2.II Request for track access to run on track test, when necessary Procedure for establishing the conditions to run on track tests Reg 1211/2010, art 27, 28, 29, 30 2.II Compile pre-engagement baseline Procedure for establishing preengagement baseline *) EN version not legally binding

8 Reference no in flowcharts 3.I 3.II 3.III 3.IV Reference to object in flowchart Perform verification (including tests and on track tests where necessary) against applicable TSIs and NRs, and establish evidences Perform verification of conformity to type, and establish evidences Supply evidences on the completion of the relevant assessment of conformity to type Supply evidences on the completion of the relevant assessment of conformity to type 3.V Apply CSM Regulation for safe integration 3.VI 3.VII Provide certificate(s) from assessment against applicable TSIs requirements to applicant Provide certificate(s) from assessment against applicable NRs requirements to applicant Requirement that needs additional information The requirements for evidences The requirements for evidences The requirements for evidences The requirements for evidences The requirements for risk assessment The requirements for evidences The requirements for evidences The detailed reference of the rule(s) that specify the requirements Reg 1211/2010 art 18, 19 Reg 1211/2010 art 73, LV Reg 1211/2010 art 23, 23' Reg 1211/2010 art 23, 23' Reg 1211/2010 art 49 (2.2), 56, 60, 65 Reg 1211/2010 art 22, 22', 22'', 22''' Reg 1211/2010 art 22, 22', 22'', 22''' Language(s) that the rule(s) are available in LV (23') (23) LV (23') (23) LV (22';22'';22''') (22) LV (22';22'';22''') (22) 3.VIII Provide safety assessment report to applicant The requirements for the content of the safety assessment report EU Reg 352/2009 All EU languages *) EN version not legally binding

9 Reference no in flowcharts Reference to object in flowchart 4.I Decision on the remedial action? Requirement that needs additional information Possible remedial actions: Alternative method, Design modification, Change of the conditions of use/restrictions,and The criteria for decision on the remedial action. The detailed reference of the rule(s) that specify Language(s) that the rule(s) are available in

10 Reference no in flowcharts 6.I 6.II 6.III 6.IV 6.V 6.VI Reference to object in flowchart - Make a copy of the initial technical (previous (s)) - Collect records on operation and technical modifications Identify the content of the technical for the DeBo(s) part Identify the content of the technical for the Assessment body (CSM) part Compile the Identify the format and documentation of the application for : -Vehicle type and/or - Vehicle placing in servcie Submit the official Application for Requirement that needs additional information Requirements for the content of the (including the technical s ) : - If there is a clear check list to be adhered to when compiling the - The accepted documentation for granted before the implementation of Directive 2008/57/EC. Requirements for the content of the (including the technical s ) : - If there is a clear check list to be adhered to when compiling the - The accepted documentation for granted before the implementation of Directive 2008/57/EC. Requirements for the content of the (including the technical s ) : - If there is a clear check list to be adhered to when compiling the - The accepted documentation for granted before the implementation of Directive 2008/57/EC. The requirements and the content for the official application The requirements and the content for the official application Time frame for the submission of the official application from the preengagement baseline, if any The detailed reference of the Language(s) that the rule(s) that specify rule(s) are available in the requirements - Reg 1211/2010 art 54, 55 and 56 (TSI conform veh); LV (art 54;62;63); - Reg 1211/2010 art (55;56) 62, 63(non-TSI conform veh) - Reg 1211/2010 art 62, 63(non-TSI conform veh) - Reg 1211/2010 art 62(4) (non-tsi conform veh) - Reg 1211/2010 art 62(4) (non-tsi conform veh) LV LV LV

11 Reference no in flowcharts Reference to object in flowchart 7.I Acknowledge receipt of application 7.II 7.III 7.IV 7.V Declare the vehicle deemed authorised Is there an appeal to NSA? Issuing the Identify conditions for archiving the Requirement that needs additional information The detailed reference of the rule(s) that specify the requirements Art 64 of Administrativ procedure law for stamps and Art of Cabinet regulation Nr.473 "Procedures for the Preparation, Drawing Up, Storage and Circulation of Electronic Documents in State The requirements for and Local the acknowledgement of Government the receipt of Institutions, and the application Procedures by which Electronic Documents are Circulated between State and Local Government Institutions, or Between These Institutions and Natural Persons and Legal Persons" for electronic signature The requirements for deemed The requirements for appeal to NSA The requirements for the content of justification of appeal to NSA The requirements for launching appeal to the appeal body The requirements for issuing The requirements for NSA archiving the NSA should archive all the documents and the according to Archives law and Cabinet regulation Nr.748 about the management of documents and archives Language(s) that the rule(s) are available in *) EN version not legally binding

12 Reference no in flowcharts Reference to object in flowchart Requirement that needs additional information The detailed reference of the rule(s) that specify the requirements Language(s) that the rule(s) are available in 8.I Forms for: - for placing in service of vehicle(s) and - for type of vehicle The format of issued Reg 1211/2010 (of vehicle Annex 2 (type) type and of placing in and Annex 3 service of vehicle) (vehicle) LV (Annex 2) ; (Annex 3) 8.II Form for for type of vehicle The format of issued Reg 1211/2010 of vehicle Annex 2 (type) type LV 8.III Inform ERA on deemed vehicle type The procedure for informing the Agency on deemed vehicle type Reg 1211/2010 art 40 *) EN version not legally binding

13 Annex A: Master diagram Process for Authorisation for placing in service of vehicles and/or type of vehicles Start S1. Identify the rules, applicable requirements, conditions of use and assessments S2. Pre-engagement Where it is not necessary to update the verification procedures for renewed In case of subsequent In case of: Modification of vehicle design Authorisation with conditions of use and/or restrictions is not possible Alternative method S3. Assessment In case of refusal of alternativ method Version LV In case of New (Upgrade/renewal) is not required. In case of extension of type validity when renewed is not required. S4.Corrections of non- conformities for national rules S5.Establishing certificates and declarations of verification S6. Compiling the and submitting the application In case of: Correction of non-conformities is not necessary Verfication and assessment results are ok Where: Application is not complete Information is missing There is no appeal to NSA or Appeal Body There is a negative appeal decision There is a refusal of without appeal to NSA S7. Processing the application for S8. Final documentation and End

14 End of stage 4 Where: there is a modification of vehicle design, or with conditions of use and/or restrictions is not possible Start End of stage 7 where: the application is not complete, or there is a negative appeal decision, or there is a refusal of without appeal Legal option LV Legal option n mandatory / Common practice R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC CSM: CSM Regulation 352/2009 Reg 1211/2010: Cabinet Regulation 1211 Annex B Stage 1 Identify the rules, applicable requirements, conditions of use and assessments Applicant MS Start Substage 1-1 Identify: - TSI (including derogations if any) and NR requirements, - Conditions of use - Verification procedures (including alternative methods, if any), and - Required assessment bodies ID:5.1;5.2;5.3; 5.6;5.8;9;22.2; R:1;3.1.3; ID:22,24 First Additional ID:21.5, 23,25, Decision on case End Substage 1-1 Examine: of the previous (s) records on maintenance, operation and technical modifications II Renewed New (Upgrade/renewal) Subsequent ID:26.3 R:5.5 ID:20 Identify: - the authorised vehicle type, and - Required assessment bodies Reg 1211/ 2010 art 5 Identify: Project scope TSIs and NRs related to the change Conditions of use, and Verification procedures (including alternative methods, if any) ID:26.3 R:5.5 Submit the describing the project to the MS I ID:20.1 *File describing the project ID:20.1 Examine the describing the project ID:20.1 Version LV ID:23.3, 25.2 Result from examination of the: of the previous (s) records on maintenance, operation and technical modifications TSI conform vehicle? ID:26.3. Identify : - changed TSI (including derogations if any) requirements, NRs and/or verification procedures (including alternative methods, if any) - correction of critical errors, - issued type ID:26.3. Submit the describing the project to the MS III File describing the project Reg 1211/ 2010 art 41, 42, 43, 44 Result from examination of the describing the project ID:20.1 ID: Identify : - the applicable category B and C national rules that are related to: technical compatibility including open points in the TSIs specific cases in the TSIs derogations if any? - the associated verification Procedures (including alternative methods, if any); - conditions of use - and the required assessment bodies Identify: -the applicable category B and C national rules that are related to technical compatibility - the associated verification procedures (including alternative methods, if any) ; - conditions of use - and the required assessment bodies ID: Update of verification procedures? tification of a need to renew type tification of extension of type validity Is renewed required? ID:26.3. IV Is a new required for the project? ID:20.1 OR Update of verification procedure(s) Update verification procedure(s) Identify required assessment bodies ID:20.2 List of requirements (TSI and technical characteristics applicable in place of TSI) ID:20 Identify: - TSIs (including derogations if any) and NRs requirements related to the changes and their impact - Conditions of use, and - Verification procedures (including alternative methods, if any) ID:20 Beginning of stage 2 Beginning of stage 3 Beginning of stage 3 Beginning of Stage 8 END

15 Start Substage 1-1 n mandatory/ Common practice Annex B Stage 1 - Identify the rules, applicable requirements, conditions of use and assessments Substage 1: Decide on case Applicant - Consult the applicable TSIs, NRD(s),including the NLF(s) of the MS(s) where is applied for - Plan Version LV Is of type still valid? Is it Intended to be authorised in other MS(s) than First MS? Is it a New/Changed basic design of vehicle/ type of vehicle? Is it a New basic design? Decision on case: Renewed Decision on case: Subsequent Decision on case: Additional Decision on case: First Decision on case: New (Upgrade/ Renewal) End Substage 1-1

16 End of stage 1 End of stage 4 for alternative method Legal option n mandatory / Common practice R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC CSM: CSM Regulation 352/2009 Annex C Stage 2 Pre-engagement Assessment body Applicant NSA DeBo Bo IM (CSM) Select assessment bodies Compile applicable TSI rules and/or NRs and the associated verification procedures including additional information to be supplied, risk analyses to be carried out in accordance with Article 6(3)(a) of Directive 2004/49/EC or tests to be conducted on the network in order to verify the criteria referred to in paragraph 4of Art 23 of 2008/57/EC Start Substage 2-1 End Substage 2-1 Proposal for pre -engagement Proposal for pre -engagement Is there a proposal for an alternative method? Start Substage 2-2 Evaluate proposal for alternative method to meet essential requirements Evaluate proposal for alternative method to meet essential requirements Refusal End Substage 2-2 Acceptance I Request for track access to run on track test, when necessary ID:23.6, 25.4 Request for track access ID:23.6, 25.4 Version LV Track access to run on track tests ID:23.6, 25.4 Agreement to track access ID:23.6, 25.4 Will the test take place within the legal timeframe? ID:23.6, 25.4 Ask NSA to ensure that the tests take place within the legal timeframe ID:23.6, 25.4 Take measures to ensure that the tests take place within the legal timeframe ID:23.6, 25.4 NSA measures for IM to respect the legal timeframe ID:23.6, 25.4 Reviewed acces provisions to run on track tests Review the access provisions to run on track tests OR Submit pre- engagement, including proposal for alternative methods, if any to: - NSA, - assessment bodies Pre-engagement Pre-engagement Pre-engagement Pre-engagement AND Examine and agree on the preengagement Examine and agree on the preengagement Examine and agree on the preengagement Examine and agree on the preengagement Compile pre-engagement baseline Pre engagement baseline Pre engagement baseline Beginning of stage 4 for refusal of alternative method Beginning of stage 3

17 n mandatory/ Common practice Annex C Stage 2 Pre-engagement Substage 1: Proposal for pre-engagement Applicant Bo DeBo Assessment body (CSM) Start Substage 2-1 Submit draft preengagement to assessment bodies Version LV Draft preengagement Review of the draft for the preengagement Draft preengagement Review of the draft for the preengagement Draft preengagement Review of the draft for the preengagement AND End Substage 2-1

18 n mandatory/ Common practice Annex C Stage 2 Pre-engagement Substage 2: Evaluate proposal for alternative method to meet essential requirements Applicant NSA DeBo Assessment body (CSM) Start Substage 2-2 Propose alternative method of meeting the essential requirements Alternative method of meeting the essential requirements Perform the Safety Assessment Safety Assessment Report Provide Safety Assessment report Submit alternative methods with supporting evidence (Safety Assessment Report) Alternative methods with supporting evidence Can alternative method be accepted? Version LV Refusal of alternative method Decision to refuse alternative method Acceptance of alternative method Decision to accept alternative method Supply assessment bodies with the accepted alternative method Accepted alternative method End substage 2-2

19 End of stage 1 for renewed without update of verification procedures End of stage 2 for all other cases End of Stage 1 only for subsequent case Legal option n mandatory/ Common practice R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC CSM: CSM Regulation 352/2009 Annex D Stage 3 - Assessment Applicant Bo DeBo Assessment body (CSM) I Perform verification (including tests and on track tests where necessary) against applicable TSIs and NRs, and establish evidences ID:21 Evidences on the completion of the relevant verifications (including tests and on track tests where necessary) against applicable TSIs and NRs ID:21 II Perform verification of conformity to type, and establish evidences ID:26.5 Evidences on the completion of the relevant verifications of conformity to type Is a specific request to assessment body(es) needed according to the chosen verification procedures? Request to assessment bodies to: - assess conformity to type - provide evidence (e.g. the applicant has/has not Quality Management System that covers all parts of the vehicle) ID:26.5 Assess conformity to type according to TSI(s) ID:26.5(a) Assess conformity to type according to NR(s) ID:26.5(b) Request to assessment bodies to: - perform assessment against applicable TSIs and NRs and - provide certificates/ reports III ID:26.5(a) Supply evidences on the completion of the relevant assessment of conformity to type IV ID:26.5(b) Supply evidences on the completion of the relevant assessment of conformity to type ID:21 Are all the requirements for technical compatibility and safe integration covered by NRs/TSIs? AND/OR OR Is it an additional? ID:23, 25 R: 5.3 Apply CSM Regulation for safe integration ID:15.1 CSM:2.2 R: 5.3 V ID:18; R:4.2.1 CSM:7.3 Perform assessment against applicable TSIs requirements ID:17.3: R:4.2.2 CSM:7.3 Perform assessment against applicable NRs requirements Version LV Is documentation for Assessment body (CSM) necessary? Evidences (e.g. copy of certificates [TSI, National rules] that might cover several vehicles) on the completion of the relevant verifications to type Perform risk assessment Risk assessment report from the applicant CSM:6.1 ID:15.1 CSM:2.2 R: 5.3 Certificate(s) from assessment against applicable TSIs requirements ID:18; R:4.2.1 Certificate(s) from assessment against applicable NRs requirements ID:17.3; R:4.2,2 Provide certificate(s) from assessment against applicable TSIs requirements to applicant VI ID:18; R:4.2.1 CSM:7.3 Provide certificate(s) from assessment against applicable NRs requirements to applicant VII ID:17.3: R:4.2.2 CSM:7.3 ID: Is documentation for Assessment body (CSM) necessary? CSM: Annex I.5 Collect documentation Provide documentation for safety assessment to Assessment body (CSM) CSM: Annex I.5 Provide documentation for safety assessment to Assessment body (CSM) Perform safety assessment CSM: 6.1, 7.1 CSM: 6.1, 7.1 Safety assessment report CSM:7 VIII Provide safety assessment report to applicant CSM:7.1 AND/OR ID: 22.2(b), 24.2, 23.3, 25.2, 26.5 Are the verification and assessment results ok? Beginning of stage 5 Beginning of stage 4

20 End of stage 3 Stage 2 for refusal of alternative method n mandatory/ Common practice Annex E Stage 4 - Correction of non-conformities Applicant DeBo Decision on the remedial action? Change the conditions for use/restrictions Evaluate (technically and/ or economically) possible conditions of use and/or other restrictions Version LV Alternative method Design modification Modify vehicle design including software modification Is with conditions of use and/or restrictions possible based on the results from the evaluation? Modification of vehicle design Prepare conditions of use and/or other restrictions Conditions of use and/or other restrictions Beginning of stage 2 Beginning of stage 1 Beginning of stage 5

21 End of stage 3 when verification and assessment results are ok for subsequent End of stage 3, for all other cases, when verification and assessment results are ok End of stage 4 Legal option R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC CSM: CSM Regulation 352/2009 Annex F Stage 5 - Establishing certificates and declarations of verification Applicant Bo DeBo Assessment body (CSM) OR Establish the declaration of conformity to the authorised type ID:26.5 ID: 23,25 Is it the case of additional? Version LV Declaration of conformity to type ID:26.5 Reg:201/2011 ID: Annex VI R:8.;8.9; EC Certificate(s) NR Certifcate(s) ID: Annex VI R:3.2; ID: Annex VI R:8.;8.5; ID: Annex VI R:8.;8.5; Elaborate and compile EC certificate documentation Provide EC certificates ID: Annex VI R:8.6 ID: Annex VI R:8.6 Elaborate and compile NR certificate documentation Provide NR certificates ID: Annex VI R:8.9; CSM:7 ID: Annex VI R:8.9; CSM:7 Elaborate and compile CSM report documentation Provide CSM report CSM report(s) ID: Annex VI R:5.3.1;5.3.2 Is it a vehicle type only? ID: 26 Establish EC and/or NR declarations of verification ID: Annex V.1,2 EC and/or NR declarations of verification ID:Annex VI-2.3.1;3 R:4.2.3 Beginning of Stage 6

22 End of stage 5 Legal option R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC Annex G Stage 6 - Compiling the and submitting the application Applicant NSA Is it the case of additional? ID:23,25 I II - Make a copy of the initial technical ( previous (s)) - Collect records on maintenance, operation and technical modifications Identify the content of the technical for the DeBo(s) part Identify the content of the technical for the Assessment body (CSM) part ID:23.3, 25.2 R:8.6;4.2.2; ID Annex VI- 3.3 R:5.3.2; ID:Annex VI- 2.4 Version LV Compile the ID: 23.3, 25.2 File of the previous (s) Records on maintenance, operation and technical modifications ID:23.3, 25.2 Technical related to NRs R:8.6;4.2.2; ID Annex VI- 3.3 AND/OR Assessment body (CSM) report on CSM R:5.3.2; ID:Annex VI- 2.4 ID: 23.3, 25.2 Authorisation ID: Annex VI-2.6 ID: Annex VI-2.6 Archive Archived ID:21.6;23.7;25.5 Annex VI:2.6 R:8.1; Identify the format and documentation of the application for : Vehicle type and/or Vehicle placing in servcie Submit the official Application for ID:21.6;23.7;25.5 Annex VI:2.6 R:8.1; ID:21.6;23.7;25.5 Annex VI:2.6 R:8.1; Application for Beginning of stage 7

23 (*)The timeline starts from the moment the application has been acknowledged End of stage 6 Legal option LV Legal option R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC Annex H n mandatory/ Common practice Stage 7 - Processing the application for Appeal body in place of Applicant NSA Appeal body ERA NSA Check the completeness of application Letter stating: the incomplete application the missing information Identify missing information Is the application complete? R:4.2.3; (*)Letter or any other means of acknowledgement of receipt of application ID:20.1; 23.7.a;25.5.a I Acknowledge receipt of application Is it the case of additional? ID:23,25 Is there a NSA decision within the EU legal timeframe? ID: 21.8 Declare the vehicle deemed authorised Refusal of Justify refusal of Is granted? ID: 22.2, R:8.7 ID: 21.8 Is there an appeal to NSA? Version LV Decision to make an appeal to NSA Decision to make an appeal to NSA Start Substage 7-1 Appeal End Substage 7-1 Negative appeal decision There is no appeal To appeal body The NSA decision is changed after: appeal to NSA or appeal to appeal body Positive appeal decision Issuing the ID: 15.1 R:2.1;5.1.1; V Identify conditions for archiving the Conditions for archiving the Beginning of stage 1 Beginning of stage 8

24 Start Substage 7-1 (*) Timeline starts from the moment the NSA has refused the autorisation (**) Timeline starts from the receipt of the appeal from the applicant (***) Timeline starts from the request of the appeal body to ERA for an opinion Legal option n mandatory/ Common practice ID: Interoperability Directive 2008/57/EC Annex I Stage 7 - Processing the application for Substage 1: Appeal Applicant Appeal body in place of NSA NSA Appeal body ERA NSA = Appeal body in place of NSA Justify appeal to NSA (*)Appeal Review to NSA NSA decision NSA = Appeal body in place of NSA Make an appeal to appeal body? (**) Refusal of Maintain refusal of Change NSA decision? Request for appeal Launch appeal procedure ERA opinion required? ID: ID: Make request to ERA Review NSA decision Accept the appeal? Request for ERA opinion ID: Version LV Negative appeal decision Negative appeal decision Inform applicant on negative appeal decision (***) tification of ERA opinion ID: (***) tification of ERA opinion ID: (***) tification of ERA opinion ID: Positive appeal decision Establish ERA opinion ID: (**)Positive appeal decision Reverse refusal of End Substage 7-1

25 n mandatory/ Common practice Legal option LV Legal option ID: Interoperability Directive 2008/57/EC Reg 1211/2010: Cabinet Regulation 1211 Annex I End of stage 7 Deemed Authorisation Stage 8- Final documentation and End of stage 7 Issued Authorisation End of stage 1 for extension of type validity MS Applicant NSA ERA I Forms for: for placing in service of vehicle(s) and for type of vehicle Establish the forms for: for placing in service of vehicle(s)) and for type of vehicle Is it a vehicle type only? ID:26,1-2 Establish the form for for type of vehicle II Version LV OR Form for for type of vehicle Inform ERA on issued for type of vehicle ID:26,7. III Inform ERA on deemed vehicle type ID:26,7. Information on vehicle type ID:26,7. Document on deemed vehicle type Inform the concerned NSA of the deemed vehicle type Document on deemed vehicle type to the MS Reg 1211/ 2010 art 40 Inform the MS Reg 1211/ 2010 art 40 Confirmation of deemed vehicle type Register in ERATV ID:34. Registration in ERATV ID:34. END