Background 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 8 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/commom practice legal option at the national level

3 Contact details for National Legal Framework Reporting country Organisation Name Office phone number Lithuania State Railway Inspectorate under the Ministry of Transport and Communications Contact name Mobile phone number Simas Želvys Martynas Čekanauskas Interoperability Directive transposed National guideline Additional required Definitions: Specific national arrangements for on track tests Coordination with other MSs N/A N/A N/A Vehicle type General Time validity of a type Is there (/) Upgrading General Renewal General Classification: (general, specific, detailed) Detailed Procedure for simultaneous application General Detailed reference of the rule(s) Rules of the Transeuropean rail system requirements and application adopted on by order of the Ministry of Transport and Communications Rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications Articles 34; 34 1 of rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications 2 article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications Article 3 of the Transeuropean rail system requirements and application adopted on by order of the Ministry of Transport and Communications 3 article of the rules on Transeuropean rail system requirements and application adopted on by order of the Ministry of Transport and Communications XII chapter, I annex of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the ministry of Transport and Communications 42 4 article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the ministry of Transport and Communications Language(s) that the rule(s) are available in + EN* MSs N/A 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) 157,8 Fixed 28,96 Fixed part of the rules on state charges and these charges payment adopted on by Resolution of the Government of the Republic of Lithuania 39 article of law on administrative proceedings adopten on by order VIII-1029 of the Parlament of the Republic of Lithuania N/A

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, etc.). Some actors may have several roles. For example, an applicant can be also a RU or a Bo can be also a DeBo. The purpose of this table is to clarify the requirements, if any, for each of the above roles. This table is to be filled with the following information: the reference to the rules that describe each role and the language(s) in which these rules are available; a list of criteria that enables the actor to undertake a role; and a list of all actors able to undertake a role Requirement on the actor for the role Applicant IM Bo DeBo NSA MS Assessment Body (CSM) Appeal Body Detailed reference of the rule(s) 2 article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications 3(35) and 23 articles of the Railway transport code of the Republic of Lithuania adopted on by order. IX of the Parlament of Republic of Lithuania 3 article of the rules on Transeuropean rail system requirements and application adopted on by order of the Ministry of Transport and Communications N/A 6 article of the law on railway transport traffic safety of the Republic of Lithuania adopted on by order. IX-1905 of the Parlament of Republic of Lithuania 3(4) article of the Railway transport code of the Republic of Lithuania of Lithuania adopted on by order. IX of the Parlament of Republic of Lithuania Annex II of the comission regulation (EC) 352/2009 on the adoption of a common safety method of risk evaluation and assessment as reffered to in Article 6(3)(a) of Directive 2004/49/EC of the European Parlament and of the council 1 article of the law on establishing administrative tribunal Language(s) that the rule(s) are available in: ; EN ; EN All EU languages List of acceptance criteria restrictions IM shall poses an authority in transport traffic safety 1.Independence 2.Competention 3.Should have all needed equipment and insurance of liability 1.Independence 2.Competention 3.Should have all needed equipment Appointed by law Appointed by law 1.Independence 2.Competention 3.Should have all needed equipment Appointed by law List of actors entitled to act as: RU; IM; Keeper, Manufacturer; Contracting Entity AB "LIETUVOS GELEZINKELIAI" NANDO NSA** VGI VGI, Ministry of Transport and Communications (1) NSA (**) District Administrative Court Supreme Administrative Court (*) please describe the role and legal basis for the involvement of any other actor not mentioned in the Interoperability and Safety Directives (**) for the moment there is no DeBo or CSM, tasks are performed by NSA (1) - Only in case of granting derogation

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 30 days 11 articles of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications Request for review of the refusal by the applicant to the NSA 30 days 82.5 article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications For all cases where there is a refusal of according to Art 21.7 of Directive 2008/57/EC: Maintain of the refusal by the NSA 60 days 79.7 article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications Request for review of the refusal by the applicant to the appeal body Possible opinion of the Agency if required by the appeal body 30 days 33 article of law on administrative proceedings adopten on by order VIII-1029 of the Parlament of the Republic of Lithuania NSA decision to be taken as soon as possible and not later than, according to Art of 2008/57/EC: For additional case of TSI (a) after submission of the conform vehicles (b) after provision of any additional information requested by the national safety authority, where applicable (c) after provision of the results of any tests requested by the national safety authority, where applicable 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 For additional case of non- (b) after provision of any additional information requested by TSI conform vehicle the national safety authority, where applicable (c) after provision of the results of any tests requested by the national safety authority, where applicable 60 days 30 days 30 days 17 1 article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications 120 days 17 1 article of the rules on authorization for placing in service structural subsystems of 60 days transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the 60 days Ministry of Transport and Communications For all additional cases: TSI and non-tsi conform vehicles 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 90 days 90 days 1 annex 4 article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications 89 1 article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications

6 Referen ce in flowchart s 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 1.I Submit the describing the project to the MS Requirements for the content of the describing the project 1 article on documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage adopted on by order. V-355 of the Head of Inspectorate 1.II Examine: of the previous (s) records on maintenance, operation and technical modifications Requirements for the content of the of the previous (s) 1;2;3 articles on the documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications placing in service railway vehicle on additional case adopted on by order. V-394 of the Head of Inspectorate Requirements for the content of the records on maintenance, operation and modifications 1.III Submit the describing the project to the MS Requirements for the content of the describing the project 1 article on documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage adopted on by order. V-355 of the Head of Inspectorate 1.IV Is a new required for the project? The criteria for a new 58; 59 articles of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications

7 Referenc e no in flowchart s 2.I 2.II Reference to object in flowchart Request for track access to run on track test, when necessary Compile pre-engagement baseline Requirement that needs additional information The detailed reference of the rule(s) that specify the requirements articles of the rules on authorization for Procedure for placing in service structural subsystems of establishing the transeuropean railway system and rolling stock conditions to run on in the Republic of Lithuania adopted on track tests by order of the Ministry of Transport and Communications Procedure for establishing preengagement baseline Language(s) that the rule(s) are available in

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 3.VIII Provide certificate(s) from assessment against applicable TSIs requirements to applicant Provide certificate(s) from assessment against applicable NRs requirements to applicant Provide safety assessment report to applicant (1) requirements are realted to EC Declaration issued by the Applicant Requirement that needs additional information evidences evidences evidences evidences risk assessment evidences evidences the content of the safety assessment report The detailed reference of the rule(s) that specify the requirements 2.4 and 2.6 articles on the list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage adopted on by order. V-355 of the Head of Inspectorate 2.4 and 2.6 articles on the list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage adopted on by order. V-355 of the Head of Inspectorate 2.4 article on the list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage adopted on by order. V-355 of the Head of Inspectorate 2.6 article on the list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage adopted on by order. V-355 of the Head of Inspectorate Comission regulation (EC) 352/2009 on the adoption of a common safety method of risk evaluation and assessment as reffered to in Article 6(3)(a) of Directive 2004/49/EC of the European Parlament and of the council 52 article on the rules of the Transeuropean rail system requirements and application adopted on by order of the Ministry of Transport and Communications (1) Language(s) that the rule(s) are available in,en

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

10 Referenc e no in flowchart s 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 6.I - Make a copy of the initial technical (previous (s)) - Collect records on operation and technical modifications 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. 1 to 3 articles on the list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications placing in service railway vehicle on additional case adopted on by order. V-394 of the Head of Inspectorate 6.II Identify the content of the technical for the DeBo(s) part 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. 1 to 3 articles on the list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications placing in service railway vehicle on additional case adopted on by order. V-394 of the Head of Inspectorate 6.III 6.IV 6.V 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 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 2 article on the list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage adopted on by order. V-355 of the Head of Inspectorate and in case of additional list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications placing in service railway vehicle on additional case adopted on by order. V-394 of the Head of Inspectorate 6.VI Submit the official Application for Time frame for the submission of the official application from the pre-engagement baseline, if any

11 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 7.I Acknowledge receipt of application the acknowledgement of the receipt of application 7.II Declare the vehicle deemed authorised deemed appeal to NSA 82.5 articlearticle article of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications 7.III Is there an appeal to NSA? the content of justification of appeal to NSA launching appeal to the appeal body 23 article of law on administrative proceedings adopten on by order VIII-1029 of the Parlament of the Republic of Lithuania 7.IV Issuing the issuing 25 and 27 articles of the rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania adopted on by order of the Ministry of Transport and Communications 7.V Identify conditions for archiving the NSA archiving the 12; 13 articles of the law on archives and documents adopted on by order. I-1115 of the Parlament of Republic of Lithuania

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 (of vehicle type and of placing in service of vehicle) 8.II Form for for type of vehicle The format of issued of vehicle type 8.III Inform ERA on deemed vehicle type The procedure for informing the Agency on deemed vehicle type

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 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 at national level Legal option n mandatory / Common practice R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC CSM: CSM Regulation 352/2009 * The timeline starts from the moment the complete has been submitted by the applicant Annex B LOD: list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage LODA: list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in additional stage Stage 1 Identify the rules, applicable requirements, conditions of use and assessments Applicant MS Start Substage 1-1 Decision on case 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, 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 Identify: Project scope TSIs and NRs related to the change Conditions of use, and Verification procedures (including alternative methods, if any) LOD Art. 1 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 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 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 Is auhtorisation 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 Legal option n mandatory / Common practice R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC CSM: CSM Regulation 352/2009 Annex C End of stage 1 End of stage 4 for alternative method Legal option at national level ROA: rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania LOD: list of documents which should be submitted to State Railway Inspectorate under the Ministry of Transport and Communications in every stage 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 Temporary to NSA ROA Art. 45 Request for Temporary to NSA ROA Art. 45 Temporary ROA Art. 45 Issue temporary ROA Art. 45 Request for track access ID:23.6, 25.4 Version ID:23.6, 25.4 Track access to run on track tests 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 LOD Art. 1 II 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 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 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 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 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 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 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 III - 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 IV 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 Archive ID: Annex VI-2.6 Archived ID: Annex VI-2.6 V 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 VI 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 Stage 7 - Processing the application for End of stage 6 Legal option n mandatory/ Common practice Legal option at national level R: Recommendation 2011/217/EU ID: Interoperability Directive 2008/57/EC ROA: rules on authorization for placing in service structural subsystems of transeuropean railway system and rolling stock in the Republic of Lithuania LOAD: law on archives and documents Annex H Applicant NSA Appeal body ERA Check the completeness of application Letter stating: the incomplete application the missing information ROA Art. 18 (*)Letter or any other means of acknowledgement of receipt of application ID:20.1; 23.7.a;25.5.a Identify missing information ROA Art. 18 Is the application complete? Acknowledge receipt of application R:4.2.3; Is it the case of additional? ID:23,25 Is there a NSA decision within the EU legal timeframe? ID: 21.8 II Declare the vehicle deemed authorised Refusal of Justify refusal of Is granted? ID: 22.2, R:8.7 ID: 21.8 III Is there an appeal to NSA? Version 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 IV Issuing the ID: 15.1 R:2.1;5.1.1; V Identify conditions for archiving the Conditions for archiving the LOAD Art. 12;13 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 (****) Procedure is the same for both processes Legal option n mandatory/ Common practice Legal option at national level ID: Interoperability Directive 2008/57/EC LOCAI:law on committee for administrative iligation Annex H Stage 7 - Processing the application for Substage 1: Appeal Applicant NSA Appeal body ERA Make a decision on appeal body Or Justify appeal to Committee for administrative litigation In case of refusal applicant can make an appeal to appeal body LOCAI Art. 11 Justify appeal to NSA (*)Appeal Review to NSA NSA decision Make an appeal to appeal body? (**) Refusal of Maintain refusal of Change NSA decision? Request for appeal Version Launch appeal procedure Procedure **** contains 2 stages: 1. Applicant make an appeal to district court; 2. In case of refusal, applicant can make an appeal to supreme court ERA opinion required? ID: ID: Make request to ERA Review NSA decision Accept the appeal? ID: Request for ERA opinion Negative appeal decision Inform applicant on negative appeal decision 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 Legal option n mandatory/ Common practice ID: Interoperability Directive 2008/57/EC 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 Applicant NSA ERA 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 Forms for: for placing in service of vehicle(s) and for type of vehicle Version 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 Confirmation of deemed vehicle type Register in ERATV ID:34. Registration in ERATV ID:34. END

26 End of stage 7 Issued Authorisation Legal option n mandatory/ common practice ID: Interoperability Directive 2008/57/EC NVR: Commission Decision 2011/107/EU amending Decsion 2007/756/EC adopting a common specification of the national vehicle register Annex J Stage 9 Registration of the vehicle in the NVR Applicant for registration Registration Entity (For registration of the first ) Registration Entity (For registration of the additional autorisation) All other Registration Entities (for NVR update) Apply for update in other NVR(s) with information on additional Is it a registration and/or an update of an additional? Do concerned MSs have their NVRs linked to ECVVR? Is it a modification of an additional? ID: 33.1,33.2, 33.3,33.4 NVR: ANNEX 3.2.5, Appendix 4 Apply for Registration of additional Version Apply for registration/ update in NVR ID:32.1,33.1, 33.2, 33.3 Apply for update of registration of additional in NVR ID:33.1,33.2, 33.3 Register in NVR First or Subsequent Register ID:32.1, 33.1 Application for registration of vehicle/ update of vehicle registration in NVR Register or update in NVR? ID:32.1,33.1, 33.3 ID:32.1,33.1, 33.2, 33.3 Update Update of NVR ID:32.1, New 33.1 Authorisation, Renewed or Additional Application for update of registration of additional in NVR Update in NVR Update in NVR Provide information on update to applicant for registration ID:33.1,33.2, 33.3 ID:33.1 ID:33.1 Application for registration of additional Register in NVR Registration in NVR Provide information on registration to applicant for registration ID:33.3 ID:33.1 ID:33.1 Application for update in other NVR(s) with information on additional ID: 33.4 NVR: ANNEX 3.2.5, Appendix 4 ID: 33.4 NVR: ANNEX ID: 33.4 NVR: ANNEX Update(s) of other NVR(s) Update(s) of other NVR(s) Provide information on update(s) in NVR(s) to applicant for registration Registration in NVR ID:32.1, 33.1 Update of NVR ID:32.1, 33.1 Information on registration in NVR Provide information on registration to applicant for registration Information on update in NVR Provide information on update to applicant for registration Information on update in NVR AND/OR Information on registration in NVR Information on updates in NVR(s) END