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Commission Implementing Decision of 4 October 2011 on the European register of authorised types of railway vehicles (notified under document C(2011) 6974) (Text with EEA relevance) (2011/665/EU)

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ANNEX IU.K.+E.U. SPECIFICATION FOR THE EUROPEAN REGISTER OF AUTHORISED TYPES OF VEHICLES

1.TYPES OF VEHICLE TO BE VOLUNTARILY REGISTEREDU.K.+E.U.

Types of vehicle authorised before 19 July 2010 for which no new vehicles have been authorised after 19 July 2010 may be registered in ERATV voluntarily.

In addition, the following types of vehicle may be registered voluntarily:

  • vehicles authorised to be placed in service before 19 July 2010 for which an additional authorisation for placing in service has been granted pursuant to Article 23 or 25 of Directive 2008/57/EC,

  • vehicles authorised to be placed in service before 19 July 2010 for which a new authorisation for placing in service has been granted after an upgrading or renewal,

  • vehicles coming from third countries and authorised on the EU territory according to COTIF 1999 and particularly its Appendices F and G or,

  • vehicles coming from third countries and authorised under provisions of Article 21(11) of Directive 2008/57/EC.

In these four cases of voluntary registration, data to be recorded may be limited to the parameters that have been verified during the authorisation process.

Temporary permissions, such as permissions for testing and trial runs, shall not be recorded in ERATV.

2.FUNCTIONAL ARCHITECTUREU.K.+E.U.

2.1. Administration of ERATV U.K.+E.U.

The Agency shall host and manage ERATV. The Agency shall create user accounts and to grant access rights at the request of national safety authorities in accordance with this specification.

2.2. Address of ERATV U.K.+E.U.

ERATV shall be a web-based application. The address of ERATV shall be made available on the Agency website.

[F12.3. Users and user access rights U.K.+E.U.

ERATV shall have the following users:

Table 1

Access rights to ERATV

User Access rights Log in, user accounts
National safety authority of any Member State

Submission of data related to this Member State to be validated by the Agency.

Unrestricted consultation of any data, including the data for which the validation is pending.

Logging in with user name and password.

No functional or anonymous accounts shall be made available. Several accounts shall be created if the national safety authority so requires.

Agency

Registration of data related to vehicle type authorisation it has processed as authorising entity.

Validation regarding the compliance with this specification and publication of the data submitted by a national safety authority.

Unrestricted consultation of any data, including the data for which the validation is pending.

Logging in with user name and password.
Public Consultation of validated data. Not applicable.]

2.4. Interface to external systems U.K.+E.U.

Any type of vehicle registered (i.e. validated and made public) in ERATV shall be available via a hyperlink. These hyperlinks may be used by external applications.

Attention shall be given to possible links between ERATV and the European Centralised Virtual Vehicle Register (ECVVR)(1).

[F2ERATV shall, as appropriate, allow for exchange of information with other information systems of the Agency such as the European Vehicle Register (EVR) as referred to in Decision (EU) 2018/1614, the common user interface for the railway register of infrastructure as referred to in Commission Decision 2014/880/EU (2) and the one stop-shop (OSS) as referred to in Article 12 of Regulation (EU) 2016/796 of the European Parliament and of the Council (3) .]

2.5. Links to other registers and databases U.K.+E.U.

When developing ERATV, the Agency shall take full account of the interfaces, including coordinated transitional periods, to the following registers and databases:

  • National vehicle registers(4) (NVR) and ECVVR: the format of data on the type of vehicle in ECVVR shall have a one-to-one correspondence with the designation of types and, where applicable, versions of type in ERATV.

  • Register of infrastructure (RINF)(5): the lists of parameters and the data format of RINF and ERATV shall correspond to each other, including any updates or amendments of the RINF and ERATV specifications.

  • Reference document of national rules (Article 27 of Directive 2008/57/EC): once the reference document is available, the list of parameters for which the conformity assessment is done against national rules indicated in ERATV shall have one-to-one correspondence with the list of parameters indicated in the reference document. ERATV must not allow referring to any parameter not included in the reference document.

  • [F2EVR: the format of data on the type of vehicle in EVR shall have a one-to-one correspondence with the designation of types and, where applicable, variants or versions of type in ERATV;

  • The One Stop Shop (6) (OSS): OSS shall rely on ERATV to manage any information related to the types/variants/versions. The identification of the type shall be used as reference during the exchange of information between the systems; OSS will allow retrieving information for types/variants/versions from ERATV and will trigger the publication of the type/variant/version information in ERATV when the vehicle type authorisation is delivered;

  • Single Rule Database (7) containing national rules: for the national rules for vehicle authorisation: the list of parameters for which the conformity assessment is done against national rules indicated in ERATV shall be the same in the Single Rule Database. ERATV must not allow referring to any parameter not included in the Single Rule Database.

    Until the Single Rules Database is operational and data migrated from the Reference Document Database and Notif-IT, the list of parameters for which the conformity assessment is done against national rules indicated in ERATV shall be the same as in the Reference Document Database. ERATV must not allow referring to any parameter not included in the Reference Document Database.]

2.6. Availability U.K.+E.U.

As a general rule, ERATV shall be available 24 hours a day, 7 days a week, 365 days a year with a target system availability of 98 %. However, in the case of a failure occurring out of normal working hours of the Agency, the restoration of the service shall be handled the next working day of the Agency after the failure. The unavailability of the system shall be minimal during the maintenance.

2.7. Security U.K.+E.U.

The user accounts and passwords created by the Agency must not be disclosed to any third party and must be used in accordance with this specification only.

3.TECHNICAL ARCHITECTUREU.K.+E.U.

3.1. System architecture U.K.+E.U.

ERATV shall be a web-based application hosted and managed by the Agency.

ERATV shall be capable of containing complete information for 35 000 types of vehicle.

The users shall have the possibility to connect to ERATV by means of a standard Internet connection.

ERATV architecture shall be as shown on the following figure:

3.2. System requirements U.K.+E.U.

For having connection to ERATV, an Internet browser and access to Internet shall be required.

4.OPERATING MODEU.K.+E.U.

ERATV shall have the following operating modes:

  • Normal mode. During the normal operating mode all functionalities shall be available.

  • Maintenance mode. During the maintenance mode ERATV may not be available for users.

5.RULES FOR DATA INPUT AND CONSULTATIONU.K.+E.U.

[F15.1. General principle U.K.+E.U.

Every national safety authority shall submit information related to the authorisations of a type of vehicle or vehicle type variant it has granted.

Every national safety authority shall submit information related to the versions of a vehicle type or versions of a vehicle type variant it has received in accordance with in accordance with Article 15(3) of Regulation (EU) 2018/545.

The Agency shall directly register information related to the authorisations of a type of vehicle or vehicle type variant it has granted and information related to the versions of a vehicle type or versions of a vehicle type variant it has received.

ERATV shall include a web based tool for exchange of information between the national safety authorities and the Agency. This tool shall allow the following exchanges of information:

(1)

reservation of a type ID;

(2)

submission of data for the register by a national safety authority to the Agency including:

(a)

data related to granting an authorisation for a new type of vehicle or a new vehicle type variant (in this case the national safety authority shall provide the full set of data as set out in Annex II);

(b)

data related to granting an authorisation for a type of vehicle previously registered in ERATV (in this case the national safety authority shall only provide data related to the authorisation itself, i.e. fields in Section 3 of the list set out in Annex II);

(c)

data related to registering a version of a vehicle type or version of a vehicle type variant (in this case the national safety authority shall provide the full set of data as set out in Annex II);

(d)

data related to modification of an existing authorisation (in this case the national safety authority shall only provide data related to the fields that need to be modified; this may not include modification of data related to the characteristics of the vehicle);

(e)

data related to suspension of an existing authorisation (in this case the national safety authority shall only provide the date of suspension);

(f)

data related to reactivation of an existing authorisation (in this case the national safety authority shall only provide data related to the fields that need to be modified), distinguishing between

  • reactivation without modification of data,

  • reactivation with modification of data (these data may not be related to the characteristics of the vehicle);

(g)

data related to withdrawal of an authorisation;

(h)

data related to correction of an error;

(3)

sending of requests for data clarification and/or correction by the Agency to a national safety authority;

(4)

sending of answers by a national safety authority to the requests of clarification and/or correction done by the Agency.

The national safety authority shall submit the data for updating the register electronically by means of a web based application and using the standard web based electronic form with the relevant fields filled in as set out in Annex II.

The Agency shall check the data submitted by the national safety authority regarding their compliance with this specification, and either validate them or request a clarification.

If the Agency considers that the data submitted by the national safety authority are not in compliance with this specification, the Agency shall send the national safety authority a request for correction or clarification of the submitted data.

Upon each update of data regarding a type of vehicle the system shall generate a confirmation message, which shall be sent by email to the users of the national safety authority that submitted the data, to the national safety authority of all other Member States where the type is authorised, to the vehicle type authorisation holder and to the Agency.]

5.2. Submission of data by national safety authority U.K.+E.U.

[F15.2.1. Registering a new vehicle type authorisation, a new vehicle type variant a new version of a vehicle type or a new version of a vehicle type U.K.+E.U.
(1) The national safety authority shall inform the Agency of any vehicle type authorisation within 20 working days following the issue of the authorisation. U.K.+E.U.
(2) The national safety authority shall inform the Agency of any vehicle type variant within 20 working days following the issue of the authorisation. U.K.+E.U.
(3) The national safety authority shall inform the Agency of any version of a vehicle type or version of a vehicle type variant it has received in accordance with Article 15(3) of Regulation (EU) 2018/545 within 20 working days following receipt of the complete information. U.K.+E.U.
(4) The Agency shall check the information submitted by the national safety authority and within 20 working days following the receipt of this information either validate it and assign a type of vehicle number as set out in Annex III or request its correction or clarification. In particular, in order to prevent an unintended duplication of types in ERATV, the Agency shall check, as far as the data available in ERATV allows, that this type has not been registered before by another Member State. U.K.+E.U.
(5) After validation of the information submitted by the national safety authority, the Agency shall assign the new type of vehicle its number. The rules for assigning the type of vehicle number are set out in Annex III.] U.K.+E.U.
5.2.2. Granting an authorisation to a type of vehicle previously registered in ERATV U.K.+E.U.

The national safety authority shall inform the Agency of any authorisation of a type of vehicle already registered in ERATV (such as a type authorised by another Member State) within 20 working days following the issue of the authorisation.

The Agency shall check the information submitted by the national safety authority and, within 10 working days following the receipt of this information, shall either validate it or request its correction or clarification.

After validation of the information submitted by the national safety authority, the Agency shall complement the data related to this type of vehicle by the data related to the authorisation in the Member State of the national safety authority that granted this authorisation.

5.2.3. Modification on an existing authorisation U.K.+E.U.

The national safety authority shall inform the Agency of any modification to an existing authorisation for a type of vehicle within 20 working days following the issue of the modification to the authorisation.

The Agency shall check the information submitted by the national safety authority and, within 10 working days following the receipt of this information, shall either validate it or request its correction or clarification. In particular, the Agency shall check that the requested changes actually consist of a modification of an authorisation of an existing type (e.g. amendment of conditions of the authorisation, amendments of the type examination certificate) and do not constitute a new type of vehicle.

After validation of the information submitted by the national safety authority, the Agency shall publish the information.

5.2.4. Suspension U.K.+E.U.

The national safety authority shall inform the Agency of any suspension of an existing authorisation for a type of vehicle within 5 working days following the issue of the suspension of the authorisation.

The Agency shall check the information submitted by the national safety authority and, within 5 working days following the receipt of this information, shall either validate it or request its correction or clarification.

5.2.5. Reactivation without modification U.K.+E.U.

The national safety authority shall inform the Agency of a reactivation of an authorisation for a type of vehicle previously suspended within 20 working days following the issue of the reactivation of the authorisation. The national safety authority shall confirm that the original authorisation is reactivated without any modifications.

The Agency shall check the information submitted by the national safety authority and, within 10 working days following the receipt of this information, shall either validate it or request its correction or clarification.

5.2.6. Reactivation with modification U.K.+E.U.

The national safety authority shall inform the Agency of a reactivation of an authorisation for a type of vehicle previously suspended within 20 working days following the issue of the reactivation of the authorisation. The national safety authority shall indicate that the reactivation is accompanied by a modification of the original authorisation. The national safety authority shall submit information regarding this modification.

The process indicated in clause 5.2.3 above for modification of an authorisation shall apply.

5.2.7. Withdrawal U.K.+E.U.

The national safety authority shall inform the Agency of any withdrawal of an existing authorisation for a type of vehicle within 5 working days following the withdrawal of the authorisation.

The Agency shall check the information submitted by the national safety authority and, within 5 working days following the receipt of this information, shall either validate it or request its correction or clarification.

In the cases where an authorisation has a validity term, the IT system shall automatically change the status of the authorisation to ‘expired’ according to the validity term indicated by the relevant national safety authority.

5.2.8. Modification of an authorisation which may lead to a modification of a registered type of vehicle U.K.+E.U.

Before requesting a modification of an authorisation which may lead to a modification of a registered type of vehicle, the national safety authority shall coordinate with national safety authorities who have granted authorisation for this registered type, and in particular the authority who has registered the type in ERATV.

[F15.3. Entry or modification of data by the Agency U.K.+E.U.

5.3.1. The authorising entity is a national safety authority U.K.+E.U.

Where a national safety authority acts as authorising entity, the Agency shall not modify data submitted by a national safety authority. The role of the Agency shall consist of validation and publication only.

In exceptional circumstances, such as technical impossibility of following the normal procedure, the Agency may, following a request from a national safety authority, enter or modify data submitted by a national safety authority. In this case, the national safety authority that requested the entry or modification of data shall confirm the data entered or modified by the Agency and the Agency shall duly document the process. The timescales for entering data in ERATV as indicated in Section 5.2 shall apply.

5.3.2. The authorising entity is the Agency U.K.+E.U.

Where the Agency acts as authorising entity, it shall:

(a)

register any vehicle type authorisation or vehicle type variant within 20 working days following the issue of the authorisation;

(b)

register any version of a vehicle type or version of a vehicle type variant within 20 working days following receipt of the complete information;

(c)

modify any existing authorisation for a type of vehicle within 20 working days following the issue of the modification to the authorisation;

(d)

suspend any existing authorisation for a type of vehicle within 5 working days following the issue of the suspension of the authorisation;

(e)

reactivate any authorisation for a type of vehicle previously suspended within 20 working days following the issue of the reactivation of the authorisation;

(f)

withdraw any existing authorisation for a type of vehicle within 5 working days following the withdrawal of the authorisation.]

5.4. Publication of data by the Agency U.K.+E.U.

The Agency shall make publicly available the data that has been validated.

5.5. Error handling in submitted data U.K.+E.U.

ERATV shall allow correcting errors in the recorded data. In the cases when an error has been corrected, ERATV shall indicate the date of correction.

5.6. Possible searches and reports U.K.+E.U.

ERATV shall allow the following reports:

(1)

For a national safety authority and the Agency:

  • information as indicated in Annex II submitted by any national safety authority and not validated by the Agency for any type of vehicle for which the authorisation is active, suspended or withdrawn (including expired authorisations) as far as this information is kept in historical records,

  • any of the reports available to public.

(2)

For the public:

  • information as indicated in Annex II submitted by any national safety authority and validated by the Agency for any type of vehicle for which the authorisation is active, suspended or withdrawn (including expired authorisations) as far as this information is kept in historical records.

ERATV shall allow the public to perform searches at least by the following criteria and any combination of them:

  • by type code,

  • by type name or part of it,

  • by manufacturer’s name or part of it,

  • by vehicle category/subcategory,

  • by TSI(s) the type is in conformity with,

  • by Member State or combination of Member States where the type of vehicle is authorised,

  • by status of the authorisation,

  • by any of the technical characteristics.

Where appropriate the search criteria shall allow indicating a range for a technical characteristic.

5.7. Historical records U.K.+E.U.

ERATV shall retain the complete historical record of all the modifications, including correction of errors, requests for clarifications and answers, related to a registered type of vehicle for 10 years from the date of withdrawal of the authorisation in all the Member States and for 10 years from the date of withdrawal of the registration from any NVR of the last vehicle of this type, whatever occurs later.

5.8. Automatic notification of changes U.K.+E.U.

Following a modification, suspension, reactivation or withdrawal of an authorisation of a vehicle type, the IT system shall send the national safety authority of any Member State where the vehicle types is authorised an automatic e-mail informing about the change.

In the cases where an authorisation has a validity term, the IT system shall send the relevant national safety authority an automatic e-mail informing about the forthcoming expiry date 3 months before this date.

[F16. GLOSSARY U.K.+E.U.

Term or abbreviation Definition
Type ID

An identification for the type composed of the type number (parameter 0.1, number composed of 10 digits), the variant (parameter 0.2, alphanumeric composed of three characters) and the version (parameter 0.4, alphanumeric composed of three characters):

TypeID = Type number+Variant+Version = XX-XXX-XXXX-X-ZZZ-VVV

Restriction Any condition or limitation indicated in the authorisation of type of vehicle that applies to placing on the market or use of any vehicle in conformity with this type. Restrictions do not include technical characteristics that are included in Section 4 of Annex II (List and format of parameters).
Modification of authorisation Modification, at the request of an authorising entity, of information of the registered vehicle type authorisation previously published which needs to be changed.
Suspension of authorisation Decision taken by an authorising entity according to which an authorisation for a vehicle type is temporarily suspended and no vehicle may be authorised to be placed on the market on the basis of its conformity to the given type, until the causes that motivated the suspension have been analysed. Suspension of authorisation for a vehicle type does not apply to the vehicles already in use.
Reactivation of authorisation Decision taken by an authorising entity according to which a suspension of authorisation it previously issued no longer applies.
Authorisation to be renewed Decision taken by an authorising entity according to which an authorisation for a vehicle type needs to be renewed in accordance with Article 24(3) of Directive (EU) 2016/797 and no vehicle may be authorised to be placed on the market on the basis of its conformity to the given type. Authorisation to be renewed status for a vehicle type does not affect the vehicles already in use.
Revocation of authorisation Decision taken in accordance with Article 26 of Directive (EU) 2016/797 by an authorising entity according to which an authorisation for a vehicle type is no longer valid. Vehicle already authorised to be placed on the market on the basis of its type shall be withdrawn.
Error Transmitted or published data that do not correspond to the given authorisation for type of vehicle. Modification of authorisation does not fall under this definition.]
(1)

As provided for in Commission Decision 2007/756/EC of 9 November 2007 adopting a common specification of the national vehicle register provided for under Article 14(4) and (5) of Directives 96/48/EC and 2001/16/EC (OJ L 305, 23.11.2007, p. 30).

(2)

[F2Commission Implementing Decision 2014/880/EU of 26 November 2014 on the common specifications of the register of railway infrastructure and repealing Implementing Decision 2011/633/EU ( OJ L 356, 12.12.2014, p. 489 ).

(3)

Regulation (EU) 2016/796 of the European Parliament and of the Council of 11 May 2016 on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 ( OJ L 138, 26.5.2016, p. 1 ).]

(4)

As provided for in Decision 2007/756/EC.

(5)

As provided for in Commission Implementing Decision 2011/633/EU of 15 September 2011 on the common specifications of the register of railway infrastructure (OJ L 256, 1.10.2011, p. 1).

(6)

[F2As provided for in Article 12 of Regulation (EU) 2016/796.

(7)

As provided for in Article 27 of Regulation (EU) 2016/796.]

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