The National Legal Framework (FR)

European Railway Agency
Cross Acceptance Unit
REFERENCE DOCUMENT PART 3: FRANCE
NATIONAL LEGAL FRAMEWORK APPLIED IN CONJUNCTION WITH THE AUTHORISATION
OF RAILWAY VEHICLES IN ACCORDANCE TO ART.27 OF DIRECTIVE 20081571EC IN FRANCE
DOCUMENT TYPE:
TECHNICAL DOCUMENT
VERSION:
1.6.1
Edited by
Approved by
Name
Ny Tiana TOURNIER
Position
Cross Acceptance Unit. Head of
Authorisation Processes Sector
Benolt Chevalier
Sous-directeur de Ia sécurité et de Ia
regulation
ferroviaires.
Ministère
de
développement
durable
et
l’écologie, du
Date
&
signature.
04
2015
/
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 on national level
FR NLF 1.6.1
Page 1 of 11
Contact details for National Legal Framework
Reporting country
Organisation Name
France
EPSF (*)
Contact name
E-mail
canisius.gassa@securite-ferroviaire.fr
Phone number
+33 (0)3 22 33 96 22
jerome.fedelich@securite-ferroviaire.fr
+33 (0)3 22 33 96 24
GASSA, Canisius
FÉDÉLICH, Jérome
Office phone number
Is there
(Yes/No)
EN* = not official translations, version of the document is not consolidated
(1) = not really simultaneous but cross acceptance agreements exist see art 54 et 56 of décret 2006-1279
(*) EPSF = Établissement Public de Sécurité Ferroviaire
(**) RFN = Réseau Ferré National
Classification:
(general, specific,
detailed)
Detailed reference of the rule(s)
Language(s) that the rule(s) are
available in
MSs
1. Loi n°2009-1503 relative à l'organisation et à la régulation des transports ferroviaires et portant diverses dispositions relatives aux transports.
Interoperability Directive transposed ? (including
2011/18)
Yes
N/A
2. Décret n°2010-814 du 13 Juillet 2010 relatif à la sécurité et l'interopérabilité du système ferroviaire.
1.FR
3. Arrêté du 27 octobre 2010 relatif à l'immatriculation des véhicules ferroviaires.
2.FR
4. Décret n°2006-1279 du 19 octobre 2006 relatif à la sécurité des circulations ferroviaires et à l'interopérabilité du système ferroviaire. Consolidated version of 14 February
2014.
5. Arrêté du 19 mars 2012 fixant les objectifs, les méthodes, les indicateurs de sécurité et la réglementation technique de sécurité et d'interopérabilité applicables sur le
réseau ferré national dit "arrêté réglementation".
3.FR
4.FR+EN*
5.FR
6.FR
N/A
6. Arrêté du 23 juillet 2012 relatif aux autorisations de réalisation et de mise en explotation commerciale de véhicules ou autres sous-systèmes de transport ferroviaire
nouveaux ou substantiellement modifiés dit "arrêté AMEC".
National guideline
Yes
N/A
Guide d'application à l'usage des promoteurs : "Conditions d'autorisation de mise en exploitation commerciale d’un projet sur le RFN(**) et sur les lignes définies par le
décret 2010-1201 du 12 octobre 2010, c'est-à-dire la partie française de la section internationale entre Perpignan et Figueras." Guide sur les autorisations de mise en
exploitation commerciale. Available on EPSF website
Additional authorisation required
Vehicle type
Time validity of a type
Definitions:
Upgrading
Renewal
Specific national arrangements for on track tests
Coordination with
Procedure for simultaneous application
other MSs
Yes
No
No
Yes
Yes
Yes
N/A
Décret n°2006-1279. Consolidated version of 14 February 2014 (art.54)
FR + EN*
Décret n°2006-1279. Consolidated version of 14 February 2014 (art. 31.10)
Décret n°2006-1279. Consolidated version of 14 February 2014 (art. 31.11)
Décret n°2006-1279. Consolidated version of 14 February 2014 (art.10)
FR + EN*
FR + EN*
FR + EN*
Fees
To obtain the National guideline
For the acknowledgement of receipt of application
For issuing authorisation
No (1)
Is there
(Yes/No)
Amount
(Euro)
Conditions (fixed/hourly rate)
Detailed reference of the rule
Language(s)
that the
rule(s) are
available in
Hourly rate
Article L.2221-6 du code des transports
+
délibération
du
conseil
d'administration de l'EPSF. Available in
the annual activity report on EPSF
website.
FR
Hourly rate
Article L.2221-6 du code des transports
+
délibération
du
conseil
d'administration de l'EPSF. Available in
the annual activity report on EPSF
website.
FR
No
No
Yes
For refusal of authorisation
Yes
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)
No
No
No
No
FR NLF 1.6.1
N/A
General
General
General
FR
cadre technique
(92 €/h)
cadre
confirmé
(118 €/h)
expert
(144 €/h)
cadre technique
(92 €/h)
cadre
confirmé
(118 €/h)
expert
(144 €/h)
Page 2 of 11
The following roles/actors might be involved in the authorisation procedure for the placing in service of vehicles: applicant, RU, IM, keeper, NoBo, 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 NoBo 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
Detailed reference of the rule(s)
Language(s) that the rule(s) are available in:
Applicant
RU
IM
NoBo
DeBo
NSA
1. Décret n°2006-1279.
Consolidated version of 14
February 2014 (art.31)
1. Décret n°2006-1279.
Consolidated version of 14
2. Décret n°2006-1279. February 2014 (art.31 & 45)
Consolidated version of 14
February 2014 (art.33 & 2. Arrêté du 21 dé cembre
titre IV-chapitre IV)
2007 relatif à l'agré ment
Décret
n°2006-1279. Décret
n°2006-1279. Décret
n°2006-1279.
des experts ou organismes
L.2221-1 du
Consolidated version of 14 Consolidated version of 14 Consolidated version of 14 3. Arrêté du 14 octobre qualifiés pour évaluer la
transports
February 2014 (titre IV)
February 2014 (art.9)
February 2014 (art.9)
2005 relatif aux organismes conception et la ré alisation
habilités à mettre en oeuvre de systèmes ou sous les
procédures
de systèmes
ferroviaires
vérification « CE » des sous- nouveaux
ou
systèmes et d'évaluation de substantiellement modifiés
la conformité ou de
l'aptitude à l'emploi des 3. Arrêté AMEC
constituants
d'interopérabilité ferroviaire
FR + EN*
List of acceptance criteria
No restriction
List of actors entitled to act as:
No restriction
FR + EN*
FR + EN*
1 & 2. - FR + EN*
3.FR
1. FR+ EN*
2 & 3.FR
Arrêté AMEC (art.5 & 13)
N/A
N/A
N/A
MS
code
des
Appeal Body
1. Décret n°2006-1279.
Consolidated version of 14
February 2014 (art.45-2)
Décret
n°2006-1279.
Décret 2010/1023 (section
Consolidated version of 14
3, art.10 & 11)
February 2014
2. CSM Regulation
3. Arrêté AMEC (art.3)
1 & 2.FR
FR + EN*
FR
Arrêté du 21 décembre
2007 relatif à l'agrément
des experts ou organismes
qualifiés pour évaluer la
conception et la réalisation
de systèmes ou sous systèmes ferroviaires
nouveaux ou
substantiellement modifiés
Appointed by law
Appointed by law
OQA (*) (list available at
EPSF
EPSF website)
Assessment Body (CSM)
MEDDE (**)
EPSF
ARAF (***)
Administrative court
1. FR+ EN*
2. EU languages
3. FR
Arrêté du 21 dé
2007 (art.4)
cembre
OQA (*) (list available at
EPSF website)
EN* = not official translations, version of the document is not consolidated
(*) OQA = L’organisme qualifié agréé
(**) MEDDE = Ministère de l´Écologie, du Développement Durable et de l´Énergie
(***) ARAF = Autorité de Régulation des Activités Ferroviaires
FR NLF 1.6.1
Page 3 of 11
Is there a National timeframe
FOR NEW AUTORISATION CASE AFTER UPGRADING/RENEWAL
Request for review of the refusal by the applicant to the NSA
Specify
timeframe
(maximum)
4 months
Décret n°2006-1279.
Consolidated version
of 14 February 2014
(art.44)
FR + EN*
Loi n°2000-321 du 12
avril 2000 (art.18, 21
& 22)
FR
2 months
2 months
For all authorisation cases where there Maintain of the refusal by the NSA
is a refusal of authorisation according
Request for review of the refusal by the applicant to the
to Art 21.7 of Directive 2008/57/EC:
appeal body – Possible opinion of the Agency if required by the 2 months
appeal body
NSA decision to be taken as soon as possible and not later
4 months
than, according to Art. 23.7 of 2008/57/EC:
(a) after submission of the authorisation file
For additional authorisation case of TSI (b) after provision of any additional information requested by 4 months
the national safety authority, where applicable
conform vehicles
1.Décret
n°20061279. Consolidated
version
of
14
February
2014 1. FR + EN*
(art.44.III, 44.IV &
54.IV)
2. FR
(c) after provision of the results of any tests requested by the
4 months
national safety authority, where applicable
2.Arrêté
(art.17)
NSA decision to be taken as soon as possible and not later
than, according to Art. 25.5 of 2008/57/EC :
4 months
(a) after submission of the authorisation file
1.Décret
n°20061279. Consolidated
version
of
14
February
2014 1. FR + EN*
(art.44.III, 44.IV &
54.IV)
2. FR
For additional authorisation case of
(b) after provision of any additional information requested by
non-TSI conform vehicle
4 months
the national safety authority, where applicable
(c) after provision of the results of any tests requested by the
4 months
national safety authority, where applicable
For tests/checks (including network compatibility) with the
identified actors, in particular the IM, to take place not later
4 months
For all additional authorisation cases: than, according to Art. 23.6 and Art.25.4 of Directive
TSI and non-TSI conform vehicles
2008/57/EC
when there is a deemed authorisation according to Art.21.8 of
2 months
Directive 2008/57/EC
EN* = not official translations, version of the document is not consolidated
FR NLF 1.6.1
Language(s)
Detailed reference
that the rule(s)
of the rule(s)
are available in
2.Arrêté
(art.17)
AMEC
AMEC
Décret n°2006-1279.
Consolidated version
of 14 February 2014
(art.44.III & 54.IV)
FR + EN*
FR + EN*
Page 4 of 11
Reference No
in flowcharts
1.I
Reference to object in flowchart
Submit the file describing the project to the MS
Requirement that needs additional information
The detailed reference of the
rule(s) that specify the
requirements
1. Décret n°2006-1279. Consolidated
version of 14 February 2014 (art.54;
vehicle already authorised in another
MS)
Requirements for the content of the file describing
2. Décret n°2006-1279. Consolidated 1. & 2. FR+ EN*
the project
version of 14 February 2014 (art.55;
vehicle already authorised in France
and
subject
to
a
substantial
modification).
1. Décret n°2006-1279. Consolidated
Requirements for the content of the file of the
version of 14 February 2014 (art.54)
previous authorisation(s)
2. Arrêté AMEC (annexe V)
1.II
Language(s)
that the rule(s)
are available in
1.FR + EN*
2.FR
Examine:
file of the previous authorisation(s) records on
maintenance, operation and technical modifications
1. Décret n°2006-1279. Consolidated
Requirements for the content of the records on
version of 14 February 2014 (art.54)
maintenance, operation and modifications
2. Arrêté AMEC (annexe V)
1.III
Submit the file describing the project to the MS
Requirements for the content of the file describing
the project
1.IV
Is a new authorisation required for the project?
The criteria for a new authorisation
1.FR + EN*
2.FR
No
Décret n°2006-1279. Consolidated
version of 14 February 2014 (art.44.I)
FR + EN*
EN* = not official translations, version of the document is not consolidated
FR NLF 1.6.1
Page 5 of 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
Décret
2.I
n°2006-1279.
Language(s)
that the rule(s)
are available in
Consolidated
Request for track access to run on track test, when Procedure for establishing the conditions to run on
version of 14 February 2014 (art.10)
necessary
track tests
FR + EN*
SMS(*) of the IM
EN* = not official translations, version of the document is not consolidated
(*) SMS = Safety Management System
FR NLF 1.6.1
Page 6 of 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
3.I
Perform verification (including tests and on track tests
where necessary) against applicable TSIs and NRs, and The requirements for evidences
establish evidences
1. Décret n°2006-1279. Consolidated
version of 14 February 2014 (art.46, 51 1.FR + EN*
& 52)
2.FR
2. Arrêté AMEC
3.II
Perform verification of conformity to type, and
The requirements for evidences
establish evidences
1. Décret n°2006-1279. Consolidated
1.FR + EN*
version of 14 February 2014 (art.53)
2.FR
2. Arrêté AMEC (art.12)
3.III
Supply evidences on the completion of the relevant
The requirements for evidences
assessment of conformity to type
1. Décret n°2006-1279. Consolidated
1.FR + EN*
version of 14 February 2014 (art.53)
2.FR
2. Arrêté AMEC
3.IV
Supply evidences on the completion of the relevant
The requirements for evidences
assessment of conformity to type
1. Décret n°2006-1279. Consolidated
1.FR + EN*
version of 14 February 2014 (art.53)
2.FR
2. Arrêté AMEC
3.V
Apply CSM Regulation for safe integration
The requirements for risk assessment
1. CSM directly applicable
2. Arrêté AMEC
3.VI
Provide certificate(s) from assessment
applicable TSIs requirements to applicant
The requirements for evidences
1. Décret n°2006-1279. Consolidated
version of 14 February 2014 (art.46, 51 1.FR + EN*
& 52)
2.FR
2. Arrêté AMEC (annexes VI & VII)
The requirements for evidences
1. Décret n°2006-1279. Consolidated
version of 14 February 2014 (art.46, 51 1.FR + EN*
& 52)
2.FR
2. Arrêté AMEC (art.15)
3.VII
Provide certificate(s) from assessment
applicable NRs requirements to applicant
against
against
The requirements for the content of the safety
assessment report
EN* = not official translations, version of the document is not consolidated
3.VIII
FR NLF 1.6.1
Provide safety assessment report to applicant
1.EU languages
2.FR + EN*
Regulation (UE) N°402/2013 (art.6 & 15) EU languages
Page 7 of 11
Reference no
in flowcharts
4.I
Reference to object in flowchart
Decision on the remedial action?
Requirement that needs additional information
Possible remedial actions: Alternative method,
1. Règlement CSM
Design modification, Change of the conditions of
2. Arrêté réglementation (art.4)
use/restrictions
The criteria for decision on the remedial action.
FR NLF 1.6.1
The detailed reference of the
rule(s) that specify the
requirements
Arrêté réglementation (art.4.III)
Language(s)
that the rule(s)
are available in
1.EU languages
2.FR
FR
Page 8 of 11
Reference no
in flowcharts
6.I
6.II
6.III
Reference to object in flowchart
Requirement that needs additional information
The detailed reference of the
rule(s) that specify the
requirements
Requirements for the content of the authorisation file
(including the “technical files”) :
- If there is a clear check list to be adhered to when
compiling the authorisation file
1. Décret n°2006-1279. Consolidated
version of 14 February 2014 (art.53 &
- Make a copy of the initial technical file (previous
54)
authorisation(s))
2. Arrêté AMEC (annex IV)
- Collect records on operation and technical
1. Décret n°2006-1279. Consolidated
- The accepted documentation for authorisation granted
modifications
version of 14 February 2014 (art.54)
before the implementation of Directive 2008/57/EC.
2. Arrêté AMEC (annex IV)
Requirements for the content of the authorisation file
1. Décret n°2006-1279. Consolidated
(including the “technical files”) :
version of 14 February 2014 (art.54)
- If there is a clear check list to be adhered to when
2. Arrêté AMEC (annex IV)
Identify the content of the technical file for the
compiling the authorisation file
DeBo(s) part
1. Décret n°2006-1279. Consolidated
- The accepted documentation for authorisation granted
version of 14 February 2014 (art.54)
before the implementation of Directive 2008/57/EC.
2. Arrêté AMEC (annex IV)
Requirements for the content of the authorisation file
(including the “technical files”) :
Arrêté AMEC (annex IV)
- If there is a clear check list to be adhered to when
Identify the content of the technical file for the compiling the authorisation file
Assessment body (CSM) part
6.IV
Compile the authorisation file
6.V
Identify the format and documentation
application for authorisation:
-Vehicle type and/or
- Vehicle placing in servcie
6.VI
Submit the official Application for authorisation
Language(s)
that the rule(s)
are available in
1. FR+EN*
2. FR
1. FR+ EN*
2. FR
1. FR+EN*
2. FR
1. FR+EN*
2. FR
FR
1.Décret n°2006-1279. Consolidated
- The accepted documentation for authorisation granted
version of 14 February 2014 (art. 44 II)
before the implementation of Directive 2008/57/EC.
2. Arrêté AMEC (art.2, 5 & 13)
1. FR+EN*
2. FR
The requirements and the content for the official Décret n°2006-1279. Consolidated
application
version of 14 February 2014 (art.51)
FR+EN*
of the
The requirements and the content for the official
application
Arrêté AMEC
Time frame for the submission of the official application
from the pre-engagement baseline, if any
No
FR
EN* = not official translations, version of the document is not consolidated
FR NLF 1.6.1
Page 9 of 11
Reference no
in flowcharts
Reference to object in flowchart
7.I
Acknowledge receipt of application
7.II
Declare the vehicle deemed authorised
7.III
7.IV
Is there an appeal to NSA?
Issuing the authorisation
Requirement that needs additional information
The requirements for the acknowledgement of the
Arrêté AMEC (art.17)
receipt of application
Décret 2006-1279. Consolidated
The requirements for deemed authorisation
version of 14 February 2014
(art.54.IV)
1. Loi n° 2000-321 du 12 avril 2000
relative aux droits des citoyens dans
leurs
relations
avec
les
The requirements for appeal to NSA
administrations.
2. Arrêté AMEC (art.13, courrier
d'accusé de reception).
FR NLF 1.6.1
Identify conditions for archiving the authorisation file
Language(s)
that the rule(s)
are available in
FR
FR+EN*
FR
Loi n° 2000-321 du 12 avril 2000
The requirements for the content of justification of relative aux droits des citoyens dans
appeal to NSA
leurs
relations
avec
les
administrations.
FR
The requirements for launching appeal to the Article L.2134-1
appeal body
transports
FR
The requirements for issuing authorisation
The requirements
authorisation file
EN* = not official translations, version of the document is not consolidated
7.V
The detailed reference of the
rule(s) that specify the
requirements
for
NSA
archiving
the
du
code
des
1.Décret 2006-1279. Consolidated
version of 14 February 2014 (titre
V)
2.Guide AMEC
1.FR+EN*
2.FR
EPSF Internal archiving procedure
FR
Page 10 of 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
8.I
Forms for:
- authorisation for placing in service of vehicle(s) and
- authorisation for type of vehicle
1.Décret n°2006-1279. Consolidated
version of 14 February 2014 (art.44 &
The format of issued authorisation (of vehicle type 53).
2. Arrêté AMEC (art.12).
and of placing in service of vehicle)
3.Procédure interne de la Direction
Autorisation EPSF
8.II
Form for authorisation for type of vehicle
The format of issued authorisation of vehicle type
No
8.III
Inform ERA on deemed vehicle type authorisation
The procedure for informing the Agency on
deemed vehicle type authorisation
No
FR NLF 1.6.1
Language(s)
that the rule(s)
are available in
FR
Page 11 of 11
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
Where it is not
necessary to update
the verification
procedures for
renewed
authorisation
In case of subsequent
authorisation
S2. Pre-engagement
In case of:
Modification of vehicle
design
Authorisation with
conditions of use and/or
restrictions is not
possible
In case of refusal of
alternative method
Alternative
method
S3. Assessment
Version 1.6.1 FR
S4.Corrections of
non- conformities
In case of:
Correction of non-conformities
is not necessary
Verfication and assessment
results are ok
In case of New
(Upgrade/renewal)
authorisation is not
required.
S5.Establishing certificates
and declarations of
verification
In case of extension of
type validity when
renewed authorisation
is not required.
S6. Compiling the
authorisation file and
submitting the
application
S7. Processing the
application for authorisation
S8. Final documentation
and authorisation
End
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
authorisation without
appeal to NSA
Annex B
End of stage 4
Where:
there is a modification of vehicle
design, or
authorisation with conditions of use
and/or restrictions is not possible
End of stage 7 where:
the application is not complete, or
there is a negative appeal decision, or
there is a refusal of authorisation without
appeal
Start
Legal option
Non mandatory /
Common practice
FR Legal option
R: Recommendation 2011/217/EU
ID: Interoperability Directive 2008/57/EC
CSM: CSM Regulation 352/2009
* The timeline starts from the moment the complete file has been
submitted by the applicant
Décret n°2006-1279 du 19 octobre 2006. Consolidated version of 14 February 2014
Arrêté AMEC (23 juillet 2012)
Stage 1 – Identify the rules, applicable requirements, conditions of use and assessments
Applicant
MS
Start Substage
1-1
Decision on
authorisation
case
Identify:
TSI (including
derogations if any)
and NR
requirements,
Conditions of use
ID:22,24
Verification
procedures
(including alternative
methods, if any), and
Required assessment
bodies
ID:5.1;5.2;5.3;
End Substage 1-1
First
Evaluation of impact in safety
and interoperability, identifying:
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)
New (Upgrade
/renewal)
ID:20
I
Submit the file
describing the
project to the MS
ID:20.1
File describing the
project
ID:20.1
Décret 2006-1279 (art.42.II.3, 44.I & 55)
Arrêté AMEC (art.3, 10 & 18)
5.6;5.8;9;22.2;
R:1;3.1.3;
Subsequent
Additional
ID:26.3
R:5.5
ID:21.5,
23,25,
Identify:
the authorised
vehicle type, and
required
assessment
bodies
II
Renewed
Examine:
file of the previous authorisation(s)
records on maintenance, operation
and technical modifications
ID:23.3,
25.2
Version 1.6.1 FR
Result from examination of the:
file of the previous authorisation(s)
records on maintenance, operation
and technical modifications
ID:26.3
R:5.5
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 authorisation
ID:26.3.
TSI
conform vehicle?
Yes
No
ID:23.4-6
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
Examine the file
describing the
project
ID:20.1
III
Submit the file
describing the
project to the MS
File describing the
project
Notification of a
need to renew type
authorisation
Update of verification
procedures?
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:25.3-4
Result from
examination of the
file describing the
project
ID:20.1
Is renewed
authorisation
required?
ID:26.3.
Yes
Notification of
“extension” of type
validity
No
IV
Is a new
authorisation
required for the
project?
Yes
ID:20.1
Yes
Update
of verification
procedure(s)
No
Beginning of
stage 3
Beginning of
stage 2
No
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
List of requirements
(TSI and technical
characteristics applicable
in place of TSI)
Identify required
assessment
bodies
OR
Update
verification
procedure(s)
ID:20.2
Beginning of
stage 3
ID:20
Beginning of
stage 3
Beginning
of Stage 8
END
Start
Substage 1-1
Non mandatory/
Common practice
Stage 1 - Identify the rules, applicable requirements, conditions of use and assessments – Substage 1: Decide on authorisation case
Applicant
Version 1.6.1 FR
Identify:
-Project scope
-TSIs and NRs,in particular A classified rules, related to the change
-Conditions of use, and
-Verification procedures (including alternative methods, if any)
Consult the applicable TSIs, NRD(s) of the MS(s) where authorisation is applied for
Plan
Is
authorisation of type
still valid?
No
No
Is it Intended to be
authorised in other MS(s)
than
First MS?
No
Is it a New/Changed
basic design of vehicle/
type of vehicle?
Is it a
New basic
design?
Yes
Yes
Yes
No
Yes
Decision on
authorisation case:
Renewed
Decision on
authorisation case:
Subsequent
Decision on
authorisation case:
Additional
Decision on
authorisation case:
First
End Substage 1-1
Decision on
authorisation case:
New (Upgrade/
Renewal)
Annex B
Legal option
End of
stage 1
Non mandatory /
Common practice
End of stage 4 for
alternative method
FR Legal option
R: Recommendation 2011/217/EU
ID: Interoperability Directive 2008/57/EC
CSM: CSM Regulation 352/2009
Annex C
Décret n°2006-1279 du 19 octobre 2006. Consolidated version of 14 February 2014
Arrêté AMEC (23 juillet 2012)
Stage 2 – Pre-engagement
Applicant
Select assessment
bodies
Compile applicable TSI rules and/or NRs and
technical solutions (acceptable means of
compliance) 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 4 of Art 23 of 2008/57/EC
NSA
Start
Substage 2-1
DeBo
Proposal for pre
-engagement
NoBo
Assessment body
(CSM)
IM
Proposal for pre -engagement
End Substage
2-1
Is there a
proposal for an
alternative
method?
Start
Substage 2-2
Yes
Refusal
Evaluate proposal for
alternative method
to meet essential
requirements
Evaluate proposal for alternative method to meet essential
requirements
End Substage
2-2
Acceptance
No
ID:23.6,
25.4
I
Request for track
access
Request for track access
to run on track test, when
necessary
ID:23.6,
25.4
ID:23.6,
25.4
Track access to run
on track tests
Agreement to
track access
Will
the test take place within
the legal timeframe?
Yes
No
Ask NSA to ensure
that the tests take
place within the legal
timeframe
ID:23.6,
25.4
ID:23.6,
25.4
Take measures to
ensure that the
tests take place
within the legal
timeframe
NSA measures for IM
to respect the legal
timeframe
ID:23.6,
25.4
ID:23.6,
25.4
Reviewed acces
provisions to
run
on track tests
Review the access
provisions to run
on track tests
OR
Is this a First
authorisation?
Submit pre- engagement file,
including
proposal
for
alternative methods, if any to:
NSA,
assessment bodies Mandatory in case of
Yes
first authorisation.
Arrêté AMEC (art.3 & 6)
Pre-engagement
file
Décret 2006-1279
(art.44.II, 44.IV & 46)
Arrêté AMEC (art.3 & 6)
Pre-engagement
file
Pre-engagement
file
Décret
2006-1279
(art.44.II, 44.IV & 46)
Arrêté AMEC (art.3 & 6)
Version 1.6.1 FR
Décret 2006-1279
(art.44.II, 44.IV & 46)
Arrêté AMEC (art.3 & 6)
Examine and agree
on the preengagement file
AND
Examine and agree
on the preengagement file
Examine and agree
on the preengagement file
Décret 2006-1279
(art.44.II, 44.IV & 46)
Arrêté AMEC (art.3 & 6)
Compile and
Present preengagement file
to NSA
Décret 2006-1279
(art.44.II, 44.IV & 46)
Arrêté AMEC (art.6)
Pre engagement
baseline draft
No
Arrêté AMEC (art.6)
Discussion and
examination on
pre engagement
baseline draft
Arrêté AMEC (art.6)
Update of the draft
pre-engagement
baseline
Examination of
NSA opinion
Arrêté AMEC (art.6)
NSA opinion
Arrêté AMEC (art.6)
Arrêté AMEC (art.6)
Pre-engagement
baseline
Submit pre- engagement file,
including
proposal
for
alternative methods, if any to:
NSA,
assessment bodies
Pre-engagement
file
Pre-engagement
file
Pre-engagement
file
Examine and agree
on the preengagement file
Examine and agree
on the preengagement file
Examine and agree
on the preengagement file
Pre-engagement
baseline
AND
Present preengagement file
to NSA
Pre engagement
baseline draft
Discussion and
examination on
pre engagement
baseline draft
Update of the draft
pre-engagement
baseline
Pre-engagement
baseline
Beginning of stage 4 for
refusal of alternative
method
Beginning of
stage 3
ID:23.6,
25.4
Examination of
NSA opinion
NSA opinion
Pre-engagement
baseline
Non mandatory/
Common practice
Annex C
Stage 2 – Pre-engagement – Substage 1: Proposal for pre-engagement
Applicant
NoBo
DeBo
Assessment body
(CSM)
Draft preengagement
file
Draft preengagement
file
Draft preengagement
file
Review of the draft
for the preengagement file
Review of the draft
for the preengagement file
Review of the draft
for the preengagement file
Submit draft preengagement file to
assessment bodies
Version 1.6.1 FR
Start
Substage 2-1
AND
End
Substage 2-1
Non mandatory/
Common practice
Annex C
Stage 2 – Pre-engagement – Substage 2: Evaluate proposal for alternative method to meet essential requirements
Applicant
Start
Substage 2-2
NSA
DeBo
Assessment body (CSM)
Alternative method
of meeting the
essential
requirements
Propose alternative method of
meeting the essential requirements
Perform the Safety
Assessment
Provide Safety
Assessment report
Safety Assessment Report
Version 1.6.1 FR
Submit alternative methods with
supporting evidence (Safety
Assessment Report)
Alternative methods with
supporting evidence
Can alternative
method be accepted?
No
Yes
Refusal of
alternative
method
Acceptance of
alternative
method
Decision to refuse
alternative method
Decision to
accept
alternative
method
Supply assessment
bodies with the
accepted
alternative method
Accepted
alternative
method
End substage 2-2
End of stage 2 for
first and renewed (with update
of verification procedures)
authorisation cases
End of Stage 1
for additional and new
authorisation cases
End of stage 1 for
renewed without
update of verification
procedures
R: Recommendation 2011/217/EU
ID: Interoperability Directive 2008/57/EC
CSM: CSM Regulation 352/2009
Legal option
Non mandatory /
Common practice
End of Stage 1
only for subsequent
authorisation case
FR Legal option
Annex D
Arrêté AMEC (23 juillet 2012)
Stage 3 - Assessment
Applicant
NoBo
Assessment body
(CSM)
DeBo
I
Perform verification
(including tests and on track
tests where necessary)
against applicable TSIs and
NRs, and establish
evidences
II
Perform verification
of conformity to
type, and
establish evidences
Evidences on the
completion of the
relevant
verifications of
conformity to type
ID:26.5
Evidence of
conformity to type
shall be provided by
the manufactuer
ID:21
Evidences on the completion of
the relevant verifications
(including tests and on track
tests where necessary) against
applicable TSIs and NRs
Is
a specific request to
assessment body(es) needed
according to the chosen
verification
procedures?
Yes
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)
Assess
conformity to
type according to
NR(s)
Assess
conformity to
type according
to TSI(s)
ID:26.5
ID:26.5(b)
ID:26.5(a)
ID:21
III
Request to assessment
bodies to:
- perform assessment
against applicable TSIs
and NRs and
- provide certificates/
reports
ID:26.5(a)
IV
ID:26.5(b)
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
No
ID:21
AND/OR
Are all
the requirements for
technical compatibility and
safe integration covered by
NRs/TSIs?
ID:23, 25
OR
Is it an additional
authorisation?
Yes
Yes
R: 5.3
No
No
V
Apply CSM Regulation
for safe integration
Perform assessment
against applicable
TSIs requirements
Perform risk
assessment ID:15.1
Version 1.6.1 FR
Yes
ID:18;
R:4.2.1
Evidences (e.g. copy of
certificates [TSI, National rules]
that might cover several
vehicles) on the completion of
the relevant verifications to
type
Perform assessment
against applicable NRs
requirements
VII
VI
Certificate(s) from
assessment against
applicable TSIs
requirements
CSM:2.2
R: 5.3
Is
documentation for
safety assessment
necessary?
ID:17.3:
R:4.2.2
CSM:7.3
ID:18;
R:4.2.1
CSM:7.3
ID:15.1
CSM:2.2
R: 5.3
Provide certificate(s)
from assessment
against applicable TSIs
requirements to
applicant
ID:18;
R:4.2.1
CSM:7.3
Provide certificate(s)
from assessment
against applicable NRs
requirements to
applicant
ID:17.3:
R:4.2.2
CSM:7.3
Certificate(s) from
assessment against
applicable NRs
requirements
Risk assessment
report from the
applicant
ID:17.3;
R:4.2,2
CSM:6.1
ID:26.4-5
Is
documentation for
safety assessment
necessary?
No
No
Yes
CSM: Annex I.5
Provide documentation
for safety assessment to
Assessment body (CSM)
Collect
documentation
Provide documentation
for safety assessment to
Assessment body (CSM)
CSM: 6.1,
7.1
CSM: Annex I.5
Perform safety
assessment
CSM: 6.1,
7.1
VIII
CSM:7
Safety
assessment
report
Provide safety
assessment report
to applicant
CSM:7.1
AND/OR
Send the file to the CSM
assessor for coherence
check of the file
Arrêté AMEC (art.13)
Yes
ID: 22.2(b),
24.2, 23.3,
Are the 25.2, 26.5
verification and
assessment results
ok?
Safety assessment
report
Arrêté AMEC (art.13)
Check coherence of
the file
Arrêté AMEC (art.13)
No
Beginning of
stage 5
Beginning of
stage 4
Non mandatory/
Common practice
End of stage 3
Stage 2 for refusal of
alternative method
FR Legal option
Arrêté réglementation (19 mars 2012)
Annex E
Stage 4 - Correction of non-conformities
Applicant
I
Decision on the
remedial action?
Change the
conditions for use/restrictions
DeBo
Evaluate (technically and/
or economically) possible
conditions of use and/or
other restrictions
Version 1.6.1 FR
Arrêté réglementation
(art.4)
Is authorisation
with conditions of use
and/or restrictions possible
based on the results from
the evaluation?
Design
modification
Alternative
method
Modify vehicle design
including software
modification
Yes
No
Prepare conditions of
use and/or other
restrictions
Modification of
vehicle design
Conditions of use
and/or other
restrictions
Beginning of
stage 2
Beginning of stage 1
Beginning of
stage 5
Legal option
End of stage 3
when verification and
assessment results are ok for
subsequent authorisation
End of stage 3, for all other
cases, when verification and
assessment results are ok
R: Recommendation 2011/217/EU
ID: Interoperability Directive 2008/57/EC
CSM: CSM Regulation 352/2009
Annex F
End of stage 4
Stage 5 - Establishing certificates and declarations of verification
Applicant
NoBo
DeBo
Assessment
body (CSM)
OR
ID:26.5
Establish the
declaration of
conformity to the
authorised type
ID: 23,25
Is it
the case of additional
authorisation?
Yes
Version 1.6.1 FR
No
ID: Annex VI
R:8.;8.5;
Declaration of
conformity to type
Elaborate and
compile EC
certificate
documentation
Elaborate and
compile NR
certificate
documentation
ID: Annex VI
R:8.6
Provide EC
certificates
ID:26.5
Reg:201/2011
ID: Annex VI
R:8.;8.9;
EC Certificate(s)
NR Certifcate(s)
ID: Annex VI
R:8.;8.5;
ID: Annex VI
R:3.2;
CSM report(s)
ID: Annex VI
R:5.3.1;5.3.2
Is it a
vehicle type
authorisation
only?
ID: 26
Yes
Beginning of
Stage 6
No
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
Provide NR
certificates
ID: Annex VI
R:8.6
Elaborate and
compile CSM
report
documentation
ID: Annex VI
R:8.9;
CSM:7
Provide CSM
report
ID: Annex VI
R:8.9;
CSM:7
Legal option
End of stage 5
R: Recommendation 2011/217/EU
ID: Interoperability Directive 2008/57/EC
Annex G
Stage 6 - Compiling the authorisation file and submitting the application
Applicant
Is it
the case of additional
authorisation?
NSA
Yes
ID:23,25
No
I
III
II
- Make a copy of the initial technical
file ( previous authorisation(s))
- Collect records on maintenance,
operation and technical modifications
Identify the content of the
technical file for the
DeBo(s) part
R:8.6;4.2.2;
ID Annex VI- 3.3
ID:23.3,
25.2
Version 1.6.1 FR
File of the previous
authorisation(s)
Records on maintenance,
operation and technical
modifications
Identify the content of the
technical file for the
Assessment body (CSM) part
Technical file
related to NRs
Assessment body (CSM)
report on CSM
R:8.6;4.2.2;
ID Annex VI- 3.3
ID:23.3,
25.2
R:5.3.2;
ID:Annex VI- 2.4
R:5.3.2;
ID:Annex VI- 2.4
AND/OR
IV
Compile the
authorisation file
ID: 23.3,
25.2
ID: 23.3,
25.2
Authorisation file
ID: Annex VI-2.6
Archived
authorisation file
Archive
authorisation file
V
ID:21.6;23.7;25.5
Annex VI:2.6
R:8.1;
Identify the format and
documentation of the
application for authorisation:
Vehicle type and/or
Vehicle placing in servcie
VI
ID: Annex VI-2.6
ID:21.6;23.7;25.5
Annex VI:2.6
R:8.1;
Submit the official
Application for
authorisation
ID:21.6;23.7;25.5
Annex VI:2.6
R:8.1;
Application
for authorisation
Beginning of
stage 7
Legal option
(*)The timeline starts from the moment the
application has been acknowledged
Non mandatory/
Common practice
End of stage 6
FR Legal option
R: Recommendation 2011/217/EU
ID: Interoperability Directive 2008/57/EC
Annex H
Arrêté AMEC (23 juillet 2012)
Stage 7 - Processing the application for authorisation
Applicant
NSA
Letter or any other means of
acknowldegement the receipt
of application
Appeal body
Acknowledge receipt
AND
Complete
the
information
Complementary
information
OR
Yes
Check the completeness
of application
In this context
“information” =
documents
Letter stating:
the incomplete application
the missing information
Is it only a need for
additional
documentation?
Identify
missing
information
Is the
application
complete? R:4.2.3;
No
(*)Letter or any other means
of acknowledgement of
receipt of application
ID:20.1;
Acknowledgement
23.7.a;25.5.a
Acknowledge
completeness
of application
of completeness
(instead of receipt)
of application
Is it the case of
additional
authorisation?
ID:23,25
Yes
Is
there a NSA decision
within the EU legal
timeframe?
ID: 21.8
II
Yes
I
No
Yes
No
Refusal of
authorisation
Declare the vehicle
deemed authorised
ID: 21.7
Justify
refusal of
authorisation
ID: 21.7
Is
authorisation
granted?
ID: 22.2,
R:8.7
No
ID: 21.8
III
ID: 21.7
Is
there an appeal
to NSA?
Version 1.6.1 FR
Yes
Yes
ID: 21.7
Decision to
make an appeal
to NSA
ID: 21.7
Decision to make
an appeal to NSA
Start Substage 7-1
No
Appeal
End Substage 7-1
No
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
OR
IV
Issuing the
authorisation
ID: 15.1
R:2.1;5.1.1;
V
Identify conditions for
archiving the
authorisation file
Conditions for archiving
the authorisation file
Beginning of
stage 1
Arrêté AMEC (art.17)
Beginning of stage 8
ERA
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
ID: Interoperability Directive 2008/57/EC
Non mandatory/
Common practice
Annex H
Stage 7 - Processing the application for authorisation – Substage 1: Appeal
Applicant
NSA
Justify
appeal
to NSA
Make
an appeal to
appeal body?
ID: 21.7
(**) Refusal of
authorisation
ID: 21.7
ID: 21.7
(*)Appeal
to NSA
ID: 21.7
Maintain
refusal of
No
authorisation
ID: 21.7
Appeal body
ERA
Review
NSA
decision
ID: 21.7
Request for
appeal
Change NSA
decision?
ID: 21.7
ID: 21.7
No
Yes
ERA opinion
required?
Review
NSA
decision
ID: 21.7
Yes
ID: 21.7
Accept the
appeal?
ID: 21.10
ID: 21.7
Version 1.6.1 FR
Request for
ERA opinion
Make
request
to ERA
Launch appeal
procedure
ID: 21.10
ID: 21.10
Negative
appeal
decision
Inform applicant
on negative
appeal decisionID: 21.7
ID: 21.7
Negative
appeal
decision
Yes
No
No
(***) Notification
of ERA opinion
ID: 21.10
(***) Notification
of ERA opinion
ID: 21.10
Establish ERA
opinion
ID: 21.10
(***) Notification
of ERA opinion
ID: 21.10
Positive
appeal
decision
ID: 21.7
(**)Positive
appeal
decision
ID: 21.7
End
Substage 7-1
Reverse
refusal of
authorisation
ID: 21.7
Yes
Legal option
Annex I
ID: Interoperability Directive 2008/57/EC
Non mandatory /
Common practice Décret n°2006-1279 du 19 octobre 2006. Consolidated
End of stage 7
Deemed
Authorisation
FR Legal option
End of stage 7 Issued
Authorisation
version of 14 February 2014
Arrêté du 23 juillet 2012 dit "arrêté AMEC"
End of stage 1 for
extension of type
validity
Stage 8- Final documentation and authorisation
Applicant
NSA
Establish the forms for:
authorisation for
placing in service of
vehicle(s)) and
authorisation for type
of vehicle
No
ERA
Is it a vehicle type
authorisation only?
Yes
Establish the
form for
authorisation for
type of vehicle
ID:26,1-2
I
Forms for:
authorisation for placing in
service of vehicle(s) and
authorisation for type of
vehicle
Décret n°2006-1279 (art.44 & 53)
Arrêté AMEC (art.12)
II
Version 1.6.1 FR
Form for
authorisation for
type of vehicle
Inform ERA on issued
authorisation for type
of vehicle
ID:26,7.
OR
III
Information on
vehicle type
authorisation
ID:26,7.
Inform ERA on
deemed vehicle
type authorisation
ID:26,7.
Document on
deemed vehicle type
authorisation
Confirmation of
deemed vehicle type
authorisation
Inform the concerned
NSA of the deemed
vehicle type
authorisation
Register in ERATV
ID:34.
Registration in
ERATV
ID:34.
END