Registration of rolling stock by oft14212

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									                                      EUROPEAN RAILWAY AGENCY




                                 INTEROPERABILITY UNIT


                        REGISTRATION OF ROLLING STOCK


Reference:      IU-REG-060727                    Document type:   Final report

Version :       0.1

Date :          2006/07/27




                                 Edited by                               Approved by
         Name                Ny Tiana TOURNIER                          J-C. PICHANT
     Position     INTEROPERABILITY Unit Project Officer       INTEROPERABILITY Unit Coordinator
     Date &                      2006/07/27                               2006-07-27
    Signature                     Signed                                    Signed
                        ERA INTEROPERABILITY UNIT
                     REGISTRATION OF ROLLING STOCK




AMENDMENT RECORD

Version     Date   Section number      Modification/description       Author




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TABLE OF CONTENTS

1. INTRODUCTION ....................................................................................................................... 5
   1.1. Subject ..............................................................................................................................................5
   1.2. Field of application ..........................................................................................................................5

2. REFERENCES, TERMS AND ABBREVIATIONS..................................................................... 6
   2.1. Reference documents .....................................................................................................................6
   2.2. Terms & abbreviations ....................................................................................................................7

3. CONTENT OF THE NATIONAL VEHICLE REGISTER .......................................................... 13
   3.1. The use of the NVR ........................................................................................................................13
   3.2. Items required by the directives ...................................................................................................13
   3.3. Additional Items agreed as part of the NVR ................................................................................15
   3.4. Historical records ..........................................................................................................................17

4. DATA FORMAT....................................................................................................................... 18

5. FUNCTIONAL AND TECHNICAL ARCHITECTURE .............................................................. 22
   5.1. Introduction....................................................................................................................................22
   5.2. Presentation of the current Situation ..........................................................................................22
   5.3. Possible solutions .........................................................................................................................23
   5.4. Description of the recommended solution..................................................................................26
   5.5. System Architecture......................................................................................................................34
   5.6. Use Cases.......................................................................................................................................35

6. OPERATING MODE................................................................................................................ 36
   6.1. Standard form for registration ......................................................................................................36
   6.2. Access rights to the data of the NVR of a given MS ‘XX’ ...........................................................37

7. SCOPE EXTENSION TO EXISTING VEHICLES .................................................................... 39
   7.1. Considered data content ...............................................................................................................39
   7.2. Procedure .......................................................................................................................................41
   7.3. Transition period............................................................................................................................41

ANNEX 1 – SURVEY ON EXISTING ROLLING STOCK REGISTRATION ................................ 42

ANNEX 2 – RESTRICTIONS CODING ....................................................................................... 47

ANNEX 3 – STRUCTURE AND CONTENT OF THE EIN ........................................................... 48


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ANNEX 4 – WITHDRAWAL CODING ......................................................................................... 51

ANNEX 5 – STANDARD FORM FOR REGISTRATION ............................................................. 52

ANNEX 6 – SURVEY ON IT SYSTEMS USED FOR REGISTRATION OF RS........................... 54

ANNEX 7 – USE CASES FOR THE VVR.................................................................................... 55




LIST OF TABLES
Table 1 : Reference documents,......................................................................................................... 6
Table 2 : Terms................................................................................................................................... 7
Table 3 : Abbreviations ..................................................................................................................... 10




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1.          INTRODUCTION

     1.1.   SUBJECT
                 Regulation (EC) 881/2004 gave a mandate to the European Railway Agency
                 to draw up and to recommend to the Commission a standard format for the
                 National Vehicle Register (NVR) in accordance with Article 14 of Directives
                 96/48/EC and 2001/16/EC both modified by Directive 2004/50.

                 The specifications drafted by the Agency shall include: content, data format,
                 functional and technical architecture, operating mode, rules for data input and
                 consultation.

                 A working party was set up by the Agency, according to Regulation (EC)
                 881/2004 Article 3. 2, to draft these specifications. This document is a
                 deliverable of this working party.

                 When starting this project, the Agency made an inventory of the present
                 situation of vehicle registration. The results of this inventory were used as a
                 basis for drafting the NVR. The summary of this inventory is given in Annex 1.

                 A draft final report was issued by the Agency to the working party members
                 and to the NSA representatives for comments .

                 These comments have been considered and as appropriate incorporated into
                 this final report.


     1.2.   FIELD OF APPLICATION
                 The NVR covers vehicles:
                      •   authorised to be placed in service;

                      •   the case of existing vehicles, which was originally outside the scope of
                          this working party,

                      •   when, after a confirmation by the Article 21 Committee to extend the
                          scope of the NVR to existing vehicles (Meeting No 40, 23-24.03.2006),
                          the WP agreed on the details of such an extension (including processes,
                          transition period, etc) as detailed in section 7 of this document.
                 Particular items with the 1520 mm system will be discussed in the 1520 mm
                 feasibility study.




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2.           REFERENCES, TERMS AND ABBREVIATIONS
     2.1.    REFERENCE DOCUMENTS

                  The version referred to in this table is the last one to date.


                                             Table 1 : Reference documents


     Ref. N° Document Reference             Official Journal       Last Modification      Version
       [1]   Directive 96/48/EC (HS         L 235, 17.9.1996       Directive 2001/50/EC
             Interoperability)                                     L 164, 30.4.2004
       [2]   Directive 2001/16/EC (CR       L 110, 20.4.2001       Directive 2001/50/EC
             Interoperability)                                     L 164, 30.4.2004
       [3]   Directive 2004/49/EC           L 164, 30.4.2004
             (Safety)
       [4]   Regulation 881/2004            L 164, 30.4.2004
             (Agency)

       [5]   TSI “Rolling stock – Freight                          25.01.2005.            ST04 EN07 WAG
             Wagons”
             Revision                                              18.08.2005 (Not yet    01/16 DV55-EN01
                                                                   discussed in C21)
       [6]   TSI “Telematic Applications L 13, 18.01.2006          Regulation 62/2006     01/16-ST02 EN07
             for Freight”                                          23.12.2005
       [7]   Infrastructure and Rolling                            11.12.2003             01/16-DV18 EN01
             Stock Registers

       [8]   TSI “Traffic Operation and                            10.03.2006             ST03 EN07 OPE
             Management”

             Annex P                                               20.06.2005             DV51EN01
       [9]   Commission decision            L 245, 12.09.2002 19.05.2006                  ST16EN01 OPE
             2002/734/EC
             HS TSI Operation
      [10]   Commission decision            L 245, 12.09.2002 19.05.2006                  ST15EN02 RST
             2002/735/EC
             HS TSI Rolling Stock
      [11]   Request for Standard                                  12.05.2005             CR RST 52
             “Vehicle identification”
      [12]   Request for Standard                                  15.03.2005             CR RST 44
             “Marking of Freight
             Wagons”




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                                         Table 1 : Reference documents


Ref. N° Document Reference             Official Journal         Last Modification   Version
  [13]   Numbering and Coding                                   25.09.2005          CEN_WG2_draft_25-
         Structure for Railway                                                      09-2005_GP-KRAv62
         Vehicle Identification                                                     (3)
  [14]   Colin Buchanan and                                     Final report        May 2003
         Partners: Vehicle
         Identification and
         Registration
  [15]   Recommendation on a                                    06.03.2006          ERA/REC/SAF/02-
         European Identification                                                    2006
         Number (EIN) for Safety
         Certificates – Part A



2.2.     TERMS & ABBREVIATIONS
                Terms and abbreviations used or which could be used in this document are specified
                here.

                                              Table 2 : Terms


Term                            Definition
Central Body                    Body in charge of coordination at European level of some registration
                                process [8] which could be ERA or a Joint Committee
                                ERA/OTIF/OSJD.

Contracting Entity              Is responsible for the subsystem as a whole, but can be itself
                                responsible for the whole subsystem project and involved in the
                                production, or delegate or subcontract certain tasks related to a
                                subsystem (e.g. its design, manufacture or maintenance) to main
                                contractors whose activities contribute to fulfil essential requirements
                                of the TSI. (AEIF 01/16-DV Version EN09)

                                The contracting entity issues the EC declaration and applies for
                                approval.

European Identification         Numbering system proposed by the Agency to the Commission [15]
Number (EIN)                    to harmonise the identification of Safety Certificates which could be
                                extended to other documents.

Fleet Manager                   The overall controller of a wagon fleet. Primarily a fleet manager
                                controls the logistics of wagons (dispatching / disposition) from an
                                operational and asset management point of view. This role might be
                                part of the keeper's organisation. Since it is possible for keepers to
                                outsource certain tasks, some fleet managers might exist, who have
                                been assigned the operational fleet management tasks by certain
                                keepers.




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                                             Table 2 : Terms


Term                           Definition
Infrastructure Manager (IM)    Any body or undertaking that is responsible in particular for
                               establishing and maintaining railway infrastructure. This may also
                               include the management of infrastructure control and safety systems.
                               The functions of the infrastructure manager on a corridor or part of a
                               corridor may be allocated to different bodies or undertakings
                               (Directive 2001/14/EC)

Investigating Body (IB)        Each Member State shall ensure that investigations of accidents and
                               incidents are conducted by a permanent body. This body shall be
                               independent in its organisation, legal structure and decision-making
                               from any infrastructure manager, railway undertaking, charging body,
                               allocation body and notified body. It shall furthermore be functionally
                               independent from the safety authority and from any regulator of
                               railways [3].

Keeper                         A vehicle keeper is the party, who being the owner or having the right
                               to use it, exploits a vehicle economically in a permanent manner as a
                               means of transport and is registered as such in the Rolling Stock
                               Register. According to [8] & COTIF, Annex D “CUV” Article 2

Manufacturing Year             The year in which the vehicle leaves the factory (Defined by the WP)

Member States                  The EU Member States and the EFTA countries. The European
                               legislation gives the possibility to the Member States to allocate a
                               specific responsibility to a dedicated body. In the case of the NVR,
                               this responsibility is dedicated mainly to the NSA.

National   Safety    Authority The national body entrusted with the tasks regarding railway safety in
(NSA)                          accordance with Directive [3] or any national body entrusted by
                               Member States with these tasks in order to ensure a unified safety
                               regime for specialised cross-border infrastructure.

Notified Bodies (NoBo)         The bodies which are responsible for assessing the conformity or
                               suitability for use of the interoperability constituents or for appraising
                               the "EC" procedure for verification of the subsystems [1] [2].

Other Legitimate Body          Entity outside from the railway business whom the NSA gives
                               occasionally authorisation for access to the NVR.

Owner                          The unique entity that has the proprietary control of the vehicle as a
                               capital asset. The owner might not be the current keeper of the
                               vehicle but can appoint a keeper.

Railway Undertaking (RU)       Any public or private undertaking, the principal business of which is to
                               provide services for the transport of goods and/or passengers by rail
                               with a requirement that the undertaking must ensure traction; this also
                               includes undertakings which provide traction only. (Directive
                               2001/14/EC)




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                                                Table 2 : Terms


Term                             Definition
Railway Vehicle                  A vehicle suitable for circulation on its own wheels on railway lines
                                 with or without traction (COTIF);

Regulatory Body (RB)             Member States shall establish a regulatory body. This body, which
                                 can be the Ministry responsible for transport matters or any other
                                 body, shall be independent in its organisation, funding decisions,
                                 legal structure and decision-making from any infrastructure manager,
                                 charging body, allocation body or applicant. (Directive 2001/14/EC)

Renewal of a Subsystem           Any major substitution work on a subsystem or part subsystem which
                                 does not change the overall performance of the subsystem [1] [2].

Rolling Stock (RS)               The rolling stock [1] [2] shall comprise all the stock likely to travel on
                                 all or part of the trans-European conventional and high-speed rail
                                 network, including
                                     •  self-propelling thermal or electric trains;
                                     •  internal combustion or electric traction units;
                                     •  passenger carriages;
                                     •  freight wagons, including rolling stock designed to carry
                                        lorries.
                                 Each of the above categories must be subdivided into
                                    • rolling stock for international use;
                                    • rolling stock for national use;
                                    • taking due account of the local, regional or long-distance use
                                        of the stock
                                    • special vehicles
Sector Organisations             ALE, CER, EIM, ERFA, ETF, UNIFE, UIP, UIRR, UITP, as defined by
                                 the Art. 21 Committee in its meeting on 22.02.2005.

Subsystem                        The result of the division of the trans-European rail system, as shown
                                 in Annex II of [1] [2]. These subsystems, for which essential
                                 requirements must be laid down, are structural and functional.

Technical Specification     for The specifications by which each subsystem or part subsystem is
Interoperability (TSI)          covered in order to meet the essential requirements and ensure the
                                interoperability of the trans-European rail system [1] [2].

Third Countries                  The countries which are not defined as EU nor EFTA Member States.

Upgrading of a Subsystem         Any major modification work on a subsystem or part subsystem which
                                 improves the overall performance of the subsystem [1] [2].

Vehicle                          Any single item of rolling stock, for example a locomotive, carriage or
                                 wagon [8] [9].



            [x] : x refers to the reference N° of the document in 2.1. where the term is defined.




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                                     Table 3 : Abbreviations


Abbreviation            Definition
ABC                     Economic analysis in which you try to find those main ICs with a high
                        economic impact.
AEIF                    European Association for Railway Interoperability – AEIF.
ALE                     Autonomen Lokomotivführer-Gewerkschaften Europas.
Article 21 Committee    See Directive 96/48/EC, Article 21 also referred to as “the
                        Committee”.
BP                      Basic Parameter [1] [2].
CBA                     Cost Benefit Analysis, a calculation method of economic evaluation.
CCM                     Change Control Management.
CE                      CE marking; manufacturers are able to show that their products
                        comply with the essential requirements of all relevant European laws.
CEN                     European Committee for Standardisation.
CENELEC                 European Committee for Electro-technical Standardisation.
CER                     Community of European Railways and Infrastructures Companies.
CR                      Conventional Rail System.
DB                      Database
EC                      European Commission.
EC VVR                  European Centralized Virtual Vehicle Register
ED                      European Dynamics
EE                      Economic Evaluation.
EFTA                    European Free Trade Association
EIM                     European Infrastructure Managers.
EIN                     European Identification Number.
EN                      European Standard (Euro Norm).
prEN                    Project of a European Standard.
ERA                     European Railway Agency, also referred to as “the Agency”.
ERFA                    European Rail Freight Association.
ERTMS                   European Rail Traffic Management System.
ETCS                    European Train Control System.
ETF                     European Transport Federation.
ETSI                    European Telecommunications Standards Institute.



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                               Table 3 : Abbreviations


Abbreviation      Definition
EU                European Union.
GSM-R             The railway System for mobile communication.
GUI               Graphical User Interface
HS                High speed.
IB                Investigating Body.
IC                Interoperability Constituent [1] [2].
IM                Infrastructure Manager.
IN                Identification Number (of the vehicle).
INF               Infrastructure.
LCC               Life Cycle Costs (all the costs of a product or a system occurring in its
                  life cycle; e.g. the costs of design, manufacturing, operation,
                  maintenance and removal/disposal).
LR                Local Register
MS                Member State of the European Union.
NoBo              Notified Body ([1] and [2], Article 20).
NSA               National Safety Authority ([3], Article 16).
NSR               National Safety Rules [3].
NVR               National Vehicle Register.
OSJD              Intergovernmental Railway Organisation.
OTIF              Intergovernmental Organisation for International Carriage by Rail.
RB                Regulatory body.
RRS               Register of Rolling Stock.
RS or RST         Rolling Stock.
RU                Railway Undertaking.
SE                Synchronisation Engine
sNVR              Standard NVR
SO                Sector Organisations.
TE                Translation Engine
TSI               Technical Specification for Interoperability.
UIP               International Union of Private Wagon Owners.
UIRR              International Union of Combined Road-Rail Transport Companies.




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                                              Table 3 : Abbreviations


Abbreviation                     Definition
UITP                             International Association of Public Transport.
UNIFE                            Union of the European Railway Industries.
VKM                              Vehicle Keeper Marking ([8] and [9], Annex P).
VVR                              Virtual Vehicle Register
WP                               Working Party organised by ERA [4].
WS                               Web Service

        [x] : x refers to the reference N° of the document in 2.1. where the abbreviation is defined.




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3.            CONTENT OF THE NATIONAL VEHICLE REGISTER

     3.1.     THE USE OF THE NVR

            The WP has defined the main use of the NVR as follows:
                 Record of authorisation and the identification number allocated to vehicles,
                 Looking for European wide, brief information related to a particular vehicle,
                 Follow up legal aspects like obligations and juridical information,
                 Information for inspections mainly related to safety and maintenance,
                 Enable contact with the owner and keeper,
                 Check safety requirements before issuing Safety Certificate,
                 Follow up a particular vehicle.


     3.2.     ITEMS REQUIRED BY THE DIRECTIVES

            Article 14 of the Directive 1996/48/EC and the Directive 2001/16/EC require five items
            in the NVR.
            The WP considered these items as a basis and made the following decisions:

            (a) References to the "EC" declaration of verification and the issuing body

                 This declaration issued by the contracting entity contains information on EC
                 verification and the NoBo which performed it, as defined in Annex V of [1] and
                 [2].

                 The WP considers that the body responsible for the approval application is the
                 contracting entity.
                 The contracting entity will always remain the same in the NVR since the approval
                 procedure occurs only once. If this contracting entity is also the owner and sells
                 the vehicle, then there is an owner change in the NVR.
                 If this contracting entity is also a keeper and transfers its rights to a new keeper
                 then there is a keeper change in the NVR.

            (b) References to the Register of Rolling Stock mentioned in Article 24

                 Reference to the assessment of the vehicle and its characteristics as registered
                 in the register of RS.

                 The WP considered it as relevant but was not able to answer:
                      Which entity is responsible for it.
                      Since there are several entities which could be responsible for the RRS,
                      the WP decided to identify this entity in the NVR.
                      How this reference will be made.
                      Since there is no standard format for the RRS, this reference is an open
                      point. The WP decided to have an alphanumeric reference.

                 The WP considers it necessary to define clearly the purpose and the use of the
                 RRS. It believes that the RRS is much more important than the NVR but that it


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         will be more difficult to come to a common understanding and therefore it needs
         coordination at a European level.

    (c) Identification of the owner of the vehicle or the lessee

         The WP considers that the lessee is not relevant for the NVR as required in the
         Directives. The WP decided to register both the owner and the keeper.

         In the NVR the keeper must be registered in a manner such that there is always
         an entity registered as responsible for the vehicle.

         The keeper is a compulsory entry. (see section 6.1.3)

         The owner may request his details to be entered into the NVR for those vehicles
         which he owns and in that case, this must be provided.

         The WP agreed on a common definition of the owner as introduced in § 2.2.

         The WP considered that the keeper is the entity responsible for maintenance.

         A Vehicle Keeper Marking (VKM) is foreseen in Annex P.1. of OPE TSI. A central
         VKM register will be established by a central body. Until then the keeper will be
         registered in the NVR with all details described with sub-items 8.1. to 8.6. The
         sub-item 8.7. is used for VKM, which is optional.

         The Agency will be responsible of the management of the VKM register at the
         European level. The Agency shall ensure compatibility and consistency with
         other organisations such as OTIF and OSJD.


    (d) Any restrictions on how the vehicle may be used

         The WP considers that restrictions have to be coded to avoid translation
         problems and long text fields.

         However after a long discussion, the WP considered that it is not possible at this
         stage to code all restrictions on how the vehicle may be used.

         Nevertheless the proposed coding will be used (See Annex 2).

         For non-coded restrictions, each NSA has the right to register these restrictions
         as a text format. At the same time the NSA concerned should require that a
         corresponding new type of restriction code should be formulated.Therefore, it will
         be necessary to apply to the central body managing these codes.

         The Agency will be responsible of the management of these codes at the
         European level. The Agency shall ensure compatibility and consistency with
         other organisations such as OTIF and OSJD.




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       (e) Safety-critical data relating to the maintenance schedule of the vehicle

            Since the NSA shall ensure that vehicles are operated and maintained in a safe
            manner, each NSA has to define its needs regarding information it expects from
            the organisation responsible.

            The WP considered that because vehicle operators are increasingly moving
            away from simple distance and time based approaches to analysed maintenance
            (such as condition monitoring) there is little value in recording the details of
            maintenance schedules in the NVR. However, the WP agreed that the NVR
            should record a reference to the document setting out the maintenance plan for a
            vehicle so that this will enable NSAs to locate and obtain copies of these
            documents if they so require.

            The reference document is the maintenance file, which is part of the technical file
            for the vehicle approval process.

            A version of this reference document is recorded and any significant changes to
            the maintenance file should be addressed to the concerned NSA by the entity
            responsible for maintenance.

            This reference should enable the NSA responsible for the NVR to retrieve the
            maintenance schedule and the maintenance plan, If necessary through the
            organisation responsible. The WP considered that the keeper is the organisation
            responsible for ensuring the compliance of the maintenance file.


3.3.     ADDITIONAL ITEMS AGREED AS PART OF THE NVR

       Identification number (IN)

            Numeric identification code (as defined in Annex P of [8] [9]).
            The WP decided that:
                 A central body, will define the management of the numbering rules
                 according to Annex P of [8] [9].
                 The issuing of vehicle numbers will be decentralised and carried out by
                 each NSA at the national level.

            The Commission has decided that the Agency will be the central organisation
            which to be in charge of the management of the numbering system at the
            European level. The Agency shall ensure compatibility and consistency with
            other organisations such as OTIF and OSJD.


       Manufacturing year

            This information is considered as necessary when assessing a vehicle’s
            condition. The manufacturing year is defined as the year in which the vehicle left
            the factory.


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    Member State and NSA

         Identification of the Member State and the competent NSA where the vehicle has
         been authorised first.

         For a vehicle already registered in a third country and entering the European
         railway network for the first time, the first MS which authorises the placing in
         service of the vehicle registers it in its NVR (Article 14.4 [1] and [2]). Once such a
         vehicle is registered in a MS, only the list of the MS where the vehicle is
         authorised might be updated when further authorisations are given by other MSs.

    Placing in service

         Date of authorisation for placing in service of the vehicle and the validity of that
         authorisation.

         The date of authorisation is compulsory; whereas the validity of the authorisation
         is only compulsory when a limit has been stipulated.

         Distinction has been made between this date and the date of first operation.

         This item also contains information about any suspension of the approval for
         safety reasons (actions to be taken after incidents or accident investigations,
         failure, incorrect application of European specification, etc.). Only the first
         registering MS can suspend the authorisation. This MS (NSA) will release the
         suspension only when all safety corrective actions have been completed. If
         another MS requests a suspension it should address its request to the registering
         MS.

         The data format for suspension is ‘Yes’ or ‘No’ as:
               ‘Yes’ means there is a suspension of the authorisation,
               ‘No’ means there is not any kind of suspension

         A non registering NSA which has authorised a vehicle may ask for a suspension
         of its authorisation through the registering NSA. The latter will either update only
         the list of MS where the vehicle is authorised or suspend the registration of the
         vehicle.

         In addition a non-registering NSA when noting a condition of non-compliance to
         standards/maintenance may inform the registering NSA accordingly and request
         suspension of authorisation in general until the non-compliance to
         standards/maintenance has been rectified.

    Approval number

         Harmonised approval number for placing in service issued by an NSA.
         This item is considered as useful for file follow up.




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           The WP agreed on the use of an EIN for the approval number. This numbering
           system has been developed by the Agency for harmonising the identification of
           Safety Certificates [15]. The recommendation defines a different code for each
           type of document. Some reserved numbers could be used for each type of
           vehicle as defined in Annex 3.

       Withdrawal

           Date of official scrapping and/or other disposal arrangement.
           Withdrawal mode has been coded to avoid translation problems. (See Annex 4)

       MS where the vehicle is authorised

           List of the MS where the vehicle is authorised.

           The WP decided that the MS which first registered the vehicle shall keep this list
           updated in its NVR.

           Once the vehicle is authorised in another MS, it is compulsory to so register it.

           This item might be filled in by the initial NSA as the authorisation for placing in
           service based on the introduction of mutual acceptance and other procedures to
           allow the parallel authorisation of vehicles in several MS.

           This item could also be retrieved from the possible link between NVRs and other
           systems (OTIF, OSJD).

           The Channel Tunnel will be considered as the 26th Member State, thus the
           authorisation for a vehicle to run in the CT can then be listed in this item. (An
           updating of Annex P4 of OPE TSI will be necessary to allocate a country code for
           the Channel Tunnel.)

3.4.     HISTORICAL RECORDS

              All data in the NVR must be retained for 10 years from the date a vehicle is
              withdrawn and de-registered. As a minimum, for the first three years data
              must be available on-line. After three years data may be kept either
              electronically, in paper form or any other archival system. If at any time during
              the 10-year period an investigation involving a vehicle or vehicles is started,
              data relating to these vehicles must be retained beyond the 10-year period if
              so required.

              Any changes in the NVR should be recorded. The management of the
              historical changes could be solved by IT technical functions.




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4.          DATA FORMAT
     The following list presents the proposed data format of the NVR.
     The item numbering follows the logic of the proposed standard registration form in
     Annex 5.
     In addition, field(s) for comments may be added such as identification of vehicles
     under investigation (see section 3.4).

     Some data will be part of other registers (Register of Rolling Stock, Vehicle Keeper
     Marking Register, etc.). Definition of the architecture of the whole system, the links
     between the NVR and those registers will be specified in such a way so as to allow
     retrieval of the requested information when necessary.


      1.                          Identification number                  Compulsory
      Content          Numeric identification code as defined in Annex P of [8] [9].
      Format           1.1.    Number                                    12 digit
                       1.2.    Previous number (if applicable, for 12 digit
                               renumbered vehicle)



      2.                         Member State and NSA                    Compulsory
      Content          Identification of the Member State where the vehicle has been
                       authorised first and the competent NSA. For vehicles coming from a
                       third country, the MS where it was accepted first.
      Format           2.1.    Member State code as defined in           a 2 digit code
                               Annex P of OPE TSI
                       2.2.    Name of the NSA                           Text



      3.                           Manufacturing year                    Compulsory
      Content          The year in which the vehicle left the factory.
      Format           3.      Manufacturing year                        YYYY




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     4.                         EC reference                     Compulsory
     Content    References to the "EC" declaration of verification and the issuing
                body (the contracting entity).
     Format     4.1.     Date of the declaration                 Date
                4.2.     EC reference                            text
                4.3.     Name      of   the       issuing   body Text
                         (contracting entity)
                4.4.     Registered business number              Text
                4.5.     Address of the organisation,            Text
                         street and number
                4.6.     Town                                    Text
                4.7.     Country code                            ISO
                4.8.     Post code                               Alphanumeric code




     5.         Reference to the Register of Rolling Stock        Compulsory
     Content    Reference to the entity in charge of the register of RS
     Format     5.1.     Entity in charge of the register         Text
                5.2.     Address of the entity,                   Text
                         street and number
                5.3.     Town                                     Text
                5.4.     Country code                             ISO
                5.5.     Post code                                Alphanumeric code
                5.6.     E-mail address                           E-mail
                5.7.     Reference to the register of RS          Alphanumeric code


     6.                          Restrictions                    Compulsory
     Content    Any restrictions on how the vehicle may be used
     Format     6.1.     Coded restricitons                      Code
                         (see Annex 2)
                6.2      Non coded restrictions                  Text




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     7.                              Owner                    Optional
     Content    Identification of the owner of the vehicle
     Format     7.1.     Name of the organisation             Text
                7.2.     Registered business number           Text
                7.3.     Address of the organisation,         Text
                         street and number
                7.4.     Town                                 Text
                7.5.     Country code                         ISO
                7.6.     Post code                            Alphanumeric code



     8.                              Keeper                   Compulsory
     Content    Identification of the keeper of the vehicle
     Format     8.1.     Name of the organisation             Text
                8.2.     Registered business number           Text
                8.3.     Address of the organisation,         Text
                         street and number
                8.4.     Town                                 Text
                8.5.     Country code                         ISO
                8.6.     Post code                            Alphanumeric code
                8.7.     VKM – optional                       Alphanumeric code



     9.                       Maintenance file                Compulsory
     Content    Reference to the maintenance file
     Format     9.1.     Document name                        Text
                9.2.     Version                              Text



     10.                           Withdrawal                 Compulsory      when
                                                              applicable
     Content    Date of official scrapping and/or other disposal arrangement and the
                code for the withdrawal mode.
     Format     10.1.    Mode of disposal                     2 digit code
                         (see Annex 4)
                10.2.    Withdrawal date                      Date




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     11.              MS where the vehicle is authorised          Compulsory
     Content    List of the MS where the vehicle is authorised.
     Format     11.       Member State code as defined in List
                          Annex P of [8] [9]



     12.                       Approval number                    Compulsory
     Content    Harmonised approval number for placing in service, generated by
                NSA.
     Format     12.       Approval number                         Alphanumeric code
                                                                  based on EIN [15],
                                                                  see Annex 3.



     13.                      Placing in service                  Compulsory
     Content    Date of authorisation for placing in service of the vehicle and its
                validity
     Format     13.1.     Date of the authorisation               Date (YYYYMMDD)
                13.2.     Authorisation valid until               Date (included)
                13.3.     Suspension of authorisation             Yes/No




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5.           FUNCTIONAL AND TECHNICAL ARCHITECTURE

5.1.    INTRODUCTION
        The scope of this chapter is to investigate the possible implementations of the
        NVRs and the related services at European level.
        The NVR is intended to be a system which will:
         •   manage the registration of railway vehicles in all European Member States
         •   share national data with all authorised entities



5.2.    PRESENTATION OF THE CURRENT SITUATION
             In order to make an inventory of the current and planned situations, two
             questionnaires were sent to all the MS:
                  the aim of the first questionnaire was to gain a detailed view of the
                  registers currently in use;
                  the aim of the second questionnaire was to gain knowledge of the future
                  plans for the development of the NVR.

             The questionnaires have been sent to 23 MS, to Norway and to the Channel
             Tunnel (as an interested party).

             The results of the first questionnaire can be summarised as follows:

       5.2.1. CURRENT SYSTEMS IN USE

         •   7 countries have paper-based and/or one or more IT-based Local Registers
             (LR)
                    5 countries have only IT-based registers
                    2 countries have both IT-based and paper-based registers
         •   10 countries have one IT-based LR
                    6 countries have established registers
                    3 countries have a register under development
                    1 country has a register being upgraded
         •   3 countries have no IT-based LR
                    2 countries have paper based registers
                    1 country has no register at all
         •   4 countries have not answered.

             The result of the second questionnaire can be summarised as follows:




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       5.2.2. POSSIBLE USE OF THE EXISTING LR FOR THE NVR PURPOSE

          •   9 countries reported “NO”
          •   9 countries reported “YES”
          •   6 countries have not answered

       5.2.3. FUTURE ARCHITECTURE OF THE NVR

          •   9 countries will use the standard National Vehicle Register (sNVR) described
              in section 5.4.2.2
          •   7 countries will use the Translation Engine (TE) described in section 5.4.2.3
          •   2 countries will use the Synchronisation Engine (SE) described in section
              5.4.2.4
          •   6 countries have not answered

              As it can be seen, most of the MS already have one (or more) LR: some LR
              already contain all or part of the information required by the European
              Specifications for the National Vehicle Register (NVR), although in a non-
              standard, proprietary format. These LR are heterogeneous; differing in
              architecture, data structure, and working procedures.

              In some cases, no LR are in place; this means that, either there is no register
              at all, or that the “register” is more a paper-based record (in the form of Word
              or Excel files); these cases are equivalent to the situation of “MS has no LR”.

              As there is wide variation in the implementation of the national LR, it will be a
              complex task to retrieve information about the registered vehicles from more
              than one country. This situation is even more complex, when individual
              countries have more than one LR.

              The inventory of LR in the MS is summarised in Annex 6


5.3.     POSSIBLE SOLUTIONS
              Scenarios for the implementation of the NVRs have been analysed taking the
              different, existing national systems into account.
              Two main solutions have been identified and analysed:
                   centralized system
                   de-centralized system.

       5.3.1. CENTRALIZED SOLUTION
              The centralized solution will be composed of:
                   Database of records, which will serve both for the search service and as
                   the repository for NVR data in all MS.




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                A common software application, which will serve for both inserting and
                updating data into the system, and retrieving information from the
                system.


                                                                                      MS 1


                                                                           LR 1.1 LR 1.2     LR 1.3



                   Vehicle registration   Software Application                        MS 2


                      Vehicle query                                   DB
                                                                           LR 2.1



                                                                                      MS 3


                                                                           LR 3.1 LR 3.2




                                          Figure1 - Centralized solution


           Advantages
           1.    Easy operations for installation, maintenance and management.
                 Common, structured procedures and methods.
           2.    Simple and, therefore, faster problem detection, and root cause
                 identification and resolution.
           3.    Easy management of the system and its related variables. This is of
                 particular advantage, when launching the system and planning future
                 major system changes. Less complexity leads to lower project
                 management risks.
           4.    A centralized solution usually offers the most economical approach,
                 when taking into account the direct and easily quantifiable costs for all
                 stakeholders.

           Disadvantages
           1.    There is no straightforward and fair way to share the costs for a
                 centralized setup; including the costs for operations and updating.
           2.    In comparison to a de-centralized solution, the authorities in the MS
                 have less flexibility to structure their own overall data warehouse,
                 system to system integrations and evolution.
           3.    When the NVR records are hosted remotely, they will be essentially
                 part of other MS information retrieval systems. The response speed of


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                  these systems will decrease as a result of the need to retrieve
                  information from a remote repository.
           4.     Dependency on the centralized system will lead to higher levels of
                  investment in the size, performance, contingency features and reliability
                  of hardware, software and links.
           5.     A common centralized system and its software will be a compromise
                  solution. If the MS-specific requirements cannot be met, then there is a
                  possibility that some will use their own LR in parallel, so that problems
                  related to double entries, information synchronisation and updating may
                  need to be solved.
           6.     There are legal and practical implications related to data ownership and
                  confidentiality which need to be addressed.

     5.3.2. DECENTRALIZED SOLUTION
           The decentralized solution will be composed of:
            •   several independent NVRs, one for each MS
            •   one common software application, which will serve as the search service,
                connected to all the NVRs, and be used to retrieve data.

           Each MS will be responsible for managing its own NVR; it must provide the
           data required by the European Specifications for the NVR.

           The common application will serve as the search point for the enquiries and
           as a repository for common information and reference data managed by the
           central body.

                                                                                 MS 1
                                                                                                 Vehicle registration

                                                                        LR 1.1 LR 1.2   LR 1.3



                                   Software Application                          MS 2
                   Vehicle query                                                                 Vehicle registration

                                                                        LR 2.1



                                                                                 MS 3
                                                                                                 Vehicle registration

                                                                        LR 3.1 LR 3.2




                                         Figure 2 - Decentralized solution

           Advantages
           1.     Costs related to management of the NVR are transparent, known and
                  can be allocated easily. The extent and speed of custom functionality of
                  a NVR are managed by each MS.




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            2.    Data quality is directly controlled and validated by the national entity
                  which records the data. Responsibilities can be clearly identified.
            3.    Each national entity in charge of the NVR is fully aware of the
                  measures in place to ensure the confidentiality/privacy level of the
                  stored information. It will be easier to implement and audit compliance
                  with national regulations.
            4.    The central searching mechanism can access up-to-date records
                  directly from the national entity. As there will not be a central host for
                  the registered data, there will not be a risk of obsolete and non-
                  synchronized data.
            5.    The management of the overall system access and read/write is
                  drastically simplified.
            6.    Establishing and retaining the registers in the MS has a clear
                  advantage with respect to existing procedures and methods of
                  information treatment.

            Disadvantages
            1.    Management of installation, maintenance and upgrading of the system
                  is distributed on multiple sites.
            2.    Possible failure points and performance degrading factors occurring at
                  the multiple remote sites.
            3.    There will be significant organisational effort to harmonise different
                  formats of the same information into a common format.
            4.    Once the de-centralized solution has entered into operation, the time
                  required for implementing system modifications will be longer than in
                  the case of a centralized solution.

5.4.   DESCRIPTION OF THE RECOMMENDED SOLUTION
            After weighing up the advantages and disadvantages of the two solutions, it
            has been agreed to recommend the decentralized solution.

            The concept is to implement a search engine on distributed data, using a
            common software application, which allows Users to retrieve data from all the
            LR in the MS.
            NVR data is stored at national level and will be accessible by using a web-
            based application (with its own web address).

            The European Centralized Virtual Vehicle Register (EC VVR) is composed of
            two sub-systems:
                 the Virtual Vehicle Register (VVR), which is the central search engine in
                 ERA
                 the National Vehicle Register(s) (NVR), which are the LR in the MS.




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                                                                         EC VVR
                                                                                           MS 1



                                                                                     NVR 1

                                                                                  LR 1.1 LR 1.2   LR 1.3




                                                                                           MS 2



                                                                    VVR              NVR 2
                              Search 3 Search 2 Search 1

                                                                                  LR 2.1
                    User




                                                                                           MS 3



                                                                                     NVR 3

                                                                                  LR 3.1 LR 3.2




                             Figure 3 – EC-VVR recommended solution


     5.4.1. PURPOSE OF THE PROPOSED SYSTEM
           The proposed system is based on two complementary sub-systems that
           enable searches on data which are stored locally in all MS.

           The proposal consists of:
                establishing computerised registers at the national level and opening
                them to cross-consultation; this is an improvement compared to the
                current situation;
                replacing paper registers by computerised records. This will allow the MS
                to manage and share information with other MS.
                allowing connections between the NVRs and the VVR, using common
                standards and terminology.

           The main principles of this system are:
                all NVRs will become part of the computer based, network system;
                all MS when accessing the system will view the common data;
                the electronic system should support daily operations;
                double registration of data and the related possible errors will be avoided;
                up-to-date data.

     5.4.2. PROPOSED FUNCTIONALITY
           This section provides an overall description of the proposed system, and its
           sub-components:
                Virtual Vehicle Register – VVR;
                Standard National Vehicle Register – sNVR;



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                National Vehicle Register and Translation Engine – NVR-TE;
                Standard National Vehicle Register and Synchronisation Engine – sNVR-
                SE.

   5.4.2.1. VIRTUAL VEHICLE REGISTER – VVR
           A central search engine is envisaged; this is the VVR, which has two
           functions:
                search point for the enquiries
                repository for common information and some reference data, managed
                by ERA.

           It should be stressed that no data on the vehicles will be stored inside
           the VVR, only reference data will be stored. The data on the vehicles will be
           kept in their respective NVR.
           The VVR will make the distributed NVRs transparent to the users and permit
           information to be retrieved in an efficient manner.

           Components
           The VVR has the following components:
           Data Layer
                •   A Database storing
                           the reference data
                           any necessary data required by the software system itself
                           the necessary user data for ensuring the access control
                           mechanism to the VVR sub-system
                           temporary information necessary for the software to perform
                           the requested tasks with the required processing speed.
                • A Database Interface, acting as a gate to perform basic actions on
                  the database such as insertions, deletions and updates.
           Business Layer
           Implements the business logic of the VVR.
           Presentation Layer
                •   A Search Graphical User Interface (GUI), implemented as a web
                    search application, to allow the users to use all VVR features:
                            run searches and create reports
                            execute additional functions related to vehicle registration
                            (i.e., request of a new technical code)
                            save the results in a chosen format.
                •   An Administration GUI, to manage the system locally
                          Access management, properly linked and integrated with the
                           ERA access and authorisation system:
                               • role management:: add/delete/modify the roles; each
                                   role granting access to a or all subsets of the data



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                                          and allowing the execution of all or some of the VVR
                                          functions;
                                       • user management:: add/delete users; each user will
                                          be assigned a specific role, which will permit access
                                          to that information he is allowed to view and to
                                          execute those actions he is allowed to perform;
                                   Reference data management: add/delete/update all the
                                   reference data and notify each MS of any changes.

           Interaction
           The VVR will interact with the system in two ways:
                      •   human interaction with the Search GUI
                      •   automated interaction with the Business Layer, which will expose an
                          external interface - by means of secure Web Services (WS) - to
                          permit MS applications to interact directly with the VVR’s functions
                          (without making use of the Search GUI).

           Figure 4 depicts the basic components and interactions of the VVR:
                                                                      Common reference data
                            VVR                                       Temporary and system data
                                                            DB




                                                            DB
                                                        INTERFACE

                                                     BUSINESS LOGIC

                                                            WS

                               Search GUI                                 Administration GUI


           VVR user                                                                                  VVR Administrator




                                                    AUTOMATED PROCESS
                                                            or
                                                  HOMEGROWN APPLICATION


                                            Figure 4 - VVR implementation


   5.4.2.2. STANDARD NATIONAL VEHICLE REGISTER – SNVR
           For the MS, which do not have an LR in place, or which require an interim
           system to use while establishing an NVR; it is envisaged to provide a basic,
           standard NVR (sNVR).

           This sNVR implements (both in structure and functionalities) the European
           Specifications of the NVR.



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           Components
           The sNVR is composed of the following sub-components:
           Data Layer
                •   A database storing
                            information on the vehicles in the common format defined in
                            section 4;
                            copies of reference data synchronised with the centrally
                            managed data in the VVR;
                            necessary system data;
                            temporary information, necessary for the system to perform
                            the requested task in the best way.
                            necessary user data for ensuring the access control
                            mechanism to the NVR sub-system only;
                • A database interface, acting as a gate to perform basic actions such
                  as insertions, deletions and updates.
           Business Layer
           Implements the business logic of the NVR.
           Presentation Layer
                •   A GUI, to manage the system locally and to perform vehicle
                    registration
                              Access management:
                                        role management: add/delete/modify the roles
                                        which grant access to a or all subsets of the data
                                        and allowing the execution of a or all subsets of
                                        the NVR functions;
                                        user management: add/delete users, each user is
                                        assigned to the correct role allowing him to have
                                        access only to the information he is allowed to see
                                        and to execute only the actions he is allowed to
                                        perform;
                              Vehicle registration, according to the procedure described in
                              section 6;
                              Run searches and create reports on vehicle data stored
                              locally and save the results in a chosen format.

           Interactions
           Both human and automated interactions are foreseen.

           Connection with the VVR
           The VVR will access the sNVR in read-only mode: this will be done through
           the Business Layer via a direct connection.




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           Similarly, the sNVR will consult the VVR in read-only mode: this will be done
           using the interface provided by the WS, which is part of the VVR’s Business
           Layer.

           Figure 5 depicts the sNVR’s components:

                                                                RS national data
                                    sNVR                        Temporary and system data
                                                    DB




                                                     DB
                                                 INTERFACE

                                               BUSINESS LOGIC




                                                                   GUI
                      VVR
                                                                                               sNVR User
                                                                                            sNVR Administrator




                                             AUTOMATED PROCESS
                                                     or
                                           HOMEGROWN APPLICATION


                            Figure 5 - Standard NVR implementation


   5.4.2.3. NATIONAL VEHICLE REGISTER AND TRANSLATION ENGINE – NVR–TE
           Some MS already have LR for vehicle registration in place. These LR have
           been implemented under various technologies in each MS. They already
           contain all or part of the information required by the European Specifications
           of the NVR in a proprietary format. Therefore, it may not be necessary to
           install a completely new NVR. A translation mechanism might be sufficient.
           When activated by an incoming request from the VVR, the Translation Engine
           (TE) would query the LR for the requested data and translate them, in real-
           time, into a common format.
           The VVR will then display this information to the user in the proper format.
           In practice, this TE decouples the proprietary LR from the VVR, revealing a
           common interface and returning data in a common format. The benefits of this
           solution are twofold:
                •   MS do not have to replace or drastically change their LR
                •   MS remain responsible for their data and do not need to change their
                    internal organisation.

           Components
           The TE is composed of:
                •   a Translator: the real-time process that searches the requested
                    information in the LR and translates them into the common format;



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                •     a WS: allowing the VVR to call up the TE from the remote site.

           It is important to stress that the Translator is dependent on the specific
           technology used by the LR in the MS. Therefore, the MS must ensure that any
           subsequent changes in the LR design will need to include provisions for
           adapting the TE.
           Interactions

           No direct human interaction with the system is foreseen. Users will be using
           the VVR’s Search GUI to make queries, and the VVR will call up the WS of
           the remote system.

           Figure 6 depicts the components of the TE:
                                   TE


                         VVR                WS                                 LR

                                                                                              LR User


                                                         TRANSLATOR




                                     AUTOMATED PROCESS
                                             or
                                   HOMEGROWN APPLICATION


                                     Figure 6 – Translation Engine

           The sequence of events is as follows:
           1.       The VVR makes a request by calling up the remote WS.
           2.       The WS triggers the translation mechanism.
           3.       The Translator searches for the requested information and returns the
                    results, in the common format, to the WS.
           4.       The WS returns the information to the VVR.

           Analysis of the solution
           Advantages:
           1.       The VVR receives up-to-date information, as the translation process is
                    done in real time.
           2.       The TE is easy to install, deploy, operate and maintain.

           Disadvantages:
           The Translator will have query response time problems if voluminous data
           needs to be converted. The response time to the VVR user will be slow too.




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   5.4.2.4. STANDARD NATIONAL VEHICLE REGISTER AND SYNCHRONISATION
           ENGINE – SNVR–SE

           For those MS which already have an LR in place, but are lacking some
           information required by the NVR; a different solution can be proposed. The
           existing LR are retained, but a sNVR and a Synchronisation Engine (SE) are
           installed locally. The VVR is connected directly to the sNVR, and is updated
           by the SE with information from the LR.
           Missing information must be added and updated manually via the sNVR.
           If at a later stage, the MS decides to use the sNVR for vehicle registration
           instead of the LR; this solution will allow the MS to dispense with the SE, but
           keep the sNVR and the LR separated, and a smooth transition from LR to
           sNVR will be possible.

           Components
           The SE can be seen as a Translator that periodically synchronises the sNVR
           with the LR, rather than working in real time.
           It is important to stress that this Translator is also dependent on the
           technology used by the LR in the MS.

           Interactions
           Both human and automated interactions are foreseen.

           Connection with the VVR
           The information required from the NVR by the European Specification is
           displayed by the external interface of the sNVR subsystem. The VVR will be
           directly connected to the sNVR, using its database interface for incoming and
           read-only calls.

           Figure 7 depicts the components of the sNVR-SE:


                                   sNVR Administrator




                                                                 SE


                      VVR               sNVR                                       LR

                                                                                              LR User


                                                                      TRANSLATOR




                                AUTOMATED PROCESS
                                        or
                              HOMEGROWN APPLICATION


                               Figure 7 – Synchronisation Engine

           The sequence of events is:


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            1.         The VVR makes a request to the sNVR via its database interface.
            2.         The sNVR returns the requested data.
            3.         The Translator periodically synchronises the sNVR with data from the
                       LRs.

            Analysis of the solution
            Advantages

            The VVR is not held up by the slower Translator, as it gets the information
            directly from the sNVR; therefore the response to the user is comparatively
            fast.
            Disadvantages
            1.         Extra space and maintenance effort is necessary for the additional sNVR
                       subsystem.
            2.         Data must be frequently updated. There is a risk that data will not be up
                       to date.

5.5.    SYSTEM ARCHITECTURE

       5.5.1. GENERAL SCHEME
            General scheme of the composite solution and the flow of information are
            described in Figure 8.


                                        VVR Administrator                           NVR
                                                                                                             Vehicle registration
                                                            Reference data
                                                             management




                                                                                 Standard NVR
                                                                                                                                                       NVR User




                                                                                            NVR
                        Vehicle query                   VVR                                                             Vehicle registration
                                                                                     TE         Legacy LRs
            VVR User
                                                                                                                                                       NVR User




                                                                                                  NVR
                                                                                                                                    Vehicle registration
                                                                                 Standard NVR      SE         Legacy LRs

                                                                                                                                                       NVR User




                                                                       Figure 8 – General Scheme


       5.5.2. INTERCONNECTION OF VVR AND NVRS
            The internet connection between the VVR and the NVR uses either the HTTP
            protocol for the WS connection or the TCP/IP protocol for calls within a
            common security domain. All connections have to be secured by SSL
            encryption and be based on the concept of trusted servers, which includes:


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                 •   mutual authentication of servers
                 •   guaranteed integrity of messages exchanged between servers
                 •   encryption of exchanges between servers
                 •   control of access rights between end users and application modules.

            The distributed NVRs are transparent to the users via the VVR. It is important
            that all the connections between the VVR and the NVRs are consistently up
            and running. Nevertheless, as a result of hardware failures or communication
            problems, one or more connections may be down. As feedback to the VVR
            users and to resolve the problem rapidly, it is proposed that the VVR should
            include functions for automatically monitoring each connection. This will
            inform:
                 •   the NVR that the connection link is down, so that the recovery
                     procedure can start as soon as possible
                 •   the VVR user, to indicate that the results of enquiries might be
                     incomplete as a result of the temporary non-availability of the NVR of
                     one or more MS.

       5.5.3. INTERNAL NVR CONNECTIONS
            Internal connections between the components of the NVR vary according to
            its implementation:
                 •   Standard NVR (sNVR): the general architecture has been defined but
                     the specific implementation technology has not yet been specified.
                 •   Legacy systems: it is up to each MS to define the internal
                     connections according to the technology adopted for the NVR
                     implementation.

5.6.    USE CASES
            As specified in section 5.4, the recommended solution is composed of 2 sub-
            systems: the VVR and the NVR.

            Use cases at the level of the VVR have been identified. They are presented in
            Annex 6.

            Use cases at the level of the NVR will be developed at a later stage.




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6.          OPERATING MODE

     6.1.        STANDARD FORM FOR REGISTRATION

                 The WP decided to use a standard form for the registration of vehicles. The
                 proposed form is in Annex 5.

                 6.1.1.   Application for registration

                 The entity applying for a vehicle registration ticks in the box corresponding to
                 “New registration”. It then fills in the first part of the form with all the necessary
                 information from item 2 to item to 9 & item N°11 and then forwards it to the:
                       NSA of the MS where it intends to approve the vehicle,
                       NSA of the first MS where it intends to operate for a vehicle coming
                       from a third country.

                 6.1.2.   Issuing a registration and a vehicle identification

                 The NSA concerned delivers the registration with:
                      Items N°1, 12 & 13.

                 It is possible to have an individual registration form per vehicle or a single form
                 for a whole set of vehicles of the same series or order attached with a list of
                 the vehicle numbers.

                 6.1.3.   Changing one or more registration item(s)

                 The entity applying for a change of its vehicle registration item(s):
                 • ticks in the box corresponding to “Modification”,
                 • fills in the actual vehicle N° (item N°0),
                 • ticks in the box related to the modified item(s),
                 • indicates the new content of the modified item(s),and then forwards the
                   form to the NSA.

                 The use of the standard form might not be sufficient for certain cases. If
                 necessary, the NSA concerned may, therefore use additional documents
                 either paper or electronic.

                 Should a keeper change, it is the responsibility of the keeper currently
                 registered to notify the NSA and the NSA has to notify the new keeper of the
                 change of registration. The former keeper is only removed from the NVR and
                 relieved of his responsibilities when the new keeper has acknowleged the
                 acceptance of keeper status.

                 Should an owner change, it is the responsibility of the owner currently
                 registered to notify the NSA. Then the former owner will be removed from the
                 NVR. The new owner may request his details to be entered into the NVR.




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                According to the modification, the NSA delivers its authorisation with possibly
                a new approval number and/or IN.


                6.1.4.   Withdrawal of registration

                The entity applying for a withdrawal of registration ticks in the box
                corresponding to “Withdrawal”
                It then fills in the item N° 10. and forwards it to the NSA.
                The NSA delivers the withdrawal registration by filling in the date of withdrawal
                and acknowledging the withdrawal to the said entity.

6.2.            ACCESS RIGHTS TO THE DATA OF THE NVR OF A GIVEN MS ‘XX’

             Entity           Definition             Read rights          Update       Item     All
                                                                          rights       N° 7   other
                                                                                              items
       NSA ‘XX’          National Safety          All data               All data       4        4
                         Authority in MS ‘XX’
       Registration      Entity entitled by the   All data in its own    All data in    3      3
       service           NSA ‘XX’ to keep its     database               its own
       provider          NVR                                             database
       Other NSAs        Other NSAs in other      All data               None           2      2
                         MS
       ERA               European Railway         All data               None           2      2
                         Agency
       Keepers           Vehicle Keeper           All data of vehicles   None           1      1
                                                  for which he is
                                                  keeper
       Fleet             Managing vehicles        Vehicles for which     None           1      1
       managers          as appointed by the      he has been
                         / Keeper                 appointed by the
                                                  keeper
       Owners            Owner of the             All data of vehicles   None           1      1
                         vehicle                  for which he is
                                                  owner
       RUs               Train Operator           All data based on      None           0      1
                                                  vehicle number
       IMs               Infrastructure           All data based on      None           0      1
                         Manager                  vehicle number
       IBs and RBs       Checking and             All data for           None           2      2
                         auditing bodies          vehicles being
                         notified by MS           checked or audited
       Other             All casual users         To define              None           0      1
       legitimate        recognised by NSA        occasional,
       users             or ERA                   duration could be
                                                  limited

       Access rights defined for the NVR of NSA ‘XX’ of a MS ‘XX’


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    Access code   Type of access
        0         No access
        1         Restricted consultation (conditions in column 3 ‘Read rights’)
        2         Unrestricted consultation
        3         Restricted consultation and updating
        4         Unrestricted consultation and updating

    Where more than one Registration Service Provided is used by an NSA each RSP
    shall have full access and update rights only for the data in its own database.
    Therefore, the access coding is shown as 3.




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7.              SCOPE EXTENSION TO EXISTING VEHICLES

7.1.            CONSIDERED DATA CONTENT

                The WP considered each of the 13 retained items in order to specify which of
                them are compulsory and which are not.

                Item N°1 – Identification Number (Compulsory)

                Case of vehicles already numbered with a 12 digit identification

                Countries where there is a unique country code:

                The vehicles should keep their current number. The UIC 12 digit number
                should be registered as such without any modification.

                Countries where there are both a main country code and a specific code
                allocated formerly by UIC:

                       Germany with the main country code 80 and the specific code 68 for
                       AAE (Ahaus Alstätter Eisenbahn);
                       Switzerland with the main country code 85 and the specific code 63 for
                       BLS (Bern–Lötschberg–Simplon Eisenbahn);
                       Italy with the main country code 83 and the specific code 64 for FNME
                       (Ferrovie Nord Milano Esercizio);
                       Hungary with the main country code 55 and the specific code 43 for
                       GySEV/ROeEE (Győr-Sopron-Ebenfurti Vasút Részvénytársaság /
                       Raab-Ödenburg-Ebenfurter Eisenbahn).

                The vehicles should keep their current number. The UIC 12 digit number
                should be registered as such without any modification. 1

                The IT system has to consider both codes (main country code and specific
                code) as related to the same country.

                Case of vehicles used in international traffic without a 12 digit
                identification

                A two step procedure should apply:
                      To allocate in the NVR a 12 digit number (according to OPE TSI) that
                      shall be defined according to the vehicle’s characteristics. The IT
                      system should link this registered number to the current vehicle
                      number.
                      To physically apply the 12 digit number to the vehicle itself within a
                      period of 6 years.


 1
       However any new vehicles placed in service for AAE, BLS,FNME and GySEV/ROeEE should be given
       the standard country code.


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           Case of vehicles used in domestic traffic without a 12 digit identification

           The above mentioned procedure might apply for vehicles used solely in
           domestic traffic on a voluntary basis.

           Item N°2 – Member State and NSA (Compulsory)

           The Item ‘Member State’ must always refer to the MS where the vehicle is
           being registered in its NVR.

           The Item ‘NSA’ refers to the entity which has placed the vehicle in service.

           Item N°3 – Manufacturing Year
           Where the manufacturing year is not known precisely the approximate year
           should be entered.

           Item N°4 – EC Reference
           Normally such a reference does not exist for existing vehicles except with a
           handful of HS RS.
           To be recorded only if available

           Item N°5 – Reference to the RRS
           To be recorded only if available

           Item N°6 – Restrictions
           To be recorded only if available

           Item N°7 – Owner
           To be recorded only if available and/or required

           Item N°8 – Keeper (Compulsory)
           Normally available and compulsory

           Item N°9 – Maintenance file
           This information is available whether in the former registering national railway
           register or in the keeper’s database.
           This item is not compulsory, but the keeper has to supply the information if
           necessary.

           Item N°10 – Withdrawal
           Applicable as such.

           Item N°11 – MS where the Vehicle is authorised
           Normally RIV wagons, RIC coaches and vehicles under bilateral or multilateral
           agreements are registered as such.
           If this information is available it should be recorded accordingly.

           Item N°12 – Approval number
           To be recorded only if available



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            Item N°13 – Placing in service (Compulsory)
            Where the date of placing into service is not known precisely, the approximate
            year should be entered.

7.2.        PROCEDURE

            The former entity which was and might still be responsible for vehicle
            registration should make all the information available to the NSA of the
            country where this entity is located.

            The NSA takes over the information in its NVR.

            The NSA informs all the involved parties when the information transfer is
            completed. At least the following entities should be informed:
                  The former entity responsible for vehicle registration
                  The keeper
                  ERA


7.3.        TRANSITION PERIOD

            Making registration information available to NSA

            The former registering entity responsible for vehicle registration should make
            all required information available according to an agreement between itself
            and the NSA.

            The data transfer should be done at least within 12 months following the
            Commission’s decision. If possible electronic format should be used.

            Vehicles used in international traffic

            The NSA of each MS should take these vehicles into its NVR within 2 years,
            at the latest, after the Commission’s decision.

            Vehicles used in domestic traffic

            The NSA of each MS should take these vehicles into its NVR within 3 years,
            at the latest, after the Commission’s decision.




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  ANNEX 1 – SURVEY ON EXISTING ROLLING STOCK REGISTRATION


1. Introduction

            The survey was sent by ERA to the National Safety Authorities or to their
            predecessor organisations in all member states, except Cyprus, Malta and
            Estonia where such organisations have not been reported. In addition, the
            questionnaire was also sent to Norway. Thus a total of 23 countries.

            The Agency has received 21 answers from the above mentioned countries.

            In order to provide the working party with a comparative analysis at European
            level and a detailed presentation of the state of the art in each Member State,
            this report consists of two parts: the first part is a general summary, whilst the
            second contains the analysis of the existing registers and their possible
            migration to the NVR.

2. General summary of the survey

   2.1. Register of vehicle type authorisation

      The following 5 countries have no register of issued authorisations:
             DK, HU, IE, SK, SI
      Each of the following 16 countries has a register but with varied accessibility
      possibilities:
      • In 8 countries the register is not openly accessible (accessibility limited to one
         entity):
             AT, BE, CZ, DE, FR, PL, PT, NO
      • In 5 countries the register is accessible with restrictions:
             ES, FI, LT, LV, IT, UK
      • In two countries the register is totally or partially accessible:
             NL, SE

      It appears that, to meet the requirements of the Directives, changes will be
      necessary:
      o Creation of a register of RS being placed in service
      o Modification of the registers’ accessibility

   2.2. Number of items related to one vehicle in the existing registers

      Country AT     CZ    FI   DE    ES    FR     IT    LV    LT   NO   PL   PT    SE   UK
      Items   30     10    25   50    50    98     10    10    50   13   50   6     15   140

      There are 7 countries where the number is equal to or lower than 25 and 7 countries
      where the number is higher than 25 items.




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     These figures show that the number of registered items varies widely. The registers
     with numerous items are generally used for operational purposes too. It appears that
     they are a sort of combination of the future NVR and the RS register.

     According to the Directives, there are 6 mandatory items in the NVR:
        • Item 1 : alphanumeric identification code
        • Item 2 : references to the EC declaration of verification and the issuing body
        • Item 3 : references to the register of rolling stock
        • Item 4 : identification of the owner of the vehicle or the lessee
        • Item 5 : any restrictions on how the vehicle may be used
        • Item 6 : safety-critical data relating to the maintenance schedule of the vehicle

  2.3. Vehicle numbering

                Loco     Coach    Wagon                         Loco   Coach    Wagon
       AT       UIC      UIC      UIC                    IT     OWN    UIC      UIC
      BE        OWN      UIC      UIC                    LV     OSJD   OSJD     OSJD
      CZ        OWN      UIC      UIC                    LT     OSJD   OSJD     OSJD
      DE        UIC      UIC      UIC                    NO     OWN    OWN      UIC
      DK        OWN      OWN      UIC                    PT     UIC    UIC      UIC
      ES        UIC      UIC      UIC                    PL     UIC    UIC      UIC
      FI        OWN      OWN      UIC                    SK     UIC    UIC      UIC
      FR        OWN      UIC      UIC                    SI     UIC    UIC      UIC
      HU        UIC      UIC      UIC                    SE     OWN    UIC      UIC
      IE        OWN      OWN      OWN                    NL     OWN    UIC      UIC
                                                         UK     OWN    OWN      OWN

     The 12 digit UIC numbering already exists in most member states, at least for freight
     wagons. The UK uses UIC numbering for international wagons.

     The former UIC numbering system has been adopted in the CR OPE TSI.

     Therefore instead of introducing a new system, we should adopt for Item N°1 the
     UIC numbering system.

  2.4. Yearly new entries in the register

     As the scope of the NVR is new, upgraded or renewed vehicles, estimation of the
     yearly new registrations at European level has been made.

     The result is as follows:

                       2 000 passenger coaches
                       14 000 freight wagons
                       2 500 traction units
                       900 other vehicles
                       19 400 vehicles in total

     According to these figures, an intensive information flow can be expected between:


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          •   the different NVRs (via the NSA?),
          •   the authorised users,
          •   the Agency.

      This would need a permanent availability of the information of each NVR and
      possibly the other registers to which they will refer.

   2.5. Registration fees

   14 countries charge for vehicle placing in service authorisation,
   6 countries do not charge.

   Without prejudice to subsidiarity principle, a common registration procedure including
   registration fees can be proposed.

   2.6. Supervision of maintenance

   In 14 countries the maintenance is supervised by the same authority giving authorisation
   for placing in service.
   In 7 countries the maintenance is supervised by other institutions.

   As item 6: “safety-critical data relating to the maintenance schedule of the vehicle” is
   compulsory for the NVR, there is a need to specify which entity in the future will
   supervise the maintenance.

   Effectively, the new organisation within the EU will be as follows:
   The No Bo checks the conformity of the RS including its maintenance file,
   The NSA gives its agreement and authorises the placing in service of the RS.

   2.7. Vehicle Keeper Marking

   6 countries have a VKM register,
   15 countries do not have a VKM register.

   The Vehicle Keeper Marking represents complementary information on the vehicle
   number itself. For operational purposes, this information is very important because
   keepers have rights and duties on their RS. The VKM is mainly referred to in the CR
   OPE TSI. This TSI foresees a central body in charge of managing and distributing the
   VKM; however this TSI is not yet in force. The fact that some member States have
   started to distribute VKM without a European-wide control could bring conflicts.
   To overcome this unregulated situation, it seems obvious that the working party has to
   deal with this matter in drafting the NVR.

3. Analysis of existing registers and their possible migration to the NVR

   3.1. Analysis of the content of existing registers

   The most frequently used items in the existing registers can be classified into 2 groups:
      • General data


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     •   Technical data

     3.1.1.     General data
        o     Type identification
        o     Vehicle number
        o     Year of manufacture
        o     Type marking
        o     Manufacturer
        o     Owner
        o     Category (wagon, coach…)
        o     Approval number
        o     Date of placing in service
        o     Restrictions (geographical)
        o     Number of vehicles in a train set

              Among these data, only the following ones are compulsory requirements of
              the Directives:

         o Vehicle number
         o Owner
         o Restrictions (geographical)

              The other data should be discussed if necessary for the NVR. Special
              attention should be paid to the information listed below:
                      General information (about the registration itself and about the lifecycle
                      of the vehicle)
                      Identification of the Rolling Stock
                      Identification of persons or organisations involved
                      Safety critical parameters

     3.1.2.      Technical data
        o     Maximum allowed speed (loaded)
        o     Coupling
        o     Overall length (over buffers)
        o     Tare
        o     Minimum radius curve
        o     Internal axles/bogie distance
        o     Gross load weight
        o     Maximum payload
        o     Maximum design speed
        o     Max allowed speed solo/empty
        o     Brake type
        o     Hand brake type
        o     Brake weight G
        o     Kinematic gauge
        o     Pivot distance
        o     Number of axles

     For HS RS and CR RS Freight wagons, most of the technical data are in the RS
     register (as the relevant TSIs or their revised versions will be published in the Official


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     Journal of the EU). Therefore there is no need to have them registered again in the
     NVR, only reference to them need be made in the NVR.

     For traction units and passenger coaches, the technical data should be in the RS
     register of each respective TSI to be drafted by the Agency. Considering that:
         o these TSIs will not be in force for some years,
         o the Member States currently have to register only new vehicles,
      the WP should propose appropriate measures.

  3.2. Possible migration to the NVR

     Considering the minimum requirements of the Directives for the NVR there are two
     sets of information in the existing registers:
        o Available information
                o Vehicle number
                o Owner
                o Restrictions (geographical)
                o Technical information (considered as ‘reference to the register of rolling
                   stock’)
                o Approval number (considered as ‘references to the EC declaration of
                   verification and the issuing body’)

        o Apparently non available information
             o Safety-critical data relating to the maintenance schedule of the vehicle.
                       Safety-critical data could mean parameters linked to
                       checks/operations to be effected to allow the vehicle to run.
                       Maintenance schedule means last date of maintenance
                       operation/check and periodicity of this operation/check.
                       Which entity is in charge of keeping this data and how is it
                       available?

     As already being discussed, handling former registers and a new NVR separately will
     not be satisfactory either for administrative purposes or for operational purposes. A
     strong recommendation to extend the scope of the NVR to all existing vehicles
     should be made. If this is validated, particular attention should be paid to:
         • the vehicle numbering,
         • the take-over of the existing information: data quantity and availability,
         • the non-interoperable vehicles.




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       ANNEX 2 – RESTRICTIONS CODING
        Principles
        Restrictions (technical characteristics) already recorded in other Registers to which
        access is given to NSAs do not need to be repeated in the NVR.

        Acceptance in cross-border traffic is based on:
              the information coded in the vehicle number,
              the alphabetical coding,
              and the vehicle marking.
        Therefore such information does not need to be repeated in the NVR.

        Structure
        The codes structured for three levels:
             1st level: Category of restriction
             2nd level: Type of restriction
             3rd level: Value or specification.

  Cat    Type            Value                                                     Name

   1                                    Technical restriction related to construction

           1          Numeric (3)           Minimum curve radius in meters

           2               -                Track circuit restrictions

           3          Numeric (3)           Speed restrictions in Km/h (Marked on wagons and coaches but not marked on locos)

   2                                    Geographical restriction

           1       Alphanumeric (3)         Kinematic gauge (coding WAG TSI annex C)

           2           Coded list           Wheelset gauge

                           1                    Variable gauge 1435/1520

                           2                    Variable gauge 1435/1676

           3               -                No CCS on board

           4               -                ERTMS A on board

           5         Numeric (10)           B System on board*

   3                                    Environmental restrictions

           1           Coded list           Climatic zone EN50125/1999

                           1                    T1

                           2                    T2

                           3                    T3

   4                                    Restrictions on use included in the approval certificate

           1               -                Time based

           2               -                Condition based (distance travelled, wear, etc)

* If the vehicle is equipped with more than one B system, an individual code for each system shall be indicated




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     ANNEX 3 – STRUCTURE AND CONTENT OF THE EIN


Code for the harmonised numbering system, called European Identification Number
(EIN), for Safety Certificates and other documents

Example:

 I     T     5      1      2    0     0       6   0       0     0       5

Country      Type of
 code                          Issue year               Counter
            document
   (2                           (4 digits)              (4 digits)
            (2 digits)
letters)



Field 1          Field 2            Field 3                   Field 4

FIELD 1 - Country code (2 letters)

      The codes are those officially published and updated on the European website in the
      Interinstitutional style guide (http://publications.eu.int/code/en/en-5000600.htm)

       STATE                   CODE       STATE               CODE          STATE             CODE
       Austria                 AT         Hungary             HU            Poland            PL
       Belgium                 BE         Iceland             IS            Portugal          PT
       Bulgaria                BG         Ireland             IE            Romania           RO
       Cyprus                  CY         Italy               IT            Slovak Republic   SK
       Czech Republic          CZ         Latvia              LV            Slovenia          SI
       Denmark                 DK         Liechtenstein       LI            Spain             ES
       Estonia                 EE         Lithuania           LT            Sweden            SE
       Finland                 FI         Luxembourg          LU            Switzerland       CH
       France                  FR         Norway              NO            United Kingdom    UK
       Germany                 DE         Malta               MT
       Greece                  EL         Netherlands         NL


      The code for multinational safety authorities should be composed in the same way.
      Currently this is only one authority: the Channel Tunnel Safety Authority. It is proposed
      to use the following code:

       MULTINATIONAL SAFETY AUTHORITY                                   CODE
       Channel Tunnel Safety Authority                                  CT




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FIELD 2 – Type of document (2 digit number)

        Two digits allow identifying the type of document:
              the first digit identifies the general classification of the document;
              the second digit specifies the subtype of document.

        With the need for other codes this numbering system can be extended. The following
        is the proposed list of known, possible combinations of two digit numbers extended
        with the proposal for authorisation for placing in service of vehicles :

Number
combination for          Document Type                  Subtype of document
field 2

[0 1]                    Licences                       Licences for RUs

[0 x]                    Licences                       others

[1 1]                    Safety Certificate             Part A

[1 2]                    Safety Certificate             Part B

[1 x]                    Safety Certificate             others

[2 1]                    Safety Authorisation           Part A

[2 2]                    Safety Authorisation           Part B

[2 x]                    Safety Authorisation           others

                                                        e.g. maintenance for rolling
                         reserved for maintenance
[3 x]                                                   stock, for infrastructure or
                         workshops                      others

                         reserved for Notified
[4 x]                                                   e.g. different kinds of NoBos
                         Bodies

                         Authorisation for placing in Tractive rolling stock
[5 1]                    service

                         Authorisation for placing in Hauled passenger vehicles
[5 2]                    service

                         Authorisation for placing in Wagons
[5 3]                    service

                         Authorisation for placing in Special vehicles
[5 4]                    service

                         Reserved (4 document
[6 x] … [9 x]                                           Reserved (10 subtypes each)
                         types)




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FIELD 3 – Issue year (4 digit number)

    This field indicates the year (in the specified format yyyy, i.e. 4 digits) in which the
    authorisation has been issued.


FIELD 4 – Counter

    The counter shall be a progressive number to be incremented by one unit each time a
    document is issued, regardless if it is a new, renewed or updated/amended
    authorisation. Even in the case when a certificate is revoked or an authorisation is
    suspended, the number to which it refers cannot be used again.

    Every year the counter shall restart from zero.




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      ANNEX 4 – WITHDRAWAL CODING

Code       Withdrawal mode       Description
00         None                  The vehicle has a valid registration.
10         Registration          The vehicle's registration is suspended at the request of
           suspended             the owner or keeper or by a decision of the NSA.
           No reason specified
11         Registration          The vehicle is destined for storage in working order as an
           suspended             inactive or strategic reserve.
20         Registration          The vehicle is known to be re-registered under a different
           transferred           number or by a different NVR, for continued use on (a
                                 whole or part of the) European railway network.
30         De-registered         The vehicle's registration for operating on the European
                                 railway network has ended without known re-registration.
           No reason specified
31         De-registered         The vehicle is destined for continued use as a rail vehicle,
                                 outside the European railway network.
32         De-registered         The vehicle is destined for the recovery of major
                                 interoperable constituents/ modules/ spares (see
                                 UNIDROIT definitions *) or major rebuilding
33         De-registered         The vehicle is destined for scrapping and disposal of
                                 materials (including major spares) for recycling.
34         De-registered         The vehicle is destined as ‘historic preserved rolling stock’
                                 for operation on a segregated network, or for static
                                 display, outside the European railway network.

(*)    OTIF, as the manager of the UNIDROIT register concerning asset interest for rail
       vehicles and parts thereof, foresees that the UNIDROIT register needs to hold
       information on where a part, on which interest is registered, has been stored or to
       which other vehicle it might be transferred.

Use of codes
     - If the reason for withdrawal is not specified, codes 10, 20 & 30 shall be used to
        indicate the change of registration status.
     - If the reason for withdrawal is available: codes 11; 31; 32; 33 & 34 are options
        available within the NVR database. These codes are based solely on information
        provided by the keeper or owner to the NSA.

Registration issues
     - A vehicle with registration suspended or de-registered may not operate on the
        European railway network under the recorded registration.
     - A reactivation of a registration shall require a re-authorisation by the NSA, under
        conditions related to the cause or reason for the suspension and de-registration.
     - A transfer of registration takes place within the framework set by EU-Directives for
        vehicle approval and authorisation for putting into service.


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       ANNEX 5 – STANDARD FORM FOR REGISTRATION

                           STANDARD FORM FOR REGISTRATION OF
                           AUTHORISED VEHICLES

                      in conformity with Directive 1996/48/EC and 2001/16/EC and applicable national legislation

                                                                                   1
Application objective:         New registration                Modification                     Withdrawal
INFORMATION ABOUT THE VEHICLE
       0.     Vehicle number 2            ____________-_
       2.     Member State and the competent NSA where the authorisation is sought
              2.1.   Member state:        __
              2.2.   Name of the NSA:
       3.   Manufacturing year:                     ____
       4.   EC reference
              4.1.   Date of the declaration:                  ________
              4.2.   EC reference:
              4.3.   Name of the issuing body:
              4.4.   Registered business number:
              Address of the organisation
              4.5.   Street and number:
              4.6.   Town:
              4.7.   Country code:                             4.8. Post code:
       5.   Reference to the register of rolling stock
              5.1.   Entity in charge of the register:
              Address of the entity
              5.2.   Street and number:
              5.3.   Town:
              5.4.   Country code:                             5.5. Post code:
              5.6.   E-mail address:
              5.7.   Reference to the register of RS:
       6.   Restrictions
              6.1.   Restrictions (code):                      ___,___,___,___,___,___,___,___
                                                               ___,___,___,___,___,___,___,___
              6.2.   Restrictions (text):
INFORMATION ABOUT THE ENTITIES RESPONSIBLE FOR THE VEHICLE
       7.   Owner
              7.1.   Name of the organisation:
              7.2.   Registered business number:



1
    The box before the modified item also has to be ticked.
2
    Not applies for the first registration.




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              Address of the organisation
              7.3.   Street and number:
              7.4.   Town:
              7.5.   Country code:                         7.6. Post code:
       8.   Keeper
              8.1.   Name of the organisation:
              8.2.   Registered business number:
              Address of the organisation
              8.3.   Street and number:
              8.4.   Town:
              8.5.   Country code:                         8.6. Post code:
              8.7.   Vehicle Keeper Marking (VKM):
OPERATIONAL INFORMATION
       9.   Maintenance schedule
              9.1.   Reference to the maintenance file:
              9.2.   Version:
       10. Withdrawal
              10.1. Mode (code):                  ___
              10.2. Date:               ________
       11. Member States where the vehicle is already authorised




Identification of the entity applying for registration :


Date:       ________            Name of the responsible officer and Signature:



SAFETY AUTHORITY REFERENCES
1.1.        Allocated Vehicle number 1            ___________-_

12.         Approval number                       _______________


13.         Placing in service
            13.1.    Date of the authorisation:            ________
            13.2.    Authorisation valid until:            ________

Date application received:                        ________


Date of withdrawal:                               ________


1
    Possible to attach a list for several vehicles of the same series or order




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  ANNEX 6 – SURVEY ON IT SYSTEMS USED FOR REGISTRATION OF RS

     The following table summarises the inventory:


     COUNTRY               Current system                          Details                                Can be used for NVR   Next step
                           Several different registers, some non
     AUSTRIA                                                       Oracle, Access, Btrieve, Word, Excel   No                    sNVR
AT                         IT
BE   BELGIUM               Two registers, one non IT               DB2, Word                              No                    sNVR
                           Answered but is not a registering
     CHANNEL TUNNEL                                                Does not apply                         Does not apply        Does not apply
CT                         NSA
CZ   CZECH REPUBLIC        One register under upgrade              Fox Pro Visual                         Yes                   TE
DK   DENMARK               Two registers                           SQL Server, Oracle                     No                    sNVR
EE   ESTONIA               One register under development          SQL Server                             Yes                   TE
FI   FINLAND               One register                            Oracle, Access, Btrieve, Word, Excel   Yes                   SE
                           Few different registers, one more to
     FRANCE                                                        Oracle                                 No                    sNVR
FR                         come
DE   GERMANY               One register under development          Probably Oracle                        No > Yes              sNVR >TE
GR   GREECE                Not answered                            Not answered                           Not answered          Not answered
HU   HUNGARY               One register                            Oracle                                 Not answered          Not answered
IE   IRELAND               Not answered                            Not answered                           Not answered          Not answered
IT   ITALY                 One register                            MySQL                                  Yes                   SE
LV   LATVIA                One register                            Postgre SQL                            Yes                   TE
LT   LITHUANIA             Two registers                           SQL Server, Interbase                  Yes                   TE
LU   LUXEMBURG             Not answered                            Not answered                           Not answered          Not answered
NL   NETHERLANDS           One non IT register                     Word                                   No                    sNVR
NO   NORWAY                One non IT register                     Excel                                  No                    Not answered
PL   POLAND                No register                             Does not apply                         No                    sNVR
PT   PORTUGAL              One register                            Informix                               No                    sNVR
SK   SLOVAKIA              Several different registers             Several                                No                    sNVR
SI   SLOVENIA              Not answered                            Not answered                           No                    sNVR
ES   SPAIN                 One register                            Oracle                                 Not answered          Not answered
SE   SWEDEN                One register under development          SQL server                             Yes                   TE
UK   UNITED KINGDOM        Several registers                       Adabas, Oracle                         Yes                   TE




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      ANNEX 7 – USE CASES FOR THE VVR

1. Actors
                 At a high level of abstraction we can identify two actors:
  •        VVR User                 This is a person representing an authorised entity (MS, NSA, ERA, IB,
                                    RB) or a stakeholder (keeper, owner, RU, IM) whose goal is twofold:
                                             Query the system to obtain information about vehicles.
                                             Perform some actions related to the numbering system of the
                                    vehicles
  •        VVR Administrator        This is a person responsible for managing (insertion, update and
                                    deletion) all the information, mainly related to table/codes maintenance,
                                    which must be kept by ERA.

                  The VVR User can be a person (or a system) belonging to any of the following:
  •        MS NSA                The National Safety Authority (NSA) of the MS where the vehicle(s)
                                 being queried were originally registered.
  •        Non-MS NSA            NSA of the other MSs.
  •        RSP                   The Registration Service Provider (RSP) entitled by the NSA to keep its
                                 NVR.
  •        ERA
  •        Keeper
  •        Owner
  •        FM                    The Fleet Manager (FM), who is appointed by the keeper to manage
                                 vehicles.
  •        RU                    The Railway Undertaking (RU) operating the vehicles.
  •        IM                    The Infrastructure Manager (IM).
  •        IB                    The Investigating Body (IB) responsible for the investigation of
                                 accidents.
  •        RB                    The Regulatory Body (RB) responsible for the allocation of the network.
  •        Others                To be identified.

                   In addition, each VVR User will be assigned one (or more) role(s), each role having different
                   access rights to the information provided by the system. Although, these roles (or access
                   rights) have not yet been finalised, it is important to understand that they will affect the
                   execution of use cases in two ways:
           The actor cannot perform the use case, because the role assigned to him has no access to all the
           data provided by the use case itself.
           The actor can perform the use case, but will receive only partial information, because the role
           assigned to him has access to only part of the data provided by the use case itself.

                   Typical roles might be:
      1.   No access
      2.   Unrestricted
      3.   Restricted
      4.   Administrator
      5.   etc.




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2. Use cases identified
             The use cases for the VVR System can be grouped into six categories:

  0. Login into the system

     The first step for each user of the system is to login, in order for his credentials and access right to be
     verified.

         UC 0              Login the user to the system, verifying his credentials and his access rights.

     This is the use case which will identify the user as a registered one and will apply to him the access
     rights defined in the role he is assigned to.

  1. Management of the IN structure

     The IN is a 12 digit structured number which uniquely identifies each vehicle. Its structure is defined in
     the document “DV51EN01 Annex P” and hereafter summarised:

                 Type of         Country of first     Technical       Serial number   Check digit
                 vehicle          registration      characteristics

                                    [2 figures]       [4 figures]       [3 figures]    [1 figure]
                [2 figures]

     The VVR must be aware of this structure and it must be possible to:

         UC 1.1.1          Manage the Type of vehicle codes (give a list of available codes with
                           explanation, add/delete/update codes, etc.)
         UC 1.1.2          Manage the Country codes (give a list of available codes with explanation,
                           add/delete/update codes, etc.)
         UC 1.1.3          Manage the Technical characteristics codes (give a list of available codes with
                           explanation, add/delete/update codes, etc.)
         UC 1.2.1          Ask for the insertion of a new Type of vehicle code
         UC 1.2.2          Ask for the insertion of a new Country code
         UC 1.2.3          Ask for the insertion of a new Technical characteristics code
         UC 1.3.1          Given a IN, translate the codes into understandable information by giving
                           information about each part of the given IN
         UC 1.3.2          Given a IN:
                           tell if it is valid or invalid
                           if valid, tell if it is existing or not

  2. Searching for information about a vehicle

     Typical questions range from requiring all the information about a vehicle to requiring only some
     filtered information, down to questions which require a simple answer like “yes/no”, a date or a single
     value.

     A non-exhaustive list follows, where the last column contains the expected answer (including item(s)
     number of the Standard Form for Registration of Authorised Vehicles):
                                                                                                     ALL
         UC 2.1               All details for a given IN
                                                                                                     2.1
         UC 2.2.1             MS (and NSA) of first authorisation for a given IN                     2.2
                                                                                                     11
         UC 2.2.2             MS where a given IN is authorised
                                                                                                     13.1
         UC 2.2.3             Details of the first authorisation for a given IN                      12 (if available)
                                                                                                     13.2
                                                                                                     13.3




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                                                                                                13.2
         UC 2.2.4       Any limitation of the authorisation for a given IN                      13.3
                                                                                                3
         UC 2.2.5       Manufacturing year for a given IN
                                                                                                4.1
         UC 2.2.6       EC reference for a given IN                                             4.2
                                                                                                4.3
                                                                                                4.3
         UC 2.2.7       Issuing body of the EC declaration (Contracting Entity) for a given     4.4
                        IN                                                                      4.5
                                                                                                4.6
                                                                                                4.7
                                                                                                5.1
         UC 2.2.8       Reference to the RS Register for a given IN                             5.2
                                                                                                5.3
                                                                                                5.4
                                                                                                5.5
                                                                                                5.6
                                                                                                6.1
         UC 2.2.9       List of restrictions for a given IN                                     6.2
                                                                                                7.1
         UC 2.2.10      Owner for a given IN                                                    7.2
                                                                                                7.3
                                                                                                7.4
                                                                                                7.5
                                                                                                8.1
         UC 2.2.11      Keeper for a given IN                                                   8.2
                                                                                                8.3
                                                                                                8.4
                                                                                                8.5
                                                                                                Union of results
         UC 2.2.12      List of involved organisations for a given IN                           from UC 2.9,
                                                                                                UC 2.12 and
                                                                                                UC 2.13
                                                                                                9.1
         UC 2.2.13      Reference to the Maintenance File for a given IN                        9.2
                                                                                                10.1
         UC 2.2.14      Withdrawal details for a given IN                                       10.2
                                                                                                YES/NO
         UC 2.3.1       Are the given INs authorised in the given MSs                           (search in 11)
                                                                                                YES/NO
         UC 2.3.2       Are the given INs belonging to a given keeper                           (search in 8)


  3. Reports

     We can identify two kinds of reports.

     •   Reports requiring a list of vehicles (or of other entities, like keepers, maintenance files, etc)
         fulfilling some given criteria.

         A non-exhaustive list follows (in brackets the item(s) number to be used as search criteria):

         UC 3.1.1       List of all   vehicles         first authorised in a given MS (item 2.1) and
                                                       authorised to run in another given MS (item 11)
         UC 3.1.2       List of all   vehicles         managed by a given keeper (item 8.1 or 8.2)
         UC 3.1.3       List of all   vehicles         managed by a given keeper (item 8.1 or 8.2) and
                                                       authorised to run in a given MS (item 11)
         UC 3.1.4       List of all   vehicles         which have the same given EC reference (item
                                                       4.2)
         UC 3.1.5       List of all   vehicles         which have the same given type (item 1, digits 5-
                                                       8)
         UC 3.1.6       List of all   vehicles         whose authorisations are currently suspended
                                                       (item 13.3) by a given MS (item 2.1)
         UC 3.2         List of all   techn.           for a given list of vehicles to be found in the
                                      charact.         related RS Register (link between item1 and item
                                                       5.6)
                                                       Note: how to establish the link to the RS register
                                                       has still to be specified
         UC 3.3.1       List of all   keepers          for vehicles resulting from UC 3.1.4 or UC 3.1.5 or
                                                       UC 3.1.6 (item 8 for keeper)
         UC 3.3.2       List of all   mainten. files   for vehicles resulting from UC 3.1.4 or UC 3.1.5 or
                                                       UC 3.1.6 (item 9 for maintenance file)
         UC 3.4         List of all   owners           for vehicles managed by a given keeper (item 8.1
                                                       or 8.2)




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     •   Reports requiring, for a given MS, a list/sum/etc. of vehicles’ information, categorised by certain
         given fields.

         A non-exhaustive list follows (in brackets the item(s) number to be used as grouping criteria):

         UC 3.5.1        Given a       list/sum/etc.    of       all     per   date of authorisation (item
                         MS,           vehicles                                13.1)
         UC 3.5.2        Given a       list/sum/etc.    of       all     per   manufacturing year (item 3)
                         MS,           vehicles
         UC 3.5.3        Given a       list/sum/etc.    of       all     per   type (item 1, digits 5-8)
                         MS,           vehicles
         UC 3.5.4        Given a       list/sum/etc.    of       all     per   date of withdrawal (item 10.2)
                         MS,           vehicles
         UC 3.5.5        Given a       list/sum/etc.    of       all     per   withdrawal code (item 10.1)
                         MS,           vehicles
         UC 3.6.1        For all MS,   list/sum/etc.    of       all     per   date of authorisation (item
                                       vehicles                                13.1)
         UC 3.6.2        For all MS,   list/sum/etc.    of       all     per   manufacturing year (item 3)
                                       vehicles
         UC 3.6.3        For all MS,   list/sum/etc.    of       all     per   type (item 1, digits 5-8)
                                       vehicles
         UC 3.6.4        For all MS,   list/sum/etc.    of       all     per   date of withdrawal (item 10.2)
                                       vehicles
         UC 3.6.5        For all MS,   list/sum/etc.    of       all     per   withdrawal code (item 10.1)
                                       vehicles

  4. Updating the ERA Interoperability database

     The VVR should also:

         UC 4.1          Feed the ERA interop.            with         EC declarations of verification of
                         database                                      vehicles
         UC 4.2          Feed the ERA interop.            with         issued authorisations from MSs
                         database

     Note: to be defined with ERA, since the ERA Interoperability database does not exist yet.

  5. Providing access to other registers

     The VVR should also:

         UC 5.1       Provide access       the RS Registers      through the reference in the RRS (item
                      to                                         5.6)
         UC 5.2       Provide access       the         WIMO      through the IN (item 1)
                      to                   database
         UC 5.3.1     Provide access       OTIF                  through the IN (item 1)
                      to
         UC 5.3.2     Provide access       UNIDROIT              through the IN (item 1)
                      to
         UC 5.3.3     Provide access       VKM                   through the Keeper name/code
                      to
         Note: to be defined with ERA.




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3. Use cases defined


UC 1.2.3

  Description             Asking for the insertion of a new technical characteristic code (digits 5-8 of the
                          IN)
  Pre-conditions          The user is already authenticated (its credentials have been verified and
                          proper access rights have been applied) → UC 0 has been performed
                          successfully by the system.
                          The new requested code does not exist in the available list.
  Post-conditions         The system has recorded correctly the request and has forwarded it to the
                          person concerned.
  Main          success   System asks user for following information about new code: description, used
  scenario                language.
  (MS)                    User fills in requested information and indicates done.
                          System asks user for confirmation.
                          User confirms.
                          System assigns a new unique number to the request, presents a summary
                          and processes the request (to be specified: how to record the request and
                          how to notify the concerned person (email, etc.)).


  Extensions               2a     User sends incomplete request.
  (XT)                            System warns user that mandatory fields are missing.
                                  Go to step MS1.
                           2b     User wants to cancel request.
                                  System asks user for confirmation of cancellation.
                                       1a   User confirms cancellation.
                                            Go to main screen.
                                       1b   User doesn’t confirm cancellation.
                                            Go to step MS2.
                           4a     User doesn’t confirm request.
                                  Go to step MS2.
                           *a     At any time system fails.
                                  System prompts user with a meaningful error message.
                                  System reconstructs prior state, ensuring that all transactions are
                                  rolled back.


UC 2.1

  Description             Asking for all details (items 1-11) about a single vehicle.
  Pre-conditions          The user is already authenticated (its credentials have been verified and
                          proper access rights have been applied) → UC 0 has been performed
                          successfully by the system.
  Post-conditions         The user is provided with all the information about the vehicle.
  Main        success     System asks user for following information about vehicle: IN.
  scenario                User fills in requested information and indicates done.
  (MS)                    System performs UC 1.3.2.
                          System presents to user all details about vehicle.
  Extensions               2a      User sends incomplete request.
  (XT)                             System warns user that mandatory fields are missing.
                                   Go to step MS1.
                           2b      User wants to cancel request.




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                                 System asks user for confirmation of cancellation.
                                      1a    User confirms cancellation.
                                            Go to main screen.
                                      1b    User doesn’t confirm cancellation.
                                            Go to step MS2.
                           3a    Provided IN is incorrect or incomplete.
                                 System warns user that IN is incorrect or incomplete.
                                 Go to step MS2.
                           3b    Provided IN doesn’t exist.
                                 System warns user that IN is not existing.
                                 Go to step MS2.
                           4a    User wants to perform UC 2.2.11 as a continuation of this UC.
                                 IN is already known to system, therefore system performs UC 2.2.11
                                 passing automatically this information.
                           4b    User wants to perform UC 2.3.1 as a continuation of this UC.
                                 IN is already known to system, therefore system performs UC 2.3.1
                                 passing automatically this information.
                           *a    At any time system fails.
                                 System prompts user with a meaningful error message.
                                 System reconstructs prior state, ensuring that all transactions are
                                 rolled back.


UC 2.2.11

  Description             Asking for the keeper (item 8) of a single vehicle.
  Pre-conditions          The user is already authenticated (its credentials have been verified and
                          proper access rights have been applied) → UC 0 has been performed
                          successfully by the system.
                          IN is valid and existing.
  Post-conditions         The user is provided with all the vehicle’s keeper information.
  Main        success     System asks user for following information about vehicle: IN.
  scenario                User fills in requested information and indicates done.
  (MS)                    System performs UC 1.3.2.
                          System presents to user all details about vehicle’s keeper.
  Extensions               1a      This UC is a continuation of UC 2.1.
  (XT)                             IN is already known to system, therefore system step MS1 is omitted.
                           2a      User sends incomplete request.
                                   System warns user that mandatory fields are missing.
                                   Go to step MS1.
                           2b      User wants to cancel request.
                                   System asks user for confirmation of cancellation.
                                        1a    User confirms cancellation.
                                              Go to main screen.
                                        1b    User doesn’t confirm cancellation.
                                              Go to step MS2.
                           *a      At any time system fails.
                                   System prompts user with a meaningful error message.
                                   System reconstructs prior state, ensuring that all transactions are
                                   rolled back.

               Note: uses case from 2.2.1 to 2.2.14 are all very similar, differing only in the specific
               information requested about a vehicle. Use case 2.2.11 has been chosen as an example
               amongst all of them.




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UC 2.3.1

  Description            Asking if a given list of INs is authorised in a given list of MSs (item 11).
  Pre-conditions         The user is already authenticated (its credentials have been verified and
                         proper access rights have been applied) → UC 0 has been performed
                         successfully by the system.
                         INs are valid and existing.
                         MSs are existing.
  Post-conditions        The user is provided with a grid of IN/MS with a mark for each IN authorised in
                         each MS.
  Main         success   System asks user for following information about vehicle: list of INs, list of
  scenario               MSs.
  (MS)                   User fills in requested information and indicates done.
                         System performs UC 1.3.2 for each IN.
                         System presents to user a grid: rows contain the list of INs in the given order,
                         columns contain the list of MSs in the given order, for each intersection of
                         IN/MS, a mark is present if the IN is authorised in the MS.

  Extensions              1a    This UC is a continuation of UC 2.1.
  (XT)                          The list of INs (only one in this case) is already known to system,
                                therefore system in step MS1 prompts the user only with the list of
                                MSs.
                          2a    User sends incomplete request.
                                System warns user that mandatory fields are missing.
                                Go to step MS1.
                          2b    User wants to cancel request.
                                System asks user for confirmation of cancellation.
                                     1a   User confirms cancellation.
                                          Go to main screen.
                                     1b   User doesn’t confirm cancellation.
                                          Go to step MS2.
                          *a    At any time system fails.
                                System prompts user with a meaningful error message.
                                System reconstructs prior state, ensuring that all transactions are
                                rolled back.


UC 3.1.2

  Description            Asking for the list of all vehicles managed by a given keeper (item 8).
  Pre-conditions         The user is already authenticated (its credentials have been verified and
                         proper access rights have been applied) → UC 0 has been performed
                         successfully by the system.
                         Keeper is existing.
  Post-conditions        The user is provided with a list of vehicles managed by the given keeper.
  Main        success    System asks user for following information: keeper.
  scenario               User fills in requested information and indicates done.
  (MS)                   System presents to user a list of INs.
  Extensions              2a      User sends incomplete request.
  (XT)                            System warns user that mandatory fields are missing.
                                  Go to step MS1.
                          2b      User wants to cancel request.
                                       System asks user for confirmation of cancellation.
                                       1a    User confirms cancellation.
                                             Go to main screen.
                                       1b    User doesn’t confirm cancellation.
                                             Go to step MS2.
                          3a      User wants to perform UC 2.1 for a chosen IN




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                               User chooses a IN
                               System performs UC 2.1 (omitting step MS1)
                         *a    At any time system fails.
                               System prompts user with a meaningful error message.
                               System reconstructs prior state, ensuring that all transactions are
                               rolled back.



UC 3.5.3

  Description           Asking for the total number (sum) of registered vehicles in a given MS,
                        grouped by vehicle type (digit 1 of item 1).
  Pre-conditions        The user is already authenticated (its credentials have been verified and
                        proper access rights have been applied) → UC 0 has been performed
                        successfully by the system.
                        MS is existing.
                        Only registered vehicles are considered (withdrawn vehicles still archived in
                        the NVR are not taken into account).
  Post-conditions       The user is provided with the total number of vehicles per type (only from MS).
  Main        success   System asks user for following information: MS.
  scenario              User fills in requested information and indicates done.
  (MS)                  System presents to user the total number of vehicles for each vehicle type.
  Extensions             2a      User sends incomplete request.
  (XT)                           System warns user that mandatory fields are missing.
                                 Go to step MS1.
                         2b      User wants to cancel request.
                                 System asks user for confirmation of cancellation.
                                      1a   User confirms cancellation.
                                           Go to main screen.
                                      1b   User doesn’t confirm cancellation.
                                           Go to step MS2.
                         *a      At any time system fails.
                                 System prompts user with a meaningful error message.
                                 System reconstructs prior state, ensuring that all transactions are
                                 rolled back.




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