HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"L 63/22
EN
Official Journal of the European Union
10.3.2011
COMMISSION DECISION
of 9 March 2011
on the publication and management of the reference document referred to in Article 27(4) of
Directive 2008/57/EC of the European Parliament and of the Council on the interoperability of
the rail system within the Community
(notified under document C(2011) 1536)
(Text with EEA relevance)
(2011/155/EU)
THE EUROPEAN COMMISSION,
national vehicle authorisation rules that references the
national rule for each parameter and the classification
of other Member States rules for this parameter. These
Having regard to the Treaty on the Functioning of the European
lists should form a part of the reference document.
Union,
Having regard to Directive 2008/57/EC of the European
(6)
Consistency between the rules listed in the reference
Parliament and of the Council of 17 June 2008 on the inter
document and the rules notified pursuant to Article 17
operability of the rail system within the Community (
of Directive 2008/57/EC should be ensured by Member

1 ), and in
particular Article 27(4) thereof,
States. To this end Member States should have a
sufficient time for updating the reference document or
for notifying/amend/withdraw rules under the procedure
Having regard to the recommendation of the European Railway
of Article 17. Until both sets of rules are aligned and a
Agency of 15 April 2010 on the reference document as
single data entry for national rules is available, National
specified in Article 27(3) of Directive 2008/57/EC,
Safety Authorities (NSAs) may use the rules listed in the
reference document for the purpose of granting authori
sations for placing vehicles in service, in the case of any
Whereas:
discrepancy between the two set of rules.
(1) Decision
2009/965/EC
of
30
November
2009
on
the (7) Moreover,
as
regards
the
notification
of
national
safety
reference document referred to in Article 27(4) of
rules in accordance with Article 8 of Directive
Directive 2008/57/EC ( 2 ) set out in its Annex the list of
2004/49/EC of the European Parliament and of the
parameters to be used for classifying national rules in the
Council ( 3 ), they are not relevant for the reference
reference document referred to in Article 27 of Directive
document. Indeed, Directive 2008/110/EC of the
2008/57/EC.
European Parliament and of the Council ( 4 ) amended
that Directive so as to remove from Annex II to
Directive 2004/49/EC the national safety rules related
(2) It
is
important
that
national
rules
to
be
covered
by
the
to requirements for the authorisation of placing in
reference document are clearly defined so as to determine
service and maintenance of vehicles.
to which extent they can be declared as equivalent thus
maximising the number of rules belonging to group A in
accordance with Section 2 of Annex VII to Directive
2008/57/EC.
(8) When
compiling
national
reference
documents,
NSAs
should determine priorities according to the objectives
of Directive 2008/57/EC, taking account of the
(3) Member
States
are
responsible
for
the
update
of
their
resources available within the NSAs after discussion in
national rules. Updates of national rules may affect
the relevant working parties.
rules’ classification in respect of other Member States’
rules for a specific parameter set out in Section 1 of
Annex VII to Directive 2008/57/EC.
(9) In
accordance with Article 27(4) of Directive
2008/57/EC the Commission should be allowed at any
time to adopt a measure addressed to the Agency with a
(4)
It is necessary that the database cross-referencing national
view to modifying the reference document.
rules and classifying their equivalence is kept up-to-date.


(5) The
European
Railway
Agency
(‘the
Agency’)
should,
in (10) The measures provided for in this Decision are in
respect of each Member State, be responsible for the
accordance with the opinion of the Committee referred
compilation, publication and maintenance of a list of
to in Article 29(1) of Directive 2008/57/EC,
( 1 ) OJ L 191, 18.7.2008, p. 1.
( 3 ) OJ L 164, 30.4.2004, p. 44.
( 2 ) OJ L 341, 22.12.2009, p. 1.
( 4 ) OJ L 345, 23.12.2008, p. 62.

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EN
10.3.2011 Official
Journal
of
the
European
Union L
63/23
HAS ADOPTED THIS DECISION:
(b) the classification, in accordance with Section 2 of Annex VII
to Directive 2008/57/EC, of the rules applied in other
Member States.
Article 1
1. The
content
of
the
reference
document
referred
to
in
Article 27(4) of Directive 2008/57/EC is specified in the
2. The
Agency
shall
facilitate
the
classification
of
national
Annex to this Decision.
vehicle authorisation rules by the respective National Safety
Authorities (NSAs) through, where appropriate, arranging
meetings.
2. The
Agency
shall
publish
and
maintain
the
reference
document. Free access to it shall be made available via the
website of the Agency. The Agency shall publish the first
version of the reference document within 4 months of entry
Article 4
into force of this Decision.
1. Each NSA shall supply the Agency with the information
necessary to compile the national reference document. In
particular the NSA shall:
3. At
least
once
per
year,
the
Agency
shall
make
a
report
to
the Commission and the Committee referred to in Article 29 of
Directive 2008/57/EC on progress made with the publication
and management of the reference document.
(a) supply the Agency with references to national rules for each
parameter and their classification;
4. The Commission may at any time, upon request of the
Agency, a Member State, or on its own initiative, adopt any
decision to modify the reference document published by the
(b) advise the Agency of changes to the rules at the time of
Agency, in accordance with the procedure set out in
publication of the change of rule;
Article 27(4) of Directive 2008/57/EC.
(c) nominate a person or a department which will be
Article 2
responsible for the supply of this information to the
For the purpose of the reference document:
Agency;
(a) ‘rule’ shall mean a requirement applicable in a Member State
(d) conduct an active exchange of views and experiences with
and to be complied with by the applicant for the authori
other NSAs in order to be able to classify the rules in
sation of placing in service of vehicles, where the
accordance with Article 3(1)(b). NSAs shall cooperate with
requirement is related to:
a view to eliminating unnecessary requirements and
redundant verifications.
— a parameter of the list set out in the Annex to Decision
2009/965/EC, and/or
2. Each Member State shall approve its national reference
document.
— verification and testing requirements, and/or
— a process to be used to gain authorisation for placing in
3. Within 1 year of the publication of the relevant national
service of vehicles;
reference document, Member States shall ensure consistency
between the requirements contained in the reference
document and the requirements contained in rules notified
(b) ‘classification’ means the attribution given by one Member
pursuant to Article 17 of Directive 2008/57/EC. Once a
State to another Member State’s national rule covering a
single data entry for the notification of national rules and for
particular parameter according to one of the three groups
the reference document is available, the deadline to ensure
A, B or C, which are defined in Section 2 of Annex VII to
consistency between them shall be 6 months. The Commission
Directive 2008/57/EC.
shall inform Member States of the date by which the single data
entry for notification of national rules is available. After this
period if the Agency becomes aware of an inconsistency it shall
Article 3
advise the relevant Member State. Where a rule of the reference
document is not yet notified either that rule shall be notified or
1. For each Member State the national reference document
the reference document shall be updated.
shall contain, for each parameter of the list provided in the
Annex to Decision 2009/965/EC:
4. Member
States
shall
notify
to
the
Commission
within
2
(a) a reference to the relevant national rules applied in that
months of entry into force of this Decision the competent
Member State for authorising placing vehicles in service or
department which will be in charge of validating and
a statement that there is no requirement in respect of this
approving their national reference document and changes
parameter;
thereto.

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L 63/24
EN
Official Journal of the European Union
10.3.2011
Article 5
in order to update the reference document and to the relevant
Member State with a view to approve the national reference
1. Further to Article 4(1)(b), if a change to a rule may affect
document as provided in Article 4(2).
the classification of this rule in any other Member State, the
Agency shall advise the NSAs of the affected Member States so
that they may review the classification.
Article 6
This Decision shall not apply to the Republic of Cyprus and the
2. If
the
Agency
becomes
aware
of
a
rule
proposed
to
be Republic of Malta for as long as no railway system is established
classified under group B or C by a Member State that in its
within their territory.
opinion shall be classified under group A, it shall raise and
discuss the matter with the relevant NSA in order that an
agreement may be reached on the correct classification.
Article 7
This Decision shall apply from 1 April 2011.
3. If
after
discussion
with
the
relevant
NSAs
the
Agency
considers that a classification under group B or C by an NSA
is not justified according to the provisions of Directive
Article 8
2008/57/EC and that the classification under group B or C
represents an unnecessary requirement or unnecessary verifi
This Decision is addressed to the Member States and to the
cation that has a disproportionate impact upon the cost or
European Railway Agency.
timescale for authorisation for placing in service of vehicles,
the Agency shall inform the Commission thereof and provide
a technical opinion to the Commission and the relevant
Done at Brussels, 9 March 2011.
Member State.
For the Commission
4. Where
appropriate,
the
Commission
shall
adopt
a
decision
in accordance with the procedure referred to in Article 27(4) of
Siim KALLAS
Directive 2008/57/EC. That decision is addressed to the Agency
Vice-President

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EN
10.3.2011 Official
Journal
of
the
European
Union L
63/25
ANNEX
REFERENCE DOCUMENT
1. Purpose of the Reference document
The purpose of the Reference document is to facilitate the procedure for authorising the placing in service of vehicles
by:
(a) listing all the parameters to be checked in connection with the authorisation for placing vehicles in service;
(b) identifying all the rules applied by the Member States for the authorisation of placing vehicles in service;
(c) referencing each rule to one of the parameters to be checked in connection with the authorisation for placing
vehicles in service;
(d) classifying all rules under group A, B or C in accordance with Section 2 of Annex VII to Directive 2008/57/EC;
(e) in accordance with Article 1 of Decision 2009/965/EC, outlining the national legal frameworks covering the
authorisation for placing vehicles in service.
2. Structure and content
The Reference document shall be structured as follows:
Part 1: Application guide: this part shall refer to the elements included in this Decision, and any other information
relevant for the management, understanding and use of the reference document.
Part 2: National reference documents: the reference document shall include all national reference documents listing
and classifying the national rules, one for each Member State, as referred to in Article 3.
Part 3: Information on national legal frameworks: in accordance with Article 1 of Decision 2009/965/EC, the
reference document shall include information on the national legal framework applicable to the authorisation
of placing in service of vehicles. This part shall be filled in as soon as Member States notify the national
measures implementing Directive 2008/57/EC.
3. Scope of application of the reference document
The reference document concerns all authorisations for placing railway vehicles in service which are subject to
Directive 2008/57/EC and where conformity with national rules is required.
In accordance with Article 1 of Directive 2008/57/EC, vehicles intended to run on TEN and off-TEN are concerned.
Regarding TSI conform vehicles, the reference document shall allow comparison and cross-reference, in respect of a
particular parameter, between the rules applied in different Member States in order to verify the technical compatibility
with the infrastructure, the compliance with the specific cases, the closure of open points, and the compliance with
national rules in the derogation cases.
Furthermore, the reference document shall allow comparison and cross-reference of the national rules related to the
list of parameters to be checked in conjunction with the placing in service of non-TSI conform vehicles.

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