EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2021) XXX  draft  
 
COMMISSION DELEGATED DIRECTIVE (EU) .../…  
of XXX  
amending, for the purpose of adapting to technical and scientific progress, Annex III to 
Directive 2011/65/EU of the European Parliament and of the Council as regards an 
exemption for the use of mercury in single capped (compact) fluorescent lamps for 
gene ral lighting purposes  
(Text with EEA relevance)   EN 1  EN EXPLANATORY MEMORANDUM  
1. CONTEXT  OF THE  DELEGATED  ACT  
This Commission Delegated Directive amends, for the purpose of adapting to technical and 
scientific progress, Annex III to Directive 2011/65/EU of the European Parliament and of the 
Council on the restriction of the use of certain hazardous substances in electrical and 
electronic equipment (recast)1 (the RoHS Directive ). The amendment concerns specifi ed 
applications containing mercury  in single capped (compact ) fluorescent l amps  for general 
lighting purposes .   
The RoHS  Directive  restricts the use of certain hazardous substances in electrical and 
electronic equipment (EEE), as specified  in Article 4. Ten substances are currently restricted 
and listed in Annex II to the Directive : lead, mercury, cadmium, hexavalent chromium, 
polybr ominated biphenyls (PBB), polybrominated diphenyl ethers (PBDE), bis (2 -ethylhexyl) 
phthalate (DEHP), butyl benzyl phthalate (BBP), dibutyl phtha late (DBP) and diisobutyl 
phthalate (DIBP). Annexes III and IV list EEE materials and components for specific 
applications that are exempt from the substance restrictions laid down in Article 4(1).  
Article 5 of the Directive provides for the adaptation of Annexes III and IV  to scientific and 
technical progress , which can include granting, renewing or revoking exemp tions . Pursuant to 
Article  5(1)(a), exemptions are to be included in Annexes III and IV only if this does not 
weaken the environmental and health protection afforded by Regulation  (EC)  No 1907/2006 
(REACH)2 and only if they meet any of the following conditions: (i) elimination or 
substituti ng the substance  via design changes or materials and components which do not 
require any of the materials or substances listed in Annex II is scientifically or technically 
impracticable; (ii) the reliability of substitutes is not ensured;  (iii) the total negative 
environmental, health and consumer safety impacts caused by substituti ng the substance  are 
likely to outweigh the total environmental, health and consumer safety benefits thereof.  
Decis ions on exemptions, and their duration, must also take into account the availability of 
substitutes and the socioeconomic impact of substitution. Decisions on the duration of 
exemptions must  take into account any potential impact on innovation. Life -cycle thinking on 
the overall impacts of the exemption must be applied, where relevant.  
Article 5(1) also states  that to include , or, where applicable , delete , materials and components 
of EEE for specific appli cations in the lists of Annexes  III and IV , the Commission must 
adopt individual delegated acts . Article 5(3) and Annex  V describe  the procedure for 
submitting exemption -related applications.  
 
2. CONSULTATIONS  PRIOR  TO THE  ADOPTION  OF THE  ACT  
The Commission receive s requests3 from economic operator s to grant or renew exemptions  
under  Article 5(3) and Annex V  to the RoHS  Directive . 
The current Annex III exemption  entries  1 (a) to (e) permit the use of m ercury in single 
capped (compact) fluorescent lamps not exceeding the following values (per burner):  
1(a) For general lighting purposes < 30 W: 2,5 mg;  
                                                 
1 OJ L 174, 1.7.2011, p. 88.  
2 OJ L 396, 30.12.2006, p. 1. 
3 The list is available  at: http://ec.europa.eu/environment/waste/rohs_eee/adaptation_en.htm . EN 2  EN 1(b) For general lighting purposes ≥ 30 W and < 50 W: 3,5 mg ;  
1(c) For general lighting purpos es ≥ 50 W and < 150 W: 5 mg;  
1(d) For general li ghting purposes ≥ 150 W: 15 mg ;  
1(e) For general lighting purposes , with a circular or a square structural shape and a tube 
diameter ≤ 17 mm : 7 mg .  
The Commission received two application s for the renewal of th e related  exemption  entries  in 
December 2014 and January 2015 . One of the  application s was renewed with additional 
information in  January 2020.  The applicants , in essence , claimed th at substitutes for all the 
applications in question  were not available . One applicant  stated that, despite of  the increasing 
availability on the EU market of me rcury -free ligh t-emitting diode ( LED ) alternatives , they 
cannot always serve as a fully compatible replacement for the vast variety of CFL lamps for 
consumers and professional end users.4 The other applicant argued along the same line .5 
In line with the re quirements of the RoHS Directive (Article 5(5) , second subparagraph), an 
exemption  remains valid  until the Commission issues a decision on the renewal application.   
To evaluat e the application s to renew that exemption, the Commission first launched a study  
in June 20156, concluded in 2016,  to carry out the required technical and sci entific 
assessment, including a n eight -week online stakeholder consultation .7 Further to th at study 
assessing the extensive  technical  and scientific data and contributions received, the 
Commission carried out two complementary studies/ updates , including stakeholder 
involvement.  The study published in 20198 focused on the socioeconomic assessment  and 
availability of substitutes , whilst  an update based o n recent figures and mo delling was carried 
out in 20209. The final reports of the study and of the socioeconomic assessment update  were 
published10; stakeholders were notified.  
The Commission consulted the Member State expert group for delegated acts under the RoHS 
Directive during the expert meeting s of 1 September 2016 , 29 October 2018  and 21 October 
2019.  In July 2020, t he Commission also informed the Member State expert group , by written 
consultation , of the 2020 socioeconomic update  and received  the Member States’ positions on 
a proposed course of action . It carried out a ll the requisite procedural steps relating to 
applications for exemption from the substance s restriction under  Article 5(3) to 5(7).11 The 
Council and the European Parliament were notified of all activities.  
The supporting study report s highlighted the following technical information and assessment:  
                                                 
4 http://rohs.exemptions.oeko.info/fileadmin/user_upload/RoHS_Pack_9/Exemption_1_ae_/  
Lighting_Europe/1a_LE_RoH S_Exemption_Req_Final.pdf.  
5 http://rohs.exemptions.oeko.info/fileadmin/user_upload/RoHS_Pack_9/Exemption_1_ae_/  
NARVA/01_02_a__2b3_4a.pdf.  
6 Final Report of the study is available at https://op.europa.eu/en/publication -detail/ -
/publication/a3fdcc8c -4273 -11e6 -af30-01aa75ed71a1 . 
7 Consultation period: 21 August 2015 to 16 October 2 015, http://rohs.exemptions.oeko.info . 
8 https://rohs.exemptions.oeko.info/fileadmin/use r_upload/reports/FWCW_RoHS_Lamps_SEA_  
20190729_Final.pdf  
9 https://op.europa.eu/en/publication -detail/ -/publication/f44f2383 -dd0a -11ea -adf7-
01aa75ed71a1/language -en/format -PDF/source -146144383 , starting on page 92.  
10 https://ec.europa.eu/environment/waste/rohs_eee/studies_rohs1_en.htm .  
11 A list of the required administrative steps is available on the Commission website . The c urrent stage of 
the procedure can be viewed for each draft delegated act in the Interinstitutional Registry of Delegated 
Acts at https://webgate.ec.europa.eu/regdel/#/home . EN 3  EN  The 2015 -2016 study concluded that reliable mercury -free substitutes are available 
on the European Union market . The study provided ample evidence that  substitutin g 
mercury in the lamp categories co vered by the exemption is  scientifically and 
technically practicable . 
 The 2019 and 2020 study updates focused on the availability of substitutes and the 
socioeconomic impact of substitution. They  documented  that the total cost of 
substitution largely depend on the share of lamps available on the market as 
replacements and that the substitution costs would be relatively quickly offset by the 
benefits generated by related energy savings . The 2020 socioeconomic assessment  
upda te showed  that, overall,  substitutin g the lamp  categories  under assessment  with 
LED alternatives  would mean avoid ing placing 2882 kg of mercur y in lamps on the 
European Union market .12 Overall, t he premature generation of e -waste caused by 
the need to rewir e and replac e the lamp s in certain lamp categories would be offset  
both by avoiding future use of mercury and by generating substantial energy savings . 
In conclusion, the scientific and technical assessments, including stakeholder consultations, 
detailed that none of the exemp tion criteria are met with regard to exemption 1(a) to (e). In 
particular,  the assessments concluded that mercury -free alternatives are already available. The 
availability of substitutes has furthermore been documented and cal culations based on this 
evidence on the socioeconomic impact of substitutin g mercury have shown to result in 
overall13 savings  and overall benefits in terms of environmental, health and consumer safety . 
The socioeconomic analysis did not require a transitio n period.  
 
3. LEGAL  ELEMENTS  OF THE  DELEGATED  ACT  
On the basis of Article 5(1), t he delegated directive revokes exemption  entries  1(a) to (e) 
listed in Annex III to Directive  2011/65/EU for the use of mercury in the specified 
applications  in mercury -based lamps.  
The Commission’s assessment of the exemption request , based on the supporting studies and 
consultations , concluded that none of the criteria laid down in Article 5(1)(a)  of the RoHS 
Directive that justify  a further extension of the  exemption  is met . The substitution of mercury 
with reliable substitutes in the lamp categories concerned by this exemption is scientifically 
and technically practicable, and evidence is provided that the total impact of substitution, in 
environmental, health and consumer safety impacts largely outweigh any negative impacts. In 
particular, the s ubstitution would not only mean avoiding placing considerable quantities of 
mercury on the EU market, but it would also generate energy savings  and provide an 
additional stimulus  for innovation14. In summary, the conditions for the exemption are no 
longer fulfilled, and entries  1(a) to (e) are to be deleted, in accordance with Article 5 (1)(b).  
                                                 
12 The 2020 socioeconomic assessm ent update included compact fluorescent lamps non -integrated 
(CFLni), linear fluorescent lamps with a tube diameter of 9-17 mm (e.g. T5) and 17 -28 mm (e.g. T8).  
13 Idem.  
14 The products in scope are also regulated by Commission Regulation (EU) 2019/2020 of 1  October 2019 
laying down ecodesign requirements for l ight sources and separate control gears  that applies from 1 
September 2021 . Differently from Directive 2011/65/EU , the ecodesign legislation does not restrict  
substances in products but set s energy efficiency requirements  to be respected in order for the products 
to be placed on the market. CFL with integrated control gear (CFLi) will not de facto  be placed on the 
market from 1 September 2021  due to their non -compliance with these energy efficiency requi rements . 
Commission Regulation (EU) 2019/2020 identifies mercury content as a significant environmental  
 EN 4  EN The expiry  date for this exem ption  is set in line with Article 5(6) of the RoHS Directive , 
which prescribes that, in the event an exemption is revoked, it shall expire at the earliest 12 
months, and at the latest 18 months, after the date of that decision. In the current case, the 
earliest expiry date of 12 months is to be set .  There are no practical circumstances that would 
require a longer transition tim e.  
The legal instrument is a delegated directive, which is in line with the enabling legal act, 
Directive 2011/65/EU, in particular with the delegation in Article 5(1) and 20 th ereof .  
The objective of the delegated directive is to contribute to the prote ction of human health and 
the environment and a lign the provisions for the functioning of the internal market in the field 
of electrical and electronic equipment, by revoking an exemption  for the use of otherwise 
banned substances for specific applications , with the provisions and under the conditions of 
the RoHS  Directive  and the established procedure for adapt ing Annexes III and IV to 
scientific and technical progress.  
The delegated directive  has no implications o n the EU budget.  
                                                                                                                                                         
aspect in the life -cycle of a light source , but acknowledges  that the use of hazardous substances , 
including mercury in light sources , is governed by Di rective 2011/65/EU .  EN 5  EN COMMISSION DELEGATED DIRECTIVE (EU) .../…  
of XXX  
amending, for the purpose of adapting to technical and scientific progress, Annex III to 
Directive 2011/65/EU of the European Parliament and of the Council as regards an 
exemption for the use of mercury in single capped (compact) fluorescent lamps for 
general lighting purposes  
(Text with EEA relevance)  
THE EUROPEAN COMMISSION,  
Having regard to the Treaty on the Functioning of the European Union , 
Having regard to Directive 2011/65/EU of the European Parliament and of the Council of 
8 June 2011 on the restriction of the use of certain hazardous substances in electrical and 
electronic equipment1, and in particular Article 5(1) , point  (b) thereof,  
Whereas:  
(1) Directive 2011/65/EU requires Member States to ensure that electrical and electronic 
equipment placed on the market does not contain the hazardous substances listed in 
Annex II to that Directive. That restriction does not apply to certain exempted 
applications listed in Annex  III to th e Directive.  
(2) The categories of electrical and electronic equipment to which Directive 2011/65/EU 
applies are listed in Annex I to that Directive.  
(3) Mercury is a restricted substance listed in Annex II to Directive 2011/65/EU.  
(4) By Decision 2010/571/E U2, the Commission granted , among other things , an 
exemption for the use of mercury in single capped (compact) fluorescent lamps for 
general lighting purposes  (‘the exemption’) , which is now listed as  exemption  1(a), 
1(b), 1(c), 1(d) and 1(e)  in Annex III to Directive 2011/65/EU . The exemption was to 
expire on 21 July 2016, in accordance with Article 5(2), second subparagraph, point 
(a), of that Directive . 
(5) Mercury is used in single capped (compact) fluorescent lamps to produce ultraviolet  
light, which is then converted into visible light by the fluorescent coating on the lamp 
bulb.  
(6) On 19 December 2014 and 15 January 2015, t he Commission received two  
application s for renewal of the exemption  (‘the renewal applications’) , that is within 
the time limit laid down in Article 5(5) of Directive 2011/65/EU , of which one was 
updated with a renewed application on 20 January 2020 . In accordance with Article 
                                                 
1 OJ L 174, 1.7.2011, p. 88.  
2 Commission Decision 2010/571/EU of 24  September 2010 amending, for the purposes of adapting to 
scientific and technical progress, the Annex to Directive 2002/95/EC of the European Parliament and of 
the Council as regards exemptions for applications containing lead, mercury, cadmium, hexavalent 
chromium, polybrominated biphenyls or polybrominated diphenyl ethers (OJ L 251, 25.9.2010, p. 28).  EN 6  EN 5(5), second subparagraph , of Directive 2011/65/EU, the exemption remains valid 
until a decision on the renewal  application has been taken . 
(7) The evaluation of the renewal applications , which took into account the availability of 
substitutes and the socioeconomic impact of substitution, concluded that sufficient ly 
reliable mercury -free substitutes for the lamp types  covered by the exemption are 
already widely  available  and that the substitution of mercury in these lamps is 
scientifically and technically practicable . Furthermore, that evaluation concluded  that 
the benefits of substitution will clearly outweigh any negative impact.  
(8) The evaluation of the renewal application s included stakeholder consultations in 
accordance with Article 5(7) of Directive 2011/65/EU.  The comments received during 
those consulta tions were made publicly available on a dedicated website.  
(9) As the conditions set out in Article 5(1) , point  (a), of Directive 2011/65/EU  are no 
longer fulfilled, the renewal application should be rejected .  
(10) An expiry date for the exemption sh ould be set in  accordance with Article 5(6)  of that 
Directive .  The earliest possible date of 12 months from the Commission decision to 
revoke the exemption should be set given that there are no practical circumstances that 
would justify a longer expiry time, i n particular  considering that many of the lamps in 
question are also covered by Commission Regulation (EU) 2019/2020  which sets 
minimum energy efficiency requirements  to be respected in order for the products to 
be placed on the market, which will imply that  those lamps will not de facto  be placed 
on the market from 1 September 2021.    
(11) Directive 2011/65/EU should therefore be amended accordingly , 
HAS ADOPTED THIS DIRECTIVE:  
Article 1  
Annex III to Directive 2011/65/EU is amended as set out in the Annex to this Directive.  
 
Article  2  
1. Member States shall adopt and publish, by [the last day of the sixth  month after the 
date of ent ry into force of this Directive ] at the latest, the laws, regulations and 
administrative provisions necessary to comply with this Di rective. They shall 
forthwith communicate to the Commission the text of those provisions.  
They shall apply those provisions from [the last day of the sixth  month after the date 
of entry into force of this Directive + 1 day] . 
When Member States adopt those provisions, they shall contain a reference to this 
Directive or be accompanied by such a reference on the occasion of their official 
publication. Member States shall determine how such reference is to be made.  
2. Member States shall communicate to the Commiss ion the text of the main provisions 
of national law which they adopt in the field covered by this Directive.  
Article  3 
This Directive shall enter into force on the  twentieth day following that of its publication in 
the Official Journal of the European Unio n. EN 7  EN Article  4 
This Directive is addressed to the Member States.  
Done at Brussels,  
 For the Commission  
 Ursula VON DER LEYEN  
 The President