EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, 10.12.2020  
COM(2020) 798 final  
2020/0353 (COD)  
 
Proposal for a  
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL  
concerning batteries and waste batteries, repealing Directive 2006/66/EC and amending 
Regulation (EU) No 2019/1020  
(Text with EEA relevance)  
{SEC(2020)  420 final}  - {SWD(2020)  334 final}  - {SWD(2020)  335 final}   EN 1  EN EXPLANATORY MEMORANDUM  
1. CONTEXT  OF THE  PROPOSAL  
• Reasons for and objectives of the proposal  
Battery development and production are strategic imperatives for Europe  in the context 
of the clean energy transition. It is also a key component of Europe’s automotive sector. In the 
EU, transport is responsible for roughly a quarter of greenhouse -gas (GHG) emissions and is 
the main cause of air polluti on in cities.  
More widespread uptake of electric vehicles will reduce GHG emissions and noxious 
emissions from road transport.  In the EU, a strong increase in the electrification of 
passenger cars, vans, buses – and, to a lesser extent, trucks – is expecte d to take place between 
2020 and 2030. This is mainly being driven by EU legislation setting CO 2 emission standards 
for vehicle manufacturers, but also by EU legislation setting Member State minimum targets 
for public procurement of clean vehicles1. The el ectrification of some residential services, like 
energy storage or heating, will follow on from this and help to further reduce emissions.  
According to estimates from the World Economic Forum , there is a need to scale up global 
battery production by a fac tor of 19  to accelerate the transition to a low -carbon economy2. 
This initiative  aims to modernise the EU's legislative framework for batteries. It is an integral 
part of the EU's Green Deal3, the EU's new growth strategy, which aims to transform the EU 
into a modern, resource -efficient and competitive economy where: (i) there are no net 
emissions of GHGs by 2050; (ii) economic growth is decoupled from resource use; and (iii) 
no person and no place is left behind. It builds on commitments and reports adopte d by the 
European Commission, including the strategic action plan on batteries4, the new circular 
economy action plan5, the new industrial strategy for Europe6 and the sustainable and 
smart mobility strategy7, which aims at delivering a 90% reduction in transport -related GHG 
emissions by 2050.  
In addition to the Commission’s work, both the Council and the Parliament  have called for 
action to support the transition to electro -mobility, carbon -neutral energy storage, and a 
sustainable battery value chain. T he European Investment Bank also announced that it expects 
to increase its backing of battery -related projects to more than EUR 1 billion of financing in 
20208. 
This initiative addresses three groups of highly interlinked problems  related to batteries.  
 The first group relates to the lack of framework conditions providing 
incentives to invest  in production capacity for sustainable batteries. These 
                                                 
1 Directive 2009/33/EC of the European Parliament and of the Council of 23 April 2009 on the promotion 
of clean and energy -efficient road transport vehicles (OJ L 120, 15.5.2009, p. 5)  
2 World Economic Forum and Global Batteries Alliance, A vision for a sustainable battery value chain in 
2030: Unlocking the potential to power sustainab le development and climate change mitigation, 2019.  
3 Communication from the Commission to the European Parliament, the European Council, the Council, 
the European Economic and Social Committee and the Committee of the Regions, The European Green 
Deal (COM  (2019) 640 final).  
4 Annex to COM(2018)293 final.  
5 COM(2020)98 final.  
6 COM(2020)102 final . 
7 COM(2020)789  
8 https://www.eib.org/en/press/all/2020 -121-eib-reaffirms -commitment -to-a-european -battery -industry -
to-boost -green -recovery  EN 2  EN problems are linked to the inefficient functioning of the single market and to 
the lack of a sufficiently level  playing field9 due to diverging regulatory 
frameworks within the internal market . The underlying causes of this include 
uneven implementation of the Batteries Directive and the lack of reliable and 
comparable information across the EU.  
 The second group o f problems  relates to sub-optimal functioning of 
recycling markets  and insufficiently closed material loops , which limit the 
EU's potential to mitigate the supply risk for raw materials. There are a number 
of shortcomings in the current regulatory framewor k. These shortcomings 
include a lack of clear and sufficiently harmonised rules, and provisions in the 
Batteries Directive that don't take into account recent technological and market 
developments. They reduce the profitability of recycling activities and hold 
back investment in new technologies and in additional capacity to recycle the 
batteries of the future.  
 The third group of problems  relates to social and environmental risks  that 
are currently not covered by EU environmental law. These problems include : 
(i) a lack of transparency on sourcing raw materials; (ii) hazardous substances; 
and (iii) the untapped potential for offsetting the environmental impacts of 
battery life cycles.  
At the root of these issues are market failures and information failures. B oth of these failures 
are related to the functioning of the single market. In addition, they are exacerbated by a third 
driver, the complexity of battery value chains . 
The proposal’s objectives  are threefold: 1) strengthening  the functioning of the internal 
market (including products, processes, waste batteries and recyclates), by ensuring a level 
playing field through a common set of rules; 2) promoting a circular economy; and 3) 
reducing environmental and social impacts thro ughout all stages of the battery life cycle. 
These three objectives are strongly interlinked.  
• Consistency with existing policy provisions in the policy area  
The current regulatory framework covers only the end -of-life stage of batteries through the 
Batteries Directive . There are currently no legal provisions in the EU that cover other aspects 
of the production and use phases of batteries, such as electrochemical performance and 
durability, GHG emissions, or responsible sourcing.  
In line with the ‘one -in-one-out’ principle10, the proposed Regulation should replace the 
current Batteries Directive . 
The proposal is fully in line with the EU’s existing environmental and waste legislation. It 
complements this legislation, including: Directive 2000/53/EC of t he European Parliament 
and of the Council of 18  September  2000 on end -of life vehicles11; Directive 2008/98/EC of 
the European Parliament and of the Council of 19  November  2008 on waste12; Directive 
2012/19/EU of the European Parliament and of the Council of  4 July 2012 on waste electrical 
                                                 
9 A "level playing fiel d" is a term for a set of common rules and standards that prevent businesses in one 
country gaining a competitive advantage over those operating in other countries.  
10 Every legislative proposal creating new burdens should relieve people and business of an existing 
equivalent burden at EU -level in the same policy area. Communication from the President to the 
Commission: The Working Methods of the European Commission (P(2019) 2).  
11 OJ L 269, 21.10.2000, p. 34.  
12 OJ L 312, 22.11.2008, p. 3.  EN 3  EN and electronic equipment (WEEE)13; Directive 2011/65/EU on the restriction of the use of 
hazardous substances in electrical and electronic equipment14; Directive 2010/75/EU of the 
European Parliament and of the Council of 24  November  2010 on industrial emissions 
(integrated pollution prevention and control)15; and Regulation (EC) No 1907/2006 of the 
European Parliament and of the Council of 18  December  2006 concerning the Registration, 
Evaluation, Authorisation and Restriction of Chemicals (REACH)16. 
This proposal introduces progressive requirements to minimise the carbon footprint over the 
life cycle of batteries. In this context, efforts to decrease the carbon footprint in the 
manufacturing process will indirectly lead to the p romotion of renewable energy generation.  
• Consistency with other EU policies  
The initiative is consistent with the EU’s international obligations in the area of trade policy , 
in particular because it ensures non -discrimination between products produced in  the EU and 
imported products.  
The initiative fully subscribes to the innovation principle , and the related enabling actions 
under the EU’s research and innovation funding under Horizon 2020.  
The proposal also aims to ensure simple and streamlined monitori ng and reporting 
obligations, thus limiting the administrative burden on Member States, in line with the EU’s 
better -regulation approach17 and the fitness check on reporting and monitoring18. 
2. LEGAL  BASIS,  SUBSIDIARITY  AND  PROPORTIONALITY  
• Legal  basis  
The proposal is based on Article 114 of the Treaty on the Functioning of the European 
Union  (TFEU), which must be used for measures that aim to establish or ensure the 
functioning of the single market . This is a switch from the current legal basis as t he Batteries 
Directive 2006/66/EC  was based on Article 175 TEC (now Article 191 TFEU) and on Article 
95 TEC (now Article 114 TFEU) for the identified product -related provisions.  
The proposal tackles a number of key problems  related to the single market. These  
include: (i) an uneven playing field for batteries placed on the market since applicable rules 
are subject to interpretation; (ii) barriers to the functioning of recycling markets; (iii) uneven 
implementation of the Batteries Directive; (iv) the pressing n eed for large -scale investment to 
respond to the changing market; (v) the need for economies of scale; and (vi) the need for a 
stable and fully harmonised regulatory framework.  
At the same time, there are also a number of environmental problems  related to the 
production, use, and end -of-life management of batteries. The environmental problems that 
are not directly covered by the EU’s environmental acquis , and which thus require a 
regulatory intervention, can all be linked to the functioning of the single ma rket. One such 
problem is the adverse impacts on the environment of hazardous substances  contained in 
batteries when they are not properly disposed of, a problem that can be solved by the proper 
collection and recycling of portable batteries. One of the re asons why collection levels of 
                                                 
13 OJ L 197, 24.7.20 12, p. 38.  
14 OJ L 174, 1.7.2011, p. 88 –110 
15 OJ L 334, 17.12.2010, p. 17.  
16 OJ L 396, 30.12.2006, p. 1.  
17 SWD(2015)111 final.   
18 COM(2017)312 final.   EN 4  EN portable batteries are low is that setting up collection systems has a cost, and the single market 
does not implement the polluter -pays principle in an adequate and harmonised manner. Sub -
optimal levels of collection are also  problematic from a business -profitability point of view. 
This is because recycling technologies are capital intensive  and thus require significant 
economies of scale, in some cases beyond EU national markets. Another problem is the 
failure to lower the to tal environmental impact of batteries  by increasing the circularity of 
the battery value chain. Here, the main cause of the problem is once again a market failure. 
There is no alignment of incentives (and information) between different actors across the 
value chain. And in the market for second -life electric -vehicle batteries, there is no legal 
certainty on the waste status of used batteries and also inadequate information to predict 
battery behaviour.  
The proposal’s objective is thus  to ensure the impleme ntation of common rules for economic 
actors in the single market and to avoid the distortion of competition. The measures will lead 
to further harmonisation of: (i) product requirements for batteries placed on the Union 
market; and (ii) the level of waste management services provided by businesses. The proposal 
will also set requirements for ensuring a well -functioning market for secondary raw 
materials  while preventing and reducing the environmental impacts  from the production 
and use of batteries (as well  as their treatment – including recycling – at the battery’s end of 
life). This will promote a circular battery industry across Europe, and  avoid fragmentation  
from possibly diverging national approaches.  
The manufacture and use of batteries, the underlyi ng value chain, and the handling of end -of-
life batteries are cross -cutting issues  that affect many policy areas. Therefore, in addition to 
pursuing internal market objectives, the proposal will also contribute to objectives related 
to the environment, tra nsport, climate action, energy and international trade . The impact 
analysis of the proposed measures demonstrates that in most cases the internal market 
objectives are predominant  and that the environmental benefits are complementary. 
Therefore, it is appr opriate to use Article 114 TFEU as a sole legal basis.  
• Subsidiarity  (for non-exclusive  competence)  
There is clear added value in setting common requirements at EU level that cover the full 
lifecycle of batteries. It is essential to ensure that manufactu rers, importers and economic 
operators more broadly are subject to harmonised requirements that must be met when (i) 
placing a battery on the Union market and (ii) supplying information to customers across the 
single market. Recyclers must also be able to operate with uniform requirements that apply to 
all recycling businesses in the same way across the EU. In the absence of an intervention at 
EU level setting harmonised rules, intervention at national level would lead to a divergence in 
the requirements fo r economic operators.  
The development of a sustainable battery value chain is capital intensive and requires 
economies of scale that go beyond what national economies can provide. Achieving this 
requires a harmonised and well -functioning single market across all Member States where all 
economic operators of the battery value chain are subject to the same rules.  
In addition, common rules are required for the  transition to a circular economy , which will 
contribute to fostering innovative and sustainable E uropean business models, products and 
materials. These objectives cannot be set by the Member States acting in isolation: the scale 
of the action required means that this is better achieved at Union level. Uniform EU action is 
therefore justified and neces sary. EN 5  EN • Proportionality  
The proposed measures do not go beyond what is necessary for providing the regulatory 
certainty required to incentivise large -scale investment  in the circular economy while 
ensuring a high level of protection of human health and the environment.  
Overall, the proposed policy option is  a gradual change  compared to the existing regulatory 
and institutional framework (i.e. the current Batteries Dire ctive) . For the earlier stages  in 
the value chain for which there is currently no EU legislation, the proposed changes are 
mostly at the level of information and basic requirements  for batteries to be placed on the 
EU market.  
For some of the proposed poli cy options, the impact assessment found that a step-wise 
approach  would best uphold the principle of proportionality. The proposal therefore includes 
a gradual increase  in ambition and requirements  in a number of areas. For example, this is 
the case for th e provision on performance and durability requirements for rechargeable 
industrial batteries. This provision includes information obligations as a first step; it will not 
require the setting of relevant minimum values until more information becomes availab le. 
• Choice  of instrument  
The evaluation of the Batteries Directive and the analysis preceding the impact assessment 
showed that the harmonisation is better achieved by means of a Regulation , as opposed to 
a Directive under the previously more limited app roach.  Diverging national measures  on 
waste collection and waste recovery have led to an incoherent regulatory framework  for 
economic operators and producers. These existing barriers in the form of diverging national 
regulatory frameworks can only be remov ed by more detailed, harmonised rules on the 
organisation of collection and recovery processes and related responsibilities. These detailed 
and harmonised rules should include requirements that apply directly to businesses.  
A Regulation will set direct re quirements for all operators , thus providing the necessary 
legal certainty and enforcement possibility of a fully integrated market across the EU. A 
Regulation also ensures that the obligations are implemented at the same time and in the 
same way in all 27  Member States . 
The instrument will also set out a number of mandates for the Commission to develop 
implementing measures . These implementing measures will allow the Commission to 
elaborate further on the regulation if necessary, allowing for more timely s etting of common 
rules. The Regulation will also reduce uncertainties over timelines  during the transposition 
process typically associated with a Directive in an area where time and legal certainty are 
critically important due to forecasted increases in ma rket size and changes in market 
dynamics more generally.  
 3. RESULTS  OF EX-POST  EVALUATIONS,  STAKEHOLDER  
CONSULTATIONS  AND  IMPACT  ASSESSMENTS  
• Ex-post evaluations/fitness  checks  of existing  legislation  
In April 2019, the Commission published an evaluatio n of the Batteries Directive19, in 
line with the Commission’s better -regulation guidelines and taking into account the 
                                                 
19 Report from the Commission to the European Parliament, the Council, the European Economic and 
Social Committee and the Committee of the Regions of 9 April 2019 on the implementation and the 
impact on the environment and the functioning of the internal market of Directive 2006/66/EC of the 
European Parliament and of the Council of 6 September 2006 on batte ries and accumulators and waste  
 EN 6  EN specifications of Article 23 of the Batteries Directive. The key findings of the evaluation are 
summarised in Annex 6 of the impact assessment, and fed into the analysis (in particular the 
section on the problem definition).  
This policy proposal includes measures that address areas identified in the evaluation of 
the Batteries Directive where the lack of harmonisation or insufficiently  detailed 
provisions  lead to fragmented outcomes in the single market. These are distorting the level 
playing field as they do not provide clarity and cost -efficiency (e.g. producer -responsibility 
organisations). The proposal also includes a number of meas ures that ensure the regulatory 
environment is up to date and fit for purpose to deal with technological novelties  such as 
batteries for electric -vehicles, e -bikes and e -scooters, or the possibility for a ‘second life’ of 
industrial batteries.  
• Stakehold er consultations  
In line with the better regulation guidelines, several consultation activities took place. A brief 
description of these consultation activities is set out in the bullet points below.  
 As part of the preparation of a regulatory initiative on  sustainability 
requirements for batteries , a first consultation round was organised by DG 
GROW between June and November 2019 . It consisted of an open public 
consultation for which 180 contributions were received, and three public 
stakeholder meetings on the findings of two feasibility studies.  
 Following a political decision that a single legal instrument  would replace the 
Batteries Directive and incorporate the sustainability requirements for 
rechargeable batteries on which DG GROW had been working since mid-2018, 
a second round of consultation activities was undertaken between February and 
May 2020 . This second round included:  
– targeted interviews with representatives of the battery value chain, 
consumers, and environmental associations;  
– a survey of busi nesses (manufacturers, waste managers and recyclers);  
– a survey of representatives of research and innovation projects (funded 
under the Horizon 2020 and LIFE programmes);  
– sectoral meetings with stakeholders;  
– a meeting with the Member States Expert Group . 
 The inception impact assessment  on the proposed regulation was published 
on 28  May 2020, and the period to provide feedback ended on 9  July 2020. In 
total, 103 responses were received, largely supporting positions set out by 
stakeholders earlier in the p rocess (for example during the targeted stakeholder 
consultations).  
Overall, the consultation activities showed that there is a general acknowledgement  among 
the public that there is a need for a regulatory initiative that covers the entire battery value 
chain in an integrated manner. Stakeholders who participated in the public consultations 
generally acknowledged that technological, economic and social changes  justify the creation 
                                                                                                                                                         
batteries and accumulators and repealing Directive 91/157/EEC (COM(2019) 166 final) and 
Commission Staff Working Document on the evaluation of the Directive 2006/66/EC on batteries and 
accumulators and waste batteries and a ccumulators and repealing Directive 91/157/EEC 
(SWD(2019)1300).  EN 7  EN of a new regulatory framework for batteries. Stakeholders also agreed that there should be 
better harmonisation  of existing rules and an EU framework covering the entire battery life 
cycle . They said that this framework should comprise common and more stringent 
sustainability rules for batteries, components, waste batteries and recyclates, in order to 
establish clear and common rules to guarantee the functioning of the EU single market.  
The main needs expressed by representative s from industry  were for: (i) a stable regulatory 
framework that ensures investment certainty; (ii) a level playing field that enables the 
sustainable production of batteries; and (iii) the efficient functioning of recycling markets to 
increase the availab ility of quality secondary raw materials. The main concerns expressed by 
representatives from civil society  were on the need for sustainable sourcing and for applying 
the principles of the circular economy to the battery value chain.  
The detailed conclusio ns from the stakeholder consultations are included in Annex 2  and 
Annex 9  of the impact assessment.  
• Collection  and use of expertise  
To support the analysis of the different options, the Commission awarded several support 
contracts to external experts, in cluding for:  
 a study assessing the feasibility of measures addressing shortcomings in the 
current EU batteries framework;  
 a study addressing specific topics (second life, restrictions, deposit and refund 
schemes, etc.);  
 a preparatory study on the ecodesign  and energy labelling of rechargeable 
electrochemical batteries with internal storage;  
 a follow -up feasibility study on sustainable batteries;  
 an impact assessment on the ecodesign and energy labelling of rechargeable 
electrochemical batteries with intern al storage.  
These experts worked in close cooperation with the Commission throughout the different 
phases of the study.  
As well as these support studies, additional expertise was identified through literature research 
and through the stakeholder consultation responses.  
• Impact  assessment  
The proposal is based on an impact assessment . After addressing the Regulatory Scruti ny 
Board’s comments issued in its negative opinion of 24  June 2020, the impact assessment 
received a positive opinion with reservations on 18  September  2020. In its final opinion, the 
Board asked for further details mainly on the baseline and on the compos ition of the policy 
options.  
The impact assessment includes 13 measures  to address the problems  related to: (i) the lack 
of framework conditions to provide incentives for investments in production capacity for 
sustainable batteries; (ii) the sub -optimal f unctioning of recycling markets; and (iii) the social 
and environmental risks that are currently not covered by the EU’s environmental acquis . 
These 13 measures are based on:  (i) the analysis from the evaluation of the Batteries 
Directive; (ii) the public consultations for this initiative; (iii) the various support studies; and 
(iv) political commitments such as the Green Deal. They reflect the fact that responses are 
needed along a complex value chain . EN 8  EN Within each of the 13 broad policy measures, several s ub-measures were considered. 
These sub -measures are in many cases alternative to each other (e.g. for Measure 3, 
collection -rate targets for portable batteries can be either 65% or 75%, but not both). In other 
cases, the sub -measures are designed so that t hey can be cumulative and/or complementary 
(e.g. for Measure 13, a battery ‘passport’ for industrial batteries works in addition to 
information obligations). All of these sub -measures are analysed in proportionate detail in 
Annex 9 of the impact assessment , with a consideration of their impacts compared to the 
business -as-usual scenario.  
To facilitate the analysis, the sub -measures are grouped into four main policy options , which 
are compared against a business -as-usual scenario. These four options are set out below.  
 Option 1 , business -as-usual , is an option that keeps the Batteries Directive, which 
mostly covers the end -of-life stage of batteries, unchanged . For the earlier stages  in 
the value chain, there is currently no EU legislation  in place and so this  will remain 
unchanged. Further details on this option are given in Section 5  on the baseline and 
in Annex 9 . 
 Option 2 , the medium level of ambition option , is an option which builds on the 
Batteries Directive, but gradually strengthens and increases the l evel of ambition. For 
the earlier stages  in the value chain for which there is currently no EU legislation, 
the proposed change is to bring in information and basic requirements as a 
condition for batteries to be placed on the EU market.  
 Option 3 , the high level of ambition option , is an approach that is a bit more 
disruptive,  but still within the limits of what is technically feasible. It entails for 
example setting limit values and thresholds to be complied with within a set 
deadline.  
 Option 4 ¸ the very  high level of ambition option , includes measures that would go 
significantly beyond the current regulatory framework and current business practices.  
Table 1 presents an overview of the different sub -measures included in the policy options, 
with the prefe rred option based on the impact assessment highlighted in green.  
The Commission’s preferred option is a combination of Option 2 and Option 3 . The 
combination chosen provides a balanced approach in terms of effectiveness (achievement of 
the objectives) and  efficiency (cost -effectiveness). The preferred option will facilitate the 
EU’s response to the fast -changing market conditions and ambitiously support a switch 
towards a more low -carbon economy, without risking excessive costs or disruption.  
Table 1: Pref erred option  
Measures  Option 2 - medium level of 
ambition  Option 3 - high level of ambition  Option 4 – very high level 
of ambition  
1. Classification 
and definition   New category for EV batteries  
Weight limit of 5  kg to 
differentiate portable from 
indus trial batteries  
  New calculation methodology for 
collection rates of portable batteries 
based on batteries available for 
collection   / EN 9  EN Measures  Option 2 - medium level of 
ambition  Option 3 - high level of ambition  Option 4 – very high level 
of ambition  
2. Second -life of 
industrial batteries  At the end of the first life, used 
batteries are considered 
waste (except for reuse). 
Repurposing is considered a 
waste treatment operation. 
Repurposed (second life) 
batteries are considered as 
new products which have to 
comply with the product 
requirement s when they are 
placed on the market  At the end of the first life, used 
batteries are not waste.  
Repurposed (second life) batteries 
are considered as new products 
which have to comply with the 
product requirements when they are 
placed on the market.  Mand atory second life 
readiness  
3. Collection rate 
for portable 
batteries  65% collection target in 2025  
 70% collection target in 2030  75% collection target in 
2025  
 
4. Collection rate 
for automotive and 
industrial batteries  New reporting system for 
automotive, EV and industrial 
batteries  
 Collection target for batteries 
powering light transport vehicles.  Explicit collection target for 
industrial, EV and 
automotive batteries  
5. Recycling 
efficiencies and 
recovery of 
materials  Lithium -ion batteries and Co, 
Ni, Li, Cu:  
Recycling efficiency lithium -
ion batteries: 65% by 2025  
Material recovery rates for Co, 
Ni, Li, Cu: resp. 90%, 90%, 
35% and 90% in 2025  
 
Lead -acid batteries and lead:   
Recycling efficiency lead -acid 
batteries: 75% by 2025  
Material recovery for lead: 
90% in 2025  Lithium -ion batteries and Co, Ni, Li, 
Cu:  
Recycling efficiency lithium -ion 
batteries: 70% by 2030  
Material recovery rates for Co, Ni, 
Li, Cu: resp. 95%, 95%, 70% and 
95% in 2030  
 
Lead -acid b atteries and lead:   
Recycling efficiency lead -acid 
batteries: 80% by 2030  
Material recovery for lead: 95% by 
2030  
 / 
6. Carbon footprint 
for industrial and 
EV batteries  Mandatory carbon footprint 
declaration  Carbon footprint performance 
classes and maximum carbon 
thresholds for batteries as a 
condition for placement on the 
market  / 
7. Performance 
and durability of 
rechargeable 
industrial and EV 
batteries  Information requirements on 
performance and durability  Minimum performance and 
durability requirements for industrial 
batteries as a condition for 
placement on the market  / 
8. Non -
rechargeable 
portable batteries  Technical parameters for 
performance and  durability of 
portable primary batteries  
 
 Phase out of portable primary 
batteries of general use  Total phase out of primary 
batteries  
 
9. Recycled 
content in 
industrial, EV and 
automotive 
batteries  Mandatory declaration of 
levels of recycled content, in 
2025  Mandatory levels of recycled 
content, in 2030 and 2035  / EN 10  EN Measures  Option 2 - medium level of 
ambition  Option 3 - high level of ambition  Option 4 – very high level 
of ambition  
10. Extended 
producer 
responsibility  Clear specifications for 
extended producer 
responsibility obligations for 
industrial batteries  
Minimum standards for PROs  / / 
11. Design 
requirements  for 
portable batteries  Strengthened obligation on 
removability  
 New obligation on replaceability   Requirement on 
interoperability  
12. Provision of 
information  Provision of basic information 
(as labels, technical 
documentation or online)  
Provision of more specific 
information to end -users and 
economic operators  (with 
selective access)  Setting up an electronic information 
exchange system for batteries and a 
passport scheme (for industrial and 
electric vehicle batteries only)  / 
13. Supply -chain 
due diligence for 
raw materials in 
industrial and EV 
batteries  Voluntary supply -chain due 
diligence  Mandatory supply chain due 
diligence  / 
        Legend: green = preferred option; light green = preferred option pending a revision clause.  
 
The objective of Measure 1  on classification and definition is to clarify the current provisions 
on battery categories and to update them in line with the latest technological developments 
(Option 2). The administrative changes to some provisions in the cu rrent Batteries Directive 
would improve the effectiveness of several other provisions, without generating any 
significant economic costs or administrative burden. Stakeholders have said that they fully 
accept this measure. The possibility to set a new meth odology for the collection rates based 
on "available for collection" (Option 3) is proposed to be re -assessed through a review clause.  
For Measure 2  on second -life industrial and electric vehicle batteries, the estimated economic 
and environmental benefits  for Options 2 and 3 would be equivalent  (assuming equal levels 
of market penetration), recognising that there are trade -offs between promoting the 
development of second -life batteries on the one hand,   and recycling on the other. The 
administrative costs of Option 3  – under which used batteries would not necessarily be 
considered as waste at the end of their first life (and would only be considered waste when the 
battery holder decides to discard the battery) – are significantly lower  than those for Option  
2.  Option 3 was considered the preferred option in the impact assessment on the grounds that 
it would best encourage the development of a market for second -life batteries and was 
supported by stakeholders.   Option 2 – under which batteries become waste – would give rise 
to extra costs for permits needed to deal with hazardous waste, which was an issue of 
particular concern to stakeholders. This   option could therefore limit the development of the 
second -life market for batteries as the costs are higher. T he Commission concluded that a 
combination of Option 2 and Option 3, whereby specific end of waste criteria including a 
state of health check are set that batteries have to fulfil in order to be sent to repurposing or 
remanufacturing, will provide the most  appropriate way forward. This approach, supported by 
extended producer responsibility requirements, is aimed to encourage the repurposing and 
remanufacturing of batteries while ensuring that waste batteries undergo proper treatment in 
line with EU waste l egislation and international agreements.  EN 11  EN For Measure 3  on a collection rate target for portable batteries, the preferred option is  Option 
2 a 65% collection target in 2025 and Option 3 , a 70% target in 2030. These options are 
estimated to cost around EUR 1.09 and EUR 1.43 per capita per year respectively, to be 
financed through the mechanism of Extended Producer Responsibility. The reason for 
increasing the collection targets significantly compared to the baseline is twofold. First 
because the environmenta l benefits increase in a non -linear way  due to the increased 
collection of lithium -ion batteries. Second because evidence shows that there are economies 
of scale and efficiency gains  to be made. As a generally accepted principle, stakeholders 
accept higher  collection targets as long as they are realistic and they have enough time to 
meet the targets. This is considered not to be the case for Option 4, a collection target of 75% 
by 2025.  
The preferred option for Measure 4  is Option 2 , a new reporting system for automotive and 
industrial batteries. This measure is not expected to give rise to any significant economic costs 
or administrative burden but they would result in increased collection rates. Option 3 , a 
specific collection target for batteries used in means of light transport , is expected to lead 
to significant increase in collection rates. However, due to the need to first developed the 
"available for collection" methodology, this Option is proposed to be re -assessed through a 
review clause.  
The prefer red option for Measure 5  on recycling efficiencies and material recovery is Option 
2, increasing the targets for lead -acid batteries and Option 3, bringing in new targets for 
lithium -ion batteries, cobalt, nickel, lithium and copper. Option 2 sets targets for 2025 based 
on what is currently technically feasible, while Option 3 sets targets for 2030 based on what 
will be technically feasible in the future. Due to the high degree of uncertainty  on a number 
of variables, quantifying the economic and environmen tal impact of these options has proven 
difficult. Modelling estimates indicate that, even under the most conservative assumptions, 
it would have a positive impact .  
For Measure 6  on the carbon footprint of EV batteries, the preferred option is Option 2 , a 
mandatory declaration, complemented, over time, with Option 3, setting carbon footprint 
performance classes and maximum threshold values as a condition for the placement of 
batteries on the EU market. The upfront introduction of Option 3  would be more effe ctive 
than Option 2, but more time is needed to complete the information and methodological 
framework needed. However, Option 2 will enable the gradual introduction of the measures 
foreseen in Option 3. Such measures aim to contribute to the Union’s object ive of reaching 
climate neutrality by 2050 and fight against climate change, as stated in the new Circular 
Economy Action Plan, for a cleaner and more competitive Europe20. The delegated act 
establishing the values of the carbon thresholds will be supported  by a dedicated impact 
assessment.  
For Measure 7  on the performance and durability of rechargeable industrial and electric -
vehicle batteries, the preferred option is Option 2 , bringing in information requirements in the 
short term. This would help harmonis e the calculation and availability of performance and 
durability characteristics of batteries and hence enable consumers and businesses to take 
informed decisions. Once the necessary information is available and the standardisation work 
has been completed,  it will be possible to introduce  minimum performance requirements  
(Option 3) at a later stage. The Commission concluded this option is more effective in the 
                                                 
20 COM(2020)98 final, https://eur -lex.europa.eu/resource.html?uri=cellar:9903b325 -6388 -11ea -b735 -
01aa75ed71a1.0017.02/DOC_1&format=PDF  EN 12  EN long term to help the market switch to better -performing batteries , and so trigger a shift to 
a lower environmental impact.  
For Measure 8  on non-rechargeable portable batteries , the preferred option is Option 2 , 
setting electrochemical performance and durability parameters to minimise the inefficient use 
of resources and energy. These parameters will also be taken up by the labelling requirements 
that are covered by Measure 12 to inform consumers’ batteries' per formance. With regards to 
Options 3 and 4  the conclusion is that there is currently not sufficient evidence available to 
demonstrate the effectiveness and feasibility of a partial or complete phase out of non -
rechargeable batteries. Producers and recyclers  of non -rechargeable batteries are opposed to 
these two more ambitious options.  
The preferred option for Measure 9  is both Option 2 , bringing in a mandatory declaration of 
recycled content, in the short term, and Option 3 , setting mandatory targets for recycled 
content for lithium, cobalt, nickel and lead in 2030 and 2035. The two options are 
complementary and would contribute to providing a predictable legal framework that 
would encourage market players to invest  in recyc ling technologies that would otherwise 
not be developed because they are not cost -competitive with the production of primary raw 
materials.  
For Measure 10  on extended producer responsibility and producer responsibility 
organisations,  no high ambition optio n was proposed since it mostly involves fine -tuning 
existing provisions under the Batteries Directive. The proposed measure would level the 
playing field  for EPR schemes for EV and industrial batteries that are currently classified as 
industrial batteries and for PROs for portable batteries. The economic costs  of this measure 
are expected to be negligible  and largely offset by the environmental benefits  of increased 
collection rates.  
For Measure 11  on design requirements for portable batteries the preferre d option is a 
strengthened obligation of battery removability (Option 2) and a new obligation of battery 
replaceability (Option 3). The economic costs of these options are negligible, while they will 
generate environmental benefits and resource savings . It does this by facilitating the reuse, 
repair and recycling of batteries and the appliances in which they are integrated.  
For Measure 12  on the provision of reliable information, a combination of both Option 2 and 
Option 3 is preferred. Option 2 , bringing in a printed and an online labelling system 
providing basic and more tailored information is preferred because it would help provide 
better information to consumers and end users and stimulate a market shift towards more 
environmentally sound batteries . The principle of Option 3 , an electronic exchange system 
and battery passport, as proposed by the Global Batteries Alliance, is accepted by several 
global organisations. The electronic exchange system  will have a one -off administrative cost 
for setting it up , but will lead to administrative simplification and lower implementation costs 
in the long term. The battery passport  should furthermore enable second life operators to 
take informed business decisions and allow recyclers to better plan their operations a nd 
improve their recycling efficiencies.  
For Measure 13  on due diligence for raw materials, the preferred option is Option 3 , a 
mandatory approach. There is a fair degree of consensus  among stakeholders that this option 
would be more effective  in addressin g the social and environmental risks related to raw 
material extraction, processing and trading of certain raw materials for battery manufacturing 
purposes. This option should be considered in the light of the ongoing work on a proposal for 
cross -sectorial  legislation on sustainable corporate governance which the Commission plans 
to present in 2021 . EN 13  EN Annex 3 of the Impact Assessment provides a summary overview of the costs and benefits, 
and in particular their quantification.  
• Regulatory  fitness  and simplif ication  
The proposed measures have a negligible impact in terms of administrative burden.  
This policy proposal makes maximum use of the potential of digitalisation  to reduce 
administrative costs. For example, Measure 12 proposes to set up an electronic in formation 
exchange for batteries that will hold information about every portable and industrial battery 
model placed on the market. Under Measure 12, a battery passport would also be produced for 
each individual industrial and electric -vehicle battery placed on the market. The development  
of both the information exchange and passport system will entail considerable costs to both 
the Commission and businesses. However, it will provide Member State authorities and the 
Commission with a powerful tool for enforcing the obligations  in the propo sed regulation, 
as well as a market -intelligence tool for revising and refining obligations in the future.  
• Fundamental  rights  
The proposal  does not have  consequences  for the protection  of fundamental  rights.   
4. BUDGETARY  IMPLICATIONS  
The proposal implie s the use of staff and money to purchase data and services. Some of the 
staff requirements are expected to be met under the existing allocations for the Commission, 
the Joint Research Centre (JRC) and the European Chemicals Agency  (ECHA). Commission 
staff resources required will be met by staff from the DG who are already assigned to 
management of the action and/or have been redeployed within the DG. These employees will 
be joined by an additional allocation of staff to be granted to the managing DG under t he 
annual allocation procedure and in the light of budgetary constraints.  
The proposal includes several articles detailing further workstreams that will need to be 
carried out to complement the Regulation and that would need to be adopted through 
implemen ting/delegated acts in a time horizon of 3 -8 years. These will cover: verification of 
compliance with sustainability requirements; the conformity checking system; and waste -
management; information; and labelling. A detailed list of these planned actions is  provided 
below:  
 follow standardisation work in CEN/CENELEC;  
 develop common specifications on: (i) performance and durability for non -
rechargeable portable batteries; (ii) performance and durability for 
rechargeable industrial batteries; and (iii) for safety for stationary battery 
energy storage systems.  
 support the development of harmonised calculation rules for: (i) the carbon 
footprint declaration (including the revision of the product environmental 
footprint category rules (PEFCR) for electric vehic le batteries and rechargeable 
industrial batteries); and (ii) the calculation of carbon footprint performance 
classes for electric vehicle batteries and rechargeable industrial batteries;  
 support the development of harmonised calculation rules for: (i) rec ycled 
content in electric vehicle batteries and rechargeable industrial batteries; (ii) 
recycling efficiencies, (iii) recovered materials, and (iv) waste classification;  
 draw up guidance on the removability and replaceability of portable batteries;  EN 14  EN  set up an electronic information exchange system for submitting information 
related to electric vehicle batteries and rechargeable industrial batteries;  
 develop green public procurement criteria on batteries;  
 amend the list of waste in Commission Decision 2000/53 2/EC21; 
 conduct a risk assessment on – and manage the risk of – substances used in 
batteries;  
 amend reporting obligations.  
The JRC will play a key role in supporting the Commission with some of the technical work 
required. Around EUR 6.2 million will finan ce the necessary studies and an administrative 
agreement with the JRC to support the Commission in a number of workstreams set out in the 
bullet points below.  
 Developing common specifications on: (i) performance and durability for 
general use portable batt eries; (ii) performance and durability for rechargeable 
industrial and electric -vehicle batteries and (iii) for safety for stationary battery 
energy storage systems.  
 Drawing up harmonised rules for: (i) separate collection of portable batteries; 
(ii) decla ring carbon footprints; (iii) calculating the carbon footprint, recycled 
content and recycling efficiencies and (iv) the calculation of carbon footprint 
performance classes of electric vehicle batteries and rechargeable industrial 
batteries.  
 Analysing gre en public procurement criteria (including consultation of public 
procurement stakeholders and legal checks on the proposed public procurement 
rules).  
 Supporting the guidance on removability and replaceability of portable 
batteries;  
 Supporting the developme nt of targeted amendments of the European List of 
Waste entries relevant to batteries;  
 Supporting the phase out of non -rechargeable portable batteries of general use;  
 Supporting the requirements on labelling;  
 Developing the GPP criteria.  
The ECHA will also support the Commission in managing battery substances and their 
regulatory restriction as part of the existing REACH activities. This requires a total of two,  
new full -time-equivalent (FTE) temporary -agent staff (AD 5 -7) at the ECHA (ave rage cost 
EUR 144  000/year over 7 years and beyond). In addition, one  FTE contract agent (CA FG III, 
average cost EUR 69 000/year over 3 years) will be necessary to increase the knowledge base, 
and facilitate an informed priority setting and work plan. Thi s work plan should be based on a 
study to build the ECHA’s current knowledge on how the battery industry manages its 
hazardous chemicals to identify relevant substances for regulatory risk management in the 
                                                 
21 2000/532/EC: Commission Decision of 3 May 2000 replacing  Decision 94/3/EC establishing a list of 
wastes pursuant to Article 1(a) of Council Directive 75/442/EEC on waste and Council Decision 
94/904/EC establishing a list of hazardous waste pursuant to Article 1(4) of Council Directive 
91/689/EEC on hazardous wa ste, OJ L 226 6.9.2000, p. 3  EN 15  EN future. It is estimated that the study will cost EUR 400 000 (over 3 years) to outsource part of 
the research needs.  
DG GROW has estimated that the development of the proposed electronic information 
exchange system for battery information will cost around 10 million €. A feasibility study, to 
be launched  in 2021, will also assess what is the best architecture for the proposed electronic 
information exchange system and what services it should deliver.  
The European Commission will be responsible for negotiating the Regulation, its general 
implementation, a nd the adoption of all the implementing/delegated acts envisaged by the 
Regulation. This will require following: (i) the work carried out in the JRC and the ECHA; 
and (ii) the normal decision -making processes including stakeholder consultation and 
comitolo gy procedures. The current financial simulations are based on 2 FTE AD posts only 
to carry out the managerial tasks, i.e. (i) the negotiation and general implementation of the 
Regulation; and (ii) the different preparatory work and drafting of secondary le gislation 
according to the deadlines proposed in the Batteries Regulation. The technical tasks can be 
performed by 1 FTE seconded national expert (given the expected timeline) and contractual 
agents. Of the 2 AD posts, 1 has been redeployed within DG ENV. The staff costs in the 
Commission amount to a total cost of EUR 3 075 000 based on the latest update of the cost of 
COM staff as reported on the DG BUDG website:   
https://myintracomm.ec.europa.eu/budgweb/en/pre/legalbasis/Pages/pre -040-
020_preparation.aspx .  
It should be noted that the information provided in the legislative financial statement is 
compatible with the post -2020 MFF proposal.  
Some ad ditional resources will be needed in the period 2021 -2029 to progress with work to: 
(i) develop standards and common specifications on the performance and durability of 
batteries; (ii) develop harmonised calculation rules for the separate collection of por table 
batteries, the declaration of carbon footprint, the calculation of carbon footprint performance 
classes, and the calculation of recycled content and recycling efficiencies; (iii) draft guidance 
on the removability and replaceability of portable batte ries; (iv) decide on the formats and 
develop the systems to receive the submissions linked with the electronic information 
exchange; and (v) develop green public procurement criteria. Resources for studies and 
administrative arrangements in this context wi ll be covered by the LIFE programme for a total 
amount of around 4.7 million euro as well as 10.7 million under the Operation and 
development of the internal market of goods and services.  
The budget  of the proposal  is presented  in current  prices  except  for the ECHA  component  of 
the budget  which  indexed  the salaries  at 2% growth  per year.  Additional  resources  will be 
required  for the ECHA  to increase the subsidy it receives.  
The legislative  financial  statement  attached  to this proposal  sets out the implications  for 
budgetary,  human  and administrative   resources.  
5. OTHER  ELEMENTS  
• Implementation  plans  and monitoring,  evaluation  and reporting  arrangements  
The aim of the proposed change to the classification of batteries  is to update the existing 
rules to ensure they cover all batteries, including possible new battery types. Monitoring 
arrangements would need to ensure that the new measures are implemented a nd enforced as 
intended.  EN 16  EN Setting a new collection rate target for portable batteries  requires monitoring the 
collection rate in Member States. This was set up for the current target of 45% and involved 
Eurostat collecting information from Member States on  a yearly basis. Setting a new target 
would therefore not entail additional reporting obligations.  
Creating a reporting system for automotive and industrial batteries requires collecting 
information that is already generated at national level. Moreover, f or automotive and electric -
vehicle batteries, the reporting system could be built on top of the system set up by the End -
of-life Vehicles Directive.  
The recycling efficiency  target for lithium batteries is set at 65% starting in 2025. Eurostat 
has collect ed data on recycling efficiencies for lead, cadmium and other batteries on a yearly 
basis since 2014. It would therefore be a minor addition to include the recycling efficiency of 
lithium to the established data collection procedure.  
The obligation to repo rt the carbon footprint associated with the overall life cycle (excluding 
the use phase) of batteries placed on the market requires developing an IT tool that allows 
manufacturers to enter the information directly. The Commission intends to offer a web -based 
tool and free access to the libraries of secondary datasets to facilitate the process of 
calculating carbon footprint, based on the adopted rules. The data submitted could be used to 
set benchmarks of GHG emissions, to assess whether bringing in classes  of GHG intensity 
performance would be useful to improve the carbon footprint and environmental performance 
of batteries and to assess the need for additional incentives and/or market conditionality 
measures .  
Similarly, the obligation to provide informati on on performance and durability  should form 
part of the technical documentation. Depending on the type of battery, this information should 
also be made available online in a battery database and/or in the battery passport.  
The obligation for producers to provide information on the amount of recycled content  would 
follow  a harmonised methodology . 
For removability , the current obligations should be strengthened, and new provisions are 
proposed for replaceability . 
Provisions on the carbon footprint and recycl ed content declarations, and on the due diligence 
policy for the responsible sourcing of raw materials would require third -party verification , 
in principle, via notified bodies.  
National market authorities  would be responsible for checking the validity of the 
information provided to fulfil all the obligations in the Regulation.  
• Explanatory  documents  (for directives)  
As the legal instrument is a Regulation which is directly applicable in the Member States, 
there is no need for an explanatory document.  
• Detailed  explanation  of the specific  provisions  of the proposal  
Chapter  I of the Regulation  contains  General  provisions.   
Article  1 lays down  that the Regulation  establishes  requirements  on sustainability,  safety  
and labelling  to allow  the placing  on the market  and putting  into service  of batteries,  as 
well as requirements  for the collection,  treatment  and recycling  of waste  batteries . The 
Regulation  shall  apply  to all types  of batteries  and lists the four categories  of batteries,  
namely  portable  batteries,  automotive  batteries,  electric  vehicle  batteries  and industrial  
batteries.   EN 17  EN Article  2 contains  definitions.  
Article  3 lays down  the principle  of free movement  on the single  market  for batteries  
which  comply  with the requirements  of the Regulation.  
Article  4 summarises  which  provisions  lay down  and contain  precisions  on the 
sustainability,  safety  and labelling  requirements  and accordi ngly refers  Chapters  II and III. 
For the remainder,  batteries  shall  not present  a risk to human  health,  to safety,  to property  
or to the environment.  
Article  5 concerns  the requirement  for the Member  States  to designate  one or more  
competent  authorities  to deal with the end-of-life phase  of batteries.  
Chapter  II of the Regulation  lays down  sustainability and safety requirements.  
Article  6, together  with Annex  I, lays down  restrictions  on the use of hazardous  
substances  in batteries,  in particular  mercury  and cadmium.   
Article  7, together  with Annex  II, lays down  rules  on the carbon footprint of electric 
vehicle batteries and rechargeable industrial batteries.  The requirements  are staged  in such 
a manner  that there  first is an information  requirement  in the form  of a carbon  footprint  
declaration.  Thereafter,  the batteries  shall  be subject  to classification  into carbon  footprint  
performance  classes.  Ultimately,  and informed  by the results  of a dedicated  impact  
assessment,  the batteries  will need  to comply  with maximum  life cycle  carbon  footprint  
thresholds.  The timeline  for the three  requirements  is 1 July 2024  for the carbon  footprint  
declaration,  1 January 2026 for the performance classes and 1 July 2027 for the maximum 
life cycle carbon footprint thresholds.  
Article  8 requires  that, as of 1 January  2027,  the technical  documentation  for industrial  
and electric -vehicle  batteries  with internal  storage  that contain  cobalt,  lead,  lithium  or 
nickel  in active  materials  shall  contain  information  about  the amount  of the above  
materials  that have  been  recovered  are present  in each battery  model and batch per 
manufacturing plant . As of 1 January  2030,  those  batteries  shall  contain  the following  
minimum  share  of recovered  cobalt,  lead,  lithium  or nickel  from  waste  of the cobalt,  lead,  
lithium  or nickel  present  in active  materials  in those  batteries:  12% cobalt;  85% lead,  4% 
lithiu m and 4% nickel.  As of 1 January  2035,  the minimum  share  of recovered  cobalt,  
lithium  or nickel  shall  increase  to 20% cobalt,  10% lithium  and 12% nickel.  For lead the 
minimum  share  shall  stay at 85%.  Where justified and appropriate due to the availability of 
cobalt, lead, lithium or nickel recovered from waste, or the lack thereof, the Commission 
shall be empowered to adopt a delegated act to amend the targets ..  
Article  9, together  with Annex  III, requires  that, as of 1 January  2026,  portable  batteries  
of general  use can only be placed  on the market  if the electrochemical performance and 
durability parameters  are fulfilled.  The Commission  shall  be empowered  to adopt  
delegated  acts to lay down  the minimum  requirements  for those  parameters  and to amend  
them  in view  of technical  and scientific  progress.  By 31 December 2030, the Commission 
shall assess the feasibility of measures to phase out the use of non -rechargeable portable 
batteries of general use and, to that end, submit a report to the European Parliame nt and to 
the Council and  consider taking the appropriate measures, including the adoption of 
legislative proposals . 
Article  10, together  with Annex  IV, lays down  an information  requirement  on the 
electrochemical performance  and durability  parameters  for rechargeable  industrial  batteries  
and electric  vehicle  batteries  with internal  storage.  From 1 January 2026, rechargeable  
industrial  batteries  shall meet the minimum values which the Commission  shall  be 
empowered  to adopt  by delegated  act. EN 18  EN Article  11 requir es that manufacturers  shall  design  appliances,  in which  portable  batteries  
are incorporated,  in such a way that waste  batteries  can be readily  removed  and replaced  by 
the end-user or by independent  operators.  
Article  12, together  with Annex  V, requires  that stationary  battery  energy  storage  systems   
are safe during  their normal  operation  and use, including evidence that they have been 
successfully tested for the safety parameters laid down in Annex V, for which state -of-the-
art testing methodologies should be used . The Commission  shall  be empowered  to amend,  
by delegated  act, the safety  requirements  to be taken  into account  to test battery  safety  
which  are set out in Annex  V. 
Chapter  III of the Regulation lays down labelling and information requirements.  
Article 13 and Annex  VI require  that, as of 1 January  2027,  batteries  shall  be labelled,  in a 
visible,  legible  and indelible  manner,  to provide  information  necessary  for the 
identification  of batteries  and of their main  characteristics.  Various  labels  on the battery  or 
the battery  packaging  shall  also inform  about  lifetime,  charging  capacity,  requirement  on 
separate  collection,  presence  of hazardous  substances  and safety  risks.  The QR code  to be 
printed  or engraved  on the battery  shall,  depending  on the type of battery,  give access  to 
the information  that is relevant  for the battery  in question.  The Commission  shall  be 
empowered  to, by implementing  act, establish  harmonised  specifications  for certain  
labelling  requirements.  
Article  14 requires  that rechargeable  industrial  batteries  and electric  vehicle  batteries  shall  
contain  a battery  management  system  that stores  the information  and data needed  to 
determine  the state of health  and expected  lifetime  of batteries  in accordance  with the 
parameters  laid down  in Annex VII. Access  to the data on those  parameters  in the battery  
management  system  shall  be provided  to the legal  or natural  person  who has legally  
purchased  the battery  or any third  party  acting  on their behalf  at any time for evaluating  the 
residual  value  of the battery,  facilitating  the reuse,  repurposing  or remanufacturing  of the 
battery  and for making  the battery  available  to independent  aggregators  operating  virtual  
power  plants  in electricity  grids.  
Chapter  IV contains  rules  on the conformity  assessment  of batteries  and is mostly  made  up of 
standard  provisions.  It is useful  to mention  Article  17 and Article  18. 
Article  17 concerns  the conformity  assessment  procedures  and lays down  two different  
assessment  procedures  depending  on the product  requirement  to be assessed.  Annex  VIII  
describes  in detail  the applicable  procedures.  The Commission  may,  on the basis  of a 
delegated  act, amend  the conformity  assessment  procedures  to both add verifications  steps  
to the procedure  and to change  assessment  module, on the basis  of developments  on the 
battery  market  or in the battery  value  chain.  
Article  18 concerns  the EU declaration  of conformity  which  states  that conformity  with 
the sustainability,  safety  and labelling  requirements  of the Regulation  have  been  
demonstrated.  Annex  IX to the Regulation  sets out in detail  the model  structure  for the EU 
declaration  of conformity.  
Chapter  V concerns  notification  of conformity  assessment  bodies  and is mostly  made  of 
standard  provisions.  Some  of the provisions  are modi fied in order  to strengthen  the notified  
bodies’  independence.  For this purpose  it is useful  to mention  Article  23, Article  25, 
Article  27, Article  28 and Article  33. 
Article  23 lays down  requirements  relating  to notifying  authorities.  Notifying authoritie s 
shall be objective and impartial in their activity and shall safeguard the confidentiality of 
the information they obtain. They should nonetheless be able to exchange information on EN 19  EN notified bodies with national authorities, the notifying authorities of other Member States 
and the Commission to ensure such consistency in the conformity assessment.  
Article  25 contains  requirements  related  to notified  bodies.  It should be possible for the 
notified body and the staff it employs, to maintain independence from  economic operators 
in the battery value chain and from other companies, in particular from battery 
manufacturers, the battery manufacturers’ trade partners, shareholding investors on the 
battery manufacturers’ plants and from other notified bodies and the  notified bodies’ 
business associations and parent companies and subsidiaries.  
Article  27 deals  with subsidiaries  of and subcontracting  by notified  bodies.  While  it is 
accepted  that notified  bodies  subcontract parts of their activities linked to the assessment of 
conformity or have recourse to a subsidiary, it should be ascertained that certain activities 
and decision -making processes are exclusively carried out by the individual notified body 
which carries out the conformity assessment.  
Article  28 concerns  the application  for notification.  In accordance  with Article  25, the 
notified body should be able to document its independence and provide it to the notifying 
authority.  
Article  33 relates  to the operational  obligations  of notified  bodies.  In case o f a negative 
certification decision, the economic operator should be allowed to complement the 
documentation on the battery prior to the conformity assessment body’s second and final 
decision on the certification.  
Chapter  VI lays down the obligations of ec onomic operators. The provisions are standard but 
it is worth mentioning Article 39.  
Article  39, together  with Annex  X, requires  that due diligence  policies  shall  be established  
for rechargeable  industrial  batteries  and electric  vehicles  batteries  placed  on the single  
market.  The Commission  is empowered  to review  the list of substances  and risk categories  
concerned  by this obligation.  
Chapter  VII contains obligations relating to the end -of-life management of batteries. It 
appears relevant to refer specifica lly to the provisions on registration, extended  producer  
responsibility,  collection, treatment and recycling including recycling efficiencies, end of life 
information, repurposing of batteries and reporting. The rules contained in this Chapter 
replace the corresponding rules in Directive 2006/66/EC which is repealed with effect from 1 
July 2023 . 
Article  46 requires  the Member  States  establish  a Register  which  shall  serve  to monitor  
compliance  of producers  with the requirements  on end-of-life management  of batteries.  
The Register  shall  be managed  by the competent  authority  in a Member  State.  Producers  
are obliged  to register   and the registration  shall  be granted  upon  application  which  shall  
contain  all the information  listed  in the Article.  
Article  47 establishes   extended  producer  responsibility  for batteries  that are supplied  in a 
Member  State  for the first time.  It entails  a requirement  for producers of batteries to ensure 
the attainment of the waste management obligations. For meeting their obligations, 
producers may also organise collectively, in a producer responsibility organisation. This 
responsibilit y includes notably the obligations to finance and to organise the separate 
collection and treatment of waste batteries, report to the competent authority, promote the 
separate collection of batteries and provide information including end -of-life aspects 
of  batteries.  EN 20  EN Article  48 lays down  that producers,  individually  or through  a producer  responsibility  
organisation  shall  ensure  the collection  of all waste  portable  batteries,  regardless  of their 
nature,  brand  or origin.  For that purpose  they shall  establish,  free of charge  for the end-
user,  a network  of collection  points  in cooperation  with other  operators  involved,  including  
distributors,  waste  electrical  equipment  and end-of life vehicle  facilities,  public  authorities  
and voluntary  collection  points.   Producers  are furthermore  obliged  to provide  for the 
necessary  practical  arrangements  for collection  and transport  of waste  batteries  from  those  
collection  point  to ensure   that the waste  portable  batteries  are subsequently  subject  to 
treatment  and recycling.  Producers  of waste  portable batteries  are obliged  to reach  the 
collection  targets  laid down  in the Article.  The collection  arrangements  are subject  to 
authorisation  by the competent  authority  who has to verify  that producers  comply  with the 
obligations  regarding  the collection  of waste  portable  batteries,  including  ensuring  that the 
targets  are met. 
Article  49  requires  producers  of automotive  batteries,  industrial  batteries  and electric  
vehicle  batteries,  individually  or through  a producer  responsibility  organisation  to organise  
the collection  of all waste  automotive  batteries,  industrial  batteries  and electric  vehicle  
batteries.  The collection  shall  be free of charge  and without  an obligation  on the end-user 
to buy a new battery.  The producer  shall  take back  waste  automotive  batteries,  industrial  
batteries  and electric  vehicle  batteries  from  end-users  or from  accessible  collection  
points   in cooperation  with distributors  of these  types  of batteries,  waste  electrical  and 
electronic  equipment  and end-of-life vehicle  treatment  and recycling  facilities,  public  
authorities  and  third  parties  carrying  out waste  management  on their behalf.  
Article  55 sets out the collection  rates  to be obtained  by Member  States   of waste  portable  
batteries,  excluding  currently  waste  batteries  from  light means  of transport.  The collection  
rates  shall  gradually  increase  so to ensure  that  by end 2025    65% of waste  portable  
batteries  are collected  and by end 2030  70% of such batteries  are collected.  
Article  56, sets forth  requirements  to be met by treatment  facilities  for all collected  waste  
batteries  to undergo  proper  treatment  and recycling.  Where  treatment  installations  and 
processes  are covered  by Directive  2010/75/EU  on industrial  emissions,  that Directive  will 
apply.  In any case,  treatment  shall  be carried out providing  for best available  techniques  
and the requirements  further  specified  in Annex  XII part A. In view  of the waste hierarchy 
as established by Article 4 of Directive 2008/98/EC,  batteries  shall  not be landfilled  or 
incinerated.  
Article  57 concerns  recycling  efficiencies  and material  recovery  targets  and lays down  that 
all waste  batteries  collected  shall  enter  a recycling  operation.  The recycling  processes  shall  
achieve  minimum  recycling  efficiencies,  laid down  in Annex  XII, which  will increas e over 
time.  These  requirements  are set out with regard  to lead-acid batteries, nickel -cadmium 
batteries, lithium -based batteries and other batteries.  
Article  59 contains  requirements  related  to the operations  of repurposing  and 
remanufacturing for a  second life of industrial  and electric -vehicle  batteries.  It contains  
requirements  to facilitate  such operation,  including  for producers  of the respective  batteries  
to provide  access  to the battery  management  system  to determine  the state of health  of a 
batter y to repurposing  operators.  It also sets out obligations  for persons carrying out the 
repurposing or remanufacturing of batteries to ensure that the examination, performance 
testing, packing and shipment of batteries and their components is carried out fol lowing 
adequate quality control and safety instructions . The persons carrying out repurposing or 
remanufacturing operations of batteries shall ensure that the repurposed or remanufactured 
battery complies with this Regulation and other relevant legislation  and technical EN 21  EN requirements for its specific purpose of use when placed on the market. However, w here it 
is demonstrated that a battery subject to repurposing or remanufacturing was placed on the 
market before certain requirements concerning carbon footpri nt, recycled content, 
performance and durability as well as supply chain due diligence (included in Articles  7, 8, 
10 and 39  of the Regulation), the obligations under those provisions shall not apply to that 
battery when repurposed or remanufactured.  In or der to document that a battery is no 
longer waste the operator carrying out the relevant operation shall demonstrate the 
following upon request by a competent authority:  1) evidence of state of health evaluation 
or testing , 2) certainty  of further  use (by means  of an invoice  or sale contract),  and 3) 
appropriate  protection  against  damage  during  transport,  loading  and unloading.  This 
information shall be made available to end users and third parties acting on their behalf, on 
equal terms and conditions, as p art of the technical documentation accompanying the 
repurposed battery when placed on the market or put into service.  
Article  60 contains  requirements  for the provision  of information  regarding  waste  
batteries.  This includes  obligations  to producers,  or their producer  responsibility  
organisations,  to end users  and distributors  regarding  their contribution  to the end of life 
treatment.  The Article  also sets up obligations  to provide  for information  relevant  to safety  
during  collection  and storage  of waste  batteries  to distributors  and operators  involved  in 
the collection  and waste  treatment,  as well as providing  to those  operators  information  to 
facilitate  removal  of waste  batteries  and subsequent  treatment.   
Article  61 concerns  reporting  from  the respective  operators  involved  in the waste  
management  to the competent  authority   on the waste  management   of batteries.   This 
includes  notably  requirements  for producers,  or producer  responsibility  organisations  on 
their behalf,   to report  the amount  of batteries  placed on the market,  of  waste  
batteries   collected  and delivered  for treatment  and recycling,  and for recycling  operators  to 
report  on waste  batteries  entering  recycling,  the recycling  efficiencies  and levels  of 
recovered  materials  from  waste  batteries  and the amount  of batteries  that has been  treated  
and recycled.  
Article  62 concerns  reporting  from  the Member  States  to the Commission.  Member  States  
shall  report  to the Commission,  for each calendar  year per battery  type and their chemistry,  
the amount  of batteries  supplied  for the first time for distribution  or use within  the territory  
of a Member  State,  the amount  of waste  batteries  collected  in accordance  and the data 
concerning  the levels  of recycling  achieved  and whether  the recycling  efficiencies   and 
levels  of material  recovery  set out in the Regulation  have  been  met. The Commission  shall 
by implementing  acts lay down  the format  for the reporting.  
Chapter  VIII concerns the electronic exchange of information.  
Article 64  concerns the electronic exchange system which the Commission, by 1 January 
2026, shall set up. The system shall contain the information and data on rechargeable 
industrial and electric vehicle batteries with internal storage, as laid down in Annex XIII. 
That information and data shall be sortable and searchable, respecting open standards for 
third party use. The relevant economic operators shall be able to feed the system with 
information in a machine -readable format. The Commission shall publish through t he 
system certain information mentioned in Article 62 and shall, by implementing act, lay 
down details concerning the architecture of the system, the format in which the information 
is to be submitted and the rules for accessing, sharing, managing, explori ng, publishing and 
reusing the information and data in the system.  
Article 65  concerns the battery passport and requires that, by 1 January 2026, industrial 
batteries and electric -vehicle batteries shall have an electronic record for each individual EN 22  EN batter y they place on the market. The records shall be unique for each battery, to be 
identified through a unique identifier. The battery passport shall be linked to the 
information about the basic characteristics of each battery type and model stored in the 
data sources of the system established according to Article 64 and shall be accessible 
online.  
Chapter  IX sets out the standard  provisions  on market  surveillance.   
Article 69  enables market surveillance authorities to require economic operators to take 
corre ctive actions on the basis of findings that either the battery is not compliant or the 
economic operator infringes an obligation which follows from the rules on single market or 
sustainability, safety, labelling and due diligence.  
Chapter  X concerns green public procurement, procedure for introducing new and amending 
existing restrictions on hazardous substances and Commission recognition of supply chain 
due diligence schemes.  
Article  70 concerns  green  public  procurement  and requires  that contracting  authorities  and 
contracting  entities,  when  procuring  batteries  or products  containing  batteries,  consider  the 
environmental  impacts  of batteries  over their life-cycle  with a view  to ensure  that such 
impacts  are kept to a minimum.  To this effect,  the contracting  authorities  and contracting  
entities  are asked  to include technical specifications and award criteria based on Articles 7 
to 10 to ensure that a product is chosen among  products with significantly lower 
environmental impacts over their life cycle . The Commission  may by delegated  acts 
establish  minimum  mandatory  green  public  procurement  criteria.  
Article  71 contains  the procedure  for amending the restrictions on hazardous substances, 
further to Article 6 and Annex I.  
Article  72 concerns  suppl y chain due diligence schemes and the Commission’s recognition 
thereof. Governments, industry associations and groupings of interested organisations 
having that have developed and oversee due diligence schemes may apply to the 
Commission to have their supp ly chain due diligence schemes that are developed and 
overseen by them recognised by the Commission. Where the Commission determines that 
the supply chain due diligence scheme, when effectively implemented by economic 
operator enables that economic operato r to comply with the requirement to set up a due 
diligence policy, it shall adopt an implementing act granting that scheme a recognition of 
equivalence with the requirements set out in this Regulation.  
Chapter  XI sets out delegated powers and committee pro cedure.  
Chapter  XII sets out an amendment to Regulation (EU) 2109/1020.  
Chapter XIII  sets out the final provisions.  EN 23  EN 2020/0353 (COD)  
Proposal for a  
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE  COUNCIL  
concerning batteries and waste batteries, repealing Directive 2006/66/EC and amending 
Regulation (EU) No 2019/1020  
(Text with EEA relevance)  
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,  
Having regard to the Treaty on the Function ing of the European Union, and in particular 
Article 114 thereof,  
Having regard to the proposal from the European Commission,  
After transmission of the draft legislative act to the national parliaments,  
Having regard to the opinion of the European Economic  and Social Committee1,  
Having regard to the opinion of the Committee of the Regions2,  
Acting in accordance with the ordinary legislative procedure,  
Whereas:  
(1) The European Green Deal3 is Europe’s growth strategy that aims to transform the 
Union into  a fair and prosperous society, with a modern, resource -efficient and 
competitive economy where there are no net emissions of greenhouse gases in 2050 
and where economic growth is decoupled from resource use.   A shift from the use of 
fossil fuels in vehicles  to electromobility is one of the prerequisites for reaching the 
climate neutrality goal in 2050. In order for the Union’s product policies to contribute 
to lowering carbon emissions on a global level, it needs to be ensured that products 
marketed and sold  in the Union are sourced and manufactured in a sustainable manner.  
(2) Batteries are thus an important source of energy and one of the key enablers for 
sustainable development, green mobility, clean energy and climate neutrality. It is 
expected that the d emand for batteries will grow rapidly in the coming years, notably 
for electric road transport vehicles using batteries for traction, making this market an 
increasingly strategic one at the global level. Significant scientific and technical 
progress in the  field of battery technology will continue. In view of the strategic 
importance of batteries, and to provide legal certainty to all operators involved and to 
avoid discrimination, barriers to trade and distortions on the market for batteries, it is 
necessa ry to set out rules on sustainability parameters, performance, safety, collection, 
recycling and second life of batteries as well as on information about batteries. It is 
                                                 
1 OJ C , , p. .  
2 OJ C , , p. [… 
3 Communication from the Commission to the European Parliament, the European Council, the Council, 
the European Economic and Social Committee and the Committee of the Regions, The European Green  
Deal (COM (2019) 640 final).  EN 24  EN necessary to create a harmonised regulatory framework for dealing with the entire lif e 
cycle of batteries that are placed on the market in the Union.  
(3) Directive 2006/66/EC of the European Parliament and of the Council4 has brought 
about an improvement in the environmental performance of batteries and established 
some common rules and ob ligations for economic operators, in particular through 
harmonised rules for the heavy metal content and labelling of batteries and rules and 
targets for the management of all waste batteries, based on extended producer 
responsibility.  
(4) The Commission’ s reports on the implementation, impact and evaluation of Directive 
2006/66/EC5 highlighted not only the achievements but also the limitations of that 
Directive, in particular against a fundamentally changed context characterised by the 
strategic importanc e of batteries and their increased use.  
(5) The Commission’s Strategic Action Plan on Batteries6 sets out measures to support 
efforts to build a battery value chain in Europe, embracing raw materials extraction, 
sustainable sourcing and processing, sustain able battery materials, cell manufacturing 
as well as re -use and recycling of batteries  
(6) In the European Green Deal, the Commission confirmed its commitment to implement 
the Strategic Action Plan on Batteries and stated that it would propose legislatio n to 
ensure a safe, circular and sustainable battery value chain for all batteries, including to 
supply the growing market of electric vehicles.  
(7) The Council in its conclusions of 4 October 2019 on ‘More circularity – Transition to 
a sustainable societ y’ called, inter alia, for coherent policies supporting the 
development of technologies that improve the sustainability and circularity of batteries 
to accompany the transition to electro -mobility. Furthermore, the Council called for an 
urgent revision of Directive 2006/66/EC, which should include all relevant batteries 
and materials and which should consider, in particular, specific requirements for 
lithium and cobalt as well as a mechanism allowing the adaptation of that Directive to 
future changes in bat tery technologies.  
(8) The new Circular Economy Action Plan adopted on 11 March 20207 states that the 
proposal for a new regulatory framework for batteries will consider rules on recycled 
content and measures to improve the collection and recycling rates of all batteries, in 
                                                 
4 Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on batteries 
and accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC (OJ L 266, 
26.9.2006, p. 1)  
5 Repo rt from the Commission to the European Parliament, the Council, the European Economic and 
Social Committee and the Committee of the Regions of 9 April 2019 on the implementation and the 
impact on the environment and the functioning of the internal market o f Directive 2006/66/EC of the 
European Parliament and of the Council of 6 September  2006 on  batteries  and  accumulators  and  
waste  batteries  and  accumulators  and  repealing Directive 91/157/EEC (COM(2019) 166 final) and 
Commission Staff Working Doc ument on the evaluation of the Directive 2006/66/EC on batteries and 
accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC (SWD(2019) 
1300 final).  
6 Annex 2 to Communication from the Commissions to the European Parliament, the Council, the 
European Economic and Social Committee and the Committee of the Regions of 17 May 2018, 
EUROPE ON THE MOVE - Sustainable Mobility for Europe: safe, connected and cle an 
(COM(2018)293 final).  
7 Communication from the Commission to the European Parliament, the Council, the European 
Economic and Social Committee and the Committee of the Regions of 11 March 2020, A new Circular 
Economy Action Plan – For a cleaner and more  competitive Europe ( COM(2020)98 final).  EN 25  EN order to ensure the recovery of valuable materials and to provide guidance to 
consumers and will address the possible phasing out of non -rechargeable batteries 
where alternatives exist. Furthermore, it is stated that sustainability and  transparency 
requirements will be considered, taking into account the carbon footprint of battery 
manufacturing, the ethical sourcing of raw materials and the security of supply in 
order to facilitate reuse, repurposing and recycling of batteries.   
(9) Addressing the entire life cycle of all batteries placed on the Union market requires the 
setting up of harmonised product and marketing requirements, including conformity 
assessment procedures, as well as requirements to fully address the end -of-life stage of 
batteries. Requirements concerning the end -of-life stage are necessary to address the 
environmental implications of the batteries and, in particular, to support the creation of 
recycling markets for batteries and markets for secondary raw materials from  batteries 
in order to close the materials loops. In order to reach the envisaged objectives to 
address the whole life cycle of a battery in one legal instrument  while avoiding 
barriers to trade and a distortion of competition and safeguarding the integrit y of the 
internal market, the rules setting out the requirements for batteries should be of 
uniform application for all operators across the Union, and not give room for divergent 
implementation by Member States. Directive 2006/66/EC should therefore be re placed 
by a Regulation.  
(10) This Regulation should apply to all types of batteries and accumulators placed on the 
market or put into service within the Union, whether on their own or incorporated into 
appliances or otherwise supplied with electrical and e lectronic appliances and vehicles. 
This Regulation should apply regardless of whether a battery is specifically designed 
for a product or is of general use and regardless of whether it is incorporated into a 
product or is supplied together with or separate ly from a product in which it is to be 
used.  
(11) Products placed on the market as battery packs, which are batteries or groups of cells 
that are connected and/or encapsulated within an outer casing so as to form a complete 
unit ready for use that the end-user is not intended to split up or open and which 
conform to the definition of batteries, should be subject to requirements applicable to 
batteries. Products placed on the market as battery modules, which conform to the 
definition of battery pack, sho uld be subject to requirements applicable to battery 
packs.  
(12) Within the Regulation’s wide scope, it is appropriate to distinguish between different 
categories of batteries in accordance with their design and use, independent of the 
battery chemistry. T he classification into portable batteries, on one hand, and 
industrial batteries and automotive batteries on the other hand under Directive 
2006/66/EC should be further developed to better reflect new developments in the use 
of batteries. Batteries that ar e used for traction in electric vehicles and which under 
Directive 2006/66/EC fall in the category of industrial batteries, constitute a large and 
growing part of the market due to the quick growth of electric road transport vehicles. 
It is therefore appro priate to classify those batteries that are used for traction in road 
vehicles as a new category of electric vehicle batteries. Batteries used for traction in 
other transport vehicles including rail, waterborne and aviation transport, continue to 
fall unde r the category of industrial batteries under this Regulation.  The industrial 
battery type encompasses a broad group of batteries, intended to be used for industrial 
activities, communication infrastructure, agricultural activities or generation and 
distrib ution of electric energy. In addition to this non exhaustive list of examples, any 
battery that is neither a portable battery nor an automotive battery nor an electric EN 26  EN vehicle battery should be considered an industrial battery.  Batteries used for energy 
storage in private or domestic environments.  are considered industrial batteries for the 
purposes of this Regulation.Furthermore, in order to ensure that all batteries used in 
light means of transport, such as ebikes and scooters, are classified as portable 
batteries, it is necessary to clarify the definition of portable batteries and to introduce a 
weight limit for such batteries.  
(13) Batteries should be designed and manufactured so as to optimise their performance, 
durability and safety and to minimise the ir environmental footprint. It is appropriate to 
lay down specific sustainability requirements for rechargeable industrial batteries and 
electric vehicle batteries with internal storage with a capacity above 2 kWh as such 
batteries represent the market seg ment which is expected to increase most in the 
coming years.  
(14) In order to ensure that obligations arising from this Regulation are carried out and to 
monitor and verify compliance of producers and producer responsibility organisations 
with the requirem ents of this Regulation, it is necessary that Member States designate 
one or more competent authorities.  
(15) The use of hazardous substances in batteries should be restricted in order to protect 
human health and the environment and to reduce the presence of such substances in 
waste. Thus, in addition to the restrictions set out in Annex XVII of Regulation (EC) 
No 1907/2006 of the European Parliament and of the Council8, it is appropriate to set 
out restrictions for mercury and cadmium in certain types of b atteries. Batteries used 
in vehicles which benefit from an exemption under Annex II to Directive 2000/53/EC 
of the European Parliament and of the Council9 should be excluded from the 
prohibition to contain cadmium.  
(16) In order to ensure that hazardous su bstances that pose an unacceptable risk to human 
health or to the environment when used in batteries, can be duly addressed, the power 
to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the 
European Union should be delegated t o the Commission in respect of amending 
restrictions on hazardous substances in batteries.  
(17) The procedure for adopting new and amending current restrictions on hazardous 
substances in batteries should be fully streamlined with Regulation (EC) No 
1907/2 006. To ensure effective decision -making, coordination and management of the 
related technical, scientific and administrative aspects of this Regulation, the European 
Chemicals Agency set up under Regulation (EC) No 1907/2006 (‘the Agency’) should 
carry ou t specified tasks with regard to the evaluation of risks from substances in the 
manufacture and use of batteries, as well as those that may occur after their end -of-life 
as well as the evaluation of the socio -economic elements and the analysis of 
alternati ves, in accordance with relevant guidance by the Agency . Consequently, the 
Committees for Risk Assessment  and Socio -economic Analysis of the Agency should 
facilitate the carrying out of certain tasks conferred on the Agency by this Regulation.  
                                                 
8 Regulation (EC) No  1907/2006 of the European Parliament and of the Council of 18  December 2006 
concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), 
establishing a European C hemicals Agency, amending Directive 1999/45/EC and repealing Council 
Regulation (EEC) No  793/93 and Commission Regulation (EC) No  1488/94 as well as Council 
Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 
2000/21/EC (OJ L 396, 30.12.2006, p. 1)  
9 Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000 on end -of 
life vehicles (OJ L 269, 21.10.2000, p. 34).  EN 27  EN (18) The e xpected massive deployment of batteries in sectors like mobility and energy 
storage should reduce carbons emissions, but to maximise this potential it is necessary 
that their overall life cycle has a low carbon footprint. According to the Product 
Environme ntal Footprint Category Rules for High Specific Energy Rechargeable 
Batteries for Mobile Applications10, climate change is the second highest related 
impact category for batteries after the use of minerals and metals. The technical 
documentation for recharg eable industrial batteries and electric vehicle batteries with 
internal storage and a capacity above 2 kWh placed on the Union market should 
therefore be accompanied by a carbon footprint declaration,, which should be specific, 
if necessary, per manufactur ing batch. Batteries are manufactured in batches, made in 
specific amounts within certain timeframes Harmonising the technical rules for 
calculating the carbon footprint for all rechargeable industrial batteries and electric 
vehicle batteries with internal  storage with a capacity above 2 kWh placed on the 
Union market is a prerequisite for introducing a requirement for the technical 
documentation of the batteries to include a carbon footprint declaration and 
subsequently establishing carbon footprint perfor mance classes that will allow 
identifying the batteries with overall lower carbon footprints. Information and clear 
labelling requirements on batteries’ carbon footprint is not expected in itself to lead to 
the behavioural change necessary to ensure that t he Union’s objective to decarbonise 
the mobility and energy storage sectors is achieved, in line with the internationally 
agreed objectives on climate change11. Therefore, maximum carbon thresholds will be 
introduced, further to a dedicated impact assessmen t to determine those values. In 
proposing the level of the maximum carbon footprint threshold, the Commission will, 
inter alia, take into account the relative distribution of the carbon footprint values in 
batteries on the market, the extent of progress in  the reduction of carbon footprint of 
batteries placed on the Union market and the effective and potential contribution of 
this measure to the Union’s objectives on sustainable mobility and climate neutrality 
by 2050. In order to bring about transparency o n the batteries’ carbon footprint , and 
shift the Union market towards lower carbon batteries, regardless of where they are 
produced, a gradual and cumulative increase in the carbon footprint requirements is 
justified. As a result of these requirements, th e avoided carbon emissions in batteries’ 
life cycle, will contribute to the Union’s objective of reaching climate neutrality by 
2050. This may also enable other policies at Union and national level, such as 
incentives or green public procurement criteria, fostering the production of batteries 
with lower environmental impacts.  
(19) Certain substances contained in batteries, such as cobalt, lead, lithium or nickel, are 
acquired from scarce resources which are not easily available in the Union, and some 
are co nsidered critical raw materials by the Commission. This is an area where Europe 
needs to enhance its strategic autonomy and increase its resilience in preparation for 
potential disruptions in supply due to health or other crises. Enhancing circularity and 
resource efficiency with increased recycling and recovery of those raw materials, will 
contribute to reaching that goal.  
(20) The increased use of recovered materials would support the development of the 
circular economy and allow a more resource -efficient  use of materials, while reducing 
                                                 
10 Product Environmental Footprint - Category Rules for High Specific Energy Rechargeab le Batteries for 
Mobile Applications https://ec.europa.eu/environment/eussd/smgp/pdf/PEFCR_Batteries.pdf   
11 Paris agreement (OJ L 282, 19.10.2016, p. 4) and the United Nati ons Framework Convention on 
Climate Change, available at https://unfccc.int/resource/docs/convkp/conveng.pdf   EN 28  EN Union dependency on materials from third countries. For batteries, this is particularly 
relevant for cobalt, lead, lithium and nickel. Therefore, it is necessary to promote the 
recovery of such materials from waste, establ ishing a requirement on the level of 
recycled content in batteries using cobalt, lead, lithium and nickel in active materials. 
This Regulation sets mandatory recycled content targets for cobalt, lead, lithium and 
nickel and which should be met by 2030. For  cobalt, lithium and nickel increased 
targets are established by 2035. All targets, should take into account the availability of 
waste, from which such materials can be recovered, the technical feasibility of the 
involved recovery and manufacture processes  as well as the time needed by the 
economic operators to adapt their supply and manufacturing processes. Therefore, 
before such mandatory targets become applicable, the requirement related to recycled 
content should be limited to disclosure of information on recycled content.  
(21) In order to take into account the risk of supply of cobalt, lead, lithium and nickel and 
to assess their availability, the power to adopt acts in accordance with Article 290 of 
the Treaty on the Functioning of the European Union s hould be delegated to the 
Commission in respect of amending the targets for the minimum share of recycled 
cobalt, lead, lithium or nickel present in active materials in batteries.  
(22) In order to ensure uniform conditions for the implementation of the rul es on 
calculating and verifying, per battery model and batch per manufacturing plant, the 
amount of cobalt, lead, lithium or nickel recovered from waste present in active 
materials in batteries and the information requirements for technical documentation , 
implementing  powers should be conferred on the Commission.  
(23) Batteries placed on the Union market should be durable and highly performant. It is 
therefore necessary to set out performance and durability parameters for portable 
batteries of general use a s well as for rechargeable industrial batteries and electric 
vehicle batteries. For electric vehicle batteries, the informal UNECE Working Group 
on Electric Vehicles and the Environment is developing in -vehicle durability 
requirements, so this Regulation i s refraining from setting additional durability 
requirements. On the other hand, in the area of batteries for energy storage, existing 
measurement methods to test battery performance and durability are not considered 
sufficiently precise and representative  to enable introducing minimum requirements . 
The introduction of minimum requirements related to performance and durability of 
these batteries should be accompanied by available adequate harmonised standards or 
common specifications.  
(24) In order to reduc e the life cycle environmental impact batteries, the power to adopt 
acts in accordance with Article 290 of the Treaty on the Functioning of the European 
Union should be delegated to the Commission in respect of amending the performance 
and durability param eters and establishing minimum values for those parameters for 
portable batteries of general use and for rechargeable industrial batteries.  
(25) Some non -rechargeable batteries of general use may imply an inefficient use of 
resources and energy. Objective requirements regarding the performance and 
durability of such batteries should be established in order to ensure that fewer low 
performing non -rechargeable portable batteries of general use are placed on the 
market, in particular, where, based on a life cy cle assessment, the alternative use of 
rechargeable batteries would result in overall environmental benefits.  
(26) In order to ensure that portable batteries incorporated into appliances are subject to 
proper separate collection, treatment and high qualit y recycling once they have 
become waste, provisions to ensure their removability and replaceability in such EN 29  EN appliances are necessary. Used batteries should also be replaceable so as to prolong 
the expected lifetime of the appliances they are part of. The g eneral provisions of this 
Regulation may be complemented with requirements set up for particular products 
powered by batteries under implementing measures under Directive 2009/125/EC of 
the European Parliament and of the Council12. Where other Union legisla tion lays 
down more specific requirements, for safety reasons, regarding the removal of 
batteries from products (e.g. toys), those specific rules should apply.  
(27) Reliable batteries are fundamental for the operation and safety of many products, 
applianc es and services. Therefore, batteries should be designed and manufactured to 
ensure their safe operation and use. This aspect is particularly relevant for stationary 
battery energy storage systems, which are currently not covered by other Union 
legislation . Parameters to be considered in safety tests should therefore be laid down 
for those energy storage systems.  
(28) In order to provide end users with transparent, reliable and clear information about 
batteries and their main characteristics, and waste batteries, to enable the end users to 
make informed decisions when buying and discarding batteries and to enable  waste 
operators to appropriately treat waste batteries, batteries should be labelled. Batteries 
should be labelled with all the necessary info rmation concerning their main 
characteristics, including their capacity and content of certain hazardous substances. 
To ensure the availability of information over time, that information should also be 
made available by means of QR codes.  
(29) Information about the performance of batteries is essential to ensure that end -users as 
consumers are well and timely informed and in particular that they have a common 
basis to compare different batteries before making their purchase. Therefore, portable 
batteries of  general use and automotive batteries should be marked with a label 
containing the information on their minimum average duration when used in specific 
applications. Additionally, it is important to guide the end -user to discard waste 
batteries in an approp riate way.  
(30) Rechargeable industrial batteries and electric -vehicle batteries with internal storage 
with a capacity above 2 kWh should contain a battery management system that stores 
data so that the state of health and expected lifetime of batteries m ay be determined at 
any time by the end -user or any other third party acting on his behalf. In order to 
repurpose or remanufacture a battery, a ccess  to the battery  management  system  should  
be provided  to the person  that has purchased  the battery  or any third party  acting  on its 
behalf  at any time for evaluating  the residual  value  of the battery,  facilitating  the reuse,  
repurposing  or remanufacturing  of the battery  and for making  the battery  available  to 
independent  aggregators,  as defined  in Directive (EU) 201/944 of the European 
Parliament and of the Council13, which  operate  virtual  power  plants  in electricity  grids.  
This requirement should apply in addition to Union law on type of approval of 
vehicles, including technical specifications that may originate f rom the work of the 
informal UNECE Working Group on Electric Vehicles and the Environment on data 
access in electric vehicles.  
                                                 
12 Directive 2009/125/EC of the European Parliament and of the Council of 21 Oc tober 2009 establishing 
a framework for the setting of ecodesign requirements for energy -related products (OJ L 285, 
31.10.2009, p. 10).  
13 Directive (EU) 2019/944 of the European Parliament and of the Council of 5 June 2019 on common 
rules for the internal  market for electricity and amending Directive 2012/27/EU (OJ L 158, 14.6.2019, 
p. 125)  EN 30  EN (31) A number of product -specific requirements under this Regulation, including on 
performance, durability, repurposing and safet y, should be measured by using reliable, 
accurate and reproducible methods that take into account the generally recognised 
state-of-the-art measurements and calculation methodologies. In order to ensure that 
there are no barriers to trade on the internal m arket, standards should be harmonised at 
Union level. Such methods and standards should, to the extent possible, take into 
account the real -life usage of batteries, reflect the average range of consumer 
behaviour and be robust in order to deter intentional  and unintentional circumvention. 
Once a reference to such a standard has been adopted in accordance with Regulation 
(EU) No 1025/2012 of the European Parliament and of the Council14 and published in 
the Official Journal of the European Union, presumption o f conformity shall be 
established with those product -specific requirements adopted on the basis of this 
Regulation, provided that the outcome of such methods demonstrate that the minimum 
values established for those substantive requirements are attained. I n the absence of 
published standards at the time of the application of   product -specific requirements, 
the Commission should adopt common specifications through implementing acts and 
the compliance with such specifications should also give rise to the pres umption of 
conformity. In cases where the common specifications are, at a later stage, found to 
have shortcomings, the Commission should by implementing act amend or repeal the 
common specifications in question.  
(32) To ensure effective access to informati on for market surveillance purposes, to adapt to 
new technologies and to ensure resilience in case of global crises, such as the Covid -
19 pandemic, it should be possible to give information regarding conformity with all 
Union acts applicable to batteries o nline in the form of a single EU declaration of 
conformity.  
(33) Regulation (EC) No  765/2008 of the European  Parliament and of the Council15 lays 
down rules on the accreditation of conformity assessment bodies, provides a 
framework for the market surveilla nce of products and for controls on products from 
third countries, and lays down the general principles of the CE marking. That 
Regulation should be applicable to batteries covered by this Regulation in order to 
ensure that products benefiting from the fre e movement of goods within the Union 
fulfil requirements providing a high level of protection of public interests such as 
human health, safety and the environment.  
(34) In order to enable economic operators to demonstrate and the competent authorities to 
verify that batteries made available on the market comply with the requirements of this 
Regulation, it is necessary to provide for conformity assessment procedures. Decision 
No 768/2008/EC of the European Parliament and of the Council16 establishes modules 
                                                 
14 Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on 
European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 
94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 
2009/105/EC of the European Parliament and of the Council and repealing Council Decision 
87/95/EEC and Decision No 1673/2006/EC of the European  Parliament and of the Council (OJ L 316, 
14.11.2012, p. 12)  
15 Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out 
the requirements for accreditation and market surveillance relating to the marketing of prod ucts and 
repealing Regulation (EEC) No 339/93 ( OJ L 218, 13.8.2008, p. 30)  
16 Decision No 768/2008/EC of the European Parliament and of the Council of 9 July 2008 on a common 
framework for the marketing of products, and repealing Council Decision 93/465/EEC , OJ L 218, 
13.8.2008, p. 82  EN 31  EN for conformity assessment procedures, ranging from the least stringent to the most 
stringent depending on the level of risk involved and the level of safety required. 
According to Article 4 of that Decision, where conformity assessment is required, the 
procedures to be used for that assessment are to be chosen from among those modules.  
(35) The chosen modules do not however reflect certain specific aspects of batteries and 
thus, it is necessary to adapt the modules chosen for the conformity assessment 
proce dure. In order to take account of the novelty and complexity of the sustainability, 
safety and labelling requirements set out in this Regulation and  for the purpose of 
ensuring the conformity of batteries placed on the market with the legal requirements , 
the power to adopt acts in accordance with Article 290 of the Treaty on the 
Functioning of the European Union should be delegated to the Commission  in respect 
of amending the conformity assessment procedures by adding verifications steps or 
changing assess ment module, on the basis of developments on the battery market or in 
the battery value chain.  
(36) The CE marking on a battery indicates the conformity of that battery with this 
Regulation. General principles governing the CE marking and its relationship to other 
markings are set out in Regulation (EC) No 765/2008. Those principles should apply 
to the CE marking on batteries. In order to ensure that the battery is stored, used and 
discarded in a manner which is safe from the point of view of protecting hum an health 
and the environment, specific rules governing the affixing of the CE marking in the 
case of batteries should be laid down .  
(37) The conformity assessment procedures set out in this Regulation require the 
intervention of conformity assessment bod ies. In order to ensure a uniform 
implementation of the provisions in this Regulation , those bodies should be notified by 
the Member State authorities to the Commission.  
(38) Due to the novelty and complexity of the sustainability, safety and labelling 
requirements for batteries and in order to ensure a consistent level of quality in the 
performance of conformity assessment of batteries, it is necessary to set requirements 
for notifying authorities involved in the assessment, notification and monitoring of  
notified bodies. In particular, it should be ensured that the notifying authority is 
objective and impartial with regard to its activity. Furthermore, notifying authorities 
should be required to safeguard the confidentiality of the information it obtains but 
should nonetheless be able to exchange information on notified bodies with national 
authorities, the notifying authorities of other Member States and the Commission to 
ensure consistency in the conformity assessment . 
(39) It is essential that all notif ied bodies perform their functions to the same level and 
under conditions of fair competition and autonomy. Therefore, requirements for 
conformity assessment bodies wishing to be notified in order to provide conformity 
assessment activities should be set. Those requirements should continue to apply as a 
prerequisite for the maintenance of the competence of the notified body. To ensure its 
autonomy, the notified body and the staff it employs should be required to maintain 
independence from economic operators  in the battery value chain and from other 
companies, including business associations and parent companies and subsidiaries. 
The notified body should be required to document its independence and provide that 
documentation to the notifying authority . 
(40) If a conformity assessment body demonstrates conformity with the criteria laid down 
in harmonised standards it should be presumed to comply with the corresponding 
requirements set out in this Regulation.  EN 32  EN (41) Conformity assessment bodies frequently subcontr act parts of their activities linked to 
the assessment of conformity or have recourse to a subsidiary. Certain activities and 
decision -making processes, both regarding the conformity assessment of batteries and 
other activities internal to the notified bod y, should however exclusively be carried out 
by the individual notified body itself, in order to ensure its independence and 
autonomy. Furthermore, in order to safeguard the level of protection required for 
batteries to be placed on the Union market, confo rmity assessment subcontractors and 
subsidiaries should fulfil the same requirements as notified bodies in relation to the 
performance of conformity assessment tasks under this Regulation .  
(42) Since the services offered by notified bodies in a Member Sta te might relate to 
batteries made available on the market throughout the Union, it is appropriate to give 
the other Member States and the Commission the opportunity to raise objections 
concerning a notified body. In order to ensure uniform conditions for t he 
implementation of this Regulation, implementing powers should be conferred on the 
Commission in order to request the notifying authority to take corrective action in case 
a notified body does not meet or no longer meets the requirements of this Regulati on. 
(43) In the interests of facilitating and accelerating the conformity assessment procedure, 
the certification and ultimately the market access and in view of the novelty and 
complexity of the sustainability, safety and labelling requirements for batter ies, it is 
crucial that notified bodies have continuous access to all testing equipment and testing 
facilities needed and that they apply the procedures without creating unnecessary 
burdens for economic operators. For the same reason, and to ensure equal t reatment of 
economic operators, it is necessary that the notified bodies apply the conformity 
assessment procedures consistently.  
(44) Prior to taking a final decision on whether the battery can be granted a conformity 
certificate, the economic operator t hat wishes to place a battery on the market should 
be allowed to complement once the documentation on the battery.  
(45) The Commission should enable appropriate coordination and cooperation between 
notified bodies.  
(46) It is appropriate to lay the obligations linked to the placing on the market or putting 
into service of a battery on the economic operators, which include the manufacturer, 
the authorised representative, the importer, the distributor, the fulfilment service 
providers, or any other leg al person who takes on the legal responsibility in relation to 
the manufacture of batteries, making them available or placing them on the market or 
putting them into service.  
(47) Economic operators should be responsible for the compliance of batteries wit h the 
requirements of this Regulation, in relation to their respective roles in the supply 
chain, so as to ensure a high level of protection of public interests, such as human 
health, safety and protection of property and the environment.  
(48) All economi c operators intervening in the supply and distribution chain should take 
appropriate measures to ensure that they only make available on the market batteries 
which are in conformity with this Regulation. It is necessary to provide for a clear and 
proportio nate distribution of obligations which correspond to the role of each 
economic operator in the supply and distribution chain.  
(49) The manufacturer, having detailed knowledge of the design and production process, is 
best placed to carry out the conformity  assessment procedure. Conformity assessment 
should therefore remain solely the obligation of the manufacturer.  EN 33  EN (50) The manufacturer should provide sufficiently detailed information on the intended use 
of the battery so as to allow its correct and safe p lacing on the market, putting into 
service, use and end -of-life management, including possible repurposing.  
(51) In order to facilitate communication between economic operators, market surveillance 
authorities and consumers, economic operators should, as p art of their contact details, 
indicate a website address in addition to the postal address.  
(52) It is necessary to ensure that batteries from third countries entering the Union market 
comply with the requirements of this Regulation, whether imported as s elf-standing 
batteries or contained in products, and in particular that appropriate conformity 
assessment procedures have been carried out by manufacturers with regard to those 
batteries. Provision should therefore be made for importers to make sure that t he 
batteries they place on the market and put into service comply with the requirements 
of this Regulation and that the CE marking on batteries and documentation drawn up 
by manufacturers are available for inspection by the national authorities.  
(53) When  placing a battery on the market or putting it into service, every importer should 
indicate on the battery the importer’s name, registered trade name or registered trade 
mark as well as the postal address. Exceptions should be provided for in cases where 
the size of the battery does not allow it. This includes cases where the importer would 
have to open the packaging to put the name and address on the battery or where the 
battery is too small in size to affix this information..  
(54) As the distributor make s a battery available on the market after it has been placed on 
the market or put into service by the manufacturer or the importer, the distributor 
should act with due care to ensure that its handling of the battery does not adversely 
affect its compliance  with the requirements of this Regulation.  
(55) Any importer or distributor that either places a battery on the market or puts it into 
service under the importer’s or distributor’s own name or trademark or modifies a 
battery in such a way that compliance with the requirements of this Regulation may be 
affected or modifies the purpose of a battery that is already place on the market should 
be considered to be the manufacturer and should assume the obligations of the 
manufacturer.   
(56) Distributors and imp orters, being close to the market place, should be involved in 
market surveillance tasks carried out by the national authorities, and should be 
prepared to participate actively, providing those authorities with all necessary 
information relating to the bat tery concerned.  
(57) Ensuring traceability of a battery throughout the whole supply chain helps to make 
market surveillance simpler and more efficient. An efficient traceability system 
facilitates the market surveillance authorities' task of tracing economic operators who 
placed on the market or made available on the market or put into service 
non-compliant batteries. The economic operators should therefore be required to keep 
the information on their transactions of batteries for a certain period of time.   
(58) The extraction, processing and trading of natural mineral resources is fundamental in 
providing the necessary raw materials for the production of batteries. Battery 
manufacturers, regardless of their position or leverage over suppliers and of their 
geographical location, are not insulated from the risk of contributing to adverse 
impacts in the mineral supply chain. For some raw materials, over half of global 
production is for use in battery applications. For example, over 50% of the global 
dema nd for cobalt and over 60% of the world's lithium is used for battery production. EN 34  EN About 8% of global natural graphite production and 6% of global nickel production 
goes into battery manufacturing.  
(59) Only few countries supply those materials and, in some  cases, low standards of 
governance may exacerbate environmental and social problems. Both cobalt and 
nickel mining and refining are related to a large range of social and environmental 
issues, including environmental hazard potential and human health. Whi le the social 
and environmental impacts for natural graphite are less severe, its mining has high 
shares of artisanal and small scale operations, which mostly takes place in informal 
settings and can lead to serious health and environmental impacts, includ ing no regular 
mine closure and no rehabilitation, which results in the destruction of ecosystems and 
soils. For lithium, the expected increase in its use in battery manufacturing is likely to 
put additional pressure on extraction and refining operations, what would recommend 
including lithium in the scope of the supply chain due diligence obligations. The 
expected massive increase in demand for batteries in the Union should not contribute 
to an increase of such environmental and social risks.  
(60) Some of the raw materials in question, such as cobalt, lithium and natural graphite, are 
considered as critical raw materials for the EU17 and their sustainable sourcing is 
required for the EU battery ecosystem to perform adequately.  
(61) A number of voluntary effo rts from actors in the battery supply chain are already in 
place in order to encourage adherence to sustainable sourcing practices, including the 
Initiative for Responsible Mining Assurance (IRMA), the Responsible Minerals 
Initiative (RMI) and the Cobalt I ndustry Responsible Assessment Framework 
(CIRAF). However, voluntary efforts to set up due diligence schemes may not ensure 
that all economic operators placing batteries in the Union market abide by the same set 
of minimum rules.  
(62) In the Union, general  requirements on due diligence in relation to certain minerals and 
metals were introduced by Regulation (EU) No 2017/821 of the European Parliament 
and of the Council18. That Regulation does not, however, address the minerals and 
materials used for battery production.  
(63) Therefore, in view of the expected exponential growth in battery demand in the EU, 
the economic operator that places a battery on the EU market should set up a supply 
chain due diligence policy. The requirements therefore should be laid do wn, with the 
objective to address the social and environmental risks inherent in the extraction, 
processing and trading of certain raw materials for battery manufacturing purposes.  
(64) When putting in place a risk -based due diligence policy, it should be based on 
internationally recognised due diligence principles in the Ten Principles of the United 
Nations Global Compact19, the Guidelines for Social Life Cycle Assessment of 
                                                 
17 Communication from the Commission to the European Parliament, the Council, the European 
Economic and Social Committee and the Committee of the Regions: Critical Raw Materials Resilience: 
Charting a Path towards greater Securi ty and Sustainability (COM(2020) 474 final).  
18 Regulation (EU) 2017/821 of the European Parliament and of the Council of 17 May 2017 laying down 
supply chain due diligence obligations for Union importers of tin, tantalum and tungsten, their ores, and 
gold originating from conflict -affected and high -risk areas (OJ L 130, 19.5.2017, p. 1)  
19 The Ten Principles of the UN Global Compact, available at https://www.unglobalcompact.org/what -is-
gc/mission/principles   EN 35  EN Products20, the ILO Tripartite Declaration of Principles concerning Multinational 
Enterprises and Social Policy21, and the OECD Due Diligence Guidance for 
Responsible Business Conduct (RBC)22, which reflect a common understanding 
amongst governments and stakeholders, and should be tailored to the specific context 
and circumstances of each e conomic operator. In relation to the extraction, processing 
and trading of natural mineral resources used for battery production, the OECD Due 
Diligence Guidance for Responsible Supply Chains of Minerals from Conflict -
Affected and High -Risk Areas 23(‘OECD D ue Diligence Guidance’) represents a long -
standing effort by governments and stakeholders to establish good practice in this area.  
(65) According to the OECD Due Diligence Guidance24, due diligence is an on -going, 
proactive and reactive process through whi ch companies can ensure that they respect 
human rights and do not contribute to conflict.25. Risk -based due diligence refers to 
the steps companies should take to identify and address actual or potential risks in 
order to prevent or mitigate adverse impacts  associated with their activities or sourcing 
decisions A company can assess risk posed by its activities and relationships and adopt 
risks mitigating measures in line with relevant standards provided under national and 
international law, recommendations o n responsible business conduct by international 
organisations, government -backed tools, private sector voluntary initiatives and a 
company's internal policies and systems. This approach also helps to scale the due 
diligence exercise to the size of the comp any's activities or supply chain relationships.  
(66) Mandatory supply chain due diligence policies should be adopted or modified and 
address, at least, the most prevalent social and environmental risk categories. This 
should cover the current and foreseeab le impacts, on one hand, on social life, in 
particular human rights, human health and safety as well as occupational health and 
safety and labour rights, and, on the other hand, on the environment, in particular on 
water use, soil protection, air pollution  and biodiversity, including community life.  
(67) As regards the social risk categories, due diligence policies should address the risks in 
the battery supply chain in relation to the protection of human rights, including human 
health, protection of childr en and gender equality, in line with international human 
rights law26. The due diligence policies should include information on how the 
                                                 
20 UNEP Guidelines for social life cycle assessment of products, available at 
https://www.lifecycleinitiative.org/wp -content/uploads/2012/12/2009%20 -
%20Guidelines%20for%20sLCA%20 -%20EN.pdf  
21 Tripartite Declaration of Principles  concerning Multinational Enterprises and Social Policy, available at 
https://www.ilo.org/wcmsp5/groups/public/ ---ed_emp/ ---emp_ent/ ---
multi/documents/publication/wcms_094386.pdf  
22 OECD (2018), OECD Due Diligence Guidance for Responsible Business Conduct, available at 
http://mneguidelines.oecd.org/OECD -Due-Diligence -Guidance -for-Responsible -Business -Conduct.pdf  
23 OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from 
Conflict -Affected and Hi gh-Risk Areas:  Third Edition , OECD Publishing, Paris, 
https://doi.org/10.1787/9789264252479 -en.  
24 Page 15 of the OECD Due Diligence Guidance.  
25 OECD (2011), OECD Guidelines for Multinational Enterpr ises, OECD, Paris; OECD (2006), OECD 
Risk Awareness  Tool for Multinational Enterprises in Weak Governance Zones,  OECD, Paris; and, 
Guiding Principles on Business and Human Rights: Implementing the United Nations “Protect, Respect 
and Remedy” Framework  (Rep ort of the Special Represantative of the Secretary -General on the Issue of 
Human Rights and Transnational Corporations and other Business Enterprises, John Ruggie, 
A/HRC/17/31, 21 March 2011).  
26 Including The  Universal Declaration of Human Rights, The International Covenant on Economic, 
Social and Cultural Rights , The International Covenant on Civil and P olitical Rights , the Convention on 
 EN 36  EN economic operator has contributed to the prevention of human rights abuses and on the 
instruments in place with the opera tor’s business structure to fight corruption and 
bribery. The due diligence policies should also ensure correct implementation of the 
rules of fundamental conventions of the International Labour Organisation27 as listed 
in Annex I of the ILO Tripartite Decl aration.  
(68) As regards the environmental risk categories, the due diligence policies should address 
the risks in the battery supply chain in relation to protection of the natural environment 
and of the biological diversity in line with the Convention on Biological Diversity28, 
which includes also the consideration of local communities, and the protection and the 
development of those communities.  
(69) The supply chain due diligence obligations on the identification and mitigation of 
social and environmental  risks associated with raw materials going into battery 
manufacturing should contribute to the implementation of UNEP Resolution 19 on 
Mineral Resource Governance, which recognizes the important contribution of the 
mining sector towards the achievement of the 2030 Agenda and the Sustainable 
Development Goals.  
(70) Other EU legislative instruments that lay down requirements regarding supply chain 
due diligence should apply in so far as there are no specific provisions with the same 
objective, nature and effe ct in this Regulation which may be adapted in the light of 
future legislative amendments .  
(71) In order to adapt to developments in the battery value chain, including to changes in 
the scope and nature of the relevant environmental and social risks, as we ll as to 
technical and scientific progress in batteries and battery chemistries, the power to 
adopt acts in accordance with Article 290 of the Treaty on the Functioning of the 
European Union should be delegated to the Commission in respect of amending the 
list of raw materials and risk categories and the supply chain due diligence 
requirements.  
(72) Harmonised rules for waste management are necessary to ensure that producers and 
other economic operators are subject to the same rules across the Member State s in the 
implementation of the extended producer responsibility for batteries. Maximising 
separate collection of waste batteries and ensuring that all batteries collected are 
recycled through processes that reach common minimum recycling efficiencies is 
necessary to attain a high level of material recovery. T he evaluation of the Directive 
2006/66/EC found that one of its shortcomings is lack of detail in its provisions, 
leading to uneven implementation and creating significant barriers to the functioning 
of recycling markets and suboptimal levels of recycling.  Consequently, more detailed 
and harmonised rules should avoid distortion of the market for the collection, 
                                                                                                                                                         
the Elimination of All Forms of Discrimination against Women , the Convention on the Rights of the 
Child  and the Convention on the Rights of Persons with Disabilities.  
27 The eight fundamental Conventions are 1. Freedom of Association and Protection of the Right to 
Organise Convention, 1948 (No. 87), 2. Right to Organise a nd Collective Bargaining Convention, 1949 
(No. 98), 3. Forced Labour Convention, 1930 (No. 29)  (and its 2014 Protocol ), 4. Abolition of Forced 
Labour Convention, 1957 (No. 105), 5. Minimum Age Convention, 1973 (No. 138), 6. Worst Forms of 
Child Labour Co nvention, 1999 (No. 182), 7. Equal Remuneration Convention, 1951 (No. 100), 8. 
Discrimination (Employment and Occupation) Convention, 1958 (No. 111)  
28 Such as set out in the Convention on biological diversity, available at 
https://www.cbd.int/convention/text/  and, in particular, Decision COP VIII/28 “Voluntary guidelines on 
Biodiversity -Inclusive impact assessment, available at https://www.cbd.int /decision/cop/?id=11042  . EN 37  EN treatment and recycling of waste batteries, ensure even implementation of the 
requirements acr oss the Union, further harmonisation of the quality of waste 
management services provided by economic operators  and facilitate the markets of 
secondary raw materials.  
(73) This Regulation builds on the waste management rules and general principles laid 
down in Directive 2008/98/EC of the European Parliament and of the Council29, which 
should be adapted to reflect the specific situation of batteries. For the collection of 
waste batteries to be organised in the most effective way, it is important that this is 
done in close connection to the place where the batteries are sold in a Member State, 
and close to the end user. Also, waste batteries may be collected both together with 
waste electrical and electronic equipment and with end -of-life vehicles, by way of 
national collection schemes set up on the basis of Directive 2012/19/EU of the 
European Parliament and of the Council30, and of Directive 2000/53/EC. While the 
current Regulation sets up specific rules for batteries there is a need for a coherent and 
compleme ntary approach, building upon and further harmonising existing waste 
management structures. Consequently, and in order to effectively realise extended 
producer responsibility related to the waste management, obligations should be laid 
down with respect to the Member State where batteries are made available on the 
market for the first time.  
(74) In order to monitor that producers meet their obligations to ensure the waste treatment 
of batteries made available on the market for the first time within the terr itory of a 
Member State, it is necessary that a register is established in and managed by the 
competent authority in each Member State. Producers should be obliged to register, in 
order to provide the necessary information to allow the competent authoritie s to 
monitor that the producers comply with their obligations. Registration requirements 
should be simplified across the Union. In order to ensure uniform conditions across the 
Union for the application for registration and the information to be provided, by means 
of a harmonised format, implementing powers should be conferred on the 
Commission.  
(75) In view of the polluter pays principle, it is appropriate to lay the obligations for the 
end-of-life management of batteries on producers which should include any 
manufacturer, importer or distributor who, irrespective of the selling technique used, 
including by means of distance contracts as defined in Article 2(7) of 
Directive  2011/83/EU of the European Parliament and of the Council31, supplies a 
battery for th e first time for distribution or use, including when incorporated into 
appliances or vehicles, within the territory of a Member State on a professional basis.  
(76) Producers should have extended producer responsibility for the management of their 
batteries  at the end -of-life stage. Accordingly, they should finance the costs of 
collecting, treating and recycling all collected batteries, for reporting on batteries and 
waste batteries and for the provision of information to end -users and waste operators 
                                                 
29 Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste 
and repealing certain Directives (OJ L 312, 22.11.2008, p. 3).  
30 Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical 
and electronic equipment (WEEE) (OJ L 197, 24.7.2012, p.38).  
31 Directive 2011/83/EU of the European Parliament and of the Council of 25  October 2011 on consumer 
rights, amending Council Directive 93/13/EEC and Directive 1 999/44/EC of the European Parliament 
and of the Council and repealing Council Directive 85/577/EEC and Directive 97/7/EC of the European 
Parliament and of the Council (OJ L 304, 22.11.2011, p. 64).  EN 38  EN about batteries and appropriate re -use and management of waste batteries. The 
obligations related to extended producer responsibility should apply to all forms of 
supply, including distance selling. Producers should be able to exercise those 
obligations collecti vely, by means of producer responsibility organisations taking up 
the responsibility on their behalf. Producers or producer responsibility organisations 
should be subject to authorisation and they should document that they have the 
financial means to cover  the costs entailed by the extended producer responsibility. 
Where necessary to avoid distortion of the internal market and to ensure uniform 
conditions for the modulation of the financial contributions paid to producer 
responsibility organisations by prod ucers, implementing powers should be conferred 
on the Commission.  
(77) This Regulation should regulate the extended producer responsibility for batteries 
exhaustively and therefore the rules laid down on extended producer responsibility 
schemes in Directi ve 2008/98/EC should not apply to batteries.  
(78) In order to ensure high quality recycling in the batteries supply chains, boost the 
uptake of quality secondary raw materials and protect the environment, a high level of 
collection and recycling of waste batteries should be the rule. The collection of waste 
batteries is a fundamental crucial step for closing the loop for the valuable materials 
contained in batteries through their recycling and to keep the batteries value chain 
inside the Union, thus facili tating the access to the recovered materials that can further 
be used to manufacture new products.  
(79) Producers of all batteries should be responsible for financing and organising the 
separate collection of waste batteries. They should do so by establish ing a collection 
network that covers the whole territory of the Member States, that is close to the end 
user and that does not only target areas and batteries where the collection is profitable. 
The collection network should include any distributor, author ised treatment facility for 
waste electric and electronic equipment and end -of-life vehicles, civic amenity sites 
and other actors based on their own accord, such as public authorities and schools. In 
order to verify and improve the effectiveness of the co llection network and the 
information campaigns, regular compositional surveys at least at NUTS 2 
level32should be carried out on mixed municipal waste and waste electrical and 
electronic equipment collected to determine the amount of waste portable batterie s 
therein.  
(80) Batteries may be collected together with waste electrical and electronic equipment, by 
way of national collection schemes set up on the basis of Directive 2012/19/EU and 
with end -of-life vehicles in accordance with Directive 2000/53/EC. In this case, as an 
obligatory minimum treatment requirement, batteries should be removed from the 
collected waste appliances and end -of-life vehicles. After their removal, batteries 
should be subject to the requirements of this Regulation, notably they shoul d be 
counted towards the attainment of the collection target for the type of battery in 
question and be subject to treatment and recycling requirements laid down in this 
Regulation.  
(81) Considering the environmental impact and the loss of materials due to  waste batteries 
not being separately collected, and consequently not treated in an environmentally 
                                                 
32 Regulation (EC) No 1059/2003 of the European Parliament and of the Council of 26 May 2003 on the 
establishment of a common classification of territorial units for statistics (NUTS)(OJ L 154 21.6.2003, 
p. 1). EN 39  EN sound way, the collection target for portable batteries already established under 
Directive 2006/66/EC should continue to apply and should be gradually incr eased. 
This Regulation entails that portable batteries also include batteries powering light 
means of transport. Since the current increase in sales of this type of batteries makes it 
difficult to calculate the amount of them that are placed in the market and collected at 
the end of their life, these portable batteries should be excluded from the current 
collection rate for portable batteries. This exclusion is to be reviewed along with the 
collection target for waste portable batteries, which may also addr ess changes in the 
methodology to calculate the collection rate for portable batteries. The Commission 
shall prepare a report to underpin these reviews.  
(82) The collection rate of portable batteries should continue to be calculated on the basis 
of averag e annual sales in the preceding years so as to have targets proportionate to the 
level of battery consumption in a Member State. In order to best reflect changes in the 
composition of the portable batteries category, as well as in the lifetime and 
consumpt ion patterns of batteries, the power to adopt acts in accordance with Article 
290 of the Treaty on the Functioning of the European Union should be delegated to the 
Commission in respect of amending the methodology to calculate and verify the 
collection rat e for portable batteries.  
(83) All automotive, industrial and electric vehicles batteries should be collected and for 
that purpose the producers of such batteries should be required to accept and take back 
free of charge, all waste automotive, industrial a nd electric vehicles batteries from 
end-users. Detailed reporting obligations should be established for all actors involved 
in the collection of waste automotive, industrial and electric vehicles batteries.  
(84) In view of the waste hierarchy as establish ed by Article 4 of Directive 2008/98/EC 
which prioritises prevention, preparing for reuse and recycling and in line with Article 
11(4) of Directive 2008/98/EC and Article 5(3)(f) of Directive 1999/31/EC33, batteries 
collected should not be incinerated or di sposed of in landfill.  
(85) Any permitted facility carrying out treatment and recycling operations of batteries 
should comply with minimum requirements to prevent negative environmental and 
human health impacts and to allow a high degree of recovery of mat erials contained in 
batteries. Directive 2010/75/EU of the European Parliament and of the Council34 
regulates a number of industrial activities involved in the treatment and recycling of 
waste batteries, for which it ensures specific permitting requirements  and controls 
reflecting best available techniques. Where industrial activities relating to the 
treatment and recycling of batteries are not covered by Directive 2010/75/EC, 
operators should in any case be obliged to apply best available techniques, as def ined 
in Article 3(10) of that Directive, and the specific requirements laid down in the 
present Regulation. The requirements regarding the treatment and recycling of 
batteries should, where relevant, be adapted by the Commission in the light of 
scientific and technical progress and emerging new technologies in waste 
management. Therefore, the power to adopt acts in accordance with Article 290 of the 
Treaty on the Functioning of the European Union should be delegated to the 
Commission in respect of amending those requirements.  
                                                 
33 Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste (OJ L 182, 16.7.1999, p.1).  
34 Directive 2010/75/EU of the European Parliament and of the Council of 24 November 2010 on 
industrial emissions (integrated pollution prevention and control) (OJ L 334, 17.12.2010, p. 17).  EN 40  EN (86) Targets for the efficiency of the recycling processes and material recovery targets 
should be established to ensure the production of recovered materials of quality for the 
battery industry, while at the same time ensuring clear and common rules for recyclers 
and avoiding distortions of competition or other impediments to the smooth 
functioning of the internal market for secondary raw materials from waste batteries. 
Recycling efficiencies, as a measure of the total amount of mater ials recovered, should 
be established for lead -acid batteries, nickel -cadmium batteries and lithium batteries 
and targets should also be set out for the levels of recovered cobalt, lead, lithium and 
nickel materials to attain a high level of material recov ery throughout the Union. The 
rules on the calculation and reporting on recycling efficiencies laid down in 
Commission Regulation  (EU) No 493/201235 should continue to apply. In order to 
ensure uniform conditions for the calculation and verification of recy cling efficiencies 
and recovery of materials in the recycling processes for batteries, implementing 
powers should be conferred on the Commission to the establishment of such rules. The 
Commission should also review Commission Regulation  (EU) No 493/2012 to  
properly reflect technological developments and changes occurred in industrial 
recovery processes, to extend their scope to cover existing and new targets, and to 
provide tools for the characterization of intermediate products. Treatment and 
recycling fac ilities should be encouraged to introduce certified environmental 
management schemes in accordance with Regulation (EC) No 1221/2009 of the 
European Parliament and of the Council36. 
(87) It should only be possible to carry out treatment and recycling outsid e the Member 
State concerned or outside the Union, where the shipment of waste batteries is in 
compliance with Regulation (EC) No 1013/2006 of the European Parliament and of 
the Council37 and Commission Regulation (EC) No 1418/200738 and where the 
treatment and recycling activities meet the requirements applicable for this type of 
wastes, according to their classification in Commission Decision 2000/532/EC , as 
amended.39 That Decision, as amended, should be revised to reflect all battery 
chemistries. Where su ch treatment or recycling takes places outside the Union,  in 
order to be counted towards the recycling efficiencies and targets, the operator for 
whose account it is carried out should be obliged to report on it to the competent 
authority of the respectiv e Member State and to prove that the treatment is carried out 
in conditions equivalent to those under this Regulation. In order to lay down what are 
                                                 
35 Commission Regulation (EU) No 493/2012 of 11 June 2012 laying down,  pursuant to Directive 
2006/66/EC of the European Parliament and of the Council, detailed rules regarding the calculation of 
recycling efficiencies of the recycling processes of waste batteries and accumulators (OJ L 151, 
12.6.2012, p. 9).  
36 Regulation (EC ) No 1221/2009 of the European Parliament and of the Council of 25  November 2009 
on the voluntary participation by organisations in a Community eco -management and audit scheme 
(EMAS), repealing Regulation (EC) No  761/2001 and Commission Decisions 2001/681/ EC 
and 2006/193/EC ( OJ L 342, 22.12.2009, p. 1)  
37 Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14  June 2006 on 
shipments of waste ( OJ L 190, 12.7.2006, p. 1).  
38 Commission Regulation (EC) No 1418/2007 of 29 November 2007 co ncerning the export for recovery 
of certain waste listed in Annex III or IIIA to Regulation (EC) No 1013/2006 of the European 
Parliament and of the Council to certain countries to which the OECD Decision on the control of 
transboundary movements of wastes does not apply ( OJ L 316, 4.12.2007, p. 6).  
39 2000/532/EC: Commission Decision of 3 May 2000 replacing Decision 94/3/EC establishing a list of 
wastes pursuant to Article 1(a) of Council Directive 75/442/EEC on waste and Council Decision 
94/904/EC establish ing a list of hazardous waste pursuant to Article 1(4) of Council Directive 
91/689/EEC on hazardous waste, OJ L 226, 6.9.2000, p. 3.  EN 41  EN the requirements for such treatment to be considered equivalent, the power to adopt 
acts in accordance with  Article 290 of the Treaty on the Functioning of the European 
Union should be delegated to the Commission in respect of laying down detailed rules 
containing criteria for the assessment of equivalent conditions.  
(88) Industrial and electric vehicle batteri es that are no longer fit for the initial purpose for 
which they were manufactured may be used for a different purpose as stationary 
energy storage batteries. A market for the second life of used industrial and electric 
vehicle batteries is emerging and in  order to support the practical application of the 
waste hierarchy , specific rules should thus be defined to allow responsible repurposing 
of used batteries while taking into account the precautionary principle and ensuring 
safety of use for end users. Any  such used battery should undergo an assessment of its 
state of health and available capacity to ascertain its suitability for use for any other 
than its original purpose. In order to ensure uniform conditions for the implementation 
of provisions related t o the estimation of the state of health of batteries, implementing 
powers should be conferred on the Commission.  
(89) Producers and distributors should be actively involved in providing information to end 
users that batteries should be collected separately , that collection schemes are 
available and that end users have an important role in ensuring an environmentally 
optimal management of waste batteries. The disclosure of information to all end users 
as well as reporting on batteries should make use of mode rn information technologies. 
The information should be provided either by classical means, such as outdoors, 
posters and social media campaigns, or by more innovative means, such as electronic 
access to websites provided by QR codes affixed to the battery.   
(90) To enable the verification of compliance with and the effectiveness of the obligations 
regarding the collection and treatment of batteries, it is necessary that the respective 
operators report back to the competent authorities. Producers of batterie s and other 
waste management operators collecting batteries should report for each calendar year, 
where applicable, the data on batteries sold and waste batteries collected. Regarding 
treatment and recycling, reporting obligations should be incumbent upon the waste 
management operators and recyclers respectively.  
(91) For each calendar year, Member States should provide the Commission with 
information on the amount of batteries supplied within their territory and the amount 
of waste batteries collected, by type and chemistry. With regard to portable batteries, 
data on batteries and waste batteries from light means of transport should be reported 
separately in view of the need to gather data to allow for adapting the collection target, 
considering the market share of such batteries and their specific purpose and 
characteristics. Such information should be provided electronically and be 
accompanied by a quality check report. In order to ensure uniform conditions for the 
reporting of that data and information to  the Commission, as well as for the 
verification methods, implementing powers should be conferred on the Commission.  
(92) For each calendar year, Member States should report to the Commission the levels of 
recycling efficiencies and the levels of recovered  materials achieved taking into 
account all the individual steps of the recycling process and the output fractions.  
(93) In order to enhance transparency along supply and value chains for all stakeholders, it 
is necessary to provide for an electronic syst em that maximises the exchange of 
information, enabling tracking and tracing of batteries, provides information about the 
carbon intensity of their manufacturing processes as well as the origin of the materials 
used, their composition, including raw materi als and hazardous chemicals, repair, EN 42  EN repurposing and dismantling operations and possibilities, and the treatment, recycling 
and recovery processes to which the battery could be subject to at the end of their life. 
That electronic system should be establish ed in phases with a prototype system being 
made available to the concerned economic operators and Member States authorities at 
least a year in advance of the finalisation of the implementing measures defining the 
final features and the data access policy o f the system to enable their input and timely 
compliance. Such data access policy should take into account the relevant principles 
established in EU legislation, including the Commission’s proposal for a Regulation of 
the European Parliament and of the Cou ncil on European data governance (Data 
Governance Act).40 In order to ensure uniform conditions for the implementation of 
the electronic exchange system for battery information, implementing powers should 
be conferred on the Commission.  
(94) A Battery Pass port should be established, allowing economic operators to gather and 
reuse in a more efficient way the information and data on individual batteries placed 
on the market and to make better informed choices in their planning activities. In order 
to ensure u niform conditions for the implementation of the battery passport, 
implementing powers should be conferred on the Commission.  
(95) Regulation (EU) 2019/1020 of the European Parliament and of the Council41 lays 
down rules on market surveillance and control of  products entering the Union market. 
In order to ensure that products benefiting from the free movement of goods fulfil 
requirements providing a high level of protection of public interests such as human 
health, safety, protection of property and of the en vironment, that Regulation should 
apply to batteries covered by this Regulation. Therefore, Regulation (EU) 2019/1020 
should be amended accordingly.  
(96) Batteries should be placed on the market only if they do not present a risk to human 
health, safety, p roperty or the environment when properly stored and used for their 
intended purpose, or under conditions of use which can be reasonably foreseen, that is 
when such use could result from lawful and readily predictable human behaviour .  
(97) A procedure shou ld exist under which interested parties are informed of measures 
intended to be taken with regard to batteries presenting a risk to human health, safety, 
property or the environment. It should also allow market surveillance authorities in the 
Member States , in cooperation with the relevant economic operators, to act at an early 
stage in respect of such batteries. In order to ensure uniform conditions for the 
implementation of this Regulation, implementing powers to adopt acts should be 
conferred on the Comm ission in order to determine whether national measures in 
respect of non -compliant batteries are justified or not.  
(98) The market surveillance authorities should have the right to require economic 
operators to take corrective actions on the basis of findi ngs that either the battery is not 
compliant with the requirements of this Regulation or the economic operator infringes 
the rules on the placing or making available on the market of a battery, or on 
sustainability, safety and labelling or on supply chain due diligence.  
(99) Public procurement constitutes an important sector with regard to reducing the impacts 
on the environment of human activities and to stimulate market transformation 
                                                 
40 https://eur -lex.europa.eu/legal -content/EN/TXT/PDF/?uri=CELEX:52020PC0767&from=DA  
41 Regulation (EU) 2019/1020 of the Euro pean Parliament and of the Council of 20 June 2019 on market 
surveillance and compliance of products and amending Directive 2004/42/EC and Regulations (EC) No 
765/2008 and (EU) No 305/2011 ( OJ L 169, 25.6.2019, p. 1)  EN 43  EN towards more sustainable products. Contracting authorities, as defined in Directive 
2014/24/EU42 of the European Parliament and of the Council and Directive 
2014/25/EU of the European Parliament and of the Council43, and contracting entities 
as defined in Directive 2014/25/EU should take account of the environmental impacts 
when procuring batteries or products containing batteries, in order to promote and 
stimulate the market for clean and energy -efficient mobility and energy -storage and 
thus contribute to the environment, climate and energy policy objectives of the Union.  
(100)  In order to establish the equivalence of due diligence schemes that have been 
developed by governments, industry associations and groupings of interested 
organisation, implementing powers should be conferred on the Commission. In order 
to ensure that the list of raw materials and the associated social and environmental 
risks are kept up -to-date, as well the consistency with the Conflict Minerals 
Regulation and the OECD Due Diligence in terms of obligations for economic 
operators, implementing  powers should  be conferred on the Commission.  
(101)  In order to ensure uniform conditions for the implementation of the Commission’s 
recognition of supply chain due diligence schemes , implementing  powers should be 
conferred on the Commission.  
(102)  When adopting delega ted acts under this Regulation, it is of particular importance that 
the Commission carry out appropriate consultations during its preparatory work, 
including at expert level, and that those consultations be conducted in accordance with 
the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better 
Law-Making44. In particular, to ensure equal participation in the preparation of 
delegated acts, the European Parliament and the Council receive all documents at the 
same time as Member Sta tes’ experts, and their experts systematically have access to 
meetings of Commission expert groups dealing with the preparation of delegated acts.  
(103)   The implementing powers that are conferred on the Commission by this Regulation 
and that do not relat e to the determination whether measures taken by Member States 
in respect of non -compliant batteries are justified or not should be exercised in 
accordance with Regulation (EU) No 182/2011 of the European Parliament and of the 
Council45.  
(104)  The advisory  procedure should be used for the adoption of an implementing act in 
situations where the Commission ascertains that a notified body does not meet or no 
longer meets the requirements for its notification, in order to request the notifying 
authority to take  the necessary corrective action, including withdrawal of the 
notification if necessary.  
(105)  The Commission should adopt immediately applicable implementing acts determining 
whether a national measure taken in respect of a compliant battery that present s a risk 
                                                 
42 Directive 2014/24/EU of the European Parliament and of the Council of 26  February 2014 on public 
procurement and repealing Directive 2004/18/EC ( OJ L 94, 28.3.2014, p. 65)  
43 Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on 
procurement by entities opera ting in the water, energy, transport and postal services sectors and 
repealing Directive 2004/17/EC (OJ L 94, 28.3.2014, p. 243)  
44 OJ L 123, 12.5.2016, p.1  
45 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 
laying down the rules and general principles concerning mechanisms for control by Member States of 
the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13)  EN 44  EN is justified or not where, in duly justified cases relating to the protection of human 
health, safety, property or the environment, imperative grounds of urgency so require.  
(106)  Member States should lay down rules on penalties applicable to infr ingements of this 
Regulation and ensure that those rules are enforced. The penalties provided for should 
be effective, proportionate and dissuasive.  
(107)  In view of the need to ensure a high level of environmental protection and the need to 
take into acc ount new developments based on scientific facts, the Commission should 
submit to the European Parliament and to the Council a report on the implementation 
of this Regulation and its impact on the environment and the functioning of the 
internal market. The Commission should in its report include an evaluation of the 
sustainability, safety, labelling and information criteria provisions, the waste batteries 
management measures and the supply chain due diligence requirements. Where 
appropriate, the report shoul d be accompanied by a proposal to amend relevant 
provisions of this Regulation.  
(108)  It is necessary to provide for sufficient time for economic operators to comply with 
their obligations under this Regulation, and for Member States to set up the 
adminis trative infrastructure necessary for its application. The application of this 
Regulation should therefore also be deferred to a date where those preparations can 
reasonably be finalised.  
(109)  In order to allow Member States to adapt the register of produc ers set up under 
Directive 2006/66/EC and to take the necessary administrative measures regarding the 
organisation of the authorisation procedures by the competent authorities, while 
keeping continuity for  economic operators, Directive 2006/66/EC should b e repealed 
as of 1 July 2023. Obligations under that Directive related to monitoring and reporting 
the collection rate of portable batteries and the recycling efficiencies of recycling 
processes shall remain in force until 31 December 2023, and the related  obligations for 
the transmission of data to the Commission shall remain in force until 31 December 
2025, in order to ensure continuity until new calculation rules and reporting formats 
are adopted by the Commission under this Regulation.  
(110)  Since the objective of this Regulation, namely to guarantee the functioning of the 
internal market while ensuring that batteries placed on the market fulfil the 
requirements providing for a high level of protection of human health, safety, property 
and the environme nt, cannot be sufficiently achieved by the Member States but can 
rather, by reason of the need for harmonisation, be better achieved at Union level, the 
Union may adopt measures, in accordance with the principle of subsidiarity as set out 
in Article 5 of t he Treaty on European Union. In accordance with the principle of 
proportionality, as set out in that Article, this Regulation does not go beyond what is 
necessary in order to achieve that objective,  EN 45  EN HAVE ADOPTED THIS REGULATION:  
Chapter I  
General provision s 
Article 1  
Subject matter and scope  
1. This Regulation establishes requirements on sustainability, safety, labelling and 
information to allow the placing on the market or putting into service of batteries, as 
well as requirements for the collection, treatment and recycling of waste batteries.  
2. This Regulation shall apply to all batteries, namely portable batteries, automotive 
batteries, electric vehicle batteries and industrial batteries, regardless of their shape, 
volume, weight, design, material c omposition, use or purpose. It shall also apply to 
batteries incorporated in or added to other products.  
3. This Regulation shall not apply to batteries in:  
(a) equipment connected with the protection of Member States' essential security 
interests, arms, munitions and war material, with the exclusion of products that 
are not intended for specifically military purposes; and  
(b) equipment designed to be sent into space.  
Article 2  
Definitions  
For the purposes of this Regulation, the following definitions shal l apply:  
(1) ‘battery’ means any source of electrical energy generated by direct conversion of 
chemical energy and consisting of one or more non -rechargeable or rechargeable 
battery cells or of groups of them;  
(2) ‘battery cell’ means the basic functional  unit in a battery constituted by electrodes, 
electrolyte, container, terminals and, if applicable, separators and containing the 
active materials the reaction of which generates electrical energy;  
(3) ‘active materials’ means material which reacts chemica lly to produce electric energy 
when the battery cell discharges;  
(4) ‘non-rechargeable battery’ means a battery that is not designed to be electrically 
recharged;  
(5) ‘ rechargeable battery’ means a battery that is designed to be electrically recharged;  
(6) ‘battery with internal storage’ means a battery with no attached external devices to 
store energy;  
(7) ‘portable battery’ means any battery that:  
– is sealed;  
– weighs below 5 kg;  
– is not designed for industrial purposes; and  
– is neither an electric vehicle battery nor an automotive battery;  EN 46  EN (8) ‘portable batteries of general use’ means portable batteries with the following 
common formats: 4,5 Volts (3R12), D, C, AA, AAA, AAAA, A23, 9 Volts (PP3);  
(9) ‘light means of transport’ means wheeled vehicles that hav e an electric motor of less 
than 750 watts, on which travellers are seated when the vehicle is moving and that 
can be powered by the electric motor alone or by a combination of motor and human 
power;  
(10) ‘automotive battery’ means any battery used only fo r automotive starter, lighting or 
ignition power;  
(11) ‘industrial battery’ means any battery designed for industrial uses and any other 
battery excluding portable batteries, electric vehicle batteries and automotive 
batteries;  
(12) ‘electric vehicle batte ry’ means any battery specifically designed to provide traction 
to hybrid and electric vehicles for road transport;  
(13) ‘stationary battery energy storage system’ means a rechargeable industrial battery 
with internal storage specifically designed to store  and deliver electric energy into 
the grid, regardless of where and by whom this battery is being used;  
(14) ‘placing on the market’ means making available a battery for the first time on the 
Union market;  
(15) ‘making available on the market’ means any s upply of a battery for distribution or 
use on the market in the course of a commercial activity, whether in return for 
payment or free of charge;  
(16) ‘putting into service’ means the first use, for its intended purpose, in the Union, of a 
battery;  
(17) ‘battery model’ is any manufactured battery that is produced in series;  
(18) ‘carbon footprint’ means the sum of greenhouse gas (GHG) emissions and GHG 
removals in a product system, expressed as carbon dioxide (CO2) equivalents and 
based on a Product Envi ronmental Footprint (PEF) study using the single impact 
category of climate change ;  
(19) ‘economic operator’ means the manufacturer, the authorised representative, the 
importer, the distributor or the fulfilment service provider who is subject to 
obligati ons in relation to manufacturing batteries, making them available or placing 
them on the market or putting them into service in accordance with the present 
Regulation;  
(20) ‘independent operator’ means a natural or legal person, other than an authorised 
dealer or repairer or remanufacturer, who is independent from the manufacturer and 
the producer and is directly or indirectly involved in the repair, maintenance or 
repurposing of batteries, and include waste management operators, repairers, 
manufacturers or  distributors of repair equipment, tools or spare parts, as well as 
publishers of technical information, operators offering inspection and testing 
services, operators offering training for installers, manufacturers and repairers of 
equipment for alternativ e-fuel vehicles;  
(21) ‘QR code’ means a matrix barcode that links to information about a battery model;  
(22) ‘battery management system’ means an electronic device that controls or manages 
the electric and thermal functions of the battery, that manages and stores the data on EN 47  EN the parameters for determining the state of health and expected lifetime of batteries 
laid down in Annex VII and that communicates with the vehicle or appliance in 
which the battery is incorporated;  
(23) ‘appliance’ means any electrical or electronic equipment, as defined by Directive 
2012/19/EU, which is fully or partly powered by a battery o r is capable of being so;  
(24) ‘state of charge’ means the available capacity in a battery expressed as a percentage 
of rated capacity;  
(25) ‘state of health’ means a measure of the general condition of a rechargeable battery 
and its ability to deliver the  specified performance compared with its initial 
condition;  
(26) ‘repurposing’ means any operation that results in parts or the complete battery being 
used for a different purpose or application than the one that the battery was originally 
designed for;  
(27) ‘manufacturer’ means any natural or legal person who manufactures a battery or has 
a battery designed or manufactured, and markets that battery under its own name or 
trademark;  
(28) ‘technical specification’ means a document that prescribes technical re quirements to 
be fulfilled by a product, process or service;  
(29) ‘harmonised standard’ means a standard as defined in Article 2(1)(c) of Regulation 
(EU) No 1025/2012;  
(30) ‘CE marking’ means a marking by which the manufacturer indicates that the battery 
is in conformity with the applicable requirements set out in Union harmonisation 
legislation providing for its affixing;  
(31) ‘accreditation’ means accreditation as defined in Article 2(10) of Regulation (EC) No 
765/2008;  
(32) ‘national accreditation body ’ a national accreditation body as defined in Article 2(11) 
of Regulation (EC) No 765/2008;  
(33) ‘conformity assessment’ means the process demonstrating whether the sustainability, 
safety and labelling requirements of this Regulation relating to a battery  have been 
fulfilled;  
(34) ‘conformity assessment body’ means a body that performs conformity assessment 
activities including calibration, testing, certification and inspection;  
(35) ‘notified body’ means a conformity assessment body notified in accordanc e with 
Article 22 of this Regulation;  
(36) ‘supply chain due diligence’ means the obligations of the economic operator which 
places a rechargeable industrial battery or an electric -vehicle battery on the market, 
in relation to its management system, risk m anagement, third party verifications  by 
notified bodies and disclosure of information with a view to identifying and 
addressing actual and potential risks linked to the sourcing, processing and trading of 
the raw materials required for battery manufacturi ng; 
(37) ‘producer’ means any manufacturer, importer or distributor who, irrespective of the 
selling technique used, including by means of distance contracts as defined in Article 
2(7) of Directive  2011/83/EU, supplies a battery for the first time for dist ribution or EN 48  EN use, including when incorporated into appliances or vehicles, within the territory of a 
Member State on a professional basis;  
(38) ‘producer responsibility organisation’ means a legal entity that financially or 
operationally organises the fulfi lment of extended producer responsibility obligations 
on behalf of several producers;  
(39) ‘waste battery’ means any battery which is waste within the meaning of Article  3(1) 
of Directive 2008/98/EC;  
(40) ‘reuse’ means the complete or partial direct re -use of the battery for the original 
purpose the battery was designed for;  
(41) ‘hazardous substance’ means any substance which fulfils the criteria for any of the 
following hazard classes or categories set out in Annex I of Regulation (EC) No 
1272/2008 of th e European Parliament and of the Council46: 
(a) hazard classes 2.1 to 2.4, 2.6 and 2.7, 2.8 types A and B, 2.9, 2.10, 2.12, 2.13 
categories 1 and 2, 2.14 categories 1 and 2, 2.15 types A to F;  
(b) hazard classes 3.1 to 3.6, 3.7 adverse effects on sexual fun ction and fertility or 
on development, 3.8 effects other than narcotic effects, 3.9 and 3.10;  
(c) hazard class 4.1;  
(d) hazard class 5.1;  
(42) ‘treatment’ means any activity carried out on waste batteries after they have been 
handed over to a facility for  sorting or preparation for recycling;  
(43)  ‘voluntary collection points’ means any non -profit, commercial or other economic 
undertaking or public body involved on their own initiative in the separate collection 
of waste portable batteries, by collecting the waste portable batteries it generates or 
which are generated by other end -users before they are picked up by waste 
management operators for subsequent treatment;  
(44) ‘waste management operator’ means any natural or legal person dealing on a 
profession al basis with the separate collection, sorting, or treatment of waste 
batteries;  
(45) ‘permitted facility’ means any facility that is permitted in accordance with Directive 
2008/98/EC to carry out the treatment or recycling of waste batteries;  
(46) ‘recycl er’ means any natural or legal person established in the Union who carries out 
recycling processes in a permitted facility;  
(47) ‘lifetime’ of a battery means the period of time that starts when the battery is placed 
on the market, and ends when the batter y becomes waste;  
(48) ‘level of recycling’ means, for a given Member State in a given calendar year, the 
percentage obtained by dividing the weight of waste batteries that undergo treatment 
and recycling in accordance with Article 56 of this Regulation in that calendar year, 
by the weight of waste batteries collected in accordance with Articles 48 and 49 of 
this Regulation;  
                                                 
46 Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 D ecember 2008 on 
classification, labelling and packaging of substances and mixtures, amending and repealing Directives 
67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006 (OJ L 353, 31.12.2008, 
p. 1) EN 49  EN (49) ‘recycling process’ means any recycling operation of waste batteries, excluding 
sorting or preparation for recycling, that may be carried out in a sing le or several 
permitted facilities;  
(50) ‘recycling efficiency’ of a recycling process means the ratio obtained by dividing the 
mass of output fractions accounting for recycling by the mass of the waste batteries 
input fraction, expressed as a percentage;  
(51) ‘Union harmonisation legislation’ means any Union legislation harmonising the 
conditions for the marketing of products;  
(52) ‘national authority’ means an approval authority or any other authority involved in 
and responsible for market surveillance as  set out in Chapter VI or border control in a 
Member State in respect of batteries;  
(53) ‘authorised representative’ means any natural or legal person established in the 
Union who has received a written mandate from a manufacturer to act on its behalf in 
relation to specified tasks with regard to the manufacturer’s obligations under the 
requirements of this Regulation;  
(54) ‘importer’ means any natural or legal person established within the Union who 
places a battery from a third country on the Union marke t;  
(55) ‘distributor’ means any natural or legal person in the supply chain, other than the 
manufacturer or the importer, who makes a battery available on the market;  
(56) ‘risk’ means the combination of the probability of occurrence of harm and the 
sever ity of that harm limited to human health or safety of persons, to property or to 
the environment.  
The definitions of ‘waste’, ‘waste holder’, ‘waste management’, ‘collection’, ‘separate 
collection’, ‘prevention’, ‘preparing for re -use’, ‘recovery’ and ‘re cycling’ laid down in 
Article 3 of Directive 2008/98/EC shall apply.  
The definitions of ‘end -user’, ‘market surveillance’, ‘market surveillance authority’, 
‘fulfilment service provider’, ‘corrective action’, ‘recall’ and ‘withdrawal’ laid down in 
Article 3  of Regulation (EU) 2019/1020 shall apply.  
The definitions of ‘independent aggregator’ and ‘market participant’  laid down in Article 2 of 
Directive (EU) 2019/944 shall apply.  
Article 3  
Free movement  
1. Member  States shall not, for reasons relating to susta inability, safety, labelling and 
information requirements of batteries or management of waste batteries covered by 
this Regulation, prohibit, restrict or impede the making available on the market or the 
putting into service of batteries that comply with th is Regulation.  
2. At trade fairs, exhibitions, demonstrations or similar events, Member  States shall not 
prevent the showing of batteries, which do not comply with this Regulation, provided 
that a visible sign clearly indicates that such batteries do not c omply with this 
Regulation and that they are not for sale until they have been brought into 
conformity.  EN 50  EN Article 4  
Sustainability, safety, labelling and information requirements for batteries  
1. Batteries shall only be placed on the market or put into serv ice if they meet:   
(a) the sustainability and safety requirements set out in Chapter II;  
(b) the labelling and information requirements set out Chapter III.  
2. For any aspects not covered by Chapters II and III, batteries shall not present a risk to 
human health, to safety, to property or to the environment.  
Article 5  
Competent authority  
1. Member States shall designate one or more competent authorities responsible for 
carrying out obligations arising from Chapter VII and monitoring and verifying 
complianc e of the producers and producer responsibility organisations with the 
requirements of that Chapter.  
2. Member States shall lay down the details of the competent authority’s or authorities’ 
organisation and operation, including the administrative and procedural rules to 
ensure:  
(a) the registration of producers in accordance with Article 46;  
(b) the authori sation of producers and producer responsibility organisations in 
accordance with Article 47 and the authorisation and monitoring regarding the 
requirements under Article 48;  
(c) the oversight of implementation of extended producer responsibility 
obligation s in accordance with Article 47;  
(d) the collection of data on batteries in accordance with Article 61;  
(e) making information available in accordance with Article 62.  
3. By [three months after the date of entry into force of this Regulation ], Member States 
shall notify the Commission of the names and addresses of the competent authorities 
designated pursuant to paragraph 1. Member States shall inform the Commission 
without undue delay of any changes to the names or addresses of those competent 
authori ties. 
Chapter II  
Sustainability and safety requirements  
Article 6  
Restrictions of hazardous substances  
1. In addition to the restrictions set out in Annex XVII of Regulation (EC) No 
1907/2006, batteries shall not contain hazardous substances for which Anne x I 
contains a restriction unless they comply with the conditions of that restriction.  
2. When there is an unacceptable risk to human health or the environment, arising from 
the use of a substance in the manufacture of batteries, or from a substance presen t in 
the batteries when they are  placed on the market, or during their subsequent life 
cycle stages, including the waste phase, that needs to be addressed on a Union -wide 
basis, the Commission shall adopt a delegated act in accordance with the procedure EN 51  EN referred to in Article 73 to amend the restrictions in Annex I, pursuant to the 
procedure laid down in Article 71.  
3. In adopting a delegated act referred to in paragraph 2, the Commission shall take into 
account the socio -economic impact of the restriction , including the availability of 
alternatives for the hazardous substance.  
4. Restrictions adopted pursuant to paragraph 2 shall not apply to the use of a substance 
in scientific research and development (of batteries) as defined in Article 3(23) of 
Regulat ion (EC) No 1907/2006.  
5. If a restriction adopted pursuant to paragraph 2 shall not apply to product and process 
oriented research and development, as defined in Article 3(22) of Regulation (EC) 
No 1907/2006, this exemption, as well as the maximum quantit y of the substance 
exempted, shall be specified in Annex I.  
Article 7  
Carbon footprint of electric vehicle batteries and rechargeable industrial batteries  
1. Electric vehicle batteries and rechargeable industrial batteries with internal storage 
and a capac ity above 2 kWh shall be accompanied by technical documentation that 
includes, for each battery model and batch per manufacturing plant, a carbon 
footprint declaration drawn up in accordance with the delegated act referred to in the 
second sub -paragraph an d containing, at least, the following information:  
(a) administrative information about the producer;  
(b) information about the battery for which the declaration applies;  
(c) information about the geographic location of the battery manufacturing facility;  
(d) the total carbon footprint of the battery, calculated as kg of carbon dioxide 
equivalent;  
(e) the carbon footprint of the battery differentiated per life cycle stage as 
described in point 4 of Annex II;  
(f) the independent third party verification stat ement;  
(g) a web link to get access to a public version of the study supporting the carbon 
footprint declaration results.  
The carbon footprint declaration requirement in the first subparagraph shall apply as 
of 1 July 2024 to electric vehicle batteries and  to rechargeable industrial batteries.  
The Commission shall, no later than 1 July 2023, adopt:  
(a) a delegated act in accordance with Article 73 to supplement this Regulation by 
establishing the methodology to calculate the total carbon footprint of the 
battery referred to in point (d), in accordance with the essential elements set out 
in Annex II;  
(b) an implementing act establishing the format for the carbon footprint declaration 
referred to in the first subparagraph. That implementing act shall be adopt ed in 
accordance with the examination procedure referred to in Article 74(3).  
The Commission shall be empowered to adopt delegated acts in accordance with 
Article 73 to amend the information requirements set out in the first subparagraph.  EN 52  EN 2. Electric vehicle batteries and rechargeable industrial batteries with internal storage 
and a capacity above 2 kWh shall bear a conspicuous, clearly legible and indelible 
label indicating the carbon footprint performance class that the individual battery 
corresponds to.  
In addition to the information set out in paragraph 1, the technical documentation 
shall demonstrate that the carbon footprint declared and the related classification into 
a carbon footprint performance class have been calculated in accordan ce with the 
methodology set out in the delegated act adopted by the Commission pursuant to the 
fourth subparagraph.  
The carbon footprint performance class requirements in the first subparagraph shall 
apply as of 1 January 2026 for electric vehicle batteri es and for rechargeable 
industrial batteries.  
The Commission shall, no later than 31 December 2024, adopt  
(a) a delegated act in accordance with Article 73 to supplement this Regulation by 
establishing the carbon footprint performance classes referred to i n the first 
subparagraph. In preparing that delegated act, the Commission shall take into 
account the relevant essential elements set out in Annex II;  
(b) an implementing act establishing the formats for the labelling referred to in the 
first subparagraph and the format for the declaration on the carbon footprint 
performance class referred to in the second subparagraph. That implementing 
act shall be adopted in accordance with the examination procedure referred to 
in Article 74(3).  
3. Electric vehicle batte ries and rechargeable industrial batteries with internal storage 
and a capacity above 2 kWh shall, for each battery model and batch per 
manufacturing plant, be accompanied by technical documentation demonstrating that 
the declared  life cycle carbon footpr int value, is below the maximum threshold 
established in the delegated act adopted by the Commission pursuant to the third 
subparagraph .  
The requirement for a maximum life cycle carbon footprint threshold in the first 
subparagraph shall apply as of 1 July  2027 for electric vehicle batteries and for 
rechargeable industrial batteries.  
The Commission shall, no later than 1 July 2026, adopt a delegated act in accordance 
with Article 73 to supplement this Regulation by determining the maximum life 
cycle carbon footprint threshold referred to in the first subparagraph. In preparing 
that delegated act, the Commission shall take into account the relevant essential 
elements set out in Annex II.  
The introduction of a maximum life cycle carbon footprint threshold shal l trigger, if 
necessary, a reclassification of the carbon footprint performance classes of the 
batteries referred to in paragraph 2.  
Article 8  
Recycled content in industrial batteries, electric vehicle batteries and automotive batteries  
1. From 1 January 2 027, industrial batteries, electric vehicle batteries and automotive 
batteries with internal storage and a capacity above 2 kWh that contain cobalt, lead, 
lithium or nickel in active materials shall be accompanied by technical 
documentation containing info rmation about the amount of cobalt, lead, lithium or EN 53  EN nickel recovered from waste present in active materials in each battery model and 
batch per manufacturing plant.  
By 31 December 2025, the Commission shall adopt an implementing act laying 
down the metho dology for the calculation and verification of the amount of cobalt, 
lead, lithium or nickel recovered from waste present in active materials in the 
batteries referred to in the first subparagraph and the format for the technical 
documentation. That implem enting act shall be adopted in accordance with the 
examination procedure referred to in Article 74(3).  
2. From 1 January 2030, industrial batteries, electric vehicle batteries and automotive 
batteries with internal storage and a capacity above 2 kWh that contain cobalt, lead, 
lithium or nickel in active materials shall be accompanied by technical 
documentation demonstrating that those batteries contain the following minimum 
share of cobalt, lead, lithium or nickel recovered from waste present in active 
materials in each battery model and batch per manufacturing plant:  
(a) 12% cobalt;  
(b) 85% lead;  
(c) 4% lithium;  
(d) 4% nickel.  
3. From 1 January 2035, industrial batteries, electric vehicle batteries and automotive 
batteries with internal storage and a capac ity above 2 kWh that contain cobalt, lead, 
lithium or nickel in active materials shall be accompanied by a technical 
documentation demonstrating that those batteries contain the following minimum 
share of cobalt, lead, lithium or nickel recovered from wast e present in active 
materials in each battery model and batch per manufacturing plant:  
(a) 20% cobalt;  
(b) 85 % lead;  
(c) 10% lithium;  
(d) 12% nickel.  
4. Where justified and appropriate due to the availability of cobalt, lead, lithium or 
nickel recovered f rom waste, or the lack thereof, the Commission shall be 
empowered to adopt, by 31 December 2027, a delegated act in accordance with 
Article 73, to amend the targets laid down in paragraphs 2 and 3.  
Article 9  
Performance and durability r equirements for port able batteries of general use  
1. From 1 January 2027, portable batteries of general use shall meet the values for the 
electrochemical performance and durability parameters set out in Annex III as laid 
down in the delegated act adopted by the Commission pur suant to paragraph 2.  
2. By 31 December 2025, the Commission shall adopt a delegated act in accordance 
with Article 73 to supplement this Regulation by establishing minimum values for 
the electrochemical performance and durability parameters laid down in A nnex III 
that portable batteries of general use shall attain.  EN 54  EN The Commission is empowered to adopt delegated acts in accordance with Article 73 
to amend the electrochemical performance and durability parameters laid down in 
Annex III in view of technical and scientific progress.  
In preparing the delegated act referred to in the first subparagraph, the Commission 
shall consider the need to reduce the life cycle environmental impact of portable 
batteries of general use and take into consideration relevant international standards 
and labelling schemes. The Commission shall also ensure that the provisions laid 
down by that delegated act do not have a significant negative impact on the 
functionality of those batteries or the appliances into which those batteri es are 
incorporated, the affordability and the cost for end -users and the industry’s 
competitiveness. No excessive administrative burden shall be imposed on 
manufacturers of the batteries and the appliances concerned.  
3. By 31 December 2030, the Commission  shall assess the feasibility of measures to 
phase out the use of non -rechargeable portable batteries of general use in view of 
minimising their environmental impact based on the life cycle assessment 
methodology. To that end, the Commission shall submit a  report to the European 
Parliament and to the Council and  consider taking the appropriate measures, 
including the adoption of legislative proposals.  
Article 10  
Performance and durability requirements for rechargeable industrial batteries and electric 
vehic le batteries  
1. From [ 12 months after entry into force of the Regulation ], rechargeable industrial 
batteries and electric vehicle batteries with internal storage and a capacity above 2 
kWh shall be accompanied by a technical documentation containing value s for the 
electrochemical performance and durability parameters laid down in Part A of Annex 
IV. 
The technical documentation referred to in the first subparagraph shall also contain 
an explanation of the technical specifications, standards and conditions u sed to 
measure, calculate or estimate the values for the electrochemical performance and 
durability parameters. That explanation shall include, at least, the elements laid down 
in Part B of Annex IV.  
2. From 1 January 2026, rechargeable industrial batterie s with internal storage and a 
capacity above 2 kWh shall meet the minimum values laid down in the delegated act 
adopted by the Commission pursuant to paragraph 3 for the electrochemical 
performance and durability parameters set out in Part A of Annex IV.  
3. By 31 December 2024, the Commission shall adopt a delegated act in accordance 
with Article 73 to supplement this Regulation by establishing minimum values for 
the electrochemical performance and durability parameters laid down in Part A of 
Annex IV that rechargeable industrial batteries with internal storage and capacity 
above 2 kWh shall attain.  
In preparing the delegated act referred to in the first subparagraph, the Commission 
shall consider the need to reduce the life cycle environmental impact of rec hargeable 
industrial batteries with internal storage and a capacity above 2 kWh and ensure that 
the requirements laid down therein do not have a significant negative impact on the 
functionality of those batteries or the appliances into which those batterie s are 
incorporated, its affordability and industry’s competitiveness. No excessive EN 55  EN administrative burden shall be imposed on manufacturers of the batteries and the 
appliances concerned.  
Article 11  
Removability and replaceability of portable batteries  
1. Portable batteries incorporated in appliances shall be readily removable and 
replaceable by the end -user or by independent operators during the lifetime of the 
appliance, if the batteries have a shorter lifetime than the appliance, or at the latest at 
the e nd of the lifetime of the appliance.  
A battery is readily replaceable where, after its removal from an appliance, it can be 
substituted by a similar battery, without affecting the functioning or the performance 
of that appliance.  
2. The obligations set ou t in paragraph 1 shall not apply where  
(a) continuity of power supply is necessary and a permanent connection between 
the appliance and the portable battery is required for safety, performance, 
medical or data integrity reasons; or  
(b) the functioning of the battery is only possible when the battery is integrated 
into the structure of the appliance.  
3. The Commission shall adopt guidance to facilitate harmonised application of the 
derogations set out in paragraph 2.  
Article 12  
Safety  of stationary battery energy storage systems  
1. Stationary battery energy storage systems shall be accompanied by technical 
documentation demonstrating that they are safe during their normal operation and 
use, including evidence that they have been succes sfully tested for the safety 
parameters laid down in Annex V, for which state -of-the-art testing methodologies 
should be used.  
2. The Commission is empowered to adopt delegated acts in accordance with Article 73 
to amend the safety parameters laid down in  Annex V in view of technical and 
scientific progress.  
Chapter III  
Labelling and information requirements  
Article 13  
Labelling of batteries  
1. From 1 January 2027, batteries shall be marked with a label containing the 
information laid down in Part A of An nex VI.  
2. From 1 January 2027, portable and automotive batteries shall be marked with a label 
containing information on their capacity and portable batteries shall be marked with 
a label containing information on their minimum average duration when used in 
specific applications.  
3. From 1 July 2023, batteries shall be labelled with the symbol indicating ‘separate 
collection’ in accordance with the requirements laid down in Part B of Annex VI.  EN 56  EN The symbol shall cover at least 3 % of the area of the largest  side of the battery up to 
a maximum size of 5 × 5 cm.  
In the case of cylindrical battery cells, the symbol shall cover at least 1,5 % of the 
surface area of the battery and shall have a maximum size of 5 × 5 cm.  
Where the size of the battery is such tha t the symbol would be smaller than 0,5 × 0,5 
cm, the battery does not need to be marked but a symbol measuring at least 1 × 1 cm 
shall be printed on the packaging.  
4. From 1 July 2023, batteries containing more than 0,002 % cadmium or more than 
0,004 % lea d, shall be marked  with the chemical symbol for the metal concerned: Cd 
or Pb.  
The symbol indicating the heavy metal content shall be printed beneath the symbol 
shown in Part B of Annex VI  and shall cover an area of at least one -quarter the size 
of that s ymbol.  
5. Batteries shall be marked with a QR code in accordance with Part C of Annex VI 
which shall provide access to the following information:  
(a) from 1 January 2027, for all batteries the information referred to in 
paragraph  1; 
(b) from 1 January 2027, for portable and automotive batteries the information 
referred to in paragraph 2;  
(c) from 1 January 2023, for all batteries the symbol referred to in paragraph 3;  
(d) from 1 January 2023, for batteries containing more than 0,002 % cadmium or 
more th an 0,004 % lead, the symbol referred to in paragraph 4;  
(e) from [ 12 months after the entry into force of this Regulation ], for rechargeable 
industrial batteries and electric vehicle batteries the report referred to in Article 
39(6);  
(f) from 1 July 2024,  for electric vehicle batteries and for rechargeable industrial 
batteries with internal storage and a capacity above 2 kWh the carbon footprint 
declaration referred to in Article 7(1);  
(g) from 1 January 2026, for electric vehicle batteries and for recharg eable 
industrial batteries with internal storage and a capacity above 2 kWh the carbon 
footprint performance class referred to in Article 7(2);  
(h) from 1 January 2027, for rechargeable industrial batteries, automotive batteries 
and electric vehicle batter ies with internal storage and a capacity above 2 kWh 
the amount of cobalt, lead, lithium or nickel recovered from waste and present 
in active materials in the battery, in accordance with Article 8;  
(i) from 1 January 2023, for all batteries the declaration  referred to in Article 18;  
(j) from 1 July 2023, for all batteries the information referred to in points (a) to (f) 
of Article 60(1).  
6. Labels and QR code referred to in paragraphs 1 to 5 shall be printed or engraved 
visibly, legibly and indelibly on the  battery. Where this is not possible or not 
warranted on account of the nature and size of the battery, labels shall be affixed to 
the packaging and to the documents accompanying the battery.  EN 57  EN 7. The Commission shall, by 31 December 2025, adopt implementing  acts to establish 
harmonised specifications for the labelling requirements referred to in paragraphs 1 
and 2. Those implementing acts shall be adopted in accordance with the examination 
procedure referred to in Article 74(3).  
Article 14  
Information on the  state of health and expected lifetime of batteries  
1. Rechargeable industrial batteries and electric vehicle batteries with internal storage 
and a capacity above 2 kWh shall include a battery management system containing 
data on the parameters for determ ining the state of health and expected lifetime of 
batteries as laid down in Annex VII.  
2. Access to the data in the battery management system referred to in paragraph 1 shall 
be provided on a non -discriminatory basis to the legal or natural person who has  
legally purchased the battery  or any third party acting on their behalf at any time for 
the purpose of:  
(a) evaluating the residual value of the battery and capability for further use;  
(b) facilitating the reuse, repurposing or remanufacturing of the battery;  
(c) making the battery available to independent aggregators or market participants 
through energy storage.  
3. The provisions of this Article shall apply in addition to those laid down in Union law 
on type approval of vehicles.   
Chapter IV  
Confor mity of batteries  
Article 15  
Presumption of conformity of batteries   
1. For the purposes of compliance and verification of compliance with the  
requirements set out in Articles 9, 10, 12, 13 and 59(5)(a) of this Regulation, 
measurements and calculations sh all be made using a reliable, accurate and 
reproducible method, which takes into account the generally recognised state -of-the-
art methods, and whose results are deemed to be of low uncertainty, including 
methods set out in standards, the reference numbers  of which have been published 
for that purpose in the Official Journal of  the European Union.  
2. Batteries which are tested following harmonised standards or parts thereof the 
references of which have been published in the Official Journal of the European  
Union shall be presumed to be in conformity with the requirements referred to in 
Articles 9, 10, 13 and 59(5)(a) to the extent that those requirements are covered by 
such harmonised standards.  
3. Batteries which are in conformity with harmonised standards  or parts thereof the 
references of which have been published in the Official Journal of the European 
Union shall be presumed to be in conformity with the requirements set out in 
Article  12 to the extent that those requirements are covered by such harmonis ed 
standards.  EN 58  EN Article 16  
Common specifications  
1. The Commission shall be empowered to adopt implementing acts laying down 
common specifications for the requirements set out in Articles 9, 10, 12, 13, 59(5)(a) 
or tests referred to in Article 15(2), where:  
(a) those requirements or tests are not covered by harmonised standards or parts  
thereof, the references of which have been published in the Official Journal  of 
the European Union; or  
(b) the Commission observes undue delays in the adoption of requested  
harmonised standards, or considers that relevant harmonised standards are not 
sufficient; or  
(c) the Commission has decided in accordance with the procedure referred to in 
Article 11(5) of Regulation (EU) No 1025/2012 to maintain with restriction or 
to wi thdraw the references to the harmonised standards or parts thereof by 
which those requirements or tests are covered.  
Those implementing acts shall be adopted in accordance with the examination 
procedure referred to in Article 74(3).  
2. Batteries which are tested following common specifications or parts thereof shall be 
presumed to be in conformity with the requirements set out in Articles 9, 10, 13 and 
59(5)(a) to the extent that those requirements are covered by those common 
specifications or parts thereof , and, if applicable, to the extent that the minimum 
values established for those requirements are attained.  
3. Batteries which are in conformity with common specifications or parts thereof shall 
be presumed to be in conformity with the requirements set ou t in Article 12 to the 
extent that those requirements are covered by those common specifications or parts 
thereof.  
Article 17  
Conformity assessment procedures  
1. Before a battery is placed on the market or put it into service, the manufacturer or its 
autho rised representative shall ensure that an assessment of the product’s conformity 
with the  requirements of Chapters II and III of this Regulation is carried out.  
2. Conformity assessment of batteries with the requirements set out in Articles 6, 9, 10, 
11, 12, 13 and 14 shall be carried out in accordance with the procedure set out in 
Part A of Annex VIII.  
3. Conformity assessment of batteries with requirements set out in Articles 7, 8 and 39 
shall be carried out in accordance with the procedure set out in Pa rt B of Annex VIII.  
4. The Commission is empowered to adopt delegated acts in accordance with Article 73 
to amend Annex VIII by introducing additional verification steps in the conformity 
assessment modules or by replacing those modules by other modules se t out in 
Decision No 768/2008/EC, if necessary after adapting them to the specific 
requirements for batteries.  
5. Records and correspondence relating to the conformity assessment of batteries shall 
be drawn up in an official language of the Member State wh ere the notified body EN 59  EN carrying out the conformity assessment procedures referred to in paragraphs 1 and 2 
is established, or in a language accepted by that body.  
Article 18  
EU declaration of conformity  
1. The EU declaration of conformity shall state that t he fulfilment of the requirements 
set out in Chapters II and III has been demonstrated.  
2. The EU declaration of conformity shall have the model structure set out in Annex IX, 
shall contain the elements specified in the relevant modules set out in Annex VI II 
and shall be continuously updated. It shall be translated into the language or 
languages required by the Member State in which the battery is placed on the market 
or put into service.  
3. Where a battery model is subject to more than one Union act requir ing an EU 
declaration of conformity, a single EU declaration of conformity shall be drawn up in 
respect of all such Union acts. That declaration shall state the Union acts concerned 
and their publication references.  
Article 19  
General principles of the CE  marking   
The CE marking shall be subject to the general principles set out in Article 30 of Regulation 
(EC) No 765/2008.  
Article 20  
Rules and conditions for affixing the CE marking  
1. The CE marking shall be affixed visibly, legibly and indelibly to the battery. Where 
that is not possible or not warranted due to the nature of the battery, it shall be 
affixed to the packaging and to the documents accompanying the battery.  
2. The CE marking shall be affixed before the battery is placed on the market.  
3. The CE marking shall be followed by the identification number of the notified body 
that has carried out the conformity assessment. That identification number shall be 
affixed by the notified body itself or, under its instructions, by the manufacturer or 
by the manufacturer’s authorised representative.  
4. The CE marking and the identification number referred to in paragraph 3 shall be 
followed, if applicable, by any labelling indicating a special risk, use or other danger 
linked to the use, storage, treatment or transport of the battery.  
5. Member States shall build upon existing mechanisms to ensure correct application of 
the regime governing the CE marking and shall take appropriate action in the event 
of improper use of that marking.  EN 60  EN Chapter V  
Notification of conformity assessment bodies  
Article 21  
Notification   
Member States shall notify the Commission and the other Member States of conformity 
assessment bodies authorised to carry out conformity assessment  in accordance with this 
Regulation  
Article 22  
Notifying authorities  
1. Member States shall designate a notifying authority that shall be responsible for 
setting up and carrying out the necessary procedures for the assessment and 
notification of conformity assessment bodies and the monitoring of notifi ed bodies, 
including compliance with Article 25.  
2. Member States may decide that the assessment and monitoring referred to in 
paragraph 1 shall be carried out by a national accreditation body within the meaning 
of and in accordance with Regulation (EC) No  765/2008.  
3. Where the notifying authority delegates or otherwise entrusts the assessment, 
notification or monitoring referred to in paragraph 1 of this Article to a body, which 
is not a governmental entity, that body shall be a legal entity and shall com ply 
mutatis mutandis  with the requirements laid down in Article 23. In addition, it shall 
have arrangements to cover liabilities arising out of its activities.  
4. The notifying authority shall take full responsibility for the tasks performed by the 
body re ferred to in paragraph 3.  
Article 23  
Requirements relating to notifying authorities  
1. A notifying authority shall be established, organised and operated so as to safeguard 
the objectivity and impartiality of its activities and to avoid conflicts of intere st with 
notified bodies and conformity assessment bodies applying for notification in 
accordance with Article 28.  
2. A notifying authority shall be organised in such a way that each decision relating to 
notification of a conformity assessment body is take n by competent persons different 
from those who carried out the assessment of the conformity assessment bodies 
applying for notification in accordance with Article 28 .  
3. A notifying authority shall not offer or provide any activities that conformity 
assessment bodies perform or consultancy services on a commercial or competitive 
basis.  
4. A notifying authority shall safeguard the confidentiality of the information it obtains. 
However, it shall exchange information on notified bodies with the Commission as  
well as with notifying authorities of other Member States and other relevant national 
authorities.  EN 61  EN 5. A notifying authority shall have a sufficient number of competent personnel at its 
disposal for the proper performance of its tasks.  
Article 24  
Informati on obligation on notifying authorities  
Member States shall inform the Commission of their procedures for the assessment and 
notification of conformity assessment bodies and the monitoring of notified bodies, and of 
any changes thereto.  
The Commission shall  make that information publicly available.  
Article 25  
Requirements related to notified bodies  
1. For the purposes of notification, a conformity assessment body shall meet the 
requirements laid down in paragraphs 2 to 11.  
2. A conformity assessment body sha ll be established under the national law of a 
Member State and have legal personality.  
3. A conformity assessment body shall be a third -party body independent from any and 
all business ties and from the battery model it assesses, in particular from battery  
manufacturers, the battery manufacturers’ trade partners, shareholding investors on 
the battery manufacturers’ plants and from other notified bodies and the notified 
bodies’ business associations, parent companies or subsidiaries.  
4. A conformity assessme nt body, its top level management and the personnel 
responsible for carrying out the conformity assessment tasks shall not be the 
designer, manufacturer, supplier, installer, purchaser, owner, user or maintainer of 
the batteries which they assess, nor the representative of any of those parties. This 
shall not preclude the use of batteries that are necessary for the operations of the 
conformity assessment body or the use of batteries for personal purposes.  
A conformity assessment body, its top level manageme nt and the personnel 
responsible for carrying out the conformity assessment tasks shall not be directly 
involved in the design, manufacture, marketing, installation, use or maintenance of 
those batteries, or represent the parties engaged in those activitie s. They shall not 
engage in any activity that may conflict with their independence of judgement or 
integrity in relation to conformity assessment activities for which they are notified. 
This shall in particular apply to consultancy services.  
A conformity assessment body shall ensure that the activities of its parent or sister 
companies, subsidiaries or subcontractors do not affect the confidentiality, 
objectivity or impartiality of its conformity assessment activities.  
5. A conformity assessment body and i ts personnel shall carry out the conformity 
assessment activities with the highest degree of professional integrity and the 
requisite technical competence in the specific field and shall be free from all 
pressures and inducements, particularly financial, w hich might influence their 
judgement or the results of its conformity assessment activities, especially as regards 
persons or groups of persons with an interest in the results of those activities.  
6. A conformity assessment body shall be capable of carryin g out all the conformity 
assessment activities mentioned in Annex VIII and in relation to which it has been EN 62  EN notified, whether those tasks are carried out by the conformity assessment body itself 
or on its behalf and under its responsibility.  
At all times, and for each conformity assessment procedure and each battery model 
in relation to which it has been notified, a conformity assessment body shall have at 
its disposal the necessary:  
(a) in-house personnel with technical knowledge and sufficient and appropr iate 
experience to perform the conformity assessment activities;  
(b) descriptions of procedures in accordance with which conformity assessment is 
carried out, ensuring the transparency and the ability of reproduction of those 
procedures;  
(c) appropriate p olicies and procedures to distinguish between activities that it 
carries out as a notified body and other activities;  
(d) procedures for the performance of conformity assessment activities which take 
due account of the size of an undertaking, the sector in  which it operates, its 
structure, the degree of complexity of the battery technology in question and 
the mass or serial nature of the production process.  
A conformity assessment body shall at all times have access to all testing equipment 
or facilities needed for each conformity assessment procedure and each battery 
model in relation to which it has been notified.  
7. The personnel responsible for carrying out conformity assessment tasks shall have 
the following:  
(a) sound technical and vocational trainin g covering all the conformity assessment 
activities in relation to which the conformity assessment body has been 
notified;  
(b) satisfactory knowledge of the requirements of the assessments they carry out 
and adequate authority to carry out those assessment s; 
(c) appropriate knowledge and understanding of the requirements set out in  
Chapters II and III, of the applicable harmonised standards referred to in 
Article 15 and common specifications referred to in Article 16 and of the 
relevant provisions of Union  harmonisation legislation and of national 
legislation;  
(d) the ability to draw up certificates, records and reports demonstrating that 
conformity assessments have been carried out.  
8. The impartiality of a conformity assessment body, its top level managem ent and the 
personnel responsible for carrying out the conformity assessment activities shall be 
guaranteed.  
The remuneration of the top level management and the personnel responsible for 
carrying out the conformity assessments activities shall not depend on the number of 
conformity assessments carried out or on the results of those assessments.  
9. A conformity assessment body shall take out liability insurance unless liability is 
assumed by the state in accordance with national law in the Member state wher e its 
activities are carried out, or that Member State itself is directly responsible for the 
conformity assessment.  EN 63  EN 10. The personnel of a conformity assessment body shall observe professional secrecy 
with regard to all information obtained in carrying ou t the conformity assessment 
activities in accordance with Annex VIII, except in relation to the competent 
authorities of the Member State in which its activities are carried out. Proprietary 
rights shall be protected.  
11. A conformity assessment body shall  participate in, or ensure that its personnel 
responsible for carrying out the conformity assessment activities are informed of, the 
relevant standardisation activities and the activities of the notified body coordination 
group established pursuant to Arti cle 37 and shall apply as general guidance the 
administrative decisions and documents produced as a result of the work of that 
group.  
Article 26  
Presumption of conformity of notified bodies  
Where a conformity assessment body demonstrates its conformity wit h the criteria laid down 
in the relevant harmonised standards or parts thereof the references of which have been 
published in the Official Journal of the European Union it shall be presumed to comply with 
the requirements set out in Article 25 in so far as  the applicable harmonised standards cover 
those requirements.  
Article 27  
Subsidiaries of and subcontracting by notified bodies  
1. Where a notified body subcontracts specific tasks connected with conformity 
assessment or has recourse to a subsidiary, it sh all ensure that the subcontractor or 
the subsidiary meets the requirements set out in Article 25 and shall inform the 
notifying authority accordingly.  
2. A notified body shall take full responsibility for the tasks performed by 
subcontractors or subsidiari es wherever those are established  
3. Activities may be subcontracted or carried out by a subsidiary only with the 
agreement of the client. The establishment and the supervision of internal 
procedures, general policies, codes of conduct or other internal ru les, the assignment 
of personnel to specific tasks and the decision on certification may not be delegated 
to a subcontractor or a subsidiary.  
4. A notified body shall keep at the disposal of the notifying authority the relevant 
documents concerning the ass essment of the qualifications of the subcontractor or the 
subsidiary and the work carried out by them under Annex VIII.  
Article 28  
Application for notification  
1. A conformity assessment body shall submit an application for notification to the 
notifying au thority of the Member  State in which it is established.  
2. The application for notification shall be accompanied by a description of the 
conformity assessment activities, of the conformity assessment modules set out in 
Annex VIII and of the battery model f or which the conformity assessment body 
claims to be competent, as well as by an accreditation certificate, issued by a national EN 64  EN accreditation body attesting that the conformity assessment body fulfils the 
requirements laid down in Article 25.  
3. Where the  conformity assessment body concerned cannot provide an accreditation 
certificate as referred to in paragraph 2, it shall provide the notifying authority with 
all the documentary evidence necessary for the verification, recognition and regular 
monitoring o f its compliance with the requirements laid down in Article  25, 
including appropriate documentation demonstrating that the conformity assessment 
body is independent in the meaning of paragraph 3 of that Article.  
Article 29  
Notification procedure  
1. A notifying authority may notify only conformity assessment bodies which have 
satisfied the requirements laid down in Article 25.  
2. The notifying authority shall send a notification to the Commission and the other 
Member States of each conformity assessment  body referred to in paragraph 1 using 
the electronic notification tool developed and managed by the Commission.  
3. The notification shall include full details of the conformity assessment activities, the 
conformity assessment module or modules and the bat teries concerned and the 
relevant attestation of competence.  
4. Where a notification is not based on an accreditation certificate as referred to in 
Article 28(2), the notifying authority shall provide the Commission and the other 
Member States with documen tary evidence which attests to the conformity 
assessment body's competence and the arrangements in place to ensure that that body 
will be monitored regularly and will continue to satisfy the requirements laid down in 
Article 25.  
5. The conformity assessmen t body concerned may perform the activities of a notified 
body only where no objections are raised by the Commission or the other Member 
States within two weeks of the notification where it includes an accreditation 
certificate referred to in Article 28(2)  or within two months of the notification where 
it includes documentary evidence referred to in Article 28(3).  
6. The notifying authority shall inform the Commission and the other Member States of 
any subsequent relevant changes to the notification referred to in paragraph 2.  
Article 30  
Identification numbers and lists of notified bodies  
1. The Commission shall assign an identification number to a notified body.  
It shall assign a single such number even where the body is notified under several 
Union acts. 
2. The Commission shall make publicly available the list of notified bodies, including 
the identification numbers that have been assigned to them and the conformity 
assessment activities for which they have been notified.  
The Commission shall ensure that the list is kept up to date.  EN 65  EN Article 31  
Changes to notifications  
1. Where a notifying authority has ascertained or has been informed that a notified body 
no longer meets the requirements laid down in Article 25 or that it is failing to fulfil 
its obli gations the notifying authority shall restrict, suspend or withdraw the 
notification, as appropriate, depending on the seriousness of the failure to meet those 
requirements or fulfil those obligations. It shall immediately inform the Commission 
and the oth er Member States accordingly.  
2. In the event of restriction, suspension or withdrawal of notification, or where the 
notified body has ceased its activity, the notifying authority shall take appropriate 
steps to ensure that the files of that body are eithe r processed by another notified 
body or kept available for the responsible notifying and market surveillance 
authorities at their request.  
Article 32  
Challenge of the competence of notified bodies  
1. The Commission shall investigate all cases where it doub ts, or doubt is brought to its 
attention regarding, the competence of a notified body or the continued fulfilment by 
a notified body of the requirements and responsibilities to which it is subject.  
2. The notifying authority shall provide the Commission, o n request, with all 
information relating to the basis for the notification or the maintenance of the 
competence of the notified body concerned.  
3. The Commission shall ensure that all sensitive information obtained in the course of 
its investigations is tr eated confidentially.  
4. Where the Commission ascertains that a notified body does not meet or no longer 
meets the requirements for its notification, it shall adopt an implementing act 
requesting the notifying authority to take the necessary corrective act ion, including 
withdrawal of the notification if necessary. That implementing act shall be adopted in 
accordance with the advisory procedure referred to in Article74(2).  
Article 33  
Operational obligations of notified bodies  
1. A notified body shall carry o ut conformity assessments in accordance with the 
conformity assessment procedures set out in Annex VIII.  
2. A notified body shall perform its activities in a proportionate manner, avoiding 
unnecessary burdens for economic operators, and taking due account of the size of an 
undertaking, the sector in which the undertaking operates, the structure of the 
undertaking, the degree of complexity of the battery to be assessed and the mass or 
serial nature of the production process.  
In so doing, the notified body sh all nevertheless respect the degree of rigour and the 
level of protection required for the compliance of the battery with this Regulation.  
3. Where a notified body finds that the requirements set out in Chapters II and III , 
harmonised standards referred t o in Article 15, common specifications referred to in 
Article 16 or other technical specifications have not been met by a manufacturer, it 
shall require that manufacturer to take appropriate corrective action in view of a EN 66  EN second and final certification dec ision, unless the deficiencies cannot be remedied, in 
which case the certificate cannot be issued.  
4. Where, in the course of the monitoring of conformity following the issue of a 
certificate of conformity or the adoption of an approval decision, a notifie d body 
finds that a battery no longer complies, it shall require the manufacturer to take 
appropriate corrective action and shall suspend or withdraw the certificate of 
conformity or the approval decision, if necessary.  
5. Where corrective action is not ta ken or do not have the required effect, the notified 
body shall restrict, suspend or withdraw any certificates of conformity or approval 
decisions, as appropriate.  
Article 34  
Appeal against decisions of notified bodies  
Member States shall ensure that an ap peal procedure against the decisions of notified bodies 
is available.  
Article 35  
Information obligation on notified bodies  
1. A notified body shall inform the notifying authority of the following:  
(a) any refusal, restriction, suspension or withdrawal of a  certificate of conformity 
or approval decision;  
(b) any circumstances affecting the scope of, or the conditions for, its notification;  
(c) any request for information which it has received from market surveillance 
authorities regarding its conformity ass essment activities;  
(d) on request, any conformity assessment activities performed within the scope of 
its notification and any other activity performed, including cross -border 
activities and subcontracting.  
2. A notified body shall provide other notified bodies carrying out similar conformity 
assessment activities covering the same batteries with relevant information on issues 
relating to negative and, on request, positive conformity assessment results.  
Article 36  
Exchange of experience  
The Commission shal l provide for the organisation of exchange of experience between the 
Member States’ national authorities responsible for notification policy.  
Article 37  
Coordination of notified bodies  
The Commission shall ensure that appropriate coordination and cooperat ion between notified 
bodies are put in place and properly operated in the form of a sectoral group or groups of 
notified bodies.  
A notified body shall participate in the work of that group or those groups, directly or by 
means of designated representatives . EN 67  EN Chapter VI  
Obligations of economic operators other than the obligations in 
Chapter VII  
Article 38  
Obligations of manufacturers  
1. When placing a battery on the market or putting it into service, including for the 
manufacturers’ own purposes, manufacture rs shall ensure that the battery:  
(a) has been designed and manufactured in accordance with the requirements set 
out in Articles 6 to 12  and Article 14; and  
(b) is labelled in accordance with the requirements set out in Article  13. 
2. Manufacturers shall draw up the technical documentation referred to in Annex VIII 
for the battery and carry out the relevant conformity assessment procedure, as 
applicable and referred to, in paragraphs 2 and 3 of Article  17 or have it carried out 
before placing a battery on the market or putting it into service.   
3. Where compliance of a battery with the applicable requirements has been 
demonstrated by the relevant conformity assessment procedure referred to in 
paragraphs 2 and 3 of Article 17, manufacturers shall draw up an EU declaration of 
conformity in accordance with Article 18 and affix the CE marking in accordance 
with Articles 19 and 20.  
4. Manufacturers shall ensure that an EU declaration of conformity is drawn up in 
accordance with Article 18 in a language which can be easily understood by 
consumers and other end -users for each battery that they place on the market or put 
into service.  
However, where several batteries are delivered simultaneously to a single user, the 
batch or consignment concerned may be accompanied  by a single copy of the EU 
declaration of conformity.  
5. Manufacturers shall keep the technical documentation referred to in Annex VIII and 
the EU declaration of conformity at the disposal of the market surveillance 
authorities and national authorities fo r 10 years after the battery has been placed on 
the market or put into service.  
6. Manufacturers shall ensure that procedures are in place for a battery that is part of a 
series production to remain in conformity with this Regulation. Changes in the 
produc tion process or in battery design or characteristics and changes in the 
harmonised standards referred to in article 15, common specifications referred to in 
Article 16 or other technical specifications by reference to which the conformity of 
the battery is  declared or by application of which its conformity is verified shall 
trigger a re -examination of the conformity assessment in accordance with the 
relevant conformity assessment procedure referred to in paragraphs 2 and 3 of 
Article 17.  
7. Manufacturers sh all ensure that the battery is labelled in accordance with the 
requirements in paragraphs 1 to 8 of Article 13.  
8. Manufacturers shall indicate their name, registered trade name or registered trade 
mark and the postal address and web address at which they can be contacted on the EN 68  EN packaging of the battery. The postal address shall indicate a single point at which the 
manufacturer can be contacted. Such information shall be in a language easily 
understood by end -users and market surveillance authorities and sh all be clear, 
understandable and legible.  
9. Manufacturers shall ensure that each battery that they place on the market or put into 
service is accompanied by instructions and safety information in accordance with 
Articles 6 to 12 and Article 14.  
10. Manuf acturers shall provide access to the data on the parameters in the battery 
management system referred to in paragraph 1 of Article 14 and paragraphs 1 and 2 
of Article 59, in accordance with the requirements laid down in those Articles.  
11. Manufacturers who consider or have reason to believe that a battery which they have 
placed on the market or put into service is not in conformity with the requirements 
set out in Chapters II and III shall immediately take the corrective action necessary to 
bring that ba ttery into conformity, to withdraw it or recall it, as appropriate. 
Furthermore, where the battery presents a risk, manufacturers shall immediately 
inform the national authority of the Member  State in which they made the battery 
available on the market to that effect, giving details, in particular, of the non -
compliance and of any corrective action taken.  
12. Manufacturers shall, further to a reasoned request from a national authority , provide 
it with all the information and technical documentation necessa ry to demonstrate the 
conformity of the battery with the requirements set out in Chapters II and III, in a 
language which can be easily understood by that authority. That information and the 
technical documentation shall be provided in either paper or elec tronic form. 
Manufacturers shall cooperate with the national authority, at its request, on any 
action taken to eliminate the risks posed by a battery which they have placed on the 
market or put into service.  
Article 39  
Obligation for economic operators th at place rechargeable industrial batteries and electric -
vehicle batteries with internal storage and a capacity above 2 kWh on the market to establish 
supply chain due diligence policies  
1. As of [ 12 months after the entry into force of the Regulation ] the economic operator 
that places rechargeable industrial batteries and electric -vehicle batteries with 
internal storage and a capacity above 2 kWh on the market  shall comply with the 
supply chain due diligence obligations set out in paragraphs 2 to 5 of this Article and 
shall keep documentation demonstrating its respective compliance with those 
obligations, including the results of the third -party verification ca rried out by notified 
bodies.  
2. The economic operator referred to in paragraph 1 shall  
(a) adopt, and clearly communicate to suppliers and the public, a company policy 
for the supply chain of raw materials indicated in Annex X, point 1;  
(b) incorporate in  its supply chain policy standards consistent with the standards 
set out in the model supply chain policy in Annex II to the OECD Due 
Diligence Guidance;  
(c) structure its respective internal management systems to support supply chain 
due diligence by assi gning responsibility to senior management to oversee the EN 69  EN supply chain due diligence process as well as maintain records of those systems 
for a minimum of five years;  
(d) establish and operate a system of controls and transparency over the supply 
chain, inc luding a chain of custody or traceability system or the identification 
of upstream actors in the supply chain.   
Such a system shall be supported by documentation that provides the following 
information:  
(i) description of the raw material, including its tr ade name and type;  
(ii) name and address of the supplier that supplied the raw material present in 
the batteries to the economic operator that places on the market the 
batteries containing the raw material in question;  
(iii) country of origin of the raw ma terial and the market transactions from the 
raw material’s extraction to the immediate supplier to the economic 
operator;   
(iv) quantities of the raw material present in the battery placed on the market, 
expressed in percentage or weight.  
The requirements  set out in the current point (d) may be implemented through 
participation in industry -led schemes.  
(e) incorporate its supply chain policy into contracts and agreements with 
suppliers, including their risk management measures;  
(f) establish a grievance m echanism as an early -warning risk -awareness system or 
provide such mechanism through collaborative arrangements with other 
economic operators or organisations, or by facilitating recourse to an external 
expert or body, such as an ombudsman.  
3. The economic  operator referred to in paragraph 1 shall  
(a) identify and assess the adverse impacts associated to the risk categories listed 
in Annex X, point 2, in its supply chain on the basis of the information 
provided pursuant to paragraph 2 against the standards  of their supply chain 
policy;  
(b) implement a strategy to respond to the identified risks designed so as to prevent 
or mitigate adverse impacts by:  
(i) reporting findings of the supply chain risk assessment to senior 
management designated for that purpos e; 
(ii) adopting risk management measures consistent with Annex II to the 
OECD Due Diligence Guidance, considering their ability to influence, 
and where necessary take steps to exert pressure on suppliers who can 
most effectively prevent or mitigate the id entified risk;  
(iii) implementing the risk management plan, monitoring and tracking 
performance of risk mitigation efforts, reporting back to senior 
management designated for this purpose and considering suspending or 
discontinuing engagement with a suppli er after failed attempts at 
mitigation, based on relevant contractual arrangements in line with the 
second subparagraph to paragraph 2 above;  EN 70  EN (iv) undertaking additional fact and risk assessments for risks requiring 
mitigation, or after a change of circums tances.  
If the economic operator referred to in paragraph 1 pursues risk mitigation efforts 
while continuing trade or temporarily suspending trade, it shall consult with suppliers 
and with the stakeholders concerned, including local and central government 
authorities, international or civil society organisations and affected third parties, and 
agree on a strategy for measurable risk mitigation in the risk management plan.  
The economic operator referred to in paragraph 1 shall identify and assess the 
probabi lity of adverse impacts in the risk categories listed in Annex X, point 2, in its 
supply chain based on available reports by third -party verification done by a notified 
body concerning the suppliers in that chain, and, by assessing, as appropriate, its due  
diligence practices. Those verification reports shall be in accordance with the first 
subparagraph in paragraph 4. In the absence of such third -party verification reports 
concerning suppliers, the economic operator referred to in paragraph 1 shall identif y 
and assess the risks in its supply chain as part of its own risk management systems. 
In such cases, economic operators referred to in paragraph 1 shall carry out third 
party verifications of its own supply chains due diligence via a notified body in 
accordance with the first subparagraph in paragraph 4.  
The economic operator referred to in paragraph 1 shall report the findings of the risk 
assessment referred to in the third subparagraph to its senior management designated 
for that purpose and  a response strategy designed to prevent or mitigate adverse 
impacts shall be implemented.  
4. The economic operator referred to in paragraph 1 shall have their supply chain due 
diligence policies verified by a notified body (“third -party verification”).  
The third -party verification by a notified body shall:  
(a) include in its scope all activities, processes and systems used by economic 
operators to implement their supply chain due diligence requirements in 
accordance with paragraphs 2, 3 and 5;  
(b) have as its object ive the determination of conformity of the supply chain due 
diligence practices of economic operators placing batteries on the market with 
paragraphs 2, 3 and 5;  
(c) make recommendations to the economic operators that place batteries on the 
market on how t o improve their supply chain due diligence practices;  
(d) respect the audit principles of independence, competence and accountability, as 
set out in the OECD Due Diligence Guidance;  
5. The economic operator referred to in paragraph 1 shall make available upon request 
to Member States’ market surveillance authorities the reports of any third -party 
verification carried out in accordance with paragraph 4 or evidence of compliance 
with a sup ply chain due diligence scheme recognised by the Commission in 
accordance with Article 72.  
6. The economic operator referred to in paragraph 1 shall make available to its 
immediate downstream purchasers all information gained and maintained pursuant to 
its supply chain due diligence policies with due regard for business confidentiality 
and other competitive concerns.  EN 71  EN The economic operator referred to in paragraph 1 shall on an annual basis, publicly 
report as widely as possible, including on the internet, on its supply chain due 
diligence policies. That report shall contain the steps taken by that economic operator 
to comply with the requirements set out in paragraphs 2 and 3, including findings of 
significant adverse impacts in the risk categories listed i n Annex X, point 2, and how 
they have been addressed, as well as a summary report of the third -party verifications 
carried out in accordance with point 4, including the name of the notified body, with 
due regard for business confidentiality and other compe titive concerns.  
Where the economic operator referred to in paragraph 1 can reasonably conclude that 
the raw materials listed in Annex X, point 1, that are present in the battery are 
derived only from recycled sources, it shall publicly disclose its conclusions in 
reasonab le detail, with due regard for business confidentiality and other competitive 
concerns.  
7. The Commission shall develop guidance as regards the application of the due 
diligence requirements defined in paragraphs 2 and 3 of this Article, with regard to 
the social and environmental risks referred to in Annex X, point 2, and particularly in 
line with the international instruments referred to in Annex X, point 3.  
8. The Commission is empowered to adopt delegated acts in accordance with Article 73 
to: 
(a) Amend  the lists of raw materials and risk categories in Annex X in view of 
scientific and technological progress in battery manufacturing and chemistries 
and amendments to Regulation (EU) 2017/821;  
(b) amend the obligations on the economic operator referred to in paragraph 1 set 
out in paragraphs 2 to 4 in view of amendments to Regulation (EU) 2017/821 
and changes to the due diligence recommendations set out in Annex I to the 
OECD Due Diligence Guidance.  
Article 40  
Obligations of authorised representatives  
1. Where the manufacturer of a battery is not established in a Member State, the battery 
may only be placed on the Union market if the manufacturer designates a sole 
authorised representative.  
2. The designation shall constitute the authorised representative's  mandate, it shall be 
valid only when accepted in writing by the authorised representative and shall be 
effective at least for all batteries of the same battery model.  
3. The obligations laid down in Article 38(1) and the obligation to draw up technical 
documentation shall not form part of the authorised representative's mandate.  
4. An authorised representative shall perform the tasks specified in the mandate 
received from the manufacturer. The authorised representative shall provide a copy 
of the mandate t o the competent authority, upon request. The mandate shall allow the 
authorised representative to do at least the following:  
(a) verify that the EU declaration of conformity and technical documentation have 
been drawn up and, where applicable, that an appr opriate conformity 
assessment procedure has been carried out by the manufacturer  EN 72  EN (b) keep the EU declaration of conformity and the updated technical 
documentation at the disposal of market surveillance authorities for 10 years 
after the battery has been pl aced on the market;  
(c) further to a reasoned request from a national authority, provide that authority 
with all the information and documentation necessary to demonstrate the 
conformity of the battery;  
(d) cooperate with the national authorities, at their  request, on any action taken to 
eliminate the risks posed by batteries covered by the authorised representative's 
mandate;  
(e) fulfil the manufacturer’s obligations under Chapter V  
(f) terminate the mandate if the manufacturer acts contrary to its obligat ions under 
this Regulation.  
Article 41  
Obligations of importers  
1. Importers shall only place on the market or put into service a battery which is 
compliant with the requirements of  Chapters II and III  
2. Before placing a battery on the market or putting it into service, importers shall 
verify that the relevant conformity assessment procedure referred to in Article 17 has 
been carried out by the manufacturer. They shall verify that the manufacturer has 
drawn up the technical documentation referred to in An nex VIII, that the battery 
bears the CE marking referred to in Article 19 and the QR code referred to in Article 
13(5), is accompanied by the required documents and that the manufacturer has 
complied with the obligations set out in  paragraphs 7, 8 and 9 o f Article 38.  
Where an importer considers or has reason to believe that a battery is not in 
conformity with the requirements set out in Chapters II and III , the importer shall not 
place it on the market or put it into service until it has been brought into  conformity. 
Furthermore, where the battery presents a risk, the importer shall inform the 
manufacturer and the market surveillance authorities to that effect.  
3. Importers shall indicate on the battery their name, registered trade name or registered 
trade  mark, and the address at which they can be contacted or, where that is not 
possible, on its packaging or in a document accompanying the battery. The contact 
details shall be in a language easily understood by consumers, other end -users and 
the market surv eillance authorities.  
4. Importers shall ensure the manufacturer has fulfilled its obligations under paragraphs 
7, 9 and 10 of Article 38.  
5. Importers shall ensure that, while a battery is under their responsibility, storage or 
transport conditions do not  jeopardise its compliance with the requirements set out in 
Chapters II and III.  
6. When deemed appropriate with regard to the risks presented by a battery, importers 
shall, to protect the human health and safety of consumers, carry out sample testing 
of m arketed batteries, investigate, and, if necessary, keep a register of complaints, of 
non-conforming batteries and battery recalls, and shall keep distributors informed of 
such monitoring.  EN 73  EN 7. Importers who consider or have reason to believe that a battery, which they have 
placed on the market or put into service, is not in conformity with the requirements 
set out in Chapters II and III, shall immediately take the corrective action necessary 
to bring that battery into conformity, to withdraw it or recall it, as appropriate. 
Furthermore, where the battery presents a risk, importers shall immediately inform 
the national authority of the Member State in which they made the battery available 
on the market to that effect, giving details, in particular, of the non -compliance and 
of any corrective action taken.  
8. Importers shall keep the technical documentation referred to in Annex VIII and a 
copy of the EU declaration of conformity at the disposal of the national authorities 
and market surveillance authorities for 10 years after the battery has been placed on 
the market or put into service.  
9. Importers shall, further to a reasoned request from a national authority provide it 
with all the information and technical documentation necessary to demonstrate the 
conformit y of a battery with the requirements set out in Chapters II and III in a 
language that can be easily understood by that authority. That information and the 
technical documentation shall be provided either in paper or electronic form. 
Importers shall cooper ate with the national authority, at its request, on any action 
taken to eliminate the risks posed by batteries, which they have placed on the market 
or put into service.  
Article 42  
Obligations of distributors   
1. When making a battery available on the mark et, distributors shall act with due care in 
relation to the requirements of this Regulation.  
2. Before making a battery available on the market, distributors shall verify that:  
(a) the manufacturer, the manufacturer’s authorised representative, importer or 
other distributors are registered on the territory of a Member State in 
accordance with Article 46;  
(b) the battery bears the CE marking,  
(c) battery is accompanied by the required documents in a language which can be 
easily understood by the consumers and other end -user in the Member State in 
which the battery is to be made available on the market and by instructions and 
safety information and  
(d) the manufacturer and the importer have complied with the requirements set out 
in paragraphs 7, 9 and 10 of  Article 38 and Article 41(3) and (4) respectively.  
3. Where a distributor considers or has reason to believe that a battery is not in 
conformity with the requirements set out in Chapters II and III, the distributor shall 
not make the battery available on the market until it has been brought into 
conformity. Furthermore, where the battery presents a risk, the distributor shall 
inform the manufacturer or the importer to that effect as well as the relevant market 
surveillance authorities.  
4. Distributors shal l ensure that, while a battery is under their responsibility, storage or 
transport conditions do not jeopardise its compliance with the requirements set out in 
Chapters II and III.  EN 74  EN 5. Distributors who consider or have reason to believe that a battery, whic h they have 
made available on the market, is not in conformity with the requirements set out in 
Chapters II and III shall make sure that the corrective action necessary to bring that 
battery into conformity, to withdraw it or recall it, as appropriate, are  taken. 
Furthermore, where the battery presents a risk, distributors shall immediately inform 
the national authority of the Member States in which they made the battery available 
on the market to that effect, giving details, in particular, of the non -compl iance and 
of any corrective action taken.  
6. Distributors shall, further to a reasoned request from a national authority  provide it 
with all the information and the technical documentation necessary to demonstrate 
the conformity of a battery with the requ irements set out in Chapters II and III in a 
language that can be easily understood by that authority. That information and the 
technical documentation shall be provided in paper or electronic form. Distributors 
shall cooperate with the national authority,  at its request, on any action taken to 
eliminate the risks posed by batteries that they have made available on the market.  
Article 43  
Obligations of fulfilment service providers  
Fulfilment service providers shall ensure that, for batteries that they hand le, the conditions 
during warehousing, packaging, addressing or dispatching, do not jeopardise the batteries’ 
compliance with the requirements set out in Chapters II and III.  
Article 44  
Case in which obligations of manufacturers apply to importers and dist ributors  
An importer or distributor shall be considered a manufacturer for the purposes of this 
Regulation and that importer or distributor shall be subject to the obligations of the 
manufacturer under Article 40 , where   
(a) a battery is placed on the mark et or put into service under that importer’s or 
distributor’s own name or trademark;  
(b) a battery already placed on the market or put into service is modified by that 
importer or distributor in such a way that compliance with the requirements of 
this Regu lation may be affected;  
(c) the purpose of a battery already placed on the market or put into service is 
modified by that importer or distributor.  
Article 45  
Identification of economic operators  
Upon a request of a market surveillance authority or a nation al authority, for a period of 
10 years after the placing on the market of a battery, economic operators shall provide 
information on the following:  
(a) the identity of any economic operator that has supplied them with a battery;  
(b) the identity of any eco nomic operator to which they have supplied a battery, as 
well as the quantity and exact models.  EN 75  EN Chapter VII  
End-of-life management of batteries  
Article 46  
Register of producers   
1. Member States shall establish a register of producers which shall serve t o monitor 
compliance of producers with the requirements of this Chapter. The register shall be 
managed by the competent authority.  
2. Producers shall be obliged to register. They shall to that end submit an application to 
the competent authority of the Mem ber State where they make a battery available on 
the market for the first time . Where a producer has appointed a producer 
responsibility organisation in accordance with Article 47(2), the obligations under 
this article shall be met by that organisation mutatis mutandis  unless otherwise 
specified.  
In its application for registration, the producer shall provide the following 
information to the competent authority:  
(a) name and address of the producer including postal code and place, street and 
number, country, telephone and fax numbers, if any, internet address and e -
mail address;  
(b) national identification code of the producer, including its trade register number 
or equivalent official registration number including European or national tax 
number;  
(c) in the case of an authorisation in accordance with Article 47(2), the producer 
responsibility organisation shall, in addition to the information required under  
points (a) and (b), provide  
(i) the name and contact details, including postal code and place,  street and 
number, country, telephone and fax numbers, internet address and e -mail 
address of the producers  represented;  
(ii) the represented producer’s mandate;  
(iii) where the authorised representative represents more than one producer, 
separate indica tions of the name and the contact details of each one of the 
represented producers.  
(d) the type of batteries that the producer intends to make available on the market 
for the first time within the territory of a Member State, namely portable 
batteries, i ndustrial batteries, electric vehicle batteries, or automotive batteries;  
(e) the brand under which the producer intends to supply the batteries in the 
Member State;  
(f) information on how the producer meets its responsibilities set out in Article 47 
and t he requirements under Article 48 and Article 49 respectively:  
(i) for portable batteries, the requirements of this point (f) shall be met by 
providing:  
– a declaration demonstrating the measures put in place by the 
producer to attain the producer responsibil ity obligations set out in EN 76  EN Article 47, the measures put in place to meet the separate collection 
obligations set out in Article 48(1)with regard to the amount of 
batteries the producer supplies  and the system to ensure that the 
data reported to the compet ent authorities is reliable;  
– where applicable, the name and contact details, including postal 
code and place, street and number, country, telephone and fax 
numbers, internet address and e -mail address and the national 
identification code of the producer re sponsibility organisation 
entrusted by the producer to fulfil its extended producer 
responsibility obligations in accordance with Article 47(2), 
including the trade register number or an equivalent official 
registration number of the producer responsibilit y organisation 
including the European or national tax number of the producer 
responsibility organisation, and the represented producer’s 
mandate;  
(ii) for automotive, industrial and electric vehicle batteries, the requirements 
of this point (f) shall be me t by providing:  
– a declaration providing information on the measures put in place by 
the producer to attain the producer responsibility obligations  set 
out in Article 47, the measures put in place to meet the  collection 
obligations set out in Article 49(1 ) with regard to the amount of 
batteries the producer supplies  and the system to ensure that the 
data reported to the competent authorities is reliable;  
– where applicable, the national identification code of the producer 
responsibility organisation entrust ed by the producer to fulfil its 
extended producer responsibility obligations in accordance with 
paragraphs 2 and 4 of Article 47, including the trade register 
number or an equivalent official registration number of the 
producer responsibility organisation  including the European or 
national tax number of the producer responsibility organisation, 
and the represented producer’s mandate;  
– where the producer responsibility organisation represents more 
than one producer, it shall indicate separately how each one of the 
represented producers meets the responsibilities set out in Article 
47. 
(g) a declaration by the producer or the producer responsibility organisation 
appointed in accordance with Article 47(2) stating that the information 
provided is true.  
3. The competent authority:  
(a) shall receive applications for the registration of producers referred to in 
paragraph 2 via an electronic data -processing system the details of which shall 
be made available on the competent authorities’ website;  
(b) shall grant re gistrations and provide a registration number within a maximum 
period of six weeks from the moment that all the information laid down in 
paragraph 2 is provided;  EN 77  EN (c) may lay down modalities with respect to the requirements and process of 
registration with out adding substantive requirements to the ones laid down in 
paragraph 2;  
(d) may charge cost -based and proportionate fees to producers for the processing 
of applications referred to in paragraph 2.  
4. The producer, or, where applicable, the producer resp onsibility organisation 
appointed in accordance with Article 47(2) on behalf of the producers it represents  
shall without undue delay notify the competent authority of any changes to the 
information contained in the registration and of any permanent cessa tion as regards 
the making available on the market within the territory of the Member State of the 
batteries referred to in the registration in accordance with paragraph 1(d).  
Article 47  
Extended Producer Responsibility   
1. Producers of batteries shall hav e extended producer responsibility for batteries that 
they make available on the market for the first time within the territory of a Member 
State, to ensure the attainment of the waste management obligations set out in this 
Chapter. This responsibility sha ll include the obligation to:  
(a) organise the separate collection of waste batteries in accordance with Article 
48 and Article 49 and the subsequent transport, preparation for repurposing and 
remanufacturing, treatment and recycling of waste batteries, in cluding the 
necessary safety measures, in accordance with Article 56;  
(b) report on obligations relating to batteries made available on the market for the 
first time within the territory of a Member State in accordance with Article 61;  
(c) promote the separate collection of batteries, including by covering the costs of 
carrying out surveys to identify batteries discarded inappropriately by end -
users in accordance with Article 48(1);  
(d) provide information including end -of-life information about batteri es in 
accordance with Article 60;  
(e) finance the activities referred to in points (a) to (d).  
2. Producers may entrust a producer responsibility organisation authorised in 
accordance with paragraph 6 to carry out the extended producer responsibility 
obligations on their behalf.  
3. Producers and, where appointed in accordance with paragraph 2, producer 
responsibility organisations acting on their behalf shall:  
(a) have the necessary organisational and financial means to fulfil the extended 
producer respo nsibility obligations referred to in paragraph 1;  
(b) put in place an adequate self -control mechanism, supported by regular 
independent audits, to regularly appraise:  
(i) their financial management, including compliance with the requirements 
laid down in p aragraph 1(e) and point (a) of this paragraph;  
(ii) the quality of data collected and reported in accordance with paragraph 
1(b) of this Article and with the requirements of Regulation (EC) No 
1013/2006.  EN 78  EN 4. In the case of a collective exercise of extended producer responsibility,  producer 
responsibility organisations shall ensure that  the financial contributions paid to them 
by producers:  
(a) are modulated as a minimum by battery type and battery chemistry  and, as 
appropriate, taking into account the rechargeability and the level of recycled 
content in the manufacture of batteries;  
(b) are adjusted to take account of any revenues by the producer responsibility 
organisations from reuse and from sales of seco ndary raw materials from the 
batteries and waste batteries;  
(c) ensure equal treatment of producers regardless of their origin or size, without 
placing a disproportionate regulatory burden on producers, including small and 
medium sized enterprises, of smal l quantities of batteries.  
5. Where, in accordance with Articles 48(2), 49(3), 53(1), 56(1), and paragraphs 1, 2 
and 3 of Article 61, activities to carry out obligations referred to in points (a) to (d) 
of paragraph 1 are carried out by a third party other  than a producer or a producer 
responsibility organisation, the costs to be covered by producers shall not exceed the 
costs that are necessary to provide those activities in a cost -efficient way. Such costs 
shall be established in a transparent way between  the producers and the third parties 
concerned and adjusted to take account of any revenues from reuse and from sales of 
secondary raw materials from the batteries and waste batteries.  
6. Producer  responsibility organisations shall apply for an authorisati on from the 
competent authority. The authorisation shall be granted only where it is demonstrated 
that the measures put in place by the producer responsibility organisation are 
sufficient to meet the obligations set out in this Article with regard to the a mount of 
batteries made available on the market for the first time within the territory of a 
Member State by the producers on whose behalf it acts. The competent authority 
shall in regular intervals, verify whether the conditions for the authorisation laid  
down in paragraphs 1, 3, 4 and 5 continue to be met. The competent authorities shall 
fix the details of the authorisation procedure and the modalities for verifying 
compliance, including the information to be provided by producers to that end.  
Producer re sponsibility organisations shall notify the competent authority without 
undue delay of any changes to the information contained in the application for an 
authorisation, of any changes that concern  the terms of the authorisation  and of the 
permanent cessati on of operations .  
Where, in the territory of a Member State, multiple producer responsibility 
organisations  are authorised to fulfil extended producer responsibility obligations on 
behalf of producers, they shall carry out their extended producer responsi bility 
obligations in a coordinated manner so as to ensure a coverage across the whole 
territory of the Member State of the activities under paragraph 1(a). Member States 
shall entrust the competent authority or appoint an independent third party to overse e 
that producer responsibility organisations fulfil their obligation to coordinate in 
accordance with the previous sentence.  
7. In order to demonstrate compliance with paragraph 3(a), producers or, where 
appointed in accordance with paragraph 2, producer r esponsibility organisations 
acting on their behalf, shall provide a guarantee which may take the form of a 
recycling insurance or a blocked bank account, or participation by the producer in a 
producer responsibility organisation . EN 79  EN 8. Producer responsibility  organisations shall ensure the confidentiality of the data in its 
possession as regards proprietary information or information directly attributable to 
individual producers or their authorised representatives . 
9. Producer responsibility organisations  shall publish the following information on their 
websites by the end of each year, subject to commercial and industrial 
confidentiality:  
(a) ownership of the producer responsibility organisation;  
(b) list of producers that have entrusted the producer responsib ility organisation to 
carry out their extended producer responsibility obligations on their behalf;  
(c) the rate of separate collection of waste batteries, the level of recycling and 
recycling efficiencies achieved based on the amount of batteries made ava ilable 
on the market for the first time in the Member State by their member 
producers;  
(d) the financial contributions paid by their member producers per battery or per 
weight of batteries, indicating also fee modulation categories applied in 
accordance wi th paragraph 4(a).  
10. The competent authorities shall verify compliance of producers, including those that 
supply  batteries by means of distance contracts  and, where appointed in accordance 
with paragraph 2, producer responsibility organisations acting on their behalf, with 
the obligations set out in this Article.  
11. Member States shall establish a mechanism to ensure a regular dialogue between 
relevant s takeholders involved in the fulfilment of extended producer responsibility 
obligations for batteries, including producers and distributors, private or public waste 
operators, local authorities, civil society organisations and, where applicable, social 
econ omy actors, re -use and repair networks and preparing for re -use operators.  
12. Where necessary to avoid distortion of the internal market, the Commission is 
empowered to adopt an implementing act laying down criteria for the application of 
paragraph 4(a).  That implementing act cannot concern the a precise determination of 
the level of the contributions. That implementing acts shall be adopted in accordance 
with the examination procedure referred to in Article 74(3).  
13. Articles 8 and 8a of Directive 2008/98/EC shall not apply to batteries.  
Article 48  
Collection of waste portable batteries  
1. Producers or, where appointed in accordance with Article 47(2), producer 
responsibility organisations acting on their behalf, shall ensure the collection of all 
waste portable batteries, regardless of their nature, brand or origin in the territory of a 
Member State where they make batteries available on the market for the first time. 
For that purpose they shall:  
(a) establish waste portable battery collection point s; 
(b) offer the collection of waste portable batteries, free of charge, to the entities 
referred to in paragraph 2(a) and provide for the collection of waste portable 
batteries from all entities that have made use of that offer (“connected 
collection poin ts”); EN 80  EN (c) provide for the necessary practical arrangements for collection and transport, 
including the provision free of charge of suitable collection and transport 
containers meeting the requirements of Directive 2008/98/EC to the connected 
collection poi nts; 
(d) ensure the collection free of charge of the waste portable batteries collected by 
the connected collection points, with a frequency that is proportionate to the 
area covered and the volume and hazardous nature of the waste portable 
batteries usual ly collected through those collection points;  
(e) ensure that the waste portable batteries collected from the connected collection 
points are subsequently subject to treatment and recycling in a permitted 
facility by a waste management operator in accordan ce with Article 56.  
2. Producers or, where appointed in accordance with Article 47(2), producer 
responsibility organisations acting on their behalf, shall ensure that the network of 
connected collection points :  
(a) consists of collection points provided by them in cooperation with:  
(i) distributors in accordance with Article 50;  
(ii) waste electrical and electronic equipment and end -of-life vehicle 
treatment and recycling facilities in accordance with Article 52;  
(iii) public authorities or third parties carrying out waste management on their 
behalf in accordance with Article 53;  
(iv) voluntary collection points in accordance with Article 54;.  
(b) covers the whole territory of the Member State taking into account population 
size, expected volume of waste portable batteries, accessibility and vicinity to 
end-users, not being limited to areas where the collection and subsequent 
management of waste portable batteries is profitable.  
3. End users, when discarding waste portable batteries  at collection points r eferred to 
in paragraph 2, shall not be charged or be obliged to buy a new battery.  
4. Producers or, where appointed in accordance with Article 47(2), producer 
responsibility organisations acting on their behalf, shall attain, and maintain durably, 
at leas t the following collection targets of waste portable batteries, calculated as 
percentages of the portable batteries, excluding batteries from light means of 
transport, made available on the market for the first time in a Member State by the 
respective prod ucer or collectively by the producers covered by a producer 
responsibility organisation:  
(a) 45 % by 31 December 2023 ;  
(b) 65 % by 31 December 2025;  
(c) 70 % by 31 December 2030.  
Producers or, where appointed in accordance with Article 47(2), producer 
responsibility organisations acting on their behalf, shall calculate the collection rate 
referred to in this paragraph  in accordance with Annex XI.  
5. Collection points set up in accordance with paragraphs 1 and paragraph 2(a) shall not 
be subject to the regi stration or permit requirements of Directive 2008/98/EC.  EN 81  EN 6. Producers or, where appointed in accordance with Article 47(2), producer 
responsibility organisations shall request an authorisation from the competent 
authority that shall verify compliance of th e arrangements put in place to ensure 
compliance with the requirements of this Article. In case the authorisation is 
requested by a producer responsibility organisation, the request for authorisation 
shall clearly identify the active member producers that it is representing.  
7. The producer responsibility organisation shall ensure the confidentiality of the data 
in its possession as regards proprietary information or information directly 
attributable to individual producers . The competent authority may in i ts 
authorisation, establish conditions to be met to that end.  
8. The authorisation under paragraph 6 may be granted only where it is demonstrated, 
by providing documentary evidence, that the requirements  of paragraphs 1, 2 and 3 
of this Article are met and  that all the arrangements are in place to allow attaining 
and maintaining durably at least the collection target referred to in paragraph 4. 
Where the authorisation is requested by a producer responsibility organization, it 
shall be obtained as part of th e authorisation referred to in Article 47(6).  
9. The competent authority shall establish the details of the procedure to grant the 
authorisation under paragraph 6 to ensure compliance with the requirements set out 
in paragraphs 1 to 4 and Article 56. This shall include the requirement of an 
independent experts’ report for an ex -ante verification of the arrangements for 
collection under this article being made in a way to ensure compliance with the 
requirements under this Article. It shall also include timef rames for verification of 
the respective steps and the decision to be taken by the competent authority, which 
shall not exceed six weeks from the submission of a complete application dossier.  
10. The competent authority shall review regularly, and at leas t every three years, 
whether the conditions for the authorisation  under paragraph 6  still are met. The 
authorisation may be revoked when the collection target set out in paragraph 4 is not 
met or the producer or producer responsibility organisation is in material breach of 
its obligations according to paragraphs 1 to 3.  
11. The producer or, where appointed in accordance with Article 47(2), the producer 
responsibility organisation acting on its behalf, shall immediately notify the 
competent authority of any  changes to the conditions covered by the application for 
authorisation referred to in paragraph 7, of any changes that concern the terms of the 
authorisation under paragraph 8, and of the permanent cessation of operations.  
12. Every five years the Member States shall carry out a compositional survey at least at 
NUTS 2 level of collected mixed municipal waste and waste electric and electronic 
equipment streams to determine the share of waste portable batteries therein. The 
first survey shall be carried out by 31 December 2023. On the basis of the 
information obtained, the competent authorities may require, when granting or 
reviewing an authorisation under paragraphs 6 and 10 that the producers of portable 
batteries or producer res ponsibility organisations take corrective action to increase 
their network of connected collection points and carry out information campaigns in 
accordance with Article 60(1) in proportion to the share of waste portable batteries in 
mixed municipal waste a nd waste electric and electronic equipment streams detected 
in the survey.  EN 82  EN Article 49  
Collection of waste automotive batteries, industrial batteries and electric vehicle batteries  
1. Producers of automotive batteries, industrial batteries and electric veh icle batteries 
or, where appointed in accordance with Article 47(2), producer responsibility 
organisations, shall take back, free of charge and without an obligation on the end 
user to buy a new battery, nor to have bought the battery from them, all waste 
automotive batteries, industrial batteries and electric vehicle batteries of the 
respective type that they have made available on the market for the first time in the 
territory of that Member State. For that purpose they shall  accept to take back waste 
automotive batteries, industrial batteries and electric vehicle batteries from end -users, 
or from collection points provided in cooperation with:  
(a) distributors of automotive, industrial and electric vehicle batteries in 
accordance with Article 50(1);  
(b) waste electrical and electronic equipment and end -of-life vehicle treatment and 
recycling facilities referred to in Article 52 for the waste automotive, industrial 
and electric vehicle batteries arising from their operations;  
(c) public authorities or th ird parties carrying out waste management on their 
behalf in accordance with Article 53.  
Where waste industrial batteries require prior dismantling at the premises of private, 
non-commercial users, the obligation of the producer to take back those batteries  
shall include covering the costs of dismantling and collecting waste batteries at the 
premises of those users.   
2. The take back arrangements put in place in accordance with paragraph 1 shall  cover  
the whole territory of a Member State taking in to account population size and 
density, expected volume of waste automotive, industrial and electric vehicle 
batteries, accessibility and vicinity to end -users, not being limited to areas where the 
collection and subsequent management of waste automotive, industrial and electric 
vehicle batteries is  most profitable . 
3. Producers  of automotive batteries, industrial batteries and electric vehicle batteries 
or, where appointed in accordance with Article 47(2), producer responsibility 
organisations, shall:  
(a) provide the collection points referred to in paragraph 1 with suitable collection 
infrastructure for the separate collection of waste automotive batteries, 
industrial batteries and electric vehicle batteries meeting the applicable safety 
requirements and cover the necessary costs incurred by those collection points 
in relation to the take back activities. The containers to collect and temporarily 
store such batteries at the collection point  shall be adequate to provide for the 
volume and hazardous nature of waste automotive batteries, industrial batteries 
and electric vehicle batteries that are likely to be collected through those 
collection points;  
(b) collect waste automotive batteries, industrial batteries and electric vehicle 
batteries from the collect ion points referred to in paragraph 1 with a frequency 
that is proportionate to the storage capacity of the separate collection 
infrastructure and the volume and hazardous nature of waste batteries that are 
usually collected through those collection points ; EN 83  EN (c) provide for the delivery of waste automotive batteries, industrial batteries and 
electric vehicle batteries collected from end -users and from the collection 
points referred to in paragraph 1 to facilities for treatment and recycling in 
accordance wit h Article 56.  
4. The entities referred to in points (a), (b) and (c) of paragraph 3 may hand over 
collected waste automotive batteries , industrial batteries and electric vehicle batteries 
to authorised waste  management operators for treatment and recyclin g in accordance 
with Article 56. In such cases, the obligation of producers pursuant to paragraph 3(c) 
shall be deemed to be met.  
Article 50  
Obligations of distributors  
1. Distributors shall take back waste batteries from the end -user at no charge and 
without an obligation to buy a new battery, regardless of their chemical composition 
or origin. Take back for portable batteries shall be provided at or in the immediate 
vicinity of their retail outlet. Take back for waste automotive batteries, industrial 
batteries and electric vehicle batteries shall be provided at or in the vicinity of their 
retail outlet. This obligation is limited to the types of waste batteries which the 
distributor has, or had, as new batteries in its offer and, for portable batteries, to  the 
quantity that non professional end -users normally discard.  
2. The take back obligation laid down in paragraph 1 does not apply to waste products 
containing batteries. It shall apply in addition  to the separate collection obligation 
for waste applianc es and end -of-life vehicles laid down in Directives 2000/53/EC 
and 2012/19/EU.  
3. Distributors shall hand over waste batteries that they have taken back to the 
producers or producer responsibility organisations who are responsible for the 
collection of tho se batteries in accordance with Articles 48 and 49 respectively , or to 
an waste management operator with a view to their treatment and recycling in 
accordance with Article 56.  
4. The obligations under this article shall apply mutatis mutandis  to operators supplying 
batteries by means of distance contracts to end users. Those operators shall provide 
for a sufficient number of collection points covering the whole  territory of a Member 
State and  taking into account population size and density, ex pected volume of waste 
automotive, industrial and electric vehicle batteries, accessibility and vicinity to end 
users  allowing end users to return batteries.  
Article 51  
Obligations of end users  
1. End users shall discard waste batteries separately from ot her waste streams, 
including from mixed municipal waste.  
2. End users shall discard waste batteries in designated separate collection points set up 
by or in accordance with the specific arrangements concluded with the producer or a 
producer responsibility  organisation, in accordance with Articles 48 and 49.  
3. Waste portable batteries incorporated in appliances that are readily removable by the 
end user without the use of professional tools shall be removed and discarded by end 
users in accordance with pa ragraph 1.  EN 84  EN 4. Waste batteries incorporated in vehicles or appliances and that are not readily 
removable by the end -user, shall be discarded by the end user in accordance with the 
Directives 2000/53/EC and 2012/19/EU, where applicable.  
Article 52  
Obligatio ns of treatment facilities  
Operators of waste treatment facilities subject to Directives 2000/53/EC and 2012/19/EU shall 
hand over waste batteries resulting from the treatment of end -of-life vehicles and waste 
electrical and electronic equipment to the pr oducers of the relevant batteries or, where 
appointed in accordance with Article 47(2) of this Regulation, producer responsibility 
organisations acting on their behalf or to waste management operators with a view to their 
treatment and recycling in accorda nce with the requirements of Article 56 of this Regulation. 
The operators of waste treatment facilities shall keep records of those transactions.  
Article 53  
Participation of public waste management authorities  
1. Waste batteries originating from private, n on-commercial users may be discarded in 
separate collection points set up by public waste management authorities.  
2. Public waste management authorities shall hand over collected waste batteries to the 
producers or, where appointed in accordance with Article 47(2), to producer 
responsibility organisations acting on their behalf, or to waste management operators 
with a view to treatment and recycling of those waste batteries in accordance with 
the requirements of Article 56 or carry out their treatment and recycling themselves 
in accordance with the requirements of Article 56.   
Article 54  
Participation of voluntary collection points  
Voluntary waste portable battery collection points shall hand over waste portable batteries to  
the producers of portable batteries or third parties acting on their behalf, including producer 
responsibility organisations, or to waste management operators with a view to their treatment 
and recycling in accordance with the requirements of Article 56.  
Article 55  
Collection rates for waste portable batteries  
1. Member States shall achieve the following minimum collection targets for waste 
portable batteries, excluding waste batteries from light means of transport:  
(a) 45 % by 31 December 2023;  
(b) 65 % b y 31 December 2025;  
(c) 70 % by 31 December 2030.  
2. Member  States shall calculate the collection rates set out in paragraph 1 in 
accordance with the methodology set out in Annex XI.  
3. The Commission  shall, by 31 December 2030, review the target laid dow n in 
paragraph 1(c) and, as part of that review consider the setting of a collection target 
for batteries powering light means of transport, in the light of the evolution of the 
market share, as a separate target or as part of a review of the target laid d own in EN 85  EN paragraph 1(c) and in Article 48(4). This review may also consider introducing a 
calculation methodology for the calculation of the separate collection rate with a 
view to reflecting the quantity of waste batteries available for collection . To that end, 
the Commission shall submit a report to the European Parliament and the Council on 
the outcome of the review accompanied, if appropriate, by a legislative proposal.  
4. The Commission  is empowered to adopt delegated acts in accordance with Article 73 
to amend the methodology to calculate the collection rate for portable batteries laid 
down in Annex XI.   
Article 56  
Treatment and recycling  
1. Collected waste batteries shall not be landfilled or incinerated.  
2. Without prejudice to Directive 2010/75/EU, permitted facilities shall ensure that all 
treatment and recycling processes for waste batteries comply, as a minimum, with 
Part A of Annex XII and with best available techniques as defined in Article 3(10) of 
Directive 2010/75/EU.  
3. In addition  to Artic le 51(3), where batteries are collected while still incorporated in a 
waste appliance, they shall be removed from the collected waste appliance in 
accordance with the requirements laid down in Directive 2012/19/EU.  
4. The Commission is empowered to adopt d elegated acts in accordance with Article 73 
to amend the treatment and recycling requirements for waste batteries laid down in 
Part A of Annex XII in light of technical and scientific progress and emerging new 
technologies in waste management.  
Article 57  
Recycling efficiencies and material recovery targets  
1. All waste batteries collected shall enter a recycling process.  
2. Recyclers shall ensure that each recycling process shall achieve the minimum 
recycling efficiencies and the levels of recovered mate rials laid down, respectively, 
in Parts B and C of Annex XII.  
3. The recycling efficiencies and the recovery of materials laid down in Parts B and C 
of Annex XII  shall be calculated in accordance with the rules la id down in an 
implementing act adopted purs uant to paragraph 4 .  
4. The Commission shall, by 31 December 2023, adopt an implementing act to 
establish detailed rules regarding the calculation and verification of recycling 
efficiencies and recovery of materials. Those implementing acts shall be adopted in 
accordance with the examination procedure referred to in Article 74(3).  
5. The Commission shall be empowered to adopt delegated acts, in accordance with 
Article 73, to amend the minimum levels of recovered materials for waste batteries 
laid down  in Annex XII, Parts B and C, in light of technical and scientific progress 
and emerging new technologies in waste management.  EN 86  EN Article 58  
Shipments of waste batteries  
1. Treatment and recycling may be undertaken outside the Member State concerned or 
outsi de the Union, provided that the shipment of waste batteries is in compliance 
with Regulation (EC) No 1013/2006 and Regulation (EC) No  1418/2007.  
2. Waste batteries exported out of the Union in accordance with paragraph 1 shall only 
count towards the fulfil ment of obligations, efficiencies and targets set out in Article 
56 and Article 57 if the recycler or other waste holder exporting the waste batteries 
for treatment and recycling can prove that the treatment took place in conditions that 
are equivalent to the requirements of this Regulation.  
3. The Commission is empowered to adopt a delegated act, in accordance with Article 
73, laying down detailed rules supplementing those in paragraph 2 of this Article,  by 
laying down the criteria for the assessment of e quivalent conditions.  
Article 59  
Requirements related to the repurposing and remanufacturing of industrial batteries and 
electric -vehicle batteries  
1. Independent operators shall be given access to the battery management system of 
rechargeable industrial b atteries and electric vehicle batteries with internal storage 
with a capacity above 2 kWh, on equal terms and conditions, for the purpose of 
assessing and determining the state of health and remaining lifetime of batteries, 
according to the parameters laid  down in Annex VII.  
2. Independent operators carrying out repurposing or remanufacturing operations shall 
be given adequate access on equal terms and conditions, to the information relevant 
for the handling and testing of rechargeable industrial batteries and electric vehicle 
batteries, or of appliances and vehicles in which such batteries are incorporated as 
well as of  components of such batteries, appliances or vehicles, including safety 
aspects.  
3. Operators carrying out repurposing or remanufacturing o perations of batteries shall 
ensure that the examination, performance testing, packing and shipment of batteries 
and their components is carried out following adequate quality control and safety 
instructions.  
4. Operators carrying out repurposing or reman ufacturing operations of batteries shall 
ensure that the repurposed or remanufactured battery complies with this Regulation, 
relevant product, environmental and human health protection requirements in other 
legislation and technical requirements for its sp ecific purpose of use when placed on 
the market.  
A battery that has been repurposed or remanufactured shall not be subject to the 
obligations laid down  in Article 7(1), (2) and (3), Article 8(1), (2) and (3), Article 
10(1) and (2) and Article 39(1) where t he economic operator placing a repurposed or 
remanufactured battery on the market can demonstrate that the battery, before  its 
repurposing or remanufacturing, was placed on the market before the dates on which 
those obligations become applicable in accorda nce with those Articles.  
5. In order to document that a waste battery, subject to a repurposing or 
remanufacturing operation, is no longer waste, the battery holder shall demonstrate 
the following upon request by a competent authority:  EN 87  EN (a) evidence of sta te of health evaluation or testing carried out in a Member State 
in the form of a copy of the record confirming the capability of the battery to 
deliver the performance relevant for its use following a repurposing or 
remanufacturing operation;  
(b) further use of the battery that is subject to repurposing or remanufacturing, is 
documented by means of an invoice or a contract for the sale or transfer of 
ownership of the battery;  
(c) evidence of appropriate protection against damage during transportation, 
loading and unloading, including through sufficient packaging and appropriate 
stacking of the load.  
6. Information referred to in paragraph 4 and point (a) of paragraph 5 shall be made 
available to end users and third parties acting on their behalf, on equal t erms and 
conditions, as part of the technical documentation accompanying the repurposed or 
remanufactured battery when placed on the market or put into service.  
7. The provision of information in accordance with paragraphs 1, 2, 5 and 6 shall be 
without p rejudice to preserving the confidentiality of commercially sensitive 
information in conformity with the relevant Union and national law.  
8. The Commission is empowered to adopt implementing acts establishing detailed 
technical requirements that batteries have to fulfil to cease to be waste and 
requirements for the data and the methodology for estimating the state of health of 
batteries. Those implementing acts shall be adopted in accordance with the 
examination procedure referred to in Article 74(3).  
Artic le 60  
End-of-life information  
1. Producers or, where appointed in accordance with Article 47(2), producer 
responsibility organisations acting on their behalf shall make available to end users 
and distributors the following information regarding the prevent ion and management 
of waste batteries with respect to the types of batteries that the producers supply 
within the territory of a Member State:  
(a) the contribution of end users to waste prevention, including by information on 
good practices concerning the  use of batteries aiming at extending their use 
phase and the possibilities of preparation for reuse;  
(b) the role of end users in contributing to the separate collection of waste batteries 
in accordance with their obligations under Article 51 so as to all ow their 
treatment and recycling;  
(c) the separate collection, preparation for re -use and recycling systems available 
for waste batteries;  
(d) the necessary safety instructions to handle waste batteries, including in relation 
to the risks associated with , and the handling of, batteries containing lithium;  
(e) the meaning of the labels and symbols printed on batteries or on their 
packaging;  
(f) the impact of substances contained in batteries on the environment and on 
human health, including impact due to i nappropriate discarding of waste 
batteries such as littering or discarding as unsorted municipal waste.  EN 88  EN This information shall be made available  
(a) in regular time intervals for each model from the moment the battery model 
concerned is being made availab le on the market for the first time in a Member 
State as a minimum at the point of sale in a visible manner and through online 
marketplaces;  
(b) in a language, which can be easily understood by consumers and other end -
users, as determined by the Member  State concerned.  
2. Producers shall make available to distributors and operators referred to in Articles 
50, 52 and 53 and other waste management operators carrying out repair, 
remanufacturing, preparing for re -use, treatment and recycling activities informa tion 
regarding the safety and protective measures, including on occupational safety, 
applicable to the storage and collection of waste batteries.  
3. From the moment that a battery model is supplied within the territory of a Member 
State producers shall ma ke available electronically, upon request, to waste 
management operators carrying out repair, remanufacturing, preparing for re -use, 
treatment and recycling activities, as far as it is needed by those operators to carry 
out those activities, the following battery model specific information regarding the 
proper and environmentally sound treatment of waste batteries:  
(a) the processes to ensure the dismantling of vehicles and appliances in a way that 
allows the removal of incorporated batteries;  
(b) the saf ety and protective measures, including on occupational safety, 
applicable to the storage, transport, treatment and recycling processes for waste 
batteries.  
That information shall identify the components and materials, and the location of all 
hazardous subs tances in a battery, as far as it is needed by operators carrying out 
repair, remanufacturing, preparing for re -use, treatment and recycling activities in 
order to enable them to comply with the requirements of this Regulation.  
That information shall be ma de available in a language, which can be easily 
understood by the operators mentioned in the first subparagraph, as determined by 
the Member  State concerned . 
4. Distributors that supply batteries to end -users shall provide in their retail premises, in 
a visible manner, and through their online marketplaces the information listed in 
paragraph 1 and 2, and information on how the end users may return waste batteries 
free of charge to the respective collection points established at retail outlets or on 
behalf of a marketplace. That obligation shall be limited to the types of batteries 
which the distributor or retailer has, or had, as new batteries in its offer.  
5. The costs covered by the producer under Article 47(1)(e) shall be shown separately 
to the end -user at the point of sale of a new battery. The costs mentioned shall not 
exceed the best estimate of the actual costs incurred.  
6. Where information is provided pub licly to end users under this Article, the 
confidentiality of commercially sensitive information in conformity with the relevant 
Union and national law shall be preserved.  EN 89  EN Article 61  
Reporting to the competent authorities  
1. Producers of portable batterie s or, where appointed in accordance with Article 47(2), 
producer responsibility organisations acting on their behalf shall report to the 
competent authority for each calendar year the following information according to 
the battery chemistry, specifying the  amounts of batteries powering light means of 
transport : 
(a) the amount of portable batteries made available on the market for the first time 
in the territory of a Member State, excluding any portable batteries that have 
left the territory of that Member S tate in that year before being sold to end 
users;  
(b) the amount of waste portable batteries collected in accordance with Article 48, 
calculated on the basis of the methodology set out in Annex XI;  
(c) the collection target reached by the producer or produ cer responsibility 
organisation acting on behalf of their members;  
(d) the amount of collected waste portable batteries delivered for treatment and 
recycling to permitted facilities.  
Where waste management operators  other than producers or, where appointed in 
accordance with Article 47(2), producer responsibility organisations acting on their 
behalf, collect waste portable batteries from distributors or other collection points for 
waste portable batteries, they shall report to t he competent authority for each 
calendar year the amount of waste portable batteries collected according to their 
chemistry and specifying the amounts of batteries powering light means of transport . 
The operators referred to in the first and second subpara graph shall report this data 
within 4 months of the end of the reporting year for which the data are collected. The 
first reporting period shall concern the first full calendar year after the adoption of 
the implementing act that establishes the format for  reporting to the Commission, in 
accordance with Article 62(6).  
The competent authorities shall establish the format and procedures in accordance to 
which data shall be reported to them.  
2. Producers of automotive batteries, industrial batteries and elec tric vehicle batteries or 
where appointed in accordance with Article 47(2) producer responsibility 
organisations acting on their behalf, shall report to the competent authority for each 
calendar year the following information, according to chemistries and types of 
batteries:  
(a) the amount of automotive batteries, industrial batteries and electric vehicle 
batteries made available on the market for the first time in a Member State, 
excluding batteries that have left the territory of that Member State in that  year 
before being sold to end users;  
(b) the amount of waste automotive batteries, industrial batteries and electric 
vehicle batteries collected and delivered for treatment and recycling to 
permitted facilities.  
3. Where waste management operators collect  waste batteries from distributors or other 
waste automotive, industrial and electric vehicle batteries collection points or end -EN 90  EN users, they shall report to the competent authority for each calendar year the 
following information according to their chemist ries and types of batteries:  
(a) the amount of waste automotive, industrial and electric vehicle batteries 
collected;  
(b) the amount of waste automotive, industrial and electric vehicle batteries 
delivered for treatment and recycling to permitted facilitie s. 
The operators mentioned in this paragraph shall report that data within four months 
of the end of the reporting year for which the data are collected. The first reporting 
period shall concern  the first full calendar year after the adoption of the 
implem enting act that establishes the format for reporting to the Commission in 
accordance with Article 62(5) .  
The competent authorities shall establish electronic systems through which data shall 
be reported to them and specify the formats to be used. Electron ic systems for the 
reporting of information set up by the competent authorities shall be compatible and 
interoperable with the requirements of the information exchange system established 
pursuant to Article 64.  
4. The data referred to in points (a) and (b)  of paragraph 1 shall include batteries 
incorporated into vehicles and appliances, and waste batteries removed from those in 
accordance with Article 52 . 
5. Waste management  operators carrying out treatment and recyclers shall report to the 
competent author ities for each calendar year the following information:  
(a) the amount of waste batteries received for treatment and recycling;  
(b) the amount of waste batteries entering recycling processes;  
(c) information on recycling efficiencies and levels of recovered materials for 
waste batteries.  
Reporting on the recycling efficiency and levels of  recovered materials shall cover 
all individual steps of recycling and all corresponding output fractions. Wher e a 
recycling process is carried out at more than one facility, the first recycler is 
responsible for collecting the information and reporting this information to the 
competent authorities .  
Recyclers shall report this data within four months of the end of  the reporting year 
for which the data are collected. The first reporting period shall concern  the first full 
calendar year after the adoption of the implementing act that establishes the format 
for reporting to the Commission, in accordance with Article 6 2(6).  
6. Where  waste holders other than those referred to in paragraph 4 export batteries for 
treatment and recycling they shall report the data on the amount of separately 
collected waste batteries exported for treatment and recycling and the data referr ed to 
in paragraph 4(b) and (c) to the competent authorities within four months of the end 
of the reporting year for which the data are collected.  
Article 62  
Reporting to the Commission  
1. Member States shall make publicly available in an aggregated format for each 
calendar year the following data on portable batteries, automotive batteries, industrial 
batteries and electric vehicle batteries according to battery types and their chemistries EN 91  EN and, regarding portable batteries, identifying separately batteries powering light 
means of transport : 
(a) the amount of batteries made available on the market for the first time in a 
Member State, excluding batteries that have left the territory of that M ember 
State in that year before being sold to end users;  
(b) the amount of waste batteries collected in accordance with Article 48 and 49, 
calculated on the basis of the methodology set out in Annex XI;  
(c) the values of the achieved recycling efficiencies  as referred to in Annex XII, 
Part B, and the values of the achieved material recovery referred to in Part C of 
Annex XII.  
Member States shall make this data available within 18 months of the end of the 
reporting year for which the data are collected. They  shall make that information 
public electronically in the format established by the Commission in accordance with 
paragraph 6, using easily accessible data services that are interoperable with the 
System established pursuant to Article 64. The data shall b e machine readable, 
sortable and searchable, respecting open standards for third party use. Member States 
shall notify the Commission when the data referred to in the first sub -paragraph is 
made available.  
The first reporting period shall concern the firs t full calendar year after the adoption 
of the implementing act that establishes the format for reporting, in accordance with 
paragraph 6.  
In addition to the obligations under Directives 2000/53/EC and 2012/19/EU, data 
referred to in points (a) and (b) of  paragraph 1 shall include batteries incorporated 
into vehicles and appliances, and waste batteries removed from those in accordance 
with Article 52.  
2. Reporting on the recycling efficiency and levels of recovered materials referred to in 
paragraph 1 shal l cover all individual steps of recycling and all corresponding output 
fractions.  
3. The data made available by Member States in accordance with this Article shall be 
accompanied by a quality check report. That information shall be presented in the 
format  established by the Commission in accordance with paragraph 6.  
4. The Commission shall collect and review the information made available in 
accordance with this Article. The Commission shall publish a report assessing the 
organisation of the data collectio n, the sources of data and the methodology used in 
Member States as well as the completeness, reliability, timeliness and consistency of 
that data. The assessment may include specific recommendations for improvement. 
The report shall be drawn up after the first reporting of the data by Member States 
and every four years thereafter.  
5. The Commission shall, by 31 December 2023, adopt implementing acts laying down 
the format for the data and information to be reported to the Commission, as well as 
verificati on methods and operational conditions, for the purpose of  paragraphs 1 and 
4. Those implementing acts shall be adopted in accordance with the examination 
procedure referred to in Article 74(3).  EN 92  EN Article 63  
Application of Chapter VII  
Chapter VII shall apply  from 1 July 2023.  
Chapter VIII  
Electronic exchange of information  
Article 64  
Electronic exchange system  
1. By 1 January 2026, the Commission shall set up the electronic exchange system for 
battery information (“the system”).  
2. The system shall contain the information and data on rechargeable industrial batteries 
and electric vehicle batteries with internal storage and a capacity above 2 kWh as 
laid down in Annex XIII. That information and data shall be sortable and searchable, 
respecting open standards for third party use.  
3. The economic operators that place a rechargeable industrial battery or an electric 
vehicle battery with internal storage on the market shall make the information 
referred to in paragraph 2 available electronically in a machine reada ble format using 
interoperable and easily accessible data services in the format established in 
accordance with paragraph 5.  
4. The Commission shall, after a review in accordance with Article 62(5), publish 
through the System the information referred to i n Article 62(1) as well as the 
assessment referred to in Article 62(5).  
5. The Commission shall, by 31 December 2024, adopt implementing acts to establish:  
(a) the architecture of the system;  
(b) the format in which the data and information referred to in  paragraph 2 shall be 
made available;  
(c) the rules for accessing, sharing, managing, exploring, publishing and reusing of 
the information and data in the system.  
Those implementing acts shall be adopted in accordance with the examination 
procedure refer red to in Article 74(3).  
Article 65  
Battery passport  
1. By 1 January 2026, each industrial battery and electric vehicle battery placed on the 
market or put into service and whose capacity is higher than 2 kWh shall have an 
electronic record (“battery passp ort”).  
2. The battery passport shall be unique for each individual battery referred to in 
paragraph 1 and shall be identified through a unique identifier that the economic 
operator placing the battery on the market shall attribute to it and which shall be 
printed or engraved on it.  
3. The battery passport shall be linked to the information about the basic characteristics 
of each battery type and model stored in the data sources of the System established 
pursuant to Article 64. The economic operator that pla ces an industrial battery or an EN 93  EN electric vehicle battery on the market shall ensure that the data included in the battery 
passport is accurate, complete and up -to-date.  
4. The battery passport shall be accessible online, through electronic systems 
interope rable with the System established pursuant to Article 64.  
5. The battery passport shall allow access to information about the values for 
performance and durability parameters referred to in Article 10(1), when the battery 
is placed on the market and when i t is subject to changes in its status.  
6. When the change in the status is due to repairing or repurposing activities, the 
responsibility for the battery record in the battery passport shall be transferred to the 
economic operator that is considered to pl ace the industrial battery or the electric 
vehicle battery on the market or that puts it into service.  
7. The Commission is empowered to adopt implementing acts to establish the rules for 
accessing, sharing, managing, exploring, publishing and reusing of the information 
and data accessible through the battery passport.  
Those implementing acts shall be adopted in accordance with the examination 
procedure referred to in Article 74(3).  
Chapter IX  
Union market surveillance, control of batteries entering the U nion 
market and Union safeguard procedures  
Article 66  
Procedure at national level for dealing with batteries presenting a risk  
1. Where the market surveillance authorities of one Member State have sufficient 
reason to believe that a battery covered by this  Regulation presents a risk to human 
health or safety of persons, to property or to the environment, they shall carry out an 
evaluation in relation to the battery concerned covering all relevant requirements laid 
down in this Regulation.  
Where, in the cour se of the evaluation referred to in the first subparagraph, the 
market surveillance authorities find that the battery does not comply with the 
requirements laid down in this Regulation, they shall without delay require the 
relevant economic operator to tak e all appropriate corrective action to bring the 
battery into compliance with those requirements, to withdraw it from the market, or 
to recall it within a reasonable period which is commensurate with the nature of the 
risk referred to in the first subparag raph.  
The market surveillance authorities shall inform the relevant notified body 
accordingly.  
2. Where the market surveillance authorities consider that non -compliance is not 
restricted to their national territory, they shall inform the Commission and the  other 
Member States of the results of the evaluation and of the actions which they have 
required the economic operator to take.  
3. The economic operator shall ensure that all appropriate corrective action is taken in 
respect of all the concerned batteries  that the economic operator has made available 
on the market throughout the Union.  EN 94  EN 4. Where the relevant economic operator does not take adequate corrective action 
within the period referred to in the second subparagraph of paragraph 1, the market 
surveill ance authorities shall take all appropriate provisional measures to prohibit or 
restrict the batteries being made available on their national market, to withdraw the 
battery from that market or to recall it.  
The market surveillance authorities shall inform  the Commission and the other 
Member States, without delay, of those measures.  
5. The information referred to in the second subparagraph of paragraph 4 shall include 
all available details, in particular the data necessary for the identification of the non-
compliant battery, the origin of that battery, the nature of the non -compliance alleged 
and the risk involved, the nature and duration of the national measures taken and the 
arguments put forward by the relevant economic operator. In particular, the ma rket 
surveillance authorities shall indicate whether the non -compliance is due to either of 
the following:  
(a) failure of the battery to meet the requirements set out in Chapter II or III of this 
Regulation  
(b) shortcomings in the harmonised standards refe rred to in Article 15;  
(c) shortcomings in the common specifications referred to in Article 16.  
6. Member States other than the Member State initiating the procedure under this 
Article shall without delay inform the Commission and the other Member States of 
any measures adopted and of any additional information at their disposal relating to 
the non -compliance of the battery concerned, and, in the event of disagreement with 
the adopted national measure, of their objections.  
7. Where, within three months of receipt of the information referred to in the second 
subparagraph of paragraph 4, no objection has been raised by either a Member State 
or the Commission in respect of a provisional measure taken by a Member State, that 
measure shall be deemed justified.  
8. Member States shall ensure that appropriate restrictive measures, such as withdrawal 
of the battery from the market, are taken in respect of the battery concerned without 
delay.  
Article 67  
Union safeguard procedure  
1. Where, on completion of the procedur e set out in Article 66(3) and (4), objections 
are raised against a measure taken by a Member State, or where the Commission 
considers a national measure to be contrary to Union legislation, the Commission 
shall without delay enter into consultation with t he Member States and the relevant 
economic operator or operators and shall evaluate the national measure. On the basis 
of the results of that evaluation, the Commission shall decide by means of an 
implementing act whether the national measure is justified or not.  
That implementing act shall be adopted in accordance with the examination 
procedure referred to in Article 74(3).  
2. The Commission shall address its decision to all Member States and shall without 
delay communicate it to them and the relevant econ omic operator or operators.  EN 95  EN If the national measure is considered justified, all Member States shall take the 
necessary measures to ensure that the non -compliant battery is withdrawn from their 
market, and shall inform the Commission accordingly.  
If the national measure is considered unjustified, the Member State concerned shall 
withdraw that measure.  
3. Where the national measure is considered justified and the non -compliance of the 
battery is attributed to shortcomings in the harmonised standards referr ed to in 
Article 15 of this Regulation, the Commission shall apply the procedure provided for 
in Article 11 of Regulation (EU) No 1025/2012.  
Article 68  
Compliant batteries which present a risk  
1. Where, having carried out an evaluation under Article 67(1),  a Member State finds 
that although a battery is in compliance with the requirements set out in Chapters II 
and III, it presents a risk to the human health or safety of persons, to the protection of 
property or to the environment, it shall require the rele vant economic operator to take 
all appropriate measures to ensure that the battery concerned, when placed on the 
market, no longer presents that risk, to withdraw the battery from the market or to 
recall it, within a reasonable period which is commensurate  with the nature of that 
risk. 
2. The economic operator shall ensure that corrective action is taken in respect of all the 
concerned batteries that the economic operator has made available on the market 
throughout the Union.  
3. The Member State shall immed iately inform the Commission and the other Member 
States. That information shall include all available details, in particular the data 
necessary for the identification of the batteries concerned, the origin and the supply 
chain of the battery, the nature o f the risk involved and the nature and duration of the 
national measures taken.  
4. The Commission shall without delay enter into consultation with the Member States 
and the relevant economic operator or operators and shall evaluate the national 
measures ta ken. On the basis of the results of that evaluation, the Commission shall 
adopt an implementing act in the form of a decision determining whether the national 
measure is justified or not and, where necessary, ordering appropriate measures.  
5. That implemen ting act shall be adopted in accordance with the examination 
procedure referred to in Article 74(3).  
6. On duly justified imperative grounds of urgency relating to the protection of human 
health and safety of persons, and to the protection of property or t o the environment, 
the Commission shall adopt an immediately applicable implementing act in 
accordance with the procedure referred to in Article 74(3).  
7. The Commission shall address its decision to all Member States and shall 
immediately communicate it t o them and the relevant economic operator or 
operators.  EN 96  EN Article 69  
Other non -compliance  
1. Without prejudice to Article 66, where a Member State finds that a battery falling 
outside the scope of Article 68 is non -compliant with this Regulation or an econom ic 
operator has infringed an obligation set out in this Regulation, shall require the 
relevant economic operator to put an end to the non -compliance concerned. Such non 
compliances shall include the following:  
(a) the CE marking has been affixed in violati on of Article 30 of Regulation (EC) 
No 765/2008 or of Article 20 of this Regulation;  
(b)  the CE marking has not been affixed;  
(c) the identification number of the notified body involved in the production 
control phase has been affixed in violation of Arti cle 20 or has not been 
affixed;  
(d) the EU declaration of conformity has not been drawn up or has not been drawn 
up correctly;  
(e) the EU declaration of conformity is not accessible via the QR code on the 
battery;  
(f) the technical documentation is not ava ilable, is not complete or contains errors;  
(g) the information referred to in paragraphs 7, 9 and 10 of Article 38 or Article 
41(3) and (4) is absent, false or incomplete or, in the case of the instructions for 
use, not translated into a language accepted  by the Member States where the 
battery is placed on the market or made available;  
(h) any other administrative requirement provided for in Article 38 or Article 40 is 
not fulfilled;  
(i) the requirements for safe operation and use of stationary battery energy storage 
systems set out in Article 12 are not respected;  
(j) the sustainability and safety requirements set out in Articles 6 to 12 in Chapter 
II and the labelling and information requirements set out in Articles 13 and 14 
in Chapter III are not ful filled;  
(k) the requirements related to the supply chain due diligence policy in Article 39 
are not fulfilled.  
2. Where the operator does not put an end to the non -compliance referred to in point (k) 
of paragraph 1, a notice of remedial action shall be iss ued. 
3. Where the non -compliance referred to in paragraph 1 persists, the Member State 
concerned shall take all appropriate measures to restrict or prohibit the battery being 
made available on the market or ensure that it is recalled or withdrawn from the 
market. In case of the non -compliance referred to in point (k) of paragraph 1, this 
paragraph shall apply as a last resort if the non -compliance is serious and persists 
after the issuing of a notice of remedial action as referred to in paragraph 2.  EN 97  EN Chapter  X 
Green public procurement, procedure for amending restrictions 
on hazardous substances and Commission recognition of supply 
chain due diligence schemes  
Article 70  
Green public procurement  
1. Contracting authorities, as defined in Article 2(1) of Directiv e 2014/24/EU or Article 
3(1) of Directive 2014/25/EU, or contracting entities, as defined in Article 4(1) of 
Directive 2014/25/EU shall, when procuring batteries or products containing 
batteries in situations covered by those Directives, take account of th e environmental 
impacts of batteries over their life cycle with a view to ensure that such impacts of 
the batteries procured are kept to a minimum.  
2. The obligation set out in paragraph 1 shall apply to any contracts entered into by 
contracting authorities or contracting entities for the purchase of batteries or products 
containing batteries and shall mean that these contracting authorities and contract ing 
entities are obliged to include technical specifications and award criteria based on 
Articles 7 to 10 to ensure that a product is chosen among products with significantly 
lower environmental impacts over their lifecycle.  
3. The Commission shall, by 31  December 2026, adopt delegated acts in accordance 
with Article 73 supplementing this Regulation by establishing minimum mandatory 
green public procurement criteria or targets based on the requirements set out in 
Articles 7 to 10.  
Article 71  
Procedure for amending restrictions on hazardous substances  
1. If the Commission considers that the use of a substance in the manufacture of 
batteries, or the presence of a substance in the batteries when they are placed on the 
market, or during their subsequent life cy cle stages, including the waste phase, poses 
a risk to human health or the environment that is not adequately controlled and needs 
to be addressed on a Union -wide basis, it shall request the European Chemicals 
Agency (the ’Agency’) to prepare a dossier tha t conforms to the requirements of 
point (3) of Part II of Annex XV to Regulation (EC) No 1907/2006 (‘restriction 
dossier’). The restriction dossier shall include a socio -economic assessment, 
including an analysis of alternatives.  
2. The Agency shall publis h without delay the intention of the Commission to initiate 
such restriction process life cycle for a substance, and shall inform stakeholders 
concerned.  
3. Within 12 months of the receipt of the request from the Commission in paragraph 1 
and if the restr iction dossier prepared by the Agency pursuant to that paragraph 
demonstrates that action is necessary on a Union -wide basis, the Agency shall 
suggest restrictions in order to initiate the restriction process described in paragraphs 
4 to 14.  
4. The Agency  shall make publicly available on its website the restriction dossier, 
including the restrictions suggested pursuant to paragraph 3, without delay, clearly 
indicating the date of publication. The Agency shall invite all interested parties to EN 98  EN submit individ ually or jointly, within four months of the date of publication, 
comments on the restriction dossier.  
5. Within 12 months of the date of publication referred to in paragraph 4, the 
Committee for Risk Assessment , set up pursuant to Article 76(1)(c) of Reg ulation 
(EC) No 1907/2006, shall adopt an opinion as to whether the suggested restrictions 
are appropriate in reducing the risk to human health and/or the environment, based 
on its consideration of the relevant parts of the restriction dossier. This opinio n shall 
take account of the restriction dossier prepared by the Agency at the request of the 
Commission, and the views of interested parties referred to in paragraph 4.  
6. Within 15 months of the date of publication referred to in paragraph 4, the 
Committe e for Socio -economic Analysis, set up pursuant to Article 76(1)(d) of 
Regulation (EC) No 1907/2006, shall adopt an opinion on the suggested restrictions, 
based on its consideration of the relevant parts of the dossier and the socio -economic 
impact. Prior t o that, it shall prepare a draft opinion on the suggested restrictions and 
on the related socio -economic impact, taking account of the analyses or information 
according to paragraph 4, if there are any.  
7. The Agency shall publish the draft opinion of the Committee for Socio -economic 
Analysis on its website without delay and invite interested parties to provide their 
comments on the draft opinion no later than 60 days from the publication of that draft 
opinion.  
8. The Committee for Socio -economic Analysis s hall without delay adopt its opinion, 
taking into account where appropriate further comments received by the deadline set 
in paragraph 7. This opinion shall take account of the comments of interested parties 
submitted under paragraphs 4 and 7.  
9. Where the  opinion of the Committee for Risk Assessment diverges significantly from 
the restrictions suggested, the Agency shall postpone the deadline for the opinion of 
the Committee for Socio -economic Analysis by a maximum of 90 days.  
10. The Agency shall submit t o the Commission without delay the opinions of the 
Committees for Risk Assessment and Socio -economic Analysis on the restrictions 
suggested pursuant to the request made by the Commission under paragraph 1. 
Where the opinions of the Committees for Risk Asse ssment and  Socio -economic 
Analysis diverge significantly from the restrictions suggested pursuant to paragraph 
3, the Agency shall submit an explanatory note to the Commission providing a 
detailed explanation of the reasons for such differences. If one or  both of the 
Committees do not adopt an opinion by the deadline set in paragraphs 5 and 6 the 
Agency shall inform the Commission accordingly, stating the reasons.  
11. The Agency shall publish the opinions of the two Committees on its website without 
delay.  
12. The Agency shall provide the Commission on request with all documents and 
evidence submitted to or considered by it.  
13. If the Commission concludes that the conditions laid down in Article 6(2) are 
fulfilled, it shall adopt a delegated act pursuant to Article 6(2). This delegated act 
shall be adopted without undue delay following  the  receipt of the opinion of the 
Committee for Socio -economic Analysis referred to in paragraph 8 or after the 
deadline set out under paragraphs 6 and 9, as applicable, i f that Committee does not 
adopt an opinion.  EN 99  EN 14. Where the Committees for Risk Assessment and Socio -economic Analysis provide 
an opinion pursuant to paragraphs 5 and 6, they shall make use of rapporteurs as 
specified in Article 87 of Regulation (EC) No 1907 /2006. The rapporteurs or co -
rapporteurs concerned, or their employer, shall be remunerated by the Agency in 
accordance with a scale of fees to be included in the financial arrangements related to 
restrictions established by the Management Board, set up pu rsuant to Article 76(1)(a) 
of Regulation (EC) No 1907/2006. Where the persons concerned fail to fulfil their 
duties, the Executive Director of the Agency has the right to terminate or suspend the 
contract or withhold remuneration.  
Article 72  
Supply chain d ue diligence schemes  
1. Governments, industry associations and groupings of interested organisations  that 
have developed and oversee due diligence schemes (“scheme owners”) may apply to 
the Commission to have their supply chain due diligence schemes recog nised by the 
Commission. The Commission is empowered to adopt implementing acts 
establishing the information requirements that the application to the Commission 
shall contain. Those implementing acts shall be adopted in accordance with the 
examination proc edure referred to in Article 74(3).  
2. Where, on the basis of the evidence and information provided pursuant to the first 
sub-paragraph 1, the Commission determines that the supply chain due diligence 
scheme referred to in paragraph 1, enables that economic operators  to comply with 
the requirements set out in Article 39 of this Regulation, it shall adopt an 
implementing act granting that scheme a recognition of equivalence with the 
requirements set out in this Regulation. The OECD Secretariat shall,  as appropriate, 
be consulted prior to the adoption of such implementing acts. Those implementing 
acts shall be adopted in accordance with the examination procedure referred to in 
Article 74(3).  
When making a determination on the recognition of a due dilig ence scheme, the 
Commission shall take into account the diverse industry practices covered by that 
scheme and shall have regard to the risk -based approach and method used by that 
scheme to identify risks.  
3. The Commission is empowered to adopt implementin g acts setting out the criteria 
and the methodology according to which the Commission shall determine, in 
accordance with paragraph 2, whether supply chain due diligence schemes ensure 
that economic operators fulfil the requirements set out in Article 39 o f this 
Regulation. Those implementing acts shall be adopted in accordance with the 
examination procedure referred to in Article 74(3).The Commission shall also, as 
appropriate, periodically verify that recognised supply chain due diligence schemes 
continue  to fulfil the criteria that led to a recognition of equivalence decision adopted 
pursuant to paragraph 2.  
4. The owner of a supply chain due diligence scheme for which the recognition of 
equivalence was granted in accordance with paragraph 2 shall inform the 
Commission without delay of any changes or updates made to that scheme.  
5. If there is evidence of repeated or significant cases where economic operators 
implementing a scheme recognised in accordance with paragraph 2 have failed to 
fulfil the requirem ents set out in Article 39 of this Regulation, the Commission shall EN 100  EN examine, in consultation with the owner of the recognised scheme, whether those 
cases indicate deficiencies in the scheme.  
6. Where the Commission identifies a failure to comply with the r equirements set out in 
Article 39 of this Regulation or deficiencies in a recognised supply chain due 
diligence scheme, it may grant the scheme owner an appropriate period of time to 
take remedial action.  
7. Where the scheme owner  fails or refuses to take  the necessary remedial action, and 
where the Commission has determined that the failure or deficiencies referred to in 
paragraph 6 compromise the ability of the economic operator referred to in Article 
39(1) implementing a scheme to comply with the requir ements set out in Article 39 
of this Regulation or where repeated or significant cases of non -compliance by 
economic operators implementing a scheme are due to deficiencies in the scheme, 
the Commission shall adopt an implementing act withdrawing the recog nition of 
equivalence of the scheme. Those implementing acts shall be adopted in accordance 
with the examination procedure referred to in Article 74(3).  
8. The Commission shall establish and keep up -to-date a register of recognised supply 
chain due diligen ce schemes. That register shall be made publicly available on the 
internet.  
Chapter XI  
Delegated powers and committee procedure  
Article 73  
Exercise of the delegation  
1. The power to adopt delegated acts is conferred on the Commission subject to the 
conditions laid down in this Article.  
2. The power to adopt delegated acts referred to in Articles 6(2), 7(1), (2) and (3), 9(2), 
10(3), 12(2), 17(4), 27(3), 39(8), 55(4), 56(4), 57(6), 58(3) and 70(2) shall be 
conferred on the Commission for a period of f ive years from [date of entry into force 
of this Regulation]. The Commission shall draw up a report in respect of the 
delegation of power no later than nine months before the end of the five -year period. 
The delegation of power shall be tacitly extended fo r periods of an identical duration, 
unless the European Parliament or the Council opposes such extension no later than 
three months before the end of each period.  
3. The delegation of power referred to in Articles 6(2), 7(1), (2) and (3), 9(2), 10(3), 
12(2), 17(4), 27(3), 39(8), 55(4), 56(4), 57(6), 58(3) and 70(2) may be revoked at any 
time by the European Parliament or by the Council. A decision to revoke shall put an 
end to the delegation of the power specified in that decision. It shall take effect the 
day following the publication of the decision in the Official Journal of the European 
Union or at a later date specified therein. It shall not affect the validity of any 
delegated acts already in force.  
4. Before adopting a delegated act, the Commission sh all consult experts designated by 
each Member State in accordance with the principles laid down in the 
Interinstitutional Agreement of 13 April 2016 on Better Law -Making.  
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneousl y to 
the European Parliament and to the Council.  EN 101  EN 6. A delegated act adopted pursuant to Articles 6(2), 7(1), (2) and (3), 9(2), 10(3), 
12(2), 17(4), 27(3), 39(8), 55(4), 56(4), 57(6), 58(3) and 70(2) shall enter into force 
only if no objection has been exp ressed either by the European Parliament or the 
Council within a period of two months of notification of that act to the European 
Parliament and the Council or if, before the expiry of that period, the European 
Parliament and the Council have both informed  the Commission that they will not 
object. That period shall be extended by two months at the initiative of the European 
Parliament or of the Council.  
Article 74  
Committee procedure  
1. The Commission shall be assisted by a committee established by Article 39 of 
Directive 2008/98/EC. That committee shall be a committee within the meaning of 
Regulation (EU) No 182/2011.  
2. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 
182/2011 shall apply.  
3. Where reference is made to this paragr aph, Article 5 of Regulation (EU) No 
182/2011 shall apply.  
Where the committee delivers no opinion, the Commission shall not adopt the draft 
implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 
182/2011 shall apply.  
4. Where r eference is made to this paragraph, Article 8 of Regulation (EU) No 
182/2011, in conjunction with Article 5 thereof, shall apply.  
Chapter XII  
Amendments  
Article 75  
Amendments to Regulation (EU) 2109/1020  
Regulation (EU) 2019/1020 is amended as follows:  
(1) in Article 4(5), the text “(EU) 2016/425(35) and (EU) 2016/426(36)” is replaced by 
the following:  
“(EU) 2016/425 (*), (EU) 2016/426 (**) and [(EU) 2020/…(***)]  
_____________________  
* Regulation (EU) 2016/425 of the European Parliament and of the Council  of 9 March 2016 on 
personal protective equipment and repealing Council Directive 89/686/EEC ( OJ L 81, 31.3.2016, 
p. 51). 
** Regulation (EU) 2016/426 of the European Parliament and of the Council of 9  March 2016 on 
appliances burning gaseous fuels and repealing Directive 2009/142/EC ( OJ L 81, 31.3.2016, p.  99). 
*** [Regulation of the  European Parliament and of the Council on batteries and waste batteries, 
amending Regulation (EU) No 2019/1020 and repealing Directive 2006/66/EC  (For the Publications 
Office to fill in the OJ publication details)]”;  
(2) in Annex I, the following point 71  is added to the list of Union harmonisation 
legislation:  EN 102  EN ’71. Regulation of the European Parliament and of the Council on batteries and waste 
batteries, amending Regulation (EU) No 2019/1020 and repealing Directive 
2006/66/EC (the Publications Office to f ill in the OJ publication details);  
Chapter XIII  
Final provisions  
Article 76  
Penalties  
Member States shall lay down the rules on penalties applicable to infringements of this 
Regulation and shall take all measures necessary to ensure that they are implemen ted. The 
penalties provided for shall be effective, proportionate and dissuasive. Member States shall, 
without delay, notify the Commission of those rules and of those measures and shall notify it, 
without delay, of any subsequent amendment affecting them.  
Article 77  
Review  
1. By 31 December 2030, the Commission shall draw up a report on the application of 
this Regulation and its impact on the environment and the functioning of the internal 
market.  
2. Taking account of technical progress and practical experience gained in Member 
States, the Commission shall in its report include an evaluation on the following 
aspects of this Regulation:  
(a) sustainability and safety requirements set out in Chapter II;  
(b) labelling and information requirements set out i n Chapter III;  
(c) supply chain due diligence requirements set out in Articles 39 and 72;  
(d) measures regarding end -of-life management of batteries  set out in Chapter VII.  
Where appropriate, the report shall be accompanied by a legislative proposal for amendment 
of the relevant provisions of this Regulation.  
Article 78  
Repeal and transitional rules  
Directive 2006/66/EC is repealed with effect from 1 July 2023; however, its:  
(a) Article 10(3), Article 12(4) and Article 12(5) shall continue to apply until 31 
December 2023, except as regards the transmission of data to the Commission 
which shall continue to apply until 31 December 2025;  
(b) Article 21(2) shall continue to apply until 31 December 2026.  
References to the repealed Directive shall be construed as references to this Regulation.  
Article 79  
Entry into force and application  
This Regulation shall enter into force on the twentieth day following that of its publication in 
the Official Journal of the European Union.  EN 103  EN It shall apply from 1 January 2022.  
This Regulation shall be binding in its entirety and directly applicable in all Member States.  
Done at Brussels,  
For the European Parliament  For the Council  
The President  The President  EN 104  EN LEGISLATIVE FINANCIAL STATEMENT  
1. FRAMEWORK  OF THE  PROPOSAL/INITIATIVE   
 1.1. Title of the proposal/initiative  
 1.2. Policy area(s) concerned in the ABM/ABB structure  
 1.3. Nature of the proposal/initiative  
 1.4. Objective(s)  
 1.5. Grounds for the proposal/initiative  
 1.6. Duration and financial impact  
 1.7. Management mode(s) planned  
2. MANAGEMENT  MEASURES   
 2.1. Monitoring and reporting rules  
 2.2. Management and control system  
 2.3. Measures to prevent fraud and irregularities  
3. ESTIMATED  FINANCIAL  IMPACT  OF THE  PRO POSAL/INITIATIVE   
 3.1. Heading(s) of the multiannual financial framework and expenditure budget 
line(s) affected  
 3.2. Estimated impact on expenditure   
 3.2.1.  Summary of estimated impact on expenditure  
 3.2.2.  Estimated impact on operational appropriat ions  
 3.2.3.  Estimated impact on appropriations of an administrative nature  
 3.2.4.  Compatibility with the current multiannual financial framework  
 3.2.5.  Third -party contributions  
 3.3. Estimated impact on revenue  EN 105  EN 1. FRAMEWORK  OF THE  PROPOSAL/INITIATIVE   
1.1. Title of the proposal/initiative  
Proposal for a Regulation of the European Parliament and of the Council on batteries 
and accumulators and waste batteries and accumulators replacing and repealing 
Directive 2006/66/EU of the  European Parliament and of the Council.  
1.2. Policy area(s) concerned  
Policy area:   09 Environment  
Activity:  09 02 02 Programe for Environment and Climate Action (LIFE) - 
Circular economy and quality of life  
  09 10 01  - European Chemicals Agency — Activities in the field of 
legislation on import and export of hazardous chemicals and in relation with the 
circular economy  
  03.020101 – Operation and development of the internal market of 
goods and services  
1.3. The proposal relates to  
a new action  
 a new action following a pilot project/preparatory action1  
 the extension of an existing action   
 a merger of one or more  actions towards another/a new action   
1.4. Objective(s)  
1.4.1.  General objective(s)  
Strengthening  battery sustainability throughout their life cycle , by ensuring 
minimum sustainability requirements for batteries placed in the EU internal market.  
Increasing the resilience of the EU battery supply chain by closing the materials 
loop.  
Reducing the environmental and social imp acts throughout all the stages of the life 
cycle of batteries.  
1.4.2.  Specific objective(s)  
Strengthening sustainability  
 Foster the production and placing on the EU market of high quality and 
performing batteries.  
 Develop and use EU battery raw materials potential, both primary and 
secondary, ensuring they are produced in an efficient and sustainable way.  
 Ensure functioning markets for secondary raw materials and related industrial 
processes.  
                                                 
1 As referred to in Article 58(2)(a) or (b) of the Financial Regulation.  EN 106  EN  Promote innovation and the development and implementation of EU 
technological expertise.  
Increasing resilience and closing material loops  
 Reduce EU’s dependence on imports of materials of strategic importance.  
 Ensure appropriate collection and recycling of all of waste batteries.  
Reducing environmental and social impac ts 
 Contributing to responsible sourcing  
 Efficient use of raw and recycled materials,  
 Reduce GHG emissions across the entire life cycle of batteries.  
 Reduce risks for human health and for the quality of the environment and 
improve social conditions of loc al communities.  
1.4.3.  Expected result(s) and impact  
Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted.  
The proposed regulation will ensure better alignment with current EU approaches on 
sustainable manageme nt of materials and waste, which focus on the optimisation of 
products and production processes. It aims at developing an EU framework covering 
the entire life cycle of batteries, comprising harmonised and more ambitious rules for 
batteries, components, wa ste batteries and recyclates in view of establishing a 
common set of rules that guarantee the smooth functioning of the EU Internal Market 
for batteries and the primary and secondary materials needed to manufacture them 
while promoting higher levels of sus tainability in the EU market.  
1.4.4.  Indicators of performance  
Specify the indicators for monitoring progress and achievements.  
The indicators of progress and achievement of the objectives will be:  
– Increased quality of batteries placed on the market;  
– Better recycling efficiencies and better material recovery for Ni, Co, Li and Cu  
– Higher degrees of recycled materials in batteries;  
– More batteries will be collected and recycled;  
– Industrial and EV batteries will be counted, tracked and reported;  
– All coll ected batteries will be recycled; recycling processes will be performant 
at reduced occupational health and safety risks;  
– End-users will have better and easier access to information on the batteries they 
buy in terms of materials they contain, their expect ed durability, and how their 
production meets environmental and social standards;  
– All industrial and EV batteries have their CO2 footprint calculated;  
– Manufacturers of industrial and EV batteries, will also provide information on 
how their materials sourc ing meets social responsibility criteria;  
– Battery manufacturers will have a clear and predictable EU legal framework 
that supports them in innovating and being competitive in a growing market.  EN 107  EN 1.5. Grounds for the proposal/initiative  
1.5.1.  Requirement(s)  to be met in the short or long term including a detailed timeline for 
roll-out of the implementation of the initiative  
The detailed requirements would need to be adopted through implementing/delegated 
acts in a time horizon of 3 -8 years.  
A series of acti ons in terms of mandates, delegated or implementing decisions and 
impact assessment reports will stem from this proposed regulation.  
These will cover verification of compliance with sustainability requirements, 
conformity checking system, sustainability r equirements, as well as information and 
labelling. A detailed list of these envisaged actions is provided below:  
– Follow standardisation work in CEN/CENELEC;  
– Develop common specifications on performance and durability of general use 
portable batteries;  
– Develop common specifications on performance and durability for 
rechargeable batteries (industrial/EV);  
– Develop common specifications on safety for stationary battery storage energy 
systems;  
– Develop harmonised calculation rules for separate collection of p ortable 
batteries;  
– Develop harmonised calculation rules for the declaration of carbon footprint 
(including the revision of the PEFCR category rules for batteries), for the 
calculation of batteries carbon intensity performance classes, for the calculation 
of batteries recycled content and for the calculation of recycling efficiencies (to 
cover Lithium and Lead) and recovery of materials;  
– Guidance on removability, replaceability of portable batteries;  
– Establish an open dataspace for submission of battery rela ted information;  
– Develop GPP criteria on batteries;  
– Delegated act for carbon footprint – mandatory thresholds;  
– Amend the List of Waste;  
– Risk assessment/management of substances used in batteries;  
– Amend reporting obligations.  
1.5.2.  Added value of Union in volvement (it may result from different factors, e.g. 
coordination gains, legal certainty, greater effectiveness or complementarities). For 
the purposes of this point 'added value of Union involvement' is the value resulting 
from Union intervention which i s additional to the value that would have been 
otherwise created by Member States alone.  
Reasons for action at European level (ex -ante):  
EU-wide legislation is necessary to ensure that manufacturers, importers and 
economic operators more broadly and subjec t to common requirements when placing 
a battery on the Union market and the information made available.  EN 108  EN In addition, the evaluation of the Batteries Directive points to a need to modernise 
the legislative framework to further promote circular economy and low carbon 
policies as well as adapt to technological and economic developments in the battery 
market.  
The batteries value chain is capital intensive and thus needs economies of scale. 
Achieving this requires harmonised requirements addressing the full li fe cycle and a 
well-functioning EU internal market.    
 
1.5.3.  Lessons learned from similar experiences in the past  
1.5.4.  Compatibility with the Multiannual Financial Framework and possible synergies 
with other appropriate instruments  
The European Commission is proposing a major recovery plan based on a reinforced 
long term budget for the next Multiannual Financial Framework and a new recovery 
instrument, Next Generation EU.  
The European Green Deal will be the basis of the EU's recovery strategy. This 
includes the objective of cleaner transport and logistics, including e -mobility, which 
are the main driver of the exponential growth in demand for batteries. In a  post-
COVID society, the current trends indicate that relevance of e -mobility will increa se 
and perdure.  
The support and commitment of the European Commission in the research in the 
field of batteries are expressed by the number of projects funded under the H2020 
programme (over to 100 projects) and the financial contribution to their 
implemen tation (in the region of 500 Million Euros). The projects cover the entire 
value chain of different types of batteries and are focused on solving current and 
future challenges: developments and improvement of materials (and their 
environmental impact), bat teries recycling (that will promote the efficiency of 
materials recovery in Europe), new battery systems and even alternatives to the 
conventional batteries. The results of these projects will support and promote 
innovation for the batteries industry in Eu rope. New and improved materials and 
batteries´ systems, improved characteristics in terms of capacity storage, lifetime, 
safety, sustainability and cost -effectiveness are anticipated. These aspects are 
covered and are relevant in the present regulation.  
These will be essential to ensure the sustainable competitiveness of Europe in this 
field as well as to boost its economy, growth and well -being.  
It is expected that the EU will continue to promote the research in this and in related 
fields in the next MFF.  
The new Regulation will make it explicit that, in the future, the adoption of 
restriction measures for substances in batteries will be taken following assessments 
that will be carried out by ECHA, and no longer as individual activities part of DG 
ENV work ing programme. While ECHA has by large the needed experience for this 
task, these assessments constitute and additional work area for this Agency.  EN 109  EN 1.5.5.  Assessment of the different available financing options, including scope for 
redeployment  
The expertis e of ECHA (risk assessments of substances) and JRC (development of 
methodologies and procedures) is the most appropriate to ensure a swift 
implementation of the proposed approach.    
The estimated staff and resource needs we have received from ECHA for the  List of 
Waste task, reflect the fact that ECHA needs to build knowledge on this task. 
Therefore DG ENV explored alternative options. JRC has provided an estimate 
which requires less resources (0.9 million euro versus 2.2 for ECHA). We therefore 
propose to  add this to the list of JRC tasks.  
For the  development of the open dataspace for batteries, the staff and resource needs 
we have received from ECHA reflect the political ambition while benefiting from the 
existing structures and processes in ECHA. ECHA e stimates the resources at around 
10 million euro for the development  of the dataspace in addition to nearly 10 million 
euro staff costs. The Commission services also contacted executive agencies but it is 
not legally possible for them to take -over the dat aspace task from the Commission.  
The Commission therefore proposes to proceed with a feasiblity study to assess in 
detail the different options available for the different fonctionallities including who is 
the best placed to develop the system. The develop ment of the open dataspace is led 
by DG GROW in collaboration with DG CONNECT and their initiative on the 
European Dataspace.  
Another alternative is to develop the dataspace in house. DG ENV and DG GROW 
are in contact with DG TAXUD (which has undertaken s imilar work on VAT) and 
with DG CONNECT to explore potential synergies. The staff charged with these 
tasks in DG TAXUD is spread over 3 different units. DG GROW’s IT unit has 
quantified a very first estimation of the development effort and budget needed fo r the 
implementation of a Battery Passport Open Data solution. An open data space based 
on a centralises data base architecture is estimated at around 10.5 million euro. This 
covers the IT infrastructure and the staff needs for the IT development. These co sts 
are planned under the DG GROW budget line Operation and development of the 
internal market of goods and services.  The exact modalities of the work to be carried 
out by the different services will have to be agreed as the feasibility study proceeds.  
 
1.6. Duration and financial impact of the proposal/initiative  
 limited duration  
–  Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY  
–  Financial impact from YYYY to YYYY  
 unlimited duration  
– Implementation with a start -up period from 2023 to 2 028, 
– followed by full -scale operation.  
1.7. Management mode(s) planned  
 Direct management  by the Commission through  
–  executive agencies  EN 110  EN  Shared management  with the Member States  
 Indirect management  by entrusting budget implementation tasks to:  
 international organisations and their agencies (to be specified);  
 the EIB and the European Investment Fund;  
  bodies referred to in Articles 70 and 71;  
 public law bodies;  
 bodies governed by private law with a public service mission to the extent th at 
they provide adequate financial guarantees;  
 bodies governed by the private law of a Member State that are entrusted with the 
implementation of a public -private partnership and that provide adequate financial 
guarantees;  
 persons entrusted with the im plementation of specific actions in the CFSP 
pursuant to Title  V of the TEU, and identified in the relevant basic act.  
  EN 111  EN 2. MANAGEMENT  MEASURES   
2.1. Monitoring and reporting rules  
Specify frequency and conditions.  
Standard monitoring and reporting rules for EU subsidies to traditional agencies will 
apply.  
2.2. Management and control system(s)  
2.2.1.  Justification of the management mode(s), the funding implementation mechanism(s), 
the payment modalities and the control strategy proposed  
Standard monitorin g and reporting rules for EU subsidies to traditional agencies will 
apply.  
 
2.2.2.  Information concerning the risks identified and the internal control system(s) set up 
to mitigate them  
N/A 
 
2.2.3.  Estimation and justification of the cost -effectiveness of the controls (ratio of "control 
costs ÷ value of the related funds managed"), and assessment of the expected levels 
of risk of error (at payment & at closure)  
N/A 
  EN 112  EN 2.3. Measures to prevent fraud and irregularities  
Specify existing or envisaged preventio n and protection measures, e.g. from the Anti -Fraud Strategy.  
Standard modalities for EU subsidies to traditional agencies will apply  
  
EN 113  EN 3. ESTIMATED  FINANCIAL  IMPACT  OF THE  PROPOSAL/INITIATIVE   
3.1. Heading(s) of the multiannual fina ncial framework and expenditure budget line(s) affected  
 Existing budget lines - In order of multiannual financial framework headings and budget lines.  
Heading of 
multiannual 
financial 
framework  Budget line  Type of  
expenditure  Contribution  
Number  
 Diff./Non -
diff.1 from 
EFTA 
countries2 from 
candidate 
countries3 from third 
countries  within the meaning of 
Article 21(2)(b) of the 
Financial Regulation  
3 09.10.01 – European Chemicals Agency  Diff.  NO NO NO NO 
3 09.02.02 – Circular economy and quality 
of life Diff.  NO NO NO NO 
1 03.020101 Operation and development of 
the internal market of goods and services  Diff.  NO NO NO NO 
7 20.01.02.01 –Remuneration and 
allowances  Non-diff. NO NO NO NO 
7 20 02 01 01 - Contract staff  Non-diff. NO NO NO NO 
7 20 02 01 03 - 
National civil servants temporarily 
assigned to the institution  Non-diff. NO NO NO NO 
 New budget lines requested  
N/A  
                                                 
1 Diff. = Differentiated appropriations / Non -diff. = Non -differentiated appropriations.  
2 EFTA: European Free Trade Association.  
3 Candidate countries and, where applicable, potential candidates from the Western Balkans.   
EN 114  EN 3.2. Estimated impact on expenditure  
3.2.1.  Summary of estimated impact on expenditure  
EUR million (to three decimal places)  
Heading of multiannual financial  
framework  3 Natural Resources and Environment  
 
European Chemicals Agency  09.10.01   Year 
2023  Year 
2024  Year 
2025  Year 
2026  Year 
2027  Year 
2028  Year 
2029  Total  
Title 1:  Staff expenditure  Commitments  (1) 0.358  0.365  0.372  0.306  0.312  0.319  0.325  2.357  
Payments  (2) 0.358  0.365  0.372  0.306  0.312  0.319  0.325  2.357  
Title 2:  Infrastructure  Commitments  (1a) 0.086  0.088  0.089  0.074  0.075  0.076  0.078  0.566  
Payments  (2a) 0.086  0.088  0.089  0.074  0.075  0.076  0.078  0.566  
Title 3:  Operational expenditure  Commitments  (3a) 0.158  0.158  0.158  0.025  0.025  0.025  0.025  0.575  
 Payments  (3b) 0.158  0.158  0.158  0.025  0.025  0.025  0.025  0.575  
TOTAL appropriations  
for European Chemicals Agency  Commitments  =1+1a 
+3a 0.602  0.611  0.620  0.405  0.412  0.420  0.428  3.498  
Payments  =2+2a  
+3b 0.602  0.611  0.620  0.405  0.412  0.420  0.428  3.498  
The required increase of the EU contribution to ECHA will be compensated by a corresponding reduction in the envelope of the LIFE programme.   
EN 115  EN  
Management of battery substances : A total of 2  new full -time equivalent temporary agent 
staff (AD 5 -7) at ECHA (average cost EUR 144  000/year, during 7 years and beyond) will be 
needed to make sure  that sufficient resources would be earmarked for regulating the necessary 
battery related substances without competing with REACH priorities. This covers an average 
of one additional restriction (or other risk management measure) yearly. In addition, 1  full-
time equivalent contract agent staff (CA FG III, average cost EUR 69 000/year during 2 
years), will be necessary to increase the knowledge base, facilitating an informed priority 
setting and work plan based. This will be based on a study to build ECHA’s  current 
knowledge on how the battery industry manages its hazardous chemicals to identify relevant 
substances for regulatory risk management in the future. The study is estimted at € 400.000 
(over 2 years) to outsource part of such research needs. This st udy would also contribute to 
the Commission work on updating the battery entries in the List of Waste.  
A sum of € 22.000 is also required to cover the cost of the rapporteurs (Member State experts 
guiding the dossiers through the opinion -making in the RAC and SEAC committees) for each 
restriction, as well as  € 43.000 for covering a proportionate part of the full cost of organising 
the RAC and SEAC meetings ( travel, accommodation and daily allowance costs:  cost 
calculated based on the average time/effort ne eded for a restriction dossier in both 
committees).  
The aforementioned resources have been estimated using a calculation model which takes 
account of relevant experience from tasks executed by ECHA under other regulatory 
frameworks (e.g. REACH, CLP, BPR) a nd from the implementation of the existing national 
approaches where relevant. It sets out the resources that will be needed by ECHA over 2021 -
2029, in order to handle the foreseen tasks.  
  
EN 116  EN  
The financial impact of this initiative will not increase programmed spending under Heading 1 and Heading 3. The necessary resour ces will be 
deducted by the LIFE budget and the GROW instrument according to a split of the tasks in the administrative agreement: around 4 million of costs for 
DG Environment and 1.6 million of costs for DG GROW. In addition DG GROW’s instrument covers the costs of the open data space  and both 
instruments cover some studies and data purchase needs of the Commission services to proper ly prepare some of the implementing and delegated acts.  
 
Heading of multiannual financial  
framework  1 XXX  
EUR million (to three decimal places)  
   Year 
2021  Year 
2022  Year 
2023  Year 
2024  Year 
2025  Year 
2026  Year 
2027  TOTAL 
2021 -2027  
DG: GROW          
03.020101 Operation and development 
of the internal market of goods and 
services  Commitment 
appropriations  1.026  1.774  2.075  2.083  2.150  0.928  0.688  10.723  
Payment appropriations  1.026  1.774  2.075  2.083  2.150  0.928  0.688  10.723  
 
The amount reported above in 03.020101 budget line will be needed to finance part of the administrative arrangements between DG ENV/DG GROW and t he JRC 
and for the procurement of studies and data related to DG GROW provisions. The AA is expected to represent around a cost of EUR 2.669 million to DG GROW. 
The procurement represents EUR 50 000 in 2023 for DG GROW to request a technical opinion on the standardisation work in CEN/C ENELEC.  
It also includes the amount budgeted for the intramuros support for the feasiblity study for the open dataspace. Following this initital development phase, possibly 
additional resources may be needed.  
The IT development costs for the electronic information exchange for batteries are expected from DG GROW.  
    
EN 117  EN  
Heading of multiannual financial  
framework  3 Natural Resources and Environment  
EUR million (to three decimal places)  
   Year 
2021  Year 
2022  Year 
2023  Year 
2024  Year 
2025  Year 
2026  Year 
2027  TOTAL 
2021 -2027  
DG: ENV          
09.02.02 Circular economy and quality 
of life  Commitment 
appropriations  1.053  0.982  1.835  1.286  0.948  0.622  0.530  7.256  
Payment appropriations  1.053  0.982  1.835  1.286  0.948  0.622  0.530  7.256  
 
The amount reported above in 09.02.02 includes the required offsetting from the LIFE budget of the increase in resources for ECHA. This amount will be needed to 
increase the subsidy for ECHA and to finance administrative arrangements between DG ENV/DG GROW  and the JRC and for the procurement of studies and data 
related to the DG ENV provisions.  
The JRC will play a key role in supporting the Commission with some of the technical work required. The JRC provided their be st estimate of resources needs based 
on their current knowledge and on the task list provied by DG ENV and DG GROW. These estimates might threfore be fine -tuned e.g. during negotiation of an AA. 
In particular with regards to the common specification on general purpose portable batteries, the sc ope was expanded in the latest version of the proposed regulation 
and the resources will have to be reviewed accordingly. The AA is expected to represent around EUR 3.935 million to DG ENV.  There are several tasks where the 
JRC may support the Commission:   
 Developing common specifications on performance and durability for general purpose batteries and rechargeable industrial/EV b atteries;  
 Defining harmonised calculation rules for the declaration of carbon footprint for rechargeable industrial/EV batteries;  
 Defining harmonised calculation rules for recycled content in batteries, recycling efficiencies and recovered materials;  
 Analysing GPP criteria (including consultation of public procurement stakeholders and legal check of the proposed public proc urement rules);  
 Supporting the guidance on removability and replaceability of portable batteries.   
EN 118  EN The procured activities include a data purchase for batteries in 2021 in order to revise the PEFCR for batteries, subcontract ing the development of the PEFCR web -
based tool in 2022, requesting a technical opinion on the standardisation work in CEN/CENELEC in 2023 and a market study on the a vailability of secondary 
materials in 2027. These expenses amount to EUR 300 000 in 2021, EUR 80 000 for 2022 and EUR 100,000 in 20 27. 
   
EN 119  EN Heading of multiannual financial  
framework  7 European Public Administration  
EUR million (to three decimal places)  
   Year 
2021  Year 
2022  Year 
2023  Year 
2024  Year 
2025  Year 
2026  Year 
2027  TOTAL 
2021 -2027  
DG: ENV, DG GROW and 
EUROSTAT          
 Human Resources  0.475  0.515  0.515  0.555  0.555  0.230  0.230  3.075  
 Other administrative expenditure          
TOTAL DG ENV and DG GROW 
and EUROSTAT   0.475  0.515  0.515  0.555  0.555  0.230  0.230  3.075  
 
TOTAL appropriations  
under HEADING  7 
of the multiannual financial 
framework   (Total commitments = Total 
payments)  0.475  0.515  0.515  0.555  0.555  0.230  0.230  3.075  
 
 
The appropriations required for human resources and other expenditure of an administrative nature will be met by appropriatio ns from the DG that are already assigned to management of the action 
and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the m anaging DG under the annual allocation procedure and in the light of 
budgetary con straints.  
 
EUR million (to three decimal places)   
EN 120  EN   Year 
2021  Year 
2022  Year 
2023  Year 
2024  Year 
2025  Year 
2026  Year 
2027  Year 
2028  Year 
2029  TOTAL  
2021 -2029  
TOTAL appropriations  
under HEADINGS 1 to 7  
of the multiannual financial framework   Commitments  2.554  3.271  4.476  3.924  3.653  1.780  1.447  0.420  0.428  21.953  
Payments  2.554  3.271  4.476  3.924  3.653  1.780  1.447  0.420  0.428  21.953  
 
   
EN 121  EN 3.2.2.  Estimated impact on ECHA's appropriations  
–  The proposal/initiative does not require the use of operational appropriations  
–  The proposal/initiative requires the use of operational appropriations, as explained below:  
Commitment appropriations in EUR million (to three decimal places)  
Indicate 
object ives and 
outputs  
 
   Year 
N Year 
N+1 Year 
N+2 Year 
N+3 Enter as many years as necessary to show the 
duration of the impact (see point 1.6)  TOTAL  
OUTPUTS  
Type1 Avera
ge 
cost 
No 
Cost 
No 
Cost 
No 
Cost 
No 
Cost 
No 
Cost 
No 
Cost 
No 
Cost Total 
No Total 
cost 
SPECIFIC OBJECTIVE No 12…                 
- Output                    
- Output                    
- Output                    
Subtotal for specific objective No 1                  
SPECIFIC OBJECTIVE No 2 ...                  
- Output                    
Subtotal for specific objective No 2                  
TOTAL COST                  
 
                                                 
1 Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, et c.). 
2 As described in point 1.4.2. ‘Specific objective(s)…’   
EN 122  EN    
EN 123  EN 3.2.3.  Estimated impact on human resources  
3.2.3.1.  Summary  
–  The proposal/initiative does not require the use of appropriations of an administrative nature  
–  The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:  
– Staff requirements in ECHA (EUR million (to three decimal places))  
 Year 
2021  Year 
2022  Year 
2023  Year 
2024  Year 
2025  Year 
2026  Year 
2027  Year 
2028  Year 
2029  TOTAL  
–  
Temporary agents (AD 
Grades)          0.289          0.294          0.300          0.306          0.312          0.319          0.325    2.145  
Temporary agents 
(AST grades)            
Contract staff     0.069     0.070     0.072        0.211  
Seconded National Experts            
–  
TOTAL          0.358          0.365          0.372          0.306          0.312          0.319          0.325    2.357  
–  
   
EN 124  EN  
Staff requirements in ECHA (FTE):  
 Year 
2021  Year 
2022  Year 
2023  Year 
2024  Year 
2025  Year 
2026  Year 
2027  Year 
2028  Year 
2029  
 
Temporary agents (AD 
Grades)  0 0 2 2 2 2 2 2   2 
Temporary agents 
(AST grades)           
Contract staff  0 0 1 1 1     
Seconded National 
Experts           
 
TOTAL  0 0 3 3 3 2 2 2 2 
 
  
EN 125  EN  
3.2.3.2.  Estimated requirements of human resources for DG ENV,DG GROW and 
EUROSTAT  
– The proposal/initiative does not require the use of human resources.  
–  The proposal/initiative requires the use of human resources, as explained 
below:  
Estimate to be expressed in full amounts (or at most to one decimal place)  
 
 Year 
2021  Year 
2022  Year 
2023  Year 
2024  Year 
2025  Year 
2026  Year 
2027  
 Establishment 
plan posts 
(officials and 
temporary staff)         
20 01 01 01 
(Headquarters 
and 
Commission’s 
Representation 
Offices)  1 1 1 1 1 1 1 
XX 01 01 02 
(Delegations)         
XX 01 05 01 
(Indirect 
research)         
10 01 05 01 
(Direct research)         
        
 External staff 
(in Full Time 
Equivalent unit: 
FTE)1        
20 02 02 01/03 
(AC, END, INT 
from the ‘global 
envelope’)  4.0 4.5 4.5 5.0 5.0 1.0 1.0 
XX 01 02 02 
(AC, AL, END, 
INT and JPD in 
the Delegations)         
X
X
 
0- at 
Headqua
rters3 
        
                                                 
1 AC = Contract Staff; AL = Local Staff; END = Seconded National Exp ert; INT = agency staff; JPD = 
Junior Professionals in Delegations.  
3 Mainly for the Structural Funds, the European Agricultural Fund for Rural Development (EAFRD)  and 
the European Fisheries Fund (EFF).   
EN 126  EN 1
 
0
4
 
y
y
2 - in 
Delegati
ons         
XX 01 05 02 
(AC, END, INT 
– Indirect 
research)         
10 01 05 02 
(AC, END, INT 
– Direct 
research)         
Other budget 
lines (specify)         
TOTAL  5.0 5.5 5.5 6.0 6.0 2.0 2.0 
 
The human resources required will be met by staff from the DG who are already assigned to management of the action and/or hav e been 
redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual 
allocation procedure and in the light of budgetary constraints.  
 
 
Description of tasks to be carried out:  
Officials and temporary staff  AD posts are needed for the negotiation and general implementation of  the 
regulation.  and the different preparatory work and drafting of secondary 
legislation according to the deadlines proposed in the Batteries Regulation.  
 
External staff  The END post and the CA are needed to perform the technical work, 
including:  
 following standardisation work in CEN/CENELEC,  
 continuous review on material availability to keep the recycled 
content targets in line with market developments,  
 preparation of the delegated acts on performance and durability 
requirements of rechargeable a nd non - rechargeable batteries, 
on equivalent conditions for treatment outside the EU 
(including following JRC preparatory work),  
 preparation of implementing acts on producers’ registration 
form and on state on health parameters,  
 establish implementing act s establishing formats to report to 
competent authorities and the Commission,  
 develop the systems to receive the reported data and analyse for 
                                                 
2 Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).   
EN 127  EN correctness and completeness and communication and IT staff 
to disseminate the data (Eurostat),  
 establish softwar e and formats for submissions linked with the 
open dataspace,  
 the revision of the PEFCR category rules for batteries 
(including following JRC preparatory work),  
 develop guidance on removability, replaceability of portable 
batteries,  
 a possible review of th e regulation to set separate collection 
targets  
 
 
Description of the calculation of cost for FTE units should be included in the Annex V, 
section  3.  
  
 
   
EN 128  EN 3.2.4.  Compatibility with the current multiannual financial framework  
–  The proposal/initiative is  compatible the current multiannual financial 
framework.  
– ×The proposal/initiative will entail reprogramming of the relevant heading in the 
multiannual financial framework.  
 
The additional tasks the Commission has to assume require an additional needs for 
resources as regards the amount of the Union’s contribution and the establishment 
plan posts of the European Chemicals Agency.  
 
–  The proposal/initiative requires application of the flexibility instrument or 
revision of the multiannual financial framework4. 
Explain what is required, specifying the headings and budget lines concerned and the corresponding 
amounts.  
 
3.2.5.  Third -party contributions  
– The proposal/initiative does not provide for co -financing by third parties.  
                                                 
4 See Articles 11 and 17 of Council Regulation (EU, Euratom) No 1311/2013 laying down the 
multiannual financial framework for the years 2014 -2020.   
EN 129  EN 3.3. Estimated impact on revenue  
–  The proposal/initiative has no financial impact on revenue.  
–  The proposal/initiative has the following financial impact:  
–  on own resources  
–  on other revenue  
–          please indicate, if the revenue is assigned to expenditure lines  
EUR million (to three decimal places)  
Budget revenue line:  Appropriation
s available for 
the current 
financial year  Impact of the proposal/initiative5 
Year 
N Year 
N+1 Year 
N+2 Year 
N+3 Enter as many years as necessary to show 
the duration of the impact (see point 1.6)  
Article ………….          
For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.  
 
Specify the method for calculating the impact on revenue.  
 
3.4. Estimated impact on revenue  
–  The proposal/initiative has no financial impact on  revenue.  
–  The proposal/initiative has the following financial impact:  
–  on own resources  
–  on other revenue  
–          please indicate, if the revenue is assigned to expenditure lines  
EUR million (to three decimal places)  
Budget revenue line:  Appropriation
s available for 
the current 
financial year  Impact of the proposal/initiative6 
Year 
N Year 
N+1 Year 
N+2 Year 
N+3 Enter as many years as necessary to show 
the duration of the impact (see point 1.6)  
Article ………….          
For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.  
 
Specify the method for calculating the impact on revenue.  
 
                                                 
5 As regards traditional own resources (customs duties, sugar levies) , the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 20  % for collection costs.  
6 As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 20  % for collection costs.