EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2021) XXX  draft 
 
COMMISSION DELEGATED DIRECTIVE (EU) .../…  
of XXX  
amending, for the purpose of adapting to technical and scientific progress, Annex III to 
Directive 2011/65/EU of the European Parliament and of the Council as regards an 
exemption for the use of mercury in single capped (compact) fluorescent lamps for 
spec ial purposes  
(Text with EEA relevance)   EN 1  EN EXPLANATORY MEMORANDUM  
1. CONTEXT  OF THE  DELEGATED  ACT  
This Commission Delegated Directive amends, for the purpose of adapting to technical and 
scientific progress, Annex III to Directive 2011/65/EU of the European Parliament and of the 
Council on the restriction of the use of certain hazardous substances in electrical and 
electronic equipment (recast)1 (the RoHS Directive) . The amendment concerns an exemption 
for specifi ed applications containing mercury  in single capped (compact) fluorescent lamps 
for special purposes . 
The RoHS Directive restricts the use of certain hazardous substances in electrical and 
elect ronic equipment (EEE), as specified  in Article 4. Ten substances are currently restricted 
and listed in Annex II to the Directive : lead, mercury, cadmium, hexavalent chromium, 
polybrominated biphenyls (PBB), polybrominated diphenyl ethers (PBDE), bis (2 -ethylhexyl) 
phthalate (DEHP), butyl benzyl phthalate (BBP), dibutyl phtha late (DBP) and diisobutyl 
phthalate (DIBP). Annexes III and IV list the EEE materials and components for specific 
applications that are exempt from the substance restrictions laid dow n in Article 4(1).  
Article 5 of the Directive provides for  the adaptation Annexes III and IV  to scientific and 
technical progress , which can include granting, renewing  and revoking  exemptions .  
Pursuant to Article  5(1)(a), exemptions are to be included in  Annexes III and IV only if this 
does not weaken the environmental and health protection afforded by 
Regulation  (EC)  No 1907/2006 (REACH)2 and only if they meet any of the following 
conditions: (i) elimination or substituting the substance via design chang es or materials and 
components which do not require any of the materials or substances listed in Annex II is 
scientifically or technically impracticable; (ii) the reliability of substitutes is not ensured; (iii) 
the total negative environmental, health and  consumer safety impacts caused by substituting 
the substance are likely to outweigh the total environmental, health and consumer safety 
benefits thereof.  
Decisions on exemptions, and their duration, must also take into account the availability of 
substit utes and the socioeconomic impact of substitution. Decisions on the duration of 
exemptions must also take into account any potential impact on innovation. Life -cycle 
thinking on the overall impacts of the exemption must be t ied, where relevant.  
Article 5( 1)(a) also specifies that, to include materials and components of EEE for specific 
applications list ed in Annexes  III and IV , the Commission must adopt  individual delegated 
acts. Article 5(3) and Annex V describe the procedure for submitting exemption -related  
applications.  
2. CONSULTATIONS  PRIOR  TO THE  ADOPTION  OF THE  ACT  
The Commission receive d requests3 from economic operators to grant or renew exemptions 
under  Article 5(3) and Annex V to the RoHS  Directive . 
The current Annex III exemption 1(f) permi ts the use of m ercury in single capped (compact) 
fluorescent lamps not exceeding  the following values  (per burner): for special purposes: 5 mg.  
                                                 
1 OJ L 174, 1.7.2011, p. 88.  
2 OJ L 396, 30.12.2006, p. 1. 
3 The list is available at: http://ec.europa.eu/environment/waste/rohs_eee/adaptation_en.htm . EN 2  EN The Commission received two application s to renew this exemption in December 2014 and 
January 2015.  One of the a pplications was renewed with additional information in entries in 
January 2020. . The applicants in essence claimed th at substitutes for applications covered by 
that exemption  were not available and explained that a further reduction of the mercury 
threshold specified in the exemption was not practicable .4 In line with the requirements of the 
RoHS Directive (Article 5(5) (second  sub-paragraph )), an exemption remains valid  until the 
Commission takes a decision on the renewal application.  
To evaluat e the applications to renew that exemption, the Commission launched a study in 
June 20155, concluded in 2016, to carry out the required technical and scientific assessment, 
including an eight -week online stakeholder consultation.6 Further to that study assessing the 
extensive technical and scientific data and contributions received, as documented in the study 
report, the Commission carried out two complementary studies/updates, including stakeholder 
involv ement. The study published in 20197 focused on the socioeconomic assessment and 
availability of substitutes, whilst an update based on recent figures and modelling was carried 
out in 20208. The final reports of the study and of the socioeconomic assessment  updates were 
published9; stakeholders were notified.  
The Commission consulted the Member State expert group for delegated acts under the RoHS 
Directive during the expert meetings of 1 September 2016, 29 October 2018 and 21 October 
2019  to collect Member States’ views on an envisaged course of action in line with the 
conclusions of the evaluations . It carried out a ll the requisite procedural steps relating to 
exemptions from the substance restriction under Articles 5(3) to 5(7).10 The Council and the  
European Parliament were notified of all activities.  
The supporting study  highlighted that: 
 due to the ir special design, materials and manufacturing process, compact fluorescent 
lamps  (CFL)  for special purposes cover a very broad range of lamps , with multiple  
characteristics ;  
 for special purpose CFL lamps designed to emit light in the ultraviolet spectrum , 
there is sufficient information that substitutin g mercury in the applications concerned 
is technically impracticable , hence the study recommended renew ing the exemption 
for the  maximum duration of a further five  years ; 
 for other special purpose CFL lamps , where information on the substitution of 
mercury in the broad range of applications concerned is lacking, the exemption 
should be extended for thre e years to allow more detailed information to justify the 
                                                 
4 http://rohs.exemptions.oeko.info/fileadmin/user_upload/RoHS_Pack_9/Exemption_1_f/Lighting_Europe/ 
1f_LE_Ro HS_Exemption_Req_Final.pdf and 
http://rohs.exemptions.oeko.info/fileadmin/user_upload/RoHS_Pack_9/Exemption_1_ae_/NARVA/01_0
2_a__2b3_4a.pdf  
5 The f inal report of the study is available at https://op.europa.eu/en/publication -detail/ -
/publication/a3fdcc8c -4273 -11e6 -af30-01aa75ed71a1 . 
6 Consultation period: 21 August 2015 to 16 October 2015, http://rohs.exemptions.oeko.info . 
7 https://rohs.exemptions.oeko.info/fileadmin/user_upload/reports/FWCW_RoHS_Lamps_  
SEA_20190729_Final.pdf  
8 https://op.europa.eu/en/publication -detail/ -/publication/f44f2383 -dd0a -11ea -adf7-
01aa75ed71a1/language -en/format -PDF/source -146144383 , star ting on page 92.  
9 https://ec.europa.eu/environment/waste/rohs_eee/studies_rohs1_en.htm .  
10 A list of the required administrative steps is available on the Commission website . The c urrent stage of 
the procedure can be viewed for each draft delegated act in the Interinstitutional Registry of Delegated 
Acts at https://webgate.ec.europa.eu/regdel/#/home . EN 3  EN exemption for other types of lamps that are understood to be covered by the term 
‘special purpose ’, if new applications are mad e. 
In conclusion, the scientific and technical assessments, including stakeholder consultations, 
detailed that the exemption criteria continue to be met with regard to exemption 1(f) as 
reliable substitutes are not yet available. The evaluation results also show that the specific 
exemption would not weaken the environmental and health protection afforded by the 
REACH Regulation, in accordance with Article 5 of Directive 2011/65/EU.  
3. LEGAL  ELEMENTS  OF THE  DELEGATED  ACT  
The delegated directive renews  exemptio n 1(f) listed in Annex III to Directive  2011/65/EU, 
for the use of mercury in specifi ed applications.   
The Commission’s assessment , based on the supporting studies and consultations , concluded 
that the exemption request meets at least one of the criteria laid down in Article 5(1)(a) of the 
RoHS Directive that justif ies extending the exemption: mercury  cannot be reliabl y substitute d 
in the lamp categories co vered by this exemption.  
In summary, the conditions for the exemption are fulfilled, and exemption entry 1(f) is to be 
renewed. The assessment also concluded that , on one hand, the scope of the exemption should 
be narrowed to further specified application s and, on the other hand , the duration of the 
current broad exemption can be shortened  as follows:  
I. to five years for special purpose lamps desi gned to emit light in the ultra violet 
spectrum as no reliable alternatives are currently available ;  
II. to three years for all other sp ecial purpose lamps to allow the industry to prepare 
detailed information to justify keeping the exemptions for specific special purpose 
lamp categories.  
The expiry dates for this exemption are set in line with Article 5(2) ( first sub-paragraph).  The 
valid ity periods are not expected to have an adverse impact on innovation.  
The legal instrument is a delegated directive, as provided for by Directive 2011/65/EU, in 
particular to meet the requirements set out in Article 5(1)(a) thereof.  
The objective of the delegated directive is to contribute to the protection of human health and 
the environment and to align the provisions for the functioning of the internal market in the 
field of electrical and electronic equipment, by allowing the use of otherwise banned 
substances for specific applications, with the provisions and under the conditions of the RoHS 
Directive and the procedure for adapt ing Annexes III and IV to scientific and technical 
progress.   
The delegated directive  has no implications o n the EU budget.   EN 4  EN COMMISSION DELEGATED DIRECTIVE (EU) .../…  
of XXX  
amending, for the purpose of adapting to technical and scientific progress, Annex III to 
Directive 2011/65/EU of the European Parliament and of the  Council as regards an 
exemption for the use of mercury in single capped (compact) fluorescent lamps for 
special purposes  
(Text with EEA relevance)  
THE EUROPEAN COMMISSION,  
Having regard to the Treaty on the Functioning of the European Union , 
Having regard  to Directive 2011/65/EU of the European Parliament and of the Council of 
8 June 2011 on the restriction of the use of certain hazardous substances in electrical and 
electronic equipment1, and in particular Article 5(1 ), point  (a), thereof,  
Whereas:  
(1) Direct ive 2011/65/EU requires Member States to ensure that electrical and electronic 
equipment  (EEE)  placed on the market does not contain the hazardous substances 
listed in Annex II to that Directive. That restriction does not apply to certain exempted 
applicat ions listed in Annexes III to that Directive.  
(2) The categories of electrical and electronic equipment to which Directive 2011/65/EU 
applies are listed in Annex I to that Directive.  
(3) Mercury is a restricted substance listed in Annex II to Directive 2011/65/EU.   
(4) By Decision 2010/571/EU2, the Commission granted, among other things, an  
exemption for the use of mercury in single capped (compact) fluorescent  lamps  for 
special purposes  (‘the exemption’), which is now listed as exemption  1(f) in Annex  III 
to Directive  2011/65 /EU. The exemption was to expire on 21 July 2016, in accordance 
with Article 5(2), second subparagraph, point (a), of that Directive.  
(5) Mercury is used in single capped (compact) fluorescent lamps (CFL)  for special 
purposes to produce ultraviolet lig ht, which is then converted into visible light by the 
fluorescent coating on the lamp bulb.  
(6) On 19 December 2014 and 15 January 2015 , the Commission received two 
application s for renewal of the exemption (‘the renewal application s’), that is within 
the time limit laid down in Article 5(5) of Directive 2011/65/EU, of which one was 
updated with a renewed application on 20  January 2020.  In accordance with Article 
                                                 
1 OJ L 174, 1.7.2011, p. 88.  
2 Commission Decision 2010/571/EU of 24  September 2010 amending, for the purposes of adapting to 
scientific and technical progress, the Annex to Directive 2002/95/EC of the European Parliament and of 
the Council as regards exemptions for applications containing lead, mercury, cadmium, hexavalent 
chromium, polybrominated biphenyls or polybrominated diphenyl ethers (OJ L 251, 25.9.2010, p. 28).  EN 5  EN 5(5), second subparagraph, of Directive 2011/65/EU, an exemption remains  valid until 
a decision on the renewal request has been taken . 
(7) The evaluation of the renewal application s, which took into account the availability of 
substitutes and the socioeconomic impact of substitution, concluded that the  
elimination of mercury in th e applications concerned  or its substitution  by a substance 
of comparable performance  is currently technically impracticable. Th e evaluation 
included stakeholder consultations in accordance with Article 5(7) of Directive 
2011/65/EU. The comments received d uring those consultations were made publicly 
available on a dedicated website.  
(8) Exemptions from the restriction for certain specific materials or components should be 
limited in their scope and duration, in order to achieve a gradual phase -out of 
hazardous  substances in EEE , the assessment also concluded that, on one hand, the 
scope of the exemption should be narrowed to further specified applications and, on 
the other hand, the duration of the current broad exemption can be shortened  
(9) The exemption is consi stent with Regulation (EC) No 1907/2006 of the European 
Parliament and of the Council3 and thus does not weaken the environmental and health 
protection afforded by it.  
(10) It is therefore appropriate to grant the renewal of the exemption  for a maximum period 
of five years , in accordance with Article 5(2),  first subparagraph, of Directive 
2011/65/EU,  for CFL lamps for special purposes designed to emit light in the 
ultraviolet spectrum , as no reliable alternatives are currently available. For all other 
types of CFL lamps falling into the category  of CFL lamps for special purposes , the 
exemption should be renewed for three years, to allow  the industry to prepare detailed 
information to  justify the continuation of this  exemption  for specified special lamps 
categori es, in line with the Directive’s aim that exemptions should be limited in their 
scope and duration . In view of the results of the ongoing efforts to find a reliable 
substitution, the duration of the exemption is unlikely to have adverse impacts on 
innovati on.  
(11) Directive 2011/65/EU should therefore be amended accordingly,   
HAS ADOPTED THIS DIRECTIVE:  
Article 1  
Annex III to Directive 2011/65/EU is amended as set out in the Annex to this Directive.  
Article  2 
1. Member States shall adopt and publish, by [the last day of the sixth  month after the 
date of entry into force of this Directive]  at the latest, the laws, regulations and 
administrative provisions necessary to comply with this Directive. They shall 
forthwith communicate to the Commission the text o f those provisions.  
                                                 
3 Regulation (E C) 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 Chemicals Agency , amending Directive 1999/45/EC and repea ling 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).  EN 6  EN They shall apply those provisions from [the last day of the sixth  month after the date 
of ent ry into force of this Directive + 1 day] . 
When Member States adopt those provisions, they shall contain a reference to this 
Directive or be acc ompanied by such a reference on the occasion of their official 
publication. Member States shall determine how such reference is to be made.  
2. Member States shall communicate to the Commission the text of the main provisions 
of national law which they adopt i n the field covered by this Directive.  
Article  3 
This Directive shall enter into force on the twentieth day following that of its publication in 
the Official Journal of the European Union . 
Article  4  
This Directive is addressed to the Member States.  
Done a t Brussels,  
 For the Commission  
 Ursula VON DER LEYEN  
 The President