EN    EN  
 EUROPEAN  
COMMISSION 
Brussels, XXX   
[…](2016) XXX  draft 
  
COMMISSION DELEGATED DIRECTIVE (EU) .../… 
of XXX  
amending, for the purposes of adapting to technical progress, Annex III to Directive 
2011/65/EU of the European Parliament and of the Council as regards an exemption for 
lead in white glasses used  for optical applications 
(Text with EEA relevance) 
 EN 2   EN EXPLANATORY MEMORANDUM  
1. CONTEXT  OF THE  DELEGATED  ACT 
This Commission Delegated Directive amends, for the purpose of adapting to technical 
progress, Annex III of 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 (RoHS 2) as regards an exemption for specific applications containing 
lead. 
RoHS 2 restricts the use of certain hazardou s substances in electrical and electronic 
equipment. RoHS 2 entered into force on 21 July 2011. 
The restricted substances are listed in Annex II to RoHS 2; while the restriction of lead, 
mercury, cadmium, hexavalent chromium, pol ybrominated biphenyls, and polybrominated 
diphenyl ethers is being enforced to date, th e restriction of bis(2- ethylhexyl) phthalate 
(DEHP), butyl benzyl phthalate (BBP), dibutyl phthalate (DBP),  diisobutyl phthalate (DIBP) 
shall be applied from 22 July 2019. Annexes III and IV to RoHS 2 list the materials and components of electrical and electronic equipmen t (EEE) for specific applications exempted 
from the substance restriction of RoHS 2 Article 4(1). 
Article 5 makes provision for the adaptation to scientific and technical progress (inclusion, 
renewal, amendments and deletion of exemp tions) of Annexes III and IV. Pursuant to 
Article 5(1)(a), for exemptions to be included in  Annexes III and IV, it has to be provided that 
such inclusion does not weaken the enviro nmental and health protection afforded by 
Regulation (EC) No 1907/2006 and where any of the following conditions is fulfilled: their 
elimination or substitution via design change s or materials and components which do not 
require any of the materials or substances listed in Annex II is scientifically or technically 
impracticable; the reliability of substitutes is no t ensured; or the total negative environmental, 
health and consumer safety impacts caused by substitution are likely to outweigh the total 
environmental, health and consum er safety benefits thereof. 
Furthermore, Article 5(1) provides that th e European Commission (the Commission) shall 
include materials and components of EEE for specific applications in the lists in Annexes III 
and IV by means of individual de legated acts in accordance with  Article 20. Article 5(3) and 
Annex V establish the procedure for submitti ng applications for granting, renewing, or 
revoking an exemption. 
2. CONSULTATIONS
 PRIOR  TO THE  ADOPTION  OF THE  ACT 
As a consequence of the provisions in Article 5( 3) and Annex V which a llows stakeholders to 
apply for an exemption from th e substance restrictions, since the publication of RoHS 2 the 
Commission has received numerous2 requests for both granting new and renewing existing 
exemptions. 
On 11 November 2014 the Commission received an application for renewing exemption 13(a) 
of Annex III in relation to the use of lead in white glasses used for optical applications. 
With a view to evaluating th e application for exemption, th e Commission launc hed a study to 
carry out the required technica l and scientific assessment, including an eight-week online 
                                                 
1 OJ L 174, 1.7.2011, p. 88. 
2 The list is available at: http://ec.europa.eu/environment/w aste/rohs_eee/adaptation_en.htm  EN 3   EN open-ended3 stakeholder consultation4 on the application. No c ontributions were received 
during the stakehol der consultation. 
The final report containing the assessment of the application was published5; stakeholders 
were notified. The project page is  accessible via the Europa webpage6. 
Subsequently, the Commission consulted the Memb er States expert group for delegated acts 
under RoHS 2. An amendment proposal of RoHS  2 Annex III was sent out on 17 March 2016 
with all necessary background information, and experts were  invited to comment on the 
proposal at the meeting of 19 April 2016. Th e expert group unanimously supported the 
proposal to exempt lead in white glasses used fo r optical applications for five years from the 
original expiration date of the exemption 13(a) . All necessary steps pursuant to Article 5(3) 
to (7) have been performed. Council and Parliame nt were notified of relevant activities. 
The final report highlighted in particular the following technical information (see report in 
footnote 5): 
• Lead-based glasses are used because they  have unique combinations of properties 
and characteristics, such as light transm ission performance, optical dispersion, 
thermal conductivity, birefringence and others. 
• Lead-free optical glasses of alternative desi gns exist in the form of lead-free glass, 
plastic lenses and alternative equipment design. Nonetheless, those alternatives 
cannot provide for several pr operties and their combinations comparable to lead-
based glasses. 
• Where finding substitutes was relatively strai ghtforward, this has already occurred and 
substitutes are being used. Alternatives fo r the remaining applications are still not 
available . Thus substitution for the full applica tion range is not possible in general. 
The evaluation results for categories 1 to 7 and 10 show that at least one of the relevant 
criteria specified in Article 5(1)(a) is met by the exemption request relating to entry 13(a) in 
Annex III when formulated as "Lead in white glasses used for optical applications", and the renewal is thus justified. Since, for the a pplications concerned, no sufficiently reliable 
alternatives are av ailable today or are likely  to come to the market  soon, and considering the 
typical innovation pace of the sector, the five-y ear validity period of the exemption is not 
expected to have adverse impacts on innovation. For categories other than categories 1 to 7 
and 10, the existing exemption remains as per the validity periods set out in Article 5(2). The 
specific exemption does not weaken the envir onmental and health protection afforded by 
Regulation (EC) No 1907/2006 (REACH) in acco rdance with Article 5 of Directive 
2011/65/EU. 
3. LEGAL
 ELEMENTS  OF THE  DELEGATED  ACT 
The proposed act grants an  exemption from the substance restrictions of 
Directive 2011/65/EU for the use of lead in specific applications. 
The proposed instrument is a delegated dir ective, as provided for by Directive 2011/65/EU, 
and in particular Arti cle 5(1)(a) thereof. 
                                                 
3 The list of consulted stakeholders is regularly updated and maintained; it includes industry 
organisations, manufacturers and suppliers, recycl ers, consumer associa tions, NGOs, academia, 
Member States' representatives, and others. 
4 Consultation period : from 24.04.2015 to 19.06.2015 
5 Evaluation report  
6 http://ec.europa.eu/environment/w aste/rohs_eee/adaptation_en.htm  EN 4   EN The objective of the proposed act is to ensu re legal certainty and sustainable market 
conditions for manufacturers of electrical and electronic equipm ent, by allowing the use of 
otherwise banned substances for specific applic ations, in line with the provisions and under 
the conditions of RoHS 2 and the therein esta blished procedure for the adaptation of the 
Annexes III and IV to scientif ic and technical progress. 
In accordance with the principle of proportiona lity, the measure does not go beyond what is 
necessary to achieve its objective. 
The proposal has no implications for the EU budget.  EN 5   EN COMMISSION DELEGATED DIRECTIVE (EU) .../… 
of XXX  
amending, for the purposes of adapting to technical progress, Annex III to Directive 
2011/65/EU of the European Parliament and of  the Council as regards an exemption for 
lead in white glasses used for optical applications 
(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 equipment
7, and in particular Article 5(1)(a) thereof, 
Whereas: (1) Directive 2011/65/EU prohibits the use of lead in electrical and electronic equipment 
placed on the market. 
(2) Lead-based glasses are used because they have unique combinations of properties and 
characteristics, such as light transmissi on performance, optical dispersion, thermal 
conductivity, birefringence and others. 
(3) Lead-free optical glasses of al ternative designs exist in the form of lead-free glass, 
plastic lenses and alternative equipment de sign. Nonetheless, those alternatives that 
cannot provide for several properties and thei r combinations comparable to lead-based 
glasses. 
(4) Where finding substitutes was relatively straightforward, this has already occurred and 
substitutes are being used. Alternatives fo r the remaining applications are still not 
available. Thus substitution for the full app lication range is not possible in general. 
Lead in white glasses used for optical app lications should therefore be exempted until 
21 July 2021 for categories 1 to 7 and 10. In view of the inn ovation cycles for this type 
of optical applications, the duration of this exemption is unlikely to have adverse 
impacts on innovation. 
(5) 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. 
                                                
 
7 OJ L […], […], p. […].  EN 6   EN Article 2 
1. Member States shall adopt and publish, by [OP, please insert, as concrete date, 
12 months 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 Co mmission the text of those provisions. 
They shall apply those provisions from [OP, please insert, as concrete date, 
12 months after the date of entr y into force of this directive] . 
When Member States adopt those provisions,  they shall contain a reference to this 
Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determin e 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 in the field covered by this Directive. 
Article 3 
This Directive shall enter into force on the tw entieth 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 at Brussels, 
 For the Commission 
 The President  […]