EN    EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2017) XXX  draft  
  
COMMISSION DELEGATED DIRECTIVE (EU) .../…  
of XXX  
amending, for the purposes of adapting to scientific and technical progress, Annex III to 
Directive  2011/65/EU of the European Parliament and of the Council as regards an 
exemption for lead in solders for the soldering to machined through hole discoidal an d 
planar array ceramic multilayer capacitors  
(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 I II 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 e lectronic 
equipment  (recast)1 (RoHS  2) as regards an exemption for specific applications containing 
lead. 
RoHS  2 restricts the use of certain hazardous substances in electrical and electronic 
equipment , as provided for in its Article 4 . It entered into force on 21 July 2011.  
The restricted substances are listed in Annex II to RoHS  2. While the restriction s of lead, 
mercury, cadmium, hexavalent chromium, polybrominated biphenyls, and polybrominated 
diphenyl ethers are in force to date, the r estriction s of bis(2 -ethylhexyl) phthalate (DEHP), 
butyl benzyl phthalate (BBP), dibutyl phthalate (DBP), diisobutyl phthalate (DIBP) shall 
apply  from 22 July 2019  or later . Annexes III and IV to RoHS 2 list the materials and 
components of electrical and e lectronic equipment (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 revoking  of exemptions ) of Annexes III and IV. Pursuant to 
Article  5(1)(a), exemptions are to be included in Annexes III and IV  only if  such inclusion 
does not weaken the environmental and health protection afforded by 
Regulation  (EC)  No 1907/20062 and where any of the followi ng conditions is fulfilled: their 
elimination or substitution via design changes or materials and components which do not 
require any of the materials or substances listed in Annex II is scientifically or technically 
impracticable; the reliability of subst itutes is not ensured; or the total negative environmental, 
health and consumer safety impacts caused by substitution are likely to outweigh the total 
environmental, health and consumer safety benefits thereof.  
Furthermore, Article 5(1) provides that the E uropean Commission (the Commission) shall 
include materials and components of EEE for specific appli cations in the lists in Annexes  III 
and IV by means of individual delegated acts in accordance with Article  20. Article 5(3) and 
Annex V establish the proce dure for submitting applications for granting, renewing, or 
revoking an exemption.  
2. CONSULTATIONS  PRIOR  TO THE  ADOPTION  OF THE  ACT  
Since the publication of RoHS 2 , the Commission has received numerous3 requests from 
economic operators, according to the provisi ons in Article 5(3) and Annex V, for both 
granting new and renewing existing exemptions.  
The current  Annex III exemption 24 permits the use of lead in solders for the soldering to 
machined through hole discoidal and planar array ceramic multilayer c apacitors . The 
Commission received one application for renewal of this exemption January  2015 . While 
exemption 24 had 21 July 2016  as expir ation date  for categories 1 to 7 and 104, in line with 
                                                 
1 OJ L 174, 1.7.2011, p. 88.  
2 OJ L 396, 30.12.2006, p. 1 
3 The l ist is given at: http://ec.europa.eu/environment/waste/rohs_eee/adaptation_en.htm  
4 These categories are namely: 1. Large household appliances; 2. Small household appliances; 3. IT and 
telecommunications equipment; 4. Consumer equipment; 5. Lighting equipment; 6. Electrical and  
EN 3   EN the requirements of the RoHS Directive  (Article 5(5), second s ubparagraph ), it continues to 
apply until a decision on the renewal application is taken by the  Commission.  
With a view to evaluat ing the application  for exemption , the Commission launched a study to 
carry out the required technical and scientific assessment,  including an eight -week online 
open -ended stakeholder consultation5 on the application. One contribution w as made to the 
stakeholder consultation.  
The final report containing the assessment of the application was published6; stakeholders 
were notified.  
Subsequently, the Commission consulted the Member States expert group for delegated acts 
under RoHS 2  during an expert meeting on 15 December 2016, which also involved 
presentations from the applicants and stakeholders most concerned.  The experts  agreed with 
the draft presented by the Commission, with a large majority of absent or silent members. All 
necessary steps relating to exemptions from the substance restriction pursuant to Article s 5(3) 
to 5(7) have been performed. Due to the large amount of simultaneous exemption requests 
and connected administrative requirements, the Commission decision procedure followed 
alternative deadlines as per Article 5(5). The Council and the European Parliament were 
notified of all activities.  
The final report  highlighted in particular the following technical information and assessment : 
 Discoidal and planar array capacitors are derivations of multi -layer ceramic 
capacitors with the opposing terminations made to the outside periphery and the 
inside diameter of hole s drilled through the ceramic body. They are specialist 
capacitors used in electromagnetic interference filters and electromagnetic 
interference filtered connectors for high end applications, where the elimination of 
electrical interference is critical. Typical applications for assemblies incorporating 
these components include professional audio equipment, maritime monitoring and 
video surveillance  systems.  
 In application, signal carrying feedthrough pins are passed through the ceramic 
element and connected to the internal bore to make a mechanical and electrical 
connection. This connection must have low electrical resistance and inductance for 
optimum performance, as high resistance / inductance will inhibit the high frequency 
electrical path to ground through the filtering capacitor. Traditionally this connection 
is made by lead solder, as lead -free solders cause cracks in the ceramic element.  
Lead-containing solders  provide the combination of a suitable melting point and 
ductility. The ductility of this solder avoids cracking of the ceramic layer during and 
after soldering due to thermal mismatch between the ceramic capacitor and the 
copper pin.  
 Currently, the substitution of lead  in the solders  is scientifically and technically 
impracticable.  
The evaluation results for categor y 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 reque st relating to entry 24 in Annex III. 
Since for the applications concerned, no sufficiently reliable alternatives are available today 
                                                                                                                                                         
electronic tools; 7. Toys, leisure and sports equipment; 10. Automatic dispensers. EEE categories a re 
listed in Annex I to the RoHS  Directive.  
5 Consultation period : from 21.08.2015 to 16.10.2015  
6 https://bookshop. europa.eu/en/assistance -to-the-commission -on-technological -socio -economic -and-
cost-benefit -assessment -related -to-exemptions -from -the-substance -restrictions -in-electrical -and-
electronic -equipment -pbKH0416554/    
EN 4   EN or are likely to come on the market soon , validity period until 21 July 2021  is justified ; as 
reliable substitutes are not  yet available, no negative socioeconomic impacts of substitution 
are to be anticipated for this period. The granted validity period is also not expected to have 
adverse impacts on innovation . For categories other than categories 1 to 7 and 10, the existin g 
exemption remains as per the validity periods set out in Article 5(2) . The specific exemption 
does not weaken the environmental and health protection afforded by Regulation (EC) 
No 1907/2006 (REACH), in accordance with Article 5 of Directive 2011/65/EU.  
3. LEGAL  ELEMENTS  OF THE  DELEGATED  ACT  
The Delegated Directive grants an exemption from the restri ctions in Article 4(1), to be listed 
in Annex III  of Directive  2011/65/EU , for the use of lead in specific applications.  
The inst rument is a Delegated Directive , as provided for by Directive 2011/65/EU, and in 
particular meeting the relevant requirements of Article 5(1)(a) thereof.  
The objective of the Delegated Directive  is to contribute to the protection of human health and 
the environment and approxim ate 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, in line with the provisions and under the conditions of 
RoHS  2 and the therein established procedure for the adaptation of the Annexes  III and IV  to 
scientific and technical progress.  
In accordance with the principle of proportionality, the measure does not go beyond what is 
necessary to achieve its objective.  
The pro posal has no implications for the EU budget.  
  
EN 5   EN COMMISSION DELEGATED DIRECTIVE (EU) .../…  
of XXX  
amending, for the purposes of adapting to scientific and technical progress, Annex III to 
Directive  2011/65/EU of the European Parliament and of the Council as regards an 
exemption for lead in solders for the soldering to machined through hole discoidal and 
planar array ceramic multilayer capacitors  
(Text with E EA 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 Par liament and of the Council of 
8 June 2011 on the restriction of the use of certain hazardo us substances in electrical and 
electronic equipment7 and in particular Article 5(1)(a) thereof , 
Whereas:  
(1) Directive 2011/65/EU requires Member States to ensure that electrical and electronic 
equipment placed on the market does not contain lead. 
(2) Point 24 of Annex III to Directive 2011/65/EU exempted the use of lead in solders for 
the soldering to machined through hole discoidal and planar array ceramic multilayer 
capacitors until 21 July 2016 . The Commission received an application for renewal of 
this exemption in relation to categories 1 to 7 and 10 before 21 January  2015 , in 
accordance with Article 5(5) of Directive 2011/65/EU . 
(3) Discoidal and planar array capacitors are derivations of multi -layer ceramic capacitors. 
They are specialist capacit ors used in electromagnetic interference filters and 
electromagnetic interference filtered connectors for high end applications, where the 
elimination of electrical interference is critical. Typical applications for assemblies 
incorporating th ose component s include professional audio equipment, maritime 
monitoring and video surveillance systems.  
(4) Lead -containing  solders used in d iscoidal and planar array capacitors provide the 
combination of a suitable melting point and ductility. The ductility of th at solder 
avoids cracking of the ceramic layer during and after soldering due to thermal 
mismatch between the ceramic capacitor and the copper pin.  
(5) Currently, the substitution of lead is scientifically and technically impracticable.  
(6) Since for the appli cations concerned  in categories 1 to 7 and 10 , no sufficiently 
reliable alternatives are available on the market  or are likely to be available on  the 
market in the near future , validity period until 21 July 2021 is justified . For categories 
other than categories 1 to 7 and 10, the existing exemption is valid  as per the validity 
periods set out in the second subparagraph of Article 5(2) of Directive 2011/65/EU . 
(7) Directive 2011/65/EU should therefore be amended accordingly,   
                                                 
7 OJ L 174, 1.7.2011, p. 88.   
EN 6   EN  
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 12th 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 of those provisions.  
They shall apply those provisions from [the last day of the 12th month after the date 
of entry into force of this directive  + 1 day ]. 
When Member States adopt those provisions, they shall contain a reference to this 
Directive or be accompanied by such a reference on the occasion of their official 
publication. M ember 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 in the field covered by this Directive.  
Article 3 
This Directive shall ente r 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 at Brussels,  
 For the Commission  
 The President  
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