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 Parl iament and of the Council as  regards an exemption for 
lead in bearing shells and bushes for certain refrigerant-containing compressors 
(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 restriction is being enforced to date, the restricti on of bis(2-ethylhexyl) 
phthalate (DEHP), butyl benzyl  phthalate (BBP), dibutyl phthalate (DBP), diisobutyl 
phthalate (DIBP) shall be applied from 22 Ju ly 2019. Annexes III and IV to RoHS 2 list the 
materials and components of electrical an d electronic equipment (EEE) for specific 
applications exempted from the substan ce 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 7 October 2014 the Commission received an application for renewing exemption 9(b) of 
Annex III in relation to the use of lead in bearing shells and bushes for refrigerant-containing 
compressors, with a stated electrical power  input of only 9 kW or lower for the HVACR 
industry. 
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. Thr ee stakeholders explicitly 
supported the exemption renewal with the re quested wording and duration. Contributions 
submitted provided details as to areas where the exemption is claimed indispensable. 
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 bearing shells and bushes for certain re frigerant-containing 
compressors for 3 years as from the original expiration date of the exemption 9(b) for the 
category concerned (21 July 2016). All necessary steps pursuant to Article 5(3) to (7) have 
been performed. Council and Parliament we re notified of relevant activities. 
The final report highlighted in particular the following technical information (see report in 
footnote 5): 
• Lead is used in bearings of refrigerant compressors hermetically sealed to prevent 
leakage of the refrigerant. Lead provides low friction in the bearing by acting as a 
solid lubricant in case of inadequate lubri cation, which may occur due to solvency of 
the lubricant oil in the refrigerant. 
• Though lead-free bearings are viable, they still cannot reliably substitute lead 
bearings for the refrigerant-containing co mpressors with a stated electrical power 
input of 9 kW or lower. 
• The reliability testing of lead-free bearings for the refrigerant-containing 
compressors with a stated electrical power input of 9 kW or lower is still underway 
and is expected to require three more years. 
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 9(b) in 
Annex III when formulated as "Lead in bearing shells and bushes for refrigerant-containing hermetic scroll compressors with a stated elec trical power input equal or below 9 kW for 
heating, ventilation, air conditioni ng and refrigeration (HVACR) applications", the renewal is 
thus justified only regarding to large household appliances (i.e. category 1 of Annex I). Since, 
for the applications concerned, no sufficiently reli able alternatives are available today or are 
likely to come to the market soon, and consid ering the typical innovation pace of the sector, 
the three-year validity period of the exempti on is not expected to have adverse impacts on 
innovation. For categories other th an 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 
environmental and health protection afforded  by Regulation (EC) No 1907/2006 (REACH), in 
accordance with Article 5 of Directive 2011/65/EU. 
                                                
 
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 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. 
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 bearing shells and bushes for certain refrigerant-containing compressors 
(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 is used in bearings of refrigerant compressors hermetically sealed to prevent 
leakage of the refrigerant. Lead provides low friction in the be aring by acting as a 
solid lubricant in case of inadequate lubrication. 
(3) Though lead-free bearings are viab le, they still cannot reliably  substitute l ead bearings 
for the refrigerant-containing compressors with  a stated electrical power input of 9 kW 
or lower. 
(4) Lead in bearing shells and bushes for refrigerant-containing hermetic scroll 
compressors with a stated electrical power input equal or below 9 kW for heating, ventilation, air conditioning and refrigerati on (HVACR) applications should therefore 
be exempted until 21 July 2019. In vi ew of the innovati on cycles for HVACR 
applications, the duration of this exempti on 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. 
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, 
                                                
 
7 OJ L […], […], p. […].  EN 6   EN 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  […]