EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) 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 and cadmium in printing inks for the application of enamels on 
glasses 
(Text with EEA relevance)  
This draft has not been adopted or endorsed by the European Commission. Any 
views expressed are the preliminary views of the Commission services and may not 
in any circumstances be regarded as stating an official position of the Commission.    
EN 1  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 electronic 
equipment  (recast)1 (RoHS  2) as regards an exemption for specific  applications containing 
lead and cadmium . 
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 Ann ex 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 restriction 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 electronic 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 following conditions is fulf illed: 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 substitutes 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 European Commission (t he 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 procedure for submitting a pplications 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 21 permits the use of lead and cadmium in printing inks for 
the application of enamels on glasses, such as borosilicate and soda lime g lasses . The 
Commission received one application for renewal of this exemption in January  2015 . While 
exemption 21 had 21 July 2016 as expiration 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 list 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 2  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 assessme nt, including an eight -week online 
open -ended stakeholder consultation5 on the application. Three  contributions were made to 
the stakeholder consultation.  
The final report containing the assessment of the application was published6; stakeholders 
were noti fied. 
Subsequently, the Commission consulted the Member States expert group for delegated acts 
under RoHS 2  in written form  as agreed during a previous meeting7. The experts agreed with 
the draft presented by the Commission, with a large majority of 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)8. The Council and the European Parliament were 
notified of all activities.  
The final report highlighted in particular the following technical information and assessment : 
 Lead and cadmium in printing inks applied to glass provide  a durable product 
marking , especially on the glass bulb of lamps. The marking serves  several purposes  
such as CE and WE EE marking, identifying the producer and the lamp type and 
wattage, which is relevant for safety, correct lamp replacement and recycling.  The 
durability of the marking is important to maintain the legibility of product markings 
throughout product -lifetime,  as required by legislations and product safety standards . 
 Lead provides essential properties such as good adhesion, lower enamelling 
temperatures, higher durability and opacity.  Cadmium is used to achieve certain hues 
of the enamel in various application areas, including applications for safety and 
warning purposes where certain hues are considered to increase visibility. Cadmium 
also provides important filtering functions.  
 Currently, a substitution or elimination of lead and cadmium  is still scientifically and 
technically impracticable in certain applications . 
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 21 in 
Annex III. Since reliable alternatives are  still not  available  for certain applications, the 
renewal of the exemption  with amended wording  creat ing separate subentries for respective 
substances (lead and cadmium) and  reflect ing the current status of a lternative technologies  is 
justified . The exemption renewals granted by the  subentries shall be valid until 21 July 2021 . 
The granted validity period is  not expected to have adverse impacts on innovation . Where 
                                                                                                                                                         
electronic tools; 7. Toys, leisure and sports equipment; 10. Automatic dispensers. EEE c ategories are 
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/   
7 The c onsultations were carried out in written  form from 27 April until 18 May  2017.  
8 A list of  the required administrative  steps is available on the Commission website . Current stage of the 
procedure can be viewed for e ach draft delegated act in the Interinstitutional Registry of Delegated Acts 
at https://webgate.ec.europa.eu/regdel/#/home .   
EN 3  EN reliable substitution is available , limited socioeconomic impacts on certain manufacturers in 
form of necessary investment related to equipment adjustment s are possible . For categories 
other than categories 1 to 7 and 10, the existing exemption remains as per the validity periods 
set out in A rticle 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 Directi ve 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 and cadmium  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 approximate 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 proposal has no implications for the EU budget.  
  
EN 4  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 and cadmium in printing inks for the application of enamels on 
glasses  
(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 Par liament 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)(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 certain hazardous substances  listed 
in Annex II to that Directive.  That requirement does not apply to the applications 
listed in Annex III to Directive 2011/65/EU.  
(2) The different categories of electrical and electronic equipment for which Directive 
2011/65/EU applies (categories 1 to 11) are listed in Annex I to that Directive.  
(3) Lead and cadmium are restricted substance s listed in Annex II to Directive 
2011/65/EU. The use  of lead and cadmium in certain printing applications  for glasses  
was, however, exempted from the restriction and is currently listed in entry 21 o f 
Annex III to that Directive. The expiry date of that exemption was, for categories 1 to 
7 and 10, 21 July 2016 .  
(4) The Commission received an application for renewal of that exemption before 
21 January  2015 , in accordance with Article 5(5) of Directive  2011/65/EU.  The 
exemption remains  valid until a decision on that application has been adopted.  
(5) Lead and cadmium in printing inks applied to glass provide a durable product 
marking, especially on the glass bulb of lamps. The marking serves several purposes 
such as European conformity ( CE) and Waste Electrical and Electronic Equipment 
(WEEE ) marking, identifying the producer and the lamp type and wattage, which is 
relevant for safety, correct lamp replacement and recycling. The durability of the 
marking is important to maintain the legibility of product markings throughout 
product -lifetime, as required  by legislations and product safety standards.  
(6) Lead provides essential properties such as good adhesion, lower enamelling 
temperatures, higher durability and opacity.  
                                                 
1 OJ L 174, 1.7.2011, p. 88.   
EN 5  EN (7) Cadmium is used to achieve certain hues of the enamel in various application are as, 
including applications for safety and warning purposes where certain hues are 
considered to increase visibility. It also provides important filtering functions.  
(8) A substitution or elimination of lead is still scientifically and technically impracticable 
for certain application s covered by the current exemption with regard to categories 1 
to 4, 6, 7 and 10 due to the lack of reliable substitutes . The exemption does n ot 
weaken the environmental and health protection afforded by Regulation (EC) No 
1907/2006 of the European Parliament and of the Council2. The exemption should 
therefore be renewed for those particular applications and categories.  
(9) A substitution or el imination of cadmium is still scientifically and technically 
impracticable for certain applications covered by the current exemption with regard to 
categories 1 to 7 and 10  due to the lack of reliable substitutes . The exemption does not 
weaken the environm ental and health protection afforded by Regulation (EC) No 
1907/2006 . The exemption should therefore be renewed for those particular 
applications and categories.  
(10) For all other applications currently covered by the exemption, the conditions for 
renewal  are not fulfilled. The exemption for those applications should continue to 
apply for 12 months after the date of entry into force of this Delegated D irective in 
accordance with Article 5(6) of Directive 20 11/65/EU.  
(11) Since for the lead containing appli cations concerned by the renewal, no reliable 
alternatives are  available  on the market, the exemption for those applications should 
be renewed for categories 1 to 4, 6, 7 and 10 for the maximum duration of five years 
until 21 July 2021 . In view of the resu lts of the ongoing efforts to find a reliable  
substitution , the duration of th e exemption is unlikely to have adverse impacts on 
innovation . 
(12) Since for the cadmium containing applications concerned by the renewal, no reliable 
alternatives are  available  on the market, the exemption for those applications should 
be renewed for categories 1 to 7 and 10 for the maximum duration of five years until 
21 July 2021 . In view of the results of the ongoing efforts to find a reliable  
substitution , the duration of th e exemption is unlikely to have adverse impacts on 
innovation . 
(13) For categories other than 1 to 7 and 10 , the existing exemption remains valid as per the 
validity periods set out in the second subparagraph of Article 5(2) of Directive 
2011/65/EU . For re asons of clarity, the dates of expiry should be added in Annex III to 
that Directive.  
(14) 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.  
                                                 
2 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) and 
establishing a European Chemicals Agency (OJ L 396, 30.12.2006, p. 1).   
EN 6  EN Article 2 
1. Member States shall adopt and publish, by [the last day of the 1 2th month after the 
date of entry into force of this Directive ] at the latest, the laws, regulations and 
administrative provisions necessary to comply wit h 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 1 2th month after the date 
of entry into force of this Directive  + 1 day ]. 
When Member States adop t 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 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 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 at Brussels,  
 For the Commission  
 The President  
 […]