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 as an alloying element in aluminium  
(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 for ce 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 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 equip ment (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  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 substitutes is not en sured; 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 Commissi on (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 procedure for submitt ing 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 6(b) permits the use of lead as an alloying element in 
aluminium containing up to 0 ,4 % lead by weight . The Commission received two application s 
for renewal of this exemption in December  2014 and January  2015 . While e xemption 6(b) had 
21 July 2016  as expir ation date  for categories 1 to 7 and 104, in line with the requirements of 
                                                 
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 
telecomm unications equipment; 4. Consumer equipment; 5. Lighting equipment; 6. Electrical and EN 3   EN the RoHS Directive  (Article 5(5), second subparagraph ), 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. Five contributions were made to the 
stakeholder consultation.  
The final report containing the assessment of the application was published6; stakeholders 
were notified.  
Subsequentl y, 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 draf t 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 Articles 5(3) 
to 5(7) have been performed. Due to the large amount of simultaneous exemp tion 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 : 
 The use of leaded aluminium  alloys can be differentiated into aluminium  alloys 
where the lead content is unintentional  due to the use of secondary raw material f rom 
aluminium scrap (cast alloys) and into aluminium alloys  (wrought alloys) , where 
lead is intentional ly added for machining purposes.  
 As for the unintentional presence of lead, its elimination from the aluminium  
recycling stream is not yet technically pr acticable . Furthermore, the recycling of 
aluminium requires about 95% less energy than that require d to produce primary 
aluminium. T hus the use of recycled aluminium  results in a significantly lower 
environmental impact due to the reduced energy consumptio n.  
 As for lead in aluminium alloys for machining purposes, lead-free substitutes have 
been  recently made available on the market for which reliability is claimed by certain 
alloy producers. However, further assessments  are necessary on to  what degree  these 
new developments and subsequently a broad range substitution are practicable .  
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 en try 6(b) in 
Annex III. To reflect the  difference between aluminium alloys where lead is not intentionally 
introduced and aluminium alloys where lead is added to obtain certain properties as 
recommended by the consultant, the current  wording of the exemption  6(b) has been  
accordingly  split in two subentries . In case of unintentional presence of lead  stemming from 
lead-bearing aluminium scrap recycling , the impracticability of lead elimination and the lower 
environment al impact of recy cled aluminium justifies granting an exemption until 21 July 
2021 . Regarding lead in aluminium alloys for machining purposes, it is proposed to grant an 
exemption with the duration of three years after the publication of the Delegated Directive in 
                                                                                                                                                         
electronic tools; 7. Toys, leisure and sports equipment; 10. Automatic dispensers. EEE categories are 
listed in Annex I of 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 -restri ctions -in-electrical -and-
electronic -equipment -pbKH0416554/ . EN 4   EN the Offi cial Journal to allow the industry to carry out necessary assessment s of the 
performance of lead -free alternatives available on the market and adapt to possible changes. 
As reliable substitutes are not yet available, no negative socioeconomic impacts of 
substitution are to be anticipated for th e stated exemption period. It is also 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 Arti cle 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 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 Annex es 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 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 as an alloying element in aluminium  
(Text with EEA relevance)  
THE EUROPEAN COMMISSION,  
Having regard to the Treaty on the Functioning of the European Union,  
Having re gard 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 equipment7 and in particular Article 5(1)(a) thereof , 
Whereas:  
(1) Directiv e 2011/65/EU requires Member States to ensure that electrical and electronic 
equipment placed on the market does not contain lead. 
(2) Point 6(b) of Annex III to Directive 2011/65/EU exempted the use of lead as an 
alloying element in aluminium containing up to 0 ,4 % lead by weight 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) Lead is intenti onally  added to aluminium as a machinability enh ancer for industrial 
production . Certain lead-free alternatives have been recently made available on the 
market . The  technical practicability and reliability of these alternatives are still 
unclear . 
(4) Furthermore, while lead -bearing aluminium scrap recycling is environmentally 
advantageous, the elimination of this unintentionally introduced lead from the 
aluminium recycling stream is not yet technically practicable.  
(5) Aluminium alloys where lead is no t intentionally introduced and aluminium alloys , 
where lead is added to obtain certain properties  should be differentiated in the wording 
of point  6(b) of Annex III  to Directive 2011/65/EU , in accordance with Article 5(1)(a) 
of that Directive . 
(6) In case of unintentional presence of lead  stemming from lead-bearing aluminium scrap 
recycling , the impracticability of lead elimination and the lower environmental impact 
of recycled aluminium justifies granting an exemption until 21 July 2021  for 
categories 1 to  7 and 10 . Regarding lead in aluminium alloys for machining purposes, 
an exemption for categories 1 to 7 and 10  with the duration of three ye ars after the 
publication of this  Directive in the Official Journal  of the European Union  should  be 
granted to allow the industry to carry out necessary assessments of the performance of 
lead-free alternatives available on the market and adapt to possible changes.  For 
                                                 
7 OJ L 174, 1.7.2011, p. 88.  EN 6   EN 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,   
 
HAS ADOPTED THIS DIRECTIVE:  
Article 1  
Annex III to Directive 2011/65/EU is amended as s et 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. Member States shall determine how such reference is to be made.  
2. Member States sha ll 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  
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