EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, 10.12.2020  
COM(2020) 798 final  
ANNEXES 1 to 14  
 
ANNEXES  
to the  
Proposal for a Regulation of the European Parliament and of the Council  
concerning batteries and waste batteries, repealing Directive 2006/66/EC and amending 
Regulation (EU) No 2019/1020             
 
{SEC(2020)  420 final}  - {SWD(2020)  334 final}  - {SWD(2020)  335 final}   
   
EN 1  EN ANNEX I  Restrictions on hazardous substances  ................................ ................................ ...... 2 
ANNEX  II  Carbon footprint  ................................ ................................ ................................ ...... 3 
ANNEX III  Electrochemical performance and durability parameters for portable batteries of 
general use  ................................ ................................ ................................ ....................  7 
ANNEX IV  Electrochemical performance and durability requirements for rechargeable 
industrial batteries and electric vehicle batteries  ................................ .........................  8 
ANNEX V  Safety parame ters ................................ ................................ ................................ ... 9 
ANNEX VI  Labelling requirements ................................ ................................ ........................  11 
ANNEX VII  Parameters for determining the state of health of batteries and expected lifetime 
of batteries  ................................ ................................ ................................ ..................  12 
ANNEX VIII  Conformity assessment procedures  ................................ ................................ .. 13 
ANNEX IX  EU Declaration of conformity No …  ................................ ................................ .. 16 
ANNEX X  List of raw materials and risk categories  ................................ ..............................  17 
ANNEX XI  Calculation of collection rates of waste portable batteries  ................................ . 18 
ANNEX XII  Treatment and recycling requirements  ................................ ..............................  19 
ANNEX XIII  Information to be stored in the Eu ropean Electronic Exchange System  ..........  21 
ANNEX XIV  Correlation table  ................................ ................................ ...............................  23  
EN 2  EN ANNEX I  
Restrictions on hazardous substances  
Designation of the substance or 
group of substances  Conditions of restriction  
1. Mercury  
CAS No. 7439 -97-6 
EC No. 231-106-7 and its 
compounds  1. Batteries, whether or not incorporated 
into appliances, shall not contain more 
than 0,0005 % of mercury (expressed as 
mercury metal) by weight.  
2. Batteries used in vehicles to which 
Directive 2000/53/EC applies shall not 
contain more than 0,1% of mercury 
(expressed as mercury metal) by weight 
in homogeneous material.  
2. Cadmium  
CAS No. 7440 -43-9 
EC No. 231 -152-8 and its 
compounds  1. Portable batteries, whether or not 
incorporated into appliances, shall 
not contain more than 0,002% o f 
cadmium (expressed as cadmium metal) 
by weight.  
2. The restriction set out in point  1 shall 
not apply to portable batteries intended 
for use in:  
(a) emergency and alarm systems, 
including emergency lighting;  
(b) medical equipment.  
3. Batteries used in vehicles to whi ch 
Directive 2000/53/EC applies shall not 
contain  more than 0,01% of cadmium 
(expressed as cadmium metal) by 
weight in homogeneous material.  
4. The restriction set out in point 3 does 
not apply to vehicles that benefit from 
an exemption on the basis of Annex  II 
to Directive 2000/53/EC.  
   
EN 3  EN ANNEX II  
Carbon footprint  
1. Definitions  
For the purposes of this Annex, the following definitions shall apply:  
(a) ‘Activity data’ means the information associated with processes while modelling 
Life Cycle Inventories (LCI). The aggregated LCI results of the process chains that 
represent the activities of a process are each multiplied by the corresponding activity 
data and then combined to derive the environmental footprint associated with that 
process;  
(b) ‘Bill of materials’ means l ist of the raw materials, sub -assemblies, intermediate 
assemblies, sub -components, parts and the quantities of each needed to manufacture 
the product in scope of the study;  
(c) ‘Company -specific data’ refers to directly measured or collected data from one or 
multiple facilities (site -specific data) that are representative for the activities of the 
company. It is synonymous to “primary data”;  
(d) ‘Functional unit’ means the qualitative and quantitative aspects of the function(s) 
and/or service(s) provided by the pr oduct being evaluated;  
(e) ‘Life cycle’ means the consecutive and interlinked stages of a product system, from 
raw material acquisition or generation from natural resources to final disposal (ISO 
14040:2006);  
(f) ‘Life cycle inventory (LCI)’ means the combined set  of exchanges of elementary, 
waste and product flows in a LCI dataset;  
(g) ‘Life cycle inventory (LCI) dataset’ means a document or file with life cycle 
information of a specified product or other reference (e.g., site, process), covering 
descriptive metadata and quantitative life cycle inventory. A LCI dataset could be a 
unit process dataset, partially aggregated or an aggregated dataset;  
(h) ‘Reference flow’ means the measure of the outputs from processes in a given product 
system required to fulfil the function expressed by the functional unit (based on ISO 
14040:2006);  
(i) ‘Secondary data’ means data not from a specific process within the supply -chain of 
the company performing a carbon footprint study. This refers to data that is not 
directly collected, measured, or  estimated by the company, but sourced from a third 
party LCI database or other sources. Secondary data includes industry average data 
(e.g., from published production data, government statistics, and industry 
associations), literature studies, engineering  studies and patents, and may also be 
based on financial data, and contain proxy data, and other generic data. Primary data 
that go through a horizontal aggregation step are considered as secondary data;  
(j) ‘System boundary’ means the aspects included or excl uded from the life cycle study.  
Additionally, the harmonised rules for the calculation of the carbon footprint of batteries shall 
include any further definition necessary for their interpretation.  
2. Scope  
This Annex provides essential elements on how to calc ulate the carbon footprint.  
The harmonised calculation rules referred to in Article 7 shall build on the essential elements 
included in this Annex, be in compliance with the latest version of the Commission Product  
EN 4  EN Environmental Footprint1 (PEF) method and  relevant Product Environmental Footprint 
Category Rules (PEFCRs)2 and reflect the international agreements and technical/scientific 
progress in the area of life cycle assessment3. 
The calculation of the life cycle carbon footprint shall be based on the bi ll of material, the 
energy, and auxiliary materials used in a specific plant to produce a specific battery model. In 
particular, the electronic components (e.g. battery management units, safety units) and the 
cathode materials have to be accurately identif ied, as they may become the main contributor 
for the battery carbon footprint.  
3. Functional unit and reference flow  
The functional unit is further defined as one kWh (kilowatt -hour) of the total energy provided 
over the service life by the battery system, me asured in kWh. The total energy is obtained 
from the number of cycles multiplied by the amount of delivered energy over each cycle.  
The reference flow is the amount of product needed to fulfil the defined function and shall be 
measured in kg of battery per  kWh of the total energy required by the application over its 
service life. All quantitative input and output data collected by the manufacturer to quantify 
the carbon footprint shall be calculated in relation to this reference flow.  
4. System boundary  
The fo llowing life cycle stages and processes shall be included in the system boundary:  
Life cycle stage  Short description of the processes included  
Raw material acquisition and pre -processing  Includes mining and pre -processing, up to the 
manufacturing of battery cells and batteries 
components (active materials, separator, 
electrolyte, casings, active and passive 
battery components), and electric/electronics 
components.  
Main product production  Assembly of battery cells and assembly of 
batteries with the ba ttery cells and the 
electric/electronic components  
Distribution  Transport to the point of sale  
End of life and recycling  Collection, dismantling and recycling  
The following processes shall be excluded:  
 Manufacturing of equipment for batteries assembly and recycling, as impacts have 
been calculated as negligible in the PEFCRs for high specific energy rechargeable 
batteries for mobile applications;  
 Battery assembly process with the original equipment manufacturer (OEM) system 
components. It mainly corresp onds to mechanical assembly, and it is included inside 
the OEM equipment or vehicle assembly line. The specific energy or material 
consumption for this process are negligible when compared to the manufacturing 
process of OEM components.  
The use phase shoul d be excluded from the lifecycle carbon footprint calculations, as not 
being under the direct influence of manufacturers unless it is demonstrated that choices made 
                                                 
1 https://eur -lex.europa.eu/legal -content/EN/TXT/PDF/?uri=CELEX:32013H0179 &from=EN  
2 https://ec.europa.eu/environment/eussd/smgp/pdf/PEFCR_guidance_v6.3.pdf  
3 See https://ec.europa.eu/environment/eussd/smgp/dev_methods.htm   
EN 5  EN by battery manufacturers at the design stage can make a non -negligible contribution to this  
impact.  
5. Use of company specific and secondary datasets  
Due to the high number of battery components and the complexity of the processes, the 
economic operator shall limit, where justified, the use of company specific data to process and 
component analysi s to the battery -specific parts.  
In particular, all activity data related to the battery’s anode, cathode, electrolyte, separator and 
cell-casing shall refer to a specific battery model produced in a specific production plant (i.e., 
no default activity da ta shall be used). The battery -specific activity data shall be used in 
combination with the relevant Product Environmental Footprint compliant secondary datasets.  
As the carbon footprint declaration shall be specific to a model battery produced in a define d 
production site, sampling of data collected from different plants producing the same battery 
model should not be allowed.  
A change in the bill of materials or energy mix used to produce a battery model requires a 
new calculation of the carbon footprint for that battery model.  
The harmonised rules to be elaborated via a delegated act shall include detailed modelling of 
the following lifecycle stages:  
 Raw material acquisition and pre -processing stage  
 Production stage  
 Distribution  
 Own electricity production   
 End of life stage  
6. Carbon footprint impact assessment  
The carbon footprint of the battery shall be calculated using the “climate change” life cycle 
impact assessment method recommended in the 2019 Joint Research Centre (JRC) report 
available at https://eplca.jrc.ec.europa.eu/permalink/PEF_method.pdf  . 
The results shall be provided as characterised results (without normalisation and weighting). 
The list of characterization factors to b e used is available at 
https://eplca.jrc.ec.europa.eu/EnviromentalFootprint.html . 
7. Offsets  
Offsets are calculated relative to a baseline that represents a hypothetical scenario for wh at 
emissions would have been in the absence of the mitigation project that generates the offsets.  
Offsets shall not be included in the carbon footprint declaration, but may be reported 
separately as additional environmental information and used for commun ication purposes.  
8. Carbon footprint performance classes  
Depending on the distribution of the values of the batteries’ carbon footprint declarations 
placed in the EU internal market, a meaningful number of classes of performance will be 
identified, with cate gory A being the best class with the lowest carbon footprint life cycle 
impact, to allow for market differentiation.  
The identification of the threshold for each class of performance, as well as their width, will 
be based on the distribution of performanc es of the batteries placed on the market in the  
EN 6  EN previous 3 years, the expected technological improvements, and other technical factors to be 
identified.  
The Commission shall review the number of performance classes and the thresholds between 
them every thr ee years in order to keep them representative of the market reality and its 
expected development.  
9. Maximum carbon thresholds  
Based on the information collected through the carbon footprint declarations and the relative 
distribution of the carbon footprint p erformance classes of battery models placed on the 
market, and taking into account the scientific and technical progress in the field, the 
Commission will identify maximum lifecycle carbon footprint thresholds for rechargeable 
industrial and electric vehic le batteries , further to a dedicated impact assessment to determine 
those values . 
In proposing maximum carbon footprint thresholds, the Commission will take into account 
the relative distribution of the carbon footprint values in batteries on the market, t he extent of 
progress in the reduction of carbon footprint of batteries placed on the Union market and the 
effective and potential contribution of this measure to the Union’s objectives on sustainable 
mobility and climate neutrality by 2050.  
   
EN 7  EN ANNEX III  
Electrochemical performance and durability parameters for portable batteries of 
general use  
1. Battery capacity, electric charge which a battery can deliver under a specific set of 
conditions.  
2. Minimum average duration, minimum average time on discharge when use d in 
specific applications, depending on the type of battery.  
3. Shelf life (delayed discharge performance), the relative decrease of the minimum 
average duration after a defined period of time and specific conditions.  
4. Endurance in cycles (for rechargeable batteries), the capacity of the battery after a 
pre-established number of charge and discharge cycles.  
5. Resistance to leakage, i.e. resistance to unplanned escape of electrolyte, gas or other 
material (poor, good or excellent).  
   
EN 8  EN ANNEX IV  
Electrochemical performance and durability requirements for rechargeable industrial 
batteries and electric vehicle batteries  
Part A  
Parameters related to the electrochemical performance and durability  
1. Rated capacity (in Ah) and capacity fade (in %).  
2. Power (in W) and power  fade (in %).  
3. Internal resistance (in ꭥ) and internal resistance increase (in %).  
4. Energy round trip efficiency and its fade (in %).  
5. An indication of their expected life -time under the conditions for which they have 
been designed.  
 ‘Rated capacity ’ means th e total number of ampere -hours (Ah) that can be withdrawn from a 
fully charged battery under specific conditions.  
‘Capacity fade ’ means the decrease over time and upon usage in the amount of charge that a 
battery can deliver at the rated voltage, with resp ect to the original rated capacity declared by 
the manufacturer.  
‘Power’ means the amount of energy that a battery is capable to provide over a given period 
of time.  
‘Power fade’  means the decrease over time and upon usage in the amount of power that a 
battery can deliver at the rated voltage.  
‘Internal resistance ’ means the opposition to the flow of current within a cell or a battery, that 
is, the sum of electronic resistance and ionic resistance to the contribution to total effective 
resistance including inductive/capacitive properties.  
‘Energy round trip efficiency ’ means the ratio of the net energy delivered by a battery during 
a discharge test to the total energy required to restore the initial State of Charge by a standard 
charge.  
Part B  
Elements for e xplanation of the measurements made for parameters listed in Part A  
1. Applied discharge rate and charge rate.  
2. Ratio between maximum allowed battery power (W) and battery energy (Wh).  
3. Depth of discharge  in the cycle -life test.  
4. Power capability at 80% and 20%  state of charge.  
5. Any calculations performed with the measured parameters, if applicable.  
  
EN 9  EN ANNEX V  
Safety parameters  
1. Thermal shock and cycling  
This test shall be designed to evaluate changes in the integrity of the battery arising from 
expansion and contraction of cell components upon exposure to extreme and sudden changes 
in temperature and potential consequences of such changes. During a thermal shock the 
battery shall be exposed to two temperature limits and held at each temperat ure limit for a 
specified period of time.  
2. External short circuit protection  
This test shall evaluate the safety performance of a battery when applying an external short 
circuit. The test can evaluate the activation of the overcurrent protection device or t he ability 
of cells to withstand the current without reaching a hazardous situation (e.g. thermal runaway, 
explosion, fire). The main risk factors are heat generation at cell level and electrical arcing 
which may damage circuitry or may lead to reduced iso lation resistance.  
3. Overcharge protection  
This test shall evaluate the safety performance of a battery in overcharge situations. The main 
safety risks during overcharge are the decomposition of the electrolyte, cathode and anode 
breakdown, exothermic decomp osition of the solid electrolyte interphase (SEI) layer, 
separator degradation, and the Li plating, which can lead to self -heating of the battery and 
thermal runaway. The factors affecting the outcome of the test shall include, at least, the 
charging rate and the finally reached state -of-charge (SOC). The protection can be ensured by 
either voltage control (interruption after reaching the limit charging voltage) or current control 
(interruption after exceeding maximum charging current).  
4. Over -discharge prote ction  
This test shall evaluate the safety performance of a battery in over -discharge situations. Safety 
risks during over -discharge include polarity reversal leading to oxidation of the anode current 
collector (Copper) and to plating on the cathode side. E ven minor over -discharge may cause 
dendrite formation and finally short circuit.  
5. Over -temperature protection  
This test shall evaluate the effect of temperature control failure or failure of other protection 
features against internal overheating during ope ration.  
6. Thermal propagation  
This test shall evaluate the safety performance of a battery in thermal propagation situations. 
A thermal runaway in one cell can cause a cascading reaction through the entire battery which 
can be composed of numerous cells. It  can lead to severe consequences including a significant 
gas release. The test shall take into account the tests under development for transport 
applications by ISO and UN GTR.  
7. Mechanical damage by external forces (drop and impact)  
These tests shall simulate one or more situations in which a battery accidentally drops or is 
impacted by a heavy load and remains operational for the purpose for which it was designed. 
The criteria to simulate these situations should reflect real life use s.   
EN 10  EN 8. Internal short circuit  
This test shall evaluate the safety performance of a battery in internal short -circuit situations 
The occurrence of internal short circuits, one of the main concerns for battery manufacturers, 
potentially leads to venting, therma l runaway, along with sparking which can ignite the 
electrolyte vapours escaping from the cell. The generation of these internal shorts can be 
triggered by manufacturing imperfections, presence of impurities in the cells or dendritic 
growth of lithium, and  leads to most of in -field safety incidents. Multiple internal short 
circuits scenarios are possible (e.g. electrical contact of cathode/anode, aluminium current 
collector/copper current collector, aluminium current collector /anode) each with a different 
contact resistance.  
9. Thermal abuse  
During this test, the battery shall exposed to elevated temperatures (in IEC 62619 this is 
85 °C) which can trigger exothermal decomposition reactions and lead to a thermal runaway 
of the cell.  
Proper considerations to t he risk of toxic gases emitted from non -aqueous electrolytes should 
be made for all safety parameters listed in points 1 to 9.   
EN 11  EN ANNEX VI  
Labelling requirements  
Part A  
General information about batteries  
Information on the label of batteries:  
1. the manufacturer’s name, registered trade name or trade mark;  
2. the battery type, batch or serial number of the battery or other element allowing its 
unequivocal identification;  
3. battery model identifier;  
4. date of manufacture;  
5. date of placing on the market;  
6. chemi stry; 
7. hazardous substances contained in the battery other than mercury, cadmium or lead;  
8. critical raw materials contained in the battery.  
Part B  
Symbol for separate collection of batteries  
 
 
Part C  
QR code  
The QR code shall be 100% black and of a size tha t is easily readable by a commonly 
available QR reader, such as those integrated in hand -held communication devices.  
 
EN 12  EN ANNEX VII  
Parameters for determining the state of health of batteries and expected lifetime of 
batteries  
Parameters for determining the st ate of health of batteries:  
1. Remaining capacity;  
2. Overall capacity fade;  
3. Remaining power capability and power fade;  
4. Remaining round trip efficiency;  
5. Actual cooling demand;  
6. Evolution of self -discharging rates;  
7. Ohmic resistance and/or electrochemical impedance.  
Parameters for determining the expected lifetime of batteries:  
1. The dates of manufacturing of the battery and putting into service;  
2. Energy throughput;  
3. Capacity throughput.  
   
EN 13  EN ANNEX VIII  
Conformity assessment procedures  
Part A  
MODULE A - INTERNAL PRODUCTION CONTROL  
1. Description of the module  
Internal production control is the conformity assessment procedure whereby the manufacturer 
fulfils the obligations laid down in points 2, 3 and 4, and ensures and declares that the battery 
satisfies the require ments set out in Articles 6, 9, 10, 11, 12, 13 and 14 that apply to them.  
2. Technical documentation  
The manufacturer shall draw up the technical documentation. The documentation shall make 
it possible to assess the battery’s conformity with the relevant req uirements referred to in 
point 1.  
The technical documentation shall specify the applicable requirements and cover, as far as 
relevant for the assessment, the design, manufacture and intended use of the battery. The 
technical documentation shall contain, wh ere applicable, at least the following elements:  
(a) a general description of the battery and its intended use;  
(b) conceptual design and manufacturing drawings and schemes of components, sub -
assemblies, circuits;  
(c) descriptions and explanations necessary for the u nderstanding of the drawings and 
schemes referred to in point (b) and the operation of the battery;  
(d) a list which includes:  
(i) the harmonised standards referred to in Article 15, applied in full or in part;  
(ii) the common specifications referred to in Art icle 16, applied in full or in part;  
(iii) other relevant technical specifications used for measurement or calculation 
purposes;  
(iv) an indication of which parts of the harmonised standards referred to in point (i) 
and the common specifications referred to in point (ii) that have been applied;  
(v) where the harmonised standards referred to in point (i) and the common 
specifications referred to in point (ii)  have not been applied, a description of 
the solutions adopted to meet the requirements referred to  in point 1.  
(e) test reports.  
3. Manufacturing  
The manufacturer shall take all measures necessary so that the manufacturing process and its 
monitoring ensure compliance of the battery with the technical documentation referred to in 
point 2 and with the requireme nts referred to in point 1.  
4. CE marking and EU declaration of conformity  
The manufacturer shall affix the CE marking to each individual packaging of the battery 
model that satisfies the requirements referred to in point 1, or, where it is supplied without 
packaging, in a document accompanying the battery model.  
The manufacturer shall draw up an EU declaration of conformity for each battery model in 
accordance with Article 18 and keep it together with the technical documentation at the  
EN 14  EN disposal of the nation al authorities for ten years after the last battery belonging to the 
respective battery model has been placed on the market.  
A copy of the EU declaration of conformity shall be made available to the relevant authorities 
of the Member States upon request.  
5. Authorised representative  
The manufacturer’s obligations set out in point 4 may be fulfilled by his or her authorised 
representative, on his or her behalf and under his or her responsibility, provided that they are 
specified in the mandate.  
Part B  
MODULE A 1 - INTERNAL PRODUCTION CONTROL PLUS SUPERVISED 
VERIFICATION  
1. Description of the module  
Internal production control plus supervised verification is the conformity assessment 
procedure whereby the manufacturer fulfils the obligations laid down in points 2, 3, 4, and 5, 
and ensures and declares that the battery satisfy the requirements set out in Articles 7, 8 and 
39 that are applicable.  
2. Technical documentation  
The manufacturer  shall draw up the technical documentation. The documentation shall make 
it possib le to assess the battery’s conformity with the requirements referred to in point 1, and 
shall include an adequate analysis and assessment of the risk(s).  
The technical documentation shall specify the applicable requirements referred to in point 1  
and cov er, as far as relevant for the assessment, the design, manufacture and operation of the 
battery. The technical documentation shall contain, wherever applicable, at least the following 
elements:  
(a) a general description of the battery;  
(b) conceptual design and ma nufacturing drawings and schemes of components, sub -
assemblies, circuits.;  
(c) descriptions and explanations necessary for the understanding of the drawings and 
schemes referred to in point (b) and the operation of the battery;test reports.  
3. Manufacturing  
The manufacturer or the importer that places the battery on the Union market shall take all 
measures necessary so that the manufacturing process and its monitoring ensure compliance 
of the manufactured products with the technical documentation referred to in p oint 2 and with 
the applicable requirements referred to in point 1.  
4. Product and information checks  
For each battery model, and where applicable, for each batch that the manufacturer or the 
importer places on the Union market, the  mentioned economic operat or shall carry out one or 
more tests on one or more specific aspects of the battery model or batch of batteriesin order to 
verify conformity with the corresponding requirements referred to in point 1. For large battery 
batches, the manufacturer, the author ised representative or the importer shall choose a 
statistically representative sample of batteries.  
The manufacturer, or the importer that places the battery model on the Union market, shall 
submit the information and documents referred to in Articles 7,  8 and 39 of this Regulation to  
EN 15  EN the notified body for verification of compliance with the applicable requirements and 
obligations in those Articles, as well as in applicable implementing measures.  
5. CE marking and EU declaration of conformity  
The manufactur ershall affix the CE marking and, under the responsibility of the notified body 
referred to in point 4, the latter’s identification number to each battery, or to the packaging 
thereof, that satisfies the applicable requirements of this Regulation.  
The man ufacturer shall draw up a an EU declaration of conformity for each battery model in 
accordance with Article 18 and keep it together with the technical documentation at the 
disposal of the national authorities for ten years after the last battery belonging to the 
respective model has been placed on the market.  
A copy of the EU declaration of conformity shall be made available to the relevant authorities 
of Member States upon request.  
6. Authorised representative  
The manufacturer's obligations set out in points  4 and 5 may be fulfilled by the 
manufacturer’s authorised representative, on the manufacturer’s behalf and under the 
manufacturer’s responsibility, provided that they are specified in the mandate.  
  
EN 16  EN ANNEX IX  
EU Declaration of conformity  No …  
1. Battery model (product, type, batch or serial number):  
2. Name and address of the manufacturer and, where applicable, his authorised 
representative  
3. This declaration of conformity is issued under the sole responsibility of the 
manufacturer  
4. Object of the declaration (identification of the battery allowing traceability): 
description of the battery.  
5. The object of the declaration described in point 4 is in conformity with the relevant 
Union harmonisation legislation: … (reference to the other Union acts appli ed). 
6. References to the relevant harmonised standards or the common specifications used 
or references to the other technical specifications in relation to which conformity is 
declared:  
7. The notified body … (name, address, number) … performed … (description o f 
intervention) … and issued the certificate(s): … (details, including its date, and, 
where appropriate, information on the duration and conditions of its validity).  
8. Additional information  
Signed for and on behalf of:  
(place and date of issue):  
(name, func tion) (signature)  
   
EN 17  EN ANNEX X  
List of raw materials and risk categories   
1. Raw materials:  
(a) cobalt;  
(b) natural graphite;  
(c) lithium;  
(d) nickel;  
(e) chemical compounds based on the raw materials listed in points (a) to (f) which 
are necessary for the manufacturing of the act ive materials of batteries.  
2. Social and environmental risk categories:  
(a) air; 
(b) water;  
(c) soil; 
(d) biodiversity;  
(e) human health;  
(f) occupational health and safety;  
(g) labour rights, including child labour;  
(h) human rights;  
(i) community life.  
3. The international instruments covering  the risks referred to in point 2 include:  
(a) Ten Principles of the United Nations Global Compact;  
(b) UNEP Guidelines for Social Life Cycle Assessment of Products;  
(c) Convention on Biological Diversity Decision COP VIII/28 - Voluntary 
guidelines on Biodiversity -Inclusive impact assessment;  
(d) ILO Tripartite Declaration of   Principles concerning Multinational Enterprises 
and Social Policy;    
(e) OECD Due Diligence Guidance for Responsible Business Conduct; and  
(f) OECD Due Diligence Guidance for Responsible Supply Chains of M inerals 
from Conflict -Affected and High -Risk Areas.  
 
   
EN 18  EN ANNEX XI  
Calculation of collection rates of waste portable batteries  
1. Producers or, where appointed in accordance with Article 47(2), producer 
responsibility organisations acting on their behalf, and Me mber States shall calculate 
the collection rate as the percentage obtained by dividing the weight of waste 
portable batteries excluding waste batteries from light means of transport, collected 
in accordance with Article 48 and Article  55, respectively, in a given calendar year in 
a Member State by the average weight of such batteries that producers either sell 
directly to end -users or deliver to third parties in order to sell them to end -users in 
that Member State during that year and the preceding two cale ndar years.  
2. Producers or, where appointed in accordance with Article 47(2), producer 
responsibility organisations acting on their behalf, and Member States shall calculate 
the annual sales of portable batteries, excluding  batteries from light means of 
transport, to end -users in a given year, as the weight of such batteries made available 
on the market  for the first time withinthe territory of the Member State in the year 
concerned, excluding any portable batteries that have left the territory of that 
Mem ber State in that year before being sold to the end users.  
3. For each battery, only the first time it is made available on the market in a Member 
State shall be counted.  
4. The calculation provided for in points 2 and 3 shall be based on collected data or 
statistically significant estimates based on collected data.   
EN 19  EN ANNEX XII  
Treatment and recycling requirements  
Part A  
Treatment requirements  
1. Treatment shall, as a minimum, include removal of all fluids and acids.  
2. Treatment and any storage, including temporary storage, at treatment facilities shall 
take place in sites with impermeable surfaces and suitable weatherproof covering or 
in suitable containers.  
3. Waste batteries in treatment facilities shall be stored in such a way that waste 
batterie s are not mixed with waste from conductive or combustible materials.  
4. Special precautions and safety measures shall be in place for the treatment of waste 
lithium based batteries that shall be protected from exposure to excessive heat, water, 
or any crushin g or physical damage during handling, sorting and storage.  
Part B  
Recycling efficiencies  
1. No later than 1 January 2025, recycling processes shall achieve the following 
minimum recycling efficiencies:  
(a) recycling of 75 % by average weight of lead -acid batteri es; 
(b) recycling of 65 % by average weight of lithium -based batteries;  
(c) recycling of 50 % by average weight of other waste batteries.  
2. No later than 1 January 2030, recycling processes shall achieve the following 
minimum recycling efficiencies:  
(a) recycling of 80 % by average weight of lead -acid batteries;  
(b) recycling of 70 % by average weight of lithium -based batteries.  
Part C  
Levels of recovered materials  
1. No later than 1 January 2026, all recycling processes shall achieve the following 
levels of materials recovery : 
(a) 90 % for cobalt;  
(b) 90 % for copper;  
(c) 90 % for lead;  
(d) 35 % for lithium;  
(e) 90 % for nickel.  
2. No later than 1 January 2030, all recycling processes shall achieve the following 
levels of materials recovery:  
(a) 95 % for cobalt;  
(b) 95 % for copper;  
(c) 95 % for lead;  
(d) 70 % for  lithium;   
EN 20  EN (e) 95 % for nickel.  
  
EN 21  EN ANNEX XIII  
Information to be stored in the European Electronic Exchange System  
Information and data shall be treated in accordance with Commission Decision (EU, Euratom) 
2015/4434. The specific cyber -securit y arrangements of Commission Decision (EU, Euratom) 
2017/465 and its implementing rules shall apply. The confidentiality level shall reflect the 
consequential harm that may result from disclosure of the data to unauthorised persons.  
1. PUBLICLY ACCESSIBLE PAR T OF THE SYSTEM  
Information to be stored and made available in the publicly accessible part of the system 
by the economic operator that places a battery on the market:  
(a) Battery manufacturer;  
(b) Battery type;  
(c) General description of the model, sufficient for it to be unequivocally and easily 
identified, including the date of placing in the market;  
(d) Manufacturing place and date;  
(e) Battery composition, including critical raw materials;  
(f) Carbon footprint information in the units indicated in the relevant implementing 
measure(s);  
(g) Information on responsible sourcing as indicated in the relevant implementing 
measure(s);  
(h) Recycled content information as indicated in the relevant implementing 
measure(s);  
(i) Rated capacity (in Ah);  
(j) Minimal, nominal and maximum voltage, with temper ature ranges when relevant;  
(k) Original power capability (in Watts) and limits, with temperature range when 
relevant ;  
(l) Expected battery lifetime expressed in cycles, and reference test used ;  
(m) Capacity threshold for exhaustion (only for EV batteries);  
(n) Temperature range the battery can withstand when not in use (reference test);  
(o) Period for which the commercial warranty for the calendar life applies;  
(p) Initial round trip energy efficiency and at 50% of cycle -life; 
(q) Internal battery cell and pack resistance;  
(r) C-rate of relevant cycle -life test.  
                                                 
4 Commission Decision (EU, Euratom) 2015/443 of 13 March 2015 on Security in the Commission  
(OJ L 72, 17.3. 2015, p. 41)  
5 Commission Decision (EU, Euratom) 2017/46 of 10 January 2017 on the security of communication 
and information systems in the European Commission (OJ L 6, 11.1.2017, p. 40)   
EN 22  EN 2. REQUIREMENTS FOR THE PART OF THE SYSTEM ACCESSIBLE ONLY TO 
ACCREDITED ECONOMIC OPERATORS AND THE COMMISSION  
The part of the system that shall be accessible only to accredited remanufacturers, 
second -life operators and re cyclers shall contain:  
(a) Detailed composition, including materials used in the cathode, anode and 
electrolyte;  
(b) Part numbers for components and contact details of sources for replacement 
spares;  
(c) Dismantling information, including at least:  
– Exploded diagrams o f the battery system/pack showing the location of battery 
cells,  
– Disassembly sequences,  
– Type and number of fastening techniques to be unlocked,  
– Tools required for disassembly,  
– Warnings if risk of damaging parts exist,  
– Amount of cells used and layout;  
(d) Safet y measures.  
3. REQUIREMENTS FOR THE PART OF THE SYSTEM ACCESSIBLE ONLY TO 
NOTIFIED BODIES, MARKET SURVEILLANCE AUTHORITIES AND THE 
COMMISSION  
(a) Results of tests reports proving compliance with the requirements laid out in this 
Regulation,  and its implementing or delegated measures.  
   
EN 23  EN ANNEX XIV  
Correlation table  
 
Directive 2006/66/EC  This Regulation  
Article 1  Article 1  
Article 1 first subparagarph point1  Article 1(1)  
Article 1 subparagraph 1 point 2  Article 1(1)  
Article 1, second subparagraph  --- 
Article 2  Article 1(2) and (3)  
Article 2(1)  Article 1(2)  
Article 2(2)  Article 1(3)  
Article 2(2)(a)  Article 1(3)(a)  
Article 2(2)(b)  Article 1(3)(b)  
Article 3  Article 2  
Article 3 point 1  Article 2 point 1  
Article 3 point 2  --- 
Article 3 point 3  Article 2 point 7  
Article 3 point 4  --- 
Article 3 point 5  Article 2 point 10  
Article 3 point 6  Article 2 point 11  
Article 3 point 7  Article 2 point 39  
Article 3 point 8  Article 2 point 49  
Article 3 point 9  --- 
Article 3 point10  Article 2 point 42  
Article 3  point 11  Article 2 point 23  
Article 3 point 12  Article 2 point 37  
Article 3 point 13  Article 2 point 55  
Article 3 point 14  Article 2 point 14  
Article 3 point 15  Article 2 point 19  
Article 3 point 16  --- 
Article 3 point 17  --- 
Article 4  Article 6  
Article 4(1)  Annex I  
Article 4(1)(a)  Annex I first entry point 1  
Article 4(1)(b)  Annex I  second entry points 1 to 3   
EN 24  EN Directive 2006/66/EC  This Regulation  
Article 4(2)  --- 
Article 4(3)  Annex I second entry point 2  
Article 4(3)(a)  Annex I second entry point 2 (a)  
Article 4(3)(b)  Annex I second entry point 2 (b)  
Article 4(3)(c)  --- 
Article 4(4)  --- 
Article 5  --- 
Article 6  Article 3   
Article 6(1)  Article 3(1)  
Article 6(2)  --- 
Article 7  --- 
Article 8  Article 48, Article 49, Article 50, Article 
51, Article 52, Article 53, Article 54  
Article 8(1)  Article 48  
Article 8(1)(a)  Article 48(1)(a)   
Article 48(1)(b)  
Article 8(1)(b)  Article 50  
Article 8(1)(c)  Article 49(1)  
Article 50(1)  
Article 8(1)(d)  Article 48(2)(a)(ii)  
Article 49(1)(b)  
Article 8(1), second subp aragraph  Article 48(5)  
Article 8(2)  Article 48(1)  
Article 48 (2)  
Article 8(2)(a)  Article 48(1)  
Article 48(2)  
Article 8(2)(b)  Article 48(2)  
Article 8(2)(c)  --- 
Article 8(3)  Article 49  
Article 8(4)  Article 49  
Article 9  --- 
Article 10  Article 55  
Article 10(1)  --- 
Article 10(1) second subparagraph  Article 61 (3)   
EN 25  EN Directive 2006/66/EC  This Regulation  
Article 10(2)  Article 55(1)  
Article 10(2)(a)  --- 
Article 10(2)(b)  Article 55(1)(a)  
Article 10(3)  Article 55(2), Article 62(1) second 
subparagraph  
Article 10(4)  --- 
Article 11  Article 11  
Article 11, first subparagraph  Article 11(1)  
Article 11, second subparagraph  Article 11(2)  
Article 12  Article 56  
Article 12(1)  Article 56(2)  
Article 12(1)(a)  Article 48 (1)(e) , Article 49(3)(c)  
Article 12(1)(b)  Article 57(1)  
Article 12(1), second subparagraph  --- 
Article 12(1), third subparagraph  --- 
Article 12(2)  Article 57(2)  
Article 12(3)  Article 51(3)  ; Article 56(3)  
Article 12(4)  Article 57(2)  ; Article 57(3)  
Article 12(5)  Article 61(4)(c)  ; 62(1)(c)  
Article 12(6)  Article 57(4)  
Article 13  --- 
Article 13(1)  --- 
Article 13(2)  Recital 78  
Article 14  Article 56(1)  
Article 15  Article 58  
Article 15(1)  Article 58(1)  
Article 15(2)  Article 58(2)  
Article 15(3)  Article 58(3)  
Article 16  Article 47  
Article 16(1)  Article 47(1)  
Article 16(1)(a)  Article 47(1)(a)  
Article 16(1)(b)  Article 47 (1)(a)  
Article 16(2)  ---   
EN 26  EN Directive 2006/66/EC  This Regulation  
Article 16(3)  Article 47(1)(d) and (e)  
Article 16(4)  Article 60(5)  
Article 16(5)  --- 
Article 16(6)  --- 
Article 17  Article 46  
Article 18  Article 47(4) (c)  
Article 18(1)  --- 
Article 18(2)  --- 
Article 18(3)  --- 
Article 19  Article 48(1), 49(1), 50 -54 
Article 19(1)  Article 48(2), 49(1), 50, 52 -54 
Article 19(2)  Article 47(4) ( c)  
Article 20  Article 60  
Article 20(1)  Article 60(1)  
Article 20(1)(a)  Article 60(1)(f)  
Article 20(1)(b)  Article 60(1)(b)  
Article 20(1)(c)  Article 60(1)(c)  
Article 20(1)(d)  Article 60(1)(b)  
Article 20(1)(e)  Article 60(1)(e)  
Article 20(2)  Article 60  
Article 20(3)  Article 60(4)  
Article 21  Article 20 Rules and conditions for 
affixing the CE marking;  
Article 13, Annex VI Part A, B, C  
Article 21(1)  Article 13(3)  
Article 21(2)  Article 13(2)  
Article 21(3)  Article 13(4)  
Article 21(4)  Article 13(3)  
Article 21(5)  Article 13(3)  
Article 21(6)  --- 
Article  21(7)  --- 
Article 22a  --- 
Article 23 Review  Article 55(3), Article 77  
Article 23(1)  Article 77(1)   
EN 27  EN Directive 2006/66/EC  This Regulation  
Article 23(2)  Article 77(2)  
Article 23(2)(a)  --- 
Article 23(2)(b)  Article 55(3)  ; Article 77 2(d)  
Article 23(2)(c)  Article 56(4)  
Article 23(3)  Article 77(2) second subparagraph  
Article 23a  Article 73  
Article 23a(1)  Article 73(1)  
Article 23a(2)  Article 73(2)  
Article 23a(3)  Article 73(3)  
Article 23a(4)  Article 73(5)  
Article 23a(5)  Article 73(6)  
Article 24  Article 74  
Article 24(1)  Article  74(1)  
Article 24(2)  Article 74(3)  
Article 24(2), second subparagraph  Article 74(3) second subparagraph  
Article 25  Article 76  
Article 26  --- 
Article 27  --- 
Article 28  Article 78  
Article 29  Article 79  
Article 30  -- 
Annex I  Annex XI  
Annex II  Annex VI Part B  
Annex III  Annex XII  
Annex III Part A  Annex XII Part A  
Annex III Part B  Annex XII Part B  
Annex IV Procedural requirements for 
registration  ---