EN    EN  
 EUROPEAN  
COMMISSION 
Brussels, XXX   
[…](2014) 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 Parliament and of the Council as regards an exemption for 
Mercury in hand crafted luminous discharge tubes (HLDTs) used for signs, decorative 
or architectural and specialist lighting and li ght-artwork. 
(Text with EEA relevance) 
  
EN 2   EN EXPLANATORY MEMORANDUM  
1. CONTEXT  OF THE  DELEGATED  ACT 
Subject: Commission Delegated Directive amending, for the purposes of ad apting to technical 
progress, Annex III of the Directive 2011/65/EU of the European Parliament and of the Council as regards an exemption fo r applications containing mercury. 
Directive 2011/65/EU of the European Parl iament and of the C ouncil of 8 June 2011 
(RoHS 2) restricts the use of certain h azardous substances (lead, mercury, cadmium, 
hexavalent chromium, polybrominated biphe nyls, polybrominated diphenyl ethers) in 
electrical and electronic equi pment. RoHS 2 (recast) entered into force on 21 July 2011. 
RoHS 2 Annexes III and IV list exemptions of  materials and components from the RoHS 2 
substance restrictions. Article  5 provides for the adaptation (inclusion and deletion of 
exemptions) of the Annexes to scientific and technical progress. Pursuant to Article 5, 
exemptions shall be included in Annexes III and IV, provided that such inclusion does not 
weaken the environmental and health protect ion afforded by Regul ation (EC) No 1907/2006 
and where any of the following conditions is fulfilled: their elimination or substitution via design changes or materials an d 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 negativ e environmental, health  and consumer safety 
impacts caused by substitution are likely to outw eigh the total environmental, health and 
consumer safety benefits thereof. 
RoHS 2 Article 5 establishes a procedure for th e adaption of the Annexes to scientific and 
technical progress. RoHS 2 Article 5(1)(a) provides that the Commission shall include 
materials and components of EEE fo r specific applicati ons in the lists in Annexes III and IV 
by means of individual delegated acts.  
2. CONSULTATIONS
 PRIOR  TO THE  ADOPTION  OF THE  ACT 
In line with the provisions for granting, re newing or revoking an exemption, which allow 
stakeholders to apply for an exemption from th e substance restrictions (Article 5(3)), the 
Commission has received more th an 40 requests for new exemptions since the publication of 
RoHS 2. With a view to the evaluation of  the requested exemptions, the Commission 
commissioned a study and carried out the re quisite technical and scientific assessment 
including an official stakeholder consultation.1 The final study is available on the consultants' 
webpage; stakeholders and Me mber States were notified.2 The project page is accessible via 
the DG Environment webpage.  
Subsequently, the Commission consulted the o fficial expert group fo r delegated acts under 
RoHS 2. A meeting with consultants and e xperts was held on 28 June 2013, a consolidated 
recommendation with all necessary background information was sent out on 20 September 2013 and experts were invited to comment on the proposal by 15 November 2013. The expert group unanimously supported the proposal. Only one  expert commented on a technical detail. 
All necessary steps pursuant to Article 5(3)  to (7) have been performed. Council and 
Parliament were notified of all activities. 
                                                
 
1 The consultation list is regularly updated and maintained by the consultants in cooperation with the 
Commission, and includes electronics related industry organisations, manufacturers and suppliers, 
recyclers, consumer associations, NGOs, acad emia, Member States' representatives, etc. 
2 http://rohs.exemptions.oeko.info/fileadmi n/user_upload/RoHS_VII/20130930_RoHS-
2_Exemption_Evaluation_Pack-2.pdf  (pages 93-118).  
EN 3   EN Technical background information (for fu rther information see footnote 2): 
Handcrafted luminous discharge tubes (HLDTs) ex ist in a broad variety; some examples are 
neon signs, individual architectural illumination and special light emitte rs in the chemical 
analytical research. Each HLDT is handmade; HL DT industry is a traditional and small scaled 
industry. 
There is almost no light output in HLDTs without or with insu fficient mercury in the lamp, 
hence a minimum small quantity of mercury need s to be added. As these HLDTs are used for 
indoor and outdoor applications and with an individual colour spectrum composition, they 
have to work reliably under sensitive and co ld conditions with very  high life expectations 
because they are often difficult to access. The l ongevity of HLDT is closely related to its 
mercury content. HLDTs can operate for up to 20 years which is e quivalent to 130,000 hours 
without replacement, thereby outperforming any othe r light source in efficiency, life span and 
versatility regarding shape and light spectrum. LED technology is  not equivalent to mercury 
containing HLDT technology, which means that for many applications adequate substitutes 
are not available. 
In summary it can be said that the elimination or substitution of mercury in HLDTs and the 
complete substitution of HLDTs with other tec hnologies is scientific ally and technically 
impracticable. Therefore an exemption for merc ury in HLDTs used for signs, decorative or 
architectural and specialist light ing and light-artwork should be granted. The use of mercury 
should be limited however to the absolutely necessary minimum amou nt and the validity 
period should be limited to the end of 2018, in order to avoid adverse impacts on innovation. 
The specific exemption does not weaken the envi ronmental and health protection afforded by 
Regulation (EC) No 1907/2006 (REACH). 
3. LEGAL  ELEMENTS  OF THE  DELEGATED  ACT 
The proposed act grants an exemption from the s ubstance restrictions in  Annex II of Directive 
2011/65/EU (RoHS 2), to be listed in Annex III, for the use of mercury in specific 
applications. 
The proposed instrument is  a delegated directive. 
The draft delegated directive implements Di rective 2011/65/EU, and in  particular Article 
5(1)(a) thereof. 
The objective of the proposed act is to ensu re legal certainty and sustainable market 
conditions for electronic  manufacturers, by allowing specific applications of otherwise banned 
substances in line with the provisions of RoHS 2 and the therein established procedure for the 
adaption of the Annexes to scie ntific 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 4   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 
Mercury in hand crafted luminous discharge t ubes (HLDTs) used for signs, decorative 
or architectural and specialis t lighting and light-artwork. 
(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 Eu ropean Parliament and of the Council of 8 
June 2011 on the restriction of the use of cert ain hazardous substances in electrical and 
electronic equipment,
3 and in particular Article 5(1)(a) thereof, 
Whereas: (1) Directive 2011/65/EU prohibits  the use of mercury in el ectrical and electronic 
equipment placed on the market.  
(2) Handcrafted luminous discharge tubes (HLD Ts) are handmade special purpose lamps 
which exist in a broad variety. Examples  are neon signs, individual architectural 
illumination and special light emitters in the chemical analytical research. As HLDTs are used for indoor and outdoor applications and with an individual colour spectrum 
composition, they have to work reliably unde r sensitive and cold conditions with very 
high life expectations because they are ofte n difficult to access. In order to function 
properly under these conditions, HLDTs re quire a minimum quantity of mercury.  
(3) The elimination or substitution of mercury in HLDTs and the complete substitution of 
HLDTs with other technologies such as LED is scientifically and technically 
impracticable. The use of mercury in HLDTs used for signs, decorative or 
architectural and specialist lighting and li ght-artwork should therefore be exempted 
from the prohibition. The use of mercury should be limited to the necessary minimum 
amount and the validity period should end 31 December 2018, in order to avoid adverse impacts on innovation. 
(4) 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. 
                                                
 
3 OJ L 174, 1.7.2011, p. 88.   
EN 5   EN Article 2 
1. Member States shall bring into force the laws, regulations and administrative 
provisions necessary to comply with this Di rective by the last day of the sixth month 
after entry into force at the latest. They shall forthwith communicate to the Commission the text of those provisions. 
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   José Manuel BARROSO