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 in dielectric ceramic in certain capacitors  
(Text with EEA relevan ce) 
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. 
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 Annex II to RoH S 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 restrict ion 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 A nnexes 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 mater ials 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 im pacts 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 (the Commission) shall 
include materials and components of EEE for spe cific 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 applications for granting, renewing, or 
revoking an exemption.  
2. CON SULTATIONS  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 7(c)-II permits the use of lead in dielectric ceramic in 
capacitors for a rated voltage of 125 V AC or 250 V DC or higher . The Commission received 
two application s for renewal of this exemption in January  2015 . While e xemption 7(c)-II had 
21 July 2016 as expiration 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 applia nces; 2. Small household appliances; 3. IT and 
telecommunications equipment; 4. Consumer equipment; 5. Lighting equipment; 6. Electrical and  
EN 2  EN the RoHS Directive  (Article 5(5), second subparagraph), it continues to apply until a decision 
on the renewal application is taken b y 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 . One contribution w as made to the 
stakeholder consultation.  
The final report containing the assessment of the application was published6; stakeholders 
were notified.  
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 Articles 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 : 
 Discrete ceramic capacitors for a rated voltage of 125 V AC or 250 V DC or higher 
bear the capability of stor ing and releasing electric charges (electrostatic capacitance) 
and are incorporated into high voltage circuits in a wide variety of electrical and 
electronic equipment. They are used in all types of markets and applications, for 
example public infrastructu re systems , industry automation , oil and mineral 
exploration , power conversion , high power supplies , telecommunication , and 
medical  devices . 
 The function of lead in the dielectric ceramic is to obtain high dielectric constant at 
high operating voltage; hig h energy storage capability (also at high temperatures); 
low leakage at high voltage and high temperatures; and low loss at high current, 
frequency, and temperatures.  Currently, s ubstitution or elimination of lead  is still 
scientifically and technically impracticable  for some applications . It appears that 
alternatives can be applied only in some cases.  
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 7(c)-II in 
Annex III. Since f or certain applications concerned,  no reliable alternatives are available 
today or are likely to come on the market soon, a renewal of the exemption with a  validity 
period un til 21 July 2021 is justified ; as reliable substitutes are not yet available, no negative 
socioeconomic impacts of substitution are to be anticipated for this period . The granted 
validity period is also not expected to have adverse impacts on innovation . In order to avoid 
overlapping scopes of exemptions  within Annex III, the proposed wording clarifies that  
                                                                                                                                                         
electronic tools; 7. Toys, leisure and sports equipment; 10. Automatic dispensers. EEE c ategories are 
listed  in Ann ex 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 applications covered by exemption 7(c) -I and 7(c) -IV are excluded from the exemption 7(c) -
II. 
For categories other than categories 1 to 7 and 10, the ex isting 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. 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 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 prog ress, Annex III to 
Directive  2011/65/EU of the European Parliament and of the Council as regards an 
exemption for lead in dielectric ceramic in certain capacitors  
(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 Ar ticle 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 doe s 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 i s a restricted substance listed in Annex II to Directive 2011/65/EU. The use of 
lead in dielectric ceramic in capacitors for a rated voltage of 125 V AC or 250 V DC 
or higher was, however, exempted from the restriction and is currently listed in entry 
7(c)-II of 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 Dire ctive 2011/65/EU . The 
exemption remains  valid until a decision on that application has been adopted.  
(5) Discrete ceramic capacitors for a rated voltage of 125 V AC or 250 V DC or higher 
bear the capability of storing and releasing electric charges (electr ostatic capacitance) 
and are incorporated into high voltage circuits in a wide variety of electrical and 
electronic equipment. They are used in all types of markets and applications, for 
example social infrastructure systems , industry automation , oil and mineral 
exploration , power conversion , high power supplies , telecommunication , and medical  
devices . 
(6) The function of lead in the dielectric ceramic is to obtain high dielectric constant at 
high operating voltage , high energy storage capability (also at high temperatures) , low 
leakage at high voltage and high temperatures , and low loss at high current, frequency, 
and temperatures.  
                                                 
1 OJ L 174, 1.7.2011, p. 88.   
EN 5  EN (7) A substitution or elimination of lead  is still scientifically and technically impracticable  
for certain ceramic capacitors  due to the lack of reliable substitutes . The exemption 
does not weaken the environmental and health protection afforded by Regulation (EC) 
No 1907/2006 of the European Parliament and of the Council2. The exemption for the 
use of lead in dielectr ic ceramic in capacitors for a rated voltage of 125 V AC or 250 
V DC or higher  should therefore be renewed . For reasons of clarity, it should be added 
in Annex III to Directive 2011/65/EU that applications covered by e ntries 7(c)-I and 
7(c)-IV are excluded  from entry 7(c)-II. 
(8) Since , for the applications concerned , no reliable alternatives are yet available on the 
market, the exemption for categories 1 to 7 and 10 should be renewed 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 .  
(9) For categories other than 1 to 7 and 10 , the existing exemption remains valid as per the 
validity peri ods set out in the second subparagraph of Article 5(2) of Directive 
2011/65/EU . For reasons of clarity, the dates of expiry should be added in Annex III to 
that Directive.  
(10) 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 [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 State s 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 forc e on the twentieth day following that of its publication in 
the Official Journal of the European Union . 
                                                 
2 Regulation (EC) No 1907/2006 of the E uropean 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 4 
This Directive is addressed to the Member States.  
Done at Brussels,  
 For the Commission  
 The President  
 […]