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 solders to complete a viable electrical connection between 
semi conductor die and carrier within integrated circuit flip chip packages  
(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. 
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 15 permits the use of lead in solders to complete a viable 
electrical connection between semiconductor die and carrier within integrated circuit flip chip 
packages . The Commission received one application for ren ewal of this exemption in January  
2015 . While e xemption 15 had 21 July 2016 as expiration date for categories 1 to 7 and 104, 
                                                 
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 in line with the requirements of 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 stakehold er consultation5 on the application. Two contributions were 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 exempti ons 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 : 
 Leaded solders are used in flip chip connections as bumps and sol ders for attaching 
the die to the chip carrier . These solders must be resistant to electromigration failure 
at the extremely high current densities required; able to create a solder hierarchy that 
allows staged assembly and rework of components in the manu facture process; and 
have high ductility to reduce thermo -mechanical stress in under bump metallurgy 
structures, in particular in larger dies.  
 Currently, s ubstitution or elimination of lead is still scientifically and technically 
impracticable  for certain flip chip packages .  
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 15 in 
Annex III. The existing wording of the exemption was amended to narrow down the scope of 
the exemption to applications for which reliable alternatives are still not available , adding 
subentry 15(a) to point 15 . A validity period until 21 July 2021 was determined; this is not 
expected to have adverse impa cts on innovation . Where reliable alternatives are already 
available, only negligible socioeconomic impacts of substitution are to be anticipated for this 
period as gradual substitution with lead free alternatives is already underway.   
For categories other  than categories 1 to 7 and 10, the existing 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 
accordan ce with Article 5 of Directive 2011/65/EU.  
                                                                                                                                                         
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 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 applicat ions.  
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 m easure 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 th e 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 solders to complete a viable electrical connection between 
semiconductor die an d carrier within integrated circuit flip chip packages  
(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 Di rective 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 is a restricted substance listed in Annex II to Directive 2011/65/EU. The use of 
lead in solders to complete a viable electrical connection between semiconductor die 
and carrier within integrated circuit flip chip packages  was, however, exempted from 
the restriction and is currently listed in entry 15 of Annex II I 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) Leaded solders are used in flip chip connections as bumps and solders for attaching 
the die to the chip carrier. The solders must be resistant to electromigration  failure at 
the extremely high current densities required  and able to create a solder hierarchy that 
allows staged assembly and rework of components in the manufactur ing process . They 
must also  have high ductility to reduce thermo -mechanical stress in unde r bump 
metallurgy structures, in particular in larger dies.  
(6) For certain applications covered by the current exemption, a substitution or 
elimination of lead is still scientifically and technically impracticable  due to the lack 
of reliable substitutes. The exemption does not weaken the environmental and health 
                                                 
1 OJ L 174, 1.7.2011, p. 88.   
EN 5  EN protection afforded by Regulation (EC) No 1907/2006 of the European Parliament and 
of the Council2. It should therefore be renewed for those particular applications.  
(7) 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.  
(8) Since , for the applications concerned  by that 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 
the 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 periods set out in the second subparagraph of Article 5(2) of Directive 
2011/65/EU . For rea sons 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 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 . 
                                                 
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 4 
This Directive is addressed to the Member States.  
Done at Brussels,  
 For the Commission  
 The President  
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