EN    EN  
 EUROPEAN  
COMMISSION 
Brussels, XXX   
[…](2016) 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 
cadmium and lead in filter glasses and glasses used for reflectance standards 
(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 III 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 
cadmium and lead. 
RoHS 2 restricts the use of certain hazardou s substances in electrical and electronic 
equipment. RoHS 2 entered into force on 21 July 2011. 
The restricted substances are listed in Annex II to RoHS 2; while the restriction of lead, 
mercury, cadmium, hexavalent chromium, pol ybrominated biphenyls, and polybrominated 
diphenyl ethers is being enforced to date, th e restriction of bis(2- ethylhexyl) phthalate 
(DEHP), butyl benzyl phthalate (BBP), dibutyl phthalate (DBP),  diisobutyl phthalate (DIBP) 
shall be applied from 22 July 2019. Annexes III and IV to RoHS 2 list the materials and components of electrical and electronic equipmen t (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 deletion of exemp tions) of Annexes III and IV. Pursuant to 
Article 5(1)(a), for exemptions to be included in  Annexes III and IV, it has to be provided that 
such inclusion does not weaken the enviro nmental and health protection afforded by 
Regulation (EC) No 1907/2006 and where any of the following conditions is fulfilled: their 
elimination or substitution via design change s 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 no t ensured; or the total negative environmental, 
health and consumer safety impacts caused by substitution are likely to outweigh the total 
environmental, health and consum er safety benefits thereof. 
Furthermore, Article 5(1) provides that th e European Commission (the Commission) shall 
include materials and components of EEE for specific applications in the lists in Annexes III 
and IV by means of individual de legated acts in accordance with  Article 20. Article 5(3) and 
Annex V establish the procedure for submitti ng applications for granting, renewing, or 
revoking an exemption. 
2. CONSULTATIONS
 PRIOR  TO THE  ADOPTION  OF THE  ACT 
As a consequence of the provisions in Article 5( 3) and Annex V which a llows stakeholders to 
apply for an exemption from th e substance restrictions, since the publication of RoHS 2 the 
Commission has received numerous2 requests for both granting new and renewing existing 
exemptions. 
On 11 November 2014 the Commission received an  application for renewing exemption 13(b) 
of Annex III in relation to the use of cadmium and lead in filter glasse s and glasses used for 
reflectance standards. 
With a view to evaluating th e application for exemption, th e Commission launc hed a study to 
carry out the required technica l and scientific assessment, including an eight-week online 
                                                 
1 OJ L 174, 1.7.2011, p. 88. 
2 The list is available at: http://ec.europa.eu/environment/w aste/rohs_eee/adaptation_en.htm  EN 3   EN open-ended3 stakeholder consultation4 on the application. Five cont ributions were made to the 
stakeholder consultation regarding the use of cad mium and lead in refractive standards, the 
relation with exemption 39, with  certain optical applications  relying on exemption 13(b), 
which would be needed e.g. to ensure correct di agnoses in medicine, and with the duration for 
different categories. Three stak eholders supported the renewal with the requested wording and 
duration. 
The final report containing the assessment of the application was published5; stakeholders 
were notified. The project page is  accessible via the Europa webpage6. 
Subsequently, the Commission consulted the Memb er States expert group for delegated acts 
under RoHS 2. An amendment proposal of RoHS  2 Annex III was sent out on 17 March 2016 
with all necessary background information, and experts were  invited to comment on the 
proposal at the meeting of 19 April 2016. Th e expert group unanimously supported the 
proposal to exempt for 5 years le ad and/or cadmium in different optical glass applications of 
categories 1 to 7 and 10. All n ecessary steps pursuant to Artic le 5(3) to (7) have been 
performed. Council and Parliament were notified of all relevant activities. 
The final report highlighted in particular the following technical information (see report in 
footnote 5): 
• Optical filter glasses containing cadmium and/or lead are used in a wide variety of 
optical applications for many types of electrical and electronic equipment. While 
several types of optical filter glasses contain cadmium, only a few contain lead. Both cadmium and lead are used because of  the unique optical pr operties that their 
use enables, such as 'sharp cut-off' in the visible spectrum that is unaffected by 
viewing angle. 
• Most of the alternatives to glass cont aining cadmium and/or lead do not exhibit 
such sharp wavelength 'cut-off'. Interferen ce filters do have sharp cut-offs but the 
wavelength at which this occurs is vi ewing angle dependent and so these are 
unsuitable for many applications. Though various substitution routes exist, substitutes do not provide sufficient cut- off performance for all applications. In 
the few cases where alternatives are said to supply sufficient performance in this 
respect, the materials used are too se nsitive to environmental conditions of 
operation (such as heat or UV light) a nd thus do not provide a comparable 
reliability. 
• In this sense, though alte rnatives are available for some applications, such 
alternatives are still not suitable for many ot her applications, such as striking filter 
glasses and ion coloured optical filter glasses. 
• Finding alternatives to th ese applications is complicated and time-demanding, 
thus 5 years is perceived as justif ied for the categories 1 to 7 and 10. 
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 rela ting to entry 13(b) in 
Annex III, when formulated as in the Annex to th is directive, and the renewal is thus justified. 
Since, for the applications concerned, no sufficiently reliable alternatives are available today 
                                                
 
3 The list of consulted stakeholders is regularly updated and maintained; it includes industry 
organisations, manufacturers and suppliers, recycl ers, consumer associa tions, NGOs, academia, 
Member States' representatives, and others. 
4 Consultation period : from 24.04.2015 to 19.06.2015  
5 Evaluation report  
6 http://ec.europa.eu/environment/w aste/rohs_eee/adaptation_en.htm  EN 4   EN or are likely to come to the market soon, a nd considering the typica l innovation pace of the 
sector, the five-year validity peri od of the exemption is not exp ected to have adverse impacts 
on innovation. For categories othe r than categories 1 to 7 a nd 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 prot ection afforded by Regulation (EC) No 1907/2006 
(REACH) in accordance with Arti cle 5 of Directive 2011/65/EU. 
3. LEGAL  ELEMENTS  OF THE  DELEGATED  ACT 
The proposed act grants an  exemption from the substance restrictions of 
Directive 2011/65/EU for the use of lead and/or cadmium in specific applications. 
The proposed instrument is a delegated dir ective, as provided for by Directive 2011/65/EU, 
and in particular Arti cle 5(1)(a) thereof. 
The objective of the proposed act is to ensu re legal certainty and sustainable market 
conditions for manufacturers of electrical and electronic equipm ent, by allowing the use of 
otherwise banned substances for specific applic ations, in line with the provisions and under 
the conditions of RoHS 2 and the therein esta blished procedure for the adaptation of the 
Annexes III and IV to scientif ic 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 5   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 
cadmium and lead in filter glasses and glasses used for reflectance standards 
(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 Parliament and of the Council of 
8 June 2011 on the restriction of  the use of certain hazardous substances in electrical and 
electronic equipment
7, and in particular Article 5(1)(a) thereof, 
Whereas: (1) Directive 2011/65/EU prohibits  the use of lead and ca dmium in electrical and 
electronic equipment placed on the market. 
(2) Optical filter glasses containing cadmium or l ead are used in a wide variety of optical 
applications for many types of  electrical and electronic eq uipment. Both cadmium and 
lead are used because of the unique optical pr operties that their use enables, such as 
'sharp cut-off' in the visible spectrum  that is unaffected by viewing angle. 
(3) Though various substitution routes exist, s ubstitutes do not provide sufficient cut-off 
performance for all applications. In the few cases where alternatives  are said to supply 
sufficient performance in this respect, th e materials used are too sensitive to 
environmental conditions of operation and thus not sufficiently reliable. 
(4) In this sense, alternatives are still not suitable for many applications, for which finding 
alternatives is comp licated and time-demanding, thus five  years is a justified duration 
for the categories 1 to 7 and 10. 
(5) Certain optical filter glasse s containing cadmium and/or lead should therefore be 
exempted until 21 July 2021 for categories 1 to 7 and 10. In vi ew of the innovation 
cycles for the electrical and electronic equipment affected, the duration of this 
exemption is unlikely to have adverse impacts on innovation. 
(6) 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. 
                                                
 
7 OJ L […], […], p. […].  EN 6   EN Article 2 
1. Member States shall adopt and publish, by [OP, please insert, as concrete date, 
12 months 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 Co mmission the text of those provisions. 
They shall apply those provisions from [OP, please insert, as concrete date, 
12 months after the date of entr y into force of this directive] . 
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  […]