EN    EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2017) 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 as an alloying element in copper  
(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 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 e lectronic 
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 RoHS  2. While the restriction s of lead, 
mercury, cadmium, hexavalent chromium, polybrominated biphenyls, and polybrominated 
diphenyl ethers are in force  to date, the r estriction 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 e lectronic equipment (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 revoking  of exemptions ) of Annexes III and IV. Pursuant to 
Article  5(1)(a), exemptions are to be included in Annexes 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 followi ng conditions is fulfilled: their 
elimination or substitution via design changes 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 subst itutes is not ensured; or the total negative environmental, 
health and consumer safety impacts caused by substitution are likely to outweigh the total 
environmental, health and consumer safety benefits thereof.  
Furthermore, Article 5(1) provides that the E uropean Commission (the Commission) shall 
include materials and components of EEE for specific 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 proce dure for submitting applications for granting, renewing, or 
revoking an exemption.  
2. CONSULTATIONS  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 6(c) permits the use of lead as an alloying element in copper  
containing up to 4% lead by weight . The Commission received six application s for renewal of 
this exemption in November and December  2014 and January  2015 . While e xemption 6(c) 
had 21 July 2016  as expir ation date  for categories 1 to 7 and 104, in line with the requirements 
                                                 
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/adapt ation_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 3   EN 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 assessm ent, including an eight -week online 
open -ended stakeholder consultation5 on the application. Twelve  contributions were made to 
the stakeholder consultation.  
The final report containing the assessment of the application was published6; stakeholders 
were no tified.  
Subsequently, the Commission consulted the Member States expert group for delegated acts 
under RoHS 2  during an expert meeting on 15 December 2016, which also involved 
presentations from the applicants and stakeholders most concerned. The experts agreed with 
the draft presented by the Commission, with a large majority of absent or 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 o f simultaneous exemption requests 
and connected administrative requirements, the Commission decision procedure followed 
alternative deadlines as per Article 5(5). The Council and the European  Parliament were 
notified of all activities.  
The final report highlighted in particular the following technical information and assessment : 
 Lead is embedded as tiny nodules in the matrix of copper alloys. It thereby acts as 
chip breaker and lubricant. It gives copper alloys a favourable machinability , and  
also provide s properties to the finished component, e.g. electrical conductivity, slide 
functionality for parts with closely fit sliding surfaces and corrosion resistance.  
 There are lead-free substitutes available for some applications. However, the use of 
alternatives currently requires adapt ations in the machining process and thus has 
restrictions limiting its applic ability to other applications . Current research suggest s 
that the  machinability challenges  of lead -free alternatives can be overcome in  the 
future at least for some applications.  
 Thus, alternatives to  copper alloys containing lead up to 4% by weight cannot be 
identified as scientifically or technically practicable. Additional research effort 
would be necessary to narrow the scope of the e xemption to more specific 
applications.  
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 6(c) in 
Annex III. It is proposed to grant the exemption in the current wording for  the duration of five 
years after the former expiry date to allow performing a comprehensive survey of the supply 
chain in order to narrow the scope  of the exemption  at the time of  the next rev iew. As reliable 
substitutes are not yet available, no negative socioeconomic impacts of substitution are to be 
anticipated for th e stated exemption period. It is also not expected to have adverse impacts on 
innovation .  
                                                                                                                                                         
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/ .  
EN 4   EN For categories other than categorie s 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 
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 5   EN 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 as an alloying element in copper  
(Text with EEA relevance)  
THE EUROPEAN COMMISSION,  
Having regar d 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 equipmen t7 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 lead. 
(2) Point 6(c) of Annex III to Directive 2011/65/EU exempt ed the use of lead as an 
alloying element in copper  containing up to 4  % lead by weight until 21 July 2016 . 
The Commission received an application for renewal of this exemption in relation to 
categories 1 to 7 and 10 before 21 January  2015 , in accordance w ith Article 5(5) of 
Directive 2011/65/EU.  
(3) Lead in copper alloys acts as chip breaker and lubricant , gives copper alloys 
a favourable machinability, and  provides the finished component  also with other  
properties , such as corrosion resistance . 
(4) Currently , alternative s to the  use of copper alloys containing lead up to 4% by weight 
cannot be identified as scientifically or technically practicable . Therefore,  a renew al of 
the exemption for the duration of five years after the former expiry date is justified to 
allow carry ing out a comprehensive survey of the supply chain.  
(5) For categories 1 to 7 and 10 , the exemption should  be renewed  until 21 July 2021  to 
allow performing a comprehensive survey of the supply chain in order to narrow the 
scope of the exemption at the time of the next review.  For categories other than 
categories 1 to 7 and 10, the existing exemption is valid  as per the validity periods set 
out in Article 5(2) of Directive 2011/65/EU . 
(6) Directive 2011/65/EU should therefore be a mended accordingly,   
 
                                                 
7 OJ L 174, 1.7.2011, p. 88.   
EN 6   EN 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 re ference 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 covere d 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 . 
Article 4 
This Directive is addressed to the Member States.  
Done at Brussels,  
 For the Commission  
 The President  
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