EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2021) XXX  draft  
 
COMMISSION DELEGATED DIRECTIVE (EU) .../…  
of XXX  
amending, for the purpose of adapting to technical and scientific progress, Annex III to 
Directive 2011/65/EU of the European Parliament and of the Council as regards an 
exemption for the use of mercury in single capped (compact) fluorescent lamps for 
gene ral lighting purposes < 30 W with a lifetime equal to or above 20 000 h   EN 1  EN EXPLANATORY MEMORANDUM  
1. CONTEXT  OF THE  DELEGATED  ACT  
This Commission Delegated Directive amends, for the purpose of adapting to technical and 
scientific progress, Annex III to Directive 2011/65/EU of the European Parliament and of the 
Council on the restriction of the use of certain hazardous substances in e lectrical and 
electronic equipment (recast)1 (the RoHS  Directive) . The amendment concerns an exemption 
for specifi ed applications containing mercury  in single capped (compact) fluorescent lamps 
for general lighting purposes < 30  W with a lifetime equal to or above 20 000 h . 
The RoHS Directive restricts the use of certain hazardous substances in electrical and 
electronic equipment (EEE), as specified in Article 4. Ten substances are currently restricted 
and listed in Annex II to the Directive : lead, mercury,  cadmium, hexavalent chromium, 
polybrominated biphenyls (PBB), polybrominated diphenyl ethers (PBDE), bis (2 -ethylhexyl) 
phthalate (DEHP), butyl benzyl phthalate (BBP), dibutyl phtha late (DBP) and diisobutyl 
phthalate (DIBP). Annexes III and IV list EEE materials and components for specific 
applications that are exempt from the substance restrictions laid down in Article 4(1).  
Article 5 of the Directive provides for the adapt ation of Annexes III and IV  to scientific and 
technical progress , which can include granting, rene wing or revoking the exemptions . 
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 1907/2006 (REACH)2 and where any of the following conditions is 
fulfilled: (i) elimination  or substituti ng the substance  via design changes or materials and 
components which do not require any of the materials or substances listed in Annex II is 
scientifically or te chnically impracticable; (ii) the reliability of substitutes is not ensured; (iii) 
the total negative environmental, health and consumer safety impacts caused by substituti ng 
the substance  are likely to outweigh the total environmental, health and consumer  safety 
benefits thereof.  
Decisions on exemptions, and their duration, must also take into account the availability of 
substitutes and the socioeconomic impact of substitution. Decisions on the duration of 
exemptions must  take into account any potential i mpact on innovation. Life -cycle thinking on 
the overall impacts of the exemption must be applied , where relevant.  
Article 5(1) also s pecifies that, to include  or, where applicable , delete  materials and 
components of EEE for specific applications in the lists in Annexes  III and IV , the 
Commission must adopt  individual  delegated acts . Article 5(3) and Annex V describe  the 
procedure for submitting exemption -related  applications.   
2. CONSULTAT IONS  PRIOR  TO THE  ADOPTION  OF THE  ACT  
The Commission receive s3 requests from economic operators to grant or renew exemptions 
under  Article 5(3) and Annex V to the RoHS  Directive . 
The current Annex III exemption 1(g) permits the use of mercury in single cap ped (compact) 
fluorescent lamps not exceeding the following values (per burner):  
1(g) For general lighting purposes < 30  W with a lifetime equal or above 20 000 h: 3,5  mg. 
                                                 
1 OJ L 174, 1.7.2011, p. 88.  
2 OJ L 396, 30.12.2006, p. 1. 
3 The list is available at: http://ec.europa.eu/environment/waste/rohs_eee/adaptation_en.htm . EN 2  EN The Commission received one application to renew this exemption on 28 June 2016, which 
was renewed with additional information by  the same applicant on 17 January 2020.  The 
applicant in essence claimed  that mercury -free substitutes  were not available .4 In line with the 
requirements of the RoHS Directive (Article 5(5) , second  subparagraph ), the exemption 
remains valid  until a decision on the renewal application  is taken by the Commission.  
To evaluat e the application to renew that exemption, the Commission launched in June 2017 a 
study5, concluded in 2018, to carry out the required technica l and scientific assessment, 
including an eight -week online stakeholder consultation. One contribution was received 
during the consultations , followed up by exchanges documented in the study report. The study 
included extensive information on the availabil ity of substitutes, including 2020 estimates.  
The Commission consulted the Member State expert group for delegated acts under the RoHS 
Directive during the expert meeting o f 29 October  2018  and received their views on a 
proposed course of action. It carrie d out a ll the requisite procedural steps relating to 
exemptions from the substance s restriction under  Articles 5(3) to 5(7).6 The Council and the 
European Parliament were notified of all activities.  
The supporting study highlighted the following:  
 mercury -free reliable light -emitting diode (LED) alternatives are available for the 
lamp categories covered by this exemption ;  
 data shows that , in terms of environmental, health and consumer safety impacts, the 
substitution would  prevent the placing on the  market of mercury contained in the 
applications, whilst also reduc ing energy consumed for lighting;  
 regarding  the socio -economic impacts of substitution, the costs estimated are only 
expected to incur prematurely in comparison with costs expected from the natural 
phase -out already underway and are not to be perceived as additional costs generated  
due to a forced phase -out.   
In conclusion, the scientific and technical assessments , including stakeholder consultations, 
detailed that none of the exemption cri teria are met with regard to exemption 1(g).  
3. LEGAL  ELEMENTS  OF THE  DELEGATED  ACT  
 
The delegated directive revokes  exemption 1 (g) listed in Annex III to Directive  2011/65/EU 
for the use of mercury in specific applications.   
The Commission’s assessment  of the exemption request , based on the supporting studies and 
consultations , concluded that the request for an exemption does not meet any of the criteria 
laid down in Article 5(1)(a) that justify a further extension of the exemption . The substitution 
of mercury , with reliable substitutes , in the lamp categories concerned by this exemption is 
scientifically and technically practicable, and evidence is provided that the overall impact of 
                                                 
4 Available at http://rohs.exemptions.oeko.info/fileadmin/us er_upload/RoHS_pack_13/Annex_1g/1g 
LE_RoHS_Exemption_Req_Final.pdf .  
5 The f inal report of the study is available at https://op.europa.eu/en/publication -detail/ -/publication/4ae54b9e -e070 -
11e8 -b690 -01aa75ed71a1/language -en/format -PDF/source -84895526 . 
6 A list of the required administrative steps is available on the Commission website . The c urrent stage of the 
procedure can be viewed for each draft delegated act in the Inter -institutional Registry of Delegated Acts at 
https://webgate.ec.europa.eu/regdel/#/home . EN 3  EN substitution, in terms of the environmental, health and consumer safet y, largely outweigh s any 
negative impacts.  
In summary, the conditions for granting the exemption are no longer fulfilled, and exemption  
1(g) is to be deleted, in accordance with Article 5(1)(b).  
The date by which this exemption will expire is to be set in line with Article 5(6) of the RoHS 
Directive , according to which , in the event an exemption is revoked, the exemption shall 
expire at the earliest 12 months, and at the latest 18 months, after the date of that decision .  
In setting the expiry date , it is to be taken into account that a small share of the lamp types7 
covered by this exemption are subject to the criteria , laid down in Annex II of Commission 
Regulation (EU) 2019/2020  laying down ecodesign requirements for light sources and 
separate con trol gears , which are applicable as of 1 September 2021. Having to meet these 
requirements will lead to t he concerned lamps not be ing placed on the market beyond that 
date. This is also coherent with the Commission’s assessment  under the RoHS Directive,  
including the socioeconomic analysis, which concluded that sufficiently reliable mercury -free 
substitutes for the lamp types covered by the exemption are already widely available and that 
the substitution of mercury in these lamps is scientifically and techn ically practicable . With 
regard to the exemption  entry  as a whole  under the RoHS Directive , it is however to be taken 
into account that the vast majority  of lamps covered by that exemption , namely compact 
fluorescent lamps without integrated control gear , are not affected by the criteria under the 
above -mentioned Ecodesign Regulation. Hence, t he maximum possible expiry date of 18 
months following the decision is to be set in function of the specific situation for this 
predominant part of lamps covered by the exemption, as it is necessary to take into account 
the circumstances relating to these lamps ,  and is needed to avoid unnecessar ily high socio -
economic cos ts for  market  participants linked to the substitution , in particular with respect to 
lamps that require a replacement  that is more complex .  
The legal instrument is a delegated directive, which is in line with the enabling legal act, 
Directive 2011/65/EU, in particular  with the delegation set out in Articl e 5(1) and 20 there of. 
The objective of the delegated directive is to contribute to the protection of human health and 
the environment and a lign the provisions for the functioning of the internal market in the field 
of electrical and electronic equipment, by revoking an exemption granted for the use of 
otherwise banned substances for specific applications, with the provisions and under the 
conditions of the RoHS Directive and the established procedure for adapt ing Annex es III and 
IV to scientific and technical progress.  
The delegated directive  has no implications o n the EU budget.  
 
                                                 
7 The products in scope are also regulated by Commission Regulation (EU) 2019/2020 of 1 October 2019 
laying down ecodesign requirements for light sources and separate control gears that applies from 1 
September 2 021. Differently from Directive 2011/65/EU, the ecodesign legislation does not restrict 
substances in products but sets energy efficiency requirements to be respected in order for the products 
to be placed on the market. CFL with integrated control gear (C FLi) will not de facto  be placed on the 
market from 1 September 2021 due to their non -compliance with these energy efficiency requirements. 
Commission Regulation (EU) 2019/2020 identifies mercury content as a significant environmental 
aspect in the life -cycle of a light source, but acknowledges that the use of hazardous substances, 
including mercury in light sources, is governed by Directive 2011/65/EU.  EN 4  EN COMMISSION DELEGATED DIRECTIVE (EU) .../…  
of XXX  
amending, for the purpose of adapting to technical and scientific progress, Annex III to 
Directive 2011/65/EU of the European Parliament and of the Council as regards an 
exemption for the use of mercury in single capped (compact) fluorescent lamps for 
general lighting purposes < 30 W with a lifetime equal to or above 20 000 h  
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 equipment1, and in particular Article 5(1) , point  (b), thereof,  
Whereas:  
(1) Directive 2011/65/EU requires Member States to ensure that electrical and electronic 
equipment placed on the ma rket does not contain the hazardous substances listed in 
Annex II to that Directive. That restriction does not apply to certain exempted 
applicatio ns listed in Annex III to the Directive.  
(2) The categories of electrical and electronic equipment to which Direc tive 2011/65/EU 
applies are listed in Annex I to that Directive.  
(3) Mercury is a restricted substance listed in Annex II to Directive 2011/65/EU.  
(4) By Delegated Directive 2014/14/EU2, the Commission granted an exemption for the 
use of mercury , with a maximum content of 3,5 mg,  in single capped (compact)  
fluorescent lamps for general lighting purposes < 30 W with a lifetime equal or above 
20 000 h  (‘the exemption’) , which is now listed as  exemption  1(g) in Annex III to 
Directive 2011/65/EU.  The e xemption was to expire on 31 December 2017, in 
accordance with Annex III to Directive 2014/14/EU .  
(5) Mercury is used in single capped (compact)  fluorescent lamps to produce ultraviolet 
light, which is then converted into visible light by the fluorescent coat ing on the lamp 
bulb.  
(6) On 28 June 2016 , the Commission received an application for renewal of the 
exemption  (‘the renewal application’ ), that is within the time laid down in Article 5(5) 
of Directive 2011/65/EU , that was updated with a renewed application on 17 January 
2020 . In accordance with Article 5(5)  of Directive 2011/65/EU, the exemption remains 
valid until a decision on the renewal application has been adopted.  
                                                 
1 OJ L 174, 1.7.2011, p. 88.  
2 Commission Delegated Directive 2014/14/EU of 18 October 2013 amending, fo r the purposes of 
adapting to technical progress, the Annex III to Directive 2011/65/EU of the European Parliament and 
of the Council as regards an exemption for 3,5 mg mercury per lamp in single capped compact 
fluorescent lamps for general lighting purpos es < 30 W with a lifetime equal to or above 20 000 h (OJ L 
4, 9.1.2014, p. 71 ). EN 5  EN (7) The evaluation of the renewal application , which took into account the availability of 
substitutes and the socioeconomic impact of substitution, concluded that sufficient ly 
reliable mercury -free substitutes for the lamp  types  covered by the exemption are 
available  and that th e substitution  is scientifically and technically practicable . 
Further more, th at evaluation concluded  that the benefits of substitution will clearly 
outweigh any negative impact. The evaluation included stakeholder consultations in 
accordance with Article 5(7) of Directive 2011/65/EU. The comments received during 
these consu ltations were made publicly available on a dedicated website.  
(8) As the conditions set out in Article 5(1) , point  (a), of Directive 2011/65/EU  are no 
longer fulfilled, the  exemption should be revoked .  
(9) An expiry date for this exemption should  be set in accordance with Article 5(6) of 
Directive 2011/65/EU.  While a small share of the lamp types3 covered by this 
exemption are subject to the ecodesign criteria laid down in Annex II of Commission 
Regulation (EU) 2019/20204, which are applicable as of 1 September 2021 , and will 
hence not be placed on the market any longer,  the vast majority  of lamps covered by 
the current exemption are not affected by the  criteria  under the above -mentioned 
Ecodesign Regulation.  Consequently , the maximum possible expi ry date of 18 months 
following  the decision should be set with regard to the entire exemption entry in order 
to avoid unnecessary high socio -economic costs by market participants directly linked 
to the substitution  of the latter category . 
(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 sixth  month after the 
date of ent ry 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 s hall apply those provisions from [the last day of  the sixth 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 referen ce 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.  
                                                 
3 CFL with integrated control gear (CFLi) are covered by the entry “Other light sources in scope not 
mentioned above” in Table 1 of Annex II of Commission Regulation (EU) 2019/2020 from 
1 September 2021.  
4 As stated in Recitals 9 and 10 of Commission Regulation (EU) 2019/2020, no specific ecodesign 
requirements on mercury content are to be set in that Regulation.  
 EN 6  EN 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 Co mmission  
 The President  
 Ursula VON DER LEYEN