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 bound in crystal glass as defined in Directive 69/493/EEC  
(Text wi th 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 29 permits the use of lead bound in crystal glass as defined 
in Annex I (Categories 1, 2, 3 and 4) of Council Directive 69/493/EEC . The Commission 
received one application for renewal of this exemption in January  2015 . While e xemption 29 
had 21 July 2016 as expiration 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/adaptation_en.htm  
4 These categories are namely: 1. Large household appliances; 2. Small household appliances; 3. IT and 
telecommu nications equipment; 4. Consumer equipment; 5. Lighting equipment; 6. Electrical and  
EN 2  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 assessment,  including an eight -week online 
open -ended stakeholder consultation5 on the applicati on. Twenty five  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 exemptions from the substance restrict ion 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 Coun cil and the European Parliament were 
notified of all activities.  
The final report  highlighted in particular the following technical information and assessment : 
 Lead oxides (PbO or Pb 3O4) are used as an intermediate for the chemical synthesis of 
lead crysta l glass (LCG). LCG is used in EEE applications because their unique 
combinations of processing (cooling time, working range), optical (refractive index, 
dispersion) and decorative (Vicker's hardness) properties allow the manufacture of 
EEE articles which c ould not be produced otherwise, such as luminaires and 
chandeliers, electrified mirrors, clocks and watches, digital photo frames or building 
materials (illuminated blocks).  
 Currently, a substitution or elimination of lead in the application s concerned is still 
scientifically and technically impracticable . 
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 29 in 
Annex III. Since f or the 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 until 
21 July 2021 is justified ; as reliable substitutes are not yet available, no negati ve 
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 . For categories 
other than categories 1 to 7 and 10, the existing exemption remains as pe r 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.  
                                                                                                                                                         
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 carri ed 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 ca n be viewed for each 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 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 fun ctioning 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 pr ocedure 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 progress, Annex III to 
Directive  2011/65/EU of the Europ ean Parliament and of the Council as regards an 
exemption for lead bound in crystal glass as defined in Directive 69/493/EEC  
(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) Direct ive 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 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 is a restricted substance listed in Annex I I to Directive 2011/65/EU. T he use of 
lead bound in crystal glass as defined in Annex I (Categories 1, 2, 3 and 4) to Council 
Directive 69/493/EEC2 was, however, exempted from the restriction and is currently 
listed in entry 29 of Annex III to Directive 2011/65/EU . 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. T he 
exemp tion remains valid until a decision on that application has been adopted.  
(5) Lead oxides (PbO or Pb 3O4) are used as an intermediate for the chemical synthesis of 
lead crystal glass (LCG). LCG is used in electrical and electronic equipment  because 
its unique combinations of processing (cooling time, working range), optical 
(refractive index, dispersion) and decorative (Vicker's hardness) properties allow s the 
manufactur ing of electrical and electronic  articles which could not be produced 
otherwise, such as  specific  luminaires and chandeliers, electrified mirrors, clocks and 
watches, digital photo frames and building materials (illuminated blocks).  
(6) A substitution or elimination of lead in crystal glass is still scientifically and 
technically impracticabl e due to the lack of reliable substitutes. The exemption does 
not weaken the environmental and health protection afforded by Regulation (EC) No 
                                                 
1 OJ L 174, 1.7.2011, p. 88.  
2 Council Directive 69 /493/EEC of 15 December 1969 on the approximation of the laws of the Member 
States relating to crystal glass (OJ L 326, 29.12.1969, p. 36).   
EN 5  EN 1907/2006 of the European Parliament and of the Council3. The exemption for the use 
of lead bound in crystal gla ss as defined in Annex I (Categories 1, 2, 3 and 4) to 
Directive 69/493/EEC should therefore be renewed for categories 1 to 7 and 10 . 
(7) Since reliable alternatives for the applications concerned are no yet available on the 
market or are likely to be avai lable on the market in the near future, 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 t he exemption is unlikely to have adverse impacts on 
innovation.  
(8) 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 re asons of clarity, the dates of expiry should be added in Annex III to 
that Directive.  
(9) 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 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 12th 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 Eu ropean Union . 
Article 4 
This Directive is addressed to the Member States.  
                                                 
3 Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 
concerning the Regi stration, Evaluation, Authorisation and Restriction of Chemicals (REACH) and 
establishing a European Chemicals Agency (OJ L 396, 30.12.2006, p. 1).   
EN 6  EN Done at Brussels,  
 For the Commission  
 The President  
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